ML20216E372
| ML20216E372 | |
| Person / Time | |
|---|---|
| Issue date: | 12/31/1997 |
| From: | NRC OFFICE OF THE GENERAL COUNSEL (OGC) |
| To: | |
| References | |
| NUREG-0980, NUREG-0980-V02-N04, NUREG-980, NUREG-980-V2-N4, NUDOCS 9804160185 | |
| Download: ML20216E372 (523) | |
Text
{{#Wiki_filter:- q _ & cA-L b& = r/s edead NUREG-0980 Vol. 2, No. 4 Nuclear Regulatory Legislation ? 104th Congress Date ?ublished: December 1997 = Office of the General Counsel U.S. Nuclear Regulatory Commission .- Washington, DC 20555-0001
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FOREWORD This compilation of statutes and material pertaining to nuclear regulatory ledislation through the 104th Congress,2nd Session, has been prepared by the Office of the General Counsel, U.S. Nuclear Regulatory Commission, with the assistance of staff, for use as an internal resource document. Persons using this document are placed on notice that it may not be used as an authoritative citation in lieu of the primary legislative sources. Furthermore, while every effort has been made to ensure the completeness and accuracy of this material, I neither the United States Government, the Nuclear Regulatory Com-mission, nor any of their employees makes any expressed or implied warranty or assumes liability for the accuracy or completeness of the material presented in this compilation. If you have any questions concerning this compilation, please contact Christine Pierpoint, Legislative Specialist, Office of the Gen-
, eral Counsel, U.S. Nuchar Regulatory Commission, ' Washington, DC 20555 - 0001.
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b" TABLE OF CONTENTS VOLUMEI
- 1. Atomic Energy Act of 1954
- 2. Energy Reorganization Act of 1974 e Reorganization Plan No. 3 of 1970 (EPA) e Reorganization Plan No.1 of 1980 (NRC) e Executive Order No.11834, Activation of the NRC
- 3. Low-Level Radioactive Waste Policy Amendments Act of 1985 (Title I)
(Title II-Compacts: SEE Volume II) 4 Nuclear Waste Policy Act of 1982, as Arnended
- 5. Uranium Mill Tailings
- 6. NRC User Fees
- 7. NRC Authorizations
- 8. Inspector General Act of 1978, as Amended
- 9. Administrative Procedure Act e Subchapter II - Administrative Procedure e Subchapter III - Negotiated Rulernaking Procedure e Subchapter IV - Alternative Means to Dispute Resolution in the Adminis-trative Process e Chapter 6-The Analysis of Regulatory Functions e Chapter 7-Judicial Review e Chapter 8-Congressional Review of Agency Rulemaking Federal Advisory Cornmittee Act VOLUME 2
- 1. Commissioner Tenure e Tenure of AEC Commissioners
- Tenure of NRC Commissioners
- 2. NRC Appropriations
. Tabulation of NRC Appropriations by Fiscal Year
- 3. Chief Financial Officers Act of 1990
- 4. Information Technology Management Reform e Chief Information Officer
- 5. Federal Cisil Penalties s
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- 6. Paperwork Reduction Act of 1995
- 7. Low-Level Radioactive Waste Policy Amendments Act of 1985 (Title II--Compacts) e Northwest Interstate Compact on Low-Level Radioactive Waste Management Compact e Southeast Interstate Low-Level Radioactive Waste Managemer.t Compact e Central Midwest Interstate Low-Level Radioactive Waste Compact e Midwest Interstate Low-Level Radioactive Waste Management Compact e Rocky Mountain Low-Level Radioactiv,: Waste Management Compact e Nortivast Interstate Low-Level Radioactive Waste Management Compact
- 8. Appela.:hian States Low-Level Radioactive Waste Compact Consent Act (EL 100-319)
- 9. Southwestern Low-Level Radioactive Waste Disposal Compact Consent Act (EL 100-712)
- 10. Clean Air Act of 1977, as Amended (Selected Sections)
- 11. Federal Water Pollution Control Act of 1972 (Sect. 511)
- 12. National Environmental Policy Act of 1919
- 13. Ilazardous Materials Transportation Act, as amended
- 14. West Valley Demonstration Project Act
- 15. Nuclear Non-Proliferation and Export Licensing Statutes:
e Nuclear Non-Proliferation Act of 1978 (RL 95-242) e International Atomic Energy Agency Participation Act of 1957 and the Statute of the International Atomic Energy Agency (RL 85-177) e International Security Assistance and Arms Export Control Act of 1976 (RL 94-329) ; e International Security and Development Cooperation Act of 1980 (RL 96-533) , e International Security and Development Cooperation Act of 1981 ' (RL 97-113) e Conventio.. on the Physical Protection of Nuclear Material Implementation (RL 97-351) i
- 16. Miscellaneous: Selected Treaties, Agreements and Executive Orders !
- Nuclear Non-Proliferation Treaty e Convention on the Physical Protection of Nuclear Material '
e Convention on Early Notification of a Nuclear Accident
- Convention on Assistance in the Case of a Nuclear Accident or Radiological Emergency e Additional Protocol I to the Treaty for the Prohibition of Nuclear Weapons in l
Latin America
- United States List of Agreements for Peaceful Nuclear Cooperation vi 4
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I # MA e Agreements for Cooperation in the Use of Atomic Energy
- IAEA Supply Agreements
- Agreement between the United States and the International Atornic Energy Agency for the Application of Safeguards in the United States e Convention of the Prevention of Marine Pollution by Dumping of Wastes and Other Matters e Executive Order 10841 (re: International Atomic Energy Cooperation) e Executive Order 10956 (re: Amndt. to E.O.10841) e Executive Order 12058 (re: Functions Relating to Nuclear Non-Proliferation) e Executive Order 12658 (re: President's Commission on Catastrophic Nuclear Accidents) e Executive order 12730 (re: Continuation of Export Control Regulations) l
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l TENURE OF AEC COMMISSIONERS,1946-75 From To Remarks D vid E. Lilienthal, Chairman . . . . Nov.1,1946 Feb.15,1950 Resigned Robert E Bacher . . . . . . . . . . . . . . . Nov.1,1946 May 10,1949 Resigned Sumner T. Pike . . . . . . . . . . . . . . . . . Oct. 31,1947 Dec.15,1951 Resigned William W. Waymack . . . . . . . . . . . . Nov. 5,1946 Dee. 21,1948 - Resigned Lewis L. Strauss . . . . . . . . .. . . . . . . . Nov. 12,1946 Apr.15,1950 Pesigned Chairman . . . . . . . . . . . . . . . . . . . . July 2,1953 June 30,1958 Term expired lienry De Wolf Smyth . . . . . . . . . . . May 30,1949 Sept. 30,1954 Resigned Gordon Dean . . . . . . . . . . . . . . . . . . May 24,1949 June 30,1953 Term expired Chairman . . . . . . . . . . . . . . . . . . July 11,1950 June 30,1953 Thomas E. Murray . . . . . . . . . . . . . May 9,1950 June 30,1957 Term expired Thomas Keith Glennan . . . . . . . . . Oct. 2,1950 Nov.1,1952 Resigned Eugene M. Zuckert . . . . . . . . . . . . . Feb. 25,1952 June 30,1954 Term expired Joseph Campbell . . . . . . . . . . . . . . . July 27,1953 Nov. 30,1954 Resigned
' Willard E Libby . . . . . . . . . . . . . . Oct. 5,1954 June 30,1959 Resigned John Von Neumann . . . . . . . . . . . . . Mar. 15,1955 Feb.8,1957 Deceased llarold S. Vance . . . . . . . . . . . . . . Oct. 31,1955 Aug. 31,1959 Deceased l John S. Graham . . . . . . . . . . . . . . . . Sept. 12,1957 June 30,1962 Resigned John Forrest Floberg . . . . . . . . . . . Oct.1,1957 June 23, '960 Resigned John A. McCone, Chairman . . . . . July 14,1958 Jan.20,1961 Resigned John 11. Williams . . . . . . . . . . . . . . . Aug. 13,1959 June 30,1960 Resigned Robert E. Wilson . . . . . . . . . . . . . . . Mar. 22,1960 Jan,31,1964 Resigned Loren K. Olson . . . . . . . . . . . . . . . June 23,1960 June 30,1962 Term expired Glenn T. Seaborg, Chairman . . . . . Mar.1,1961 Aug.16,1971 Resigned Lelind J. IIaworth . . . . . . . . . . . . . . Apr. 17,1961 June 30,1963 Resigned i
John G. Palfrey . . . . . . . . . . . . . . . . . Aug. 31,1962 June 30,1966 Resigned ) l James T. Ramey . . . . . . . . . . . . . . . . Aug. 31,1962 June 30,1963 Term expired l Gerald E Tape . . . . . . . . . . . . . . . . July 15,1963 Apr. 30,1969 Resigned Mary I. Bunting . . . . . . . . . . . . . . . June 29,1964 June 30,1965 Term expired Wilfrid E. Johnson . . . . . . . . . . . . . . Aug.1,1966 June 30,1972 Term expired Simuel M. Nabrit .............. Aug.1,1966 Aug.1,1967 Resigned l Francesco Costagliola . . . . . . . . . . . Oct.1,1968 June 30,1969 l'erm expired Theos J. Thompson . . . . . . . . . . . . . June 12,1969 Nov. 25,1970 Deceased Clarence E. Larson . . . . . . . . . . . . . Sept. 2,1969 June 30,1974 Term expired James R. Schlesinger, Chairman . . Aug. 17,1971 Feb.5,1973 Resigned William O. Doub . . . . . . . . . . . . . . . Aug. 17,1971 Aug.17,1974 Resigned l Dixy Lee Ray 1 . . . . . . . . . . . . . . . . . Aug. 8,1972 Jan.19,1975 AEC l abolished Chairman .................. Feb.6,1973 Jan.19,1975 Wiiliam E. Kriegsman . . . . . . . . . . . June 12,1973 Dec. 31,1974 Resigned
- William A. Anders . . . . . . . . . . . . . Aug. 6,1973 Jan.19,1975 AEC l abolished William A. Anders, Chairman . . . . Jan. 19,1975 Apr. 20,1976 Resigned Chairman . . . . . . . . . . . . . . . . . . Apr. 21,1976 June 30,1977 Term Expired 1 Designated Chairman, Feb. 6,1973.
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N TENURE OF NRC COMMISSIONERS,1975 - PRESENT From To Remarks i Marcus A. Rowden, Chairman ..Jan.19,1975 June 30,19771 Term Expired Edward A. Mason . . . . . . . . . . . . . Jan. 19,1975 Jan.15,1977 Resigned Victor Gilinksy ......... ...... Jan.19,1975 June 30,1984 Term Expired
.Uchard T. Kennedy ............Jan.19,1975 June 30,1980 Term Expired Joseph M. Hendrie, Chairman . . . . Aug. 9,1977 Dec. 7,19792 t Commissioner . . . . . . . . . . . . . . Dec. 8,1979 Mar. 2,1981 l Chairman . . . . . . . . . . . . . . . . . . . Mar. 3,1981 June 30,19813 Term Expired Peter A. Bradford . . . . . . . . . . . . . . . Aug. 15,1977 Mar.12,1982 Resigned l John E Ahearne . . . . . . . . . . . . . . July 31,1978 Dec. 7,1979 Chairman . . . . . . . . . . . . . . . . . . Dec. 7,1979 Mar. 2,19814 Commissioner . . . . . . . . . . . . . . . Mar. 3,1981 June 30,19835 Term Expired Nunzio J. Palladino, Chairman . . . . July 1,1981 June 30,1986 Term Expired Thomas M. Roberts . . . . , . . . . . . . . Aug. 3,1981 June 30,19906 Term Expired James K. Asselstine . . . . . . . . . . . . . .May 17,1982 June 30,19827 i July 1,1982 June 30,1987 Term Expired Frederick M. Bernthal . . . . . . . . . . Aug. 4,1983 June 30,19888 Term Expired Lando W. Zech, Jr. . . . . . . . . . . . . . . July 5,1984 June 30,1989 Term Expired Chairman .. ............. July 1,1986 June 30,1989 Term Expired Kenneth M. Carr . . . . . . . . . . . . . . . Aug. 14,1986 June 30,19919 Term Expired )
Kenneth Rogers . . . . . . . . . . . . . . . Aug. 7,1987 June 30,199210 Term Expired James R. Curtiss . . . . . . . . . . . . . . . . Oct. 20,1988 June 30,1993 Term Expired Forrest J. Remick . . . . . . . . . . . . . . . Dec.1,1989 June 30,1994 Term Expired Ivan Selin, Chairman . . . . . . . . . . July 1,1991 June 30,199611 Term Expired E. Gail de Planque . . . . . . . . . . Dec. 16,1991 June 30,1995 Term Expired Shirley A. Jackson Commissioner . . . . . . . . . . . . . May 2,1995 June 30,1995 Chairman . . . . . . . . . . . . . . . . . . July 1,1995 June 30,1999 Term Expires Greta J. Dieus . . . . . . . . . . . . . . . . . . February 15,1996 June 30,1998 Nils J. Diaz . . . . . . . . . . . . . . . . . . . . August 23,1996 June 30,2001 Edward McGaffigan, Jr. . . . . . . . . . August 28,1996 June 30,2000 10n April 21,1976, Marcus A. Rowden assumed the Chairmanship. 2On Dec. 7,1979. Joseph M. liendrie vacated the Chairmanship but remained as a Commissioner. 3On Mar. 3.1981, Joseph M. Hendrie resumed the Chairmanship. don Dec. 7,1979, John E Ahearne assumed the Chairmanshi . , 50n Mar. 3,1981, John E Ahearne vacated the Chairmansh but remained as a Commissioner. { EFirst term expired on June 30,1985; Thomas Roberts took ath of Office for second term on July 12,1985. , 7 James K. Asselstme completed Peter A. Bradford's term and was appointed to full five-year term. ! GOn June 28,1984, Lando W. Zech, Jr. was nominated by the President. He received a recess appointment onJuly 3, 1984, and took office on July 5.1984. On January 3.1985, the President resubmitted the nommation to the 99th j Congress for a full five-year appointment. The Senate subsequently confirmed the nomination and he took office ' for the fuD five-year term on March 6,1985. On July 1.1986. Lando W. Zech, Jr. assumed the Chairmanship.
' 9Kenneth M. Carr served as Commissioner from Aug. 14,1986 to June 30,1989, then assumed Chairmanship from July 1,1989 to June 30,1991.
10Kenneth C. Rogers served as Commissioner from Aug. 7,1987 to June 30,1992 was reappointed as Commissioner from July 1,1992 to June 30.1997. 1110tn Selin resigned June 30,1995. tx 1 I i l L 5
g L / NOMINATED, NOT CONFIRMED George Murphy,1976 Kent lianson,1977 Albert Carnesale,1980 x I u./ 1 t
l NRC APPROPRIATIONS PAGE USC 42 USC Sec. P.L-105-62 . . ....... . ... ..... . . 2. .... ........ . P.L-104 206 . . . . .... . . ... .. 3 . ... .. ..... . . P.L-104-46 . . . . . . . . .... . .. .. .. .. 3 ... . . ...... . P.L-103 316 . . . . . . .... ... .. .. ... ..6. . . ..... . 5801 P.L-103-126 . .. .. .. .... .. . . ...... . 8.. .. ..... .5801 P.L-102-377 . . . . . . . . .... . . ......S...... .. .. ... P.L-102104 . .. ... . . .... ... ....11.............. i P.L 101 514 . . . . . . . . . . . . . . . .........,.12... .... P.L-101-101. . . .... .. . ..... . 13 . . . . . . . .. I P.L.-100-371. . . .. . .. . ........... . 15 .... . .. . P.L-iOO-202 .. .. . .... .... .... ..t7.. .... .. .. P.L-99-591 .. .. .. . ...............20,. l
.. . . j P.L-99-500 . . . . . ... .... .. . . ... 22..... .. . .... ...
P.L-99-141 . .. .. .... . ... . . 25 .... . .... . 5801, note , P.L-98-360 . . . .. ...... ... .. . . . 26 . .... . 5801 1 P.L-98-50' . . . . . . . . . . . . .... .. . .26...... ... . 5801, note P.L-97-377 . . . . ... . . ...... ... . 27 . . ... . . .. P.L-97-88 .. .. ... ... ....... . 29... . .. . . 5801, l note P.L-96-367 .........................30... . 5801, note P.L-96-304 . .. .... .... . . .. . . . . . 32 . . . ........ P.L-96-69 . . . . . .. .. .. .. .. .. . .34.. . ....... 5801 l P.L-95-482 . . . . . . . . . .... . . . . . . . 35 . . . . .. . . .. . l i P.L-95-355 . . . . . . . . . . . . . ......... . 35. . .... . .... . ' i P.L-95-96 .... .... .... .. . . . ... 36... .. . . .. 5801 ' P.L-95-26 . .. ....... .. ... . .....37........ . .. P.L-94-355 ..., .. ............. .... . 37 . . . . . . . . . . , 5801 P.L-94-180 . . . . . . . .. . . .... . . . 38 . . ..... 5801 P.L 94 32 . ........ .. ........ .. . . .40. ... .. . ...... . - Tabulation of Nuclear Regulatory Commission Appropriations by FY , . . . . . . ......... 42.... .... .. i i i i i I l 1
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Public Law 105-62 111 Stat.1337 ENERGY AND WATER DEVELOPMENT APPROPRIATIONS ACT,1998 October 13,1997 NUCLEAR REGULATORY COMMISSION SAiARIES AND EXPENSES (INCLUDING TRANSFER OF FUNDS) For necessary expenses of the Commission in carrying out the pur-poses of the Energy Reorganization Act of 1974, as amended, and the Atomic Energy Act of 1954, as amended, including the employment of aliens; services authorized by 5. U.S.C. 3109; publication and dissemi-nation of atomic information; purchase, repair, and cleaning of uni forms; official representation expenses (not to exceed $20,000); reim-bursements to the General Services Administration for security guard services; hire of passenger motor vehicles and aircraft, $468,000,000, to remain available until expended: Provided, That of the amount appro-priated herein, $15,000,000 shall be derived from the Nuclear Waste Fund: hovidedfunher, That from this appropriation, transfers of t.ums may be made to other agencies of the Government for the performance of the work for which this appropriation is made, and in such cases the j sums so transferred may be merged with the appropriation to which transferred: Providedfunher, That moneys received by the Commission for the cooperative nuclear safety research program, services rendered to State governments, foreign governments and international organiza-l tions, and the material and information access authorization programs, l including criminal history checks under section 149 of the Atomic Ener-gy Act may be retained and used for salaries and expenses associated with those activities, notwithstanding 31 U.S.C. 3302, and shall remain available until expended: Providedfunher, That revenues from licensing fees, inspection services, and other services and mllections estimated at
$450,000,000 in fiscal year 1998 shall be retained and used for necessary salaries and expenses in this account, notwithstanding 31 U.S.C. 3302, j , and shall remain available until expended: hovided funher, That
! $3,000,000 of the funds herein appropriated for regulatory reviews and other assistance provided to the Department of Energy and other Fed-eral agencies shall be excluded from license fee revenues, notwithstand-ing 42 U.S.C. 2214: Providedfunher, That the sum herein appropriated shall be reduced by the amount of revenues received during fiscal year 1998 from licensing fees, inspection services and other services and collections, excluding those moneys received for the cooperative nu-l- clear safety research program, services rendered to State governments, foreign governments and international organizations, and the material - and information access authorization programs, so as to result in a final fiscal year 1998 appropriation estimated at not more than $18,000,000. l 2 I7
OFFICE OFINSPEC1DR GENERAL (INCLUDING TRANSFER OF FUNDS) For necessan expenses of the Office ofIn',pecw General in carrying out the provisions of the Inspector Genertti Act of 1978, as amended, including services authorized by 5 U.S.C. 3109, $4,800,000, to ren.ain available until expended; and in addition, an amount not to exceed 5 percent of this sum may be transferred from Salaries and Expenses, Nuclear Regulatory Commission: hovided, That notice of such trans-fers shall be given to the Committees on Appropriations of the House of Representatives and Senate: havidedfunher, That from this ap-propnation, transfers of sums may be made to other agencies of the Government for the performance of the work for which this appropri-ation is made, and in such cases the sums so transferred may be merged with the appropriation to which transferred: Providedfunher, That rev-enues from licensing fees, inspection services, and other services and collections shall be retained and used for necessan salaries and ex-penses in this account, notwithstanding 31 U.S.C. 3302, and shall re-main available until expended: novidedfunher; That the sum herein appropriated shall be reduced by the amount of revenues received during fiscal year 1998 from licensing fees, inspection services, and other services and collections, so as to result in a final fiscal year 1998 appropriation estimated at not more that $0. Public Law 104-206 110 Stat. 3000 l ENERGY AND WATER DEVELOPMENT l APPROPRIATIONS ACT,1997 September 30,1996 NUCLEAR REGULATORY COMMISSION SALARIES AND EXPENSES (INCLUDING TRANSFER OF FUNDS) For necessary expenses of the Commission in carrying out the pur-poses of the Energy Reorganization Act of 1974, as amended, and the Atomic Energy Act of 1954, as amended, including the employment of aliens; services authorized 45 U.S.C. 3109; publication and dissemina-tion of atomic information; purchase, repair, and cleaning of uniforms; official representation expenses (not to exceed $20,000); reimburse-ments to the General Services Administration for security guard ser-vices; hire of passenger motor vehicles and aircraft, $471,800,000, to remain available until expended: Provided, That of the amount appro-priated herein, $11,000,000 shall be derived from the Nuclear Waste Fund: Providedfunher, That from this appropriation, transfer of sums may be made to other agencies of the Government for the performance of the work for which this appropriation is made, and in such cases the sums so transferred may be merged with the appropriation to which 3 m
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i l transferred: Providedfunher; That moneys received by the Commission for the cooperative nuclear safety research program, services rendered ! to foreign governments and international organizations, and the mate-rial and information access authorization programs, including criminal history checks under sectioc 149 of the Atomic Energy Act may be retained and used for salaries and expenses associated with those activ-ities, notwithstanding 31 U.S.C. 3302, and shall remain available until expended: Provid;dfunher, That revenues from licensing fees,inspec- ' tion services, and other services and collections estimated at
$457,300,000 m fiscal year 1997 shall be retained and used for necessary salaries and cxpenses in this account, notwithstanding 31 U.S.C. 3302, and shall remain available until expended: Providedfunher, That the fre .is herein appropriated for regulatory reviews and other activities
- pertaining to waste stored at the Hanford site, Washington, shall be !
excluded from licensee fee revenues, notwithstanding 42 U.S.C. 2214: l Providedfunher, That the sum herein appropriated shall be reduced by l the amount of revenues received during fiscci vear 1997 from licensing 4 fees, inspection services and other services and collections, excluding those moneys received for the cooperative nuclear safety research pro-gram, services rendered to foreign governments and international or- i ganizations, and the material and information access authorization programs, so as to result in a final fiscal year 1997 appropriation esti-mated at r:ot more than $14,500,CX). OFFICE OF INSPUJIUR GENERAL (INCLi!DINC TRANSFER OF FUNDS) For necessary expenses of the Office of Inspector General in carrying out th9 provisions of the inspector General Act of 1978, as amended, in,ludmg servim euthorized by 5 U.S.C. 3109, $5,000,000, to remain available urail exp:nded; and in addition, an amount not to exceed 5 f percent of ti.is m:n may be transferred from Salaries and Expenses, l Notice Nuclear Regulatory Commission: Provided, That notice of such ' transfers shall be given to the Committees on Appropriations of the House and Seruae: Provided funher, That from this appropriation, transfers of sums may be made to other agencies of the Government for the performance of the work for which this appropriation is made, and I in such cases the sums so transferred may be merged with the ! appropdation to which transferred: Provided funher, That revenues from licensing fees, inspection services, and other services and ! collections shall be retamed and used for necessary salaries and expenses in this account, notwithstanding 31 U.S.C. 3302, and shall remain available until expended: Providedfunher. That the sum herein appropriated shall be reduced by the amount of revenues received i during fiscal year 1997 from licensing fees, inspection sersices, and other services and collections, so as to result in a final fiscal year 1997 appropriation estimated at not more than $0. 4 j{ l l 1 l l r l l 1
Public Law 164-4f. 109 Stat. 417 ENERGY AND WATER DEVELOPMENT APPROPRIATIONS ACT,1996 . November 13,1995 NUCI! EAR REGULATORY COMMISSION SALARIES AND EXPENSF.S (INCLUDING TRANSFER OF FUNDS) For necessary expenses of the Commission in carrying out the pur-poses of the Energy Reorganization Act of 1974, as amended, nr.d the Atomic Energy Act of 1954, as amended, including the employment of aliens; senices authorized by section 3109 of title 5, United States Code; publication and dissemination of atomic information; purchase, repair, and cleaning of uniforms, official representation expenses (not to exceed $20,000); reimbursement 4 to the General Services Adminis-tration for security guard services; hire of passenger motor vehicle = and aircraft, $468,300,000, to r: main available until expended, of which
$11,000,000 shall be de:ived from the Nuclear Waste Fund: Provided, That from this appropriation, transfer of sums may be made to other agencies of the Government for the performance of the work for which this appropriation is made, and in such cases the sums so transferred may be merged with the appropridion to which transferred: Provided funher, That moneys received by the Commission for the cooperative j l
nuclear safety research program, senices rendered to foreign govern-
- ments and international organizations, and the material and infrma-I tion access authorization programs, including criminal history checks under section 149 of the Atomic Energy Act of 1954, as amended, may be retained and used for salaries and expenses associated with those activities, notwithstanding 31 U.S.C. 3302, and shall remain available until expended
- Providedfunher, That revenues from licensing fees, inspection services, and other senices and collections estimated at
$457,300,000 in fiscal year 1996 shall be retained and used for necessary i
salaries and expenses int his account, notwithstanding 31 U.S.C. 3302, and shall remain available until expended: Ibvidedfunher, That the sum herein appropriated shall be reduced by the amount of revenues received during fiscal year 1996 from licensing fees, inspection services and other services and collections, excluding those moneys received for 6 the cooperative nuclear safety research prograrr, services rendered to foicign governments and international orpnintions, and the material and information access authorization prog. in so as to result in a final fiscal year 1996 appropriation estimated a a m.sre than $11,000,000. OTFICE OF JNSPECTOR GENERAL (INCLUDING TRANSFER OF FUNDS) For necessary expenses of the Office ofInspector General in carrying out the provisions of the Inspecto.r General Act of 1978, as amended, j i i 5
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, including services authorized by section 3109 of title 5, United States Code, $5,000,000, to remain available until expended; and in addition, an amount not to exceed 5 percent of this sum may be transferred from Salaries and Expenses, Nuclear Regulatory Commission: Provided, Notice That notice of such transfers shall be given to the Committees on Appropriations of the House and Senate: Providedfunher, That from this appropriation, transfers of sums may be made to other agencies of the Government for the performance of the work for which this-appropriation is made, and in such cases the sums so transferred may be merged with the appropriation to which transferred: IYoridedfunher, That revenues from licensing fees, inspection services, and other services and collections shall be retained and used for necessary salaries and expenses in this account, notwithstanding 31 U.S.C. 3302, and shall remain available until expended: IYovidedfunher, That the sum herein appropriated shall be reduced by the amount of revenues received durmg fiscal year 1996 from licensing fees, inspection services, and other services and collections, so as to result in a final fiscal year 1996 appropriation estimated at not more than $0.
Public Law 103-316 108 Stat.1721 ENERGY AND WATER APPROPRIATIONS ACT,1995 August 26,1994 NUCLEAR REGULATORY COMMISSION SALARIES AND EXPENSES (INCL,UDING TRANSFER OF FUNDS) For necessary expenses of the Commission in carrying out the pur-poses of the Energy Reorganization Act of 1974, as amended, and the Atomic Energy Act of 1954, as amended, including the employment of aliens; services authorized by section 3109 of title 5, United States Code; publication and dissemination of atomic information; purchase, repair, and cleaning of uniforms, official representation expenses (not ; to exceed $20,000); reimbursements to the General Services Adminis- ! tration for security guard services; hire of passenger motor vehicles and l aircraft, $520,501,000, to remain available until expended, of which j
$22,000,000 shall be derived from the Nuclear Waste Fund:IYovided, That from this appropriation, transfer of sums may be made to other agencies of the Government for the performance of the work for which i this appropriation is made, and in sucia cases the sums so transferred may be merged with the appropriation to which transferred: Provided funher, That moneys received by the Commiuhn for the cooperative nuclear safety rescarch program, services rendered to foreign govern-ments and international organizations, and the material and informa-tion access authorization programs, including criminal history checks under section 149 of the Atomic Energy Act of 1954, as amended, may j 6
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be retained and used for salaries and experses associated with those I activities, notwithstanding the provisions elsection 3302 of title 31, I United States Code, and shall remain ava'iable until expended: Ito-vided funher, That revenues from licens'ng fees, inspection services, and other senices and collections estimated at $498,501,000 in tiscal year 1995 shall be retained and used for necessary salaries and expt, tses j in this account, notwithstanding the provisions of section 3302 ci title 31, United States Code, and shall remain available until expended: Itoridedfunher, That the sum herein appropriated shall be reduced by the amount of revenues received during fiscal year 1995 from licensing fees, inspection services and other services and collections, excluding those moneys received for the cooperative nuclear safety research pro-gram, services rendered to foreign governments and international or- { ganizations, and the material and information access authorization ' programs, so as to result in a final fiscal year 1995 appropriation esti-mated at not more than $22,000,000. OFFICE OFINSPECTOR GENERAL (INCLUDING TRANSFER OF FUNDS) For necessary expenses of the Office of Inspector General in carrying out the provisions of the Inspector General Act of 1978, as amended, including senices authorized by section 3109 of title 5, United States Code, $5,080,000, to remain available until expended; and in addition, an amount not to exceed 5 percent of this sum may be transferred from Salaries and Expenses, Nuclear Regulatory Commission: Itorided, 1 That notice of such transfers shall be given to the Committees on Appropriations of the Ilouse and Senate. Itoridedfunher, That from this appropriation, transfers of sums may be made to other agencies of i l the Government for the performance of the work for which this ap- . propriation is made, and in such cases the sums so transferred may be l merged with the appropriation to which transferred: Providedfunher, ; That revenues from licensing fees, inspection senices, and other ser-vices and collections shall be retained and used for necessary salaries and expenses in this account, notwithstanding the provi: ions of section 3302 of title 31, United States Code, and shall remain available until i expended: Providedfunher, That the sum herein appropriated shall be reduced by the amount of revenues received during fiscal year 1995 l from licensing fees, inspection services, and other senices and collec-l tions, so as to result in a final fiscal year 1995 appropriation estimated at not more than $0. I h i 7 - s/7
Public Law 103-126 107 Stat.1332 October 28,1993 NUCLEAR REGUIATORY COMMISSION SAIARIES AND EXPENSES (Including Transfer of Funds) ENERGY AND WA1TR DEVELOPMENT APPROPRIA110NS ACT,1994 For necessary expenses of the Commission in carrying out the pur-poses of the Energy Reorganization Act of 1974, as amended, and the Atomic Energy Act of 1954, as amended, including the employment of aliens; services authorized by section 3109 of title 5, United States Code; publication and dissemination of atomic information; purchase, repair, and cleaning of uniforms, official representation expenses (not to exceed $20,000); reimbursements to the General Services Adminis-tration for security guard services; hire of passenger motor vehicles and aircraft, $542,900,000, to remain available until expended, of which
$22,000,000 shall be derived from the Nuclear Waste Fund: Provided, That from this appropriation, transfer of sums may be made to other agencies of the Government for the performance of the work for which this appropriation is made, and in such cases the sums so transferred may be merged with the appropriation to which transferred: Provided further, That moneys received by the Commission for the cooperative :
nuclear safety research program, services rendered to foreign govern-ments and international organizations, and the material and informa-
)
tion access authorization programs, including criminal history checks t under section 149 of the Atomic Energy Act of 1954, as amended, may be retained and used for salaries and expenses associated with those
. activities, notwithstanding the provisions of section 3302 of title 31,
- United States Code, and shall remain available until expended
- Pro-l videdfunher, That revenues from licensing fees, inspection sesvices, and
! other services and collections estimated at $520,900,000 in fiscal year l 1994 shall be retained and used for necessary salaries and expenses in l this account, notwithstanding the provisions of section 3302 of title 31, United States Code, and shall remain available until expended: Pm-i videdfunher, That the sum herein appropriated shall be reduced by the { amount of n. venues received during fiscal year 1994 from licensing fees, j inspection services and other services and collections, excluding those i moneys received for the cooperative nuclear safety research program, services rendered to foreign governments and international organiza-tions, and the material and information access authorization programs, ; so as to result in a final fiscal year 1994 appropriation estimated at not more than $22,000,000. OFFICE OFINSPECTOR GENERAL (INCLUDING 11tANSFER OF FUNDS) For necessary expenses of the Office ofInspector General in carrying out the provisions of the Inspector General Act of 1978, as amended, i
including services authorized by section 3109 of title 5, United States Code, $4,800,000 to remain available until expenaed; and in addition, an amount not to exceed 5 percent of this sum may be transferred from Salaries and Expenses, Nuclear Regulatory Commission: Provided, That notice of such transfers shall be given to the Committees on
' Appropriations of the llouse and Senate: Providedfunher, That from this appropriation, transfers of sems may be made to other agencies of . the Government for the performance of the work for which this ap-propriation is made, and m such cases the sums so transferred may be merged with the ap; copriation to which transferred: Providedfunher, That revenues from licensing fees, inspection services, and other ser- l vices and collections shall be retained and used for necessary salaries ,
f and expenses in this account, notwithstanding the provisions of section 1 3302 of title 31, United States Code, and shall remain available until expended: Providedfunher, That the sum herein appropriated shall be reduced by the amount of revenues received during fiscal year 1994 from licensing fees, inspection services, and other services and collec-tions, so as to result in a final fiscal year 1994 appropriation estimated at not more than $0. Public Law 102-377 106 Stat.1340 October 2,1992 NUCLEAR REGUIATORY COMMISSION SALARIES AND EXPENSES (Induding Transfer of Funds) j For necessary expenses of the Commission in carrying out the pur- i poses of the Energy Reorganization Act of 1974, as amended, and the , Atomic Energy Act of 1954, as amended, including the employment of I aliens; services authorized by section 3109 of title 5, United States Code; publication and dissemination of atomic information; purchase, i repair, and cleaning of uniforms, official representation expenses (not to exceed $20,000); reimbursements to the General Services Adminis-tration for security guard services; hire of passenger motor vehicles and aircraft, $535,415,000, to remain available until expended, of which
$21,100,000 shall be derived from the Nuclear Waste Fund: Provided, That from this appropriation transfer of sums may be made to other agencies of the Government for the performance of the work for which this appropriation is made, and in such cases the sums so transferred may be merged with the appropriation to which transferred: Provided funher, That moneys received by the Commission for the cooperative !
nuclear safety research program, services rendered to foreign govern-ments and international organizations, and the material and informa-tion access authorization programs, including criminal history checks under section 149 of the Atomic Energy Act of 1954, as amended, may be retained and used for salaries and expenses associated with those 9 ,
/$ '
activities, notwithstanding the provisions of section 3302 of title 31, United States Code, and shall remain available until expended: Pro-videdfunher, That revenues from licensing fees, inspection services, and other services and collections estimated at $514,315,000 in fiscal year 1993 shall be retained and used for necessary salaries and expenses in this account, notwithstanding the provisions of section 3302 of title 31, United States Code, and shall remain available until expended: IYo-videdfunher, That the sum herein appropriated shall be reduced by the amount of revenues received during fiscal year 1993 from licensing fees, inspection se vices and other services and collections, excluding those moneys received for the cooperative nuclear safety research program. services rendered to foreign governments and international organiza-tions. and the material and information access authorization programs, so as to result in a final fiscal year 1993 appropriation estimated at not more than $7.1,l' 1000. OfTICE OF INSPECIVR GENERAL (locluding Transfer of Funds) For necessary expenses of the Office ofInspector General in carrying out the provisions of the Inspector General Act of 1978, as amended, including services authorized by section 3109 of title 5, United States Code, $4,585,000 to remain available until expended; and in addition, an amount not to exceed 5 percent of this sum may be transferred from Salaries and Expenses, Nuclear Regulatory Commission: IYorided, That notice of such transfers shall be given to the Committees on Appropriations of the House and Senate: IYoridedfunher, That from this appropriation, transfers of sums may be made to other agencies of the Government for the performance of the work for which this ap-propriation is made, and in such cases the sums so transferred may be merged with the appropriation to which transferred: Providedfunher, l That revenues from licensing fees, inspection services, and other ser-vices and collections shall be retained and used for necessary salaries ! and expenses in this account, notwithstanding the provisions of section ! 3302 of title 31, United States Code, and shall remain avai!able until l expended: 1Yovidedfunher, That the sum herein appropriated shall be l reduced by the amount of revenues received during fiscal year 1993 from licensing fees, inspection services, and other services and collec- ! tions, so as to result in a final fiscal year 1993 appropriation estimated at l not more than 50. l t l 10 g) J 1 i
Public Law 102-104 105 Stat. 534 August 17,1991 NUCLEAR REGULATORY COMMISSION SALARIES ANDEXPENSES (including 'kmaster of Funds) l For necessary expenses of the Commission in carrying out the pur- { poses of the Energy Reorganization Act of 1974, as amended, and the Atomic Energy Act of it954, as amended, including the employment of aliens; services authorized by section 3109 of title 5, United States Code; publication and dissemination of atomb information; purchase, repair, and cleaning of uniforms, official representation expenses (not to exceed $20,000); reimbursements to the General Services Adminis- - tration for security guard services; hire of passenger motor vehicles and aircraft, $508,810,000, to remain available until expended, of which
$19,962,000 shall be derived from the Nuclear Waste Fund: Provided,
! That from this appropriation, transfer of sums may be made to other agencies of the Government for the performance of the work for which this appropriation is made, and in such cases the sums so transferred may be merged with the appropriation to which transferred: Provided further, That moneys received by the Commission for the cooperative I c.uclear safety research program, services rendered to foreign govern- l ments and international organizations, and the material and informa-l tion access authorization programs, including criminal history checks under section 149 of the Atomic Energy Act of 1954, as amended, may l be retained and used for salaries and expenses associated with those . activities, notwithstanding the provisions of section 3302 of title 31, i l United States Code, and shall remain available until expended: Pro- ! ' l videdfurther, That revenues from licensing fees, inspection services, and l other services and collections estimated at $488,848,000 in fiscal year j 1992 shall be retained and used for necessary salaries and expenses in this account, notwithstanding the provisions of section 3302 of title 31, I United States Code, and shall remain available until expended: Pm-l videdfurther, That the sum herein appropriated shall be reduced by the amount of revenues received during fiscal year 1992 from licensmg fees, j inspection services, and other services and collections, escluding those moneys received for the cooperative nuclear safety research program, services rendered to foreign governments and international organiza-tions, and the material and information axess authorization programs, , so as to result in a fmal fiscal year 1992 appropriation estimated at not l more than $19,962,000. OFFICE OF INSPECTOR GENERAL (Including 'lhaasfer of hands) , For necessary expenses of the Office ofInspector General in carrying l out the provisions of the Inspector General Act of 1978, as amended, 11 - J/
including services authorized by section 3109 of title 5, United States Code, $3,690,000, to remain available until expended; and in' addition, an amount not to exceed 5 percent of this sum may be transferred from Salaries and Expenses, Nuclear Regulatory Commission: Provided, That notice of such transfers shall be given to the Committees on Appropriations of the liouse and Senate: Providedfunher, That from this appropriation, transfers of sums may be made to other agencies of the Government for the performance of the work for which this ap. 1 propriation is made, and m such cases the sums so transferred may be merged with the appropriation to which transferred: IYoridedfunher, That revenues from licensing fees, inspection services, and other ser. vices and collections shall be retained and used for necessary salaries and expenses in this account, notwithstanding the provisions of section - > 3302 of title 31, United States Code, and shall remain available until expended: Providedfmther, That the sum herein appropriated shall be reduced by the amount of revenues received during fiscal year 1992 from licensing fees, inspection services, and other services and collec-tions, so as to resalt in a final fiscalyear 1992 appropriation estimated at not more than $0. Public Law 101-514 104 Stat. 2074 ENERGY AND WATER DEVELOPMENT APPROPRIATIONS ACT,1991 November 5,1990 NUCLEAR REGULATORY COMMISSION SALARIES AND EXPENSES (Induding Transfer of Funds) For necessary expenses of the Commission in carrying out the pur-poses of the Energy Reorganization Act of 1974, as amended, and the i Atomic Energy Act, as amended, including the employment of aliens; ! services authorized by section 3109 of title 5, United States Code; publication and dissemination of atemic information; purchase, repair, and cleaning of uniforms, official representation expenses not to ex-ceed $20,000); reimbursements to the General Services Adm(mistration for security guard services; hire of passenger motor vehicles and air-craft, $461,320,000, to remain available until expended,' of which
$19,650,000 shall be derived from the Nuclear Waste Fund: hovided, That from this appropriation, transfer of sums may be made to other agencies of the Government for the performance of the work fo which this appropriation is made, and in such cases the sums so tram ferred may be merged with the appropriation to which transferred: Provided funher, That moneys received by the Commission for the cooperative 12
) ,
nuclear safety research program, services rendered to foreign govere- ) ments and international organizations, and the material and informa- j tion access authorization programs, including criminal history checks under section 149 of the Atomic Energy Act of 1954, as amended, may be retained and used for salaries and expenses associated with those activities, notwithstanding the provisions of section 3302 of title 31, United States Code, and shall remain available until expended: Pro-videdfunher, That revenues from licensing fees, inspection ser ices, and other services and collections estimated at $153,450,000 in fiscal year 1991 shall be retained and used for necessary salaries and expenses in this account, notwithstanding the provisions of section 3302 of title 31, United States Code, and shall remain available until expended: Providedfunher, That the sum herein appropriated shall be reduced by j the amount of revenues received during fiscal year 1991 from licensing ! fees, inspection services and other services and collections, and from the Nuclear Waste Fund, excluding those moneys received for the coop-erative nuclear safety research program, services rendered to foreign governments and international organizations, and the material and information aaess authorization programs, so as to result in a final fiscal year 1991 appropriation estimated at not more than
$307,870,000.
OFFICE OFINSPELTOR GENERAL (Including Treasier of Funds) For necessary expenses of the Office ofInspector General in carrying out the provisions of the inspector General Act of 1978, as amended,
- including services authorized by 5 U.S.C. 3109, $3,680,000, to remain ,
i available until expended; and in addition, not to exceed 5 percent of this I sum may be transferred from Salaries and Expenses, Nuclear Regulato-ry Commission: Provided, That notice of such transfers shall be given to the Committees on Appropriations of the llouse and Senate: novided
- funher, That from this appropriation, transfers of sums may be made to
! other agencies of the Government for the performance of the work for l which this appropriation is made, and in such cases the sums so trans-ferred may be merged with the appropriation to which transferred. l s Public Law 101-101 103 Stat. 641 . ENERGY AND WATER DEVELOPMENT l APPROPRIATIONS ACT,1990 l-September 29,1989 NUCLEAR REGULATORY COMMISSION SALARIES AND EXPENSES For necessary expenses of the Commission in carrying out the pur-poses of the Energy Reorganization Act of 1974, as amended, and the o0)
Atomic Energy Act, as amended, including the employment of aliens; services authorized by section 3109 of title 5, United States Code; , publication and dissemination of atomicinformation; purchase, repair, l and cleaning of uniforms, official representation expenses (not to ex- l ceed $20,000); reimbursements to the General Services Administration j for security guard services; hire of passenger motor vehicles and air- ! craft, $442,100,000, to remain available until expended, of which l
$23,195,000 shall be derived from the Nuclear Waste Fund: Provided, That from this appropriation, transfer of sums may be made to other agencies of the Government for the performance of the work for which this appropriation is made, and in such cases the sums so transferred may be merged with the appropriation to which transferred: horided further, That moneys received by the Commission for the cooperative nuclear safety research program, services rendered to foreign govern-rnents and international organizations, and the material and informa-tion access authorization programs, including criminal history checks under section 149 of the Atomic Energy Act, as amended, may be ,
retained :md used for salaries and expenses associated with those activ- i ities, notwithstanding the provisions of section 3302 of title 31, United ' States Code, and shall remain available until expended: novidedfur-ther, That revenues from licensing fees, inspection services, and other services and collections estimated at $146,850,000 in fiscal year 1990 shall be retained and used for necessary salaries and expenses in this account, notwithstanding the provisions of section 3302 of title 31, United States Code, and shall remain available until expended: Pro-videdfunher, That the sum herein appropriated shall be reduced by the amount of revenues received during fiscal year 1990 from licensing fees, inspection services and other services and collections, and from the Nuclear Waste Fund, excluding those moneys received for the coop-erative nuclear safety research program, services rendered to foreign , governments and international organizations, and the material and I information access authorization programs, so as to result in a final fiscal year 1990 appropriation estimated at not more than
$295,250,000.
OfTICE OFINSPELTOR GENERAL For necessary expenses of the Office ofInspector General in carrying l l out the provisions of the Inspector General Act of 1978, as amended, l including sersices authorized by 5 U.S.C. 3109, $2,900,000, to remain available until expended; and in addition, not to exceed 5 percent of this sum may be transferred from Salaries and Expenses, Nuclear Regulato-ry Commission: hovided, That notice of such transfers shall be given to the Committees on Appropriations of the House and Senate: horided funher, That from this appropriation, transfer of sums may be made to l other agencies of the Government for the performance of the work for which this appropriation is made, and in such cases the sums so trans-ferred may be merged with the appropriation to which transferred.
,~.,,
14 M l
OFFICE OF T11E NUCLEAR WASTE NEGOTIATOR SALARIES AND EXPENSES For necessary expenses of the Office of the Nuclear Waste Negotia-tor, as authori?cd by Public Law 100-203, section 411, $2,000,000, to be derived from the Nuclear Waste Fund and to remain available until expended. NUCLEAR WASTE TECHNICAL REVIEW BOARD SALARIES AND EXPENSES ! For necessary expenses of the Nuclear Waste Technical Review Board, as authorized by Public Law 100-203, section 509, $2,000,000, to be derived from the Nuclear Waste Fund and to remain available - until expended. Public Law 100-371- 102 Stat. 857 An Act Julv 19.1988 Making appropriations for energy and water development for the fiscal year ending September 30,1989, and for other purposes. Be it enacted by the Senate and House of Representatives of the United Energy and Water States ofAmerica in Congress assembled, Development Appropriation That the following sums are appropriated, out of any money in the Act,1989. Treasury not otherwise appropriated, for the fiscal year ending September 30,1989, for energy and water development, and for other purposes, namely: TITLEIV-INDEPENDENT AGENCIES NUCLEAR REGUIATORY COMMISSION SALARIES AND EXPENSES For necessary expenses of the Commission in carrying out the pur-poses of the Energy Reorganization Act of 1974, as amended, and the Atomic Energy Act, as amended, including the employment of aliens; services authorized by section 3109 of title 5, United States Code; publication and dissemination of atomic information; purchase, repair, and cleaning of uniforms, official representation expenses (not to ex-ceed $20,000); reimbursements to the General Services Administration for security guard services; hire of passenger motor vehic!cs and air-craft, $420,000,000, to remain available until expended: Pnnided, That from this appropriation, transfer of sums may be made to other agen-cies of the Government for the performance of the work for which this appropslation is made, and in such cases the sums so transferred may be merged with the appropriation to which transferred: Providedfunher, That moneys received by the Commission for the cooperative nuclear l A$ l
safety rescarch program, services rendered to foreign governments and
. international organizations, and the material and information access authorization programs including criminal history checks under section 149 of the Atomic Energy Act, as amended, may be retained and used for salaries and expenses associated with those activities, notwithstand-ing the provisions of section 3302 of title 31, United States Code, and shall remain available until expended: Providedfunher, That revenues
' from licensing fees, inspection services, and other services and collec-tions estimated at $189,000,000 in fiscal year 1989 shall be retained and used for necessary salaries and expenses in this account, notwithstand-
' ing the provisions of section 3302 of title 31, United States code, and shall remain available until expended: Providedfunher, That the sum herein appropriated shall be reduced by the amount of revenues re-ceived during fiscal year 1989 from licensing fees, inspection services and other services and collections, excluding those moneys received for the moperative nuclear safety research program, services rendered to foreign governments and international organizations, and the material and information access authorization programs, so as to result in a final -
fiscal year 1989 appropriation estimated at not more than
$231,000,000.
l TITLE V--GENERAL PROVISIONS Sec. 501. No part of any appropriation contained in this Act shall remain available for obligation beyond the current fiscal year unless expressly so provided herein. ! Sec. 502. None of the funds in this Act shall be used to pay the expenses of, or otherwise compensate, parties intervening in regulatory or adjudicatory proceedings funded in this Act. , Sec 503. None of the programs, projects or activities as defined in the l repor t accompanying this Act, may be eliminated or disproportionately l reduced due to the application of " Savings and Slippage", " general reduction", or the provision of Public Law 99-177 or Public Law l 100-119. l Sec. 504. The expenditure of any appropriation under this Act for any j. ~ consulting service through procurement contract, pursuant to section 3109 of title 5, Unbd States Code, shall be limited to those contracts l where such expenditures are a matter of public record and available for public inspection, except where otherwise provided under existing law, or under existing Executive order issued pursuant to existing law. Sec. 505. None of the funds appropriated in this Act shall be used to implement a program of retention contracts for senior employees of the , Tennessee Valley Authority. l Sec. 509. Such sums as may be necessary for fiscal year 1989 pay raises for programs funded by this Act shall be absorbed within the levels appropriated in this Act. l This Act may be cited as the " Energy and Water Development Ap- i propriations Act,1989". I Approved July 19,1988. ;
,I,
I L l Public Law 100 202 101 Stat.1329 l JOINT RESOLUTION Dec. 22.1987 Making further continuing appropriations for the fiscal year 1988, and for other purposes. Resolved by the Senate and House ofRepresentatives of the United States ofAmerica in Congress assembled, l 2 USC 902 note. Sec. 1. Because the spending levels included in this Resolution achieve the deficit reduction targets of the Economic Summit, l sequestration is no longer necessary. Therefore: (a) Upon the enactment of this Resolution the orders issued by the President on October 20,1987, and November 20,1987, pursuant to section 252 of the Balanced Budget and Emergency Deficit Control Act of 1985, as amended, are hereby rescinded. (b) Any action taken to implement the orders referred to in subsec-tion (a) shall be reversed, and any sequesterable resource that has been reduced or sequestered by such orders is hereby restored, revived, or released and shall be available to the same extent and for the same purpose as if the orders had not been issued. The following sums are hereby appropriated, out of any money in the Treasury not otherwise appropriated, and out of applicable corporate or other revenues, receipts, and funds, for the several departments, agencies, corporations, and other organizational units of the Govern-ment for the fiscal year 1988, and for other purposes, namely: Sec.101. (d) Such amounts, as may be necessary for programs, projects or activities provided for in the Energy and Water Develop- , ment Appropriations Act 1988,at a rate of operations and to the extent and in the manner provided for, the provisions of such Act to be effec- {' tive as ifit had been enacted into law as the regular appropriations Act, as follows: An Act Energy and Water Development Making appropriations for energy and water development for the fiscal j Appropriation year ending September 30,1988, and for other purposes. Act,1988. TITLE W-INDEPENDENT AGENCIES i NUCLEAR REGULATORY COMMISSION SALARIES AND EXPENSES l For necessary expenses of the Commission in carrying out the pur-poses of the Energy Reorganization Act of 1974, as amended, and the Atomic Energy Act, as amended, including the employment of aliens; services authorized by section 3109 of title 5, United States Code; publication and dissemination of atomic information; purchase, repair, and cleaning of uniforms, official representation expenses (not to ex- ! cced $20,000); reimbursements to the General Services Administration i h l
for security guard services; hire of passenger motor vehicles and air-craft, $392,800,000, to remain available until expended: Provided That from this appropriation, transfer of sums may be made to other agen-cies of the Government for the performance of the work for which this appropriation is made, and in such cases the sums so transferred may be merged with the appropriation to which transferred: Providedfunher, That moneys received by the Commission for the cooperative nuclear safety research program, services rendered to foreign governments and international organizations, and the material and information access authorization programs including criminal history checks under section 149 of the Atomic Energy Act, as amended, may be retained and used for salaries and expenses associated with those activities, notwithstand-ing the provisions of section 3302 of title 31, United States Code, and shall remain available until expended: Providedfienher, That revenues from licensing fees, inspection services, and other services and collec-tions estimated at $196,400,000 in fiscal year 1988 shall be retained and used for necessary salaries and expenses in this account, notwithstand-ing the provisions of section 3302 of title 31, United States Code, and shall remain available until expended: h,videdfunher, That the sum herein appropriated shall be reduced by the amount of revenues re-ceived durm, g fiscal year 1988 from licensing fees, inspection services and other services and collections, excluding those moneys received for the cooperative nuclear safety research program, services rendered to foreign governments and international organizations, and the material and information access authorization programs, so as to result in a final fiscal year 1988 appropriation estimated at not more than
$196,400,000.
TITLE V GENERAL PROVISIONS Sec. 501. No part of any appropriation contained in this Act shall remain available for obligation beyond the current fiscal year unless expressly so provided herein. Sec. 502. None of the funds in this Act shall be used to pay the expenses of, or otherwise compensate, parties intervening in regulatory or adjudicatary proceedings funded in this Act. This prohibition bars payment to a party intervening in an administrative proceeding for expenses incurred in appealing an administrative decision to the courts. Sec. 503. None of the programs, projects or activities as defined in the report accompanying this Act, may be climinated or disproportionately reduced due to the application of " Savings and Slippage", " general reduction", or the provision of Public Law 99-177 or Public Law 100-119. Sec. 504. The expenditure of any appropriation under this Act for any consulting service through procurement contract, pursuant to section 3109 of title 5, United States Code, shall be limited to those contracts where such expenditures are a matter of public record and available for publicinspection, except where otherwise provided under existing law, or under existing Executive order issued pursuant to existing law. 18 y i l
Sec. 505. None of the funds appropriated in this Act shall be used to implement a program of retention contracts for senior employees of the Tennessee Valley Authority. Sec. 506. Notwithstanding any other provision of this Act or any other provision oflaw, none of the funds made available under this Act or any other law shall be used for the purposes of conducting any studies relating or leading to the possibility of changing from the currently required "at cost" to a " market rate" or any other noncost-based meth-od for the pricing of hydroelectric power by the six Federal public power authorities, or other agencies or authoritics of the Federal Govern-ment, except as may be specifically authorized by Act of Congress hereafter enacted. Sec. 507. None of the funds appropriated in this Act for Power Mar-keting Administrations or the Tennessee Valley Authority, and none of ( the funds authorized to be expended by this or any previous Act from j the Bonneville Power Administration Fund or the Tennessee Valley Authority Fund, may be used to pay the costs of procuring extra high l i voltage (EllV) power equipment unless contract awards are made for EHV equipment manufactured in the United States when such agen-
)
i cies determine that there are one or more manufacturers of domestic l end product offering a product that meets the technical requirements of such agencies at a price not exceeding 130 percentum of the bid or , offering price of the most competitive foreign bidder: Provided, That l such agencies shall determine the incremental costs associated with I implementing this section and defer or offset such incremental costs l against otherwise existing repayment obligations: Provided further, ' That this section shall not apply to any procurement initiated prior to October 1,1985, or to the acquisition of spare parts or accessory equip-ment necessary for the efficient operation and maintenance of existing equipment and available only from the manufacturer of the original equipment: Providedfunher, That this section shall not apply to pro-curement of domestic end product as defined in 48 C.ER. sec. 25.101: Providedfurther, That this section shall not apply to EHV power equip-ment produced or manufactured in a country whose government has completed negotiations with the United States to extend the GATT Government Procurement Code, or a bilateral equivalent, to EHV power equipment, or which otherwise offers fair competitive opportu-nities in public procurements to United States manufacturers of such equipment. Sec. 508. None of the funds in this Act may be used to construct or enter into an agreement to construct additional hydropower units at Denison Dam-Lake Texoma. Sec. 509. In honor of Ernest Frederick Hollings, the building located at 83 Meeting Street in Charleston, South Carolina, shall hereafter be known and designated as the "Hollings Judicial Center", Providedfur-ther, That the lock and dam on the Tombigbee River in Pickens Country, Alabama, commonly known as the Aliceville Lock and Dam, and the resource management and visitor center at Aliceville Lake on the Ten-nessee-Tombigbee Waterway, shall hereafter be known and designated as the " Tom Bevill Lock and Dam" and the " Tom Bevill Resource
,m l
4 Management and Visitor Center at Alicevi.le Lake on the Tennessee-Tombigbee Waterway", respectively. Any reference in a law, map, regu-lation, document, or paper of the United States to such lock and dam and any reference in a law, map, regulation, document, or paper of the United States to such resource management and visitor center shall be held to be a reference to the " Tom Bevill Lock and Dam" and the " Tom Bevill Resource Management and Visitor Center at Aliceville Lake on l the Tennessee-Tombigbee Waterway", respectively.
^ This Act may be cited as the " Energy and Water Development Ap-propriation Act,1988".
Approved December 22,1987. Certified April 20,1988. Public Law 99-591 - 100 Stat. 3341 a JOINT RESOLUTION Oct. 30.1986 Making continuing appropriations for the fiscal year 1987, and for other purposes. Resolved by the Senate and House ofRs presentatives of the United States , ofAmerica in Congress assembled, l That the following sums are hereby appopriated, out of any money in l the treasury not otherwise appropriated, and out of applicable corpo-rate or other revenues, receipts, and funds, for the several departments, ) agencies, corporations, and other organization units of the Govern-i ment for the fiscal year 1987, and for other parposes, namely: ! Sec.101. (e) Such amounts as may be necessary for programs, pro-jects or activities provided for in the Energy and Water Development . Appropriations Act,1987, at a rate of operations and to the extent and -! in the manner provided as follows, to be effective as if it had been enacted into law as the regular appropriations Act: An Act Making appropriations for energy and water development for the fiscal year ending September 30,1987, and for other purposes. TITLE IV-INDEPENDENT AGENCIES NUCLEAR REGULATORY COMMISSION SALARIES AND EXPENSF3 For necessary expenses of the Commission in carrying out the pur- , poses of the Energy Reorganization Act of 1974, as amended, and the l Atomic Energy Act, as amended, including the employment of aliens;
, services authorized by section 3109 of title 5. United States Code; publication and dissemination of atomic information; purchase, repair, and cleaning of uniforms; official representation expenses (not to ex-ceed $8,000); reimbursements to the General Services Administration 20 3 e.
I
for security guard services; hire of passenger motor vehicles and air-craft, $401,000,000, to remain available until expended: Prwided, That from this appropriation, transfer of sume m y be made to other agen-cies of the Government for the performance of the work for which this appropriation is made, and in such cases the sums so transferred may be merged with the appropriation to which transferred: Prwidedfunher. That moneys received by the Commission for the cooperative nuclear safety research program and the material and information access au-thorization programs including aiminal history checks under Section 149 of the Atomic Energy Act, as amended, may be retained and used for salaries and exp:nses associated with those programs, notwith-standing the provisions of section 3302 of title 31, United States Code, and shall remain available until expended. TITLE %-GENERAL PROVISIONS Sec. 501. No part of any appropriation contained in this Act shall rernain available for obligation beyond the current fiscal year unless expressly so prosided herein. Sec. 502. None of the funds in this Act shall be used to pay the expenses of, or otherwise compensate, parties intervening in regulatory or adjudicatory proceedings funded in this Act. Sec. 503. None of the programs, projects or activities as defined in the report accompanying this Act, may be eliminated or disproportionately reduced due to the application of " Savings and Slippage", " general reductions" or the provisions of Public Law 99-177. Sec. 504. The expenditure of any appropriation under this Act for any consulting service through procurement contract, pursuant to section 3109 of title 5, United States Code, shall be lirnited to those contracts where such expenditures are a matter of public record and available for public inspection, except where otherwise provided under existing law, or under existing Executive order issued pursuant to existing law. Sec. 505. None of the funds appropriated in the Act shall be used to implement a program of retention contracts for senior employees of the Tennessee Valley Authority. Sec. 506. Notwithstanding anyotherprovision of this Actoranyother provision oflaw, none of the funds made available under this Act or any other law shall be used for the purposes of conducting any studies relating or leading to the possibility of changing from the currently required "at cost" to a " market rate" or any other noncost-based meth-od for the pricing of hydroelectric power by the six Federal public power authorities, or other agencies or authorities of the Federal Govern-ment, except as may be specifically authorized by Act of Congress hereafter enacted. Sec. 507. None of the funds appropriated in this Act shall be used to pay the sAry of the Administrator of a Power Marketing Administration or the Board of Directors of the Tennessee Valley Authority, and none of the funds authorized to be expended by this or any previous Act from the 'Bonneville Power Admmistration Fund, established pursuant to Public Law 93-454, may be used to pay the salary of the Administrator of the Donneville Power Administration, n 21 o
- )
unless such Administrators or Directors award contracts for the , procurement of extra high voltage (EIIV) power equipment I manufactured in the United States when such agencies determine that there are one or more manufacturers of domestic end product offering a product that meets the technical requirements of such agencies at a price not exceeding 130 percentum of the bid or offering price of the ) most competi:ive foreign bidder: Itovided, That such agencies shall determine the incremental costs associated with implementing this section and defer or offset such incremental costs against otherwise existing repayment obligations: Itoridedfurthc., That this section shall not apply to any procurement initiated prior to October 1,1985, or to the acquisition of spare parts or accessory equipment necessary for the efficient operation and maintenance of existing equipment and available only from the manufacturer of the original equipment: Providedfurther, That this section shall not apply to procurement of domestic end product as defined in 48 C.ER. sec. 25.101: Provided further, That this section shall not apply to EHV power equipment produced or manufactured in a country whose government has completed negotiations with the United States to extend the GATT Government Procurement Code, or a bilateral equivalent, to EliV power equipment, or which otherwise offers fair competitive opportunities in public procurements to United States manufacturers of such equipment. Sec. 508. None of the funds in this Act may be used to construct or enter into an agreement to construct additional hydropower units at Denison Dam-Lake Texoma. This Act may be cited as the " Energy and Water Development Ap-propriations Act,1987". Approved October 30,1986. Public Law 99-500 100 Stat.1783 JOINT RESOLUTION Oct.18.1986 Making continuing appropriations for the fiscal year 1987, and for other purposes. Resolved by the Senate and House ofRepresentatives of the United States ofAmerica in Congress assembled. That the following sums are hereby appropriated, out of any money in the Treasury not otherwise appropriated, and out of applicable corpo-rate or other revenues, receipts, and funds, for the several departments, agencies, corporations, and other organizational units of the Govern-ment for the fiscal year 1987, and for other p9rposes, namely: Sec.101. (e) Such amounts as may be necessary for programs, pro-jects or activities provided for in the Energy and Water Development Appropriations Act,1987, at a rate of operations and to the extent and in the manner provided as follows, to be effective as if it had been enacted into law as the regular appropriations Act: 22
. 7, 7n
l L l An Act Making appropriations for energy and water development for the fiscal year ending September 30,1987, and for other purposes. TITLE IV-INDEPENDENT AGENCIES NUCLEAR REGULATORY COMMISSION SALARIES AND EXPENSES For necessary expenses of the Commission in carrying out the pur-l poses of the Energy Reorganization Act of 1974, as amended, and the Atomic Energy Act, as amended, including the employment of aliens; services authorized by section 3109 of title 5, United States Code; publication and dissemination of atomic information; purchase, repair, and cleaning of uniforms; official representation expenses (not to ex-
- j. ceed $8,000); reimbursements to the General Services Adnunistration L for security guard services; hire of passenger motor vehicles and air.
craft, $401,000,000, to remain available until expended: Provided, That l from this appropriation, transfer of sums may be made to other agen. cies of the Government for the performance of the work for which this appropriation is made, and in such cases the sums so transferred may be ! merged with the appropriation to which transferred: Nvidedfunher, that moneys received by the Commission for the cooperative nuclear safety research program and the material and information access au-thorization programs including criminal history checks under Section l 149 of the Atomic Energy Act, as amended, may be retained and used l for salaries and expenses associated with those programs, notwith-l standing the provisions of section 3302 of title 31, United States Code, and shall remain available until expended. TITLE V-GENERAL PROVISIONS Sec. 501. No part of any appropriation contained in this Act shall remain available for obligation beyond the current fiscal year unless expressly so provided herein. Sec. 502. None of the funds in this Act shall be used to pny the expenses of, or otherwise compensate, parties intervening in regulatory or adjudicatory proceedings funded in this Act. l Sec. 503. None of the programs, projects or activities as definw in the l report accompanying this Act, may be eliminated or disproportionately l reduced due to the application of " Savings and Slippage", " general i reductions", or the provisions of Public Law 99-177. l Sec. 504. The expenditure of any appropriation under this Act for any l- consulting service through procurement contract, pursuant to section i 3109 of title 5, United States Code, shall be limited to those contracts l where such expenditures are a matter of public record and available for j public inspection, except where otherwise provided under existing law, l or under existing Executive order issued pursuant to existing law. Sec. 505. None of the funds appropriated in this Act shall be used to implement a program of retention contracts for senior employees of the Tennessee Valley Authority. y a
??
Sec. 506. Notwithstanding any other provision of this Act or any other provision oflaw, none of the funds made available under this Act or any other law shall be used for the purposes of conducting any studies relating or leading to the pos>ibility of changing from the currently required "at cost" to a " market rate" or any other noncost-based meth-od for the pricing of hydroelectric power by the six Federal public power authorities, or other agencies or authorities of the Federal Govern-ment, except as may be specifically authorized by Act of Congress , hereafter enacted. 1 Sec. 507. None of the funds appropriated in this Act shall be used to i pay the salary of the Administrator of a Power Marketing Administra-tion or the Board of Directors of the Tennessee Valley Authority, and none of the funds authorized to be expended by this or any previous Act from the Bonneville Power Admir;istration Fund, established pursuant to Public Law 93-454, may be used to pay the salaxy of the Administra-tor of the Bonneville Power Administration, unless such Administra-tors or Directors award contracts for the procurement of extra high i voltage (EHV) power equipment manufactured in the United States j when such agencies determine that there are one or more manufactur- j ers of domestic end product offering a >roduct that meets the technical : requirements of such agencies at a price not exceeding 130 percentum l of the bid or offering price of the most competitive foreign bidder: i Provided, That such agencies shall determine the incremental costs associated with implementing this section and defer or offset such incremental costs against otherwise existing repayment obligations: Providedfunher, That this section shall not apply to any procurement , initiated prior to October 1,1985, or to the acquisition of spare parts or 1 accessory equipment necessary for the efficient operation and mainte-nance of existing equipment and available only from the manufacturer of the original equipment: Providedfunher, That this section shall not apply to procurenunts ofdomestic end product as defined in 48 C.ER. sec. 25.101: Providedfunher, That this section shall not apply to ElIV pmver equipment produced or manufactured in a country whose gov- i ernment has completed negotiations with the United States to extend ; the GATT Government Procurement Code, or a bilateral equivalent, to ' EHV power equipment, or which otherwise offers fair competitive opportunities in public procurements to United States manufacturers of such equipment. Sec. 508. None of the funds in this Act may be used to construct or ' enter into an agreement to construct additional hydropower units at Denison Dam-Lake Texoma. This Act may be cited as the " Energy and Water Development Ap-propriations Act,1987". Approved October 18,1986. ; Note: When the President signed H.J. Res. 738 on October 18,1986, l it was assigned Public Law No. 99-500. The following statement was ! issued by the President in conjunction with his signing of Public Law 99-591: _ e a)
)
On October 17,1986,I was presented by the Congress with an en-rolled resolution designated H.J. Res. 738, a joint resolution making continuing appropriations for the fiscal year 1987, and for other pur-poses. I signed this measure into law on October 18,1986. I have smce learned that 11.J. Res. 738 was not properly enrolled, in that a small number of paragraphs of text were omitted due to clerical error. The provisions I signed into law on October 18 remain the law of the land. The Sureme Court has held that transmission errors of this sort I do not in any way vitiate the legal effect of a President's signature. Accordingly, that which was signed became law.
- 11. J. Res. 738 has since been properly enrolled and has been present-ed to me for signature. My signing ofII.J. Res. 738 today will enable the provisions previously omitted to become law as well.
l-j Public Law 99-141 99 Stat. 564
- An Act Nov.1.1985 Making appropriations for energy and water development for the fiscal year ending September 30,1986, and for other purposes.
Be it enacted by the Senate and Home of Representatives of the United l ' States ofAmerica in Congress assembled, That the following sums are appropriated, out of any money in the Treasury not otherwise appropriated, for the fiscal year ending Septem-ber 30,1986, for energy and water development, and for other pur-poses, namely: l TITLEIV-INDEPENDENT AGENCIES NUCLEAR REGULATORY COMMISSION SA1 ARIES AND EXPENSES For necessary expenses of the Commission in carrying out the pur-poses of the Energy Reorganization Act of 1974, as amended, and the 42 USC5801 Atomic Energy Act, as amended, including the employment of aliens; ! note. services authorized by 5 U.S.C. 3109; publication and dissemination of atomic information; purchase, repair, and cleaning of uniforms; official i representation expenses (not to exceed $3,000); reimbursements to the General Services Administration for security guard services; hire of l passenger motor vehicles and aircraft, $418,000,000, to remain available until expended: Provided, That from this appropriation, transfer of sums may be made to other agencies of the Government for the performance of the work for which this appropriation is made, and in such cases the sums so transferred may be merged with the appropriation to which transferred: Provided further. That moneys j received by the Commission for the cooperative nuclear safety research l program and the material access authorization program may be retained and used for salaries and expenses associated with those 3 1 l i J l
programs, notwithstanding the provisions of section 3302 of title 31, United States Code, and shall remain available until expended. Approved November 1,1985. Public Law 98-360 98 Stat. 403 An Act July 16.1984 Making appropriations for energy and water development for the fiscal year ending September 30,1985, and for other purposes. Be it enacted by the Senate and House of Representatives of the United States ofAmerica in Congress assembled, That the following sums are appropriated, out of any money in the Treasury not otherwise appropriated, for the fiscal year ending Septem-ber 30,1985, for energy and water development, and for other pur-poses, namely: TITLE IV-INDEPENDENT AGENCIES NUCLEAR REGULATORY COMMISSION SALARIES AND EXPENSES For necessary expenses of the Commission in carrying out the pur. 42 USC 5801 poses of the Energy Reorganization Act of 1974, as amended, and the note. Atomic Energy Act, as amended, including the employment of aliens; 42 USC 2011 services authorized by 5 U.S.C. 3109; publication and dissemination of note. atomic information; purchase, repair, and cleaning of uniforms; official representation expenses (not to exceed $3,000); reimbursements to the 1 General Services Administration for security guard services; hire of passenger motor vehicles and aircraft, $448,200,000, to remain
- available until expended
- Itorided, That from this appropriation, l transfer of sums may be made to other agencies of the Government for l the performance of the work for which this appropriation is made, and I in such cases the sums so transferred may be merged with the l appropriation to which transferred: IYovided further, That moneys
- received by Commission for the cooperative nuclear safety research L
program and the material access authorization program may he retained and used for salaries and expenses associated with thmc l programs, notwithstanding the provisies of section 3302 of title 31,
- United States Code, and shall remain avaioble until expended.
l Approved July 16,1984. Public Law 98-50 97 Stat. 247 An Act July 14.1983 Making appropriations for energy and water development for the fiscal year ending September 30,1984, and for other purposes. Energy and Water Be it enacted by the Senate and House of Representatives of the United Development States of America in Congress assembled, 26 -
Appropriation Act,1984. That the following sums are appropriated, out of any money in the Treasury not otherwise appropriated, for the fiscal year ending September 30,1984, for energy and water development, and for other purposes, namely: TITLE IV-INDEPENDENT AGENCIES NUCLEAR REGULATORY COMMISSION SA1 ARIES AND EXPENSES For necessary expenses of the Commission in carrying out the pur-poses of the Energy Reorganization Act of 1974, as amended, and the 42 USC 5801 Atomic Energy Act, as amended, including the employment of aliens; note. services authorized by 5 U.S.C. 3109; publication and dissemination of atomic information; purchase, repair, and cleaning of uniforms; official representation expenses (not to exceed $3,000); rcimbursements to the General Services Administration for security guard services; hire of passenger motor vehicles and aircraft, $465,800,000 to remain av4ilable until expended: Provided That from this appropriation, transfer of i sums may be made to other agencies of the Government for the perforaance of the work for which this appropriation is made, and in such cases the sums so transferred may be merged with the appropriation to which transferred: Provided further, That moneys received by the Commission for the cooperative nuclear safety research program and the material access authorization program may be retained 96 STAT 948 and used for salaries and expenses associated with those programs, 31 USC 3302 notwithstanding the provisions of 31 U.S.C. 484, and shall remain available until expended. Approved July 14,1983. Public Law 97-377 % Stat.1830 JOINT RESOLUTION Dec. 2L 1982 Making further continuing appropriations and providing for productive employment for the fiscal year 1983, and for other purposes. Continuing Resolved byIhe Senate andHouse ofRepresentatives ofthe UnitedStates appropriations ofAmerica in Congress assembled, for fiscal year 1983. That the following sums are appropriated, out of any money in the Treasury not otherwise appropriated, and out of applicable corporate or other revenues, receipts, and funds, for the several departments, agencies, corporations, and other organizational units of the Government for the fiscal year 1983, and for other purposes, namely: TITLE V-GENERAL PROVISIONS (f) Such amounts as may be necessary for continuing activities which were conducted in fiscal year 1982, for which provision was made in the 27
l 1 Energy and Water Development Act.1982, at the current rate of opera-tions: Pmvided, That no funds under this heading shall be used for further study or construction or in any fashion for a federally funded waterway which extends the Tennessee Tombigbee project south from the city of Demopolis, Alabama: Providedfunher, That no appropri-ation, fund or authority made available by this joint resolution or any , other Act may be used directly or indirectly to significantly alter, l modify, dismantle, or otherwise change the normal operation and maintenance required for any civil works project under Department of Defense-Civil, Department of the Army, Corps of Engmeers-Civil, Operation and Maintenance, General, and the operation and mainte-nance activities funded in Flood Control, Mississippi River and Tribu-taries:ltovidedfunher, That of such amount, $1,000,000 shall be avail- 1 able only to provide a wider navigation opening at the Franklin Ferry ' Bridge, Jefferson County, Alabama: Providedfunher, That no appropri-ation or fund made available or authority granted pursuant to this paragraph shall be used to initiate or resume any project or activity for which appropriations, funds, or other authority were not available dur- 1 ing the fiscal year 1982 without prior approval of the Committees on i Appropriations: Providedfunher, That Department of Energy, Atomic Energy Defense Activities, shall be funded at not to exceed an annual rate for new obligational authority of $5,700,000,000, of which not more ' dian $4,372,000,000 shall be available for operating expenses and not more than $1,328,000,000 shall be available for plant and capital equip- 1 ment, except that ne funds shall be available for Project 82D109; Pro- l videdfunher, That no appropriation, fund or authority made available to the Department of Energy by thisjoint resolution or any other Act, shall be used for any action which would result in a significant reduction of the employment levels for any program or activity below the employ-ment levels in effect on September 30,1982: Post, p.1909 (g) Notwithstanding section 102(c) of this joint resolution, the following amounts are provided for fiscal year 1983: , Sec.159. Funds in this joint resolution may not be made available for payment to the International Atomic Energy Agency un!"- he Board I of Governors of the International Atomic Energy Aym ifies to the United States Government that the State of Istr. r -d to participate fully as a member nation in the activities of 5 L 1 s.y, and the Secretary of State transmits such certification to th. W of the House of Representatives and the President of the UniM - :es Sen-ate. Approved December 21,1982. 1 4 28 p
l Public Law 97-88 95 Stat.1139 An Act Dec. 4.1981 Making appropriations tor energy and water development for the fiscal year ending September 30,1982, and for other purposes. Be it enacted by the Senate and Hot.se of Representatives of the United States ofAmerica in Congress assembled, That the following sums are appropriated, out of any money in the Treasury not otherwise appropriated, for the fiscal year ending Septem-ber 30,1982, for energy and water development, and for other pur-poses, namely: TITLE IV-INDEPENDENT AGENCIES NUCLEAR REGULATORY COMMISSION SALARIES AND EXPENSES 42 USC5801 For necessary expenses of the Commission in carrying out the note. purposes of the Energy Reorganization Act of 1974, as amended, and the Atomic Energy Act, as amended, including the employment of aliens; services authorized by 5 U.S.C. 3109; publication and dissemination of atomicinformation; purchase, repair, and cleaning of uniforms; official entertainment expenses (not to exceed $1,500); reimbursements to the General Se.tvices Administration for security guard services; hire of passenger motor vehicles and aircraft;
$465,700,000 to remain available until expended: Provided, That from I this appropriation, transfer of sums may be made to other agencies of the Government for the performance of the work for which this appropriation is made, and in such cases the sums so transferred may be merged with the appropriation ta which tro ,ferred: Providedfurther, That moneys received by the Commission i r the cooperative nuclear safety research programs may be retaid and used for salaries and expenses associated with those programs, notwithstanding the provisions of 31 U.S.C. 484, and shall remain available until expeinled:
Providedfurther, That transfers between accounts may be made only with the approval of the Committees on Appropriations of the llouse of Representatives and the Senate: Providedfurther, That no part of the funds appropriated in this Act be used to impleinent section 110 of 94 STAT 785 Public Law 96-295: Pmvidedfurther, That no funds appropriated to the Nuclear Regulatory Commission in this Act may be used toimplement ' or enforce any portion of the Uranium Mill Licensing Requirements published as final rules at 45 Federal Register 65521 to 65538 on October 3,1980, or to require any State to adopt such requirements in order for the State to continue to exercise authority under State law for uranium mill and mill tailings licensing, or to exercise any regulatory authority for uranium mill and mill tailings licensing in any State that has acted to exercise such authority under State law; Provided, however, 42 USC 2014 That the Commission may use such funds to continue to regulate byproduct material, as defined in section 11 e.(2) of the Atomic Energy og C) i l I
e , Act of 1954, as amended, in the manner and to the extent permitted prior to October 3,1980. TITLE W-GENERAL PROVISIONS Sec. 501. No part of any appropriation contained in this Act shall remain available for obligation beyond the current fiscal year unless expressly so provided herein. Sec. 502. None of the funds in this Act shall be used to pay the expenses of, or otherwise compensate, parties intervening in regulatory or adjudicatory proceedings funded in this Act. Sec. 503. The expenditure of any appropriation under thk Act for any consulting service through procurement contract, pursua . .a 5 U.S.C. 3109, shall be limited to those contracts where such expenditures are a matter of public record and available for public inspecuon, except where otherwise provided under existing law, or under existing Execu-tive Order issued pursuant to existing law. Sec. 504. None of the funds in this Act shall be used to implement, administer, or enforce any regulation which has been disapproved pur-suant to a resolution of disapproval duly adopted in accordance with the applicable law of the United States. Sec. 505. None of the funds provided in this Act to any department or agency shall be obligated or expended to provide a personal cook, chauffeur, or other personal servants to any officer or employee of such department or agency. Sec.506. None of the funds provideo in this Act to any department or agency shall be obligated in 15 U.S.C. 2001 with an EPA estimated miles per gallon average ofless than 22 miles per gallon. _ _ Sec. 507. None of the funds appropriated in this Act shall be used to implement a pregram oh etention contracts for senior employees of the Tennessee Valley Authority. Sec. 508. The Senate hereby expresses its intention not to appropri-ate funds for improvements on the portion of the Black Warrior-Tombigbee Waterway south of Demopolis. Alabama. Short title. This Act may be cited as the " Energy and Water Development Appropriation Act,1982". Approved December 4,1981. Public Law %-367 94 Stat.1344 An Act Oct.1.1980 Making appropriations for energy and water development for the fiscal fear ending September 30,1981, and for other purposes. Enctgy and Water Be it enacted by the Senate and House of RepresentatWes of the United Development States ofAmerica in Congress assembled, Appropriation l Act.1981. That the following sums are appropriated, out of any money in the Treasury not otherwise appropriated, for the fiscal year ending September 30,1981, for energy and water development, and for other purposes, namely: 30 i
I L TITLE IV-INDEPENDENT AGENCIES NUCLEAR REGUL ATORY COMMISSION SALARIES AND EXPENSES
- 42 USC 5801 For necessary expenses of the Commission in carrying out the l
note. purposes of the Energy Reorganization Act of 1974, as amended, and the Atomic Energy Act, as amended, namely the control of atomic energy and the issuance of licenses as authorized by section 103 (42 i i U.S.C. 2133) so as to make the maximum contribution to the general ) welfare, promote world peace, increase the standard of living and strengthen free competition in private enterprise, subject at all times to the paramount objective of making the maximum contribution to the l' common defense and security and to the objective of protecting the , health and safety of the public, including the employment of aliens; I service authorized by 5 U.S.C. 3109; publication and dissemination of atomic information; purchase, repair, and cleaning of uniforms; official j entertainment expenses (not to exceed $3,000); reimbursement of the l General Services Administration for security guard services; hire of passenger motor vehicles and aircraft; $447,520,000, to remain available until expended: Provided, That from this appropriation, j transfer of sums may be made to other agencies of the Government for the performano: of the work for which this appropriation is made, and in such cases the sums so transferred may be merged with the
- appropriation to which transferred
- Provided further, That moneys i
received by the Commission for the cooperative nuclear safety research I programs may be retained and used for salaries and expenses associated with those programs, notwithstanding the provisions of 31 ; U.S.C. 484, and shall remain available until expended. l TITLE V-GENERAL PROVISIONS I Sec. 501. No part of any appropriation contained in this Act shall remain available for obligation beyond the current fiscal year unless expressly so provided herein. Sec. 502. None of the funds in thi Act shall be used to pay the expenses of, or otherwise compensate, parties intervening in regulat*ry or adjudicatory proceedings funded in this Act. Sec. 503. The expenditure of any appropriation under this Act for any consulting service through procurement contract, pursuant to 5 U.S.C. 3109, shall be limited to those contracts where such expenditures are a matter of public record and available for public inspection, except where otherwise provided under existing law, or under existing Execu-tive Order issued pursuant to existing law. Short title. This Act may be cited as the " Energy and Water Development Appropriation Act,1981". Approved October 1,1980. 31 h
Public Law %-304 94 Stat. 872 An Act July 8.1980 Making supplemental appropriations for the fiscal year ending September 30,1980, rescinding certain budget authority, and for other purposes. Supplemental . Be it enacted by the Senate and House of Representatives of the United Appropriations States ofAmerica in Congress assembled, and Rescission Act,1980. That the following sums are appropriated, out of any money in the Treasury not otherwise appropriated, to supply supplemental appropriations (this Act may be cited as the " Supplemental Appropriations and Rescission Act,1980") for the fiscal year ending September 30,1980, that the following rescissions of budget authority are made, and for other purposes, namely: 1 TITLEI-INDEPENDENT AGENCIES f l NUCLEAR REGULATORY COMMISSION SALARIES AND EXPLWSES For an additional amount for " Salaries and expenses", $31,950,000, to remain available until expended. , TITLE II-INCREASED PAY COSTS FOR THE FISCAL YEAR 1980 l i NUCLEAR REGULATORY COMMISSION
" Salaries and expenses", $4,810,000.
TITLE III-.CENERAL PROVISIONS , (INCLUDING TRANSFER OF FUNDS) ! i Sec. 301. No part of any appropriation contained in this Act shall ; remain available for obligation beyond the current fiscal year unless ' expressly so provided herein. Sec. 302. Except where specifically increased or decreased elsewhere in this Act, the restrictions contained within appropriations, or provi-sions affecting appropriations or other funds, available during the fiscal , year 1980,limitmg the amounts which may be e.rpended for personal l services, or for purposes involving personal services, or amounts which may be transferred between appropriations or authorizations available for or involving such services, are hereby increased to the extent neces- < sary to meet increased pay costs authorized by or pursuant to law. Career appointees. Sec. 303. Notwithstanding any other provision of law, the number of ; 5 USC 5884 note. career appointees in any agency paid performance awards during fiscal year 1980 under 5 U.S.C. 5384, or any comparable personnel system established on or after October 13,1978, may not exceed 25 percent of the number of Senior Executive Service or comparable personnel system positions in any such agency. I i L.
Sec. 304. (a) Out of the total moneys appropriated for the operation of the departments and agencies of the Federal Government for fiscal year 1980, $220,000,000 of this total appropriated for the purchase of ) furniture is hereby rescinded. Excluded from this rescission are furni-ture items produced by Federal Prison Industries, Inc., or by sheltered workshops for the blind and other severely handicapped under the auspices of Public Law 92-28:IYorided, That such items are fullyjusti-fied by agency needs. The Director of the Office of Management and 41 USC 46-48b. Budget is directed to allocate this rescission total among the I departments and agencies of the Federal Governme, t and report back to the llouse and the Senate Committees on Appropriations within 30 days following the date of the enactment of this Act as to the allocation made: Itoridedfunher, That no allocation shall exceed 25 percent of said amount. (b) With respect to the provisions of the Treasury, Postal Service and i General Government Appropriations Act,1980, under the heading ; 93 Stat. 566. General Services Administration, Federal Buildings Fund, Limitations ' on Availability of Revenue, the aggregate amount made available for the revenues and collections deposited into the Federal Buildings Fund pursuant to section 210(f) of the Federal Property and Administrative Services Act of 1949, as amended (40 U.S.C. 4901(f)), for the purposes set forth in the provisions contained under such heading is reduced by
$15,000,000, which reduction shall apply specifically to the limitation on rental of space under clause (4) of such provisions.
Unresolved and Sec. 305. All unresolved audits currently pending within agencies and new rudits. departments, for which appropriations are made under this Act, shall be resolved not later than September 30, 1981. Any new audits, involving questioned costs, arising after the enactment of this Act shall be resolved within 6 months. Delinquent debts. Sec. 306. Each department and agency for which appropriations are made under this Act shall take immediate action (1) to improve the collection of overdue debts owed to the United States within the jurisdiction of that department or agency; (2) to bill interest on delinquent debts as required by the Federal Claims Collection Standards; and (3) to reduce amounts of such debts written off as uncollectible. Funds for Sec. 307. (a) Effective October 1,1981, for application in fiscal year consulting services 1982, a department, agency, or establishment, as defined by section 2, and information subchapter I, chapter 1, title 31, United States Code, shall submit submittal to annually to the llouse and Senate Appropriations Committees, as part congressional ofits budget justification, the estimated amount of funds requested for committees. consulting services; the appropriation accounts in which these funds are 31 USC 28. located; and a brief description of the need for these services, including a list of those major programs that require consulting services. Agency budget (b) Effective October 1,1981, for application in fiscal year 1982, the controls and Inspector General of such department, agency, or establishment, or progress, comparable official, or if the agency has no inspector General or submittal to comparable official, the agency head or the agency head's designee, Congress. shall submit to the Congress along with the agency's budget justification, an evaluation of the agency's progress to institute I 33 /* yn
effective management controls and improve the accuracy and completeness, of the data provided to the Federal Procurement Data System regarding consultant service contractual arrangements. Approved July 8,1980. Public Law 96-69 93 Stat. 449 An Act sent. 211979 Making appropriations for energy and water development for the fiscal year ending September 30,1980, and for other purposes. Energy and Water Be it enacted by the Senate and House ofRepresentatives of she United Development States ofAmerica in Congress assembled. , Appropriation i Act,1980. Plat the following sums are appropriated, out of any money in the Treasury not otherwise appropriated, for the fiscal year ending September 30,1980, for energy and water development, and for other purposes, namely: TITLE IV-INDEPENDENT AGENCIES j i NUCLEAR REGULATORY COMMISSION ! SAIARIES AND EXPENSES For necessary expenses of the Commission in carrying out the 42 USC 5801 purposes of the Energy Reorganization Act of 1974, as amended, note. including the employment of aliens; services authorized by 5 U.S.C. 3100; publication and dissemination of atomic information; purchase, repair, and cleaning of uniforms; official entertainment expenses (not to exceed $12,500); reimbursement of the General Services Admini:tration for security guard services; hire of passenger motor vehicles and aircraft; $363,340,000, to remain available until expended: Provided, That from this appropriation, transfer of surrs may be made to other agencies of the Government for the performr.nce of the work for which this appropriation is made, and in such cases the sums so transferred may be merged with the appropriation to which transferred: Providedfunher, That moneys received by the Commission for the cooperative nuclear safety research programs may be retained and used for salaries and expenses associated with those programs, notwithstanding the provisions of 31 U.S.C. 484, and shall remain available until expended: Providedfurther, that 731 personnel positions shall be allocated exclusively. to the Office of Nuclear Reactor Regulation to carry out those responsibilities authorized by law. TITLE V-GENERAL PROVISION Sec. 501. No part of any appropriation contained in this Act shall remain available for obligation beyond the current fiscal year unless expressly so provided herein. Approved September 25,1979.
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Public Law 95-482 92 Stat.1603 JOINT RESOLUTION Oct.18.1978 Making minuing appropriations for the fiscal year 1979, and for other put ooses. Resolved ty the Senate and House ofRepresentatives of the United States ' ofAmerica in Congress assembled,' That the following sums are appropriated out of any money in the Treasury not otherwise appropriated, and out of applicable corporate or other revenues, receipts, and funds, for the several departnents, agencies, corporations, and other organizational units of the Govern-ment for the fiscal year 1979. Sec.101. (b) Such amounts as may be necessary, notwithstanding any other provision of this joint resolution, for the fiscal year ending Sep-tember 30,1979, for programs, projects, and aethities to the extent and { in the manner provided for in the Energy and Water Development ' Appropriation Act,1979 (H.R.12928) as enacted by the Congress.1 ) Approved October 18,1978. 1 Public Law 95-355 92 Stat. 538 An Act ! Sent.8.1978 Mating supplemental appropriations for the fiscal year ending j September 30,1978, and for other purposes. i Second Be it enacted by the Senate and House of Representatives of the United l Supplemental States ofAmenca in Congress assembled, Appropriations Act,1978. That the following sums are appropriated, out of arry money in the l Treasury not otherwise appropriated, to supply supplemental l appropriations (this act may be cited as the "Second Supplementa! . Appropriations Act,1978") for the fiscal year ending September 30, l 1978, and for other purposes, namely: ' TITLEI-INDEPENDENT AGENCIES NUCLEAR REGULATORY COMMISSION SALARIES AND EXPENSES ) For an additional amount for " salaries and expenses", 53,600,000, to remain available until expended. 1NRC's appropristion (provided for la H.R.12928) as enacted by Congresa is as follows: PkOCLEAR RI'G01ATORY Conf %f tS$10N
" sat. ARIES AND EXPENSES--For necennary expenses of the t' la carrying out the purposes of the Energy Reorganization Act of 1974, as amended. inclusimg the employnws of alices, servues authorized by 5 U.S.C 2109; publicatme and dissemiaanos of atomic informatma. purchase, repair. and cleaning of uniforms; officialesser.
tainment expenses (sos toexceed $15.000); resmbersenwnt of the General Services Adnunistraten for security guard acrvres; hire of passenger motor vehrles and aimaft;1322.301.000, to remata available aniil expended. Nidal That from thisappropriation, transfer of sunn may be made touther agencies of the Government for the perfarna. ace of the work for whrh ibis approprtauon is made, and in such casca the sums no transferred may be merged wuh the appropisten to which transferred: fruittnifurs/wr. That noneys received by the Commission for the couperative I nuclear safety research pograma may le retaiard and used for salaries and exynnes sinociated with those pogra % morwathstandmg the pov6uuns of sectmp 3617 of the Revised Siatutes (31 U.sr. 484), and shallremain available until expended." [ 35 #)
I TITLE II-INCREASED PAY COSTS FOR THE FISCAL YEAR 1978
. NUCLEAR REGULATORY COMMISSION l " Salaries and expenses"; $5,000,000, to remain available until ex-l pended; >
TITLE III-GENERAL PROVISIONS Fiscal year Sec. 301. No part of any appropriation contained in this Act shall limitation. remain available for obligation beyond the current fiscal year unless expressly so provided herein. Sec. 302. Except where specifically increased or decreased elsewhere in this Act, the restrictions contained within appropriations, or provi-sions affecting appropriations or other funds, available during the fiscal year 1978, limiting the amounts which may be expended for personal services, or for purposes involving personal senices, or amounts which may be transferred between appropriations or authorizations available . for or involving such services, are hereby increased to the extent neces-sary to meet increased pay costs authorized by or pursuant to law. Approved September 8,1978. Public Law 95 96 91 Stat. 807 An Act dugust 7.1977 Making appropriations for public works for water and power development and energy research for the fiscal year .ending September 30,1978, and for other purp;6es. NUCLEAR REGULATORY COMMISSION SAIARIES AND EXPENSES 42 USC 5801 For necessary expenses of the Commission in carrying out the note. purposes of the Energy Reorganization Act of 1974, including the employment of aliens; services authorized by 5 U.S.C. 3109; publication and dissemination of atomic information; purchase, repair, and cleaning of uniforms; official entertainment expenses (not to exceed
$10,000); reimbursement of the General Services Administration for security guard senices; hire of passenger motor vehicles and aircraft;
$281,423,000, to remain available until expended: Provided, That from this appropriation, transfer of sums may be made to other agencies of the Government for the performance of the work for which this appropriation is made, and in such cases the sums so transferred may be ;
merged with the appropriation to which transferred: Providedfunher, , That moneys received by the Commission for the cooperative nuclear safety research programs may be retained and used for salaries and expenses associated with those programs, notwithstanding the provisions of section 3617 of the Revised Statutes (31 U.S.C. 484), and shall remain available until expended. w 36 l
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i TITLE V-GENERAL PROVISIONS Fiscal year Sec. 501. No part of any appropriation contained in this Act shall limitotion. remain available for obligation beyond the current fiscal year unless expressly so provided herein. Short title. This Act may be cited as the "Public Works for Water and Power Development and Energy Research Appropriation Act,1978". Approved August 7,1977. Public Law 95-26 91 Stat.112 An Act Making supplemental appropriations for the fiscal year ending September 30,1977, and for other purposes. TITLE II-INCREASED PAY COSTS FOR THE FISCAL YEAR 1977 l For additional cmounts for appropriation for the fiscal year 1977, for increased pay costs authorized by or pursuant to law, as follows: NUCLEAR REGULATORY COMMISSION
" Salaries and expenses", $4,350,000, to remain available until ex-pended.
Public Law 94-355 90 Stat. 889 An Act July 12.1976 Making appropriations for public works for water and power development l and energy research, including the Corps of Engineers-Civil, the Bureau of Reclamation, power agencies of the Department of the Interior, the Appalachian regional development programs, the Federal i Power Commission, the Tennessee Valley Authority, the Nuclear i Regulatory Commission, the Energy Research and Development Administration, and related independent agencies and commissions for 4 the fiscal year ending September 30,1977, and for other purposes. Public WorLs Be it enacted by the Senate and House of Representatives of the United
- for Water and States ofAmerica in Congress assembled, ,
Power Develop- ' ment and Energy That the following sums are appropriated, out of any money in the Research Appro- Treasury not otherwise appropriated, for the fiscal year ending j priation Act,1977. September 30,1977, for public works for water and power development and energy research, including the Corps of Engineers-Civil, the Bureau of Reclamation, power agencies of the Department ofInterior, the Appalachian regional development programs, the Federal Power Commission, the Tennessee Valley Authority, the Nuclear Regulatory Commission, the Energy Research and Development Administration, and telated independent agencies and commissions, and for other purposes, namely:
<-~~
37 [ f l
l i l TITLE IV-INDEPENDENT OFFICES NUCLEAR REGULATORY COMMISSION , 1 SALARIES AND EXPENSES 42 USC 5801 For necessarj- expenses of the Commission in carrying out the note. purposes of the Energy Reorganization. Act of 1974, including the employment of aliens; services authorized by5 U.S.C. 3109; publication I and dissemination of atomic information; purchase, repair, and cleaning of uniforms; official entertainment expenses (not to exceed
$10,000); reimbursement of the General Services Administration for security guard services; hire of passenger motor vehicles and aircraft;
$244,430,000, toremain available until expended: Provided, That from this appropriatica, transfer of sums may be made to other agencies of I the Government for the performance of the work for which this )
l appropriation is made, and m such cases the sums so transferred may be merged with the appropriation to which transferred: Providedfurther, Moneys received by the Commission for the cooperative nuclear safety research programs may be retained and used for salaries and expenses associated with those programs, notwithstanding the provisions of section 3617 of the Revised Statutes (31 U.S.C. 484), and shall remain available until expended. Public Law 94-180 89 Stat.1035 l An Act Dec. 26.1975 Making appropriations for public works for water and power development and energy research, including the Corps of Engineers-Civil, the Bureau of Reclamation, power agencies of the 6 Department of the Interior, the Appalachian regional development programs, the Federal Power Commission, the Tennessee Valley Authority, the Nuclear Regulatory Commission, the Energy Research and Development Administration, and related independent agencies and commissions for the fiscal year ending June 30,1976, and the period ending September 30,1976, and for other purposes. l Public Wotks Be it enacted Iy the Senate and House of Representatives of the United for Water and States ofAmerica in Congress assembled, Power Develop-ment and Energy That the following sums are appropriated, out of any money in the Research Appro- Treasury not otherwise appropriated, for the fiscalyear ending June 30, l prittion Act,1976.1976, and the period ending September 30,1976, for public works for water and power development and energy research, including the Corps of Engineers-Civil, the Bureau of Reclamation, power agencies . of the Department of the Interior, the Appalachian regional I development programs, the Federal Power Commission, the Tennessec l Valley Authority, the Nuclear Regulatory Commission, the Energy i i Research and Development Administration, and related independent agencies and commissions, and for other purposes, namely: j l- 38 g I
TITLE IV-INDEPENDENT OFFICES 42 USC 5801 NUCLEAR REGULATORY COMMISSION note. SALUUES AND EXPENSES For necessary expenses of the Commission in carrying out the pur-poses of the Energy Reorganization Act of 1974, including the employ-ment of aliens; services authorized by 5 U.S.C. 3109; publication and dissemination of atomic information; purchase, repair, and cleaning of uniforms; official entertainment expenses (not to exceed $7,000); reim-bursement of the General Services Administration for security guard services; hire of passenger motor vehicles and aircraft; $215,423,000; Provided, That from this appropriation, transfers of sums may be made to other agencies of the Government for the performance of the work for which this appropriation is made, and in such cases the sums so transferred may be merged with the appropriation to which trans-ferred. For " Salaries and expenses" in accordance with the above provisions for the period July 1,1976, through September 30,1976, $51,425,000. Fiscal year TITLE V--GENERAL PROVISIONS ' limitation. Sec. 501. No part of any appropriation contained in this Act shall remain available for obligation beyond the current fiscal year unless expressly so provided herein, except as provided by section 204 of Public Law 93-554. Space and Sec. 502. No part of any appropriation contained in this Act shall be service charges. available for paying to the Administrator of the General Services Administration in excess of 90 per centum of the standard level user charge established pursuant to section 210(j) of the Federal Property 40 USC 490 and Administrative Services Act of 1949, as amended, for space and < services. ') Short Title. This Act may be cited as the "Public Works for Water and Power j Development and Energy Research Appropriation Act,1976". j 4 l l 1 l I l p> I l l I
- NRC A'TROPRIATIONS l
Public Law 94-32 89 Stat.173 An Act June 12.1975 Making supplemental appropiations for the fiscal year ending June 30, 1975, and for other purposes Second Be it enacted by the Senate and House ofRepresentatives of the United Supplemental States ofAmerica in Congress assembled, Appropriations Act,1975. That the following sums are appropriated, out of any money in the Treasury not otherwise appropriated, to supply supplemental i appropriations (this Act may be cited as the "Second Supplemental Appropriaions Act,1975) for fiscal year ending June 30,1975, and for j the other purposes, namely: TITLE I--CHAPTER VIII NUCLEAR REGULATORY COMMISSION SALARIES AND EXPENSES For necessary e::penses of the Nuclear Regulatory Commission as authorized by law, including services as authorized by 5 U.S.C. 3109,
$44,400,000, to remain available until expended.
TITLE II-INCREASED PAY COSTS For additional amounts for appropriations for the fiscal year 1975, for increased pay costs authorized by or pursuant to law, as follows: ENERGY RESEARCH AND DEVELOPMENT ADMINISTRATION
" Operating expenses", $5,681,000, to remain available until ex-pended; NUCLEAR REGULATORY COMMISSION
" Salaries and expenses", $1,540,000, to remain available until ex-pended; TITLE III--GENERAL PROVISIONS Fiscal year Sec. 301. Na part of any appropriation contained in tnis Act shall limitation remain availabh. for obligation beyond the current fiscal year unless expressly so pro /ided herein.
Sec. 302. Except where specifically increased or decreased elsewhere in this Act, the restrictions contained within appropriations, or provi-sions affecting appropriations or other funds, available during the fiscal year 1975, limiting the amounts which may be expended for personal services, or for purposes involving personal services, or amounts which l may be transferred between appropriations or authorizations available for or involving such services, are hereby increased to the extent neces-say to meet increased pay costs authorized by or pursuant to law.
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GSA, space Sec. 303. No part of any appropriation, funds, or other authority and services. cont:.ined in this Act shall be available for paying to the Administrator of the General Services Administration in excess of 90 per centum of the standard level user charge established pursuant to section 210 (j) of the Federal Property and Administrative Services Act of 1949, as amended, for space and services. 40 USC 490 Sec. 304. No part of the funds contained in this Act may bs, used to Busing. force any school or school district which is desegregated as that term is 42 USC 2000c defined in title IV of the Civil Rights Act of 1964, Public Law 88-352, to take any action to force the bu:,bg of students; to force on account of race, creed, or color '.he abolishment of any school so desegregated; or to force the transfer or assignment to any student attending any elementary or secondary school so desegregated to or from a particular school over the protest of his or her parents or parent. Busing Sec. 305. (a) No part of the funds contained in this Act shall be used to force any school or school district which is desegregated as that term is 42 USC 2000c defined in title IV of the Civil Rights Act of 1964, Public Law 88-352, to take any action to force the busing of students; to require the abolishment of any school so desegregated; or to force on account of race, creed, or color the transfer of students to or from a particular school so desegregated as a condition precedent to obtaining Federal funds otherwise available to any State, school district, or school. School transpor- (b) No funds appropriated in this Act may be used for the transporta-tition funds. tion of students or teachers (or for the purchase of equipment for such transportation) in order to overcome racial imbalance in any school or school system, or for the transportation of students or teachers (or for the purchase of equipment for such transportation) in order to carry out a plan of racial desegregation of any school system. U.S. Postal Sec. 306. Unobligated balances of operation and maintenance appro-Service, re- priations available to the Department of Defense-Military, in an imbursement. amount not to exceed $18,950,000 in fiscal year 1973 and $23,891,000 in fiscal year 1974, shall be available to reimburse the United States Postal Service for service rendered to the Department of Defense during those fiscal years. l l i I
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Public Law 101-576 104 Stat. 2838 CHIEF FINANCIAL OFFICERS ACT OF 1990 PAGE USC 31 USC Sec. Sec.101 Short Title . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44 . . . . . 501 Sec.102 Findings and Purposes. . ..... ............. 44 ..... 501 Sec. 201 Deputy Director for Management . . . . . . . . . .... 45 ......... Sec. 202 Functions of Deputy Director for Management. . . . . . . . . . . . . . . . . . ........ . 45 ...... ... Sec. 203 Office of Federal Financial Management. . . . . . . . . 47 . . . . . . . . .
' Sec.204 Duties and Functions of the Department of the Treasury . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48 .. . 501 Sec. 205 Agency Chief Financial Officers . . . . . . . . . . . . . . . . 48 . . . . . . . . . .
Sec. 206 Transfer of Functions and Personnel of Agency Clief Financial Officers . . . . . . . ...... 52 ..... 901 Sec.207 Compenaation .... ......... .. . ......... 53 ... ..... Sec. 301 Financial Management Status Report; 5-year Plan of Director of Office of Management and Budget . . . . . . . . . . . . . . . . . . . 54 .......... Sec. 302 Chief Financial Officers Council . . . . . . . . . . . . . 56 .. . 901 Sec. 303 Financial Statements of Agencies . . . . . . . . . . . . . 56 . . . . . .. Sec. 304 Financial Audits of Agencies . . . . . . . . . . . . . . . . . . 60 . . . . . . . . . Sec. 305 Financial Audits of Government Corporations . . . 61. . . . . . . . Sec. 306 Management Reports of Government Corporations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 62 . . . . . . . . . . Sec. 307 Adoption of Capital Accounting Standards . . . . . . . . 63 .... 3511 l l I i' i l-i
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"q Public Law 101-576 104 Stat. 2838 An Act Nov.15.1990 - To amend title 31, United States Code, to improve the general and
- [lI.R. 5687] financial management of the Federal Government.
De it enacted by the Senate and House of Representatives of the United
- Chici States ofAmerica in Congress assembled, Financial Officerr Act of 1990. TITLE I--GENERAL PROVISIONS 31 USC 501 note. SEC.101. SIIORT TITLE.
This Act may be cited as the " Chief Financial Officers Act of 1990'. 31 USC 501 note. SEC.102. FINDINGS AND PURPOSES. (a) FINDINGS.-The Congress finds the following:
. (1) General management functions of the Office of Manage-
! ment and Budget need to be significantly enhanced to improve the efficiency and effectiveness of the Federal Government.
(2) Financial management functions of the Office of Manage-ment and Budget need to be significantly enhanced to provide overall direction and leadership in the development of a modern Federal financial management structure and associated systems. (3) Billions of dollars are lost each year through fraud, waste, abuse, and mismanagement among the hundreds of programs in the Federal Government. (4) These losses could he significantly decreased by improved management, including improved central coordination ofinternal controls and financial accounting, (5) The Federal Government is in great need of fundamental reform in financial management requirements and practices as financial management systems are obsolete and inefficient, and do not provide complete, consistent, reliable, and timely informa-t i on. (6) Current financial reporting practices of the Federal Govern-ment do not accurately disclose the current and probable future cost of operating and investment decisions, including the future need for cash or other resources, do not permit adequate compari-son of actual costs among executive agencies, and do not provide the timely information required for efficient management of pro-grams. (b) PURPOSES.-The purposes of this Act are the following: (1) Bring more effective general and financial management practices to the Federal Government through statutory provisions which would establish in the office of Management and Budget a Deputy Director for Management, establish an Office of Federal Financial Management headed by a Controller, and designate a Chief Financial Officer in each executive department and in each major executive agency in the Federal Government. ffh,
(2) Provide for improvement, in each agency of the Federal Government, of systems of accounting, financial management, and internal controls to assure the issuance of reliable financial information and to deter fraud, waste, and abuse of Government resources. (3) Provide for the production of complete, reliable, timely, and consistent financial information for use by the executive branch of the Government and the Congress in the financing, management, and evaluation of Federal programs. TITLE II-ESTABLISIIMENT OF CIIIEF FINANCIAL OFFICERS SEC. 201. DEPUTY DIRECTOR FOR MANAGEMENT. Section 502 of title 31, United States Code, as amended by this Act,is amended-th(is section, as subsections (d), (c), and (f); and1) by redesignating subsections (2) by inserting after subsection (b) the following:
"(c)The Office has a Deputy Director for Management appointed by the President, by and with the advice and consent of the Senate. The Deputy Director for Management shall be the chief official responsible for financial management in the United States Government.".
SEC. 202. FUNCTIONS OF DEPUTY DIRECTOR FOR MAN-AGEMENT. (a) CLERICAL AMENDMENTS.-Sections 503 and 504 of title 31, United States Code, are redesignated in order as sections 505 and 506, respectively. (b) FUNCTIONS OF DEPUTY DIRECTOR FOR MANAGE-MENT.-Subchapter I of chapter 5 of title 31, United States Code, is amended by inserting after section 502 the following:
"5503. Functions of Deputy Director for Management '
l
"(a) Subject to the direction and approval of the Director, the Deputy )
Director for Management shall establish governmentwide financial l management policies for executive agencies and shall perform the fol- l lowing financial management functions: ,
"(1) Perform all functions of the Director, including all functions delegated by the President to the Director, relating to financial management.
"(2) Provide overall direction and leadership to the executive ..
branch on financial management matters by establishing financial i management policies and requirements, and by monitoring the establishment and operation of Federal Government financial management systems.
"(3) Review agency budget requests for financial management systems and operations, and advise the Director on the resources required to develop and effectively operate and maintain Federal 45 /D
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Government financial management systems and to correct major deficiencies in such systems.
"(4) Review and, where appropriate, recommend to the Direc-tor changes to the budget and legislative proposals of agencies to ensure that they are in accordance with financial management plans of the Office of Management and Budget.
"(5) Monitor the financial execution of the budget in relation to actual expenditures, including timely performance reports.
"(6) Oversee, periodically review, and make recommendations to heads of agencies on the administrative structure of agencies with respect to their financial management activities.
"(7) Develop and maintain qualification standards for agency Chief Financial Officers and for agency Deputy Chief Financial Officers appointed under sections 901 and 903, respectively.
"(8) Provide advice to agency heads with respect to the selection of agency Chief Financial Officers and Deputy Chief Financial Officers.
"(9) Provide advice to agencies regarding the qualifications, re-crmtment, performance, and retention of other financial manage-ment personnel.
"(10) Assess the overall adequacy of the professional qualifica-tions and capabilities of financial management staffs throughout the Government and make recommendations on ways to correct ;
problems which impair the capacity of those staffs.
"(11) Settle differences that arise among agencies regarding the implementation of financial management policies. j
"(12) Chair the Chief Financial Officers Council established by j section 302 of the Chief Financial Officers Act of 1990. '
"(13) Communicate with the financial officers of State and local governments, and foster the exchange with those officers ofinfor-mation concerning financial management standards, techniques, and processes.
"(14) Issue such other policies and directives as may he neces-sary to carry out this section, and perform any other function prescribed by the Director.
"(b) Subject to the direction and approval of the Director, the Deputy Director for Management shall establish general management policies for executive agencies and perform the following general management functions:
l
"(1) Coordinate and supervise the general management func- j tions of the Office of Management and Budget, j
"(2) Perform all functions of the Director, including all functions delegated by the President to the Director, relating to-
"(A) managerial systems, including the systematic mea-i surement of performance; j
"(B) procurement policy; I
"(C) grant, cooperative agreement, and assistance man-agement;
"(D) information and statistical policy;
"(E) property management; p .,
v l t J
"(F) human resources management;
"(G) regulatory affairs; and
"(11) other management functions, including organization-al studies,long-range planning, program evaluation, produc-tivity improvement, and experimentation and demonstra-tion programs.
"(3) Provide complete, reliable, and timely information to ilie President, the Congress, and the public regarding the manage-ment activities of the executive branch.
"(4) Facilitate actions by the Congress and the executive branch to improve the management of Federal Government operations and to remove impediments to effective administration.
"(5) Provide leadership in management innovation, through
"(A) experimentation, testing, and demonstration pro-grams; and
"(B) the adoption of modern management concepts and technologies.
"(6) Work with State and local governments to improve and strengthen intergovernmental relations, and provide assistance to such governments with respect to intergovernmental programs and cooperative arrangements.
"(7) Review and, where appropriate, recommend to the Direc-tor changes to the budget and legislative proposals of agencies to ensure that they respond to program evaluations by, and are in accordance with general management plans of, the Office of Man-agement and Budget. I
"(8) Provide advice to agencies on the qualification, recruit-ment, performance, and retention of managerial personnel. l
"(9) perform any other functions prescribed by the Director.". !
SEC. 203. OFFICE OF FEDERAL FINANCIAL MANAGEMENT. (a) ESTABLISIIMENT.-Subchapter I of chapter 5 of title 31, United States Code, as amended by this Act,is amended by inserting after section 503 (as added by section 202 of this Act) the following:
"1504. Office of Federal Financial Management i
"(a) There is established in the Office of Management and Budget an office to be known as the ' Office of Federal Financial Management'.
l'he Office of Federal Financial Management, under the direction and , control of the Deputy Director for Management of the Office of Man-agement and Budget, shall carry out the financial management func-tions listed in section 503(a) of this title.
"(b) There shall be at the head of the Office of Federal Financial Management a Controller, who shall be appointed by the President, by and with the advice and consent of the Senate. The Controller shall be appointed from among individuals who possess- !
"(1) demonstrated ability and practical experience in account-i ing, financial management, and financial systems; and
"(2) extensive practical experience in financial management in large governmental or business entities.
1 5 W 47
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"(c) The Controller of the Office of Federal Financial Management shall be the deputy and principal advisor to the Deputy Director for Management in the performance by the Deputy Director for Manage-ment of functions described in section 503(a).". .
(b) STATEMENT OF APPROPRIATIONS IN BUDGET.-Section 1105(a) of title 31, United States Code,is amended by adding at the end
. the following:
"(28) a separate statement of the amount of appropriations
, requested for the Office of Federal Financial Management.".
-(c) CLERICAL AMENDMENT.-The table of contents at the be-3i nning of chapter 5 of title 31, United States Code, is amended by -
striking the items relating to sections 503 and 504 and inserting the f)llowing:
' "503. Functions of Deputy Director for Management.
"504. Office of Federal Financial Management.
"505. Office ofInformation and Regulatory Affairs.
*506. Office of Federal Procurement Policy.".
I I 31 USC 501 note. SEC. 204. DUTIES AND FUNCTIONS OF THE DEPARTMENT OF THE TREASURY. Nothing in this Act shall be construed to interfere with the exercise of the functions, duties, and responsibilities of the Department of the Treasury, as in effect immediately before the enactment of this Act. SEC. 205. AGENCY CHIEF FINANCIAL OFFICERS. (a) IN GENERAL-Subtitle I of title 31, United States Code, is amended by adding at the end the following new chapter: l
" CHAPTER 9-AGENCY CHIEF FINANCIAL OFFICERS -
M "sec.
"901. Establishment of agency Chief Financial Officers.
"902. Authority and functions of agency Chief Financia: Officers.
"903. Establishment of agency Deputy Chief Financial Officers. j
"$901. Establishanent of agency Chief Finanelal Officers -
"(a) There shall be within each agency described in subsection (b) an l agency Chief Financial Officer. Each agency Chief Financial Officer shall-
"(1) for those agencies described in subsection (b)(1)-
' "(A) be appointed by the President, by and with the advice l
and consent of the Senate; or
"(B) be designated by the President, in consultation with the head of the agency, from among officials of the agency who are required by law to be so appointed; l l "(2) for those agencies described in subsection (b)(2)- '
l "(A) be appointed by the head of the agency;
"(B) be in the competitive service or the senior executive service; and
"(C) be career appointees; and 48 u
i
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1 1
"(3) be appointed or designated, as applicable, from among individu-als who possess demonstrated ability m general management of, and knowledge of and extensive practical experience in financial manage-ment practices in large governmental or business entities.
"(b)(1) The agencies referred to in subsection (a)(1) are the followmg:
"(A) The Department of Agriculture.
"(B) The Department of Commerce.
"(C) The Department of Defense.
"(D) The Department of Education.
"(E) The Department of Energy.
"(F) The Depart.nent ofIIcalth and liuman Services.
"(G) The Department of Ilousing and Urban Develop-ment.
"(II)The Department of the Interior.
"(I) The Department of Justice.
"(J) The Department of Labor.
"(K) The Department of State.
"(L) The Department of Transportation.
"(M) The Department of the Treasury.
, "(N) The Department of Veterans Affairs.
"(O) The Emironmental Protection Agency.
"(P) The National Aeronautics and Space Administration.
, "(2) The agencies referred to in subsection (a)(2) are the follow-mg:
"(A) The Agency for International Development.
"(B) The Federal Emergency Management Agency.
"(C) The General Services Administration.
"(D) The National Science Foundation.
"(E) The Nuclear Regulatory Commission.
"(F) The Office of Personnel Management.
"(G) The Small Business Administration.
"5902. Authority and functions of agency Chief Financial Omcers
"(a) An agency Chief Financial Officer shall-
"(1) report directly to the head of the agency regarding financial management matters;
"(2) oversee all financial management activities relating to the programs and operations of the agency;
"(3) develop and maintain an integrated agency accounting and financial management system, including finaucial reporting and internal controls, which-
"(A) complies with applicable accounting principles, stan-dards, and requirements, and internal control standards;
"(B) complies with such policies and requirements as may be prescribed by the Director of the Office of Management and Budget;
"(C) complies with any other requirements applicable to such systems; and
"(D) provides for-e-
49
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"(i) complete, reliable, consistent, and timely infor-mation which is prepared on a uniform basis and which is responsive to the financial information needs of agency management;
"(ii) the development and reporting of cost informa-tion;
'"(iii) the integration of accounting and budgeting in-formation; and
"(iv) the systematic measurement of performance;
"(4) make recommendations to the head of the agency regarding the selection of the Deputy Chief Financial Officer of the agency;
"(5) direct, manage, and provide policy guidance and oversight of agency financial management personnel, activities, and opera-tions, including-
"(A) the preparation and annual revision of an agency plan to-
"(i) implement the 5-year financial management plan prepared by the Director of the Office of Management and Budget under section 3512(a)(3) of this title; and
"(ii) comply with the requirements established under sections 3515 and subsections (e) and (f) of section 3521 of this title;
"(B) the development of agency financial management budgets;
"(C) the recruitment, selection, and training of personnel to carry out agency financial management functions;
"(D) the approval and management of agency financial management systems design or enhancement projects;
"(E) the implementation of agency asset management sys-tems, including systems for cash management, credit man-agement, debt collection, and property and inventory man-agement and control; Reports. "(6) prepare and transmit, by not later than 60 days after the submission of the audit report required by section 3521(f) of this title, an annual report to the ageng head and the Director of the Office of Management and Budget, which shall include-
"(A) a description and analysis of the status of financial management of the agency;
"(B) the annual financial statements prepared under sec-tion 3515 of this title;
"(C) the audit report transmitted to the head of the agency under section 3521(f) of this title;
"(D) a summary of the reports on internal accounting and administrative control systems submitted to the President and the Congress under the arnendments made by the Feder-al Managers' Financial Integrity Act of 1982 (Public Law 97-255); and
"(E) other information the head of the agency considers appropriate to fully inform the President and the Congress concerning the financial management of the agency; 50 [
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Reports. "(7) monitor the financial execution of the budget of the agency I in relation to actual expenditures, and prepare and submit to the head of the agency timely performance reports; and
"(8) review, on a biennial basis, the fees, royalties, rents, and other charges imposed by the agency for services and things of value it provides, and make recommendations on revising'those charges to reflect costs incurred by it in providing those services and things of value.
"(b)(1)In addition to the authority otherwise provided by this section, each agency Chief Financial Officer-
"(A) subject to paragraph (2), shall have access to all re-cords, reports, audits, reviews, documents, papers, recom-mendations, or other material which are the property of the agency or which are available to the agency, and which relate to programs and operations with respect to which that agency Chief Financial Officer has responsibilities under this section;
"(B) may request such information or assistance as may be necessary for carrying out the duties and responsibilities pro-vided by this section from any Federal, State, or local govern-mental craity; and
"(C) to the extent and in such smounts as may be provided in advance by appropriations Mts, may-
"(i) enter into contracts and other arrangements with public agencies and with private persons for the prepa-ration of financial statements, studies, analyses, and other services; and
"(ii) make such payments as may be necessary to carry out the provisions of this section.
"(2) Except as provided in paragraph (1)(B), this subsection does not provide to an agency Chief Financial Officer any access greater thsa permitted under any other law to records, reports, audits, reviews, documents, papers, recommendations, or other material of any Office ofInspector General established under the Inspector General Act of 1978 (5 U.S.C. App.).
"6903. Establishment of agency Deputy Chief Financial Officers
"(a) There shall be within each agency described in section 901(b) an agency Deputy Chief Financial Officer, who shall report directly to the agency Chief Financial Officer on financial management matters. The position of agency Deputy Chief Financial Officer shall be a career reserved position in the Senior Executive Service.
"(b) Consistent with qualification standards developed by, and in consultation with, the agency Chief Financial Officer and the Director of the Office of Management and Budget, the head of each agency shall appoint as Deputy Chief Financial Officer an individual with demon-strated ability and experience in accounting, budget execution, finan-cial and management analysis, and systems development, and not less than 6 years practical experience in financial management at large governmental entities.",
.)
sy i l
I l (b) CLERICAL AMENDMENT.-The table of chapters at the be-ginning of subtitle I of title 31, United States Code, is amended by - adding at the end the following:
"9. Agency Chief Financial Officers. . . . . . . . . . . . . . . . . . . . . . 901."
31 USC 901 note (c) CillEF FINANCIAL OFFICERS OF DEPARTMENT OF VET-l ERANS AFFAIRS AND DEPARTMENT OF HOUSINO AND UR-BAN DEVELOPMENT. l (1) DESIGNATION.-The Secretary of Veterans Affairs and the Secretary ofIlousing and Urban Development may each des-ignate as the agency Chief Financial Officer of that department for purposes of section 901 of title 31, United States Code, as amended by this section, the officer designated, respectively, un- , der section 4(c) of the Department of Veterans Affairs Act (38 U.S.C. 201 note) and section 4(e) of the Department of liousing and Urban Development Act (42 U.S.C. 3533(e)), as in effect before the effective date of this Act. (2) CONFORMING AMENDMENT.-Section 4(c)of the De-partment of Veterans Affairs Act (38 U.S.C. 201 note) and section 4(e) of the Department ofIlousing and Urban Development Act (42 U.S.C. 3533(c)), as added by section 121 of Public Law 101-235, are repealed. 31 USC 901 note SEC. 206. TRANSFER OF FUNCTIONS AND PERSONNEL OF AGENCY CIIIEF FINANCIAL OFFICERS. (a) AGENCY REVIEWS OF FINANCIAL MANAGEMENT AC-TIV' TIES.-Not later than 120 days after the date of the enactment of l this Act, the Director of the Office of Management and Budget shall require each agency listed in subsection (b) of section 901 of title 31, l ' United States Code, as amended by this Act, to conduct a review ofits I financial management activities for the purpose of consolidating its [ accounting, budgeting, and other financial management activities un-der the agency Chief Financial Officer appointed under subsection (a) of that section for the agency. l (b) REORGANIZATION PROPOSAL-Not later than 120 days after the issuance of requirements under subsection (a) and subject to all laws vesting functions in particular officers and employees of the United States, the head of each agency shall submit to the Director of l the Office of Management and Budget a proposal for reorganizing the agency for the purposes of this Act. Such proposal shall include-(1) a description of all functions, powers, duties, personnel, property, or records which the agency Chief Financial Officer is proposed to have authority over, including those relating to func-tions that are not related to financial management activities; and (2)a detailed outline of the administrative structure of the office of the agency Chief Financial Officer, including a description of the responsibility and authority of financial management person-nel and resources in agencies or other subdivisions as appropriate to that agency. l 52 f hc2 /
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I i
(c) REVIEW AND APPROVAL OF PROPOSAL-Not later than 60 days after receiving a proposal from the head of an agency under subsection (b), the Director of the Office of Management and Budget shall approve or disapprove the proposal and notify the head of the agency of that approval or disapp oval. The Director shall approve each proposal which establishes an age.acy Chief Financial Officer in confor-mance with section 901 of title 31 United Sates Code, as added by this l Act, and which establishes a financial management structure reason- { j ably tailored to the functions of the agency. Upon approving or disap-proving a proposal of an agency under this section, the Director shall transmit to the head of the agency a written notice of that approval or disapproval. (d) IMPLEMENTATION OF PROPOSAL-Upon receiving writ-ten notice of approval of a proposal under this section from the Direc-tot of the Office of Management and Budget, the head of an agency shallimplement that proposal. { SEC. 207. COMPENSATION. (a) COMPENSATION, LEVEL II.-Section 5313 of title 5, United States Code, is amended by adding at the end the following: i
" Deputy Director for Management, Office of Management and j Budget.".
(b) COMPENSATION, LEVEL lil.-Section 5314 of title 5, United States Code, is amended by adding at the end the following:
" Controller, Office of Federal Financial Management, Office of Management and Budget.".
(c) COMPENSATION, LEVEL IV.-Section 5315 of title 5, United j States Code, is amended by adding at the end the following: {
" Chief Financial Officer, Department of Agriculture. j
" Chief Financial Officer, Department of Commerce. '
" Chief Financial Officer, Department of Defense.
" Chief Financial Officer, Department of Education.
" Chief Financial Officer, Department of Energy. ;
" Chief Financial Officer, Department of IIcalth and 11uman j Services.
" Chief Financial Officer, Department of flousing and Urban Development.
" Chief Financial Officer, Department of the Interior.
" Chief Financial Officer, Department of Justice.
" Chief Financial Officer, Department of Labor.
" Chief Financial Officer, Department of State.
" Chief Financial Officer, Department of Transportation.
" Chief Financial Officer, Department of the Treasury.
" Chief Financial Officer, Department of Veterans Affairs. i
" Chief Financial Officer, Environmental Protection Agency.
" Chief Financial Officer, National Aeronautics and Space Ad- ,
ministration.". I I 53
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1 (.9 l l j I l
TITLE III-ENHANCEMENT OF FEDERAL FINANCIAL MANAGEMENT ACTIVITIES SEC. 301. FINANCIAL MANAGEMENT STATUS REPORT; 5-YEAR PLAN OF DIRECTOR OF OFFICE OF MANAGEMENT AND BUDGET. (a)IN GENERAL-Section 3512 of title 31, United States Code,is amended bystriking the heading thereof, redesignating subsections (a) through (f) in order as subsections (b) through (g), and by inserting before such subsection (b), as so redesignated, the following:
"53512. Executive agency accounting and other financial manage-ment reports and plans
"(a)(1) The Director of the Office of Management and Budget shall prepare and submit to the appropriate comirOtecs.of the Congress a financial management status report and a governmentwide 5-year fi-nancial management plan.
"(2) A financial management status report under this subsection shall include-
"(A) a description and analysis of the status of financial manage-ment in the executive branch;
"(B) a summary of the most recently completed financial state-ments-
"(i) of Federal agencies under section 3515 of this title; and
"(ii) of Government corporations;
"(C) a summary of the most recently completed financial state-ment audits and reports
"(i) of Federal agencies under section 3521 (e) and (f) of this title; and
"(ii) of Government corporations:
"(D) a summary of reports on internal accounting and adminis-trative control systems submitted to the President and the Con-gress under the amendments made by the Federal Managers' Fi-nancial Integrity Act of 1982 (Public Law 97-255); and
"(E) any other information the Director considers appropriate to fully inform the Congress regarding the financial management of the Federal Government. ;
under th)s i subsection shall describe the activities the Director, the"(3)(A A governme Deputy Director for Management, the Controller of the Office of Federal Financial Management, and agency Chief Financial Offi-cers shall conduct over the next 5 fiscal years to improve the finan-cial management of the Federal Government. ! "(B) Each governmentwide 5-year financial management plan prepared under this subsection shall- . "(i) describe the existing financial management structure ! and any changes needed to establish an integrated financial j management system; - 54 M 1 GY I
"(ii) be consistent with applicable accounting principles, standards, and requirements;
"(iii) provide a strategy for developing and integrating indi-vidual agency accounting, financial information, and other financial management systems to ensure adequacy, consis-tency, and timeliness of financial information;
"(iv) identify and make prorasals to climinate duplicative and unnecessary systems, including encouraging agencies to share systems which have sufficient capacity to perform the functions needed;
"(v) identify projects to bring existing systems into com-pliance with the applicable standards and requirements;
"(vi) contain milestones for equipment acquisitions and other actions necessary to implement the 5-year plan consis-tent with the requirements of this section;
"(vii) identify financial management Fmes needs and actions to ensure those needs are met;
"(viii) include a plan for ensuring the annual audit of finan-cial statements of executive agencies pursuant to section 3521(h) of this title; and
"(ix) estimate the costs of impicmenting the government-wide 5-year plan.
"(4)(A) Not later than 15 months after the date of the enactment of this subsection, the Director of the Office of Management and Budget shall submit the first financial management status report and governmentwide 5-year financial management plan under this subsection to the appropriate committees of the Congress.
"(B)(i) Not later than January 31 of each year thereafter, the Director of the Office of Management and Budget shall submit to the appropriate committees of the Congress a financial manage-ment status report and a revised governmentwide 5-year financial management plan to cover the succeeding 5 fiscal years, including a report on the accomplishments of the executive branch in imple-menting the plan during the preceding fiscal year
, "(ii) The Director shall include with each revised govern-l mentwide 5-year financial management plan a description of any substantive changes in the financial statement audit plan i required by paragraph (3)(B)(viii), progress made by execu-l tive agencies implementing the audit plan, and any improve-ments in Federal Government financial management related to preparation and audit of financial statements of executive agencies.
"(5) Not later than 30 days after receiving each annual report under section 902(a)(6) of this title, the Director shall transmit to the Chairman of the Committee on Government Operations of the llouse of Representatives and the Chairman of the Commit-tee on Governmental Affairs of the Senate a final copy of that
, report and any comments on the report by the Director ". I i 55 , hh
, l l l (b) CLERICAL AMENDMENT.-The table of contents at the be-ginning of chapter 35 of title 31, United States Code, is amended by
! striking the item relating to Section 3512 and inserting the following: i l "3512. Executive agency accounting and other financial management reports and plans." t 31 USC 901 note. SEC. 302. ClilEF FINANCIAL OFFICERS COUNCIL ] (a) ESTABLISIIMENT.-There is established a Chief Financial Of-i ficers Council, consisting of-(1)the Deputy Director for Management of the Office of Man-l agement and Budget, who shall act as chairperson of the council; (2) the Controller of the Office of Federal Financial Manage-ment of the Office of Management and Budget; l (3) the Fiscal Assistant Secretary of Treasury; and sect)on i 901 of title 31, United States Code, as amended by this Act.(4 each of th (b) FUNCTIONS.-The Chief Financial Officers Council shall meet periodically to advise and coordinate the activities of the agencies ofits members on such matters as consolidation and modernization of finan-cial systems, improved quality of financial information, financial data and information standards, internal controls, legislation affecting fi-nancial operations and organizations, and any other financial manage-ment matter. SEC. 303. FINANCIAL STATEMENTS OF AGENCIES. (a) PREPARATION OF FINANCIAL STATEMENTS.- j (1) IN GENERAle--Subchapter 11 of chapter 35 of title 31, l United States Code,is amended by adding at the end the follow-l ing:
"$3515. Financial statements of agencies l "(a) Not later than March 31 of 1992 and each year thereafter, the head of each executive agency identified in section 901(b) of this title shall prepare and submit to the Director of the Office of Management and Budget a financial statement for the preceding fiscal year, cover-mg-
"(1) each revolving fund and trust fund of the agency; and
"(2) to the extent practicable, the accounts of each office, bu-reau, and activity of the agency which performed substantial com-mercial functions during the preceding fiscal year.
i "(b) Each financial statement of an executive agency under this sec- l tion shall reflect-j
"(1) the overall financial position of the revolving funds, trust j funds, offices, bureaus, and activities covered by the statement, ;
including assets and liabilities thereof;
"(2) results of operations of those revolving funds, trust funds, offices, bureaus, and activities;
"(3) cash flows or changes in financial position of those revolving funds, trust funds, offices, bureaus, and activities; and 56 A
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"(4) a reconciliation to budget reports of the executive agen9 for those revolving funds, trust funds, offices, bureaus, and activi-
[ ties.
"(c) The Director of the Office of Management and Badget shall prescribe the form and content of the financial statements of executive agencies under this section, consistent with applicable accoun9ng prin-ciples, standards, and requirements.
"(d) For purposes of this section, the term ' commercial functions' l includes buying and leasing of real estate, providing insurance, making l loans and loan guarantees, and other credit programs and any activity involving the provision of a service or thing of valoc for which a fee, royalty, rent, or other charge is imposed by an agency for services and things of value it provides. )
I "(e) Not later than March 31 of each year, the head of each executive j agency designated by the President may prepare and submit to the Director of the Office of Management and Budget a financial state-ment for the preceding fiscal year, covering accounts of offices, bu-reaus, and activities of the agency in addition to those described in i subsection (a).". ! 31 USC 3515 note. (2) EFFECTIVE DATE OF SUBSECTION.-Subsection (e) of section 3515 of title 31, United States Code, as added by ! paragraph (1), shall take effect on the date on which a resolution i described in subsection (b)(1) of this section is passed by the Congress and approved by the President. t 31 USC 3515 note. (3) WAIVER OF REQUIREMENT.-The Director of the ! Office of Management and Budget may, for fiscal year 1991, waive ' the application of section 3515(a) of title 31, United States Code, as amended by this subsection, with respect to any revolving fund, trust fund, or account of an executive agency. 31 USC 3515 note. (b) RESOLUTION APPROVING DESIGNATION OF AGEN. l CIES.- : (1) RESOLUTION DESCRIBED.-A resolution referred to in subsection (a)(2)is ajoint resolution the matter after the resching clause of which is as follows: "That the Congress approves the I executive agencies designated by the President pursuant to sec-l tion 3515(e) of title 31, United States Code.". (2) INTRODUCTION OF RESOLUTION.-No later than the first day of session following the day on which the President ; submits to the Congress a designation of executive agencies au- ; thorized to submit financial statements under section 3515(e) of l l titic 31, United States Code, as added by subsection (a), a resolu- i i tion as described in paragraph (1) shsil be introduced (by request) ' in the Ilouse by the chairman of the Committee on Government Operations of the llouse of Representatives, or by a Member or , Members of the House designated by such chairman; and shall bc introduced (by request) in the Senate by the chairman of the Committee on Governmental Affairs of the Senate, or by a Mem- ! ber or Members of the Senate designated by such chairman. (3) REFERRAL-A resolution described in paragraph (1), shall be referred to the Committee on Governmental Affairs of 57 I l l
the Senate and the Committee on Government Operations of the liouse (and all resolutions with respect to the same designation of executive agencies shall be referred to the same committee) by the President of the Senate or the Speaker of the liouse of Represen-tatives, as the case may be. The committee shall make its recom- l mendations to the Ilouse of Representatives or the Senate, re-spectively, within 60 calendar days of continuous session of the Congress following the date of such resolution's introduction. (4) DISCIIARGE OF COMMITTEE.-If the committee to which is referred a resolution introduced pursuant to paragraph (2) (or, in the absence of such a resolution, the first resolution introduced with respect to the same designation of executive r.gencies) has not reported such resolution or identical resolution at the end of 60 calendar days of continuous session of the Con-gress after its introduction, such committee shall be deemed to be 1 discharged from further consideration of such resolution and such i resolution shall be placed on the appropriate calendar of the flouse involved. (5) PROCEDURE AFTER REPORT OR DISCliARGE OF ! COMMITTEE; VOTE ON FINAL I'ASSAGE.-(A) When the committee has reported, or has been deemed to be discharged (under paragraph (4)) from further consideration of, a resolution described in paragraph (1), it is at any time thereafter in order (even though a previous motion to the same effect has been dis-agreed to) for any Member of the respective llouse to move to proceed to the consideration of the resolution. The motion is highly privileged and is not debatable. The motion shall not be i subject to amendment, or to a motion to postpone, or a motion to l proceed to the consideration of other business. A motion to recon-sider the vote by which the motion is agreed to or disagreed to shall : not be in order. If a motion to proceed to the consideration of the l resolution is agreed to, the resolution shall remain the unfinished business of the respective liouse until disposed of. (B) Debate on the resolution, and on all debatable motions and appeals in connection therewith, shall be limited to not more than 10 hours, which shall be divided equally between individuals favoring and individuals opposing the resolution. A motion further to limit debate is in order and not debat-able. An amendment to, o.t a motion to postpone, or a motion to proceed to the consideration of other business, or a mo-tion to recommit the resolution is not in order. A motion to reconsider the vote by which the resolu'ior, is passed or re-jected shall not be in order. (C)Immediately following the conclusion of the debate on the resolution and a single quorum call at the conclusion of the debate if requested in accordance with the rt?.s of the appropriate liouse, the vote on final passage of the resolu-tion shall occur. (D) Appeals from the decisions of the Chair relating to the application of the rules of the Senate or the liouse of Repre-58
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sentatives, as the case may be, to the procedure relating to a resolution described in paragraph (1), shall be decided with-out debate. (E)If, prior to the passage by one liouse of a resolution of that House, that House receives a resolution with respect to the same designation of executive agencies from the other House, then-(i) the procedure in that House shall be the same as if no resolution had been received from the other House; but i (ii) the vote on final passage shall be on the resolution of the other House. (F)lt shall not be in order in either the House of Represen-tatives or the Senate to consider a resolution described ht paragraph (1), or to consider any conference report on such a resolution, unless the Director of the Office of Management and Budget submits to the Congress a report under subsec-tion (c). 31 USC 3515 note. (c) REPORT ON SUBSTANTIAL COMMERCIAL FUNC-TIONS.-Not later than 180 days after the date of the enactrcent of this Act, the Director of the Office of' Management and Budget shall deter-mine and report to the Congress on which executive agencies or parts thereof perform substantial commercial functions for which financial statements can be prepared practicably under section 3515 of title 31, United States Code, as added by this sectir,a. 31 USC 3515 cote. (d) PILOT PROJECT.-(1) Not later than March 31 of each of 1991, 1992, and 1993, the head of the Departments of Agriculture, Labor, and Veterans Affairs, the General Services Administration, and the So-
)
cial Security Administration shall each prepare and submit to the Di-rector of the Office of Management and Budget financial statements for the preceding fiscal year for the accounts of all of the offices, bu-reaus, and activities of that department or administration. (2) Not later than March 31 of each of 1992 and 1993, the head of j the Departments of Housing and Urban Development and the > Army shall prepare and submit to the Director of the Office of Management and Budget financial statements for the preceding fiscal year for the accounts of all of the offices, bureaus, and activities of that ocpartment. (3) Not later than March 31,1993, the head of the Department of the Air Force, the Internal Revenue Service, and the United States Customs Service, shall each prepare and submit to the Director of the Office of Management and Budget financial state-ments for the preceding fiscal year for the accounts of all of the offices, bureaus and activities of that department nr service. (4) Each financial statement prepared under this subsection shall be audited in accordance with section 3521 (c), (f), (g), and (h) of title 31, United States Code. 31 USC 3515 note. (c) REPORT ON INITITL FINANCIAL STATEMENTS.-Not lat- i er than June 30,1993, the Director of the Office of Management and Budget shall report to the Congress on the financial statements pre-l 59
l i pared for fiscal years 1990,1991, and 1992 under subsection (a) of sec-tion 3515 of title 31, United States Con (as added by subsection (a) of this section) and under subsection (d) of this section. The report shall include analysis of-(1) the accuracy of the data included in the financial statements; (2) the difficulties each department and agency encountered in preparing the data included in the financial statements; (3) the benefits derived from the preparation of the financial statements; and [ (4) the cost associated with preparing and auditing the financial i statements, including a description of ag ectivities that were fore- l gone as a result of that preparatior, and auditing. l (f) CLERICAL AMENDMENT.-The table of sections at the begin-ning of chapter 35 of title 31, Uni'.ed States Code, is amended by inserting after the item relating to section 3514 the following:
"3515. Financial statements of agencies.".
SEC. 304. FINANCIAL AUDITS OF AGENCIES. i (a)IN GENERAL-Section 3521 of title 31, United States Code,is amended by adding at the end the following new subsections:
"(e) Each financial statement prepared under section 3515 by an agency shall be audited in accordance with applicable generally accept- l w! government auditing standards-- l
"(1) in the case of an agency having an Inspector General ap- 1 pointed under the Inspector General Act of 1978 (5 U.S.C. App.),
by the Inspector General or by an independent external auditor, as determined by the Insixctor General of the agency; and
"(2) in any other case, by an independent external auditor, as determined by the head of the agency. I Reports. "(f) Not later than June 30 following the fiscal year for which a finan- l cial statement is submitted under section 3515 of this title by an agency, the person who audits the statement for purpose of subsection (e) shall submit a report on the audit to the head of the agency. A report under i this subsection shall be prepared in accordance with generally accepted l government auditing standards.
"(g) The Comptroller General of the United States-- ;
"(1) may review any audit of a financial statement conducted under this subsection by an inspector General or an external audi-tor; Reports. "(2) shall report to the Congress, the Director of the Office of Management and Iludget, and the head of the egency which pre-pared the statement, regarding the results of the review and make any recommendation the Comptroller General considers ap-propriate; and
"(3) may audit a financial statement prepared under section 3515 of this title at the discretion of the Comptroller General or at the request of a committee of the Congress.
An audit the Comptroller General performs under this subsection shall be in lieu of the audit otherwise required by subsection (e) of this section. Prior to performing such audit, the Compt.oller Generr.1 shall 60 78 l I 1 l l
consult with the Inspector General of the agency which prepared the statement.
"(h) Each financial statement prepared by an executive agency for a fiscal year after fiscal year 1991 shall be audited in accordance with this section and the plan required by section 3512(a)(3)(B)(viii) of this title.".
31 USC 3521 note. (b) WAIVER OF REQUIREMENTS.-The Director of the Office of Management and Budget may waive application of subsections (e) and (f) of section 3521 of title 31, United States Code, as amended by this section, to a financial statement submitted by an agency for fiscal years 1990 and 1991. SEC. 305. FINANCIAL AUDITS OF GOVERNMENT CORPORA-TIONS. Section 9105 of title 31, United States Code, is amended to read as follows:
"69105. Audits
"(a)(1) The financial statements of Government corporations shall be audited by the Inspector General of the corporation appointed under the Inspector General Act of 1978 (5 U.S.C. App.) or by an indepen-dent external auditor, as determined by the Inspector General or,if there is no Inspector General, by the head of the corporation.
"(2) Audits under this section shall be conducted in accordance with applicable generally accepted government auditing standards.
Reports. "(3) Upon completion of the audit required by this subsection, the person who audits the statement shall submit a report on the audit to the head of the Government corporation, to the Chairman of the Com-mittee on Government Operations of the flouse of Representatives, and to the Chairman of the Committee on Governmental Affairs of the Senate.
"(4) The Comptroller General of the United States-
"(A) m ny review any audit of a financial statement con-ducted ituder this subsection by an Inspector General or an external auditor; Reports. "(B) shall report to the Congress, the Director of the Office
, of Management and Budget, and the head of the Govern- ! ment corporation which prepared the statement, regarding the results of the review and make any recommendation the j Comptroller General of the United States considers ap- j propriate; and
"(C) may audit a financial statement of a Government cor-l poration at the discretion of the Comptroller General or at )
I the request of a committee of the Congress. An audit the I
- Comptroller General performs under this paragraph shall be in lieu of the audit otherwise required by paragraph (1) of this subsection. Prior to performing such audit, the Comp-troller General shall consult with the Inspector General of the agency which prepared the statement. l 61 7D -
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"(5) A Government corporation shall reimburse the Comptrol-ler General of the United States for the full cost of any audit conducted by the Comptroller General under this subsection, as determined by the Comptroller General. All reimbursements re-ceived under this paragraph by the Comptroller General of the United States shall be deposited in the Treasury as miscellaneous receipts. "(b) Upon request of the Comptroller General of the United States, a Government corporation shall provide to the Comptroller General of the United States all books, accounts, financial records, reports, files, workpapers, and property belonging to or in use by the Government corporation and its auditor that the Comptroller General of the United States considers necessary to the performance of any audit or review under this section. "(c) Activities of the Comptroller General of the United States under this section are in lieu of any audit of the financial transactions of a Government corporation that the Comptroller General is required to make under any other law.".
SEC. 306. MANAGEMENT REPORTS OF GOVERNMENT COR-PORATIONS. (a) IN GENERAL-Section 9106 of title 31, United States Code, is j amended to read as follows: i I i af9106. Management reports
"(a)(1) A Government corporation shall submit an annual manage- 4 ment report to the Congress not later than 180 days after the end of the )
Government corporation's fiscal year. t
"(2) A management report under this subsection shall include-
"(A) a statement of financial position;
"(B) a statement of operations;
"(C) a statement of cash flows;
"(D) a reconciliation to the budget report of the Government corporation, if applicable;
"(E) a statement on internal accounting and administrative con- l trol systems by the head of the management of the corporation, !
consistent with the requirements for agency statements on inter- l nal accounting and administrative control systems under the amendments made by the Federal Managers' Financial Integrity Act of 1982 (Public Law 97-255);
"(F) the report resulting from an audit of the financial state-rprits of the corporation conducted under section 9105 of this title; and
"(G) any other comments and information necessary to inform the Congress about the operations and financial condition of the corporation.
"(b) A Government corporation shall provide the President, the Di-rector of the Office of Management and Budget, smd the Comptroller 62 -
M v
General of the United States a copy of the management report when it is submitted to Congress.". (b) CLERICAL AMENDMENT.-The table of sections for chapter 91 of title 31, United States Code, is amended by striking the item relating to section 9106 and inserting the following:
"9106. Management reports.".
31 USC3511 note. SEC. 307. ADOPTION OF CAPITAL ACCOUNTING STAN. DARDS.
.i No capital accounting ~ standard or principle, including any human capital standard or principle, shall be adopted for use in an executive department or agency until such standard has been reported to the Congress and a period of 45 days of continuous session of the Congress has expired.
Approved November 15,1990. i l I i lt 63 73 i 1
M Public Law 104-106 110 Stat. 679 NATIONAL DEFENSE AUTHORIZATION ACT FOR FISCAL YEAR 1996 DIVISION E-INFORMATION TECHNOLOGY MANAGEMENT REFORM TABLE OF CONTENTS Sec. 5001. Short Title. . . . . . . . . . .. .... ....... ... 65 Sec. 5002. Definitions. . . . . . . . ...... . . .. ...... 65 TITLE LI- RESPONSIBILITY FOR ACQUISITIONS OF INFORMATION TECHNOLOGY Subtitle B - Director of the Omce of Management and Budget Sec. 5111. Responsibility of Director . . . . . . . . . . . . . . . . . . . 66 . . . . 7921 Sec. 5112 Ca ital Planning & Investment Control. . . .. 66 .... 7922 Sec.5113. Pe ormance. Based and Results-Based Management . . . . . . . ... ....... .... .. 67 .... 7923
. Subtitle C - Executive Agencies Sec. 5121. Responsibilities . . . . . . . . . . . , . . . . . . . . . . . . 69 .... 7925 Sec. 5122. Capital Planning and Investment Control . . . . . . . . 69 . .. 2111 Sec. 5123. Performance and Results-Based Management. . . . 69 .... 7923 Sec. 5124. Acquisitions of Information Technology. . . . . . .70 . .. 2021 Sec. 5125. Agency Chief information Officer . . . . . . . . . . . 70 . . . 2111 Sec. 5126. Accountability . . . . . . . . . . . . . . . .. .. . .. 72 .... 2021 Sec. 5127. Significant Deviations.. . . . .. . .......... 73 ... 2021 Sec. 5128. Interagency Support. . . . . . . . . . . .. . . .... 73 .... 2014 I
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Information DIVISION E-INFORMATION TECIINOLOGY T;cimology MANAGEMENT REFORM Management Reform Act of 1996. 40 USC 1401 SEC. 5001. SHORT TITLE. note. This division may be cited as the "Information Technology Management Reform Act of1996". 40 USC 1401. SEC. 5002. DEFINITIONS. In this division: (1) Director.-The term " Director" means the Director of the Office of Management and Budget. (2) Executive agency.-The term " executive agency" has the meaning given that term in section 4(1) of the Office of Federal Procurement Policy Act (41 U.S.C. 403(1)). (3) Information technology.-(A) The term "information technology", with respect to an executive agency means any equip-ment or interconnected system or subsystem of equipment, that is used in the automatic acquisition, storage, manipulation, manage-ment, movement, control, display, switching, interchange, trans-mission, or reception of data or information by the executive agency. For purposes of the preceding sentence, equipment is used by an executive agency if the equipment is used by the execu-tive agency directly or is used by a contractor under a contract with the executive agency which (i) requires the use of such equipment, or (ii) requires the use, to a significant extent, of such equipment in the performance of a service or the furnishing of a product. (B) The term "information technology" includes computers, ancillary equipment, software, firmware and similar proce-dures, services (including support services), and related re-sources. (C) Notwithstanding subparagraphs (A) and (B), the term "information technology" does not include any equipment that is acquired by a Federal contractor incidental to a Federal l contract. i (4)Information resources.-The term "information resources" l has the meaning given such term in section 350~ 2 (6) of title 44, United States Code. (5) Information resources management.-The term "informa-tion resources management" has the meaning given such term in section 3502(7) of title 44, United States Code. (6) Information system.-The term "information system" has the meaning given such term in section 3502(8) of title 44, United i States Code. (7) Commercial item.-The term " commercial item" has the meaning given that term i's section 4(12) of the Office of Federal Procurement Policy Act (41 U.S.C. 403(12)). J 7d> l l
TITLE LI-RESPONSIBILITY FOR ACQUISITIONS OF INFORMATION TECHNOLOGY i Subtitle A-Ceneral Authority SEC. 5101. REPEAL OF CENTRAL AtrTHORrIY OF THE ADMINISTRATOR OF GENERAL SERVICES. Section 111 of the Federal Property and Administrative Services Act of 1949 (40 U.S.C. 759)is repealed. I Subtitle B-Director of the Omce of Management and Budget 40 Usc 1411. SEC. 5111. RESPONSIBILITY OF DIRECTOR. In fulfilling the responsibility to administer the functions assigned under chapter 35 of title 44, United States Code, the Director shall comply with this title with respect to the specific matters covered by this title. 40 USC 1412. SEC. 5112. CAPITAL PIANNINO AND INVESTMENT CONTROL (a) Federal Information Technology.-The Director shall perform the responsibilities set forth in this section in fulfilling the responsibili-ties under section 3504(h) of title 44, United States Code. Publie b) Use of Information Technology in Federal Programs.-The
'information. D(irector shall promote and be responsible for improving the acriuisition, use, and disposal ofinformation technology by the Federal Government to improve the productivity, efficiency, and effectiveness of Federal programs, including through dissemination of public information and the reduction ofinformation collection burdens on the public.
(c) Use of Budget Process.-The Director shall develop, as part of the budget process, a process for analyzing, tracking, and evaluating the risks and results of all major capital mvestments made by an executive agency for information systems. The process shall cover the life of each system and shallinclude explicit criteria for analyzing the projected and actual costs, benefits, and risks associated with the investments. At the Reports. same time that the President submits the budget for a fiscal year to Congress under section 1105(a) of title 31, United States Code, the Director shall submit to Congress a report on the net program performance benefits achieved as a result of major capital investments made by executive agencies in information systems and how the benefits relate to the accomplishment of the goals of the executive agencies. (d)lnformation Technology Standards.-The Director shall oversee the development and implementation of standards and guidelines per-taining to Federal computer systems by the Secretary cf Commerce through the National Institute of Standards and Technology under section 5131 and section 20 of the National Institute of Standards and Tecimology Act (15 U.S.C. 278g-3). (e) Designation of Executive Agents for Acquisitions.-The Director shall designate (as the Director considers appropriate) one or more 66
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f heads of executive agencies as executive agent for Government-wide acquisitions ofinformation technology. (f) Use of Best Practices in Acquisitions.-The Director shall encour-age the heads of the executive agencies to develop and use the best practices in the acquisition of information technology. (g) Assessment of Other Models for Managing Information Technol-ogy.-The Director shall assess, on a continuing basis, the experiences of executive agencies, State and local governments, international orga. nizations, and the private sector in managing information technology. (h) Comparison of Agency Uses of Information Technology.-The Director shall compare the performances of the cxecutive agencies in using information technology and shall disseminate the comparisons to the heads of the executive agencies. (i) Training.-The Director shall monitor the development and im-plcmentation of training in information resources management for executive agency personnel. (j) Informing Congress.-The Director shall keep Congress fully in-formed on the extent to which the executive agencies are improving the performance of agency programs and the accomplishment of agency missions through the use of the best practices in information resources management. (k) Procurement Policy and Acquisitions of Information Technolo-gy.-The Director shall coordinate the development and review by the Administtator of the Office ofInformation and Regulatory Affairs of policy associated with Federal acquisition ofinformation technology with the Office of Federal Procurement Policy. 40 USC 1413. SEC. 5113. PERFORMANCE-BASED AND RESULTS-BASED MANAGEMENT. (a) In General.-The Director shall encourage the use of perfor-mance-based and results-based management in fulfilling the responsi-bilities assigned under section 3504(h), of title 44, United States Code. (b) Evaluation of Agency Programs and Investments.- (1) Requirement.-The Director shall evaluate the information resources management practices of the executive agencies with respect to the performance and results of the investments made by the executive agencies in information technology. (2) Direction for executive agency action.-The Director shall issue to the head of each executive agency clear and concise direc-tion that the head of such agency shall-(A) establish effective and efficient capital planning pro-cesses for scler'ing, managing, and evaluating the results of all of its major investments in information systems; (B) determine, before making an investment in a new infor-mation system-(i) whether the function to be supported by the system should be performed by the private sector and,if so,wheth-er any component of the executive agency performing that function should be converted from a governmental orga-nization to a private sector organization; or
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l (ii) whether the function should be performed by the executive agency and,if so,whether the function should be performed by a private sector source under contract or by executive agency personnel; (C) analyze the missions of the executive agency and, based on the analysis, revise the executive agency's mission-related processes and administrative processes, as appropriate, before ! making significant investments in information technology to I be used in support of those missions; and (D) ensure that the information security policies, proce-dures, and practices are adequate. 1 (3) Guidance for multiagency investments.-The direction is-sued under paragraph (2) shall include guidance for undertaking efficiently and effectively interagency and Government-wide in-vestments in information technology to improve the accomplish-ment of missions that are common to the executive agencies. (4) Periodic reviews.-The Director shall implement through the budget process periodic reviews of selected information re-sources management activities of the executive agencies in order to ascertain the efficiency and effectiveness of information technology in improving the performance of the executive agency and the accomplishment of the . missions of the executive agency. (5) Enforcement of accountability.- (A)In general.-The Director may take any authorized ac-tion that the Director considers appropriate, including an ac-tion involving the budgetary process or appropriations man- j agement process, to enforce accountability of the head of an ' executive agency for information resources management and for the investments made by the executive agency in informa-tion technology. (B) Specific actions.-Actions taken by the Director in the case of an executive agency may include-(i) recommending a reduction or sn increase in any amount for information resources that the head of the executive agency proposes for the budget submitted to l Congress under section 110.5(a) of title 31, United States Code; ; (ii) reducing or otherwise adjusting apportionments and i reapportionments of appropriations for information re- . sources; I I (iii) using other authorized administrative controls over ! l appropriations to restrict the availability of funds for infor- 1 l mation resources; and l (iv) designating for the executive agency an executive agent to contract with private ser ar sources for the perfor-mance of information resources management or the ac-quisition of informa!'on technology, i
#. ,s 68 f, ,
Subtitle C-Executive Agencies G USC 142L SEC. 5121. RESPONSIBILITIES. In fulfilling the responsibilities assigned under chapter 35 of title 44, United States Code, the head of each executive agency shall comply with this subtitle with respect to the specific matters covered by this i subtitle. 40 USC 1422. SEC. 5122. CAPITAL PLANNING AND INVESTMENT CONTROL (a) Design of Process.-In fulfilling the responsibilities assigned un-der section 3506(h) of title 44, United States Code, the head of each executive agency shall design and implement in the executive agency a process for maximizing the value and assessing and managing the risks of the information technology acquisitions of the executive agency. i (b) Content of Process.-The process of an executive agency shall- l (1) provide for the selection ofinformation technology invest- ' ments to be made by the executive agency, the management of such investments, and the evaluation of the results of such invest-ments;
- (2) be integrated with the processes for making budget, finan-ciel, and program management decisions within the executive agency; l
(3) include minimum criteria to be app 1b d in considering wheth-er to undertake a particular investmen. .n information systems, including criteria related to the quantitatively expressed projected ! net, risk-adjusted return on investment and specific quantitative and qualitative criteria for comparing and prioritizing alternative information systems investment projects; l (4) provide for identifying information systems investments that would result in shared benefits or costs for other Federal agencies 4 or State or local governments; . l (5) provide for identifying for a proposed investment quantifi- ' able measurements for determining the net benefits and risks of the investment; and _(6) provide the means for senior management personnel of the l executive agency to obtain timely information regarding the prog-ress of an investment in an information system, including a system of milestones for measuring progress, on an independently verifi. able basis,in terms of cost, capability of the system to meet speci-fled requirements, timeliness, and quality. 40 USC 1423. SEC. 5123. PERFORMANCE AND RESULTS-BASED MANAGEMENT. In fulfilling the responsibilities under section 3506(h) of title 44, United States Code, the head of an executive agency shall--- (1) establish goals for improving the efficiency and effectiveness of agency operations and, as appropriate, the delivery of services to the public through the effective use ofinformation technology; Reports. (2) prepare an annual report, to be included in the executive agency's budget submission to Congress, on the progress in achieving the goals; { 69 76- ) 6 I i i
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(3) ensure that performance measurements are prescribed for information technology used by or to be acquired for, the execu-tive agency and that the performance measurements measure how well the information technology supports programs of the execu-tive agency; (4)where comparable processes and organizations in the public or private sectors exist, quantitatively benchmark agency process performance against such processes in terms of cost, speed, pro-ductivity, and quality of outputs and outcomes; (5) analyze the missions of the executive agency and, based on the analysis, revise the executive agency's mission-related pro-cesses and administrative processes as appropriate before making significant investments in information technology that is to be used in support of the performance of those missions; and (6) ensure that the information security policies, procedures, and practices of the executive agency are adequate. 40 USC 1424. SEC. 5124. ACOUlSITIONS OF INFORMATION TEC11NOLOGY, (a)In General.-The authority of the head of an executive agency to conduct an acquisition ofinformation technology includes the follow-ing authorities: (1) To acquire information technology as authorized by law. (2) To enter into a contract that provides for multiagency ac-quisitions of information technology in accordance with guidance issued by the Director. (3)If the Director finds that it would be advantageous for the Federal Government to do so, to enter into a multiagency contract for procurement of commercial items of information technology that requires each executive agency mvered by the contract, when procuring such items, either to procure the items under that con- j tract or to justify an alternative procurement of the items. ' (b) FTS 2000 Program.-Notwithstanding any other provision of this or any other law, the Administrator of General Services shall continue to manage the FTS 2000 program, and to coordinate the follow-on to that program, on behalf of and with the advice of the heads of executive agencies. I 40 USC 1425. SEC. 5125. AGENCY ClllEF INFORMATION OFFICER. (a) Designation of Chief Information Officers.-Section 3506 of title 44, United States Code, is amended-(1)in subsection (a)- (A)in paragraph (2)(A), by striking out " senior official" and inserting in lieu thereof " Chief Information Officer"; i (B) in paragraph (2)(B)- (i) by striking out " senior officials" in the first sentence l and inserting in lieu thereof " Chief Information Officers"; (ii) by striking out " official" in the second sentence and inserting in lieu thereof " Chief Information Officer"; and ! (iii) by striking out " officials" in the second sentence and inserting in lieu thereof " Chief Information Officers"; and ! 70 / (-}$ ! i l l I
(C) in paragraphs (3) and (4), by striking out " senior official" each place it appears and inserting in lieu thereof "ChiefInfor-mation Officer"; and (2)in subsection (c)(1), by striking out " official" in the matter preceding subparagraph (A) and inserting in lieu thereof " Chief Information Officer". (b) General Responsibilities.--The Chief Information Officer of an executive agency shall be responsible for-(1) providing advice and other assistance to the head of the executive agency and other senior management personnel of the executive agency to ensure that information technology is ac-quired and information resources are managed for the executive agency in a manner that implements the policies and procedures of this division, consistent with chapter M of title 44, United States Code, and the priorities established by the head of the executive agency; (2) developing, maintaining, and facilitating the implementa- , tion of a sound and integrated information technology architec-ture for the executive agency; and ] (3) promoting the effective and efficient design and operation of ] all major information resources management processes for the executive agency, including improvements to work processes of the executive agency. (c) Duties and Qualifications.-The Chief Information Officer of an g agency that is listed in section 901(b) of title 31, United States Code, shall-- (1) have information resources management duties as that offi-cial's primary duty; ' (2) monitor the performance of information technology pro-grams of the agency, evaluate the performance of those programs on the basis of the applicable performance measurements, and advise the head of the agency regarding whether to continue, modify, or terminate a program or project; and (3) annually, as part of the strategic planning and performance evaluation process required (subject to section 1117 of title 31, United States Code) under section 306 of title 5, United States l Code, and sections 1105(a)(29),1115,1116,1117, and 9703 of title l 31, United States Code-l (A) assess the requirements established for agency personnel regarding knowledge and skill in information resources man-l agement and the adequacy of such requirements for facilitat-l ing the achievement of the performance goals established for ( information resources management; } (B) assess the extent to which the positions and personnel at j the executive level of the agency and the positions and person-l nel at management level of the agency below the executive level meet those requirements; i (C) in order to rectify any deficiency in meeting those re-l quirements, develop strategies'and specific plans for hiring, l training, and professional development: and f [ 71 C Jl l
l l Reports. (D) report to the head of the agency on the progress made in improving information resources management capability. (d)Information Technology Architecture Defined.-In this section, the term "information technology architecture", with respect to an executive agency, means an integrated framework for evolving or main-taining existing information technology and acquiring new information technology to achieve the agency's strategic goals and information re-sources management goals. (c) Executive Level IV.-Section 5315 of titic 5, United States Code, is amended by adding at the end the following:
" Chief Information Officer, Department of Agriculture.
" Chief Information Officer, Department of Commerce.
" Chief Information Officer, Department of Defense (unless the official designued as the Chief Information Officer of the De-partment cf Detense is an official listed under section 5312,5313, or 5314 of this title).
" Chief Information Officer, Department of Education.
" Chief Information Officer, Department of Energy.
" Chief Information Officer, Department ofIlealth and Human Services.
" Chief Information Officer, Department of flousing and Urban Development.
" Chief Information Officer, Department ofInterior.
" Chief Information Officer, Department of Justice.
" Chief Information Officer, Department of Labor.
" Chief Information Officer, Department of State. '
" Chief Information Officer, Department of Transportation. I
- Chief Information Officer, Department of Treasury.
- Chief Information Officer, Department of Veterans Affairs.
- Chief Information Officer, Environmental Protection Agency.
" Chief Information . Officer, National Aeronautics and Space Administration.
" Chief Information Officer, Agency for international Develop-ment.
" Chief Information Officer, Federal Emergency Management Agency.
" Chief Information Officer, General Services Administration.
" Chief Information Officer, National Science Foundation.
" Chief Information Officer, Nuclear Regulatory Agency.
" Chief Information Officer, Office of Personnel Management.
"ChiefInformation Officer, Small Business Administration.".
40 USC 1426. SEC.5126. ACCOUNTABILITY. < The head of each executive agency, in consultation with the Chief Information Officer and the Chief Financial Officer of that executive agency (or, in the case of an executive agency withoet a Chief Financial Officer, any comparable official), shall establish policies and procc-dures that-(1) ensure that the accounting, financia), and asset management systems and other information systems o', the executive agency are designed, developed, maintained, and used effectively to provide n
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financial or program performance data for financial statements of the executive agency;. (2) ensure that financial and related program performance data are provided on a reliable, consistent, and timely basis to executive agency financial management systems; and (3) ensure that financial statements support-(A) assessments and revisions of mission-related processes and administrative piocesses of the executive agency; and'
-(B) performance measurement of the performance in the case of investments made by the agency in information sys-tems.
40 USC 1427.- SEC. 5127. SIGNIFICANT DEVIATIONS. The head of an executive agency shall identify in the strategic infor-ination resources management plan required under section 3506(b)(2) of title 44, United States Code, any major information technology ac-quisition program, or any phase or increment of such a program, that has significantly deviated from the cost, performance, or schedule goals established for the prrgram. 40 USC 1428. SEC. 5128. INTER AGENCY SUPPORT. Funds available f.sr an executive agency for oversight, acquisition, and procurement ofi iformation technology may be used by the head of the executive agenc' to support jointly with other executive agencies the activ; ties ofine,ragency groups that are established to advise the Direc-tor in carryir; out the Director's responsibilities under this title. The use of sucn funds for that purpose shall be subject to such requirements and limitations on uses and amounts as the Director may prescribe. The Director shall prescribe any such requirements and limitations during
' the Director's review of the executive agency's proposed budget sub-mitte:I to the Director by the head of the executive agency for purposes of section 1105 of title 31, United States Code.
l 1 i l t i f ~m i .l } l l 73 V '.)t p- ; i l 1 m l _ -. a
. j . ss Public Law 101-410 104 Stat. 890 FEDERAL CIVIL PENALTIES INFLATION ADJUSTMENT ALT OF 1990 (As amended by)
PUBLIC LAW 104-134 Title III Chapter 10 (110 Stat.1321-373) PAGE USC 28 USC Sec.1 Short Title . . . . . . . . . . . . . . . . . . . . . . . . . . . . 75 . 2461, note Sec.2 Fin < lings and Purpose. . . ......... . . . . . . 75 . 2461, note Sec.3 Definitions . . . . . . . . . . . . . .... .. . . . . . . 75 . 2461, note Sec.4 Civil Monetary Penalty Inflation Adjustment Reports. . . . . . . . . . . . . . . . . . . . . . 76 . 2461, note Sec. 5 ' Cost-of-Living Adjustments of Civil Monetary Pe nal ties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 76 . 2461, note Sec.6 Annual Report . . . . . . . . . . . . . . . . . . . . . . . . . . . 77 . 2461, note Sec.7 .............. . ...... . ... ... . . 77 . 2461, note l
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FEDERAL CIVIL PENALTIES INFLATION ADJUSTMENT ACT OF 1990 Be it enacted by the Senate and House of Representatives of the Federal Civil United States of America in Congress assembled, - Penalties Inflation Adjustment SHORT TITLE Act of 1990.
' 28 USC 2461 >
note. < Section 1. This Act may be cited as the " Federal Civil Penalties
. Inflation Adjustment Act of 1990".
FINDINGS AND PURPOSE 28 USC 2461 Sec. 2(a) FINDINGS.-The Congress finds that-
- note. (1) the power of Federat agencies to impose civil monetary pen-alties for violations of Federal law and regulations plays an impor-a tant role in deterring violations and furthering the policy goals em-bodied in such laws and regulations; -
l
. dim)mished due to the effect of inflation;(2 the impact of many civil monetary penalti
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(3) by reducing tne impact of civil monetary penaltie's, inflation has weakened the deterrent effect of such penalties; and (4) the Federal Government does not maintain comprehensive, detailed accounting of the efforts of Federal agencies to assess and collect civil monetary pentities. l (b) PURPOSE.-The purpose of this Act is to establish a mechanism
. that shall-
- , -(1) allow for regular adjustment for inflation of civil monetary l penalties; (2) maintain the deterrent effect of civil monetary penalties and ,
a promote compliance with the law; and
- (3) improve the collection by the Federal Government of civil l monetary penalties.
l-DEFINITIONS 28 USC 2461 Sec. 3. For purposes of this Act, the term- l note. (1)" agency" means an Executive agency as defined under sec- i tion 105 of title 5, United States Code, and includes the United States Postal Service; (2)" civil monetary penalty" means any penalty, fine, or other sanction that-(A)(i)is for a specific monetary amount as provided by Fed-eral law; or (ii) has a maximum amount provided for by Federal law; , and I (B)is assessed or enforced by an agency pursuant to Federal law; and
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(C)is assessed or enforced pursuant to an administrative proceeding or a civil action in the Federal courts; and (3)" Consumer Price Index" means the Consumer Price Index for all-urban consumers published by the Department of Labor. l
' CIVIL MONETARY PENALTY INFLATION ADJUSTMENT l REPORTS Sec. 4. The head of each agency shall, not later than 180 days after l the date of enactment of the Debt Collection Improvement Act of 1996, and at least once every 4 years thereafter-
. . Regulations. (1) by regulation adjust each civil monetary penalty provided by law within the jurisdiction of the Federal agency, except for any l penalty (including any addition to tax and additional amount) un-der the Internal Revenue Code of 1986, the Tariff Act of 1930, the
- ' Occupational Safety and Health Act of 1970, or the Social Security Act, by the inflation adjustment described under section 5 of this Act; and Federal Register, (2) publish each such regulation in the Federal Register.
Publication. COST-OF LIVING ADJUSTMENTS OF CIVIL MONETARY PENALTIES 28 USC 2461 . Sec. 5. (a) ADJUSTMENT.-The inflation adjustment described note under section 4 shall be determined by increasing the maximum civil monetary penalty or the range of minimum and maximum civil monetary penaltics, as applicable, for each civil monetary penalty by the cost-of-living adiustment. Any increase determined under this subsection shall be rounded to the nearest-(1) multiple of $10 in the case of penalties less than or equal to
$100; (2) multiple of $100in the case of penalties greater than $100 but less than or equal to $1,000; (3) multiple of $1,000 in the case of penalties greater than $1,000 but less than or equal to $10,000; (4) multiple of $5,000 in the case of penalties greater than l $10,000 but less than or equal to $100,000; t- (5) multiple of $10,000 in the case of penalties greater than
$100,000 but less than or equal to $200,000; and
, (6) multiple of $25,000 in the case of penalties greater than
$200,000.
(b) DEFINITION.-For purposes of subsection (a), the terru " cost-
. of-living adjustment" means the percentage (if any) for each civil mone-tary penalty by which- i l (1) the Consumer Price Index for the month of June of the j calendar year preceding the adjustment, exceeds '
(2) the Consumer Price Index for the month of June of the 1 l calendar year in which the amount of such civil monetary penalty l was last set or adjusH nursuant to law. ! I
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ANNUAL REPORT President. Sec. 6. No later than January 1 of each year, the President shall submit 28 0SC 2461 a report on civil monetary penalties to the Congress which shall note. include-(1) to the extent possible, the number and amount of civil mone-tary penalties imposed pursuant to each provision oflaw providing for such civil monetary penalties, during the complete fiscal year preceding the submission of such report; (2) to the extent possible, the number and amount of such civil penalties collected during such fiscal year; and j (3) any recommendations that the President determines ap- ' propriate to-(A) eliminate obsolete civil monetary penalties; (d) modify the amount of any civil monetary penalty; or (C) make any other legislative modifications cono:rning civil monetary penalties. Sec. 7. Any increase under this Act in a civil monetary penalty shall apply only to violations which occur after the date the in-crease takes effect.* 3 a N A) Ei hhp as t b3 a ne "The hr ad u i dm Act ! , -4tkwhrhap a a nine so th wt j no en ed Oper ne v such prnahy" 77 f7 /
88' Public Law 104-13 109 Stat.163 PAPERWORK REDUCTION ACT OF 1995 PAGE USC 44 USC 101 tiote Sec.1 Short Title . .............. ......... . 79 . .. 2021d Sec. 2 Coordination of Federal Information Policy. . . . . . 79 . . . 2021d (Amends Chapter 35, Title 44 USC): Sec. 3501. Purposes . . . . .... ..... .. .. . ."l9 .... 2021d Sec. 3502. Dermitions . . .. ............ ... 80 . . 2021d Sec. 3503. Office ofInformation and Regulatory Affairs . . . . . . . . . ..... ...... .. 82 Sec. 3504. Authority and functions of Director. . . 83 Sec. 3505. Assignment of tasks and deadlines. . . . . 86 Sec. 3506. Federal agency responsibilities. . . . . . . 87 Sec. 3507. Public information collection activities; submission ,to Director; approval and delegation . . . ... .......... . 93 Sec.3508. Determination of necessity for mformation; hearing . . . . . . . ... ... 97 Sec. 3509. Designation of central collection agency. . 97 Sec. 3510. Cooperation of age icies in making information available. . . . . . . . ... 97 Sec. 3511. Establishment and operation of Government Information Locator Sc. ice... . ..... . . . . . . 98 Sec. 3512. Publie protection . . . ... ... . . . 98 Sec. 3513. Director review of agency activities reporting agency resp.onse. . . . . . . . . .S8 Sec. 3514. Responsiveness to Congress. . . . . . . 99 Sec.3515. Admmistrative powers. . .. . 100 Sec. 3516. Rules and regulations. , .. ...... 100 Sec. 3517. Consultation with other agencies and the public . . . . . . . . . . . . . . . . . . . .100 Sec. 3518. Effect on existing laws and regulations . . . .. .. ...... 100 Sec. 3519. Access to informatiort . .. .. . .. 101 Sec. 3520. Authorization of appropriations. . . . . . .101 Sec. 3 Burden Reduction Regarding Quarterly Financial Report Program at Bureau of the Census. . . . . . . . .101 Sec. 4 Effective Date . . . . ........ .. . . . . 1.02 78 pp s
Public Law 104-13 109 Stat.163
; An Act May 22.1995 To further the goals of the Paperwork Reduction Act to have Federal
[S. 244] agencies become more responsible and publicly accountable for reducing the burden of Federal paperwork on the public, and for other purposes. Paperwork Be it enacted by the Senate and House of Representatives of the United Reduction Act of States ofAmerica in Congress assembled, 1995. Information resources SECTION 1. SHORTTITLE. management. 44 USC 101 note. This Act may be cited as the " Paperwork Reduction Act of 1995". SEC. 2. COORDINATION OF FEDERAL INFORMATION POLICY. Chapter 35 of title 44, United States Code, is amended to read as follows:
" CHAPTER 35-COORDINATION OF FEDERAL INFORMATION POLICY "Sec.
"3501. Purposes.
"3502. Definitions.
"3503. Office ofInformation and Regulatory Affairs.
"3504. Authority and functions of Director.
"3505. Assignment of tasks and deadlines.
"3506. Federal agency responsibilities.
"3507. Public information collection activities; submission to Director; approval and delegation.
"3508. Determination of necessity for information; hearing.
"3509. Designation of central collection agency.
*3510. Cooperation of agencies in making information available.
"3511. Establishment and operation of Government Information Locator Service.
"3512. Public protection.
"3513. Director review of agency activities; reporting; agency response.
"3514. Responsiveness to Congress.
"3515. Administrative powers.
"3516. Rules and regulations.
"3517. Consultation with other agencies and the public.
"3518. Effect on existing laws and regu'ations.
"3519. Access toinformation.
"3520. Authorization of appropriations.
"Sec. 3501. Purposes "The purposes of this chapter are to-
"(1) minimize the paperwork burden for individuals, small busi-nesses, educational and nor. profit institutions, Federal contractors, State, local and tribal governments, and other persons resulting .
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l from the collection ofinformation by or for the Federal Govern-ment;
"(2) ensure the greatest possible public benefit from and maxi-mize the utility of information created, collected, maintained, used, shared and disseminated by or for the Federal Government;
, "(3) coordinate, integrate, and to the extent practicable and ) l appropriate, make uniform Federal information resources man-l agement policies and practices as a means to improve the l productivity, efficiency, and effectiveness of Government pro-grams, including the reduction ofinformation collection burdens on the public and the improvement of service delivay to the pub-lic; l, "(4) improve the quality and use of Federal information to I strengthen decisionmaking, accountability, and openness in Gov- I crnment and society; I
"(5) minimize the cost to the Federal Government of the creation, collection, maintenance, use, dissemination, and disposition of l information; l
"(6) strengthen the partnership between the Federal Govern- ;
ment and State, local, and tribal governments by minimizing the i burden and maximizing the utility of information created, col-lected, maintained, us;d, disseminated, and retained by or for the Federal Government; I
"(7) provide for the oawmination of public information on a timely basis, on equitable terms, and in a manner that promotes the utility of the information to the public and makes effective use ofinformation technology;
"(8) ensure that the creation, collection, maintenance, use, dis- ,
semination, and disposition ofinformation by or for the Federal i Government is consistent with applicable laws, including laws re-lating to-
"(A) privacy and confidentiality, including section 552a of title 5;
"(B) security ofinformation, including the Computer Securi-ty Act of 1987 (Public Law 100-235); and
"(C) access to information, including section 552 of title 5;
"(9) ensure the integrity, quality, and utility of the Federal statis- !
tical system; J
"(10) ensure that information technology is acquired, used, and l managed to improve performance of agency missions, including l the reduction ofinformation collection burdens on the public; and
"(11) improve the responsibility and accountability of the Office ;'
of Management and Budget and all other Federal agencies to Congress and to the public for implementing the information i collection review process, information resources management, and related policies and guidelines established under this chapter.
"Sec. 3502. Definitions I
"As used in this chapter-80 l l L
"(1) the term' agency' means any executive department, military department, Government corporation, Government controlled corporation, or other establishment in the executive branch of the Government (including the Executive Office of the President), or any independent regulatory agency, but does not include-
"(A) the General Accounting Office;
"(B) Federal Election Commission;
"(C) the governments of the District of Columbia and of the territories and possessions of the United States, and their various subdivisions; or
"(D) Government-owned contractor-operated facilities,includ-ing laboratories engaged in national defense research and production activities;
"(2) the term ' burden' means time, effort, or financial resources ex-pended by persons to generate, maintain, or provide information to or for a Federal agency, including the resources expended for-
"(A) reviewing instructions;
"(B) acquiring, installing, and utilizing technology and systems;
"(C) adjusting the existing ways to comply with any previously applicable instructions and requirements;
"(D) searching data sources;
"(E) completing and reviewing the collection of information; and
"(F) transmitting, or otherwise disclosing the information;
"(3) the term ' collection of information'-
"(A) means the obtaining, causing to be obtained, soliciting, or requiring the disclosure to third parties or the public, of facts or opinions byor for at Nency, regardless of form or format, calling for either-
"(i) answers to identical questions posed to, or identical re-porting or recordkeeping requirements imposed on, ten or more persons, other than agencies, instrumentalities, or em-ployees of the United States; or
"(ii) answers to questions posed to agencies, instrumentali-ties, or employees of the United States which are to be used for general statistical purposes; and
"(B) shall not include a collection ofinformation & scribed un-der section 3518(c)(1);
"(4)the term' Director
- means the Director of the Office of Mr. age-ment and Budget;
"(5) the term ' independent regulatory agency' means the Board of Governors of the Federal Reserve System, the Commodity Futures Trading Commission, the Consumer Product Safety Commission, the Federal Communications Commission, the Federal Deposit Insurance Corporation, the Federal Energy Regulatory Commission, the Federal Ilousing Finance Board, the Federal Maritime Commission, the Fed-eral Trade Commission, the Interstate Commerce Commission, the Mine Enforcement Safety and Health Review Commission, the Na-tional Labor Relations Board, the Nuclear Regulatory Commission, the Occupational Safety and IIcalth Review Commission, the Postal l
81 9 l l l L
Rate Commission, the Securities and Exchange Commission, and any other similar agency designated by statute as a Federal independent regulatory agency or commission;
"(6) the term 'information resources' means information and related resources, such as personnel, equipment, funds, and information technology;
"(7) the term 'information resources management' means the process of managing information resources to accomplish agency missions and
- to improve agency performance, including through the reduction of information collection burdens on the public;
"(8) the term 'information system' means a discrete set ofinformation resources organized for the collection, processing, maintenance, use, sharing, dissemination, or disposition of information;
"(9) the term 'information technology' has the same meaning as the term ' automatic data processing equipment' as defined by section 111 mim(a) (2) and (3)(C) (i) through (v) of the Federal Property and Ad-strative Services Act of 1949 (40 U.S.C. 759(a) (2) and (3)(C) (i) through (v));
"(10) the term ' person' means an individual, partnership, association, corporation, business t*ust, or legal representative, an organized group ofindividuals, a Stat . crritorial, tribal, or k> cal government or branch thereof, or a political subdivision of a State, territory, tribal, or local government or a branch of a political subdivision;
"(11) the term ' practical utility' means the ability of an agency to use information, particularly the capability to process such information in a timely and useful fashion;
"(12) the term 'public information' means any information, regard-less of form or format. that an agency discloses, disseminates, or makes available to the public;
"(13) the term 'recordkeeping requirement' means a requirement imposed by or for an agency on persons to maintain specified records, including a requirement to-
"(A) retain such records;
"(B) notify third parties, the Federal Government, or the public of the existence of such records;
"(C) disclose such records to third parties, the Federal Govern-ment, or the public; or j
"(D) report to third parties, the Federal Government, or the public regarding such records; and
"(14) the term ' penalty' includes the imposition by an agency or court of a fine or other punishment; a judgment for monetary damages or l equitable relief; or the revocation, suspension, reduction, or denial of a license, privilege, right, grant, or benefit.
Estiblishment. "Sec. 3503. Office of Information and Regulatory Affairs
"(a) There is established in the Office of Management and Budget an l office to be known as the Office ofInformatior, and Regulatory Affairs.
"(b) There shall be at the head of the Office an Administrator who shall be appointed by the President, by and with the advice and consent of the Senate. The Director shall delegate to the Administrator the authority to administer all functions under this chapter, except that any 8'
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i such delegation shall not relieve the Director of responsibility for the administration of such functions. The Administrator shall serve as prin-cipal adviser to the Director on Federal information resources management policy.
"Sec. 3504. Authority and functions of Director
"(a)(1) The Director shall oversee the use ofinformation resources to improve the efficiency and effectiveness of governmental operations to serve agency missions, including burden reduction and service delivery to the public. In performing such oversight, the Director shall-
"(A) develop, coordinate and oversee the implementation of Federal information resources management policies, principles, standards, and guidelines; and l
"(B) provide direction and oversee-
"(i) the review and approval of the collection ofinformation
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j and the reduction of the information collection burden;
"(ii) agency dissemination of and public access to informa-tion;
"(iii) statistical activities;
"(iv) records management activities;
"(v) privacy, confidentiality, security, disclosure, and sharing ofinformation; and
"(vi) the acquisition and use of information technology.
"(2) The authority of the Director under this chapter shall be exercised consistent with applicable law.
"(b) With respect to general information resources management policy, the Director shall-
"(1) develop and oversee the implenientation of uniform infor-mation resources management policies, principles, standards, and guidelines;
"(2) foster greater sharing, dissemination, and access to public information, including through-
"(A) the use of the Government Information Locator Ser-l 4
vice; and
"(B) the development and utilization of common standards ,
for information collection, storage, processing and commu- 1 nication, including standards for security, intercunnectivity and interoperability;
"(3) initiate and review proposals for changes in legislation, regulations, and agency procedures to improve information re- j sources management practices;
"(4) oversee the development and implementation of best prac-tices in information resources management, including training; J and d
"(5) oversee agency integration of program and management functions with information resources management functions.
l- "(c) With respect to the collection of information and the control of papenvork, the Director shall-
"(1) review and approve proposed agency collections of in-formation; 83 g 1
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"(2) coordinate the review of the collection ofinformation associated with Federal procurement and acquisition by the Office ofInformation and Regulatory Affairs with the Office of Federal Procurement Policy, with particular emphasis on applying information technology to improve the efficiency and effectiveness of Federal procurement, acquisition and pay-ment, and to reduce information collection burdens on the public;
"(3) minimize the Federal information collection burden, with particular emphasis on those individuals and entities most adversely affected;
"(4) maximize the practical utility of and public benefit from information collected by or for the Federal Government; and
"(5) establish and oversee standards and guidelines by which agencies are to estimate the burden to comply with a proposed collection ofinformation.
"(d) With respect to information dissemination, the Director shall develop and oversee the implementation of policies, principles, stav-dards, and guidelines to-
"(1) apply to Federal agency dissemination of public informa-tion, regardless of the form or format in which such information is disseminated; and
"(2) promote public access to public information and fulfill the purposes of this chapter, including through the effective use of information technology.
"(e) With respect to statistical policy and coordination, the Director shall-
"(1) coordinate the activities of th: Federal statistical system to ensure-
"(A) the efficiency and effectiveness of the system; and
"(B) the integrity, objectivity, impartiality, utility, and confi-dentiality ofinformation collected for statistical purposes;
"(2) ensure that budget proposals of agencies are consistent with system-wide priorities for maintaining and improving the quality of Federal statistics and prepare an annual report on statistical l program funding; J
"(3) develop and oversee the implementation of Government-wide policies, principles, standards, and guidelines concerning-
"(A) statistical collection procedures and methods;
"(B) statistical data classification;
"(C) statistical information presentation and dissemination;
"(D) timely release of statistical data; and
"(E) such statistical data sources as may be required for the administration of Federal programs;
"(4) evaluate statistical program performance and agency com-pliance with Governmentwide policies, principles, standards and guidelines;
"(5) promote the sharing of information collected for statistical purposes consistent with privacy rights and confidentiality pledges; y
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"(6) coordinate the participation of the United States in interna-tional statistical activities, including the development of comparable statistics;
"(7) appoint a chief statistician who is a trained and experienced professional statistician to carry out the functions described under this subsection; Establishment. "(8) establish an Interagency Council on Statistical Policy to advise and assist the Director in carrying out the functions under this subsection that shall-
"(A) be headed by the chief statistician; and
"(B) consist of-
"(i) the heads of the major statistical programs; and
"(ii) representatives of other statistical agencies under rotating membership; and
"(9) provide opportunities for training in statistical policy func-tions to empkiyees of the Federal Government under which-
"(A) each trainee shall be selected at the discretion of the Director based on agency requests and shall serve under the chief statistician for at least 6 months and not more than 1 year; and
"(B) all costs of the training shall be paid by the agency requesting training.
Records. "(f) With respect to records management, the Director shall-
"(1) provide advice and assistance to the Archivist of the United States and the Administrator of General Services to promote cooidination in the administration of chapters 29,31, and 33 of this title with the information resources management policies, principles, standards, and guidelines established under this chap-ter;
"(2) review compliance by agencies with--
"(A) the requirements of chapters 29,31, and 33 of this title; and Regulations. "(B) regulations promulgated by the Archivist of the United States and the Administrator of General Services; and
"(3) oversee the application of records management policies, ,
principles, standards, and guidelines, including requirements for ! archiving information maintained in electronic format, in the planning and design ofinformation systems.
"(g) With respect to privacy and security, the Director shall-
"(1) develop and oversee the implementation of policies, prin-ciples, standards, and guidelines on privacy, confidentiality, ,
security, disclosure and sharing ofinformation collected or main-tained by or for agencies;
"(2) oversee and coordinate compliance with sections 552 and !
552a of title 5, the Computer Security Act of 1987 (40 U.S.C. 759 note), and related information management laws; and
"(3) require Federal agencies, consistent with the Computer Security Act of 1987 (40 U.S.C. 759 note), to identify and afford security protections commensurate with the risk and magnitude of the harm resulting from the loss, misuse, or unauthorized access to
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or modification ofinformation collected or maintained by or on behalf of an agency.
"(h) With respect to Federal information technology, the Director shall-
"(1)in consultation with the betor of the National Institute of Standards and Technology and the Audnistrator of General Scr-vices-
"(A) develop and oversee the implementatioi: of pol;cies, principles, standards, and guidelines for information ichnolo-gy functions and activities of the Federal Government, including periodic evaluations of major information systems; and
"(B) oversee the development and implementation of stan-dards under section 111(d) of the Federal Property and Administrative Services Act of 1949 (40 U.S.C. 759(d));
"(2) monitor the effectiveness of, and compliance with, direc-tives issued under sections 110 and 111 of the Federal Property and Administrative Services Act of 1949 (40 U.S.C. 757 and 759);
"(3) coordinate the development and review by the Office of Information and Regulatory Affairs of policy associated with Fed-eral procurement and a:quisition ofinformation technology with the Office of Federal Procurement Policy;
"(4) ensure, through the review of agency budget proposals, information resources management plans and other means-
"(A) agency integration cf information resources manage-ment plans, program plans and budgets for acquisition and use ofinformation technology; and
"(B) the efficiency and effectiveness of inter-agency infor-mation technology initiatives to improve agency performance and the accomplishment of agency missions; and
"(5) promote the use ofinformation technology by the Federal Government to improve the productivity, efficiency, and effec-tiveness of Federal programs, including through dissemination of public information and the reduction of information collection '
burdens on the public.
"Sec.3505. Assignment of tasks and acadlines
"(a) In carrying out the functions under this chapter, the Director shall-
"(1) in consultation with agency heads, set an annual Govern-mentwide goal for the reduction ofinformation collection burdens by at least 10 percent during each of fiscal years 1996 and 1997 and 5 percent during each of fiscal years 1998,1999,2000, and 2001, l I
and set annual agency goals to-l "(A) reduce information collection burdens imposed on the l public that- ! [ "(i) represent the maximum practicable opportunity in i each agency; and 86 g) i
"(ii) are consistent with improving agency management of the process for the review of collections of information established under section 3506(c); and
"(B) improve information resources management in ways I that increase the productivity, efficiency and effectiveness of Federal programs, including service delivery to the public;
"(2) with selected agencies and non-Federal entities on a volun-tary basis, conduct pilot projects to test alternative policies, practices, regulations, and procedures to fulfill the purposes of )
this chapter, particularly with regard to minimizing the Federal information collection burden; and
"(3)in consultation with the Administrator of General Services, the Director of the National Institute of Standards and Technolo-gy, the Archivist of the United States, and the Director of the Office of Personnel Management, develop and maintain a Governmentwide strategic plan for information resources manage-ment, that shall include-
"(A) a description of the objectives and the means bywhich !
the Federal Government shall apply information resources to ) improve agency and program performance;
"(B) plans for-
"(i) reducing information burdens on the public, includ-ing reducing such burdens through the elimination of duplication and meeting shared data needs with shared resources;
"(ii) enhancing public access to and dissemination of, information, using electronic and other formats; and
"(iii) meeting the information technology needs of the )
Federal Government in accordance with the purposes of 1 this chapter; and
"(C) a description of progress in applying information re-sources management to improve agency performance and the accomplishment of missions.
)
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"(b) For purposes of any pilot project conducted under subsection (a)(2), the Director may, after consultatien with the agency head, waive the application of any administrative directive issued by an ageacy with which the project is conducted, including any directive requiring a collection of information, after giving timely notice to the public and the Congress regarding the need for such waiver.
"Sec. 3506. Federal agency responsibilities l "(a)(1) The head of each agency shall be responsible for- i
"(A) carrying out the agency's information resources man- l agement activities to improve agency productivity, efficiency, j and effectiveness; and l
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"(B) complying with the requirements of this chapter and related policies established by the Director. 1 Reports. "(2)(A) Except as provided under subparagraph (B), the head of each agency shall designate a senior official who shall m
87 9?
report directly to such agency head to carry out the responsibi-lities of the agency under this chapter. Reports. "(B) The Secretary of the Department of Defense and the Secretary of each military department may each designate se-nior officials who shall report directly to such Secretary to carry out the responsibilities of the department under this chapter. If more than one official is designated, the respective duties of the officials shall be clearly delineated. j
"(3) The senior official designated under paragraph (2) shall i head an office responsible for ensuring agency compliance with and prompt, efficient, and effective implementation of the infor-mation policies and information resources management ,
responsibilities established under this chapter, including the re-duction of information collection burdens on the public. The serior official and employees of such office shall be selected with special attention to the professional qualifications required to ) administer the functions described under this chapter.
"(4) Each agency program official shall be responsible and ac-countable for information resources assigned to and supporting ,
the programs under such official. In consultation with the senior official designated under paragraph (2) and the agency Chief Fi-nancial Officer (or comparable official), each agency program official shall define program information needs and develop strat-egies, systems, and capabilities to meet those needs.
"(b) With respect to general information resources management, each agency shall-
"(1) manage information resources to- l
"(A) reduce information collection burdens on the public;
"(B) increase program efficiency and effectiveness;
]
and
"(C) improve the integrity, quality, and utility ofinformation to all users within and outside the agency, including capabili-ties for ensuring dissemination of public information, public )
access to government information, and protections for pnvacy l and security; l
"(2) in accordance with guidance by the Director, develop and )
l mamtain a strategic information resources management plan that shall describe how information resources management activities l help accomplish agency missions;
"(3) develop and maintain an ongoing process to-l, "(A) ensure that information resources management opera- ,
tions and decisions are integrated with organizational i planning, budget, financial management, human resources < ! management, and program decisions; i "(B)in cooperation with the agency Chief Financial Officer l (or comparable official), develop a full and accurate account-ing ofinformation technology expenditures, related expenses, and results; and
"(C) establish goals for improving information resources f management's contribution to program productivity, efficien-f
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cy, and effectiveness, methods for measuring progress towards those goals, and clear roles and responsibilities for achieving those goals;
"(4) in consultation with the Director, the Administrator of General Services, and the Archivist of the United States, maintain a current and complete inventory of the agency's information resources, including directories necessary to fulfill the require-ments of section 3511 of this chapter; and
"(5)in consultation with the Director and the Director of the Office of Personnel Management, conduct formal training pro-grams to educate agency program and management officials about information resources management.
"(c) With respect to the collection ofinformation and the control of paperwork, each agency shall-
"(1) establish a process within the office headed by the official designated under subsection (a), that is sufficiently independent of program responsibility to evaluate fairly whether proposed collections ofinformation should be approved under this chapter, to-
"(A) reviesv cach collection of information before submis-sion to the Director for review under this chapter, including-
"(i) an evaluation of the need for the collection ofinfor-mation;
"(ii) a functional description of the information to be collected;
"(iii) a plan for the collection of the information;
"(iv) a specific, objectively supported estimate of burden;
"(v) a test of the collection ofinformation through a phot program,if appropriate; and
"(vi) a plan for the efficient and effective management and use of the information to be collected, including neces-sary resources;
"(B) ensure that each information collection-
"(i) is inventoried, displays a control number and, if ap-propriate, an expiration date;
"(ii) indicates the collection is in accordance with the clearance requirements of section 3507; and
"(iii) informs the person receiving the collection ofinfor-mation of-
"(I) the reasons the information is being collected;
"(II) the way such information is to be used;
"(III) an estimate, to the extent practicable, of the burden of the collection;
"(IV) whether responses to the collection ofinforma-tion are voluntary, required to obtain a benefit, or me.ndaton; and i- "(V) the fact that an agency may not conduct or spon-
/- sor, and a person is not required to respond to, a collection of information unless it displays a valid con-trol number; and G
l i
"(C) assess the information collection burden of proposed 1cgislation affecting the agency; Federal Register, "(2)(A) except as provided under subparagraph (B) or section
,ublication. 3507(j), provide 60-day notice in the Federal Register, and otherwise consult with members of the public and affected agencies concerning each proposed collection ofinformation, to solicit comment to-
"(i) evaluate whether the proposed collection ofinforma-tion is necessary for the proper performanc of the functions of the agency, including whether the information shall have practical utility;
"(ii) evaluate the accuracy of the agency's estimate of the burden of the proposed collection ofinformation;
"(iii) enhance the quality, utility, and clarity of the infor-mation to be collected; and
"(iv) minimize the burden of the collection of informa-tion on those who are to respond, including through the use of automated collection techniques or other forms ofinfor-mation technology; and Regulations. "(B) for any proposed collection ofinformation contained in a proposed rule (to be reviewed by the Director under section 3307(d)), provide notice and comment through the notice of proposed rulemaking for the proposed rule and such notice shall have the same purposes specified under subparagraph (A)(i) through (iv); and
"(3) certify (and provide a record supporting such certification, including public comments received by the agency) that each collection of information submitted to the Director for review under section 3507-
"(A)is necessary for the proper performance of the funct.ans of the agency, including that the information has practical utility;
"(B) is not unnecessarily duplicative of information other- I wise reasonably accessible to the agency;
"(C) reduces to the extent practicable and appropriate the burden on persons who shall provide information to or for the agency, including with respect to small entities, as defined under section 601(6) of title 5, the use of such techniques as-l "(i) establishing differing compliance or reporting re-quirements or timetables that take into account the l resources available to those who are to respond; i
"(ii) the clarification, consolidation, or simplification of compliance and reporting requirements; or
"(iii) an exemption from coverage of the collection of information, or any part thereof;
"(D) is written using plain, coherent, and unambiguous ter-minology and is understandable to those who are to respond;
"(E)is to be implemented in ways consistent and compatible, to the maximum extent practicable, with the existing reporting 1 and recordkeeping practices of those who are to respond; 90 1
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)
"(F) indicates for each recordkeeping requirement the length of time persons are required to maintain the records specified;
"(G) contains the statement required under paragraph i (1)(B)(iii); i
"(H) has been developed by an office that has planned and I alk)cated resources for the efficient and effective management and use of the information to be collected, including the proc-essing of the information in a manner which shall enhance, where appropriate, the utility of the information to agencica and the public;
"(I) uses effective and efficient statistical survey methodolo- 3 gy appropriate to the purpose for which the information is to j be collected; and
"(J) to the maximum extent practicable, uses information technology to reduce burden and improve data quality, agency efficiency and responsiveness to the public.
Public "(d) With respect to information dissemination, each agency shall-information. "(1) ensure that the public has timely and equitable access to the agency's public information, including ensuring such access through-
"(A) encouraging a diversity of public and private sources for j information based on government public information; J
"(B) in cases in which the agency provides public information i maintained in electronic format, providing timely and equita-ble access to the underlying data (in whole or in part); and
"(C) agency dissemination of public information in an effi-cient, effective, and economical manner;
"(2) regularly solicit and consider public input on the agency's information dissemination actisities;
"(3) provide adequate notice when initiating, substantially mod- :
ifying, or terminating significant information dissemination products; and
"(4) not, except where specifically authorized by statute-
"(A) establish an exclusive, restricted, or other distribution arrangement that interferes with timely and equitable avail-ability of public information to the public;
"(B) restrict or regulate the use, resale, or redissemination of public information by the public;
"(C) charge fees or royalties for resale or redissemination of public information; or
"(D) establish user fees for public information that exceed the cost of dissemination.
"(e) With respect to statistical policy and coordination, each agency ,
shall-
"(1) ensure the relevance, accuracy, timeliness, integrity, and objectivity ofinformation collected or created for statistical pur-poses;
"(2) inform respondents fully and accurately about the sponsors, purposes, and uses of statistical surveys and studies; 91 ;
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"(3) protect respondents' privacy and ensure that disclosure pol-icies fully honor pledges of confidentiality;
"(4) observe Federal standards and practices for data collection, analysis, documen*.ation, suuring, and dissemination ofinforma-tion;
"(5) ensure the timely publication of the results of statistical surveys and studies, including information about the quality and limitations of the su:veys and studies; and
"(6) make data available to statistical agencies and readily acces-sible to the public.
Records. "(f) With respect to records management, each agency shall implement and enforce applicable policies and procedures, including requirements for archiving information maintained in electronic format, particularly in the planning, design and operation of information systems. Privacy. "(g) With respect to privacy and security, each agency shall-Comouter "(1) implement and enforce applicable policies, procedures, technology. standards, and guidelines on privacy, confidentiality, security, disclosure and sharing ofinformation collected or maintained by or for the agency;
"(2) assume responsibility and accountability 'or compliance 1 with and coordinated management of sections 552 and 552a of title 5, the Computer Security Act of 1987 (40 U.S.C. 759 note),
and related information management laws; and
"(3) consistent with the Computer Security Act of 1987 (40 )
U.S.C. 759 note), identify and afford security protections com- )j mensurate with the risk and magnitude of the harm resulting from the loss, misuse, or unauthorized access to or modification of information collected or maintained by or on behalf of an agency. Science and "(h) With respect to Federal inforn ation technology, each agency tecimology, shall-
"(1) implement and enforce applicable Governmentwide and agency information technology management policies, principles, standards, and guidelines;
"(2) assume responsibility and a. countability for information technology investments;
"(3) promote the use of information technology by the agency to improve the productivity, efficiency, and effectiveness of agency programs, including the reduction ofinformation collection bur-dens on the public and improved dissemination of public information;
"(4) propose changes in legislation, regulations, and agency pro-cedures to improve information technology practices, including changes that improve the ability of the agency to use tcchnology to reduce burden; and
"(5) assume responsibility for maximizing the value and assess- l ing and managing the risks of major information systems initiatives through a process that is-
"(A) integrated with budget, financial, and program manage-ment decisions; and
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"(B) used to select, control, and evaluate the results of major l information systems initiatives.
"Sec. 3507. Public information collection activities; submission to Director; approval and delegation
"(a) An agency shall not conduct or sponsor the collection ofinforma-tion unless in advance of the adoption or revision of the collection of information-
"(1) the agency has-
"(A) conducted the review established under section 3506(c)(1);
"(B) evaluated the public comments received under section 3506(c)(2);
"(C) submitted to the Director the certification required under section 3506(c)(3), the proposed collection of informa-tion, copies of pertinent statutory authority, regulations, and other related materials as the Director may specify; and Federal Register, "(D) published a notice in the Federal Register-publication. "(i) statirig that the agency has made such submission; and
"(ii) setting forth-
"(I) a title for the collection of information;
. "(11) a summary of the collection of information;
"(III) a brief description of the need for the informa-tion and the proposed use of the information;
"(IV) a description of the likely respondents and pro-posed frequency of response to the collection of information;
"(V) an estimate of the burden that shall result frcm the collection of information; and
"(VI) notice that comments may be submitted to the agency and Director;
"(2) the Director has approved the proposed collection ofinfor-mation or approval has been inferred, under the provisions of this section; and
"(3) the agency has obtained from the Director a control number to be displayed upon the collection ofinformation.
"(b) The Director shall provide at least 30 days for public comment prior to making a decision under subsection (c), (d), or (h), except as provided under subsection (j).
"(c)(1) For any proposed collection of information not con-tained in a proposed rule, the Director shall notify the agency.
involved of the decision to approve or disapprove the proposed collection ofinformation.
"(2)The Director shall provide the notification under paragraph (1),within 60 days after receipt or publication of the notice under subsection (a)(1)(D), whichever is later.
"(3) If the Director does not notify the agency of a denial or l approval within the 60-day period described under paragraph (2)-
"(A) the approval may be inferred; 93
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"(B) a control number shall be assigned without further delay; and
"(C) the agency may collect the information for not more than 1 year.
Proposed rule. "(d)(1) For any proposed collection ofinformation contained in a proposed rule-
"(A) as soon as practicable, but no later than the date of publication of a notice of proposed rulemaking in the Federal Register, each agency shall forward to the Director a copy of any proposed rule which contains a collection of information and any information requested by the Director necessary to make the determination required under this subsection; and Federal Register, "(B) within 60 days after the notice of proposed rulemaking publication. is published in the Federal Register, the Director may file public comments pursuant to the standards set forth in section 3508 on the collection of information contained in the pro-posed rule; Regulations. "(2) When a final rule is published in the Federal Register, the Frderal Register, agency shall explain- i publication. "(A) how any collection ofinformation contained in the final l rule responds to the comments,if any, filed by the Director or the public; or
"(B) the reasons such comments were rejected.
"(3)lf the Director has received notice and failed to comment on an agency rule within 60 days after the notice of proposed rule-making, the Director may not disapprove any collection of information specifically contained in an agency rule.
"(4) No provirbn in this section shall be construed to prevent the Director, in the E 4 Mr's discretion-
"(A) from dis p ving any collection of information which was not specifically required by an agency rule;
"(B) from disapproving any collection of information con-tained in an agency rule, if the agency failed to comply with the requirements of paragraph (1) of this subsection;
"(C) from disapproving any collection of information con-tained in a final agency rule, if the Director finds within 60 days !
after the publication of the final rule that the agency's response ' to the Director's comments filed under paragraph (2) of this subsections was unreasonable; or
"(D) from disapproving any collection of information con- ,
tained in a final rule, if- l
"(i) the Director determines that the agency has substan- i tially modified in the final rule the collection ofinformation contained in the proposed rule; and
"(ii) the agency has not given the Director the informa- ,
tion required under paragraph (1) with respect to the l modified collection of information, at least 60 days before l the issuance of the final rule. l
"(5) This subsection shall apply only when an agency publishes a notice of proposed rulemaking and requests public comments.
94 y, )
"(6) The decision by the Director to approve or not act upon a collection of information contained in an agency rule shall not be subject to judicial review.
"(e)(1) Any decision by the Director under subsection (c),
(d), (h), or (j) to disapprove a collection of information, or to instruct the agency to make substantive or material change to a collection of information, shall be publicly available and in-clude an explanation of the reasons for such decision.
"(2) Any written communication between the Administrator of the Office of Information and Regulatory Affairs, or any em-phiyee of the Office ofInformation and Regulatory Affairs, and an agency or person not employed by the Federal Governmerit concerning a proposed collection of information shall be made available to the public.
"(3) This subsection shall not require the disclosure of-
"(A) any information which is protected at all times by proce-dures established for information which has been specifier.lly authorized under criteria established by an Executive order or an Act of Congress to be kept secret in the interest of national defense or foreign policy; or
"(B) any communication relating to a collection ofinfonna-tion which is not approved under this chapter, the disclosure of which could aad to retaliation or discrimination against the communicator.
"(f)(1) An independent regulatory agency which is administered by 2 or more members of a commission, board, or similar body, may by majority vote void-
"(A) any disapproval by the Director, in whole or in part, of a proposed collection ofinformation of that agency; or
"(B) an exercise of authority under subsection (d) of section 3507 concerning that agency.
"(2) The agency shall certify each vote to void such disapproval or exercise to the Director, and explain the reasons for such vote.
The Director shall without further delay assign a control number to such collection of information, and such vote to void the disap-proval or exercise shall be valid for a period of 3 years.
"(g) The Director may not approve a collection ofinformation for a period in excess of 3 years. ;
"(h)(1)If an agency decides to seek extension of the Director's ;
approval granted for a currently approved collection of informa-tion, the agency shall-
"(A) conduct the review established under section 3506(c),
including the seeking of comment from the public on the con-tinued need for, and burden imposed by the collection of information; and
"(B) after having made a reasonable effort to seek public comment, but no later than 60 days before the expiration date of the control number assigned by the Director for the current-ly approved collection ofinformation, submit the collection of information for review and approval under this section, which m
95 g< l l
I l shall include an explanation of how the agency has used the j information that it has collected.
"(2)If under the provisions of this section, the Director disap-proves a collection ofinformation contained in an existing rule, or
, recommends or instructs the agency to make a substantive or i material change to a collection of information contained in an existing rule, the Director shall-l Federal Register, "(A) publish an explanation thereofin the Federal Register; and publication. "(B) instruct the agency to undertake a rulemaking within a reasonable time limited to consideration of changes to the collection ofinformation contained in the rule and thereafter to submit the collection ofinformation for approval or disapproval under this chapter.
"(3) An agency may not make a substantive or material modifi-cation to a collection ofinformation after such collection has been approved by the Director, unless the modification has been sub-l mitted to the Director for review and approval under this chapter.
"(i)(1) If the Director finds that a senior official of an agency designated under section 3506(a) is sufficiently independent of ,
program responsibility to evaluate fairly whether proposed collec- j tions of information should be approved and has sufficient , resources to carry out this responsibility effectively, the Director may, by rule in accordance with the notice and comment provi-sions of chapter 5 of title 5, United States Code, delegate to such , official the authority to approve proposed collections ofinforma- ,
- tion in specific program areas, for specific purposes, or for all agency purposes. i
"(2) A delegation by the Director under this section shall not j preclude the Director from reviewing individual collections of l information if the Director determines that circumstances war-rant such a review. The Director shall retain authority to revoke such delegations, both in general and with regard to any specific matter. In acting for the Director, any official to whom approval authority has been delegated under this section shall comply fully with the rules and regulations promulgated by the Director.
"(j)(1) The agency head may request the Director to authorize a collection ofinformation, if an agency head determines that-
"(A) a collection of information-
"(i) is needed prior to the expiration of time periods l
established under this chapter; and
"(ii)is essential to the mission of the agency; and
"(B) the agency cannot reasonably comply with the prosi-sions of this chapter because-
"(i) public harm is reasonably likely to result if normal clearance procedures are followed;
"(ii) an unanticipated event has occurred; or
"(iii) the use of normal clearance procedures is reason- 1 ably likely to prevent or disrupt the collection of 1 information or is reasonably likely to cause a statutory or l court ordered deadline to be missed.
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"(2) The Director shall approve or disapprove any such authori-l zation request within the time requested by the agency head and, if approved, shall assign the collection of information a control number. Any collection ofinformation conducted under this sub-section may be conducted without compliance with the provisions of this chapter for a maximum of 90 days after the date on which the Director received the request to authorize such collection.
"Sec. 3508. Determination of necessity for information; hearing "Before approving a proposed collection ofinformation, the Director shall determir.c whether the collection of information by the agency is necessary for the proper performance of the functions of the agency, includin;; whether the information shall have practical utility. Before l making a determination tne Director may give the agency and other interested persons an opportunity to be heard or to submit statements in writing. To the extent, if any, that the Director determines that the E collection of information by an agency is unnecessary for any reason,
! the agency may not engage in ec collection ofinformation.
"Sec. 3509. Designation of central collection agency "The Director may designate a central collection agency to obtain information for two or more agencies if the Director determines that the needs of such agencies for information will be adequately served by a single collection agency, and such sharing of data is not inconsistent with applicable law. In such cases the Director shall prescribe (with reference to the collection ofinformation) the duties and functions of l
the collection agency so designated and of the agencies for which it is to act as agent (includi g:9nbursement for costs). While the designation is in effect, an agency covered by the daignation may not obtain for itself information for the agency which is the duty of the collection agency to obtain. The Director may modify the designation from time to time as circumstances require. The authority to designate under this i section is subject to the provisions of section 3507(f) of this chapter.
"See. 3510. Cooperation of agencies in making information available
"(a) The Director may direct an agency to make available to another agency, or an agency may make available to another agency, informa.
tion obtained by a collection of information if the disclosure is not
- inconsistent with applicable law.
"(b)(1) If information obtained by an agency is released by that agency to another agency, all the provisions of law (including penalties) that relate to the unlawful disclosure of information apply to the officers and employees of the agency to which infor-
, mation is released to the same extent and in the same manner as , l the provisions apply to the officers and employees of the agency l which originally obtained the information.
"(2) The officers and employees of the agency to which the information is released, in addition, shall be subject to the same provisions of law, including penalties, relating to the unlawful disclosure ofinformation as if the information had been collected directly by that agency. j
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"Sec. 3511. Establishment and operation of Government Information locator Service
"(a) ln order to assist agencies and the public in locating information and to promote information sharing and equitable access by the public, the Director shall-
"(1) cause to be established and maintained a distributed agency-based electronic Government Information Locator Ser-vice (hereafter in this section referred to as the ' Service'), which shall identify the major information systems, holdings, and dis-semination products of each agency;
"(2) require each agency to establish and maintain an agency information locator service as a component of, and to support the establishment and operation of the Service; Estcblishment. "(3 in cooperation with the Archivist of the United States, the Adrm)nistrator of General Services, the Public Printer, and the Librarian of Congress, establish an interagency committee to advise the Secretary of Commerce on the development of technical standards for the Service to ensure compatibility, promote information sharing, and uniform access by the public;
"(4) consider public access and other user needs in the establish-ment and operation of the Service;
"(5) ensure the security and integrity of the Service, including measures to ensure that only information which is intended to be disclosed to the public is disclosed through the Service; and
"(6) periodically review the development and effectiveness of the Service and make recommendations for improvement, inclu6 ing other mechanisms for improving public access to Federal agency public information.
"(b) This section shall not apply to operational files as defined by the Central Intelligence Agency Information Act (50 U.S.C. 431 et seq.).
"Sec. 3512. Public protection
"(a) Notwithstanding any other provision oflaw, no person shall be subject to any penalty for failing to comply with a collection ofinforma-tion that is subject to this chapter if-
"(1) the collection of information does not display a valid control number assigned by the Director in accordance with ,
this chapter; or
"(2) the agency fails to inform the person who is to respond to ,
required to respond to the collection ofinformation unless it displays a valid control number.
"(b) The protection provided by this section may be raised in the form of a complete defense, bar, or otherwise at any time during the agency administrative process or judicial action applicable thereto.
"Sec. 3513. Director review of agency activities; reporragt agency response
"(a)In consultation with the Administrator of General Services, the Archivist of the United States, the Director of the National Institute of Standards and Technology, and the Director of the Office of Personnel Management, the Director shall periodically review selected agency 90
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information resources management activities to ascertain the efficien-cy and effectiveness of such activities to improve agency performance and the accomplishment f agency missions.
"(b) Eech agency having an activity reviewed under subsection (a) shall, within 60 days after receipt of a report on the review, provide a written plan to the Director describing steps (including milestones) tr>-
"(!) be taken to address information resources management problems identified in the report; and
"(2) improve agency performance and the accomplishment of agency missions.
"Sec. 3514. Responsiveness to Congress
"(a)(1) The Director shall-
"(A) keep the Congress and congressional committees fully and currently informed of the major activities under this chap-ten and Reports. "(il) submit a report on such activities to the President of the Senate and the Speaker of the flouse of Representatives annu-ally and at such other times as the Director determines necessa y.
"(2) The leirector shall include in any such report a description of the extent to which agencies have-
"(A) reduced information collection burdens on the public, including-
"(i) a summary of accomplishments and planned initia-t'ves to reduce collection of information burdens;
"(ii) a list of ali violations of this chapter and of any rules, guidelines, policies, and procedures issued pursuant to this chapter;
"(iii) a list of any increase in the collection ofinformation 4 burden, including the authority for each such collection; and
"(iv) a list of agencies that in the preceding year did not reduce information collection burdens in accordance with section 3505(a)(1), a list of the programs and statutory responsibilities of those agencies that precluded that re-duction, and recommendations to assist those agencies to reduce information collection burdens in accordance with that section;
"(B) improved the quality and utility of statistical informa-tion;
"(C) improved public access to Government information; and
"(D) improved program performance and the accomplish-ment of agency missions through information resources management.
"(b) The preparation of any report required by this section shall be based on performance results reported by the agencies and shall not 99 f0$
increase the collection ofinformation burden on persons outsit.e the Federal Government.
"Sec. 3515. Administrative powers "Upon the request of the Director, each agency (other than an inde-pendent regulatory agency) shall, to the extent practicable, make its services, personnel, and facilities available to the Director for the per-formance of functions under this chapter.
"Sec. 3516. Rules and regulations "The Director shall promulgate rules, regulations, or procedares nec-essary to exercise the authority provided by this chapter.
"Sec. 3517. Consultation with other agencies and the public
"(a) In developing information resources management polhies, plans, rules, regulations, procedures, and guidelines and in revne ving collections ofinformation, the Director shall provide interested agen-cies and persons early and meaningful opportunity to comment.
"(b) Any person may request the Director to review any collection of information conducted by or for an agency to determine, if, under this chapter, a person shall maintain, provide, or disclose the information to or for the agency. Unless the request is frivolous, the Director shall, in coordination with the agency responsible for the collection ofinforma-tion-
"(1) respond to the request within 60 days after receiving the req' test, unless such period is extended by the Director to a speci-fled date and the person making the request is given notice of such extension; and
"(2) take appropriate remedial action, if necessary.
"Sec. 3518. Effect t,n existing laws and regulations
"(a) Except as otherwise provided in this chapter, the authority of an agency under any other law to prescribe policies, rules, regulations, and procedures for Federal information resources management activities is subject to the authority of the Director under this chapter.
*(b) Nothing in this chapter shall be deemed to affect or reduce the authority of the Secretary of Commerce or the Director of the Office of Management and Budge.: pursuant to Reorganization Plan No.1 of 1977 (as amended) and Executive order, relating to telecommunica-tions and information policy, procurement and management of telecommunications and information systems, spectrum use, and re-lated matters.
"(c)(1) Except as provided in paragraph (2), this chapter shall not apply to the collection of information-
"(A) during the conduct of a Federal criminal investigation or prosecution, or during the disposition of a particular crimi-nal matter;
"(B) during the conduct of-
"(i) a civil action to which the United States or any official or agency thereof is a party; or l "(ii) an administrative action or investigation involving l an agency against specific individuals or entities; 100 g
"(C) by compulsory process pursuant to the Antitrust Civil Process Act and section 13 of the Federal Trade Commission Improvements Act of 19f'0; or
"(D) during the conduct ofintelligence activities as defined in section 3.4(e) of Executive Order No.12333, issued Decem-ber 4,1981, or successor orders, or during the conduct of cryptologic activities that are communications security activi-ties.
"(2) This chapter apphes to the collection ofinformation durir.g the conduct of general invotigations (other than information col-lected in an antitrust investigation to the extent provided in subpa, agraph (C) of paragraph (1)) undertaken with reference to A Category ofindividuals of entities such as a class oflicensees or an entire industry.
"(d) Nothing in this chapter shall be interpreted as increasing or decreasing the authority conferred by Public Law 89-3% on the Ad-ministrator of the General Services Administration, the Secretary of Commerce, or the Director of the Office of Management and Budget.
"(e) Nothing in this chapter shall be interpreted as increasing or decreasing the authority of the President, the Office of Management and Budget or the Director thereof, under the laws of the United States, with respect to the substantive policies and programs of depart-ments, agencies and offices, including the substantive authority of any Federal agency to enforce the civil rights laws.
"Sec. 3519. Access to information "Under the ' conditions and procedures prescribed in section 716 of title 31, the Director and personnel in the Office of Information and Regulatory Affairs shall furnish such information as the Comptroller General may require for the discharge of the responsibilities of the Comptroller General. For the purpose of obtaining such information, the Comptroller General or representatives thereof shall have access to ;
all books, documents, papers and records, regardless of form or format, j of the Office.
"Sec. 3520. Authorization of appropriations "There are authorized to be appropriated to the Office ofInforma-tion and Regulatory Affairs to carry out the provisions of this chapter, and for no other purpose, $8,000,000 for each of the fiscal years 1996, 1997,1998,1999,2000, and 2001.".
SEC. 3. BURDEN REDUCrlON REGARDING QUARTERIN FINANCIAL REPORT PROGRAM AT BUREAU UF TIIE CENSUS. Section 91 of title 13, United States Code, is :enended by adding at the end the following new subsection: .
"(d)(1) The Secretary shall not select an organization or entity I for participation in a survey, if- j
"(A) the organization or entity- '
"(i) has assets ofless than $50,000,000; 2o2
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"(ii) completed participation in a prior survey in the pre-ceding 10-year period, as determined by the Secretary; and
"(iii) was selected for that prior survey participation after September 30,1990; or
"(B) the organization or entity-
"(i) has assets of more than $50,000,000 and less than
$100,030,000;
"(ii) completed participation in a prior survey in the pre-ceding 2-year period, as determined by the Secretary; and
"(iii) was selected for that prior survey participation after September 30,1995.
"(2)(A) The Secretary shall furnish advice and similar assis-tance to ease the burden of a small business concern which is attempting to compile and furnis't the business information required of organizations and entities participating in the sur- {
vey. j
"(B) To facilitate the provision of the assistance under sub-paragraph (A), the Secretary shall establish a toll-free telephone number.
J
"(C) The Secretary shall expand the use of statistical sam- 1 pling techniques to select organizations and entities having assets less than $100,000,000 to participate in the survey.
"(3) The Secretary may undertake such additional paperwork burden reduction initiatives with respect to the conduct of the i survey as may be deemed appropriate by the Secretary. )
"(4) For purposes of this subsection: i
"(A) The term 'small business concern' means a business concern that meets the requirements of section 3(a) of the Small Business Act and the regulations promulgated pursuant thereto.
"(B) The term ' survey' means the collection ofinformation by the Secretary pursuant to this section for the purpose of preparing the publication entitled ' Quarterly Financial Report for Manufacturing, Mining, and Trade Corporations'.".
l 44 USC 3501 SEC.4. EFFECTIVE DATE. note. (a)In General.-Except as othenvise provided in this section, this Act and the amendments made by this Act shall take effect on October 1, 1995. (b) Authorization of Appropriations.-Section 3520 of title 44, United States Code, as amended by this Act, shall take effect on the j date of enactment of this Act. ' (c) Delayed Application.-In the case of a collection ofinformation ; for which there is in effect on September 30,1995, a control number issued by the Office of Management and Budget under chapter 35 of 1 title 44, United States Code-l (1) the amendments made by this Act shall apply to the collec-tion ofinformation beginning on the earlier of-10~' h
1
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(A) the first renewal or modification of that collection of j information after September 30,1995; or { l (B) the expiration ofits control number after September 30, i 1995. ! (2) prior to such renewal, modification, or expiration, the collec-l tion ofinformation shall be subject to chapter 35 of title 44, United States Code, as in effect on September 30,1995. Approved May 22,1995.
)
LEGISLATIVE IIISTORY-S. 244 (ll.R. 830): liOUSE REPORTS: Nos.104-37 accompanying }{.R. 830 (Comm. on Government Reform and Oversight) and 104-99 (Comm. of Conference). SENATE REPORTS: No.104-8 (Comm. on Governmental Affairs). CONC AESSIONAL RECORD, Vol.141 (1995): i Feb. 22, i1.R. 830 considered and passed liouse. ! Mar. 6,7, S. 244 considered and passed Senate. Mar.10, considered and passed liouse, amended. Apr. 6. Senate and 11ouse agreed to conference report. WEEKLY COMPILATION OF PRESIDENTIAL DOCUMENTS, Vol. 31 (1995): May 22, Presidential remarks. 103 g i l
, TITLE II- OMNIBUS LOW LEVEL RADIOACTIVE WASTE i INTERSTATE COMPACT CONSENT ACT PAGE USC 42 USC Sec. Sec. 201 Short Title. . . . . . . . . . . . . . . . . . . . . . . . . . 107 . . 2021d Sec. 211 Congressional Findings. . . . . . . . . . . . . . ....,107 ... 2021d Sec. 212 Conditions of Consent to Compacts . . . . . . . . . . . 107 ... 2023d Sec. 213 Congressional Review. . . ........ .......... 107 ... 2021d Sec. 221 NORTHWEST INTERSTATE COMPACT ON LOW-lJNELRADIOACIIVE WASTE MANAGEMENT Article I Policy and Purpon. . . . . . . . . . . . . . .. ... 107 . . 2021d Article 11 Definitions . . . ..... . . . . . . . . . . . . . . . 3 08 . . . . . note Article III Regulatory Practices . . . . . . . . . . . ... .. 108 ......... Article IV Regional Facilities . . . . . . . . . . . . . . . . . . . . . 109 . . .. . Article V Northwest Low. Level Waste Compact Committee . . . . . . . . . . . . . . . . . . . . 110 . . . . . . . . . Article VI Eligible Parties and Effective Date .. .. ... ......... ... 110 .... .. .. Article VII Severnoility . . . . . . . . . . . . . . . . . . . ...111 .... ..... Sec. 222 CENTRAL INTERSTATE LOW-LEVEL 2021d RADIOACTIVE WASTE COMPACT note Article I Policy and Purpose. . . . . . . . . . . . . . . . ..... 111 ... ..... Article II Definitions . . . . .. ... .. ......111 ...... .. Article III Rights and Obligations . . . . . . . . . . . . . . . . . 112 ......... Article IV The Commission . . . . . . . . . . . . . . . . . . . . . 113 . . . . . . . . . l Article V Development and Operation of Regional Facilities . . . . . . . . . . . .. .. 116 ... ..... Article VI Other Laws and Regulations. . ........... 117 .. . .... Article VII Eligible Parties. Withdrawal, Revocation, Entry Force, Termination . . . . . . . . . . . . ........... . 117 .. . .... Article VIII Penalties . . . . . . . . . . . . . . . . . . . . . . . . . 319 . . . .... Article IX Severability and Construction. . . . . 119 .......... 9 Sec. 223 SOUTHEAST INTERSTATE LOW. LEVEL 2021d RADIOACTIVE WASTE MANAGEMENT note COMPACT 4 Article I Policy and Purpose. . . . . . . . . . . . . . . . . . . 119 .. 2021b Article II Definitions . . . . . . '. . . . . . .. . .. . 320 . 2014 Article III Rights and Obligation . . . . . . . . . . . . . . . . . 121 . . . . . . . Article 1V The Commission . . . . . . . . . . . . . . . . . . . . . 122 . . . . . . . Article V Development and Operation of Facilities . . . . . . . . . . . . . . . . . . . . . . .. .125 .......... Article VI Other Laws and Regulations. . . . . . . . . . . . . . 126 ... 2021 Article VII Eligible Parties. . . . ... . .. . . . . . 127 ... ... Article VIII Penalties . . . . , . . . . . . . . . . . . . . . . .. . 129 . .... . Article IX Severability and Construction. . . . . . . . . . . 129 .. .. . . Sec. 224 CENTRAL MIDWEST INTERSTATE LOW-LEVEL RADIOACTIVE WASTE 2021d COMPACT note Article I. Policy and Purpose. . ..... . . . . . . . 129 . . . 2021b note I 104 0L
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TITLE II-OMNIBUS IEW LEVEL RADIOACTIVE WASTE INTERSTATE COMPACT CONSENT ACT (Continued) PAGE USC I 42 USC Sec. Article II Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . 130 .... 2014 i Article III The Commission . . . . . . . . . . . . . . . . . . . . . . . 132 .. ...... Article IV Regional Management Plan . . . . . . . . . . . . . . . 136 . . . . . . . . . Article V Rights and Obligations of Party States . . . . . 137 . . . . . . . . . . Article VI Development and Operation cf Facilities . . . . . 137 ... 10101 Article VII Other Laws and Regulations. . . . . . . . . . . . . . 141 . . . . . . . . . Article VIII Eligible Parties, Withdrawal, Revocation, Entry Into Force, Termination . . . . . . . . . . . 142 . . . . . . . . . . Article IX Pena lties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14 3 . . . . . . . . . . Article X Severability and Construction. . . . . . . . . . . . . . 144 .. ...... Sec. 225 MIDWEST INTERSTATE LOW. LEVEL 2021d RADIOACTIVEWASTE MANAGEMENT COMPALT note Article I Policy and Purpose. . . . . . . . . . . . . . . . . . . . . . 144 . . . . . . . . . Article II De finitions . . . . . . . . . . . . . . . . . . . . . . . . . . 14 5 . . . . . . . . Article III The Commission . . . . . . . . . . . . . . . . . . . . . 146 . . . . . . . . . . Article IV Regional Management Plan . . . . . . . . . . . . . . 149 . . . . . . . . . Article V Rights and Obligations of Party States. . . . . . . 150 . . . . . . . . . . Article VI Development and Operation of Facilities . . . . 150 ........ Article VII Other Laws and Regulations. . . . . . . . . . . . . . . 151 . . . . . . . . . . Artic!c VIII Eligible Parties, Withdrawal, Revocation. Entry Into Foro, Termination . . . . . . . . . . . . . 152 ......... Article IX Penalties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 54 .., s... Article X Severability and Construction. . . . . . . . . . . . . 154 . . . . . . . . . Sec. 226 ROCKY MOUNTAIN LOW. LEVEL 2021d RADIOACTIVE WASTE COMPACT note Article I Findings and Purpose. . . . . . . . . . . . . . . . . . . . .155 ... 2021b note Article II De finitions . . . . . . . . . . . . . . . . . . . . . . . . . . . 155 . . . . . . . . . Article III Rights, Responsibilities and Obligations. . . . . 156 . . . . . . . . . . Article IV Board Approval of Regional Facilities. . . . . . . 157 . . . . . . . . . . Article V Su rcharge s . . . . . . . . . . . . . . . . . . . . . . . . 158 . . . . . . . . . . Article VI The Board . . . . . . . . . . . . . . . . . . . . . . . . . . . . 158 . . . . . . . . . . Article VII Prohibited Acts and Penalties. . . . . . . . . . . . . . 160 . . . . . . . . . . Article VIII Eligit.ility, Entry into Effect, Congressional Consent, Withdrawal and Exclusiort . ...... 162 .......... Article IX Construction and SeverakGity. . . . . . . . . . . . . 162 . , , . . . . . . n a.
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TITLE II-OMNIBUS IDW LEVEL RADIOACITVE WASTE INTERSTATE COMPACI' CONSENT ACT (Continued) PAGE USC 42 USC Sec. Sec. 227 NORTHEAST INTERSTATE LOW. LEVEL 2021d RADIOACI1VE WASTE MANAGE. note MENT COMPACT Article I Policy and Pur Article II Definitions . . ................. pose . . . . . . . . . . . ..........163 . . . . . . . . . . . 162 .......... Article III Rights and Oblications . . . . . . . . . . . . . . . . . . 164 . . . . . . . . . . Article IV The Commission . . . . . . . . . . . . . . . . . . . . . . . . 166 . . . . . . . . . . Article V Host State Selection and Development and Operation of Regional Facilities . . . . . . . . . . 171 . . . . . . . . . Article VI Other Laws and Regulations. . . . . . . . . . . . . . . 174 . . . . . . . . . . Article VII Eligible Parties, Withdrawal, Revocation, Entry Into Force, Termination . . . . . . . . . . . . . 175 . . . . . . . . . . Article VIII Penalties . . . . . . . . . . . . . . . . . . . . . . ..... .177 .......... Article IX Compensation Provision . . . . . . . . . . . . . . . . . 177 . . . . . . . . . Article X Severability and Construction. . . . . . . . . . . . . . 178 . . . . . . . . . 106 (((/
Omnibus Low- TITLE II-OMNIBUS IDW LEVEL RADIOACTIVE Level WASTE INTERSTATE COMPACT CONSENT ACT Radioactive Wacte Inter-state Compact SEC. 201. SHORT TITLE. Consent Act. This Title may be cited as the " Omnibus Low-Level Radioactive Waste 42 USC 2021d Interstate Compact Consent Act.". note. SUBTITLE A-General Provisions 1 42 USC 2021d SEC. 211. CONGRESSIONAL FINDING. note. The Congress hereby finds that each of the compacts set forth in Infra. subtitle B is in furtherance of the Low-Level Radioactive Waste Policy Act. 42 USC 2021d SEC. 212. CONDITIONS OF CONSENT TO COMPACTS. flote. The consent of the Congress to each of the compacts set forth in subtitle B-Effective date. (1) shall become effective on the date of the enactment of this Act; (2) is granted subject to the provisions of the Low-Level Radioactive Waste Policy Act, as amended, and l (3) is granted only for so long as the regional commission, committee, or board established in the compact complies with all of the provisions of such Act. 42 USC 2021d SEC. 213. CONGRESSIONAL REVIEW. note. The Congress may alter, amend, or repeal this Act with respect to any compact set forth in subtitle B after the expiration of the 10-year period following the date of the enactment of this Act, and at such intervals thereafter as may be provided in such compact. SUBTITLE B-Congressional Consent To Compacts 42 USC 2021d SEC. 221.' NORTHWEST INTERSTATE COMPACT ON LOW-note. 1.EVEL RADIOACTIVE WASTE MANAGEMENT. Alaska. The Consent of Congress is hereby given to the states of Alaska, llawaii. llawaii, Idaho, Montana, Oregon, Utah, Washington, and Wyoming to Idaho. enter into the Northwest Interstate Compact on Low level Radioactive Montana. Waste Management, and to each and every part and article thereof. Oregon. Such compact reads substantially as follows: Utah. Washington. " NORTHWEST INTERSTATE COMPACT ON LOW-LEVEL l Wyoming. RADIOACTIVE WASTE MANAGEMENT l l
" ARTICLE I-POLICY AND PURPOSE l 11eoith. "The party states recognize that low-level radioactive wastes are !
Safety. generated by essential acthities and services that benefit the citizens of the states. It is further recognized that the protection of the health and safety of the citizens of the party states and the most economical management of low-level radioactive wastes can be accomplished through cooperation of the states in minimizing the amount of handling 107
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and transportation required to dispose of such wastes and through the cooperation of the states in providmg facilities that serve the region. It is the policy of the party states to undertake the necessary cooperation to protect the health and safety of the citizens of the party states and to provide for the most economical management of low-level radioactive wastes on a continuing basis. It is the purpose of this compact to provide the means for such a cooperative effort among the party states so that the protection of the citizens of the states and the maintenance of the viability of the states' economies will be enhanced while sharing the 1, ynsibilities of radioactive low-level waste management.
" ARTICLE II-DEFINITIONS "As used in this compact:
l "(1)'Facili y't means any site, location, structure, or property used or to be use.! for the storage, treatment, or disposal of low-level waste, excluding federal waste facilities;
"(2)' Low-level waste' means waste material which contains radioac-tive nuclides emitting primarily beta or gamma radiation, or both, in concentrations or quantities which exceed applicable federal or state standards for unrestricted release. Low-level waste does not include waste containing more than ten (10) nanocuries of transuranic contam-inants per gram of material, nor spent reactor fuel, not material classi-fied as either high-level waste or waste which is unsuited for disposal by near-surface burial under any applicable federal regulations;
"(3) ' Generator' means any person, partnership, association, corpo-ration, or any other entity whatsoever which, as a part of its activities, produces low-level radioactive waste;
"(4) 'liost state' means a state in which a facility is located.
" ARTICLE III-REGULATORY PRACTICES
, Transportation. "Each party state heretr/ agrees to adopt practices which will require ! low-level waste shipments originating withm its borders and destined l for a facility within another party state to conform to the applicable packaging and transportation requirements and regulations of the host state. Such practices shall inclu6. l *(1) Maintaining an inventor: of all generators within the state that i have shipped or expect to ship low-level waste m facilities in another party state;
"(2) Periodic unannounced inspection of the premises of such genera-tors and the waste ma .agement acuvities thereon; I "(3) Authorization of the containers in which such waste may be j shipped, and a requirement that generators use only that type of con-
! tainer authorized by the state;
"(4) Assurance that inspections of the carriers which transport such waste are conducted by proper authorities, and appropriate enforce-ment action taken for violations; Transportation. "(5) After receiving notification from a host state that a generator within the party state is in violation of applicable packaging or transportation standards, the party state will take appropriate action to assure that such violations do not recur. Such action may include 108 ff ?
I inspection of every individual kiw-level waste shipment by that ) generator. l Each party state may impose fees upon generators and shippers to recover the cost of the inspections and other practices under this ar- 4 ticle. Nothing in this article shall be construed to limit any party state's authority to impose additional or more stringent standards on genera-tors or carriers than those required under this article. ARTICLE IV-REGIONAL FACILITIES l "(1) Facilitics located in any party state, other than facilities estab-lished or maintained by individual knv-level waste generators for the management of their own low-level waste, shall accept low-level waste generated in any party state if such waste has been packaged and trans-ported according to applicable laws and regulations.
"(2) No facility located in any party state may accept low-level waste generated outside of the region comprised of the party states, except as provided in article V.
"(3) Until such time as paragraph (2) of article IV takes effect, facili-ties k>cated in any party state may accept low-level waste generated l outside of any of the party states only if such waste is accompanied by a certificate of compliance issued by an official of the state in which such waste shipment originated. Such certificate shall be in such form as may be required by the host state, and shall contain at least the following:
"(A) The generator's name and address;
"(II) A description of the ccmtents of the k)w-level waste contain-cr.
Regulations. "(C) A statement that the low-level waste being shipped has been inspected by the official who issued the certificate or by his agent or by a representative of the United States Nuclear l Regulatory Commission, and found to have been packaged in compliance with applicable Federal regulations and such l additional requirements as may be imposed by the host state:
"(D) A binding agreement by the state of origin to reimburse any party state for any liability or expense incurred as a result of an accidental release of such waste during shipment or after such waste reaches the facil.ity.
Ile:.lth. "(4) Each party state shall cooperate with the other party states in l Safety. determining the appropriate site of any facility that might be required within the region comprised of the party states, in order to maximize public health and safety while minimizing the use of any one (1) party state as the host of such facilitics on a permanent basis. Each party state further agrees that decisions regarding low-level waste management facilities in their region will be reached through a good faith process which takes into account the burdens borne by each of the party states as well as the benefits each has received. Ilazardous "(5) The party states recognize that the issue of hazardous chemical m terials. waste management is similar in many respects to that oflow-level waste Washington. management. Therefore, in consideration of the State of Washington Oregon. alkwing access to its km-level waste disposal facility by generators in Id ho. other party states, party states such as Oregon and Idaho which host i l 109
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Prohibition. hazardous chemical waste disposal facilities will allow acx:ess to such facilities by generators within other party states. Nothing in this compact shall be construed to prevent any party state from limiting the nature and type of hazardous chemical or low-level wastes to be accepted at facilities within its borders of from ordering the closure of such facilities, so long as such action by a host state is applied equally to all generators within the region comprised of the party states.
"(6) Any host state may establish a schedule of fees and requirements related to its facility, to assure that closure, perpetual care, and mainte-nance and contingency requirements are met, including adequate bonding.
" ARTICLE V-NORTHWEST LOW LEVEL WASTE COMPACT COMMITTEE "The governor of each party state shall designate one (1) official of that state as the person responsible for administration of this compact.
The officials so designated shall together comprise the northwest low-level waste compact committee. The committee shall meet as required to consider matters arising under this compact. The parties shall inform Regulations. the committee of existing regulations concerning low-level waste management in their states, and shall afford all parties a reasonable opportunity to review and comment upon any proposed modification in such regulations. Notwithstanding any provision of article IV to the contrary, the committee may enter mto arrangements with states, provinces, individual generators, or regional compact entities outside the region comprised of the party states for access to facilities on such terms and conditions as the committee may deem appropriate. Ilowever, it shall require a two-thirds (2/3) vote of all such members, including the affirmative vote of the member of any party state in which a facility affected by such arrangement is located, for the committee to enter into such arrangement. ( " ARTICLE VI-ELIGIBLE PARTIES AND EFFECTIVE DATE l Alaska. "(1) Each of the following states is eligible to become a party to this ! Ilacali. compact: Alaska, Hawaii, Idaho, Montana, Oregon, Utah, Washington, l Idaho. and Wyoming. As to any eligible party, this compact shall become , i Montana. effective upon enactment into law by that party, but it shall not become l Oregon. initially effective until enacted into lawby two(2) states. Any party state Utah. may withdraw from this compact by enacting a statute repealing its Washington. approval. Wyoming. "(2) After the compact has initially taken effect pursuant to paragraph l Effective date. (1) of this article, any eligible party state may become a party to this I compact by the execution of an executive order by the governor of the state. Any state which becomes a party in this manner shall cease to be a party upon the final adjournment of the next general or regular session of its legislature or July 1,1983, whichever occurs first, unless the compact has by then been enacted as a statute by that state. Effective date. "(3) Paragraph (2) of article IV of this compact shall take effect on July 1,1983, if consent is given by Congress. As provided in P.L 110 g i
42 USC 2021b - 96-573, Congress may withdraw its consent to the compact after every I note. > five (5) year period.
" ARTICLE VII-SEVERABILI'lY Provisions held "If any provision of this compact, or its application to any person or invalid. circumstances, is held to be invalid, all other provisions of this compact, and the application of all of its provisions to all other persons and circumstances, shall remain valid; and to this end the provisions of this compact are severable".
42 USC 2021d Sec.222. CENTRAL INTERSTATE LOW-LEVEL RADIO-note. ACTIVE WASTE COMPACT. Arkansas. The consent of Cong,ress is hereby given to the states of Arkansas, Iowa. Iowa, Kansas, Louisiana, Minnesota, Missouri, Nebraska, North Kansas. Dakota, and Oklahoma to enter into the Central Interstate Low-Level Louisiana. Radioactive Waste Compact, and to each and every part and article Minnesota. thereof. Such compact reads substantially as follows: Missouri. Nebraska. CENTRAL INTERSTATE LOW LEVEL RADIOACTIVE North Dakota. WASTE COMPACT Oklahoma. ARTICLE I-POLICY AND PURPOSE Ilealth. "The party states recognize that each state is responsible for the l Safety. management ofits non-federal low-level radioactive wastes. They also Environmental recognize that the Congress, by enacting the Low-Level Radio-active protection. Waste Policy Act (Public Law 96-573) has authorized and encouraged I 42 USC 2021b states to enter into compacts for the efficient management of wastes. It note. is the policy of the party states to cooperate in the protection of the health, safety and welfare of their citizens and the environment and to i provide for and encourage the economical management of low-level j radioactive wastes, it is the purpose of this compact to provide the
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framework for such a cooperative effort; to promote the health, safety and welfare of the citizens and the environment of the region; to limit the number of facilities needed to effectively and efficiently manage low-level radioactive wastes and to encourage the reduction of the generation thereof; and to distribute the costs, benefits and obligations i among the party states. ARTICLE Il-DEFINITIONS "As used in this compact, unless the context clearly requires a differ-ent construction: i "a. ' Commission' means the Central Interstate Low-Level Radioac-tive Waste Commission; I "b. ' disposal' means the isolation and final disposition of waste; "c.
- extended care' means the care of a regional facility including necessary corrective measures subsequent to its active use for waste ;
management until such time as the regional facility no longer poses a j threat to the emironment or public health; "d. ' facility' means any site, location, structure or property used or to be used for the management of waste; 111 /,,2
1 "e. ' generator' means any person who, in the course of or as incident to manufacturing, power generation, processing, medical diagnosis and treatment, biomedical research, other industrial or commercial actisi-ty, other research or mining in a party state, produces or processes , waste. ' Generator' does not include any person who receives waste generated outside the region for subsequent shipment to a regional facility; "f. ' host state' means any party state in which a regional facility is situated or is being developed; "g. ' low-level radioactive waste' or ' waste' means, as defined in the 42 USC 2021b Low-Level Radioactive Waste Policy Act (Public Law 96-573), note. radioactive waste not classified as: liigh-level radioactive waste, transuranic waste, spent nuclear fuel, or by-product material as defined 42 USC 2014, in section 11 e.(2) of the Atomic Energy Act of 1954, as amended through 1978.
' "h. ' management of waste' means the storage, treatment or disposal of waste; "i. ' notification of each party state' means transmittal of written no-tice to the Governor, presiding officer of each legislative body and any )
other persons designated by the party state's Commission member to receive such notice; ;
"j. ' party state' means any state which is a signatory party to this j compact; 1 "k. ' person' means any individual, corporation, business enterprise. I or other legal entity, either public or private; "1. ' region' means the area of the party states; "m. ' regional facility' means a facility which is located within the region and which has been approved by the Commission for the benefit of the party States; "n. ' site' means any property which is owned or leased by a generator l and is contiguous to or divided only by a public or private way from the source of generation; "o. ' state' means a state of the United States, the District of Colum-l bia, the Commonwealth of Puerto Rico, the U.S. Virgin Islands or a' other territorial possession of the United States; "p. ' storage' means the holding of waste for treatment or disposal; ant "q. ' treatment' means any method, technique or process, including storage for radioactive decay, designed to change the physical, chemical or biological characteristics or composition of any waste in order to J render such waste after for transport or management, amendable for recovery, convertible to another usable material, or reduced in volume.
l ARTICLE III-RIGIITS AND OBLIGATIONS l "a. There shall be provided within the region one or more regional l facilities which together provide sufficient capacity to manage all l wastes generated within the region. It shall be the duty of regional l facilities to accept compatible wastes generated in and from party states, and meeting the requirements of this Act, and each party state shall have the right to have the wastes generated within its borders managed at such facility. 112 [c2) 1
Regulation. "b. To the extent authorized by Federal law and host State law, a host state shall regulate and license any regional facility within its borders and ensure the extended care of such facility.
"c. Rates shall be charged to any user of the regional facility, set by the operator of a regional facility and shall be fair and reasonable and be subject to the approval of the host state. Such approval shall be based upon criteria established by the Commission.
"d. A host state may establish fees which shall be charged to any user of a regional facility and which shall be in addition to the rates approved pursuant to section c of this Article, for any regional facility within its borders. Such fees shall be reasonable and shall provide the host state with sufficient revenue to cover any costs associated with such facilities.
If such fees have been reviewed and approved by the Commission and to the extent that such revenue is insufficient, all party states shall share the costs in a manner to be determined by the Commission. Regulation. "e. To the extent authorized by Federal law, each party state is Transportation. responsible for enforcing any applicable Federal and state laws and regulations pertaining to the packaging and transportation of waste generated within or passing through its borders and shall adopt practices that will ensure that waste shipments originating within its borders and destined for a regional facility will conform to applicable packaging and transportation laws and regulations.
"f. Each party state has the right to rely on the good faith perfor-mance of each other party state.
"g. Unless authorized by the Commission, it shall be unlawful after January 1,1986, for any person:
"1. to deposit at a regional facility, waste not generated within the region; "2. to accept, at a regional facility, waste not generated within the region; Exports. "3. to export from the region, waste which is generated within the region; and "4. to transport waste from the site at which it is generated, except to a regional facility.
ARTICLE IV-TIIE COMMISSION CentralInterstate "a. There is hereby established the Central Interstate Low-Level Low-Level Radio- Radioactive Waste Commission. The Commission shall consist of one cctive Waste voting member from each party state to be appointed according to the Commission, laws of each state. The appointing authority of each party state shall establishment. notify the Commission in writing of the identity ofits member and any alternates. An alternate may act on behalf of the member only in the absence of such member. Each state is responsible for the expenses of its member of the Commission.
"b. Each Commission member shall be entitled to one vote. Unless otherwise provided herein, no action of the Commission shall be bond-ing unless a majority of the total membership casts its vote in the affirmative.
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"c he Commission shall elect from among its membership a chair-mas .. The Commission shall adopt and publish, in convenient form, by-laws and policies which are not inconsistent with this compact.
"d. The Commission shall meet at least once a year and shall also meet upon the call of the chairman, by petition of a majority of the membership or upon the call of a host state member.
"c. The Commission may initiate any proceedir.gs or appear as an intervenor or party in interest before any court of law, or any Federal, state or local agency, board or Commission that has jurisdiction over any matter arising under or relating to the terms of the provisions of this compact. The Commission shall determine in which proceedings it shall intervene or otherwise appear and may arrange for such expert testimony, reports, evidence or other participation in such proceedings as may be necessary to represent its views.
"f. The Commission may establish such committees as it deems nec-essary for the purpose of advising the Commission on any and all mat-ters pertaining to the management of waste.
Contracts. "g. The Commission may employ and compensate a staff limited only to those persons necessary to carry out its duties and functions. The Commission may also contract with and designate any person to perform necessary functions to assist the Commission. Unless otherwise required by the acceptance of a Federal gract the staff shall serve at the Commission's pleasure irrespective of C civil service, personnel or other merit laws of any of the party states u the Federal government and shall be compensated from funds of the Commission.
"h. Funding for the Commission shall be as follows:
"1. The Commission shall set and approve its first annual budget as soon as practicable after its initial meeting. Party states shall equally contribute to the Commission budget on an annual basis, an amount not to exceed $25,000 until surcharges are available for that purpose.
Ilost states shall begin imposition of the surcharges provided for in this section as soon as practicable and shall remit to the Commission funds resulting from collection of such surcharges within 60 days of their receipt; and
*2. Each state hosting a regional facility shall annually levy surcharges on all users of such facilities, based on the volume and characteristics of wastes received at such facilities, the total of which:
"(A) Shall be sufficient to cover the annual budget of the Commis-sion; and
"(B) shall be paid to the Commission, provided, however, that each ,
) host state collecting such surcharges may retain a portion of the collec- l ) tion sufficient to cover the administrative costs of collection, and that j the remainder be sufficient only to cover the approved annual budget of the Commission. Audit. "i. The Commission shall keep accurate accounts of all receipts and Report. disbursements. An independent certified public account shall annually aud,t all receipts and disbursements of Commission funds and submit ' an audit report to the Commission. Such audit report shall be made a part of the annual report of the Commission required by this Article. Grants. "j. The Commission may accept for any ofits purposes and functions 114 / ;2- '[ I 1
1 1 1 Reports. any and all donations, grants of money, equipment, supplies, materials and services, conditional or otherwise from any person and may receive, utilize and dispose of same. The nature, amount and conditions, if any, attendant upon any donation or grant accepted i pursuant to this section, together with the identity of the donor, grantor I or lender, shall be detailed in the annual report of the Commission. Prohibition. "k. (1) Except as otherwise provided herein, nothing in this compact shall be construed to alter the incidence ofliability of any kind for any l act, omission, course of conduct, or on account of any casual or other relationships. Generators, transporters of waste, owners and operators of facilities shall be liable for their acts, omissions, conduct or relationships in accordance with all laws relating thereto. Prohibitions. "(2) The Commission herein established is a legal entity separate and distinct from the party states and shall be so liable for its actions. Liabilities of the Commission shall not be deemed liabilities of the party states. Members of the Commission shall not be personally liable for actions taken by them in their official capacity.
"1. Any person or party state aggrieved by a final decision of the Commission may obtain judicial review of such decisions in the United .
States District Court in the District wherein the Commission maintains I its headquarters by filing in such court a petition for review within 60 i days after the Commission's final decision. Proceedings thereafter shall be in accordance with the rules of procedure applicable in such court.
"m. The Commission shall:
"1. Receive and approve the application of a non-party state to become a party state in accordance with Article VII; Report. "2. submit an annual report, and otherwise communicate with, the Governors and the presiding officers of the legislative bodies of the party states regarding the activities of the Commission; "3. hear and negotiate disputes which may arise between the party states regarding this compact; "4. require of and obtain from the party states, and non-party states seeking to become party states, data and information necessary to the implementation of Commission and party states' responsibilities; "5. approve the development and operation of regional facilities in accordance with Article V; Contracts. "6. notwithstanding any other provision of this compact, have the Imports, authority to enter into agreements with any person for the importation Exports. of waste into the region and for the right of access to facilities outside j the region for waste generated within the region. Such authorization to import or export waste requires the approval of the Commission, including the affirmative vote of any host state which may be affected; 1 "7. revoke the membership of a party state in accordance with Ar- !
ticles V and VII; I "8 require all party states and other persons to perform their duties and obligations arising under this compact by an appropriate action in any forum designated in section c. of Article IV; ar.d "9. take such action as may be necessary to perform its duties and functions as provided in this compact. 115 fg3-
I ARTICLE V-DEVELOPMENT AND OFERATION OF REGIONAL FACILITIES "a. Following the collection of sufficient data and information from the states, the Commission shall allow each party state the opportunity to volunteer as a host for a regional facility.
"b. If no state volunteers or if no proposal identified by a volunteer state is deemed acceptable by the Commission, based on the criteria in section c. of this Article, then the Commission shall publicly seek appli-cants for the development and operation of regional facilities.
"c. The Commission shall review and consider each applicant's pro-posal based upon the following criteria: i "1. The capability of the applicant to obtain a license from the appli- I cable authority; "2. the economic efficiency of each proposed regional facility, includ-ing the total estimated disposal and treatment costs per cubic foot of I waste; ,
"3. financial assurances; "4. accessibility to all party states; and )
IIcalth. "5. such other criteria as shall be determined by the Commission to be safety. necessary for the selection of the best proposal, based on the health, safety and welfare of the citizens in the region and the party states. l' "d. The Commission shall make a preliminary selection of the pro-posal or proposals considered most likely to meet the criteria enumer-ated in section c. and the needs of the region. l "e. Following notification of each party state of the results of the { preliminary selection process, the Commission shall: l "1. Authorize any person whose proposal has been selected to pursue i licensure of the regional facility or facilities in accordance with the 1 proposal originally submitted to the Commission or as modified with the approval of the Commission; and "2. require the appropriate state or states or the U.S. Nuclear Regula-tory Commission to process all applications for permits and licenses ; required for the development and operation of anyregional facility or facilities within a reasonable period from the time that a completed application is submitted.
"f. The preliminary selection or selections made by the Commission pursuant to this Article shall become final and receive the Commis-sion's approval as a regional facility upon the issuance oflicense by the licensing authority. If a proposed regional facility fails to become li-censed, the Commission shall make another selection pursuant to the procedures identified in this Artic!c.
"g. The Commission may, by two-thirds affirmative vote of its mem-bership, revoke the membership of any party state which, after notice and hearing, shall be found to have arbitrarily or capriciously denied or delayed the issuance of a license or permit to any person authorized by the Commission to apply for such license or permit. Revocation rhall be in the same manner as provided for in section c. of Article Vll.
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" ARTICLE VI--OTHER LAWS AND REGULATIONS Prohibition. *a. Nothing in this compact shall be construed to:
"1. Abrogate or limit the applicability of any act of Congress or dimin-ish or otherwise impair the jurisdiction of any Federal agency expressly conferred thereon by the Congress; "2. prevent the application of any law which is not otherwise inconsis-tent with this compact; "3. prohibit or otherwise restrict the management and waste on the site where it is generated if such is otherwise lawful; "4.. affect any judicial or administrative proceeding pending on the effective date of this compact; "5. alter the relations between, and the respective internal responsi-bilities of, the government of a party state and its subdivisions; and Research and "6. affect the generation or management of waste generated by the development. Federal government or federal research and development activities.
Prohibition. "b. No party state shall pass or enforce any law or regulation which is inconsistent with this compact. Regulations. "c. All laws and regulations or parts thereof of any party state which are inconsistent with this compact are hereby declared null and void for purposes of this compact. Any legal right, obligation, violation or penalty arising under such laws or regulations prior to enactment of this compact shall not be affected. Prohibition. "d. No law or regulation of a party state or of any subdivision or
, Regulations. instrumentality thereof may be applied so as to restrict or make more costly or inconvenient access to any regional facility by the generators of another party state than for the generators of the state where the facility is situated.
ARTICLE VII-ELIGIBLE PARTIES, WITHDRAWAL,'
- - REVOCATION, ENTRY INTO FORCE, TERMINATION Arkansas. "a. This compact shall have as initially eligible parties the states of l Iowa. Arkansas, Iowa, Kansas, Louisiana, Minnesota, Missouri, Nebraska, j Kansas. North Dakota and Oklahoma. Suchinitial eligibility shall terminate on Louisiana. January 1,1984.
Minnesota. "b. Any state may petition the Commission for cligibility. A Missouri. petitioning state shall become eligible for membership in the compact Nebraska. upon theunanimous approval of the Commission. , l North Dakota. "c. An eligible state shall become a member of the compact and shall ! l Oklahoma. be bound by it after such state has enacted the compact into law. In no l event shall the compact take effect in any state until it has been entered l Prohibition. into force as pnwided for in section f. of this Article.
"d. Any party state may withdraw from this compact by enacting a !
Effective date. statute repeating the same. Unless permitted earlier by unanimous l 117 g< i j- f r
Prohibition. approval of the Commission, such withdrawal shall take effect five-years after the Governor of the withdrawing state has given notice in writing of such withdrawal to each Governor of the party states. No withdrawal shall affect any liability already incurred by or chargeable to a party state prior to the time of such withdrawal.
"e. Any party state which fails to comply with the terrrs of this compact or fulfill its obligations hereunder may, after notice a cd hear-Effective date. ing have its privileges suspended or its membership in the compact revoked by the Commission. Revocation shall take effect one year from the date such party state receives written notice from the Commission of its action. The Commission may require such party state to pay to the ,
Commission, for a period not to exceed five years from the date of j notice of revocation, an amount determined by the Commission based on the anticipated fees which the generators of such party state would have paid to each regional facility and an amount equal to that which such party state would have contributed in accordance with section d. of Article Ill,in the event ofinsufficient revenues. The Commission shall use such funds to ensure the continued availability of safe and economical waste management facilities for all remaining party states. Such state shall also pay an amount equal to that which such party state would have contributed to the annual budget of the Commission if such party state would have remained a member of the compact. Alllegal rights established under this compact of any party state which has its membership revoked shall cease upon the effective date of revocation; . however, any legal obligations of such party state arising prior to the effective date of revocation shall not cease until they have been fulfilled. Written notice of revocation of any state's membership in the company shall be transmitted immediately following the vote of the Commission, by the chairman, to the Governor of the affected party state, all other Governors of the party states and the Congress of the United States.
"f. This compact shall become effective after enactment by a least three eligible states and after consent has been given to it by the Con-gress. The Congress shall have the opportunity to withdraw such con-sent every five-years. Failure of the Congress to withdraw its consent affirmatively shall have the effect of renewing consent for an additional I five-year period. The consent given to this compact by the Congress shall extend to any future admittance of new party states under sections
- b. and c.of this Article and to the power to ban the exportation of waste ,
pursuant to Article 111. 1 Prohibition. "g. The withdrawal of a party state from this compact under section d. of this Article or the revocation of a state's membership in this compact under section 3. of this Article shall not affect the applicability of this compact to the remaining party states. Termination. "h. This compact shall be terminated when all party states have withdrawn pursuant to section d. of this Article. 1 l l l n8 r 7p7
I l ARTICLE Vill-PENALTIES i l
"a. Each party state, consistent with its own law, shall prescribe and enforce penalties against any person for violation of any provision of
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4 l this compact. Regulations.. "b. Each party state acknowledges that the receipt by a regional l. facility of waste packaged or transported in violation of applicable laws and regulations can result in sanctions which may include suspension or revocation of the violator's right of access to the regional facility. f ARTICLE IX-SEVERABILITY AND CONSTRUCTION Pmvisions held "The provisions of this compact shall be severable and if any phrase, invalid. clause, sentence or provision of this compact is declared by a court of competent jurisdiction to be contrary to the Constitution of any participating state or of the United States or the applicability thereof to any government, agency, person or circumstances is held invalid, the validity of the remainder of this compact and the applicability thereof to any government, agency, person or circumstance shall not be affected thereby. If any provision of this compact shall be held contrary to the Constitution of any state participating therein, the compact shall remain in full force and effect as to the state affected as to all severable matters. The provisions of this compact shall be liberally construed to give effect to the purpose thereof.". 42 USC 2021d Sec. 223. SOUTHEAST INTERSTATE LOW-LEVEL RADIO-rate. ACTIVE WASTE MANAGEMENT COMPACT. Alabama, in accordance with section 4(a)(2) of the Low-Level Radioactive Florida. Waste Policy Act (42 U.S.C. 2021d(a)(2), the consent of the Congress is Georgia. hereby given to the States of Alabama, Florida, Georgia, Mississippi, Mississippi. North Carolina, South Carolina, Tennessee, and Virginia to enter mto North Carolina. the Southeast Interstate Low-Level Radioactive Waste Management South Carolina. Compact. Such compact is substantially as follows: Tennessee. Virginia.
" SOUTHEAST INTERSTATE LOW-LEVEL RADIOACTIVE WASTE MANAGEMENT COMPACT ARTICLE l-POLICY AND PURPOSE ,
Research and "There is hereby created the Southeast Interstate Low-Level i development. Radioactive Waste Management Compact. The party states recognize and declare that each state is responsible for providing for the availability of capacity either within or outside the State for disposal of low-level radioactive waste generated within its borders, except for waste generated as a result of defense activities of the federal ! government or federal research and development activities. They also i recognize that the management of low-level radioactive waste is ; handled most efficiently on a regional basis. The party states further ] recognize that the Congress of the United States, by enacting the Low-Level Radioactive Waste Policy Act (Public Law 96-573), has 42 USC 2021b provided for enmuraged the development of low level radioactive waste note. compacts as a tool for disposa lof such waste. The party states recognize that the safe and efficient management oflow-level radioactive waste f 119 I
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- of such waste be properly provided.
"It is the policy of the party states to: enter into a regional low-level radioactive waste management compact for the purpose of providing
. the instrument and framework for a cooperative effort; provide suffi-cient facilities for the proper management of low-level radioactive waste generated in the region; promote the health and safety of the region; limit the number of facilities required to effectively and effi-ciently manage low-level radioactive waste generated in the region; encourage the reduction of the amounts oflow-level waste generated in the region; distribute the costs, benefits, and obligations of successful low-level radioactive waste management equitably among the party states; and ensure the ecological and economical management of low-level radioactive wastes.
Regulations. " Implicit in the Congressional consent to this compact is the expecta-tion by Congress and the party states that the appropriate federal agencies will actively assist the Compact Commission and the l individual party states to this compact by:
"1. expeditious enforcement of federal rules, regulations, and laws; "2. imposing sanctions against those found to be in violation of federal rules, regulations, and laws; "3. timely inspection of their licensees to determine their capability to adhere to such rules, regulations, and laws; "4. timely provision of technical assistance to this compact in carrying 42 USC 2021b out their obligations under the Low-Level Radioactive Waste Policy note. Act, as amended.
ARTICLE II-DEFINITIONS "As used in this compact, unless the context clearly requires a differ-ent construction:
"1. ' Commission' or ' Compact Commission' means the Southeast Interstate Low-Level Radioactive Waste Management Commission.
"2. ' Facility' means a parcel of land, together with the structure, !
equipment, and improvements thereon or appurtenant thereto, which is used or is being developed for the treatment, storage, or disposal of low-level radioactive waste.
*3. ' Generator' means any person who produces or processes low- ;
level radioactive waste in the course of, or as an incident to, manufac- ' turing, power generation, processing, medical diagnosis and treatment, research, or other industrial or commercial activity. This does not in-clude persons who provide a service to generators by arranging for the collection, transportation, storage, or disposal of wastes with respect to such waste generated outside the region.
"4. 'Iligh-level waste' means irradiated reactor fuel, !! quid wastes from reprocessing irradiated reactor fuel, and solids into which such liquid wastes have been converted, and other high-level radioactive 4 waste as defined by the U.S. Nuclear Regulatory Commission. '
"5. 'liost state' means any state in which a regional facility is situated or is being developed.
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"6. ' Low-level radioactive waste' or ' waste' means radioactive waste j not classified as high-level radioactive waste, transuranic waste, spent nuclear fuel, or by-product material as delincJ in Section lle,(2) of the {
42 USC 2014 Atomic Energy Act of 1954, or as may be further defined by Federal law
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or regulation.
"7. ' Party state' means any state which is a signatory party to this compact.
"8. ' Person' means any individual, corporation, business enterprise, or other legal entity (either public or private).
"9. ' Region ' means the collective party states.
"10. ' Regional facility
- means (1) a facility as defined in this article which has been designated, authorized, accepted, or approved by the Commission to receive waste or (2) the disposal facility in Barnwell County, South Carolina, owned by the State of South Carolina and as licensed for the burial oflow-level radioactive waste on July 1,1982, but in no event shall this disposal facility serve as a regional facility beyond December 31,1992.
"11. ' State' means a state of the United States, the District of Colum-bia, the Commonwealth of Puerto Rico, the Virgin Islands, or any other territorial possession of the United States.
"12. ' Transuranic wastes' means waste material containing transuran-ic elements v.ith contamination levels as determined by the regulations of (1) the U.S. Nuclear Regulatory Commission or (2) any 42 USC 2021 host state, ifit is an agreement state under Section 274 of the Atomic Energy Act of 1954.
"13. ' Waste management' means the storage, treatment, or disposal 1 of waste. '
ARTICLE lil-RIGIITS AND OBLIGATIONS Prohibition. "The rights granted to the party states by this compact are additional to the rights enjoyed by sovereign states, and nothing in this compact shall be construed to infringe upon, limit, or abridge those rights.
"( A) Subject to any license issued by the U.S. Nuclear Regulato-ry Commission or a host state, each party state shall have the right to have all wastes generated withic its borders stored, treated, or l disposed of, as applicable, at regional facilities and, additionally, shall have the right of access to fecilities made available to the l region through agreements entered into by the Commission pur- i suant to article 4(e)(9). The right of access by a generator within a !
party state to any regional facility is limited by its adherence to applicable state and federal law and regulation.
"(B) If no operating regional facility is located within the bor- ,
dets of a party state and the waste generated within its borders ! must therefore be stored, treated, or disposed of at a regional facility in another party state, the party state without such facilities l may be required by the host state or states to establish a mecha-nism which provides compensation for access to the regional facil-ity according to terms and conditions established by the host state or states and approved by a two-thirds vote of the Commission.
"(C) Each party state must establish the capability to regulate, license, and ensure the maintenance and extended care of any L
121 { br,
I facility within its borders. Ilost states are responsible for the avail-ability, the subsequent post-closure observation and mainte-nance, and the extended institutional control of their legional facilities in accordance with the provisions of Article 5, Section (b). Regulations. "(D) Each party state must establish the capability to enforce any
' Trcnsportation. applicable federal or state laws and regulations pertaining to the packaging and transportation of waste generated within or passing thcough its borders.
"(E) Each party state must provide to the Commission on an annual basis any data and information necessary to the imple-mentation of the Commission's responsibilities. Each party state shall establish the capability to obtain any data and information necessary to meet its obligation.
"(F) Each party state must, to the extent authorized by federal law, require generators within its borders to use the best available waste management technologies and practices to minimize the volumes of waste requiring disposal.
ARTICLE IV-TIIE COMMISSION Southeast "(A) There is hereby created the Southeast Interstate low-Level Interstate Low. Radioactive Waste Management Commission (' Commission' or level Radioactive ' Compact Commission'). The Commission shall consist ,of two Waste Manage- voting members from each party state to be appointed acxurding to ment Commission, the laws of each state. The appointing authorities of each state establishment. must notify the Commission in writing of the identity of its members and any alternates. An alternate may act on behalf of the member only in the member's absence.
"(B) Each commission member is entitled to one vote. No action of the Commiuion shall be binding unless a majority of the total membership cast their vote in the affirmative, or unless a greater than majority vote is specifically required by any other provision of this compact.
"(C) The Commission must elect from among its members a presiding officer. The Commission shall adopt and publish, in convenient form, bylaws which are consistent with this compact.
"(D) The Commission must meet at least once a year and also meet upon the call of the presiding officer, by petition of a major-ity of the party states, or upon the call of a host state. All meetings of the Commission must be open to the public.
"(E) The Commission has the following duties and powers:
"1. To receive and approve the application of a nonparty state to become an eligible state in accordance with the provisions of Article 7(b).
"2. To receive and approve the application of a nonparty state to become an eligible state in accordance with the provisions of Article 7(c).
Report. "3. To submit an annual report and other communications to the j Governors and to the presiding officer of each body of the legislature of the party states regarding the activities of the Commission. l> IIcalth. "4. To develop and use procedures for determining, consistent with 1 122 fg l l i 1 l i I
Safety. consideration for public health and safety, the type and number of regional facilities which are presently necessary and which are projected to be necessary to manage waste generated within the region.
"5. To provide the party states with reference guidelines for establish-ing the criteria and procedures for evaluating alternative locations for emergency or permanent regional facilities.
"6. To develop and adopt, within one year after the Commission is constituted as provided in Article 7(d) procedures and criteria for iden-tifying a party state as a host state for a regional facility as determined pursuant to the requirements of this article. In accordance with these procedures and criteria, the Commission shall identify a host state for the development of a second regional disposal facility within three years after the Commission is constitated as provided for in Article 7(d), and shall seek to ensure that such facility is licensed and ready to operate as soon as required but in no event later than 1991.
IIccith. "In developing criteria, the Commission must consider the following; Safety. the health, safety, and welfare of the citizens of the party states; the Tronsportation. existence of regional facilities within eac h party state; the minimization Environmental of waste transportation; the volumes and types of wastes generated protection. within each party state; and the en'ironmental, economic, and ecological impacts ou the air, land, an0 water resources of the party states. Reports. "The Commission shall conduct scch hearings, require such reports, Studies. studies, evidence, and testimocy, and do what is required by its approved procedures in order to identify a party state as a host state for a needed facility. Prohibition. "7. In accordance with the procedures and criteria developed pursuant to Section (e)(6) of this Article, to designate, by a two-thirds vote, a host state for the establishment of a needed regional facility. The Commission shall not exercise this authority unless the party states i have failed to voluntarily pursue the development of such facility. The Commission shall have the authority to revoke the membership of a party state that willfully creates barriers to the siting of a needed regional facility.
"8. To require of and obtain from party states, eligible states seeking to become party states, and nonparty states seeking to become eligible states, data and information necessary to the implementation of Com-mission responsibilities.
Contracts. "9. Notwithstanding any other provision of this compact, to enter into Imports. agreements with any person, state, or similar regional body or group of states for the importation of waste into the region and for the right of access to facilities outside the region for waste generated within the region. The authorization to import requires a two-thirds majority vote of the Commission, including an affirmative vote of both
- representatives of a host state in which any affected regional facility is located. This shall be done only after an assessment of the affected facility's capability to handle such wastes. j "10. To act or appear on behalf of any party state or states, only upon :
written request of both members of the Commission for such state or i states as an intervenor or party in interest before Congress, state legis- ) i 123
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latures, any court oflaw, or any federal, state, or local agency, board, or commission which hasjurisdiction over the management of wastes. The authority to act, intervene, or otherwise appear shall be exercised by the Commission, only after approval by a majority vote of the Commission.
"11. To revoke the membership of a party state in accordance with Article 7(f).
"E The Commission may establish any advisory committees as it deems necessary for the purpose of advising the Commission on any matters pertaining to the management of low-level radioactive waste.
"G. The Commission may appoint or contract for and compensate such limited staff necessary to carry out its duties and functions. The staff shall serve at the commission's pleasure irrespective of the civil service, personnel, or other merit !aws of any of the party states or the federal government and shall be compensated from funds of the Com.
mission. In selecting any staff, the Commission shall assure that the staff has adequate experience and formal training to carry out such functions as may be assigned to it by the Commission. If the Commis-sion has a headquarters it shall be in a party state.
"H. Funding for the Commission must be provided as follows:
"1. Each eligible state. upon becoming a party state, shall pay twenty-five thousand dollars to the Commission which shall be used for costs of the Commission's services.
"2. Each state hosting a regional disposal facility shall annually levy special fees or surcharges on all users of such facility, based upon the volume of wastes disposed of et such facilities, the total of which:
"a. must be sufficient to cover the annual budget of the Commission; "b. must represent the financial commitments of all party states to the Commission; "c. must be paid to the Commission; IYovided, however, That each host state collecting such fees or sur-charges may retain a portion of the collection sufficient to cover its administrative costs of collection and that the remainder be sufficient only to cover the approved annual budgets of the Commission.
"3. The Commission must set and approve its first annual budget as soon as practicable after its initial meeting. Ilost states for disposal ,
facilities must begin imposition of the special fees and surcharges pro- i vided for in this section as soon as practicable after becoming party states and must remit to the Commission funds resulting from collec-tion of such special fees and surcharges within sixty days of their receipt. Audit "1. The Commission must keep accurate accounts of all receipts and report. disbursements. An independent certified public accountant shall annually audit all receipts tnd disbursements of Commission funds and submit an audit report to the Commission. The audit report shall be made a part of the annual report of the Commission required byArticle 4(e)(3). Grants. "J. The Commission may accept for any ofits purposes and funct;ons any and a'l donations, grants of money, equipment, supplies, materials, ! and services (conditional or otherwise) from any state, or the United I States, or any subdivision or agency thereof, or interstate agency, or
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I {
from any institution, person, firm, or corporation, and may receive, utilize, and dispose of the same. The nature, amount, and condition, if Report. any, attendant upon any donation or grant accepted pursuant to this rection, together with the identity of the donor, grantor, or lender shall be detailed in the annual report to the Commission.
"K. The Commission is not responsible for any costs associated with:
"(1) the creation of any facility,
"(2) the operation of any facility,
"(3) the stabilization and closure of anyy facility,
"(4) the post-closure observation and mamteaance of any facil-ity, or
"(5) the extended institutional control, after post-closure ob-servation and maintenance of any facility.
"L As of January 1,1986, the management of wastes at regional facilities is restricted to wastes generated within the region, and to wastes generated within nonparty states when authorized by the Com Prohibition. mission pursuant to the provisions of this compact. After Januay 1, Exports. 1986, the Commission may prohibit the exportation of waste from the region for the purposes of management.
"M.1. The Commission herein established is a legal entity separate and distinct from the party states capable of acting in its own behalf and is liable for its actions. Liabilities of the Commission shall not be deemen liabilities of the party states. Members of the Commission shu not permnally be liable for action taken by them in their official capac-ity.
Prohibition. "2. Ext pt as specifically provided in this compact, nothing in this compact shall be construed to alter the incidence ofliability of any kind for any act, 3 mission, course of conduct, or on account of any casual or other relatic nships. Generators and transporters of wastes and owners ; and operatots of sites shall be liable for their acts, omissions, conduct, j or relationships in accordance with all laws relating thereto. ' ARTICLE V-DEVELOPMENT AND OPERATION OF FACILITIES , i "A. Any party state which becomes a host state in which a regional { facility is operated shall not be designated by the Compact Commission as a host state for an additional regional facility until each party state has fulfilled its obligation, as determined by the Commission, to have a regional facility operated within its borders. I "B. A host state desiring to close a regional facility located within its ! borders may do so only after notifying the Commission in writing ofits intention to do so and the reasons therefor. Such notification shall be given to the Commission at least four years prior to the intended date of Ilealth. closure. Notwithstanding the four-year notice requirement herein Safety, provided, a host state is not prevented from closing its facility or establishing conditions ofits use and operations as necessary for the protection of the health and safety of its citizens. A host state may terminate or limit access to its regional facility if it determines that Congress has materially altered the conditions of this compact.
"C. Each party state designated as a host state for a regional facility shall take appropriate steps to ensure that an application for a license to 125 '
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construct and operate a facility of the designated type is filed with and issued by the appropriate authority. Prohibition. "D. No party state shall have any form of arbitrary prohibition on the treatment, storage, or disposal of low-level radioactive waste within its borders.
"E. No party state shall be required to operate a regional facility for longer than a 20-year period, or to dispose of more than 32,000,000 cubic feet of low-level radioactive waste, whichever first occuss.".1 ARTICLE VI-OTilER LAWS AND REGU1ATIONS Prohibition. "A. Nothing in this compact shall be construed to:
"(1) Abrogate or limit the applicability of any act of Congress or diminish or otherwise impair the jurisdiction of any federal agency expressly conferred thereon by the Congress.
"(2) Abrogate orlimit the regulatory responsibility and author-ity of the U.S. Nuclear Regulatory Commission or of an agreement 42 USC 2021 state under Section 274 of the Atomic Energy Act of 1954 in which a regional facility is located.
"(3) Make inapplicable to any person or circumstance any oth-er law of a party state which is not inconsistent with this compact.
"(4) Make unlawful the continued development and operation j of any facility already licensed for development or operation on the date this compact becomes effective, except that any such facility shall comply with Article 3, Article 4, and Article 5 and shall be subject to any action lawfully taken pursuant thereto.
Prohibition. "(5) Prohibit any storage or treatment of waste by the genera-tor on its own premises.
"(6) Affect any judicial or administrative proceeding pending on the effective date of this compact.
"(7) Alter the relations between, and the respective internal responsibilities of, the government of a party state and its subdivi-sions.
Research and "(8) Affect the generation, treatment, storage, or disposal of development. waste generated by the atomic energy defense activities of the I Secretary of the United States Department of Energy or federal 42 USC 2021b research and development activities as defined in Public Law ! 96-573. note. poh(9) Affect the rights and powers of any party state and itstical subdivisions to regu borders or to affect the rights and powers of any party state and its l political subdivisions to tax or impose fees on the waste managed at any facility within its borders. I Prohibition. "B. No party shall pass any law or adopt any regulation which is Regulation. inconsistent with this compact. To do so may jeopardize the j membership status of the party state. , Prohibition. "C. Upon formation of the compact no law or regulation of a party j Regulation. state or of any subdivision or instrumentality thereof may be applied so as to restrict or make more inconvenient access to any regional facility 1 IPL 101-171 (103 Stat 12A9). Noverseer22.1989 added new sectuan T. 126
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by the generators of another party state than for the generators of the state where the facility is situated.
"D. Restrictions of waste management of regional facilities pursuant to Article 4 shall be enforceable as a matter of state law.
ARTICLE Vil-ELIGIBLE PARTIES; WITIIDRAWAL; REVOCATION; ENTRY INTO FORCE; TERMINATION Ahbama. "A. This compact shall have as initially eligible parties the States of Florida. Alabama, Florida, Georgia, Mississippi, Nerth Carolina, South Georgia. Carolina, Tennessee, and Virginia. Mississippi. "B. Any state not expressly declared cligible to become a party state North Carolina. to this compact in Section (A) of this Article may petition the South Carolina. Commission, ona constituted, to be declared eligible. The Commission Tennessee. mcy establish such conditions as it deems necessary and appropriate to Virginia. be met by a state wishing to become eligible to become a party state to this compact pursuant to such provisions of this section. Upon satisfactorily meeting the conditions and upon the affirmative vote of two-thirds of the Commission, including the affirmative vote of both { representatives of a host state in which any affected regional facility is ; located, the petitioning state shall be eligible to become a party state to this com;)act and may become a party state in the manner as those states declared eligible in Section (a) of this Article. ] i "C. Euch state eligible to become a party state to this compact shall be l declared a party state upon enactment of this compact into law by the l state and upon payment of the fees required by Article 4(H)(1). The i Commission is the judge of the qualifications of the party states and of l its members and of their compliance with the conditions and require-ments of this compact and the laws of the party states relating to the enactment of this compact.
"D.1. The first three states eligible to become party states to this l compact which enact this compact into law and appropriate the fees ;
required by Article 4(II)(1) shall immediately, upon the appointment ! of their Commission members, constitute themselves as the Southeast Low-Level Radioactive Waste Management Commission; shall cause legislation to be introduced in Congress which grants the consent of Congress to this compact; and shall do those things necessary to orga- l nize the commission and implement the provisions of this compact. l "2. All succeeding states eligible to become party states to this com- . pact shall be declared party states pursuant to the provisions of Section l (C) of this Article. ! Eff:ctive date. "3. The consent of Congress shall be required for the full ! implementation of this compact. The provisions of Article 5 Section ; (D)shall not become effective until the effective date of the import ban l authorized by Article 4, Section (L) as approved by Congrest Congress ' may by law withdraw its consent only every five years. Prohibition. "E. No state which holds membership in any other regional compact for the management of low-level radioactive waste may be considered by the Compact Commission for eligible state status or party state status. 127 j/3
"F. Any party state which fails to comply with the provisions of this compact or to fulfill the obligations incurred by becoming a party state to this compact may be subject to sanctions by the Commission, includ-ing suspension of its rights under this compact and revocation of its status as a party state. Any sanction shall be imposed only upon the affirmative vote of at least two-thirds of the Commission members.
Revocation of party state status may take effect on the date of the meeting at which the Commission approves the resolution imposing such sanction, but in no event shall revocation take effect later than ninety days from the date of such meeting. Rights and obligations incurred by being declared a party state to this compact shall continue until the effective date of the sanction imposed or as provided in the resolution of the Commission imposing the sanction.
"The Commission must, as soon as practicable after the meeting at which a resolution revoking status as a party state is approved, provide
, written notice of the action, along with a copy of the resolution, to the Governors, the Presidents of the Senates, and the Speakers of the llouses of Representatives of the party states, aswell as chairmen of the appropriate committees of Congress.
"G. Subject to the provisions of Article 7 section 11., any party state may withdraw from the co mpact by enacting a law repealing the com-pact, provided that if a regional facility is located within such state, such regional facility shall remain available to the region for four years after the date the Commission receives verification in writing from the Gov-ernor of such party state of the rescission of the Compact. The Commis-sion, upon receipt of the verification, shall as soon as practicable pro-vide copies of such verification to the Governor, the presidents of the Senates, and the Speakers of the llouses of Representatives of the party states as,well as the chairmen of the appropriate committees of l the Congress.-
"II. The right of a party state to withdraw pursuant to section G. shall
- terminate thirty days following the commencement of operation of the l second host state disposal facility. Thereafter a party state may with-i draw only with the unanimous approval of the Commission and with the South Carolina. consent of Congress. For purposes of this section, the low-level radioactive waste disposal facility located in 13arnwell County, South Carolina shall be considered the first host state disposal facility.3 "1. This compact may be terminated only by the affirmative action of f
the Congress or by rescission of all laws enacting the compact in each party state.4 2 PL 101-171 (103 seat.1290) Nmember22,1989 added new language m secten o. 3PL 101- 171 (103 Stat.1290) Neembewr22.1989 added new language to necima !!.
*PL 101-171 (103 sist 1290) Nwember22.1989 added new sectka I.
us /3F
ARTICLE VIII-PENALTIES "A. Each party state, consistently with its own law, shall prescriM and enforce penalties against any person not an official of another s- m. violation of any provisions of this compact. Regulation. "B. Each party state acknowledges that the receipt by a host sta, .,f waste packaged or transported in violation of applicable laws and regulations can result in the imposition of sanctions by the hose state which may include suspension or revocation of the violator's right of access to the facility in the host state. ARTICLE EX-SEVERABILITY AND CONSTRUCTION Provisions held "The provisions of this compact shall be severable and if any phrase, invalid. clause, sentence, or provision of this compact is declared by a court of competent jurisdiction to be contrary to the Constitution, of any participating state or of the United States, or the applicability thereof . to any government, agency, person, or circun' stance is held invalid, the l validity of the remainder of this compact and the applicability thereof to any other government, agency, person, or circumstance shall not be affected thereby. If any provision of this compact shall be held contrary to the Constitution of any State participating therein, the compact shall remain in full force and effect as to the state affected as to all severable matters. The provisions of this compact shall be liberally construed to give effect to the purposes thereof." 42 USC 2021d See.224. CENTRAL MIDWEST INTERSTATE LOW-LEVEL RADIO-note. ACTIVE WASTE COMPACT. , Illinois. In accordance with section 4(a)(2) of the Low-Level Radioactive Kentucky. Waste Policy Act (42 U.S.C. 2021d(a)(2)), the consent of the Congress hereby is given to the States ofIllinois and Kentucky to enter into the
- . Central Midwest Interstate Low-Level Radioactive Waste Compact.
l Such compact is substutially as follows: ARTICLE 1 -POLICY AND PURPOSE "There is created the C entral Midwest Interstate Low-Level Radio-active Waste Compact "The states party to this compact recognize that the Congress of the United States, by enacting the Low-Level Radioactive Waste Policy Act ! 42 USC 2021b (42 U.S.C. 2021), has provided for and encouraged the development of note, low-level radioactive waste compacts as a tool for managing such waste. The party states also recognize that the management of low-level radioactive waste is handled most efficiently on a regional basis; and, that the safe and efficient management oflow-level radioactive waste generated within the region requires that sufficient capacity to manage such waste be properly provided.".3 "a)lt is the policy of the party states to enter into a regional low-level radioactive waste management compact for the purpose of: .
"1) providing the instrument and the framework for a coopera- l tive effort;
'PL 103-439 (106 5 tat. 4607) ruw. 2,1994 129 df !
I l
"2) providing sufficient facilities for the proper management of i
Iow-level radioactive waste generated in the region; l liedth. "3) protecting the health and safety of the citizens of the region; Safety. "4) limiting the number of facilities required to manage low-level radioactive waste generated in the region effectively and efficiency; "5) promoting the volume and source reduction of low-level radioactive waste generated in the region; "6) distributing the costs, benefits and obligations of successful { low-level radioactive waste management equitably among the party states and among gent rators and other persons who use regional facilities to manage their waste; "7) ensuring the ecological and economical management oflow-level radioactive waste, including the prohibition of shallow-land burial of waste; and
)
"8) promoting the use of above-ground facilities and other dis- i posal technologies providing greater and safer confinement of l low-level radioactive waste than shallow-land burial facilities.
Regulations. "b) Implicit in the Congressional consent to this compact is the expectation by the Cong ess and the party states that the appropriate federal agencies will actively assist the Compact Commission and the individual party states to this compact by:
"1) expeditious enforcement of federal rules, regulations and laws; "2) imposition of sanctions against those found to be in violr. tion of federal rules, regulations and laws; and "3) timely inspection of their licensees to determine their com-pliance with these rules, regulations and laws.
ARTICLE II-DEFINITIONS "As used in this compact, unless the context clearly requires a differ-ent construction:
"a)' Commission' means the Central Midwest Interstate Low-Level Radioactive Waste Commission.
"b)' Decommissioning' means the measures taken at the end of a facility's operating life to assure the continued protection of the public from any residual radioactivity or other potential hazards present at a facility.
"c)' Disposal' means the isolation of waste from the biosphere in a permanent facility designed for that purpose.
"d)' Eligible' state means either the State ofIllinois or the Common-wealth of Kentucky.
"e) ' Extended care' means the continued observation of a facility after closure for the purpose of detecting a need for maintenance, ensuring environmental safety, and dete* mining compliance with ap-plicable licensure and regulatory requirements and includes undertak-mg any action or clean-up necessary to protect public health and the environment from radioactive releases from a regional facility.
"f) ' Facility' means a parcel ofland or site, together with the struc-tures, equipment and improvements on or appurtenant to the land or a- l 130
[YG t-- l
site, which is used or is being developed for the treatment, storage or ; disposal oflow-level radioactive waste. I "g) ' Generator' means a person who produces or possesses low-level radioactive waste in the course of or incident to manufacturing, power generation, processing medical diagnosis and treatment, research, or other industrial or commercial activity and who, to the extent required by law, is licensed by the U. S. Nuclear Regulatory Commission or a party state, to produce or possess such waste.
"h)'llost state' means any party state that is designated by the Com-mission to host a regional facility, provided that a party state with a total volume of waste recorded on low-level radioactive waste manifests for ,
any year that is less than 10 percent of the total volume recorded on I such manifests for the region during the same year shall not be desig-nated a host state.
"i)' Institutional control' means those activities carried out by the host state to physically control access to the disposal site following transfer of control of the disposal site from the disposal site operator to the state or federal government. These activities must include, but need not be i limited to, environmental monitoring, periodic surveillance, minor cus-todial care, and other necessary activities at the site as determined by the host state, and administration of funds to cover the costs for these activities. The period of institutional control will be determined by the host state, but institutional control may not be relied upon for more than 100 years following transfer of control of the disposal site to the state or federal government.
"j)'Long-term liability' means the financial obligation to compensate any person for medical and other expenses incurred from damages to human health, personal injuries suffered from damages to human health and damages or losses to real or personal property, and to pro-l vide for the costs for accomplishing any necessary corrective action or clean-up on real or personal property caused by radioactive releases from a regional facility.
"k)' Low-level radioactive waste' or ' waste' means radioactive waste
! not classified as (1) high-level radioactive waste, (2) transuranic waste, (3) spent nuclear fuel, or (4) by-product material as defined in Section 42 USC 2014. lle. (2) of the Atomic Energy Act of 1954. This definition shall apply notwithstanding any declaration by the federal government, a state or any regulatory agencg that any radioactive material is exempt from any regulatory control.".4 "1)' Management plan' means the plan adopted by the Commission for the storage, transportation, treatment and disposal of waste within ! the region. ! "m)' Manifest' means a shipping document identifying the generator ! of waste, the volume of waste, the quantity of radionuclides in the l shipment, and such other information as may be required by the ap-propriate regulatory ageriy.
"n) ' Party state' mear. any eligible state which enacts the compact into law and pays the membership fee.
2Public 1 aw 103-439 (108 Stat. 4608), November 2,1994, amended section T. { ff f l l l l l
"o)' Person' means any individual, corporation, business enterprise or other legal entity, either public or pnvate, and a'1y legal successor, ,
representative, agent or agency of that individual, corporation, busi- I ness enterprise, or legal entity. I "p)' Region' means the geographical area of the party states. l "q)' Regional facility
- means any facility as defined in Article II(f) that is (1) located within the region, and (2) established by a party state pursuant to designation of that state as a host state by the Commis-sion.".3 "r)' Shallow-land burial' means a land disposal facility in which radio- ,
active waste is disposed ofin or within the upper 30 meters of the earth's surface; however, this defm' ition shall not include an enclosed, engine-ered, strongly structurally enforced and solidified bunker that extends below the carth's surface.
"s)
- Site' means the geographic location of a facility, j "t)' Source reduction' means those administrative practices that re- i duce the radionuclide levels in low-level radioactive waste or that pre- l vent the generation of additional low-level radioactive waste. '
"u)' State' means a state of the United States, the District of Colum- i bia, the Commonwealth of Puerto Rico, the Virgin Islands or any other territorial possession of the United States. l "v)' Storage' means the temporary holding of waste for treatment or disposal.
"w)' Treatment' means any method, technique or process, including storage for radioactive decay, designed to change the physical, chemical or biological characteristics or composition of any waste in order to i render the waste safer for transport or management, amenable to re-covery, convertible to another usable material or reduced in volume.
"x)' Volume reduction' means those methods including, but not limit-ed to, biological, chemical, mechanical and thermal methods used to reduce the amount of space that waste materials occupy and to put them into a form suitable for storage or disposal.
"y) ' Waste management' means the source and volume reduction, storage, transportation, treatment or disposal of waste.
l ARTICLE III-Tile COMMISSION Central Midwest "a) There is created the Central Midwest Interstate Low-Level Interstate Low. Radioactive Waste Commission. Upon the eligible states becoming Level Radioactive party states, the Commission shall consist of two voting Commissioners Waste Commission from each state eligible to be designated a host state under Article est1blishment. VI(b), one voting Commissioner from any other party state, and for each regional facility, one non-voting Commissioner who is an elected I official of local government and a resident of the county where that i regional facility is located. The Governor of each party state shall notif7 l the Commission in writing of its Commissioners and any alternates i
"b)Each voting Commissioner is entitled to one vote. No action of the Commission is binding unless a majority of the voting membership casts its vote in the affirmative. In addition, no agreement by the Commis-3Public Law 103-439 (108 Stat. 4608), November 2,1994, amended section "q".
dPublic Law 103-439 (108 Stat. 4608), November 2.1994, amended section "a". 132 / (,2.
An under Article Ill(i)(1), Article III(i)(2), or Article Ill(i)(3) is valid inJess all voting Commissioners from the party state in which the facili-ty where waste would be sent cast their votes in the affirmative.".5 "c) The Commission shall elect annually from among its members a Public informa- chairperson. The Corr. mission shall adopt and publish, in convenient tion form, by-laws and policies that are not inconsistent with this compact, including procedures that conform with the provisions of the Federal Administrative Procedure Act (5 U.S.C. ss. 500 to 559) to the greatest extent practicable in regard to notice, conduct and recording of meetings; access by the public to records; provi ion ofinformation to the public; conduct of adjudicatory her rings; and issuance of decisions.
"d) The Commission shall meet at leut once annually and shall also meet upon the call of any voting Commissioner.6 "e) All meetings of the Commission and its designated committees shall be open to the public with reasonable advance notice. The Com-mission may,1,y majority vote, close a meeting to the public for the purpose of considering sensitive personnel or legal strategy matters.
However, all Commission actions and decisions shall be made in open meetings and appropriately recorded. A roll call may be required upon request of any voting Commissioner.".7 "f) The Commission may establish advisory committees for the pur- , pose of advising the Commission on any matters pertaining to waste management, waste generation and source and volume reduction.
"g) The Office of the Commission shall bc in Illinois. The Commis-sion may appoint or contract for and compensate such staff necessary to carry out its duties and functions. The staff shall serve at the Commis-sion's pleasure with the exception that staff hired as the result of secur-ing federal funds shall be hired and governed under applicable federal statutes and regulations. In selecting any staff, the Commission shall assure that the staff has adequate experience and formal training to carry out the functions assigned to it by the Commission.".8 Records. "h) All files, records and data of the Commission shall be open to Public reasonable public inspection and may be copied upon payment of inspection. reasonable fees to be established where appropriate by the Commission, except for information privileged against introduction in judicial proceedings. Such fees may be waived or shall be reduced substantially for not-for-profit organizations.
"i) The Commission may:
Contracts. "1) Enter into an agreement with any person to allow waste from Prohibitions. outside the region to be disposed of at facilities in the region. However, no such agreement shall be effective unless and until ratified by a law enacted by the party state to which the waste would be sent for disposal. 8 Public Law 103-439 (108 Stat. 4608), November 2,1994, amended section "b". 6Public Law 103--439 (108 Stat. 4608), November 2,1994, amended section *d". 7 Public Law 103-439 (108 Stat. 4608), November 2,1994, amended section "e". 8 Public Law 103-439 (108 Stat. 4608), November 2,1994, amended section "g". 133
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r
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l "2) Enter into an agreement with any person to allow waste j described in Article VII(a)(6) to be treated, stored, or disposed of at regional facilities. However, no sucu agreement shall be effective unless and until ratified by a law enacted by the host state of the regional facility to which the waste would be sent for treatment, storage, or disposal.
"3) Enter into an agreement with any person to allow waste from outside the region to be treated or stored at facilities in the region.
However, any such agreement shall be revoked as a matter oflaw l Reports. if, within one year of the effective date of the agreement, a law is l enacted ordering such revocation by the party state to which the waste would be sent for treatment or storage. Prohibition. "4) Approve, or enter into an agreement with any person for, the export of waste from the region.
"5) Approve the disposal of waste generated within the region at a facility in the region other than a regional facility, subject to the limitations of Articles V(f) and VII(a)(6).
"6) Require that waste generated withm the region be treated or stored at available regional facilities, subject to the limitations of Articles "7) AppearV(f),
as anVII(a)(3) and intervenor or partyVII(a)(6)in interest before any court
- oflaw or any federal, state or local agency, board or commission in i
any matter related to waste management. In order to represent its views, the Commission may arrange for any expert testimony, reports, evidence or other participation.
"8) Review the emergency closure of a regional facility, determine the appropriateness of that closure, and take whatever actions are necessary to ensure that the interests of the region are protected, provided that a party state with a total volume of waste recorded on low-level radioactive waste manifests for any year that is less than 10 percent of the total volume recorded on such manifests for the region during the same year shall not be designated a host state or be required to store the region's waste.
In determining the 10 percent exclusion, there shall not be included waste recorded on low-level radioactive waste manifests by a person whose principal business is providing a service by arranging for the collection, transportation, treatment, storage or ! disposal of such waste.
"9) Take any action which is appropriate and necessary to {
perform its duties and functions as provided in this compact.
"10) Suspend the privileges or revoke the membership of a party ]
state.9 "j) The Commission shall: Report. "1) Submit wi;hin 10 days ofits execution to the governor and the appropriate officers of the legislative body of the party state in which any affected facility is located a copy of any agreement entered into by the Commission under Article Ill(i)(1), Article Ill(i)(2) or Article III(i)(3).
'Public Law 103-439 (108 Stat. 4609), November 2,1994, amended section "i". ;
I 134
/
l b l
"2) Submit an annual report to, and otherwise communicate l with, the governors and the appropriate officers of the legislative bodies of the party states regarding the activities of the Commis-sion. The annual report shallinclude a description of the status of the activities taken pursuant to any agreement entered into by the Commission under Article Ill(i)(1), Article Ill(i)(2) or Article III(i)(3) and any violation of any provision thereof, and a descrip-tion of the source, volume, activity, and current status of any waste from outside the region or waste described under Article VII(a)(6) that was treated, stored, or disposed of in the region in the previous year.
"3) Hear, negotiate, and, as necessary, resolve by final dccision )
disputes which may arise between the party states regarding this compact.
"4) Adopt and amend, as appropriate, a regional management plan that plans for the establishment of needed regional facilities.
"5) Adopt an annual budget.".10 "k) Funding of the budget of the Commission shall be provided as follows:
"1) Each state, upon becoming a party state, shall pay $50,000 to I the Commission which shall be used for the administrative costs of j the Commission. j "2) Each state hosting a regional facility shall levy surcharges on each user of the regional facility based upon its portion of the total volume and characteristics of wastes managed at that facility. The surcharges collected at all regional facilities shall:
"A)be sufficient to cover the annual budget of the Commis-sion; and "B) be paid to the Commission, provided, however, that each host state collecting surcharges may retain a portion of the collection sufficient to cover its administrative costs of collection.
"l) The Commission shall keep accurate accounts of all receipts and Contracts. disbursements. The Commission shall contract with an independent Audit. certified public accountant to annually audit all receipts and Reports. disbursements of Commission funds and to submit an audit report to the Commission. The audit report shall be made a part of the annual report of the Commission required by this Article.
Grants. "m) The Commission may accept for any of its purposes and functions Rcport. and may utilize and dispose of any donations, grants of money, equipment, supplies, materials and services from any state or the United States (or any subdivision or agency thereof), or interstate agency, or from any institution, person, firm or corporation. The nature, amount and condition, if any, attendant upon any donation or grant accepted or received by the Commission together with the identity of the donor, grantor, or lender, shall be detailed in the annual report of the Commission. The Commission shall establish guidelines
# ublic P Law 103-439 (108 Stat. 4609), November 2,1994, amended section "j".
135 ff
for the acceptance of donations, grants, equipment, supplies, materials imd services and shall review such guidelines annually. ,
"n) The Commission is not liable for any costs associated with any of l the following: l "l) the licensing and construction of any facility; "2) the operation of any facility; "3) the stabilization and closure of any facility; "4) the extended care of any facility; "5) the institutional control, after extended care of any facility; or "6) the transportation of waste to any facility.
Trrnsportation. "o) The Commission is a legal entity separate and distinct from the party states and is liable for its actions as a separate and distinct legal entity. Commissioners are not personally liable for actions taken by them in their official capacity.33 "p) Except as provided under Article III(n , Article III(o), Article VI(p) and Article VI(q), nothing in this compa)ct alters liability for any action, omission, course of conduct or liability resulting from any causal or other relationships.".12 "q) Any person aggrieved by a final decision of the Commission, which adversely affects the legal rights, duties or privileges of such person, may petition a court of competent jurisdiction, within 60 days after the Commission's final decision, to obtain judicial review of said final decision. ARTICLE IV-REGIONAL MANAGEMENT PLAN "The Commission shall adopt a regional management plan designed to ensure the safe and efficient management of waste generated within the region. In adopting a regional waste management plan the Com-mission shall: IIedth. "a) Adopt procedures for determining, consistent with mnsiderations Safety. of public health and safety, the type and number of regional facilities which are presently necessary and which are projected to be necessary to manage waste generated within the region.
"b) Develop and adopt policies promoting source and volume reduc-tion of waste generated within the region.
"c) Develop alteri ative means for the treatment, storage and disposal of waste, other than shallow-land burial or undergrot.nd injection well.
"d) Prepare a draft regional management plan that shall be made available in a convenient form to the public for comment. The Commission shall conduct one or more public hearings in each party state prior to the adoption of the regional management plan. The regional management plan shall include the Commission's resp (mse to public and party state comment.
HPubhc Law 103-439 (108 Stat. 4610), November 2,1994, changed after the first sen-tence " Members of the Commission" to
- Commissioners".
12 Public Law 103-439 (108 Stat. 4610), November 2,1994, amended section "p". 136 f%
l l ARTICLE V-RIGHTS AND OBLIGATIONS OF PARTY STATES l "a) Each party state shall act in good faith in the performance of acts and courses of conduct which are intended to ensure the provision of. facilities for regional availability and usage in a manner consistent with ,
^
this compact.
"b) Other than the provisions of Article V(f) and VII(a)(6), each l party state has the right to have all wastes generated within borders managed at regional facilitics. This right shall be subject to the provi-sions of this Compact. All party states have an equal right of access to any facility outside the region made available to the region by any agreement entered irto by the Commission pursuant to Article III(i)(4).13 Exports. . "c) Party states or generators may negotiate for the right of access to a i
facility outside the region and may export waste outside the region subject to Commission approval under Article III(i)(4).".14 Regulations. "d) To the extent permitted by federal law, each party state may Transportation. enforce any applicable federal and state laws, regulations and rules Prohibition. pertaining to the packaging and transportation of waste generated Contracts. within or passing through its borders. Nothing in this Section shall be construed to require a party state to enter into any agreement with the U. S. Nuclear Regulatory Commission.
"e) Each party state shall provide to the Commission any data and l information the Commission requires to implement its responsibilities.
Each party state shall establish the capability to obtain any data and information required by the Commission. Kentucky. "f) Waste originating from the Maxey Flats nuclear waste disposal site Prohibition. in Fleming County, Kentucky shall not be shipped to any facility in Illinois for storage, treatment or disposal. Disposition of these wastes shall be the sole responsibility of the Commonwealth of Kentucky and
- such wast
- ,nall not be subject to the provisions of Articles IX(b)(3) and 4 (4) of this compact.".15 ARTICLE VI-DEVELOPMENT AND OPERATION OF FACILITIES "a) Any party state may volunteer to become a host state, and the Commission may designate that state as a host state.
"b)lf all regional facilities required by the regional management plan are not developed pursuant to Article VI(a), or upon notification that an existing regional facility will be closed, the Commission may desig-nate a party state as a host state. A party state shall not be designated as j a host state for any regional facility under this Article VI(b) unless that i state's total volume of waste recorded on low-level radioactive waste l manifests for anyyear is more than 10% of the total volume recorded on such manifests for the region during the same year. In determining the 10% exclusion, there shall not be included waste recorded on low-level radioactive waste manifests by a person whose principal business is providing a service by arranging for the collection, transportation, 13Public Law 103-439 (108 Stat. 4610), November 2,1994, amended section *b".
l- H Public Law 103-439 (108 Stat. 4610), Movember 2,1994, amended section "c". 35Public Law 103-439 (108 Stat. 4610), November 2,1994, amended section "f". if7 i u
treatment, storage or disposal of such waste, or waste described in Article VII(a)(6).".16 (- Prohibition. "c) Each party state designated as host state is responsible for determining possible facility locations within its borders. The selection l of a facility site shall not conflict with applicable federal and host state laws, regulations and rules not inconsistent with this compact and shall be based on factors including, but not limited to, geological, emironmental, engineering and economic viability of possible facility locations.17 "d) Any party state designated as a host state may request the Com- ! mission to relieve that state of the responsibility to serve as a host state. , The Commission may relieve a party state of this responsibility upon a i showing by the requesting party state that no feasible potential regional l l facility site of the type it is designated to host exists within its borders or i for other good cause shown and consistent with the purposes of this Compact.".18 l "c) After a state is designated a host state by the Commission, it is j responsible for the timely development and operation of a regional ! facility.19
)
"f) To the extent permitted by federal and state law, a host state shall regulate and license any facility within its borders and ensure the ex-i tended care of that facility.20 "g) The Commis' sion may designate a party state as a host state while a regional facility is in operation if the Commission determines that an j additional regional facility is or may be required to meet the needs of '
the region.21 "h) Designation of a host state is for a period of 20 years or the life of the regional facility which is established under that designation, which-ever is shorter. Upon request of a host state, the Commission may modify the period of its designation.22 . "i) A host state may establish a fee system for any regional facility l within its borders. The fee system shall be reasonable and equitable. This fee system shall provide the host state with sufficient revenue to cover any costs includmg, but not limited to, the planning, siting, licen-sure, operation, pre-closure corrective action or clean-up, monitoring, inspection, decommissioning, extended care and long-term liability, a.ssociated with such facilities. This fee system may provide for payment t to units of local government affected by a regional facility for costs 16Public Law 103-439 (108 Stat. 4610), November 2,1994, amended section "b". HPublic Law 103-439 (108 Stat. 4611), November 2,1994, repealed section "c" and re-numbered section *d" to section *c". 18Public Law 103-439 (108 Stat. 4611), November 2,1994, amended and renumbered section *c" to section "d'. 3'Public Law l03-439(108 Stat. 4612), November 2,1994, renumbered section "f"to"e". 20Pubhc Law l03-439(108 Stat. 4612), November 2,1994, renumbered section "g" to-f". )' 21Public Law 103-439 (108 Stat. 4612), November 2,1994, renumbered section "h" to "g". 22 Public Law 103-439 (108 Stat. 4612), November 2,1994, renumbered section "i" to"h", f ? I L
I incurred in connection with such facility. This fee system may also include reasonable revenue beyond the costs incurred for the host state, subject to approval by the Commission. The fee system shall include incentives for source or volume reduction and may be based on the hazard of the waste. A host state shall submit an annual financial audit of the operation of the regional facility to the Commission.23 "j) A host state shall ensure that a regional facility located within its borders which is permanently closed is properly decommissioned. A II=lth. host state shall also provide for the extended care of a closed or Safety. decommissioned regional facility within its borders so that the public health and safety of the state and region are ensured, unless, pursuant 42 USC 10101 to the federal Nuclear Waste Policy Act of 1982, the federal note. government has assumed title and custody of the regional facility and the federal government thereby has assumed responsibility to provide for the extended care of such facility.24 Prohibition. k) i host state intending to close a regional facility located within its Environmental borLers shall notify the Commission in writing ofits intention and the protection. reasons. Notification shall be given to the Commission at least five years Health. prior to the intended date of closure. This Section shall not prevent an Safety. emergency closing of a regional facility by a host state to protect its air, land and water resources and the health and safety of its citizens. Ilowever, a host state which has an emergency closing of a regional facility shall notify the Commission in writing within 3 working days of its action and shall, within 30 working days ofits action, demonstrate justification for the closing.25 Prohibbion. "l) If a regional facility closes before an additional or new facility Th tation becomes operational, waste generated within the region may be shipped temporarily to any location agreed on by the Commission until a regional facility is operational, provided that the region's waste shall not be stored in a party state with a total volume of waste recorded on low-level radioactive waste manifests for any year which is less than 10% of the total volume recorded on the manifests for the region during the same year. In determining the 10% exclusion, there shall not be included waste recorded on low-level radioactive waste manifests by a person whose principal business is providing a service by arranging for the collection, transportation, treatment, storage or disposal of such waste, or waste described in Article VII(a)(6).".26
- "m) A party state which is designated as a host state by the Commis-sion and fails to fulfill its obligations as a host state may have its privi-leges under the compact susynded or membership in the compact revoked by the Commission.
23Public Law 103-429 (108 Stat. 4612), November 2,1994, renumbered section "j" to"i". 24 Public Law 103-439 (108 Stat. 4612), Novembe r 2,1994, renumbered section "k" to"j". 25 Public Law 103-439 (108 Stat. 4611), November 2,1994, amended section "1" and re-numbered it to become section "k". 26 Public Law 103-439 (108 Stat. 4611), November 2,1994, amended section "m" and re-numbered it to become section "1". 27Public Law 103-439 (108 Stat. 4612), November 2,1994, renumbered section "n" to "m".
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"n) The host state shall create an ' Extended Care and Long-Term Liability Fund' and shall allocate sufficient fee revenues, received pur-suant to Article VI(i), to provide for the costs of:
"1) decommissioning and other procedures required for the proper closure of a regional facility; "2) monitoring, inspection and other procedures required for the proper extended care of a regional facility; IIcalth. "3) undertaking any corrective action or clean-up necessary to Environmental. protect human health and the environment from radioactive Prot:ction. releases from a regional facility; and "4) compensating any person for medical and other expenses Heilth, incurred from damages to human health, personal injuries Re:1 property, suffered from damages to human health and damages or losses to Gifts and real or personal property, and accomplishing any necessary property, corrective action or clean-up on real or personal property caused Insurance. by radioactive releases from a regional facility; the host state may Contracts. allocate monies in this Fund in amounts as it deems appropriate to purchase insurance or to make other similar financial protection arrangements consistent with the purposes of this Fund; this i Article VI(n) shall in no manner limit the financial responsibilities of the site operator under Article VI(o), the party states under Article VI(p), or anyp8erson who sends waste to a regional facility, under Article VI(q). l Re:1 property "o) The operator of a regional facility shall purchase an amount of Insurance. property and third-party liability insurance deemed appropriate by the He:lth. host state, pay the necessary periodic premiums at all times and make periodic payments to the Extended Care and Long-Term Liability Fund as set forth in Article VI(n) for such amounts as the host state j reasonably determines is necessary to provide for future premiums to I continue such insurance coverage, in order to pay the costs of compensating any person for medical and other expenses incurred from damages to human health, personal injuries suffered from damages to human health and damages or losses to real or personal property, and accomplishing any necessary corrective action or clean-up on real or !
personal property caused by radioactive releases from a regional j facility. In the event of such costs resulting from radioactive releases ' from a regional facility, the host state should, to the maximum extent possible, seek to obtain monies from such insurance prior to using monies from the Extended Care and Long-Term Liability Fund.29 Contracts. "p) All party states shali ne liable for the cost of extended care and Prohibition. long-term liability in excess of monies available from the Extended Care and Long-Term Liability Fund, as set forth in Article VI(n) and from the property and third-party liability insurance as set forth in Article VI(o). A party state may meet such liability for costs bylevying surcharges upon generators located in the party state. The extent of 2sPublic Law 103-439 (108 Stat. 4611), November 2,1994, amended section "o" and re-numbered it to become section "n". j 29 Public Law 103-439 (108 Stat. 4612, November 2,1994, amended section "p" and renum- i bered it to become section *o". 3 l l 140 . / ,h M l
f' such liability shall be based on the proportionate share of the total l volume of waste placed in the regional facility by generators located in
- each such party state. Such liability shall be joint and several among the s party states with a right of contribution between the party states.
Ilowever, this Section shall not apply to a party state with a total volume l of waste recorded on low-level radioactive waste manifests for any year that is less than 10% of the total volume recorded on such manifests for the region during the same year.".30 l "q) Any person who sends waste from outside the region or waste i described m Article VII(a)(6) for treatment, storage or disposal at a regional facility shall be liable for the cost of extended care and long-term liability of that regional facility in excess of the monies available from the Extended Care and Long-Term Liability Fund as set forth in Article VI(n) and from the property and third-party liability insurance as set forth in Article VI(o). The extent of the liability for the person i shall be based on the proportionate share of the total volume of waste sent by that person to the regional facility.".31 ARTICLE VII--OTIIER LAWS AND REGULATIONS Prohibitions. "a) Nothing in this compact:
"1) abrogates or limits the applicability of any act of Congress or dimmishes or otherwise impairs the jurisdiction of any federal agency expressly conferred thereon by the Congress; "2) prevents the enforcement of any other law of a party state which is not inconsistent with this compact; "3) prohibits any storage or treatment of waste by the generator on its own premises; "4) affects any administrative or judicial proceeding pending on the effective date of this compact; "5) alters the relations between the respective internal responsibility of the government of a party state and its subdivisions; Research and "6) establishes any right to the treatment, storage or disposal at any development. facility in the region or provides any authority to prohibit export from the region of waste that is owned or generated by the United States Department of Energy, owned or generated by the United States Navy as a result of the decommissioning of vessels of the United States Navy, or owned or generated as the result of any research, development, testing or production of any atomic weapon; or".32 Transportation. "7) affects the rights and powers of any party state or its political Taxes. subdivisions, to the extent not inconsistent with this compact, to
! regulate and license any facility or the transportation of waste within its borders or affects the rights and powers of any state or its political subdivisions to tax or impose fees on the waste managed at any facility within its borders; 30Public Law 103-439 (108 Stat. 4612), November 2,1994, amended section "q" and renumbered it to become section "p". 33Public Law 103-439(108 Stat. 4612), November 2,1994, added a new section "q". 32Public Law 103-439(108 Stat. 4613 , November 2,1994, amended section "6". 33PubhcLaw 103-439 (108 Stat. 4613 , November 2,1994, amended section *d". 34Public Law 103-439 (108 Stat. 4613 , November 2,1994, amended section "c". 141 ! / f/', 1 l L
i 1 Contracts. "8) requires a party state to enter into an agreement with the U. S. Nuclear Regulatory Commission; or "9) alters or limits liability of transporters of waste and owners and operators of sites for their acts, omissions, conduct or relationships in accordance with applicable laws.
"b) For purposes of this compact, all state laws or parts of laws in conflict with this compact are hereby superseded to the extent of the conflict.
Prohibition. "c) No law, rule, regulation, fee or surcharge of a party state, or of any Regulations. ofits subdivisions or instrumentalities, may be applied in a manner which discriminates against the generators of another party state. Prohibition. "d) No person who provides a service by arranging for collection, transportation, treatment, storage or disposal of waste from outside the region shall be allowed to dispose of any waste, regardless of origin, in the region unless specifically permitted under an agreement entered into by the Commission in accordance with the requirements of Article Ill(i)(1).".33 ARTICLE Vill-ELIGIBLE PARTIES, WITHDRAWAL, REVOCATION, ENTRY INTO FORCE, TERMINATION Illinois. "a) Eligible parties to this compact are the State of Illinois and Kentucky. Commonwealth of Kentucky. Eligibility terminates on April 15,1985.
"b) An eligible state becomes a party state when the state enacts the compact into law and pays the membership fee required in Article III(k)(1).
"c) The Commission is formed upon the appointment of the Commis-sioners and the tender of the membership fee payable to the Commis-sion by the eligible states. The Governor of Illinois shall convene the initial meeting of the Commission. The Commission shall cause legisla-tion to be introduced in the Congress which grants the consent of the Congress to this compact, and shall take action necessaty to organize l the Commission and implement the provisions of this compact.".34 "d) Other than the special circumstances for withdrawal in Section (f) of this Article, either party state may withdraw from this compact at any time by repealing the authorizing legislation, but no withdrawal may take effect until 5 years after the governor of the withdrawing state gives notice in writing of the withdrawal to the Commission and to the governor of the other state. Withdrawal does not affect any liability already incurred by or chargeable to a party state pric to the time of such withdrawal. Any host state which grants a disposal permit for waste generated in a withdrawing state shall void the permit when the withdrawal of that state is effective.
Effective date. "e) This compact becomes effective July 1,1984, or at any date subsequent to July 1,1984, upon enactment by the eligible states. However, Article IX(b) shall not take effect until the Congress has by law consented to this compact. The Congress shall have an opportunity to withdraw such consent every 5 years. Failure of the Congress 33Public Law 103-439 (108 Stat. 4613), November 2,1994, amended section "d". I M Public Law 103-439 (108 Stat. 4613), November 2,1994, amended section "c". l10/ l l
affirmatively to withdraw its consent has the effect of renewing consent for an additional 5 year period. The consent given to this compact by the Prohibition. Congress shall extend to the power of the region to ban the shipment of
- Exports. - waste into the region pursuant to Article Ill(i)(1) and to prohibit exportation of waste generated within the region under Article
!!!(i)(4).".35 "f) A state which has been designated a host state may withdraw from the compact. The option to withdraw must be exercised within 90 days of the date the governor of the designated state receives written notice Effective date. of the designation. Withdrawal becomes effective immediately after notice is given in the following manner. The governor of the withdrawing state shall give notice in writing to the Commission and to the governor of each party state. A state which withdraws from the compact under this Section forfeits any funds already paid pursuant to this compact. A designated host state which withdraws from the compact after 90 days and prior to fulfilling its obligations shall be assessed a sum the Commission determines to be necessary to cover the costs borne by the Commission and remaining party states as a result of that withdrawal.
ARTICLE IX-PENALTIES "a) Each party state shall prescribe and enforce penalties against any person who is not an official of another state for violation of any provi-sion of this cornpact.
"b) Unless authorized by the Commission pursuant to Article III(i),
or otherwise provided in this Compact, after January 1,1986 it is a violation of this Compact:
"1) for any person to deposit at a facility in the region waste from outside the region; "2) for any facility in the region to accept waste from outside the region; "3) for any person to export from the region waste that is generated within the region; "4) for any person to dispose of waste at a facility other than a regional facility; "5) for any person to deposit at a regional facility waste described in Article VII(a)(6); or l "6) for any regional facility to accept waste described in Article VII(a)(6).".36 Regulation. "c) It is a violation of this compact for any person to treat or store j waste at a facility other than a regional facility if such treatment or j storage is prohibited by the Commission under Article III(i)(6).".37
"(d) Each party state acknowledges that the receipt by a host state of waste packaged or transported in violation of applicable laws, rules or regulations may restilt in the imposition of sanctions by the host state 35Public Law 103-439 (108 Stat. 4613), November 2,1994, amended section "e".
36Public Law 103-439 (108 Stat. 4613), November 2.1994, amended section "b". 37Public Law 103-439 (108 Stat. 4614), November 2,1994, added new section "c", and redesignated the old sections "c" and "d" as sections "d* and "e", respectively. 143
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which may include suspension or revocation of the violator's right of access to the facility in the host state.
"e) Each party state has the right to seek legal recourse against any party state which acts in violation of this compact.
l ARTICLE X-SEVERABILITY AND CONSTRUCTION Provisions held "The provisions of this compact shall be severable and if any phrase, invalid. clause, sentence or provision of this compact is declared by a court of l competent jurisdiction to be contrary to the Constitution of any participating state or the United States, or if the applicability thereof to any government, agency, person or circumstance is held invalid, the validity of the remainder of this compact and the applicability thereof to any government, agency, person or circumstance shall not be affected thereby. If any provision of this compact shall be held contrary to the Constitution of any state participating therein, the compact shall remain in full force % effect a; to the state affected as to all severable matters.". 42 USC 2021d Sec. 225. MIDWEST INTERSTATE LOW-LEVEL RADIO-note. ACTIVE WASTE MANAGEMENT COMPACT. Iowa. The consent of Congress is hereby given to the States of Iowa, Indiana, Indiana. Michigan, Minnesota, Missouri, Ohio, and Wisconsin to enter into the Michigan. Midwest Interstate Compact on Low-Level Radioactive Waste Minnesota. Management. Such compact is as follows: Missouri. Ohio. Wisconsin. ARTICLE I-POLICY AND PURPOSE "There is created the Midwest Interstate Low-Level Radioactive Waste Compact. Research and "The states party to this compact recognize that the Congress of the development. United States, by enacting the Low Level Radioactive Waste Policy Act (42 U.S.C. 2021b to 2021d), has provided for and encouraged the { development of low-level radioactive waste compacts as a tool for j managing such waste. The party states acknowledge that the Congress I has declared that each state is responsible for providing for the availability of capacity either within or outside the state for the the disposal of low-level radioactive waste generated within its borders, l except for waste generated as a result of certain defense activities of the federal government or federal research and development activities. The party states also recognize that the management of low-level radioactive waste is handled most efficiently on a regional basis; and, that the safe and efficient management oflow-level radioactive waste generated within the region requires that sufficient capacity to manage j such waste be properly provided. !
"a. It is the policy of the party states to enter into a regional low-level l radioactive waste management compact for the purpose of: i "1. Providing the instrument and framework for a cooperative effort; ,
"2. Providing sufficient facilities for the proper management oflow- '
level radioactive waste generated in the region; liezhh. "3. Protecting the health and safety of the citizens of the region; s 144 j[ l
Safety. "4. Limiting the number of facilities required to effectively and efficiently manage low-level radioactive waste generated in the region; "5. Encouraging the reduction of the amounts oflow-level radioac-tive waste generated in the region; "6. Distributing the costs, benefits and obligations of successfullow-level radioactive waste management equitably among the party states, and among generators and other persons who use regional facilities to manage their waste; and "7. Ensuring the ecological and economical management oflow-level radioactive wastes. Regulations. "b. Implicit in the Congressional consent to this compact is the expectation by the Congress and the party states that the appropriate federal agencies will actively assist the Compact Commission and the individual party states to this compact by:
"1. Expeditious enforcement of federal rules, regulations and laws; "2. Imposition of sanctions against those found to be in violation of federal rules, regulations and laws; and "3. Timely inspection of their licensees to determine their com-pliance with these rules, regulations and laws.
ARTICLE II-DEFINITIONS "As used in this compact, unless the context clearly requires a differ-ent construction:
"a. ' Care' means the continued observation of a facility after closure for the purposes of detecting a need for maintenance, ensuring envi-ronmental safety, and determining compliance with applicable licen-sure and regulatory requirements and including the correction of prob-lems which are detected as a result of that observation.
"b. ' Commission' means the Midwest Interstate Low-Level Radioac-tive Waste Commission.
"c. ' Decommissioning' means the measures taken at the end of a facility's operating life to assure the continued protection of the public from any residual radioactivity or other potential hazards present at a facility.
"d. ' Disposal' means the isolation of waste from the biosphere in a permanent facility designed foi that purpose.
"e. ' Eligible state' means a state qualified to be a party state to this compact as provided in Article VIII.
"f. ' Facility' means a parcel of land or site, together with the struc-tures, equipment and improvements on or appurtenant to the land or site, which issued or is being developed for the treatment, storage or disposal of low-level radioactive waste.
"g. ' Generator' means any person who produces or possesses low-lev-el radioactive waste in the course of or incident to manufacturing, power generation, processing, medical diagnosis and treatment, re- 1 search, or other industrial or commercial activity and who, to the extent j required by law, is licensed by the U. S. Nuclear Regulatory Commis- J sion or a party state, to produce or possess such waste. Generator does not include a person who provides a scivice by arranging for the collec- i tion, transportation, treatment, storage or disposal of wastes generated ;
outside the region. I 145
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"h. ' Host state' means any state which is designated by the Commis-sion to host a regional facility.
"i. ' Low-Level radioactive waste' or ' waste' means radioactive waste not classified as high-level radioactive waste, transuranic waste, spent nuclear fuel or by-product material as defined in Section 11(c)(2) of the !
Atomic Energy Act of 1954 (42 U.S.C. 2014). i "j. ' Management plan' means the plan adopted by the Commission for the storage, transportation, treatment and disposal of waste within the region.
"k. ' Party state' means any eligible state which enacts the compact I into law. j "1. ' Person' means any individual, corporation, business enterprise or .
other legal entity either public or private and any legal successor, repre-sentative, agent or agency of that individual, corporation, business enterprise or legal entity.
"m. ' Region' means the area of the party states. I "n. ' Regional facility' means a facility which is located within the l region and which is established by a party state pursuant to designation !'
of that state as a host state by the Commission.
"o. ' Site' means the geographic location of a facility.
"p. ' State' means a state of the United States, the District of Colum-bia, the commonwealth of Puerto Rico, the Virgin Islands, or any other territorial possession of the United States.
"q. ' Storage' means the temporary holding of waste for treatment or disposal.
*r. ' Treatment' means any method, technique or process, including storage for radioactive decay, designed to change the physical, chemical or biological characteristics or composition of any waste in order to render the waste safer for transport or management, amenable to re-covery, convertible to another usable material, or reduced in volume.
"s. ' Waste management' means the storage, transportation, treat-ment, or disposal of waste.
ARTICLE III-TIIE COMMISSION Midwest. "a. There is hereby created the Midwest Interstate Low-Level Interstate Low- Radioactive Waste Commission. The Commission consists of one Level voting member from each party state. The Governor of each party state Radioactive shall notify the Commission in writing ofits member and any alternates. Waste An alternate may act on behalf of the member only in that member's Commission, absence. The method for selection and the expenses of each establishment. Commission member shall be the responsibility of the member's , respective state. Prohibition. "b. Each Commission member is entitled to one vote. No action of th.: Commission is binding unless a majority of the total membership j cast their vote in the affirmative. l "c. The Commission shall elect annually from among its members a l chairperson. The Commission shall adopt and publish, in convenient form, bylaws, and policies which are not inconsistent with this compact, l including procedures which substantially conform with the provisions l of federal law on administrative procedure compiled at 5 U.S.C. 500 to i 559 in regard to notice, conduct and recording of meetings; access by 146 s ; i
the public to records; provision ofinformation to the public; conduct of adjudicatory hearings; and issuance of decisions.
"d. The Commission shall meet at least once annually and shall also l meet upon the call of the chairperson or a Commission member.
l "e. All meetings of the commission shall be open to the public with reasonable advance notice. The Commission may, by majority vote, close a meeting to the public for the purpose of considering sensitive personnel or legal strategy matters. liowever, all Commission actions and decisions shall be made in open meetings and appropriately re-corded. j "f. The Commission may establish advisory committees for the pur-i pose of advising the Commission on any matters pertaining to waste l management. i Contracts. "g. The office of the Commission shall be in a party state. The Commission may appoint or contract for and compensate such limited taff necessary to carry out its duties and functions. The staff shall serve at the Comnussion's pleasure with the exception that staff hired as the result of securing federal funds shall be hired and governed under applicable federal statutes and regulations. In selecting any staff, the Commission shall assure that the staff has adequate experience and formal training to carry out the functions assigned to it by'the Commission.
"h. The Commission may:
Contracts. "1. Enter into an agreement with any person, state, or group of states for the right to use regional facilities for waste generated outside of the region and for the right to use facilities outside the region for waste generated within the region. The right of any person to use a regional facility for waste generated outside of the region requires an affirmative vote of a majority of the Commission, including the affirmative vote of the member of the host state in which any affected regional facility is located.
"2. Approve the disposal of waste generated within the region at a facility other than a regional facility.
Reports. "3. Appear as an intervenor or party in interest before any court oflaw or any federal, state or kical agency, board or commission in any matter related to waste management. In order to represent its views, the Commission may arrange for any expert testimony, reports, evidence or other participation.
"4. Review the emergency closure of a regional facility, deter-mine the appropriateness of that closure, and take whatever ac-tions are necessary to ensure that the interests of the region are protected.
"5. Take any action which is appropriate and necessary to per-form its duties and functions as provided in this compact.
"6. Suspend the privileges or revoke the membership of a party state by a two-thirds vote of the membership in accordance with Article VIII.
"i. The Commission shall:
"1. Receive and act on the petition of a nonparty state to become an eligible state.
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Report. "2. Submit an annual report to, and otherwise communicate with, the governors and the appropriate officers of the legislative bodies of the party states regarding the activities of the Commission.
"3. IIcar, negotiate, and, as necessary, resolve by final decision disputes which may arise between the party states regarding this compact.
"4. Adopt and amend, by a two-thirds vote of the membership, in accordance with the procedures and criteria developed pur-suant to Article IV, a regional management plan which designates host states for the establishment of needed regional facilities.
"5. Adopt an annual budget.
"j. Funding of the budget of the Commission shall be provided as follows:
"1. Each state, upon becoming a party state, shall pay $50,000 or
$1,000 per cubic meter of waste shipped from that state in 1980, whichever is lower, to the Commission which shall be used for the administrative costs of the Commission;
{
"2. Each state hosting a regional facility shall levy surcharges on i all users of the regional facility based upon its portion of the total volume and characteristics of wastes managed at that facility. The surcharges collected at all regional facilities shall: l
"(a) Be sufficient to cover the annual budget of the Com- )
mission; and J
"(b) Represent the financial commitments of all party )
states to the Commission; and i
"(c) Be paid to the Commission, provided, however, that i each host state collecting surcharges may retain a portion of the collection sufficient to cover its administrative costs of collection, and that the remainder be sufficient only to cover the approved annual budget of the Commission.
"k. The Commission shall keep accurate accounts of all receipts and Contracts. disbursements. The Commission shall contract with an independent Audit. certified public accountant to annually audit all receipts and Report. disbursements of Commission funds, and to submit an audit report to the Commission. The audit report shall be made a part of the annual report of the Commission required by this Article. ,
Gram: "1. The Commission may accept for any ofits purposes and functions and may utilize and dispose of any donations, grants of money, equipment, supplies materials and services from any state or the United States (or any subdivision or agency thereof), or interstate Report. agency, or from any institution, person, firm or corporation. The nature, amount and condition, if any, attendant upon any donation or grant accepted or received by the Commission together with the identity of the donor, grantor or lender, shall be detailed in the annual report of the Commission.
"m. The Commission is not liable for any costs associated with any of the following:
"1. The licensing and construction of any facility.
"2. The operation of any facility, 148 y) l l ,
"3. The stabilization and closure of any facility, "4. The care of any facility,
~"5. The extended institutional control, after care of any facility, or Transportation. "6. The transportation of waste to any facility.
"n.1. The Commission is a legal entity separate and distinct from the party states and is liable for its actions as a separate and distinct legal entity. Liabilities of the Commission are not liabilities of the party states. Members of the Commission are not personally liable for actions taken by them in their official capacity.
Prohibition. "2. Except as provided under sections m. and n.1. of this article, nothing in this compact alters liability for any act, omission, course of conduct or liability resulting from any causal or other relationships.
"o. Any person aggrieved by a final decision of the Commission may obtain judicial review of such decision in any court of competent juris-diction by filing in such court a petition for review within 60 days after the Commission's final decision.
ARTICLE IV-REGIONAL MANAGEMENT PLAN l
"The Commission shall adopt a regional management plan designed ;
to ensure the safe and efficient management of waste generated within I the region. In adopting a regional waste management plan the Com-mission shall: Health. "a. Adopt procedures for determining, consistent with considerations Safety, for public health and safety, the type and number of regional facilities which are presently necessary and which are projected to be necessary to manage waste generated within the region.
"b. Develop and consider policies promoting source reduction of waste generated within the region.
"c. Develop and adopt procedures and criteria for identifying a party state as a host state for a regional facility. In developing these critena, the Commission shall consider all the following:
. Health. "1. The health, safety, and welfare of the citizens of the party states.
Safety. "2. The existence of regional facilities within each party state. Transportation. "3. The minimization of waste transportation.
"4. The volumes and types of wastes generated within each party state.
"5. The environmental, economic, and ecological impacts on the air, land and water resources of the party states.
Reports. "d. Conduct such hearings, and obtain such reports, studies, evidence
- Studies. and testimony required by its approved procedures prior to identifying a party state as a host state for a needed regional facility.
"e. Prepare a draft management plan, including procedures, criteria and host states, including alternatives, which shall be made available in a convenient form to the public for comment. Upon the request of a party state, the Commission shall conduct a public hearing in that state prior to the adoption of the management plan. The management plan i shall include the Commission's response to public and party state com- l ment. i l
149 I L , /f7 1 l i l
ARTICLE V-RIGHTS AND OBLIGATIONS OF PARTY STATES "a. Each party state shall act in good faith in the performance of acts and courses of conduct which are intended to ensure the provision of facilities for regional availability and usage in a manner consistent with this compact.
"b. Each party state has the right to have all wastes generated within its borders managed at regional facilities subject to the provisions con-tained in Article IX.c. All party states have an equal right of access to any facility made available to the region by any agreement entered into by the Commission pursuant to Article III.
Exports. "e. Party states or generators may negotiate for the right of access to a facility outside the region and may export waste outside the region subject to Commission approval under Article III. Regulations. "d. To the extent permitted by federal law, each party state may Transportation. enforce any applicable federal and state laws, regulations and rules Prohibition. pertaining to the packaging and transportation of waste generated within or passing through its borders. Nothing in this section shall be construed to require a party state to enter into any agreement with the U. S. Nuclear Regulatory Commission.
"e. Each party state shall provide to the Commission any data and information the Commission requires to implement its responsibilities.
Each party state shall establish the capability to obtain any data and information required by the Commission. ARTICLE VI-DEVELOPMENT AND OPERATION OF FACILITIES "a. Any party state may volunteer to become a host state, and the Commission may designate that state as a host state upon a two-thirds vote of its members.
"b. If all regional facilities required by the regional management plan are not developed pursuant to section a., or upon notification that an existing regional facility will be closed, the Commission may designate a host state.
"c. Each party state designated as a host state is responsible for
' Prohibition. determining possible facility locations within its borders. The selection of a facility site shall not conflict with applicable federal and host state laws, regulations and rules not inconsistent with this compact and shall be based on factors including but not limited to geological, environmental and economic viability of possible facility locations.
"d. Any party state designated as a host state may request the Com-mission to relieve that state of the responsibility to serve as a host state.
The Commission may relieve a party state of this responsibility only upon a showing by the requesting party state that no feasible potential regional facility site of the type it is designated to host exists within its borders.
"e. After a state is designated a host state by the Commission, it is responsible for the timely development and operation of a regional facility.
"f. To the extent permitted by federal and state law, a host state shall regulate and license any facility within its borders and ensure the ex-tended care of that facility.
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"g. The Commission may designate a party state as a host state while a l'
regional facility is in operation if the Commission determines that an additional regional facility is or may be required to meet the needs of
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the region. The Commission shall make this designation following the j- procedures established under Article IV. l, 3 "h. Designation of a host state is for a period of 20 years or the life of the regional facility which is established under that designation, which-ever is longer. Upon request of a host state, the Commission may modify the period ofits des.ignation.
"i. A host state may establish a fee system for any regional facility within its borders. The fee system shall be reasonable and equitable.
This fee system shall provide the host state with sufficient revenue to cover any cost, including but no' t limited to the planning, siting, licen-sure, operation, decommissioning, extended care and long-term liabil-l' ity, associated with such facilities. This fee system may also inclede
' Audit. reasonable revenue beyond costs incurred for the host state, subject to approval by the Commission. A host state shall submit an annual financial audit of the operation of the regional facility to the Commission. The fee system may include incentives for source reduction and may be based on the hazard of the waste as well as the volume. )
Health. "j. A host state shall ensure that a regional facility located within its Safety. . borders which is permanently closed is properly decommissioned. A host state shall also provide for the care of a closed or decommissioned regional facility within its borders so that the public health and safety of the state and region are ensured.
"k. A host state intending to close a regional facility located within its j borders shall notify the Commission in writing ofits intention and the -{
reasons. Notification shall be given to the Commission at least five ' , l Prohibition. years prior to the intended date of closure. This section shall not ' l prevent an emergency closing of a regional facility by a host state to protect its air, land and water resources and the health and safety ofits citizens. liowever, a host state which has an emergency closing of a regional facility shall notify the Commission in writing within three working days ofits action and shall, within 30 working days ofits action, demonstrate justification for the closing.
"1. If a regional facility closes before an additional or new facility
! becomes operational, waste generated within the region may be ! shipped temporarily to any location agreed on by the Commission until - a regional facility is operational.
"m. A party state which is designated as a host state by the Commis-sion and foils to fulf;11 its obligations a a host state may have its prisi-leges under the con pact suspended or membership in the compact revoked by the Commission.
ARTICLE VII-OTHER LAWS AND REGULATIONS l Prohibitions. "a. Nothing in this compact:
"1. Abrogates or limits the applicability of any act of Congress or diminishes or otherwise impairs the jurisdiction of any federal agency expressly conferred thereon by the Congress; L
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"2. Prevents the enforcement of any other law of a party state which is not inconsistent with this compact; "3. Prohibits any storage or treatment oiwaste by the generator on its own premises; "4. Affects any administrative orjudicial proceedings pending on the effective date of this compact; "S. Alters the relations between and the respective internal responsi-bility of the government of a party state and its subdivisions; Research and "6. _Affects the generation, treatment, storage or disposal of waste development. generated by the atomic energy defense activities of the Secretary of the U. S. Department of Energy or successor agencies or federal research and development activities as described in section 31 of the Atomic Energy Act of 1954 (42 U.S.C. 2051); or Transportation. "7. Affects the rights and powers of any party state or its political Taxes. subdivisions 'to the extent not inconsistent with this compact, to ,
regulate and license any facility or the transportation of waste within its j borders or affects the rights and powers of any party state and its political subdivisions to tax or impose fees on the waste managed at any facility within its borders. Contracts. "8. Requires a party state to enter into any agreement with the U. S. Nuclear Regulatory Commission.
"9. Alters or limits liability of transporters of waste, owners and operators of sites for their acts, omissions, conduct or relationships in . <
accorda .c with applicable laws. i "b. Foi purposes of this compact, all state laws or parts of laws in l conflict with this compact are hereby superseded to the extent of the i conflict. Prohibition. "c. No law, rule or regulation of a party state or of any of its Regulations. subdivisions or instrumentalities may be applied in a manner which discriminates against the generators of another party state. l ARTICLE VIII-ELIGIBLE PARTIES, WITIIDRAWAL, ' REVOCATION, ENTRY INTO FORCE, TERMINATION Delaware. "a. Eligible parties to this compact are the states of Delaware, Illinois. Illinois, Indiana, Iowa, Kansas, Kentucky, Maryland, Michigan, Indiana. Minnesota, Missouri, Nebraska, North Dakota, Ohio, South Dakota, Iowa. Virginia and Wisconsin. Eligibility terminates on July 1,1984. Kansas "b. Any state not eligible for membershipin the compact maypetition Kentucky. the Commission for eligibility. The Commission may establish appro-Manland priate eligibility requirements. These requirements mayinclude but are , Michigan. not limited to, an eligibility fee or designation as a host state. A petition- 1 Minnesota. ing state becomes eligible for membership in the compact upon the j Missouri. approval of the Commission, including the affirmative vote of all host Nebraska. states. Any state becoming eligible upon the approval of the North Dakota. Commission becomes a member of the compact in the same manner as Ohio. any state eligible for membership at the time this compact enters into South Dakota. force. Virginia. "c. An eligible state becomes a party state when the state enacts the Wisconsin. compact into law and pays the membership fee required in Article ill j.1. 152
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"d. The Commission is formed upon the appointment of Commission members and the tender of the membership fee payable to the Commis-sion by three party states. The Governor of the first state to enact this compact shall convene the initial meeting of the Commission. The Commission shall cause legislation to be introduced in the Congress which grants the consent of the Congress to this compact, and shall take action necessary to organize the Commission and implement the provi-sion of this compact.
Prohibition. "e. Any party state may withdraw from this compact by repealing the authorizing legislation but no withdrawn! may take effect until five years after the governor of the withdrawing state gives notice in writing of the withdrawal to the Commission and to the governor of each party state. Withdrawal does not affect any liability already incurred by or chargeable to a party state prior to the time of such withdrawal. Any I host state which grants a disposal permit for waste generated in a withdrawing state shall void the permit when the withdrawal of that i state is effective. l "f. Any party state which fails to comply with the terms of this com-pact or fails to fulfill its obligations may have its privileges suspended or l its membership in the compact revoked by the Commission in accor-dance with Article III.h.6. Revocation takes effect one year from the date the affected party state receives written notice from the Commis-sion ofits action. Alllegal rights of the affected party state established under this compact cease upon the effective date of revocation but any legal obligations of that party state arising prior to revocation continue until they are fulfilled. The chairperson of the Commission shall trans-mit written notice of a revocation of a party states's membership in the compact immediately following the vote of the Commission to the governor of the affected party state, all other governors of the party states and the Congress of the United States. Effective date. "g. This compact becomes effective upon enactment by at least three eligible states and consent to this compact by Congress. The Congress shall have an opportunity to withdraw such consent every five years. l Failure of the Congress to affirmatively withdraw its consent has the effect of renewing consent for an additional five year period. The consent given to this compact by the Congress shall extend to any future admittance of new party states under sections b. and c. of this article and to the power of the Commission to ban the shipment of waste from the region pursuant to Article III. j "h. The withdrawal of a party state from this compact under section e. of this article or the suspension or revocation of a state's membership in this compact under section f. of this article does not affect the applica-bility of this compact to the remaining party states. I "i. A state which has been designated by the Commission to be a host state has 90 days from receipt by the Governor of written notice of designation to witiAraw from the compact without any right to receive refund of any funds already paid pursuant to this compact, and without any further payment. Witharawal becomes effective immediately upon j notice as provided in section e. of this article. A designated host state ! which withdraws from the compact after 90 days and prior to fulfilling 153 ,C f &,3 l l
l s its obligations shall be assessed a sum the Commission determines to be necessary to cover the costs borne by the Commission and remaimng j party states as a result of that withdrawal. i ARTICLE IX-PENALTIES l "a. Each party state shall prescribe and enfora: penalties agamst any i person who is not an official of another state for violation of any provi-sion of this compact.
"b. Unless otherwise authorized by the Commission pursuant to Ar-ticle III.h. after January 1,1986, it is a violation of this compact:
"1. For any person to deposit at a regional facility waste not generated within the region; "2. For any regional facility to accept waste not generated within the region; Exports. "3. For any person to export from the region waste which is generated within the region; or "4. For any person to dispose of waste at a facility other than a regional facility.
Regulations. "c. Each party state acknowledges that the receipt by a host state of waste packaged or transported in violation of applicable laws, rules and regulations may result in the imposition of sanctions by the host state which may include suspension or revocation of the violator's right of access to the facility in the host state. )
"d. Each party state has the right to seek legal recourse against any party state which acts in violation of this compact.
ARTICLE X-SEVERABILITY AND CONSTRUCTION Provisions held "The provisions of this compact shall be severable and if any phrase,- invalid. clause, sentence or provision of this compact is declared by a court of competent jurisdiction to be contrary to the Constitution of any participating state or of the United States or the applicability thereof to any government, agency, person or circumstance is held invalid, the - validity of the remainder of this compact and the applicability thercor to any government, agency, person or circumstance shall not be affected thereby. If any provision of this compact shall be held contrary to the Constitution of any state participating therein, the compact shall remain in full force and effect as to the state affected as to all severable matters.". 42 USC 2021d Sec.226. ROCKY MOUNTAIN LOW-LEVEL RADIOACTIVE note. WASTE COMPACT.
- Arizona.' In accordance with section 4(a)(2) of the Low-Level Radioactive Colorado. Waste Policy Act (42 U.S.C. 2021d(a)(2)), the consent of the Congress Nevada.- hereby is given to the States of Arizona, Colorado, Nevada, New New Mexico. Mexico, Utah, and Wyoming to enter into the Rocky Mountain Utah. Interstate Low-Level Radioactive Waste Compact. Such compact is Wyoming. . substantially as follows:
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" ROCKY MOUNTAIN LOW LEVEL RADIOACTIVE WASTE COMPACT ARTICLE l-FINDINGS AND PURPOSE Resetrch and ' "(a) The party states agree that each state is responsible for providing development. for the management oflow-level radioactive waste generated within its borders, except for waste generat:d as a result of defense activities of the federal government or federal research and development activities.
Moreover, the party states find that the United States Congress, by 42 USC 2021b enacting the ' Low-Level Radioactive Waste Policy Act'(P. L. %-573), note. has encouraged the use of interstate compacts to provide for the establishment and operation of facilities for regional management of low-level radioactive waste. Ile11th. "(b) lt is the purpose of the party states, by entering into an interstate Safety, compact, to establish the means for cooperative effort in managing low-level radioactive waste; to ensure the availability and economic viability of sufficient facilities for the pr >per and efficient management of low level radioactive waste genented within the region while preventing unnecessary and unecont.mic proliferation of such facilities; to encourage reduction of the volume oflow-level radioactive waste requiring disposal within the region; to restrict management within the region of low-level radioactive waste generated outside the region; to distribute the costs, benefits and obligations of low-level radioactive waste management equitably among the party states; and , by these means to promote the health, safety and welfare of the i residents within the region. ARTICLE Il-DEFINITIONS j '"As used in this compact, unless the context clearly indicates other.
- wise
- l l "(a) ' Board' means the Rocky Mountain low-level radioactive waste i
- board; l l "(b) ' Carrier' means a person who transports low-level waste; l
"(c)' Disposal' means the isolation of waste from the biosphere, with !
no miention of retrieval, such as by land burial;
- "(d)' Facility' means any property, equipment or structure used or to ;
l be used for the management oflow-level waste; !
"(e) ' Generate' means to produce low-level waste; l "(f) 'Ifost state' means a party state in which a regional facility is i k>cated or being developed; l
"(g)' Low-level waste
- or ' waste' means radioactive waste other than:
"(i) Waste generated as a result of defense activities of the feder-al government or federal research and development activities;
"(ii) liigh-level waste such as irradiated reactor fuel, liquid waste from reprocessing irradiated reactor fuel, or solids into which any such liquid waste has been ecmverted;
"(iii) Waste material containing transuranic elements with con-tamination levels greater than ten (10) nanocuries per gram of waste material;
"(iv) By-product material as defined in Section 11e.(2) of the
' Atomic Energy Act of 1954,' as amended November 8,1978; or 155
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"(v) Wastes from mining, milling, smelting or similar processing of ores and mineral-bearing material primarily for minerals other than radium.
"(h)' Management' means collection, consolidation, storage, treat-ment, incineration or disposal;
"(i)' Operator' means a person who operates a regional facility;
"(j) ' Person' means an individual, corporation, partnership or other legal entity, whether public or private;
"(k)' Region
- means the combined geographic area within the bound-aries of the party states; and
"(1)' Regional facility' means a facility within any party state which either:
"(i) has been approved as a regional facility by the board; or Nev:da. "(ii) is the low-level waste facility in existence on January 1, j 1982, at Beatty, Nevada. l ARTICLE III-RIGHTS, RESPONSIBILITIES, AND OBLIGATIONS Nevada. "(a) There shall be regional facilities sufficient to manage the low-level waste generated within the region. At least one (1) regional facility shall be open and operating in a party state other than Nevada within six (6) years after this compact becomes law in Nevada and in one l (1) other state.
11ealth. "(b) Low-level waste generated within the region shall be managed at , Safety. regional facilities without discrimination among the party states; { provided, however, that a host state may close a regional facility when i necessary for public health or safety.
"(c) Each party state which, according to reasonable projections made by the board, is expected to generate twenty percent (20%) or 1 more in cubic feet except as otherwise determined by the board of the l low-level waste generated within the region has an obligation to be- l come a host state in compliance with subsection (d) of this article. j
"(d) A host state, or a party state secking to fulfill its obligation to '
become a host state, shall:
"(i) Cause a regional facility to be developed on a timely basis as determined by the board, and secure the approval of such regional facility by the board as provided in Article IV before allowing site .
preparation or physical construction to begin; IIcahh. "(ii) Ensure byits own law, consistent with any applicable federal 1 Safety. law, the protection and preservation of public health and safety in ] the siting, design, development, licensure or other regulation, ' operation, closure, decommissioning and long term care of the regional facilities within the state;
"(iii) Subject to the approval of the board, ensure that charges for management oflow-level waste at the regional facilities within the state are reasonable; 1
"(iv) Solicit comments from each other party state and the board j regarding siting, design, development, licensure or other regula- !
tion, operation, closure, decommissioning and long-term care of ! the regional facilities within the state and respond in writing to j such comments; l 156
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Report. "(v) Submit an annual report to the board which contains projections of the anticipated future capacity and availability of the regional facilities within the state, together with other information required by the board; and Report. "(vi) Notify the board immediately if any exigency arises requiring the possible temporary or permanent closure of a regional facility within the state at a time earlier than was projected in the state's most recent annual report to the board. Nevada. "(e) Once a party state has served as a host state, it shall not be obligated to serve again until each other party state having an obligation under subsection (c) of this, article has fulfilled that obligation. Nevada, already being a host state, shall not be obligated to serve again as a host state until every other party state has so served.
"(f) Each party state:
Trrnsportation. "(i) Agrees to adopt and enforce procedures requiring low-level Regulations. waste shipments originating within its borders and destined for a regional facility to conform to packaging and transportation requirements and regulaticas. Such procedures shallinclude but are not limited to:
"(A) Periodic inspection of packaging and shipping practices;
"(B) Periodic inspections of waste containers while in the custody of carriers; and
"(C) Appropriate enforcement actions with respect to violations. 3 Transportation. "(ii) Agrees that after receiving notification from a host state that Regulations. a person in the party state has violated packaging, shipping or transportation requirements or regulations, it shall take appropriate action to casure that violations do not recur.
Appropriate action may include but is not limited to the requirement that a bond be posted by the violator to pay the cost ' of repackaging at the regional facility and the requirement that future shipments be inspected;
"(iii) May impose fees to recover the cost of the practices pro-vided for in paragraph (i) and (ii) of this subsection:
"(iv) Shall maintain an invento y of all generators within the state that mny na;e k)w-level waste to be managed at a regional j facility; and '
Regulations. "(v) May impose requirements or regulations mcre stringent than those required by this subsection. f j l ARTICLE IV-B'.',ARD APPROVAL OF REGIONAL FACILITIES
"(a) Within niney (90j days after being requested to do so by a party ,
str.te, the board shall approve or disapprove a regional facility to be l located within that state.
"(b) A regional facility shall be approved by the board if and only if the board determines that:
"(i) Thert will be, for the foreseeable future, sufficient demand to render operation of the proposed facility economically feasible without endangering the economic feasibility of operation of any ;
other regional facility; and ! 157
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"(ii) The facility will have sufficient capacity to serve the needs of the region for a reasonable period of years.
ARTICLE V-SURCIIARGES
"(a) The board shall impose a ' compact surcharge' per unit of waste received at any regional facility. The surcharge shaP be adequate to pay the costs and expenses of the board in the cond"ct of its authorized activities and may be increased or decreased as the board deems neces-sary.
"(b) A host state may impose a ' state surcharge' per unit of waste received at any regional facility within the state. The host state may fix and change the amount of the state surch .rge subject to approval by the board. Money received from the state ;urcharge may be used by the host state for any purpose authorized by its own law, including but not limited to msts of licensure and regulatory activities related to the regional facility, reserves for decommissioning and long-term care of the regional facility and local impact assistance.
ARTICLE VI-TIIE BOARD Rocky Mou .ain "(a) The ' Rocky Mountain low-level radioactive waste board', which Low-Leve' shall not be an agency or instrumentality of any party state, is created. R:dioactiva "(b) The board shall consist of one (1) member from each party state. Waste Board, The governor shall determine how and for what term its member shall est;blishment. be appointed, and how and for what term any alternate may be Prohibition appomted to perform that member's duties on the board in the member's ebsence.
"(c) Each party state is entitled to one (1) vote. A majority of the board constitutes a quorum. Unless otherwise provided in this com-pact, a majority of the total number of votes on the board is necessary for the board to take any action. ,
"(d) The board shall meet at least once a year and otherwise as its business requires. Meetings of the board may be held in any place within the region deemed by the board to be reasonably convenient for the attendance of persons required or entitled to attend and where adequate accommodations may be found. Reasonable public notice and opportunity for amment shall be given with respect to any meet-ing; provided, hov .ver, that nothing in this subsection shall preclude the board from ..eeting in executive session when seeking legal advice from its attorneys or when discussing the employment, discipline or termination of any ofits employees.
"(e) The board shall pay necessary travel and reasonable per diem expenses ofits members, alternates, and advisory committee members.
"(f) The board shall organize itself for the efficient conduct of its business. It shall adopt and publish rules consistent with this compact regarding its organization and procedures. In special circumstances the board, with unanimous consent of its members, may take actions by telephone; provided, however, that any action taken by telephone shall be confirmed in writing by each member within thirty (30) days. Any action taken by telephone shall be noted in the minutes of the board.
"(g) The board may use for its purposes the services of any personnel or other resources which may be offered by any party state.
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"(h) The board may establish its offices in space provided for that pur-pose by any of the party states, or, if space is not provided or is deemed madequate, in any space within the region selected by the board.
Contracts. "(i) Consistent with available funds, the board may contract for necessary personnel services to carry out its duties. Staff shall be employed without regard for the pe. onnel, civil service, or merit system laws of any of the party states and shall serve at the pleasure of the board. The board may provide appropriate employee benefit programs for its staff.
"(j) The board shall establish a fiscal year which conforms to the extent practicable to the fiscal years of the party states.
"(k) The board shall keep an accurate account of all receipts and Audit. disbursements. An annual audit of the books of the board shall be Report. conducted by an independent certified public accountant, and the audit report shall be made a part of the annual report of the board.
Report. "(1) The board shall prepare and include in the annual report a budget showing anticipated receipts and disbursements for the ensuing year.
"(m) Upon legislative enactment of this compact, each party state shall consider the need to appropriate seventy thousand dollars
($70,000.00) to the board to support its activities prior to the collection of sufficient funds through the compact surcharge imposed pursuant to subsection (a) of article V of this compact. Grants. "(n) The board may accept any donations, grants, equipment, supplies, materials or services, conditional or otherwise, from any Report. source. The nature, amount and condition, if any, attendant upon any donation, grant or other resouices accepted pursuant to this subsection, together with the identity of the donor or grantor, shall be detailed in the annual report of the board.
"(o)In addition to the powers and duties conferred upon the board pursuant to other provisions of this compact, the board:
Report. "(i) Shall submit communications to the governors and to the presiding officers of the legislatures of the party states regarding the activities of the board, including an annual report to bc
)
submitted by December 15; !
"(ii) May assemble and make available to the governments of the l party stetes and to the public through its members information l
l concerning low-level waste management needs, technologies and problems;
"(iii) Shall keep a current inventory of all generators within the region, based upon information provided by the party states;
- "(iv) Shall keep a current inventory of all regional facilities, l including information on the size, capacity, location, specific j wastes capable of being managed and the projected useful life of ,
l each regional facility; l l
"(v) May keep a current inventory of all low-level waste facilities in ;
I the region, based upon information provided by the party states; l l "(vi) Shall ascertain on a continuing basis the needs for regional j facilities and capacity to manage each of the various classes of low-level waste;
"(vii) May develop a regional low-level waste management plan; j 159 bi
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"(viii) May establish such advisory committees as it deems nec-essary for the purpose of advising the board on matters pertaining to the management oflow-level waste; Contracts. "(ix) May contract as it deems appropriate to accomplish its Prohibition. duties and effectuate its powers, subject to its projected available resources; but no contract made by the board shall bind any party state;
"(x) Shall make suggestions to appropriate officials of the party states to ensure that adequate emergency response programs are available for dealing with any exigency that might arise with re-spect to low-level waste transportation or management;
"(xi) Shall prepare contingency plans, with the cooperation and approval of the hose state, for management oflow-level waste in the event any regional facility should be closed; Records. "(xii) May examine all records of operators of regional facilities 1
pertaining to operating costs, profits or the assessment or j collection of any charge, fee or surcharge,
"(xiii) Shall have the power to sue; and i
"(xiv) When authorized by unanimous vote ofits members, may intervene as of right in any administrative or judicial proceeding l involving low-level waste.
l AR'l?C'.E VII-PROIIIBITED ACTS AND PENALTIES
"(a) It shall be unlawful for any son to dispose of h>w-level waste within the region, except at a regiot. <l teility; provided, however, that a generator who, prior to January 1,1982, had been disposing of only his own waste on his own property may, subject to applicable federal and i state law, continue to do so. I Exports. "(b) After January 1,1986, it shall be unlawful for any person to export low-level waste which was generated within the region outside the region unless authorized to do so by the board. In determining whether to grant such authorization, the factors to be considered by the board shall include, but not be limited to, the following:
"(i) The economic impact of the export of the waste on the regional facilities;
"(ii) The economic impact on the generator of refusing to permit the export of the waste; and
"(iii) The availability of a regional facility appropriate for the disposal of the waste involved.
"(c) After January 1,1986, it shall be unlawful for any person to manage any low-level waste within the region unless the waste was generated within the region or unless authorized to do so both by the board and by the state in which said management takes place. In deter-mining whether to grant such authorization, the factors to be consid-cred by the board shall include, but not be limited to, the following:
Imports. "(i) the impact of importing waste on the available capacity and projected life of the regional facilities;
"(ii) the economic impact on the regional facilities; and
"(iii) the availability of a regional facility appropriate for the disposal of the type of waste involved.
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"(d) It shall be unlawful for any person to manage at a regional facility any radioactive waste other than low-level waste as defined in this com-pact, unless authorized to do so both by the board and the host state. In determining whether to grant such authorization, the factors to be consid-cred by the board shall melude, but not be limited to, the following:
"(i) the impact of allowing such management on the available capacity and projected life of the regional facilities;
"(ii) the availability of a facility appropriate for the disposal of the type of waste involved;
"(iii) the existence of transuranic elements in the waste; and
"(iv) the economic impact on the regional facilities.
"(e) Any person who violates subsection (a) or (b) of this at ticle shall be liable to the board for a civil penalty not to exceed ten (10) times the charges whch would have been charged for disposal of the waste at a regional Zlity.
"(f) Any person who violates subsection (c) or (d) of this article shall be liable to the board for a civil penalty not to exceed ten (10) times the charges which were charged for management of the waste at a regional facility.
"(g) The civil penahics provided for in subsections (c) and (f) of this article may be enforced and collected in any court of general jurisdic-tion within the region where necessary jurisdiction is obtained by an appropriate proceeding commenced on behalf of the board by the attorney general of the party state wherein the proceeding is brought or by other counsel authorized by the board. In any such proceeding, the board, ifit prevails, is entitled to recover reasonable attorney's fees as part ofits costs.
"(h) Out of any civil penalty collected for a violation of subsection (a) or (b) of this article, the board shall pay to the appropriate operator a sum sufficient in thejudgment of the board to compensate the operator for any loss of revenue attributab!e to the violation. Such compensation may be subject to state and compact surcharges as if received in the normal course of the operator's business. The remainder of the civil penalty collected shall be allocated by the board. In making such alloca-tion, the board shall give first priority to the needs of the long-tmi care funds in the region.
"(i) Any civil penalty collected for a violation of subsection (c) or (d) of this article shall be allocated by the baard. In making such allocation, the board shall give first priority to the needs of the long-term care funds in the region.
"(j) Violations of subsectior. (a), (b) (c), or (d) of thic article may be er; joined by any court of general jurisdiction within the region where necessary jurisdiction is obtained in any appropriate proceeding com-menced on behalf of the board by the attorney general of the party state wherein the proceeding is brought or by other counsel authorized by the board. In any such proceeding, the board, if it prevails, is entitled to recover reasonable attorney's fees as part of its costs.
Prohibition. "(k) No state attorney general shall be seguired to bring aty proceeding under any subsection of this article, except upon his consent.
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ARTICLE VIII-ELIGIBILITY, ENTRY INTO EFFECT, CONGRES SIONAL CONSENT, WITH DRAWAL, EXCLUSION Arizona. "(a) Arizona, Colorado, Nevada, New Mexico, Utah, and Wyoming Collrado, are eligible to become parties to this compact. Any other state may be Nevada. made eligible by unanimous consent of the board. New Mexico. "(b) An eligible state may become a party state by legislative Utih. enactment of this compact or by executive order of its governor this Wyoming. adopting compact; provided, however, a state becoming a party by executive order shall cease to be a party state upon adjournment of the first general session ofitslegislature convened themafter, unless before such adjournment the legislature shall have enacted this compact. Effective date. " c) This compact shall take effect when it has been enacted by the leg (islatures of two (2) eligible states. Ilowever, subsections (b) and (c) of article VII shall not take effect until Congress has bylaw consented to this compr# Every five (5) years after such consent has been given, Congress may by law withdraw its consent. Nevada. "(d) A state which has become a party state by legislative enactmen, , may withdraw by legislation repealing i's enactment of this compact; l but not such repeal shall take effect until two (2) years after enactment of the repealing legislation. If the withdrawing state is a host state, any regional facility in that state shall remain available to receive low-level l waste generated within the region until five (5) years after the effective date of the withdrawal; provided, however, this provision shall not apply to the existing facihty in Beatty, Nevada.
"(e) A party state may be excluded from this compact by a two-thirds l (2/3) vote of the members representing the other party states, acting in l a meeting, on the ground that the state to be excluded has failed to carry l out its obligation under this compact. Such an exclusion may be termi-l nated upon a two-thirds (2/3) vote of the members acting in a meeting.
l ARTICLE IX-CONSTRUCTION AND SEVERABILITY ( "(a) The provisions of this compact shall be broadly construed to carry l out :he purposes of the compact. l Prohibition. "(b) Nothing in this compact shall be construed to affect any judicial proceedin;; pe.. ding on the effective date of this compact. l Provisions held "(c) If any part or application of this compact is held invalid, the , mvilid. remainder, or its application to other situations or perseas, shall not be l affected." 42 USC 2021d Sec. 227. NORTIIEAST INTERSTATE LOW-LEVEL RADIO-note. ACTIVE WASTE MANAGEMENT COMPACT. Connecticut. In accordance with section 4(a)(2) of the Low-Level Radioactive New Jersey. Waste Policy Act, the consent of the Congress is hereby given to the Delaware. States of Connecticut, New Jersey, Delaware, and Maryland to enter Maryland. into the Northeast Interstate Low-Level Radioactive Waste 42 USC 2021d. Management Compact. Such compact is substantially as follows: ARTICLE I-POLICY AND PURPOSE "There is hereby created the Northeast Interstate Low-Level Research and Radioactive Waste Management Compact. The party states recognize development. that the Congress has declared that each state is responsible for providing for the availability of capacity, either within or outside its
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a borders, for disposal oflow-level radioactive waste generated within its borders, except for waste generated as a result of atomic energy defense 42 USC 2021d activities of the federal government, as defined in the Low-Level note. Radioactive Waste Policy Act (P. L 96-573, 'The Act'), or federal l research and development activities. They also recognize that the i management oflow-level radioactive waste is handled most efficiently on a regional basis. The party states further recognize that the Congress of the United States, by enacting the Act has provided for and encouraged the development of regional low-level radioactive waste compacts to manage such waste. The party states recognize that the long-term, safe and efficient management of low-level radioactive waste generated within the region requires that sufficient capacity to manage such waste be properly provided. I lietith. "In order to promote the health and safety of the region, it is the policy { Safety. of the party states to: enter into a regional low-level radioactive waste management compact as a means of facilitating an interstate cooperative effort, provide for proper transportation oflow-level waste generated in the region, mininuze the number of facilities required to effectively and efficiently manage low-level radioactive waste generated in the region, encourage the reduction of the amounts of iow-level waste generated in the region, distribute the costs, benefits, and obligations of proper low-level radioactive waste management equitably among the party states, and ensure the environmentally sound and economical management oflow-level radioactive waste. J
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ARTICLE II-DEFINITIONS "As used in this compact, unless the context clearly requires a differ-ent construction:
"a. ' commission' means the Northeast Interstate Low-Level Radio-active Waste Commission established pursuant to Article IV of this compact; "b. ' custodial agency' means the agency the government designated to act on behalf of the government owner of the regional facility; "c. ' disposal' means the isolation oflow-level radioactive waste from the biosphere inhabited by man and his food chains; "d. ' facility' means a parcel of land, together with the structures, equipment and improvements thereon or appurtenant thereto, which is used or is being developed for the treatment, storage or disposal of low-level waste, but shall not include on-site treatment or storage by a generator; "e. ' generator' means a person who produces or processes low-level waste, but does not include persons who only provide a service by arranging for the collection, transportation, treatment, storage or dis-posal of wastes generated outside the region; "f. 'high-level waste' means 1) the highly radioactive material result- 1 ing from the reprocessing of spent nuclear fuel, including liquid waste produced directly in reprocessing and any solid material derived from such liquid waste that contains fission products in sufficient concentra-tion; and 2) any other highly radioactive material determined by the i federal government as requiring permanent isolation; i
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*g. ' host state' means a party state in which a regicaal facility is located or being developed; "h. ' institutional control' means the continued observation, monitor-ing, and care of the regional facility following transfer of control of the regional facility from the operator to the custodial agency; "i. 'k)w-level waste' means radioactive waste that 1)is neither high-level waste nor transuranic waste, nor spent nuclear fuel, nor by-prod-uct material as defined in section 11e (2) of the Atomic Energy Act of 1954 as amended; and 2) is classified by the federal government as low-level waste, consistent with existing law; but does not include waste generated as a result of atomic energy defense activities of the federal government, as defined in P. L. 96 573, or federal research and develop- {;
ruent activities; {
"j. ' party state' means any state which is a signatory party in good )
standing to this compact; "k. ' person' means an individual, corporation, business enterprise or other legal entity, either public or private and their legal successors; "1. ' post-closure observation and maintenance' means the continued monitoring of a closed regional facility to ensure the integrity and environmental safety of the site through compliance with applicable licensing and regulatory requirements; prevention of unwarranted in-trusion, and correction of problems; "m. ' region' means the entire area of the party states; i "n. ' regional facility' means a facility as defined in this section which has been designated or accepted by the Commission; "o. ' state' means a state of the United States, the District of Colum- . bia, the Commonwealth of Puerto Rico, the Virgin Islands or any other l' territory subject to the laws of the United States; "p. ' storage' means the holding of waste for treatment or disposal; "q. ' transuranic waste' means waste material containing radionu-clides with an atomic number greater than 92 which are excluded from shallow land burial by the federal government; "r. ' treatment' means any method, technique or process, including storage for decay, designed to change the physical, chemical or biologi-can characteristics or composition of any waste in order to render such waste safer for transport or disposal, amenable for recovery, convert-ible to another usable material or reduced in volume; "s. ' waste' means low-level radioactive waste as defined in this sec-tion; "t. ' waste management' means the storage, treatment, transporta-tion, and disposal, where applicable, of waste. ARTICLE III-RIGIITS AND OBLIGATIONS "a. There shall be provided within the region one or more regional facilities which, together with such other facilities as may be made available to the region, will provide sufficient capacity to manage all wastes generated within the region.
"1. Regional facilities shall be entitled to waste generated within the Prohibition. region, unless otherwise provided by the Commission. To the extent
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- Expc,rts. regional facilities are available, no waste generated within a party state shall be exported to facilities outside the region unless such exportation is approved by tb- F ~"nission and the affected host state (s).
Prohibition. "2. AfterJanc s MM,i ao person shall deposit at a regional facility waste generated , ude Ae region, and further, no regional facility shall accept waste gea.m.aed outside the region, unless approved by the Commission and the affected host state (s).
"b. The rights, responsibilities and obligations of each party state to this compact are as follows: !
"1. Each party state shall have the right to have all wastes generated I within its borders managed at regional facilities, and shall have the right of access to facilities made available to the region through agreements entered into by the Commission pursuant to Article IV(i)(11). The right of access by a generator within a party state to any regional facility is limited by the generator's adherence to applicable state and federal laws and regulations and the provisions of this compact.
Tensportation. "2. To the extent not prohibited by federal law, each party state shall Regulations. institute procedures which will require shipments of low level waste generated within or passing through its borders to be consistent with applicable fcderal packaging and transportation regulations and applicable host state packaging and transportation regulations for management of low-level waste; provided, however, that these practices shall not impose unreasonable, burdensome impediments to the management of low-level waste in the region. Upon notification by a host state that a generator, shipper, or carrier withm the party state is in violation of applicable packagmg or transportation regulations, the party state shall take appropriate action to ensure that such violations do not recur.
"3. Each party state may impose reasonable fees upon generators, shippers, or carriers to recover the cost ofinspections and other practic-es under this compact.
"4. Each party state shall encourage generators within its borders to minimize the volumes of waste requiring disposal.
"S. Each party state has the right to rely on the good faith perfor-mance by every other party state of acts which ensure the provision of facilities for regional availability and their use in a manner consistent with this compact.
"6 Each party state shall provide to the Commission any data and information necessary for the implementation of the Commission's responsibilities, and shall establish the capability to obtain any data and ,
information necessary to meet its obligation as herein defined.
"7. Each party state shall have the capability to host a regional facility in a timely manner and to ensure the post-closure observation and maintenance, and institutional control of any regional facility within its borders.
Prohibition. "8. No non-host party state shall be liable for any injury to persons or Transportation. property resulting from the operation of a regional facility or the transportation of waste to a regional facility; however, if the host state j itself is the operator of the regional facility, its liability shall be that of ; I any private operator. 1 l 165 17)s ( . l l i l ! I i. l i n._
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"c. The rights, responsibilities and obligations of a host state are as follows:
"1. To the extent not prohibited by federal law, a host state shall ensure the timely development and the safe operation, closure, post-closure observation and maintenance, and institutional control of any regional facility within its borders. ;
"2. In accordance with procedures establish;d in Articles V and IX, ;
the host state shall provide for the establishment of a reasonable struc- ) ture of fees sufficient to cover all costs related to the development, ! operation, closure, post-closure observation and maintenance, and in- I stitutional control of a regional facility, it may also establish surcharges Prohibition. to cover the regulatory costs, incentives, and compensation associated with a regional facility; provided, however, that without the express , approval of the Commission, no distinction in fees or surcharges shall be made between persons of the several states party to this compact. Regulations. "3. To the extent not prohibited by federal law, a host state may Prohibition. establish requirements and regulations pertaining to the management of waste at a regional facility; provided, however, that such requirements shall not impose unreasonable impediments to the i management oflow-level waste within the region. Nor may a host state or a subdivision impose such restrictive requirements on the siting or 4 operation of a regional facility that, along or as a whole, they serve as l unreasonable barriers or prohibitions to the siting or operation of such j a facility. ! Report. "4. Each host state shall submit to the Commission annually a report I concerning each operating regional facility within its borders. The report Audit. shall contain projections of the anticipated future capacity and availability of the regional facility, a financial audit of its operations, and other information as may be required by the Commission; and in ; the case of regional facilities in institutional control or otherwise no ! longer operating, the host states shall furnish such information as may be required on the facilities still subject to their jurisdiction. Report. "5. A host state shall notify the Commission immediately if any exigency arises which requires the permanent, temporary, or possible closure of any regional facility located therein at a time earlier than projected in its most recent annual report to the Commission. The l Studies. Commission may conduct studies, hold hearings, or take such other ! measures to ensure that the actions taken are necessary and compatible with the obligations of the host state under this compact. ARTICLE IV-TIIE COMMISSION j l Northeast "a. There is hereby created the Northeast Interstate Low-Level Interstate Low- Radioactive Waste Commission. The Commission shall consist of one Level member from each party state to be appointed by the Governor accx>rding Radio ctive to procedures of each party state, except that a host state shall have two Waste members during the period that it has an operating regional Governor Commission, shall notify the Commission in writing of the identity of the establishment. facility. The member and one alternate, who may act on behalf of the ! member only in the member's absence.
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Prohibition. "b. Each Commission member shall be entitled to one vote. No action of the Commission shall be binding unless a majority of the total membership cast their vote in the affirmative. Regulations. "c. The Commission shall elect annually from among its members a presiding officer and such other officers as it deems appropriate. The Commission shall adopt and publish, in convenient form, such rules and regulations as are necessary for due process in the performance ofits duties and powers under this compact.
"d. The Commission shall meet at least once a year and shall also meet upon the call of the presiding officer, or upon the call of a party state member.
"c. All meetings of the Commission shall be open to the public with reasonable prior public notice. The Commission may, by majority vote, close a meeting to the public for the purpose of considering sensitive personnel or legal matters. All Commission actions and decisions shall be made in open meetings and appropriately recorded. A roll call vote may be required upon request of any party state or the presiding officer.
"f. The Commission may establish such committees as it deems nec-essary.
Contracts. "g. The commission may appoint, contract for, and compensate such limited staff as it determines necessary to carry out its duties and functions. The staff shall serve at the Commission's pleasure irrespective of the civil service, personnel or other merit laws of any of the party states or the federal government and shall be compensated from funds of the Commission.
"h. The Commission shall adopt an annual budget for its operations.
"i. The Commission shall have the following duties and powers:
"1. The Commission shall receive and act on the application of a non-party state to become an eligible state in accordance with Article Vil(e).
"2. The Commission shall receive and act on the application of an eligible state to become a party state in accordance with Article VII(b).
Report. "3. The commission shall submit an annual report to and otherwise communicate with the governors and the presiding officer of each body of the legislature of the party states regarding the activities of the Commission.
"4. Upon request of party states, the Commission shall meditate disputes which arise between the party states regarding this com- l pact.
"5. The Commission shall develop, adopt and maintain a region-al management plan to ensure safe and effective management of waste within the region, pursuant to Article V.
Report. "6. The Commission may conduct such legislative or Studies, adjudicatory hearings, and require such reports, studies, evidence and testimony as are necessary to perform its duties and functions. Regulation. "7. The Commission shall establish by regulation, after public notice and opportunity for comment, such procedural regulations as deemed necessary to ensure efficient operation, the orderly 167
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[ gathering ofinformation, and the protection of the rights of due process of affected persons.
"8. In accordance with the procedures and criteria set forth in
[ Article V, the Commission shall accept a host state's proposed j facility as a regional facility. l "9. In accordance with the procedures and criteria set forth in l Article V, the Commission may designate, by a two-thirds vote, l Prohibition. host states for the establishment of needed regional facilities. The l Commission shall not exercise this authority unless the party states have failed to voluntarily pursue the development of such facilities.
"10. The commission may require of and obtain from party states, eligible states seeking to become party states, and non-party states seeking to become eligible states, data and informa-tion necessary for the implementation of Commission responsibi-i lities.
Contracts. "11. The Commission may enter into agreements with any i Imports. person, state, regional body, or group of states for the importation of waste into the region and for the right of access to facilities outside the region for waste generated within the region. Such authorization to import re. quires a two-thirds majority vote of the i' Commission, including an affirmative vote of the representatives of the host state in which any affected regional facility is located. This shall be done only after the Commission and the host state have made an assessment of the affected facilities' capability to handle such wastes and of relevant environmental, economic, and public health factors, as defined by the appropriate regulatory authorities. Exports. "12. The Commission may, upon petition, grant an individual generator or group of generators in the region the right to export wastes to a facility located outside the ret, ion. Such grant of right shall be for a period of time and amount of waste and on such other l terms and conditions as determined by the Commission and l approved by the affected host states. l "13. The Commission may appear as an intervenor or party in interest before any court of law, federal, state or local agency, t board or commission that hasjurisdiction over the management of Report. wastes. Such authority to intervene or otherwise appear shall be exercised only after a two-thirds vote of the Commission. In order to represent its views, the Commission may arrange for any expert testimony, reports, evidence or other participation as it deems necessary.
"14. The Commission may impose sanctions, including but not limited to, fines, suspension of privileges and revocation of the membership of a party state in accordance with Article VII. The Commission shall have the authority to revoke, in accordance with Article VII(g), the membership of a party state that creates unrea-sonable barriers to the siting of a needed regional facility or re-
! fuses to accept host state responsibilities upon designation by the Commission. 168
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Regulation. "15. The Commission shall establish by regulation criteria for j and shall review the fee and surcharge systems in accordance with i Articles V and IX. l "16. The Commission shall review the capability of party states
- to ensure the siting, operation, post-closure observation and I maintenance, and institutional control of any facility within its l borders.
l "17. The Commission shall review the compact legislation every l five years prior to federal congressional review 1,rovided for in the l Act, and may recommend legislative action. ) Regulations. "18. The Commission has the authority to develop and provide to party states such rules, regulations and guidelines as it deems appropriate for the efficient, consistent, fair and reasonable implementation of the compact.
"j. There is hereby established a Commission operating account. The l Commission is authorized to expend monies from such account for the expenses of any staff and consultants designated under section (g) of ;
this Article and for official Commission business. Financial support of I the Commission account shall be provided as follows:
"1. Each eligible state, upon becoming a party state, shall pay
$70,000 to the Commission, which shall be used for administrative cost of the Commission.
"2. The commission shall impose a ' commission surcharge' per l unit of waste received at any regional facility asprovided in Article l V. ;
"3. Until such time as at least one regional facility is in operation j and accepting waste for management, or to the extent that reve- !
nues under paragraphs (1) and (2) of this section are unavailable ! or insufficient to cover the approved annual budget of the Com-mission, each party state shall pay an apportioned amount of the l difference between the funds available and the total budget in accordance with the following formula:
"(a) 20 percent in equal shares;
"(b) 30 percent in the proportion that the population of the party state bears to the total population of all party states, l according to the most recent U. S. census; 4
"(c) 50 percent in the proportion that the waste generated i l for management in each party state bears to the total waste l i generated for management in the region for the most recent '
l calendar year in which reliable data are available, as deter-L mined by the Commission.
- "k. The Commission shall keep accurate accounts of all receipts and Audit. disbursements. An independent certified public accountant shall l Report. annually audit all receipts and disbursements of Commission accounts l and funds and submit an audit report to the Commission. Such audit l report shall be made a part of the annual report of the Commission required by Article IV(i)(3).
- Loons. "1. The Commission may accept, receive, utilize and dispose for any of I
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Grants. this purposes and functions any and all donations, loans, grants of money, equipment, supplies, materials and services (conditional or otherwise) from any state or the United States or any subdivision or Report. agency thereof, or interstate agency, or from any institution, person, firm or corporation. The nature, amount and condition, if any, attendant upon any donation, loans, or grant accepted pursuant to this paragraph, together with the identity of the donor, grantor, or lender, shall be detailed in the annual report of the Commission. The Commission shall by rule establish guidelines for the acceptance of donations, loans, grants of money, equipment, supplies, materials and services. This shall provide that no donor, grantor or lender may derive unfair or unreasonable advantage in any proceeding before the Commission. Prohibitions. "m. The Commission herein established is a body corporate and politic, separate and distinct from the party states and shall be so liable for its own actions. Liabilities of the Commission shall not be deemed liabilities of the party states, nor shall members of the Commission be personally lb ble for action taken by them in their official capacity.
"1. T1e Commission shall not be responsible for any costs or expenses associated with the creation, operation, closure, post-closure observation and maintenance, and institutional control of any regional facility, or any associated regulatory activities of the party states.
"2. Except as otherwise provided herein, this compact shall not be construed to alter the incidence of liability of any kind for any act, omission, or course of conduct. Generators, shippers and carriers of wastes, and owners and operators of sites shall be liable for their acts, omissions, conduct, or relationships in accordance with all laws relating thereto.
Courts, U.S. "n. The United States district courts in the District of Columbia shall District of have original jurisdiction of all actions brought by or against the Columbia. Commission. Any such action initiated in a state court shall be removed to the designated United States district court in the manner provided by Act of June 25,1948 as amended (28 U. S. C.14446). This section shall Prohibition. not alter the jurisdiction of the United States Court of Appeals for the District of Columbia Circuit to review the final administrative decisions of the Commission as set forth in the paragraph below. Courts, U.S. "o. The United States Court of Appeals for the District of Columbia Circuit shall have jurisdiction to review the final administrative decisions of the Commission.
"1. Any person aggrieved by a final administrative decision may obtain review of the decision by filing a petition for review within 60 days after the Commission's final decision.
"2. In the event that review is sought of the Commission's decision relative to the designation of a host state, the Court of Appeals shall accord the matter an expedited review, and, if the Court does not rule within 90 days after a petition for review has been filed, the Commission's decision shall be deemed to be af-firmed.
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Prohibition. "3. The courts shall not substitute theirjudgement for that of the Commission as to the decisions of policy or weight of the evidence on questions of fact. The Court may affirm the decision of the Commission or remand the case for further proceedings if it finds that the petitioners has been aggrieved because the_ finding, inferences, conclusions or decisions of the Commission are:
"a. in violation of the Constitution of the United States; "b. in excess of the authority granted to the Commission by this compact; "c. made upon unlawful procedure to the detriment of any .
person; . i "d. arbitrary or capricious or characterized by abuse of j discretion or clearly unwarranted exercise of discretion. Regulations. "4. The Commission shall be deemed to be acting in a legislative capacity except in those instances where it decides, pursuant to its rules and regulations, that its determinations are adjudicatory in 1 nature. ' ARTICLE V-HOST STATE SELECTION AND DEVELOPMENT , AND OPERATION OF REGIONAL FACILITIES "a. The Commission shall develop, adopt, maintain, and implement a regional management plan to ensure the safe and efficient manage-ment of waste within the region. The plan shall include the following:
"1. a current inventory of all generators within the region; "2. a current inventory of all facilities within the region, includ-ing information on the size, capacity, location, specific waste being handled, and projected useful life of each facility; IIealth. "3. consistent with considerations for public health and safety as ;
Safety. defined by appropriate regulatory authorities, a determination of i the type and number of regional facilities which are presently necessary and projected to be necessary to manage waste generated within the region; "4. reference guidelines, as defined by appropriate regulatory authorities, for the party states for establishing the criteria and l procedures to evaluate locations for regional facilities.
- o. The Commission shall develop and adopt criteria and procedures for reviewing a party state which volunteers to host a regional facility within its borders. These criteria shall be developed with public notice and shallinclude the following factors: the capability of the volunteer-ing party state to host a regional facility in a timely manner and to ensure its post-closure observation and maintenance, and institutional control; and the anticipated economic feasibility of the proposed facili-ty.
"1. Any party state may volunteer to host a regional facility within its borders. The Commission may set terms and conditions to encourage a party state to volunteer to be the first host state. ,
"2. Consistent with the review required above, the Commission i shall, upon a two-thirds affirmative vote, designate a volunteering i party state to serve as a host state. ;
"c. If all regional facilities required by the regional management plan !
are not developed pursuant to section (b), or upon notification that an i 171 l N/ l 5
existing facility will be closed, or upon determination that an additional regional facility is or may be required, the Commission shall convene to consider designation of a host state.
"1. The Commission shall develop and adopt procedures for designating a party state to be a host state for a regional facility.
The Commission shall base its decision on the following criteria: IIcalth. "a. the health, safety and welfare of citizens of the party Safety, states as defined by the appropriate regulatory authorities; "b. the environmental, economic, and social effects of a regional facility on the party states; The Commission shall also base its decision on the following criteria:
"c. economic benefits and costs; "d. the volumes and types of waste generated within each party state; Transportation. "e. the minimization of waste transportation; and "f. the existence of regional facilities within the party states.
"2. Following its established criteria and procedures, the Com-mission shall designate by a two-thirds affirmative vote a party state to serve as a host state. A current host state shall have the right of first refusal for a succeeding regional facility.
Studies. "3. The Commission shall conduct such hearings and studies, and take such evidence and testimony as is required by its approved procedures prior to designating a host state. Public hearings shall be held upon request in each candidate host state prior to final evaluation and selection.
"4. A party state which has been designated as a host state by the Commission and which fails to fulfill its obligations as a host state may have its privileges under the compact suspended or member-ship in the compact revoked by the Commission.
"d. Each host state shall be responsible for the timely identification of a site and the time development and operation of a regional facility.
The proposed facility shall meet geologic, environmental and economic criteria which shall not conflict with applicable federal and host state laws and regulations.
"1. To the extent not prohibited by federal law, a host state may regulate and license any facility within its borders.
"2. To the extent not prohibited by federal law, a host state shall ensure the safe operation, closure, post-closure observation and maintenance, and institutional control of a facility, including ade-quate financial assurances by the operator and adequate Report. emergency response procedures. It shall periodically review and report to the Commission on the status of the post-closure and institutional control funds and the remaining useful life of the facility.
"3. A host state shall solicit comments from each party state and the Commission regarding the siting, operation, financial assur-ances, closure, post-closure observation and maintenance, and institutional control of a regional facility.
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"e. A host state intending to close a regional facility within its borders shall notify the Commission in writing of its intention and reasons therefore.
"1. Except as otherwise provided, such notification shall be given to the Commission at least five years prior to the scheduled date of closure.
Health. "2. A host state may ck>se a regional facility within its borders in Safety. the event of an emergency ofif a condition exists which constitutes a substantial threat to public health and safety. A host state shall notify the Commission in writing within three days of its action and shall within 30 working days, showjustification for the closing.
"3. In the event that a regional facility closes before an addition-al or new facility becomes operational, the Commission shall make interim arrangements for the storage or disposal of waste gener-ated within the region until such time that a new regional facility is operational.
"f. Fees and surcharges shall be imposed equitably upon all users of a regional facility, based upon criteria established by the Commission.
Regulatiou. "1. A host state shall, according to its lawful administratin procedures, approve fee schedules to be charged to all users of the regional facility within its borders. Except as provided herein, such fee schedules shall be established by the operator of a regional facility, under applicable state regulations, and shall be reasonable and sufficient to cover all costs related to the development, operation, closure, post-closure observation and maintenance, institutional control of the regional facility. The host state shall determine a schedule for contributions to the post-closure observation and maintenance, and institutional control funds. Such fee schedules shall not be approved unless the Commission has been given reasonable opportunity to review and make recommendations on the proposed fee schedules. Regulation. "2. A host state may, according to its lawful administrative procedures impose a state surcharge per unit of waste received at any regional facility within its borders. The state surcharge shall be in addition to the fees charged for waste management. The surcharge shall be sufficient to cover all reasonable costs associated with administration and regulation of the facility. The surcharge shall not be established unless the Commission has been provided reasonable opportunity to review and make recommendations on the proposed state surcharge.
"3. The Commission shallimpose a com'dssion surcharge per unit of waste received at any regional facih; The total monies wilected shall be adequate to pay the cost oud expenses of the Con? mission and shall be remitted to the Commission on a timely basis as determined by the Commission. The surcharge may be increased or decreased as the Commission deems necessary.
"4. Nothing herein shall be construed to limit the ability of the host state, or the political subdivision in which the regional f .cility is situated, to impose surcharges for purposes including, but not limited to, host community compensation and host community
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development incentives. Such surcharges shall be reasonable and shall not be imposed unless the Commission has been provided reasonable opportunity to review and make recommendations on the proposed surcharge. Such surcharge may be recovered through the approved fee and surcharge schedules provided for in this section. ARTICLE VI--0TIIER LAWS AND REGULATIONS Prohibition. "a. Nothing in this compact shall be construed to abrogate or limit the regulatory responsibility or authority of the U.S. Nuclear Regulatory Commission or of an Agreement State under Section 274 of the Ato.nic 42 USC 2021 Energy Act of 1954, as amended.
"b. The laws or portions of those laws of a party state that are not inconsistent with this compact remain in full force.
Prohibition. "c. Nothing in this compact shall make unlawful the continued development and operation of any facility already licensed for development or operation on the date this compact becomes effective. Prohibition. "d. Nojudicial or administrative proceeding pending on the effective date of the compact shall be affected by the compact. Prohibition. "e. Except as provided for in Article III(b)(2) and (c)(3), this compact shall not affect the relations between and the respective internal responsibilities of the government of a party state act, P.s subdivisions. Research and "f. The generation, treatment, storage, transportation, or disposal of development. waste generated by the atomic energy defense activities of the federal 42 USC 2021b government, as defined in P.L 96-573, or federal research and note. development activities are not affected by this compm. Taxes. "g. To the extent that the rights and powers of ar,y state or political Tr nsportation. subdivision to license and regulate any facility within its borders and to impose taxes, fees, and surcharges on the waste managed at that regional facility do not operate as an unreasonable impediment to the transportation, treatment or disposal of waste, such rights and powers shall not be diminished by this compact. Prohibition. "h. No party state shall enact any law or regulation or attempt to enforce any measure which is inconsistent with this compact. Such measures m ty provide the basis for the Commission to suspend or terminate a party state's membership and privileges under this compact.
"i. All laws and regulations, or parts thereof of any party state or subdivision or instrumentality thereof which are inconsistent with this compact are hereby repealed and declared null and void. Any legal right, obligation, violation or penalty arising under such laws or regula-tions prior to the enactment of this compact, or not in conflict with it, shall not be affected.
Prohibition. "j. Subject to Article III(c)(2), no law or regulation of a party state or subdivision or instrumentality thereof may be applied so as to restrict or make more costly or inconvenient access to any regional facility by the generators of another party state than for the generators of the state where the facility is situated. Prohibition. "k. No law, ordinance, or regulation of any party state or any subdivision or instrumentality thereof shall prohibit, suspend, or unreasonably delay, limit or restrict the operation of a siting or e 174 i i l i L
licensing agency in the designation, siting, or licensing of a regional facility. Any such provision in existence at the time ofratification of this compact is hereby repealed. ARTICLE VII-ELIGIBLE PARTIES, WITIIDRAWAL, REVOCATION, ENTRY INTO FORCE, TERMINATION Connecticut. "a. The initially eligible parties to this compact shall be the eleven Delaware. states of Connecticut, Delaware, Maine, Maryland, Massachusetts, M nne. New If ampshire, New Jersey, New York, Pennsylvania, Rhode Island, Maryland. and Vermont. Initial eligibility will expire June 30,1984. Mrssachusetts. "b. Each state eligible to become a party state to this compact shall be New llampshire. declared a party state upon enactment of this compact into law by the New Jersey. state, repeal of all statutes or statutory provisions that pose New York unreasonable impediments to the capability of the state to host a Pennsylvania. regional facility m a timely manner, and upon payment of the fees Rhode Island. required by Article IV(j)(1). An eligible state may become a party to this l Vermont. compact by an executive order by the governor of the state and upon i payment of the fees required by Article IV(j)(1).110 wever, any state w hich becomes a party state by executive order shall cease to be a party state upon the final adjournment of the next general or regular session of its legislature, unless this compact has by then been enacted as a , statute by the state and all statutes and statutory provisions that conflict i with the compact have been repealed. l Effective date. "c. The compact shall become effective in a party state upon j enactment by that state. It shall not become initially effective in the 1 l region until enacted into law by three party states and consent given to it by the Congress.
"d. The first three states eligible to become party states to this com- .
pact which adopt this compact into law as required in Article VII(b) shall immediately, upon the appointment of their Commission mem-bers, constitute themselves as the Northeast Interstate Low-Level Ra-dioactive Waste Commission. They shall cause legislation to be introduced in the Congress which grants the consent of the Congress to this compact, and shall do those things necessary to organize the Com-mission and implement the provisions of this compact. ,
"1. The Commission shall be the judge of the qualifications of '
the party states and ofits members and of their compliance with the conditions and requirements of this compact and of the laws of the party states relating to the enactment of this compact.
"2. All succeeding states eligible to become party states to this compact shall b<: declared party states pursuant to the provisions of section (b) of this Article.
"e. Any state not expressly declared eligible to become a party state to this compact in section (a) of this Article may petition the Commission to be declared cligible. The Commission may establish such conditions as it deems necessary and appropriate to be met by a state requesting eligibility as a party state to this compact pursuant to the provisions of this section, including a public hearing on the application. Upon satis-factorily meeting such conditions and upon the affirmative vote of two-thirds of the Commission, including the affirmative vote of the
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representatives of the host states in which any affected regional facility is located, the petitioning state shall be eligible to become a party state to this compact and may become a party state in the same manner as those states declared eligible in section (a) of this Article. Prohibition. "f. No state holding membership in any other regional compact for the management oflow-level radioactive waste may become a member of this compact.
"g. Any party state which fails to comply with the provisions of this compact or to fulfill its obligations hereunder may have its privileges suspended or, upon a two-thirds vote of the Commission, after full opportunity for hearing and comment, have its membership in the compact revoked. Revocation shall take effect one year from the date the affected party state receives written notice from the Commission of its action. All legal rights of the affected party state established under this compact shall cease upon the effective date of revocation, except that any legal obligations of that party state arising prior to revocation will not cease until they have been fulfilled. As soon as practicable after a Commission decision suspending or revoking party state status, the Commission shall provide written notice of the action and a copy of the !
resolution to the governors and the presiding officer of each body of the state legislatures of the party states, and to chairmen of the appropriate committees of the Congress.
"h. Any party state may withdraw from this compact by repealing its authorization legislation, and alllegal rights under this compact of the party state cease upon repeal. However, no such withdrawal shall take effect until five years after the Governor of the withdrawing state has given notice in writing of such withdrawal to the Commission and to the governor of each party state. No withJrawal shall affect any liability already incurred by or chargeable to a party state prior to that time , 4 "1. Upon receipt of the notification, the Commission shall, as I soon as practicable, provide copies to the governors and the pre-siding officer of each body of the state legislatures of the party states, and to the chairmen of the appropriate committees of the Congress.
"2. A regional facility in a withdrawing state shall remain avail-able to the region for five years after the date the Commission receives written notification of the intent to withdraw or until the prescheduled dates of closure, whichever occurs first.
"i. This compact may be terminated only by the affirmative action of the Congress or by the repeal of all laws enacting the compact in each i party state. The Congress may by law withdraw its consent every five i years after the compact takes effect.
"1. The consent given to this compact by the Congress shall extend to any future admittance of new party states under sections (b) and (e) of this Article.
"2. The withdrawal of a party state from this compact under section (h) or the revocation of a state's membership in this com-pact under section (g) of this Article shall not affect the applicabil-ity of the compact to the remaining party states.
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- ARTICLE VIII-PENALTIES "a. Each party state, consistent with federal and host state regulations
- and laws, shall enforce penalties against any person not acting as an official of a party state for violation of this compact in the party state.
Each party state acknowledges that the shipment to a host state of waste packaged or transported in violation of applicable laws and regulations can result in the imposition of sanctions by the host state. These sanc-tions may include, but are not limited to, suspension or revocation of the violator's rights of access to the facility in the host state. Regulations. "b. Without the express approval of the Commission, it shall be unlawful for any person to dispose of any low-level waste within the region except at a regional facility; provided, however, that this restriction shall not apply to waste which is permitted by applicable federal or state regulations to be discarded without regard to its radioactivity.
"c. Unless specifically approved by the Commission and affected host state (s) pursuant to Article IV,it shall be a violation of this compact for:
l 1) any person to deposit at a regional facility waste not generated within ! the region; 2) any regional facility to accept waste not generated within within the region).the region; and 3 any person to export from the region waste generat "d. Primary responsibility for enforcing provisions of the law will rest with the affected state or states. The Commission, upon a two-thirds vote ofits members, may bring action to seek enforcement or appropri-ate remedies against violators of the provisions and regulations for this compact as provided for in Article IV. ARTICLE IX-COMPENSATION PROVISIONS l
"a. The responsibility for ensuring compensation and clean-up dur-ing the operational and post-closure periods rests with the host state, as j set forth herein. 1 "1. The host state shall ensure the availibility of funds and proce-dures for compensation ofinjured persons, including facility em-ployees, and property damage (except any possible claims for dim-mution of property values) due to the existence and operation of a l regional facility, and for clean-up and restoration of the facility.
I and surrounding areas.
"2. The state may satisfy this obligation by requiring bonds, insurance, compensation funds, or any other means or combina-tion of means, imposed either on the facility operator or assumed by the state itself, or both. Nothing in this article alters the liability Prohibition. of any person or governmental entity under applicable state and l
federal laws.
"b. The Commission shall provide a means of compensation for per-sons injured or property damaged during the institutional control peri-l: od due to the radioactive and waste management nature of the regional facility. This responsibility may be met by a special fund, insurance, or other means.
Insurance. "1. The Commission is authorized, at its discretion, to impose a j 177 i
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' Contracts, ' waste management surcharpe, to be collected by the operator or owner of the regional facihty; to establish a separate insurance entity, formed by but separate from the Commission itself, but under such terms and conditions as it decides, and exempt from -
state insurance regulation; to contract with this company or other entity for coverage; or to take any other measures, or combination of measures, to implement the goals of this section. Regulations, "2. The existence of this fund or other means of compensation shall not imply liability by the Commission, the non-host party , states, or any of their officials and staff, which are exempted from l liability by other provisions of this compact. Claims or suits for compensation shall be directed against the fund, the insurance company, or other entity, unless the Commission, by regulation, : directs otherwise.
"c. Not withstanding any other provisions, the Commission fund, l l insurance, or other means of compensation shall also be available for
- l. , third party relief during the operational and post closure periods, as the Commission may direct, but only to the extent that no other funds, insurance, tort compensation, or other means are available from the
! host state or other entities, under section a. of this Article or otherwise; l- . provided, that this Commission contribution shall not apply to clean-up , or restoration of the regional facility and its environs during the opera- 4 i tional and post-closure period. l "d. The liability of the Commission's fund, insurance entity, or any other means of compensation shall be limited to the amount currently contained therein; provided that the Commission may set some lower limit to ensure the integrity and availability of the fund or other entity . l for liability. i ARTICLE X-SEVERABILITY AND CONSTRUCTION Provisions held "The provisions of this compact shall be severable, andif any phrase,
- invalid. clause, sentence or provision of this compact is declared by a federal court of competent jurisdiction to be contrary to the Constitution of the i
United States or the applicability thereof to any government, agency, person or circumstance is held invalid, the validity of the remainder of this compact and the applicability thereof to any other government, : agency, person or circumstance shall not be affected thereby. The provisions of this compact shall be liberally construed to give effect to the purpose thereof.".3 Approved January 15,1986. l ( { ! k l 4 8 Anunds it 96 573 h striung out sections 1,2,3,4 and innerting in hem thereof PL 99-240 LECISLATIVE HISTORY-H.R.1083 (S.1517)(5.1518): . l t OUSE REPORT Na 99 314, PL I(Comm. on laterior and Insular Affairs) nad Pt 11(Comm. ca Energy and Com- j 1 CONGRES$10NAL RECORD, Vul 131 (1985): a's ouie curre se na wt h adme $ t urred in flouse amendment s 178
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r. 1 L l l APPALACHIAN STATES LOW LEVEL RADIOACTIVE WASTE l COMPACT CONSENT ACT l t Public Law 100-319 102 Stat. 471 PAGE USC 42 USC Sec. Sec.1 Short Titic . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .380 .. 2021d Sec.2 Congressional Findings. . . . . . . . . . . . . . . . . . . . . . 180 . . . 2021d Sec.3 Conditions of Consent to Compact . . ........... 180 ... 2021d
.Sec.4 : Congressional Review . . . . . . . . . . . . . ......... 180 ... 2021d Sec.5 Appalachian States Low-Level Radioactive Waste Compact . . . . . . . . . . . . . . . . . . .180 ... 2021d Article I - Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 181 . . . . . . . . . .
Article til Rights, Responsibilities and Obligations of Party States . . . . . . . . . . . . . . . . 187 . . . . . . . . . . Article IV Prohibited Acts and Penalities . . . . . . . . . . . . 190 . . . . . . . . . . Article V - Eligibility. Entiy Into Effect. ! Congressional Consent. Withdrawal . . . . . . . . 191 . . . . . . . . . . Article VI Construction and Severability. . . . . . . . . . . . . 191 . . . . . . . . . I F l l { i I i 179-
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l l APPLACHIAN STATES IDW LEVEL RADIOACTIVE
. WASTE COMPACT CONSENT ACT l
Public Law 100-319 102 Stat. 471 l An Act May 19.1988 To grant the consent of the Congress to the Appalachian States [li.R. 3025] Low-Level Radioactive Waste Compact. Be it enacted by the Senate and House of Representatives of the United Appalachian States ofAmerica in Congress assembled, States Im-Level Sec.1. SIIORT TITLE - R:dioactive This Act may be cited as the " Appalachian States Low-Level Waste Compact . Radioactive Waste Compact Consent Act". l Consent Act. 42 USC 2021d Sec. 2. CONGRESSIONAL FINDING..
- note. The Congress finds that the compact set forth in section 5 is in 42 USC 2021d furtherance of the Low-Level Radioactive Waste Policy Act, note. Sec. 3. CONDITIONS OF CONSENT TO COMPACT.
42 USC 202td The consent of the Congress to the compact set forth in section 5-note. (1) shall become effective on the date of the enactment of this Act, (2)is granted subject to the provisions of the Low-Level Radio-active Waste Policy Act, and : (3)is granted only for so long as the Appalachian States Low-Level Radioactive Waste Commission, advisory committees, and regional boards established in the compact comply with all the provisions of such Act. l 42 USC 2021d Sec. 4, CONGRESSIONAL REVIEW. l note. The Congress may alter, amend, or repeal this Act with respect to the compact set forth in section 5 after the expiration of the 10-year period following the date of the enactment of this Act, and at such intervals thereafter as may be provided for in such compact. W1ste disposal. Sec. 5. APPALACHIAN STATES LOW-LEVEL RADIOACTIVE Pennsylvania. WASTE COMPACT. West Virginia. Delaware. In accordance with section 4(a)(2) of the Low-Level Radioactive l Maryland. Waste Policy Act (42 U.S.C. 2021d(A)(2)), the consent of Congress is t, 42 USC 2021d given to the States of Pennsylvania, West Virginia, and any eligible l note. States as defined in Article 5(A) of the Appalachian States Low-Level
- Radioactive Waste Compact to enter into such compact. Such compact is substantially as follows
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I APPALACHIAN STATES LOW-LEVEL RADIOACTIVE WAS'IE COMPACT PREAMBLE "Whereas, The United States Congress, by enacting the Low-Level Radioactive Waste Policy Act (42 U.S.C. $$ 2021b-2021d) has encour-aged the use ofinterstate compacts to provide for the establishment i and operation of facilities for regional management oflow-level radio-active waste; Public health "Whereas, Under section 4 J i and safety. Waste Policy Act (42 U.S.C. 9 (a)(1)(A) of the Low-Level Radioactive 2021d(a)(1)(A)), for providing for the capacity for disposal oflow-level radioactive waste generated within its borders; "Whereas, To promote the health, safety and welfare of residents within, the Commonwealth of Pennsylvania and other cligible states as I defined in Article 5(A) of this compact shall enter into a compact for j the regional management and disposal of low-level radioactive waste. J "Now, therefore, the Commonwealth of Pennsylvania and the state of ' l West Virginia and other eligible states hereby agree to enter into the Appalachian States Low-Level Radioactive Waste Compact. ARTICLE I-DEFINITIONS j l "As used in this campact, unless the context clearly indicates other-wise:
"(a) ' Broker' means any intermediate person who handles, treats, processes, stores, packages, ships or otherwise has responsibility for or possesses low-level waste obtained from a generator. ,
"(b) ' Carrier' means a person who transports low-level waste to a j regional facility, j E
"(c)' Commission' means the Appalachian States Low-Level Radio- l active Waste Commission. 1 l
"(d)' Disposal' means the isolation oflow-level waste from the bio- g sphere. ;
"(e)' Facility' means any real personal property within the region, and !
improvements thereof or thereon, and any and all plant structures, machinery and equipment acquired, constructed, operated or main-tained for the management or disposal of low-level waste.
"(f)' Generate' means to produce low-level waste requiring disposal.
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"(g)' Generator' means a person whose activity results in the produc- j tion of low-level waste requiring disposal. i l "(h)
- Hazardous life' means the time required for radioactive materi-r als to decay to safe levels, as defined by the time period for the con-l centration of radioactive materials within a given container or package 1 1
l to decay to maximum permissible concentrations as defined by Federal t law or by standards to be set by a host state, whichever is more restric-tive. l "(i) ' Host state' means Pennsylvania or other party state so desig-nated by the Commission in accordance with Article 3 of this compact. l 181 i W i' t l t
"(j) ' Institutional control period' means the time of the continued observation, monitoring and care of the regional ftcility following transfer of control from the operator to the custodial a gency.
"(k)' Low-level waste' means radioactive waste that:
"(1) is neither high-level waste or transuranic waste, nor spent nuclear fuel, nor by-product material as defined in Section 11(c)(2) of the Atomic Energy Act of 1954 as amended; and
"(2) is classified by the Federal Government as low-level waste, consistent with existing law; but does not include waste generated as a result of atomic energy defense activitics of the Federal Gov-ernment, as defined in Public Law 96-573, or Federal research c.nd development activities.
"(1) ' Management' means the reproduction, collection, consolida-tion, storage, packaging or treatment of low-level waste.
"(m)' Operator' means a person who operates a regional facility.
"(n)'h:iy state' means any state that has become a party in accor-dance with Article 5 of this compact.
"(o) ' Person' means an individual, corporation, partnership or other .
legal entity, whether public or private. i
"(p)
- Region' means the combined geographic area within the bound- l aries of the party states.
"(q) ' Regional facility' n,eans a facility within any party state which has been approved by the Commission for the disposal of low-level waste.
"(r)' Shallow land burial' means the disposal of low-level radioactive waste directly in subsurface trenches without additional confinement in engineered structures or by proper packaging in containers as deter- )
mined by the law of the host state.
"(s)
- Transuranic waste' means low-level waste containing radionu-clides with an atomic number greater than 92 which are excluded from shalknv-land burial by the Federal Government.
Establishment "(A) Creation and Organization.
"(1) Creation-There is hereby created the Appalachian States Low Level Radioactive Waste Commission. The Commission is hereby created as a body corporate and politic, with succession for the duration of this compact, as an agency and instrumentality of the governments of the respective signatory parties, but separate and distinct from the respective signatory party states. The Com-mission shall have central offices located m Pennsylvania.
"(2) Commission Membership-The Commission shall consist of two voting members from each party state to be appointed according to the laws of each party statt tnd two additional voting members from each host state to be appinted according to the laws of each host state. Upon selection of he site of the regional facility, an additional voting member shal. Se appointed to the Commission who shall be a resident of the cot ,ty or municipality where the facility is to be located. The appoh.'ing authority of each party state shall notify the Commission in vriting of the identities of the members and of any alternates. An, ' ternate may vote and act in the member's absence. No member . Nall have a 182 5 .
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f l l , financial interest in any industry which generates low-level radio-l active waste, any low-level radioactive waste regional facility or any related industry for the duration of the member's term. No more than one-half the members and alternates from any party state shall have been employed by or be employed by a low-level !- waste generator or related industry upon appointment to or dur-l ing their tenure of office; provided, that no member shall have been employed by or be employed by a regional facility operator. l No member or alternate from any party state shall accept employ-ment from any regional facility operator or brokers for at least three years after leaving office.
"(3) Compensation-Members of the Commission and alter-nates shall serve without compensation from the Commission but may be reimbursed for necessary expenses incurred in and inci- J dent to the performance of their duties. I
"(4) Voting Power-Each Commission member is entitled to one vote. Unless otherwise provided in this compact, affirmative votes by a majority of a host state's members are necessary for the Commission to take any action related to the regional facility and the disposal and management of low-level waste within that host state.
"(5) Organization and -
"(a) The Commission shall provide for its own organization and pro-cedures and shall adopt by-laws not inconsistent with this compact and any rules and regulations necessary to implement this compact. It shall meet at least once a year in the county selected to host a regional facility i and shall elect a chairman and vice chairman from among its members.
In the absence of the chairman, the vice chairman shall serve. Public "(b) All meetings of the Commission shall be open to the public with information. at least 14 days' advance notice, except that the chairman may convene an emergency meeting with less advance notice. Each municipality and county selected to host a regional facility shall be specifically notified in advance of all Commission meetings. All meetings of the Commission shall be conducted in a manner that substantially conforms to the Administrative Procedure Act (5 U.S.C. Ch. 5, Subch. II, and Ch. 7). The Commission may, by a two-thirds vote, including approval of a majority of each host state's Commission members, hold an Executive Session closed to the public for the purpose of: considering or discussing legally privileged or proprietary information; to consider dismissal, disciplining of or hearmg complaints or charges brought against an employee or other public agents unless such person requests j such public hearing; or to consult with its attorney regarding information or strategy in connection with specific litigation. The reason for the Executive Session must be announced at least 14 days prior to the Executive Session, except that the chairman may convene an emergency meeting with less advance notice, in which case the reason for the Executive Session must be announced at the open meeting immediately subsequent to the Executive Session. All action taken in violation of this open meeting shall be null and void. Recorok. "(c) Detailed written minutes shall be kept of all meetings of the 183 f 4D 1 i
I i Public Commission. All decisions, files, records and data of the Commisrion, information. except for information privileged against introduction in jedicial proceedings, personnel records and minutes of a properly ccr.ivened Executive Session, shall be open to public inspection subject to a l procedure that substantially conforms to the Freedom ofInformation Act (Public Law 89-554,5 U.S.C. S 552) and applicable Pennsylvania law and may be copied upon request and payment of fees which shall be no higher than necessary to recover copying costs.
"(d) The Commission shall select an appropriate staff, including an Executive Director, to carry out the duties and functions assigned by the Commission. Notwithstanding any other provision oflaw, the Com-mission may hire and/or retain its own legal counsel.
"(c) Any person aggrieved by a final decision of the Commission j which adversely affects the legal rights, duties or privileges of such l person may petition a court of competent jurisdiction, within 60 days !
after the Commission's final decision, to obtain judicial review of said i final decisions. i
"(f) Liabilities of the Commission shall not be deemed liabilities of i the party states. Members of the Commission shall not be personally j liable for actions taken in their official capacity, l
"(B) Powers and Duties.
"The Commission:
Research and "(a) Shall conduct research and establish regulations to promote a I development. reasonable reduction of volume and curie content of low-level wastes Regulations. generated in the region. The regulations shall be reviewed and, if necessary, revised by the CommNion at least annually.
"(b) Shall cuspre, to the extent authorized by Federal law, that low- i level waste! .e safelfdisposed of within the region except that the l Commission shall have a power or authority to license, regulate or othenvise develop a regional facility, such powers and authority being reserved for the host state (s) as permitted under the law.
"(c) Shall designate as ' host states' any party state which generates 25 percent or more of Pennsylvania's volume or total curie content of low-level wav.c generated based on a comparison of averages over three successive years, as determined by the Commission. This deter-mination shall be based on volume or total curie content, whichever is greater.
"(d) Shall ensure, to the extent authorized by Federal law, that low- )
level waste packages brought into the regional facility for disposal con- ) form to applicable statt: and Federal regulations. Low-level waste bro- ] kers or generiuors wha violate these regulations will be subject to a fine j or other penalty imposed by the Commission, including restricted ac-cess to a regional facility. The Commission may impose such fines and/or penalties in addition to any other penalty levied by the party states pursuant to Article 4(D). 4
"(e) Shall establish such advisory committees as it deems necessary l for the purpose of advising the Commission on matters pertaining to !
the management and disposal oflow-level waste. 284
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Contracts. "(f) May contract to accomplish its duties and effectuate its powers subject to projected available resources. No contract made by the Commission shall bind a party state.
"(g) Shall prepare contingency plans for management and disposal of low-level waste in the event any regional facility should be closed or otherwise unavailable.
Records. "(h) Shall examine all records of operators of regional facilities pertaining to operating costs, profits or the assessment or collection of i any charge, fee or surcharge and may make recommendations to the host state (s) which shall review the recommendations in accordance with its (their) own sovereign laws.
"(i) Shall have the power to sue and be sued subject to Article (2)(A)(5)(c) and may seek to intervene in any administrative orjudicial proceeding.
"(j) Shall assemble and make available, to the party states and to the public, information concerning low-level waste management and dis-
, posal needs, technologies, and problems. ! l Records. "(k) Shall keep current and annual inventories of all generators by name and quantity of low-level waste generated within the region, based upon information provided by the party states. Inventory information shall include both volume in cubic feet and total curie l content of the low-level waste and all available information on chemical composition and toxicity of such wastes. Records. "(1) Shall keep an inventory of all regional facilities and specialized facilities, including, but not necessarily restricted to, information on their size, capacity and location, as well as specific wastes capable of being managed, and the projected useful life of each regional facility. Reports. "(m) Shall make and publish an annual report to the governors of the signatory party states and to the public detailing its programs, operations and finances, including copies of the annual budget and the independent audit required by this compact. Contracts. "(n) Notwithstanding any other provision of this compact to the l contrary, may, with the unanimous approval of the Commission members of the host state (s), enter into temporary agreements with non-party states or other regional boards for the emergency disposal of low-level waste at the regional facility, if so autharized by law (s) of the host state (s), or other disposal facilities located in states that are not parties to this agreement.
- Regulations. "(o) Shall promulgate regulations, pursuant to host state law, to l specifically govern and define exactly what would constitute an !
l emergency situation and exactly what restrictions and limitations would l l be placed on temporary agreements. !
"(p) Shall not accept any donations, grants, equipment, supphes, i materials or services, conditional or otherwise, from any source, except from any Federal agency and from party states which are certified as l
being legal and proper under the laws of the donating party state. , "(C) Budget and Operation ; l "(1) Fiscal Year-The Commission shall establish a fiscal year ! which conforms to the fiscal year of the Commonwealth of Penn-sylvania. 185 7g7 1 js p
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"(2) Current Expense Budget-Upon legislative enactment of this compact by two party states and each year until the regional facility becomes available, the Commission shall adopt a current j expense budget for its fiscal year. The budget shall include the 1 Commission's estimated expenses for administration. Such ex-penses shall be allocated to the party states according to the fol-lowing formula:
"Each designated initial host state will be allocated costs equal to twice the costs of the other party states, but such costs will not exceed $200,000.
"Each remaining party state will be allocated a cost of one half the cost of the initial host state, but such cost will not exceed $100,000.
"Tne party states will include the amounts allocated above in their respective budgets, subject to such review and approval as may be rcquired by their respective budgetary processes. Such amounts shall be due and payable to the Commission in quar-terly installments during the fiscal year.
"(3) Annual Budget Request-For continued funding ofits ac-tivities, the Commission shall submit an annual budget request to each party state for funding, based upon the percentage of the region's waste generated in each state in the region, as reported in the latest available annual inventory required under Article 2(B)(k). The percentage of waste shall be based on volume of waste or total curie content as determined by the Commission.
"(4) Annual Report to Include Budget-The Commission shall pre-pare and include in the annual report a budget showing anticipated receipts and disbursements for the ensuing year,
"(5) AnnualIndependent Audit-
*(a) As soon as practible after the closing of the fiscal year, an audit shall be made of the financial accounts of the Commission. The audit shall be made by qualified certified public accountants selected by the Commission, who have no personal direct or indirect interest in the financial affairs of the Commission or any of its officers or employees.
Reports. The report of audit shall be prepared in accordance with accepted accounting practices and shall be filed with the chairman and such other Public officers as the Commission shall direct. Copies of the report shall be information. distributed to each Commission member and shall be made available for public distribution.
"(b) Each signatory party, by its duly authorized officers, shall be entitled to examine and audit at any time all of the books, documents, 1 records, files and accounts and all other papers, things or property of !
the Commission. The represenatives of the signatory parties shall have j access to all books, documents, records, accounts, reports, files and all l other papers, things or property belonging to or in use by the Commis- i sion and necessary to facilitate the audit; and they shall be afforded full facilities for verifying transactions with the balances or securities held by depositaries, fiscal agents and custodians. m ,
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1 l l l ARTICLE III-RIGIITS, RT SPONSIBILITIES AND OBLIGATIONS OF PARTY STATES
"(A) Regional Facilitie .
"There shall be regior J facilities sufficient to dispose of the low-level waste generated witb5 the region. Each regional facility shall be capa-ble of disposing of such low-level waste but in the form (s) required by 4 regulations or li ense conditions. Specialized facilities for particular !
types of low 3 wel waste management, reduction or treatment may not ! be develor d in any party state unless they are in accordance with the l laws rg regulations of such state and applicable Federal laws and f rec,anations. !
"(B) Equal Access to Regional Facilities. 1 Public F ah "Each party state shall have equal access as other party states to i ond safety. regional facilities located within the region and accepting low-level i waste, provided, however, that the host state may close the regional facility located within its borders when necessary for public health and ;
safety. However, a host state shall send notification to the Commission 1 in writing within three (3) days of this action and shall, within thirty (30) working days, provide in writing the reasons for the closing.
"(C) Initial Host State.
" Pennsylvania and party states which generate 25 percent or more of the volume or curies of low-level waste generated by Pennsylvania, based on a comparison of averages over the three years 1982 through 1984, are designated as" initial host states" and are required to develop and host low-level waste sites as regional facilities. The percentage of !
waste from each state shall be determined by cubic foot volume or total I curie content, whichever is greater.
"(D) Exemption From Being Initial Host State.
" Party states which generate less than 25 percent of the volume or j curies of low-level waste generated by Pennsylvania, based on a com- '
parison of averages over the years 1982 through 1984, shall be exempt from initial host state rc sponsibilities. These states shall continue to be exempt as long as they generate less that 25 percent threshold over successive 3-year periods. Once a state generates an average of 25 percent or more of the volume or curies generated by Pennsylvania over a successive 3-year period, it shall be designated as a " host state" for a 30-year period by the Commission and shall immediately initiate devel-opment of a regional facility to be operational within five years. Such host state shall be prepared to accept at its regional facility low-level waste at least equal to that generated in the state. With Commission approval, any party state may volunteer to host a regional facility. The percentage of waste from each state shall be determined by either a cubic foot volume or total curie content, whichever is greater.
"(E) Useful Life of Regional Facilities.
" Pennsylvania and other host states are obligated to develop regional facilities for the duration of this compact. All regional facilities shall be designed for at least a 30-year useful life. At the end of the facility's life, normal closure and maintenance procedures shall be initiated in accor-dance with the applicable requirements of the host state and the Feder-al Government. Each host state's obligation for operating regional 187 *
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i facilities shall remain as long as the state continues to produce over a 1 l 3-year period 25 percent or more of the volume or curit.s of low-level i ! waste generated by Pennsylvania, l
"(F) Duties of Host State.
"Each host state shall:
"(a) Cause a regional facility to be sited and developed on a timely basis. "
i Public health "(b) Ensure by law, consistent with applicable state and Federal I and safety. law, the protection and preservation of public health, safety and Environmental environmental quality in the siting, design, development, licensure l protection. or other regulation, operation, closure, decommissioning, long-term care and the institutional control period of the regional i facility within the state. To the extent authorized by Federal law, a l host state may adopt more stringent laws, rules or regulations than l required by Federal law.
"(c) Ensure and maintain a manifest system which documents all waste-related activities of generate,rs, brokers, carriers and re-lated activities of generators, brokers, carriers and operators, and l establish the chain of custody of waste from its initial generation to I
the end ofits haza-dous life. Copies of all such manifests shall be - submitted to the Commission on a timely basis.
"(d) Ensure that charges for disposal of low-level waste at the regional facility are sufficient to fully fund the safe disposal and perpetual care of the regional facility and that charges are as-I sessed without discrimination as to the party state of origin.
Reports. "(c) Submit an annual report to the Commission on the status of j the regional facility which contains projections of the anticipated future capacity.
"(f) Notify the Commission immediately if any exigency arises requiring the possible temporary or permanent closure of a re-gional facility within the state at a time earlier than was projected in the state's most recent annual report to the Commission.
"(g) Require that the institutional control period of any disposal facility be at least as long as the hazardous life, as defined in Article 1(h), of the radioactive materials that are disposed at that facility.
"(h) Prohibit the use of any shallow land burial, as defined in l Article 1(r), and develop alternative means for treatment, storage l and disposal of low-level waste.
"(i) Establish bylaw, to the extent not prohibited by Federal law, 1 requirements for financial responsibility, including, but not limited to:
"(i) Requirements for the purchase and maintenance of ade- )
quate insurance by generators, brokers, carriers and operators i of the regional facility;
"(ii) Requirements for the establishment of a long-term care fund to be funded by a fee placed on generators to pay for preventative or corrective measures oflow-level waste to the regional facility; and 188 '['
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I l
"(iii) Any further financial responsibility requirements that shall be submitted by generators, brokers, carriers and opera-tors as deemed necessary by the host state.
"(G) Duties of Party State.
"Each party state:
"(a) Shall appropriate its portion of the Commission's initial and annual budgets as set out in Article 2(C)(2) and (3).
"(b) To the extent authorized by Federal law shall develop and enforce procedures requiring low-level waste shipments originat-ing withm its borders and destined for a regional facility to con-form to volume reduction, packaging and transportation require-ments and regulations as well as any other requirements specified by the regional facility. Such procedures shall include, but are not limited to:
"(i) Periodic inspections of packaging and shipping practices;
"(ii) Periodic inspections of low-level waste containers while in custody of carriers; and
"(iii) Appropriate enforcement actions with respect to viola-tions.
"(c) To the extent authorized by Federal law, shall, after receiv-ing notification from a host state or other person that a person in a party state has violated volume reduction, packaging, shipping or transportation requirements or regulations, take appropriate ac-tion to ensure that violations do not recur. Appropriate action shall insde, but is not limited to, the requirement that a bond be posted by the violator to pay the cost of repackaging at the region-al facility and the seguirement that future shipments be inspected.
Appropriate action may also include suspension of the violator's use of the regional facility. Should such suspension be imposed, the suspension shall s cmain in effect until such time as the violator has, to the satisfaction of the party state imposing such suspen-sion, complied with the appropriate requirements or regulations upon which the suspension was based and has taken appropriate action to ensure that such violation or violations do not recur. Records. "(d) Shall maintain a registry of all generators and quantities generated within the state.
"(II) Liability.
"In the event of liability arising from the operation of any regional facility and during and after closure of that facility, each party state shall sh:ce in that liability in an amount equal to that state's share of the region's low-level waste disposed of at the facility. If such liability arises from negligence, malfeasance or neglect on the part of a host state or any party state, then any other host or party state (s) may make any claim allowable under law for that negligence, malfeasance or neglect.
Claims. If such liat4hty arises imm a particular waste shipment or shipments to, or quantity of waste or condition at, the regional facility, then any host or party state may make any claim allowable under law for suchliability. The percentage ofwaste shall be based on volume of waste or total curie content.
"(1) Failure of Party Ftate to Fulfill Obligations.
,v tH 1
"A party state which fails to fulfill its obligations, including timely funding of the Commission, may have its privileges under the Compact suspended or its membership in the Compact revoked by the Commis-sion and be subject to any other legal equitable remedies available to the party states.
ARTICLE IV-PROHIBITED ACTS AND PENALTIES
"(A) Prohibition.
"It shall be unlawful for any person to dispose of low-level waste Athin the region except at a regional facility unless authorized by the Commission. j
"(B) Waste Disposed of Within Region. ;
"After establishment of the regional facility (s),it shal% unlawful for i any person to dispose of any low-level waste within the region unless the )
waste was generated within the region or unless auttmrized to do so I both by the Commission and by law of the host sta in which said { disposal takes place. For the purpose of this compact, waste generated witnin the region excludes radioactive material shipped from outside the party states to a waste management facility within the region. In determining whether to grant such autborization, the factors to be ]i considered by the Commission shall include, but not be limited to, the following: Public health "(a) The impact on the health, safety and emironmental quality and safety, of the citizens of the party states; Environmental "(b) The impact ofimporting waste on the available capacity and protection. projected life of the regional facility; ,
"(c) The availability of a regional facility appropriate for the safe !
disposal of the type of low-level waste involved.
"(C) Waste Generated Within Region.
"Any and all low-level waste generated within the region shall be disposed of at a regional facility, except for specific cases agreed upon by the Commission, with the affirmative votes by a majority of the !
Commission membens of the host state (s) affected by the decision. ;
"(D) Liability. I "Gencrators, brokers and carriers of wastes, and owners and opera- l tors of sites shall be liable for their acts, omissions, conduct or relation- l ships in accordance with alllaws relating thereto. The party states shall )
impose a fine for any violation in an amount equal to the present and future costs associated with correcting any harm caused by the violation and shall assess punitive fines or penalties if it is deemed necessary. In addition, the host state shall bar any person who violates host state or l Federal regulations from using the regional facility until that person ' demonstrates to the satisfaction of the host state the ability and willing-ness to comply with the law. ;
"(E) Conflict of Interest.
*(l) Prohibitions- ,
"No commissioner, officer or employee shall- I
"(a) De financially interested, either directly or indirectly, in a contract, sale, purchase, lease or transfer of real or personal property to which the Commission is a party.
190 , SWb d
r , "(b) Solicit or accept money or any other thing of value in addition to the expenses paid to him by the Commission for [ services performed within the scope of his official duties. l
"(c) Offer money or anything of value for or in consideration of obtaining an appointment, promotion or privilege in his empk>yment with the Commission.
l Employment "(2) Forfeiture of Office or Employment-and "Any officer or employee who shall willfully violate any of the l unemployment. provisions of this section shall forfeit his office or employment.
"(3) Agreement Void-Contracts. "Any contract or agreement knowingly made in contravention of this section is void.
"(4) Criminal and Civil Sanctions-
" Officers and empkiyees of the Commission shall be subject, in addition to the provisions of this section, to such criminal and civil sanctions for misconduct in office as may be imposed by Federal law and the law of the signatory state in which such misconduct occurs.
ARTICLE V-ELIGIBILITY, ENTRY INTO EFFECT, CONGRESSIONAL CONSENT, WITHDRAWAL
"(A) Eligibility.
Pennsylvania. "Only the States of Pennsylvania, West Virginia, Delaware and West Virginia. Meryland are eligible to become parties to this compact. Delaware. "'(B) Entry into Effect. Maryland. "An eligible state may become a party state bylegislative enactment of this compact or by executive order of the governor adopting this compact; provided, however, a state becoming a party state by executive order shall cease to be a party state upon adjournment of the first federal session of its legislature convened thereafter, unless the legislatute shall have enacted this compact before such adjournment.
"(c) Congressional Consent.
Effective dates. "This compact shall take effect when it has been enacted by the legislatures of Pennsylvania and one or more eligible states. Ilowever, l Article 4 (B) and (C) shall not take effect until Congress has consented to this compact. Every fifth year after such consent has been given, Congress may withdraw consent.
"(D) Withdrawal.
"A party state may withdraw from the compact by repealing the enact-ment of this compact, but no such withdrawal shall become effective j until two years after enactment of the repealing legislation. If the with- i drawing state is a host state, any regional facility in that state shall remain available to receive low-level waste generated within the region until five years after the effective date of the withdrawal.
' ARTICLE VI-CONSTRUCTION AND SEVERABILITY
"(A) Construction.
"The provisions of this compact shall be broadly construed to carry out the purposes of the compact, but the sovereign powers of a party state shall not unnecessarily be infringed.
191 e2 o ( l l > l l l i i j
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"(B) Severability.
"If any part or application of this compact is held invalid, the remain-der, or its application to other situations or persons, shall not be af-fected.".
Approved May 19,1988. M I.ILI%IATIVE lit $ TORY-H R 302$; llOUSE. kl PURih. No. 100.322. PL I (Cannat ce inscriar and Insular Affairs) and Pt 2 (Comm on I.ncrgy and Comnwrre) SI:NATI: RE. PORT 5: Na 1(ML285 (Comm. on the Judriary). (UNGRt.%IONAL RITORD.
%d 133(19877 (kt 13,conudered and paued Houw.
WI 134 (19N8) Apr 28. considered and panned Sentate.
%II ALY (UMPILATION OF PRI.h!DI'NTI AL DOC 1'Mr.NTS. WI,24 (1988k May 19, Presulentist stateinent 192 t ? C;,L i
W I i)
I l I L SOUTHWESTERN LOW-LEVEL RADIOACTIVE WASTE DISPOSAL COMPACT CONSENT ACT f I \ Public Law 106-712 102 Stat. 4773 PAGE USC i l 42 USC ! Sm i Sec.1 Short Tit le . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 194 ... 20211 l Sec.2 Congressional Findings. . . . . . . . . . . . . . . . . . . 194 .. 2021d Sec.3 Conditions of Consent to Compact . . . . . . . . . . . . . . 194 ..., 2021d Sec.4 Congressional Review. . . . . . . . . . . . . ........ 194 ... 2021d Scc.5 Southwestern Low. Level Radioactive Waste Compact .................... ... .. 194........... Article 1 Compact Policy and Formatiort . .......... 194 .... . . Article II De fini tions . . . . . . . . . . . . . . . . . . . . . . . 195 . . . . . . . . . . Article III The Commission . . . . . . . . . . . . . . . . . . . . . . . 197 . . . . . . . . . Article IV Rights, Responsibilities, and Obligations of Party States . . . . . . . . . . . . .. . . . . . . . . . . . . . 200 . . . . . . . . . . Article V Approval of Regional Facilities . . . . . . . . . . 203 . . . . . . . . Article VI Prohibited Acts and Penalties. . . . ... .... 203 .. .. ... g Article VII Eligibility, Entry Into Effect. Con Consent, Withdrawal, Exclusion. ....
.gressional
.... 203 ..........
Article Vill Construction and Severability. . . . . . . . . . . . . 204 . . . . . . . . . . i 193 [ 03 7 l i l l
I SOUTHWESTERN LOW-LEVEL RADIOACTIVE WASTE DISPOSAL COMPACT CONSENT ACT l Public Law 100-712 102 Stat. 4773 An Act I Nov. 23.1988 To grant the consent of the Congress to the Southwestern Low-Level j [lI.R. 5232] Radioactive Waste Disposal Compact. Southwestern Be it enacted by the Senate and House of Representatives of the United ImLevel States ofAmerica in Congress assembled, Radioactive Waste Disposal Sec.1. SIIORT TITLE. Compact Consent Act. This Act may be cited as the " Southwestern Low-Level Radioactive Environmental WasS Disposal Compact Consent Act". protection. 42 USC 2021d Sec. 2. CONGRESSIONAL FINDING. note. 42 USC 2021d The Congress finds that the compact set forth in section 5 is in note. furtherance of the Low-Level Radioactive Waste Policy Act. i 42 USC 2021d Sec. 3. CONDITIONS OF CONSENT TO COMPACT. note. The consent of the Congress to the compact set forth in section 5-(1) shall become effective on the date of the enactment of this Act; (2)is granted subl:ct to the provisions of the Low-Level Radio-active Waste Policy Act; and (3) is granted only for so long as the regional commission estab-lished in the compact complies with all of the provisions of such Act. 42 USC 2021d Sec. 4. CONGRESSIONAL REVIEW. note. The Congress may alter, amend, or repeal this Act with respect to the compact set forth in section 5 after the expiration of the 10-year period following the date of enactment of this Act, and at such intervals thereafter as may be provided in such compact. State listing. Sec. 5. SOUTilWESTERN LOW-LEVEL RADIOACTIVE WASTE COMPACT. Ira accordance with section 4(a)(2) of the Low-Level Radioactive i Waste Policy Act (42 U.S.C. 2021d(a)(2)), the consent of Congress is given to the states of Arizona, California, and any eligible states, as defined in article VII of the Southwestern Low-Level Radioactive Waste Disposal Compact, to enter into such compact. Such compact is substantially as follows: ARTICLE I--COMPACT POLICY AND FORMATION The party states hereby find and declare all of the following : (A) The United States Congress, by enacting the Low-Level Radioactive Waste Policy Act, Public Law 96-573, as amended by 194
.m
l the Low-Level Radioactive Waste Policy Amendments Act of1985
-(42 U.S.C. sec. 2021b to 2021j, incl.), has encouraged the use of interstate compacts to provide for the establishment and opera-
- tion of facilities for regional management of low-level radioactive waste.
(B)It is the purpose of this compact to provide the means for such a cooperative effort between or among party states to protect the citizens of the states and the states' environments. (C) It is policy of party states to this compact to encourage the reduction of the volume oflow-level radioactive waste requiring disposal within the compact region. Public health (D)It is the policy of the party states that the protection of the and safety, health and safety of their citizens and the most ecological and economical management oflow-level radioactive wastes can be accomplished through cooperation of the states by minimizing the amount of handling and transportation required to dispose of these wastes and by providing facilities that serve the compact region. (E) Each party state, if an agreement state pursuant to section 2021 of title 420f the United States Code, or the Nuclear Regula-tory Commission if not an agreement state, is responsible for the primary regulation of radioactive materials within itsjurisdiction. ARTICLE Il-DEFINITIONS As used in this compact, unless the wntex clearly indicates otherwise, the following definitions apply: (A)" Commission"means the Southwestern Low-Level Radio-active Waste Commissien established in article Ill of this compact. (B) "Cornpact region" or " region" means the combined geo-graphical arca with the boundaries of the party states. (C)
- Disposal" means the permanent isolation of low-level ra-dioactive waste pursuant to requirements established by the Nu-clear Regulatory Commission and the Environmental Protection Agency under applicable laws, or by a party state if the state hosts a disposal facility.
(D)" Generate," when used in relation to low-level radioactive waste, means to produce low-level radioactive waste. (E)" Generator" means a person whose activity, excluding the management of low-level radioactive waste, results in the produc-tion of low-level radioactive waste. (F) " Host county" means a county, or similar political subdivi-sion of a party state, in which a regional disposal facility is located or being developed. (G)"Ilost state" means a party state in which a regional disposal facility is kicated or being developed. The state of California is the
- host state under this compact for the first thirty years from the
! date the California regional disposal facility commences opera-tions. (H)" Institutional control period" means that period of time in which the facility license is transferred to the disposal site owner in l' z ' 195 e?o o
I l l I compliance with the appropriate regulations for long-term ob-( servation and maintenance following the postclosure period. (1) " Low-level radioactive waste" means regulated radioactive material that meets all of the following requirements: (1) The waste is not high-level radioactive waste, spent nuclear fuel, or by-product material (as defined in section 11c(2) of the Atomic Energy Act of 1954 (42 U.S.C sec. 2014(e)(2)). (2) The waste is not uranium mining or mill tailings. (3) The waste is not any waste for which the Federal Govern-ment is responsible pursuant to subdivision (b) of section 3 of the Low-Level Radioactive Waste Policy Amendments Act of 1985(42 U.S.C Sec. 2021c(b)). (4) The waste is not an alpha emitting transuranic nuclide with a half-life greater than five years and with a concentration greater than one hundred nanocuries per gram, or plutonium-241 with a concentration greater than three thousand five hundred nanocuries per gram, or curium-242 with a concentration greater than twenty thousand nr.nocuries per gram. (J) " Management" means collection, consolidation, storage, pack-aging, or treatment. (K) " Major generator state" means a party state which generates 10 percent of the total amount of low-level radioactive waste produced within the compact region and disposed of at the regional disposal facility, if no party state other than California generates at least ten percent of the total amount, " Major generator state" means the party state which is second to California in the amount of waste produced within the compact region and disposed of at the regional disposal facility. (L) " Operator" means a person who operates a regional disposal facility. i (M) " Party state" means any state that has become a party in accor-dance with article Vil of this compact. (N) " Person" means an individual, corporation, partnership, or oth-er legal entity, whether public or private. (O) "Postclosure period' means that period of time after completion of closure of a disposal facility during which the licensee shall observe, ) monitor, and carry out necessary maintenance and repairs at the dis- J posal facility to assure that the disposal facility will remain stable and { will not need ongoing active maintenance. This period ends with the beginning of the institutional control period. (P) " Regional disposal facility" means a non-Federal low-level ra-dioactive waste disposal facility established and operated under this compact. (Q) " Site closure and stabilization" means the activities of the dis-posal facility operator taken at the end of the disposal facility's operat-mg life to assure the continued protection of the public from any residu-al radioactive or other potential hazards present at the disposal facility. (R) " Transporter" means a person who transports low-level radioac-tive waste. 196 M-l
l (S) " Uranium mine and mill tailings" means waste resulting from l mmmg and processing of ores containing uranium. i ARTICLE Ill-THE COMMISSION , Establishment. (A) There is hereby established the Southwestern Low-Level ; I' Radioactive Waste Commission. (1) The Commission shall consist of one voting member from each party Ole to be appointed by the governor, confirmed by the senate of that party state, and to serve at the pleasure of the governor of each party state, and one voting member from the host l county. The appointing authority of each party state shall notify ! the Commission in writing of the identity of the member and any alternates. An alternate may act in the member's absence. (2) The host state shall also appoint that number of additional voting members of the Commission which is necessary for the host state's members to compose at least 51 percent of the membership on the Commission. The host state's additional members shall be appointed by the host state governor and confirmed by the host state senate, if there is more than one host state, only the state in which is located the regional disposal facility actively accepting low-level radioactive waste pursuant to this compact may appoint these additional members. I (3) If the host county has not been selected at the time the Commission is appointed, the governor of the host state shall appoint an interim local government member, who shall be an elected representative of a local government. After a host county is selected, the interim local government member shall resign and the governor shall appoint the host county member pursuant to paragraph (4). (4) The governor shall appoint the host county member from a , list of at least seven candidates compiled by the board of supervi-sors of the host county. l (5) In recommending and appointing the host county member ' pursuant to paragraph (4), the board of supervisors and the gover-nor shall give first consideration to recommending and appointing the members of the board of superisors in whose district the regional disposal facility is located w being developed. If the , board of supervisors of the host county does not provide a list to l the governor of at 1,:ast seven candidates from which to choose, ' the governur shall appoint a resident of the host county as the host county member. (6) The host county member is subject to confirmation by the senate of that party and shall serve at the pleasure of the governor of the host state. (B) The Commission is a legal entity separate and distinct from the party states and shall be so liable for its actions. Members of the Com- l mission shall not be personally liable for actions taken in their official capacity. The liabilities of the Commission shall not be deemed liabili-ties of the party states. ; 197 Q[
f (C) The Commission shall conduct its business affairs pursuant to the laws of the host state and disputes arising out of Commission action shall be governed by the laws of the host state. The Commission shall be located in the capital city of the host state in which the regional disposal facility is located. Records. (D The Commission's records shall be subject to the host state's Public pubh)c records law, and the meetings of the Commission shall be open information. and public in accordance with the host state's open meeting law. (E) The Commission members are public officials of the appointing state and shall be subject to the conflict of interest laws, as well as any other law, of the appointing state. The Commission members shall be compensated according to the appointing state's law. (F) Each Commission member is entitled to one vote. A majority of the Commission constitutes a quorum. Unless otherwise provided in this capacity, a majority of the total number of votes on the Commission is necessary for the Commission to take any action. (G) The Commission has all of the following duties and authority: (1) The Commission shall do, pursuant to the authority granted by this compact, whatever is reasonably necessary to en-sure that low-level radioactive wastes are safely disposed of and managed within the region. (2) The Commission shall meet at least once a year and other-wise as business requires. (3) The Commission shall establish a compact surcharge to be imposed upon party state generators. The surcharge shall be based upon the cubic feet oflow-level radioactive waste and the radioac-tivity of the low-level radioactive waste and shall be collected by the operator of the disposal facility. The host state shall set, and the Commission shall impose, the sur-charge after congressional approval of the compact. The amount of the surcharge shall be sufficient to establish and maintain at a reasonable level funds for all of the following purposes: (a) The activities of the Commission and Commission staff. (b) At the siiscretion of the host state, a third-party liability fund to provide mmpensation for injury to persons or property during the operatiool, closure, stabilization, and postclosure and institutional control periods of the regional disposal facility. This subparagraph does not limit the responsibility or liability of the operator, who shall comply with any federal or host state statutes or regulations regarding third-party liability claims. (c) A h> cal goverrnnent reimbursement fund, for the purpose of reimbursing the 'ocal government entity or entities hosting the regional disposal facility for any costs or increased burdens on the local governmental entity for services, including, but not limited to, general fund expenses, the improvement and maintenance of roads and bridges, fire protection, law enforecment, monitoring by local health officials, and emergency preparation and response related to the hosting of the regional disposal facility. (4) The surcharges imposed by the Commission for purposes of subparagraphs (b) and (c) of paragraph (3) and surcharges 198 l l l 1
pursuant to paragraph (3) of subdivision (E) of article IV shall be transmitted on a monthly basis to the host state for distribution to the proper accounts. (5) The Commission shall establish a fiscal year which con-forms to the fiscal years of the party states to the extent possible. Records. (6) The Commission shall keep an eccurate account of all receipts and disbursements. An annual audit of the books of the Commission shall be conducted by an independent certified public accountant, and the audit report shall be made a part of the annual report of the Commission. Reports. (7) The Commission shall prepare and include in the annual report a budget showing anticipated receipts and disbursements for the subsequent fiscal year. Gifts and (8) The Commission may accept any grants, equipment, property. supplies, materials, or services, conditional or otherwise, from the federal or state government. The nature, amount and condition, if any, of any donation, grant or other resources accepted pursuant to this paragraph and the identity of the donor or grantor shall be detailed in the annual report of the Commission. However, the host state shall receive, for the uses specified in subparagraph (E) of paragraph (2) of subsection (d) of section 2021e of title 42 of the United States Code, any payments paid from the special escrow account for which the Secretary of Energy is trustee pursuant to subparagraph (A) of paragraph (2) of sub-section (d) of section 2021e of title 42 of the United States Code. Reports. (9) The Commission shall submit communications to the governors to the presiding officers of the legislatures of the party states regarding the activities of the Commission, including an annual report to be submitted on or before January 15 of each year. The Commission shall include in the annual report a resiew of, and recommendations for, low-level radioactive waste disposal methods which are alternative technologies to the shallow land burial oflow-level radioactive waste. Public (10) The Commission shall assemble and make available to the information. party states, and to the public, information concerning low-level radioactive waste management needs, technologies, and problems. Records. (11) The Commission shall keep a current inventory of all generators within the region, based upon information provided by the party states. Records. (12) The Commission shall keep a current inventory of all regional disposal facilities, including information on the size, capacity, location, specific low-level radioactive wastes capable of being managed, and the projected useful life of each regional disposal facility. (13) The Commission may establish advisory committees for the purpose of advising the Commission on the disposal and man-agement oflow-level radioactive waste. 199 [ l r i l I l i J
l l l (1,4) The Commission may enter into contracts to carry out its l duties and authority, subject to projected resources. No contract i made by the Commission shall bind a party state. (15) The Commission shall prepare contingency plans, with the l cooperation and approval of the host state, for the disposal and inanagement oflow-level radioactive waste in the event that any ! regional disposal facility should be closed. l (16) The Commission may sue and be sued and, when autho-rized by a majority vote of the members, may seek to intervene in an administrative or judicial proceeding related to this compact. (17) The Commission shall be managed by an appropriate staff, including an executive director. Notwithstanding any other provision oflaw, the Commission may hire or retain, or both, legal counsel. (18) The Commission may, subject to applicable federal and state laws, recommend to the appropriate host state authority i suitable land and rail transportation routes for low-level radioac- ; tive waste carriers. l (19) The Commission may enter into an agreement to import ' low-level radioactive waste into the region only if both of the following requirements are met-(a) The Commission approves the importation agreement by a two-thirds vote of the Commission. (b) The Commission and the host state assess the affected regional disposal facilities' capability to handle imported low-level . radioactive wastes and any relevant environmental or economic l factors, as defined by the host state's appropriate regulatory au-thorities. (20) The Commission may, upon petition, allow an individual generator, a group of generators, or the host state of the comoact, to export low-level radioactive wastes to a low-level radioactive waste disposal facility located outside the region. The Commis-sion may approve the petition only by a two-thirds vote of the Commission. The permission to export low-level radioactive wastes shall be effective for that period of time and for the amount of low-level radioactive waste, and subject to any other term or condition, which may be determined by the Commission. (21) The Commission may approve, only by a two-thirds vote of the Commission, the exportation outside the region of material, which otherwise meets the criteria oflow-level radioactive waste, if the sole purpose of the exportation is to process the material for recycling. (22) The Commission shall, not later than 10 years before the closure of the initial or subsequent regional disposal facility, pre-pare a plan for the establishment of the next regional disposal facility. ARTICLE IV-RIGIITS, RESPONSIBILITIES, AND OBLIGATIONS OF PARTY STATES (A) There shall be regional disposal facilities sufficient to dispose of the low-level radioactive waste generated within the region. 200 NO i I I f
(B) Low-level radioactive waste generated within the region shall be disposed of at regional disposal facilities and each party state shall have access to any regional disposal facility without discrimination. (C)(1) Upon the effective date of this compact, the State of Califor-nia shall serve as the host state and shall comply with the requirements of subdivision (E) for at least 30 years from the date the regional disposal facility begins to accept low-level radioactive waste for dispos-al. The extension of the obligation and duration shall be at the option of the State of California. If the State of California does not extend this obligation, the party state, other than the State of California, which is the largest major generator state shall then serve as the host state for the second regional disposal facility. The obligation of a host state which hosts the second regional disposal facility shall also run for thirty years from the date the second regional disposal facility begins operations. Public health (2) The host state may close its regional disposal facility when end safety. necessary for public health or safety. (D) The party states of this compact cannot be members of another regional low-level radioactive waste compact entered into pursuant to the Low-Level Radioactive Waste Policy Act, as amended by the Low-Level Radioactive Waste Policy Amendments Act of 1985 (42 U.S.C. secs. 2021b to 2021j, incl.). (E) A host state shall do all of the following: (1) Cause a regional disposal facility to be developed on a timely basis. Public health (2) Ensure by law, consistent with any applicable federal and safety. laws, the protection and preservation of public health and safety in the siting, design, development, licensing, regulation, operation, closure, decommissioning, and long-term care of the regional disposal facilities within the state. (3) Ensure that charges for disposal oflow-level radioactive waste at the regional disposal facility are reasonably sufficient to do all of the following: (a) Ensure the safe disposal oflow-level radioactive waste and long-term care of the regional disposal facility. (b) Pay for the cost of inspection, enforcement, and sur-veillance activities at the regional disposal faci *ity. (c) Assure that charges are assessed without discrimina-tion as to the party state of origin. Reports. (4) Submit an annual report to the Commission on the status of the regional disposal facility including projections of the facility's anticipated future capacity. (5) The host state and the operator shall notify the Commis-sion immediately upon the occurrence of any event which could cause a possible temporary or permanent closure of a regional disposal facility. Commerce (F) Each party state is subject to the following duties and authority: and trade. (1) To the extent authorized by federal law, each party state Transportation, shall develop and enforce {'rocedures requiring low-level 201
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l Utilities. radioactive waste shipments originating within its borders and destined for a regional disposal facility to conform to packaging and transportation requirements and regulations. These procedures shallinclude, but are not limited to, all of the following requirements: (a) Periodic inspections of packaging and shipping practices. (b) Periodic inspections of low-level radioactive waste containers while in the custody of transporters. (c) Appropriate enforcement actions with respects to violations. (2) A party state may impose a surcharge on the low-level radioactive waste generators within the state to pay for activi-ties required by paragraph (1). (3) To the extent authorized by federal law, each party state shall, after receiving notification from a host state that a per-son in a party state has violated packaging, shipping, or trans-portation requirements or regulations, take appropriate ac-tions to ensure that these violations do not contmue. Ap-propriate actions mayinclude, but are not limited to, requiring that a bond be posted by the violator to pay the cost of repack-aging at the regional disposal facility and prohibit future ship-ments to the regional disposal facility. Records. (4) Each party state shall maintain a registry of all generators within the state that may have low-level radioactive waste to be disposed of at a regional disposal facility, including, but not limited to, the amount oflow-level radioactive waste and the class oflow-level radioactive waste generated by each generator. (5) Each party state shall encourage generators within its borders to minimize the volume oflow-level radioactive waste requiring disposal. (6) Each party state may rely on the good faith performance of the other party states to perform those acts which are re-quired by this compact to provide regional disposal facilities, including the use of the regional disposal facilities in a manner consistent with this compact. (7) Each party state shall provide the Commission with any data and information necessary for the implementation of the Commission's responsibilities, including taking those actions necessary to obtain this data or information. (8) Each party state shall agree that only low-level radioac-tive waste generated within the jurisdiction of the party states shall be disposed ofin the regional disposal faciRy, except as provided in paragraph (19) of subdivision (G) of article III. (9) Each party state shall agree that if there is any injury to persons or property resulting from the operation of a regional disposal facility, the damages resulting from the injury may be paid from the third-party liability fund pursuant to subpara-graph (b) of paragraph (3) of subdivision (G) of article III, only to the extent that the damages exceed the limits of liability 202 / h0 l
l i insurance carried by the operator. No party state, by joining l this compact, assumes any liability resulting from the siting, operation, maintenance, long-term care, or other activity re-lating to a regional facility, and no party state shall be liable for any harm or damage resulting from a regional facility not lo-cated within the state. ARTICLE V-APPROVAL OF REGIONAL FACILITIES A regional disposal facility shall be approved by the host state in accor-dance with its laws. This compact does not confer any authority on the Commission regarding the siting, design, development, licensing, or other regulation, or the operation, closure, decommissioning, or long-term care of, any regional disposal facility within a party state. ARTICLE VI-PROIIIBITED ACTS AND PENALTIES (A) No person shall dispose oflow-level radioactive waste within the region unless the disposal is at a regional disposal facility, except as otherwise provided in paragraphs (20) and (21) of subdivision (G) of article III. (B) No person shall dispose of or manage any low-level radioactive waste withm the region unless the low-level radioactive waste was gen-erated within the region, except as provided in paragraphs (19),(20), and (21) of subdivision (G) of article 111. (C) Violations of this section shall be reported to the appropriate law enforcement agency within the party state's jurisdiction. (D) Violations of this section may result in prohibiting the violator from disposing of low-level radioactive waste m the regional disposal facility, as determined by the Commission or the host state. ARTICLE Vil-ELIGIBILITY, ENTRY INTO EFFECT, CONGRESSIONAL CONSENT, WITilDRAWAL, EXCLUSION q (A The States of Arizona, North Dakota, South Dakota, and Cali- I form)a are eligible to become parties to this compact. Any o,her state f may be made eligible by a majority vote of the Commission anci ratifica-tion by the legislatures of all of the party states by statute, and upon compliance with those terms and conditions for eligibility widch the host state may establish. The host state may establish all terms and conditions for the entry of any state, other than the states named in this subparagraph, as a member of this compact. I B) Upon compliance with the other provisions of this compact, an ch(gible state may become a party state by legislative enactment of this compact or by executive order of the governor of the state adopting this . compact. A state becoming a party state by executive order shall cease i to be a party state upon adjournment of the first general session ofits ! legislature convened after the executive order is issued, unless before the adjournment the legislature enacts this compact. (C) A party state, other than the host state, may withdraw from the compact by repealing the enactment of this compact, but this withdraw- l al shall not become effective until two years after the effective date of the repealing legislation. If a party state which is a major generator of low-level radioactive waste voluntarily withdraws from the compact 203 M3-y f
pursuant to this subdivision, that state shall make arrangements for the disposal o , the other party states' low-level radioactive waste for a time period equal the period of time it was a member of this compact. If the host state withdraws from the compact, the withdrawal shall not become effective until five years after the effective date of the repealing legislation. (D) A partf state may be excluded from this compact by a two-thirds vote of the Commission members, acting in a meeting, if the state to be excluded has failed to carry out any obligations required by compact. Effective date. (E) This compact shall take effect upon the enactment by statute by the legislatures of the State of California and at least 1 other eligible state and upon the consent of Congress and shall remain in effect until otherwise provided by federal law. This compact is subject to review by - Congress and the withdrawal of the consent of Congress every 5 years after its effective date, pursuant to federal law. ARTICLE VIII--CONSTRUCTION AND SEVERABILITY (A) The provisions of this compact shall be broadly construed to carry out the purposes of the compact, but the sovereign powers of a party state shall not be infringed unnecessarily. (B) This compact does not affect anyjudicial proceeding pending on the effective date of this compact. (C) If any provision of this compact or the application thereof to any person or circumstances is held invalid, that invalidity shall not affect other provision or applications of the compact which can be given effect without the invalid provision or application, and to this end the provi-sions of this compact are severable. (D) Nothing in this compact diminishes or otherwise impairs the jurisdiction, authority, or discretion of either of the following: (1) The Nuclear Regulatory Commission pursuant to the l Atomic Energy Act of 1954, as amended (42 U.S.C. sec. 2011 et seq.). (2) An agreement state under section 274 of the Atomic Energy Act of 1954, as amended (42 U.S.C. sec. 2021). (E) Nothing in this compact confers any new authority on the states or Commission to do any of the following: (1) Regulate the packaging or transportation of low-level radioactive waste in a manner inconsistent with the regulations of the Nuclear Regulatory Commission or the United States Department of Transportation. (2) Regulate health, safety, or environmental hazards from source, by-product, or special nuclear material. (3) Inspect the activities oflicensees of the agreement states or of the Nuclear Regulatory Commission. Approved November 23,1988. LEGlilATIVE lil5 TORY-H.R. 5232: If0L'5E REPORTS; Na100-931.PL I(Comm. ce Interkt and Insular Affairs) and PL 2 (Comnt no Energy CONGRl3510NAL R COR . 134 (1988); M'2%"."M.'u,C"d* L' : m$ k{f i l 1 d
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I l I i SELECTED SECTIONS OF THE CLEAN AIR ACT OF 1977, AS l t AMENDED ! (Including amendments made by) 4 I
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- Public Law 101-549 104 Stat. 2399 November 15,1990 PAGE USC 42 USC Sec. l DEFINITIONS ,
1 Sec.302 . .... ....... ................. . . . . 206 .. 7602 l HAZARDOUS AIR POLLUTANTS 1 l Sec.112 . . ........ ... ... . .. ........ . 209 . . . 7412 RETENTION OF STATE AUTHORITY Sec.116 ... ... .. ........... .... .. . ... .. 221 .... 7416 LISTING OF CERTAIN UNREGULATED POLLUTANTS Sec.122 .... ...... ..... .. . . ..... . . 222 . 7422 PERMITS Sec.501 ..... .. ... ........ .. .. ..... .. . 223 . . . M61 l 1 l l I I
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l l SEC.302. DEFINITIONS When used in this chapter-l (a) The term " Administrator" means the Administrator of the Envi-ronmental Protection Agency. J i (b) The term " air pollution control agency" means any of the follow- ! ing: (1) A single State agency designated by the Governor of that State as the official State air pollution control agency for purposes , of this chapter. 1 (2) An agency established by two or more States and having substantial powers or duties pertaining to the prevention and con-trol of air pollution. (3) A city, county, or other local government health authority, or, I in the case of any city, county, or other local government in which I there is an agency other than the health authority charged with responsibility for enforcing ordinances or laws relating to the pre-vention and control of air pollution, such other agency. (4) An agency of two or more municipalities located in the same State or in different States and having substantial powers or duties pertaining to the prevention and control of air pollution. (5) An agency of an Indian tribe. (c) The term " interstate air pollution control agency" means- j (1) an air pollution control agency established by two or more j States, or I (2) an air pollution control agency of two or more municipalities j h>cated in different States. ' (d) The term " State" means a State, the District of Columbia, the j Commonwealth of Puerto Rico, the Virgin Islands, Guam, and Ameri-l can Samoa and includes the Commonwealth of the Northern Mariana ; Islands. (e) The term " person" includes an individual, corporation, partner-ship, association, State, municipality, political subdivision of a State, and any agency, department or instrumentality of the United States and any officer, agent, or employee thereof. (f) The term " municipality" means a city, town, borough, county, . pansh, district, or other public body created by or pursuant to State law. l (g) The term " air pollutant" means any air pollution agent or com- i bination of such agents, including any physical, chemical, biological, radioactive (including source material, special nuclear material, and byproduct material) sutstance or matter which is emitted into or other-wise enters the ambient air. Such term includes any precursors to the formation of any air pollutant, to the extent the Administrator has idemified such precursor or precursors for the particular purpose for which the term " air pollutant" is used. (h) All language referring to effects on welfare includes, but is not limited to, elfects on soils, water, crops, vegetation, man-made materi-als, animals, wildlife, weather, visibility, and climate, damage to and deterioration of property, and hazards to transportation, as well as effects on economic values and on personal comfort and well-being, i
i whether caused by transformation, conversion, or combination with other air pollutants. (i) The term " Federal land manager" means, with respect to any lands in the United States, the Secretary of the department with au-thority over such lands. (j) Except as otherwise expressly provided, the terms" major station-ary source" and " major emitting facility" mean any stationary facility or source of air pollutants which directly emits, or has the potential to emit, one hundred tons per year or more of any air pollutant (including any major emitting faci:ity or source of fugitive emissions of any such pollutant, as determined by rule by the Administrator). (k) The terms " emission limitation" and " emission standard" mean a requirement established by the State or the Administrator which limits the quantity, rate, or concentration of emissions of air pollutants on a continuous basis, including any requirement relating to the operation or maintenance of a source to assure continuous emission reduction, and any design, equipment, work practice or operational standard pro-mulgated under this chapter. (1) The term " standard of performance" means a requirement of continuous emission reduction, including any requirement relating to the operation or maintenance of a source to assure continuous emis-sion reduction. (m) The term "means of emission limitation" means a system of con-tinuous emission reduction (including the use of specific technology or fuels with specified pollution (characteristics). (n) The term " primary standard attainment date" means the date specified in the applicable implementation plan for the attainment of a national primary ambient air quality standard for any air pollutant. (o) The term " delayed compliance order" means an order issued by the State or by the Administrator to an existing stationary source, postponing the date required under an applicable implementation plan for compliance by such source with any requirement of such plan. (p) The term " schedule and timetable of compliance" means a sched- I ute of required measures including an enforceable sequence of actions or operations leading to compliance with an emission limitation, other limitation, prohibition, or standard. (q) For purposes of this chapter, the term " applicable implementa-tion plan" means the portion (or portions) of the implementation plan, or most recent revision thereof, which has been approved under section 7410 of this title, or promulgated under section 7410(c) of this title, or promulgated or approved pursuant to regulations promulgated under , section 7601(d)of this title and which implements the relevant require- I ments of this chapter. 1 (r) INDIAN TRIBE The term " Indian tribe" means any Indian tribe, band, nation, or other organized group or community, including any Alaska Native vil-lage, which is Federally recognized as eligible for the special programs and services provided by the United States to Indians because of their status as Indians. (s) V O C 207 Q (- l,
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, The term "VOC" means volatile organic compound, as defined by the i Administrator. l (t) PM-10 The term "PM-10" means particulate matter with an aerodynamic l diameter less than or equal to a nominal ten micrometers, as measured l by such method as the Administrator may determine. (u) NAAOS AND CTG l The term "NAAOS" means national ambient air quality standard. The term " CTG" means a Control Technique Guideline published by the Administrator under section 7408 of this title, (v) NOx The term "NOx" means oxides of nitrogen. J l (w) CO l The term "CO" means carbon monoxide. l (x) SMALL SOURCE The term "small source" means a source that emits less than 100 tons of regulated pollutants per year, or any class of persons that the Admin-istrator determines, through regulation, generally lack technical ability . or knowledge regarding control of air pollution. (y) FEDERALIMPLEMENTATION PLAN - The term " Federal implementation plan" means a plan (or portion thereof) promulgated by the Administrator to fill all or a portion of a gap or otherwise correct all or a portion of an inadequacy in a State , implementation plan, and which includes enforceable emission limita-l tions or other control measures, means or techniques (including j economic incentives, such as marketable permits or auctions of emis- J sions allowances), and provides for attainment of the relevant national ambient air quality standard. (z) STATIONARY SOURCE The term " stationary source" means generally any source of an air pollutant except those emissions resulting directly from an internal combustion engine for transportation purposes or from a nonroad en-gine or nonroad vehicle as defined in section 7550 of this tittel 3 July 14,1955,c. 360, Title 111,302, formefly 9, as added Dec.17,1%3, Pub.L 88- 206,1, 77 Stat. 400, renumbered Oct. 20,1%5, Pub.L 89-272, Title I,101(4),79 Stat. 992, and amended Nov. 21,1%7, Pub L. 90-148,2,81 Stat. 504; Dec. 31,1970, Pub.L 91-6G4, 15(a)(1),(c)(1),84 Stat.1710,1713; Aug. 7,1977, Pub.L 95-95, Title II,218(c) Title Ill,101,91 Stat. 761,769; Nov.16,1977, Pub.L 95-190,14(a)(76),91 Stat.1404, Pub.L 101-549. Title I,101(d)(4),107(a),(b),108(i),109(b), Title 111,302(c), Title VII,709, Nov.15,1990,104 Stat. 2409,2464,2468,2470,2574,2684. e
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TITLE III-HAZARDOUS AIR POLLUTANTS Sec. 301. Hazardous Air Pollutants. Sec. 302. Conforming Amendment. Sec. 303. Risk Assessment and Management Commission. Sec. 304. Chemical Process Safety Management. Sec. 305. Solid Waste Combustion. Sec. 306. Ash Management and Disposal. SEC. 301. IIAZARDOUS AIR POLLUTANTS 42 USC 7412. Section 112 of the Clean Air Act is amended to read as follows:
"SEC.112. IIAZARDOUS AIR POLLUTANTS
"(a) DEFINITIONS.-For purposes of this section, except subsec-tion (r)-
"(1) Major Source.-The term ' major source' means any sta-tionary source or group of stationary sources located within 'a contiguous area and under common control that emits or has the potential to emit considering controls, in the aggregate,10 tons per year or more of any hazardous air pollutant or 25 tons per year or more of any combination of hazardous air pollutants. The Ad-ministrator may establish a lesser quantity, or in the case of radionuclides different criteria, for a major source than that speci-fled in the previous sentence, on the basis of the potency of the air pollutant, persistence, potential for bioaccumulation, other char-acteristics of the air pollutant, or other relevant factors.
"(2) Area source.-The term ' area source' means any station-ary source of hazardous air pollutants that is not a major source.
For purposes of this section, the term ' area source'shall not in-clude motor vehicles or nonroad vehicles subject to regulation under title II.
"(3) Stationary Source.-The term ' stationary source'shall have the same meaning as such term has under section 111(a).
"(4) New Source.-The term 'new source' means a stationary source the construction or reconstruction of which is commenced after the Administrator first proposes regulations under this sec-tion establishing an emission standard applicable to such source.
"(5) Modification.-The term ' modification' means any physical change in, or change in the method of operation of, a major source which increases the actual emissions of any hazard-ous air pollutant emitted by such source by more than a de minimis amount or which results in the emission of any hazardous air pollutant not previously emitted by more than a de minimis amount.
"(6) llazardous Air Pollutant.-The term' hazardous air pol-lutant' means any air pollutant listed pursuant to subsection (b).
"(7) Adverse Environmental Effect.-The term
- adverse envi-ronmental effect' means any significant and widespread adverse effect, which may reasonably be anticipated, to wildlife, aquatic life, or other natural resources, including adverse impacts on pop-h i
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ulations of endangered or threatened species or si degradation of environmental quality over broad areas.gnificant
"(8) Electric Utility Steam Generating Unit.-The term
'c!cetrie utility steam generating unit' means any fossil fuel fired combustion unit of more than 25 megawatts that serves a generator that produces electricity for sale. A unit that cogen-erates steam and electricity and supplies more than one-third ofits potential electric output capacity and more than 25 mega-watts electrical output to any utility power distribution system for sale unit. shall be considered an electnc utility steam generating
"(9) Owner or Operator.-The term ' owner or operator' vises a stationary source.means any person who owns, leases, operates, controls, or super-
"(10) Existing Source.-The term 'existin stationary source other than a new source. g source' means any
"(11) Carcinogenic Effect.-Unless revised, the term 'carcino-genic effect'shall have the meaning provided by the Administrator under Guidelines for Carcinogenic Risk Assessment as of the date of enactment. Any revisions in the existing Guidelines shall be subject to notice and opportunity for comment.
"(b) LIST OF POLLUTANTS.
"(1) Initial List.-The Congress establishes for purposes of this section a list of hazardous air pollutants as follows:
O Radionuclides (including radon)5
-(2) Revision Of The List.-The Administrator shall periodi-cally review the list established by this subsection and publish the results thereof and, where appropriate, revise such list by rule, adding pollutants which present, or may present, through inhala-tion or other routes of exposure, a threat of adverse human health effects including to be, o(r may reas, but not limited to, substances which are known genic, teratogenic, onably be anticipated to be, carcinogenic, muta-neurotoxic, which cause reproductive dysfunction, or which are acutely or chronically toxic) or adverse emironmental effects whether through ambient concentrations, bicaccumulation, deposition, or otherwise, but not including re-leases subject to regulation under subsection (r) as a result of emissions to the air. No air pollutant which is listed under section
, 108(a) may be added to the list under this section, except that the prohibition of this sentence shall not apply to any pollutant which mdependently meets the listing criteria of this paragraph and is a precursor to a pollutant which is listed under section 108(a) or to any pollutant which is in a class of pollutants listed under such section. No substance, practice, process or activity regulated un-der title VI of this act shall be subject to regulation under this S section solely due to its adverse effects on the environment. A type of atom which spontaneously undergoes radioactive decay. n ., 210 u286'
i I l "(3) Petitions To Modify The List.- l "(A) Beginning at any time after 6 months after the date of I enactment of the Clean Air Act Amendments of 1990, any person may petition the Administrator to modify the list of hazardous air pollutants under this subsection by adding or 1 deleting a substance or, in case of listed pollutants without CAS numbers (other than coke oven emissions, mineral fibers, or polycyclic organic matter) removing certain unique sub-stances. Within 18 months after receipt of a petition, the Administrator shall either grant or deny the petition by pub-lishing a written explanation of the reasons for the Administrator's decision. Any such petition shall include a showing by the petitioner that there is adequate data on the health or environmental defects of the pollutant or other evi-dence adequate to support the petition. The Administrator may not deny a petition solely on the basis of inadequate re-sources or time for review.
"(B) The Administrator shall add a substance to the list upon a showing by the petitioner or on the Administrator's own determination that the substance is an air pollutant and that emissions, ambient concentrations, bioaccumulation or deposition of the substance are known to cause or may reason-ably be anticipated to cause adverse effects to human health or adverse environmental effects.
"(C) The Administrator shall delete a substance from the list upon a showing by the petitioner or on the Administrator's own determination that there is adequate data on the health and environmental effects of the substance to determine that emissions, ambient concentrations, bioaccumulation or depo-sition of the substance may not reasonably be anticipated to cause any adverse effects to the human health or adverse envi-ronmental effects.
"(D)The Administrator shall delete one or more unique chemical substances that contain a listed hazardous air pollu-tant not having a CAS number (other than coke oven emissions, mineral fibers, or polycyclic organic matter) upon a showing by the petitioner or on the Administrator's own deter-mination that such unique chemical substances that contain I
the named chemical of such listed hazardous air pollutant meet the deletion requirements of subparagraph (C). The Adminis-trator must grant or deny a deletion petition prior to promulgating any emission standards pursuant to subsection (d) applicable to any source category or subcategory of a listed hazardous air pollutant without a CAS number listed under subsection (b) for which a deletion petition has been filed within 12 months of the date of enactment of the Clean Air Act Amendments of 1990.
"(4) Further Information.-If the Administrator determines that information on the health or environmental effects of a sub-stance is not sufficient to make a determination required by this
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r subsection, the Administrator may use any authority available to the Administrator to acquire such information.
"(5) Test Methods.-The Administrator may establie by rule, test measures and other analytic procedures fm monttorng and measuring emissions, ambient concentrations, deposition, and bicaccumulation of hazardous air pollutants.
"(6) Prevention Of Significant Deterioration.-TM provi-sions of part C (prevention of significant deterioration) shall not apply to pollutants listed under this section.
"(7) Lead.-The Administrator may not list elemental lead as a hazardous air pollutant under this subsection.
"(c) LIST OF SOURCE CATEGORIES.-
"(1) In General.-Not later than 12 months after the date of enactment of the Clean Air Act Amendments of 1990, the Admin-istrator shall publish, and shall from time to time, but no less often than every 8 years, revise, if appropriate, in response to public comment or new information, a list of all categories and subcate-gories of major sources and area sources (listed under paragraph (3)) of the air pollutants listed pursuant to subsection (b). To the extent practicable, the categories and subcategories listed under this subsection shall be consistent with the list of source categories established pursuant to section 111 and part C. Nothing in the preceding sentence limits the Administrator's authority to estab-lish subcategories under this section, as appropriate.
"(2) Requirement for Emissions Standards.-For the catego-rier and subcategories the Administrator lists, the Administrator shall establish emissions standards under subsection (d), accord-ing to the schedule in this subsection and subsection (e).
"(3) Area Sources.-The Administrator shall list under this Regulations. subsection each category or subcategmy of area sources which the Administrator finds presents a threat of adverse effects to hu-man health or the environment (by such sources individually or in the aggregate) warranting regulation under this section. The Ad-ministrator shall, not later than 5 years after the date of enactment of the Clean Air Act Amendments of1990 and pursuant to subsec-tion (k)(3)(B), list, based on actual or estimated aggregate emissions of a listed pollutant or pollutants, sufficient categories or subcategories of area sources to ensure that area sources repre-senting 90 percent of the area source emissions of the 30 hazardous air pollutants that present the greatest threat to public health in the largest number of urban areas are subject to regula-tion under this section. Such regulations shall be promulgated not later than 10 years after such date of enactment.
"(4) Previously Regulated Categories.-The Administrator may, in the Administrator's discretion, list any category or sub-category of sources previously regulated under this section as in effect before the date of enactment of the Clean Air Act Amend-ments of 1990.
"(5) Additional Categories.-In addition to those categories and subcategories of sources listed for regulation pursuant to j 212 v
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paragraphs (1) and (3) the Administrator may at any time list additional categorier and subcategories of sources of hazardous air pollutants accorr.ing to the same criteria for listing applicable i under such paragra phs. In the case of source categories and sub-categories listed after publication of the initial list required under l Paragraph (1) or (3), amission standards under subsection (d) for the category or subcat egory shall be promulgated within 10 years after the date of enactinent of the Clean Air Act Amendments of i I 1990, or within 2 years after the date on which such category or subcategory is 'irted, whichever is later.
"(9) Deletions Frou This List.-
"(A) Where the sole icason for the inclusion of a source 1 category on the list required under this subsection is the emis-sion of a unique chemical substance, the Administrator shall delete the source category from this list if it is appropriate because of action taken under either subparagraphs (C) or (D) ;
of subsection (b)(3). 1
"(B) The Administrator may delete any source category from l the list under this subsection, on petition of any person or on !
the Administrator's own motion, whenever the Administrator makes the following determination or determinations, as ap-plicable:
"(i) In the case of hazardous air pollutants emitted by sources in the category that may result in cancer in humans, a determination that no source in the category (or group of sources in the case of area sources) emits such hazardous !
air pollutants in quantities which may cause a lifetime risk of cancer greater than one in one million to the individual in the population who is most exposed to emissions of such pollutants from the source (or group of sources in the case of area sources).
"(ii) In the case of hazardous air pollutants that may re-sult in adverse health effects in humans other than cancer or adverse environmental effects, a determination that emissions from no source in the category or subcategory concerned (or group of sources in the case of area sources) exceed a level which is adequate to protect public health with an ample margin ofsafety and no adverse environmen-tal effect will result from emissions from any source (or from a group of sources in the case of area sources).
The Administrator shall grant or deny a petition under this para-graph within 1 year after the petition is filed.
"(d) EMISSION STANDARDS.-
"(1)In General.-The Administrator shall promulgate regula-tions establishing emission standards for each category or subcategory of major sources and area sources of hazardous air pollutants listed for regulation pursuant to subsection (c)in accor-dance with the schedules provided in subsections (c) and (e). The Administrator may distinguish among classes, types, and sizes of ;
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sources within a category or subcategory in establishing such stan-dards except that, there shall be no delay in the compliance date for any standard applicable to any source under subsection (i) as the result of the authority provided by this sentence.
"(2) Standards And Methods.-Emissions standard promul-gated under this subsection and applicable to new or existing sources of hazardous air pollutants shall require the maximum -
degree of reduction in emissions of the hazardous air pollutants subject to this section (including a prohibition on such emissions, where achievable) that the Administrator, taking into consider-ation the cost of achieving such emission reduction, and any non-air quality health and environmental impacts and energy re-quirements, determines is achievable for new or existing sources in the category or subcategory to which such emission standard applies, through application of measures, processes, methods, sys-tems or techniques including, but not limited to, measures which-
"(A) reduce the volume of, or climinate emissions of, such pollutants through process changes, substitution of materials or other modifications,
"(B) encloce systems or processes to eliminate emissions,
"(C) collect, capture or treat such pollutants when released from a process, stack, storage or fugitive emissions point,
"(D) are design, equipment, work practice, or operational standards (including requirements for operator training or certification) as provided in subsection (h), or
"(E) are a combination of the above, None of the measures described in subparagraphs (A) through (D) shall, consistent with the provisions of section 114(c),in any way com-promise any United States patent or United States trademark right, or any confidential business information, or any trade secret or any other intellectual property right. t
"(3)New And Existing Sources.-The maximum degree of re- I duction in emissions that is deemed achievable for new sources in a category or subcategory shall not be less stringent than the emis-l l
sion control that is achieved in practice by the best controlled similar source, as determined by the Administrator. Emission standards promulgated under this subsection for existing sources in a category or subcategory may be less stringent than standards for new sources in the same category or subcategory but shall not be less stringent, and may be more stringent than- -
"(A) the average emission limitation achieved t>y the best ,
performing 12 percent of the existing sources (for which the j Administrator has emissions information), excluding those j sources that have, within 18 months before the emission stan- ) dard is proposed or within 30 months before such standard is promulgated, whichever is later, first achieved a level of emis-sion rate or emission reduction which complies, or would comply if the source is not subject to such standard, with the lowest achievable emission rate (as defined by section 91) 214 yIj l / t .
i applicable to the source category and prevailing at the time,in the category or subcategory for categories and subcategories with 30 or more sources, or
"(B) the average emission limitation achieved by the best performing 5 sources (for which the Administrator has or could
( reasonably obtain emissions information) in the category or subcategory for categories or subcategories with fewer than 30 sources.
"(4)IIcalth Threshold.-With respect to pollutants for which a health threshold has been established, the Administrator may consider such threshold level, with an ample margin of safety, when establishing emission standards under this subsection. "(5) Alternative Standard For Area Sources.-With respect only ,
to categories and subcategories of area sources listed pursuant to 1 subsection (c), the Administrator may, in lieu of the authorities I provided in paragraph (2) and subsection (f), elect to promulgate standards or requirements applicable to sources in such categories or subcategories which provide for the use of generally available control technologies or management practices by such sources to I reduce emissions of hazardous air pollutants. l "(6) Review And Revision.-The Administrator shall review, and revise as necessary (taking into account developments in prac-tices, processes, and control technologies), emission standards promulgated under this section no less often than every 8 years.
"(7) Other Regt6tements Preserved.-No emission standard or other requirement promulgated under this section shall be inter- !
I preted, construed or applied to diminish er replace the l ! requirements of a more stringent emission limitation or other i applicable requirement established pursuant to section 111, part l C or D, or other authority of this Act or a standard issued under , l State authority.
"(9) Sources Licensed By The Nuclear Regulatory Commis-sion.-No standard for radionuclide emissions from any category or subcategory of facilitics licensed by the Nuclear Regulatory Commission (or an Agreement State) is required to be promul-gated under this section if the Administrator determines, by rule, i and after consultation with the Nuclear Regulatory Commission, j that the regulatory program established by the Nuclear Regulato-ry Commission pursuant to the Atomic Energy Act for such category or subcategory provides an ample margin of safety to protect the public health. Nothing in this subsection shall preclude or deny the right of any State or political subdivision thereof to adopt or enforce any standard or limitation respecting etnissions of radionuclides which is more stringent than the standard or Emitation in effect under section 111 or this section. "(10) Effective Date.-Emission standards or other regulations promulgated under this subsection shall be effective upon pro-mulgation.
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eeoe (q) SAVINGS PROVISION.-
"(1) Standard Previously Promulgated.-Any standard under this section in effect before the date of enactment of the Clean Air Act Amendments of 1990 shall remain in force and effect after such date unless modified as provided in this section before the date of enactment of such Amendments or under such Amend-ments. Except as provided in paragraph (4), any standard under this section which has been promulgated, but has not taken effect, before such date shall not be affected by such Amendments unless modified as provided in this section before such date or under such Amendments. Each such standard shall be reviewed and, if appropriate, revised, to comply with the requirements of subsec-tion (d) within 10 years after the date of enactment of the Clean Air Act Amendments of 1990. If a timely petition for review of any such standard under section 307 is pending on such date of enact-ment, the standard shall be upheld if it complies with this section as in effect before that date. If any such standard is remanded to the Administrator, the Administrator mayin the Administrator's discretion apply either the requirements of this section, or those of this section as in effect before the date of enactment of the Clean Air Act Amendments of 1990.
"(2) Special Rule.-Notwithstanding paragraph (1), no stan-dard shall be established under this section, as amended by the Clean Air Act Amendments of 1990, for radionuclide emis-sions from (A) elemental phosphorous plants, (B) grate calcination elemental phosphorous plants, (C) phosphogyp-sum stacks, or (D) any subcategory of the foregoing. This section, asin effect prior to the date of enactment of the Clean Air Act Amendments of 1990, shall remain in effect for radio-nuclide emissions from such plants and stacks.
"(3) Other Categories.-Notwithstanding paragraph (1),
this section, as in effect prior to the date of enactment of the Clean Air Act Amendments of 1990, shall remain in effect for radionuclide emissions from non-Department of Energy Fed-eral facilities that are not nicensed by the Nuclear Regulatory Commission, coal-fired utility and industrial boilers, under-ground uranium mines, surface uranium mines, and disposal of uranium mill tailings piles, unless the Administrator, in the Administrator's discretion, applies the requirements of this section as modified by the Clean Air Act Amendments of1990 to such sources of radionuclides.
"(4) Medical Facilities.-Notwithstanding paragraph (1),no standard promulgated under this section prior to the date of enactment of the Clean Air Act Amendments of 1990 with respect to medical research or treatment facilities shall take effect for two years following the date of enactment of the Clean Air Act Amendments of1990,unless the Administrator makes a determination pursuant to a rulemaking under section 112(d)(9). If the Administrator determines that the regulatory 216 1
I l program established by the Nuclear Regulatory Commission for such facilities does not provide an ample margin of safety to protect public health, the requirements of section 112 shall fully apply to such facilities. If the Administrator determines that such regulatory program does provide an ample margin of safety to protect the public health, the Administrator is not required to promulgate a standard under this section for such facilities, as provided in section 112(d)(9).
"(r) PREVENTION OF ACCIDENTAL RELEASES.-
"(1) Purpose And General Duty.-It shall be the objective of the regulations and programs authorized under this subsection to pre-vent the accidental release and to minimize the consequences of any such release of any substance listed pursuant to paragraph (3) or any other extremely hazardous substance. The owners and op-erators of stationary wurces producing, processing, handling or storing such substances have a general duty in the same manner and to the same extent as section 654, title 29 of the United States Code to identify hazards which may result from such releases using appropriate hazard assessment techniques, to design and maintain a safe facility taking such steps as are necessary to pre-vent releases, and to minimize the consequences of accidental releases which do occur, For purposes of this paragraph, the provi-sions of section 3d4 shall not be available to any perse or otherwise be construed to be applicable to this paragraph. Nod.-
ing in this section shall be interpreted, construed, implied or applied to create any liability or basis for suit for compensation for bodily injury or any other injury or property damages to any per-son which may result from accidental releases of such substances.
"(2) Definitions.-
"(A) The term ' accidental release' means an unanticipated emission of a regulated substance or other extremely hazard-ous substance into the ambient air from a stationary source.
"(B) The term ' regulated substance' means a substance listed under paragraph (3).
"(C) The term ' stationary source' means any buildings, struc-tures, equipment, installations or substance emitting stationary activities (i) which belong to the same industrial group, (ii) which are located on one or more contiguous prop-erties, (iii) which are under the control of the same person (or persons under common control). and (iv) from which an acci-dental release may occur.
"(3) List Of Substances.-The Administrator shall promulgate not later than 24 months after November 15,1990, an initial list of 100 substances which, in the case of an accidental release, are known to cause or may reasonably be anticipated to cause death, injury, or serious adverse effects to human health or the environ-ment. For purposes of promulgating such list, the Administrator shall use, but is not limited to, the list of extremely hazardous substances published under the Emergency Planning and Com-munity Right-to-Know Act of 1986,with such rnodifications as the
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Administrator deems appropriate. The initial list shall include chlorine, anhydrous ammoma, methyl chloride, ethylene oxide, vinyl chloride, methyl isocyanate, hydrogen cyanide, ammonia, hydrogen sulfide, toluene diisocyanate, phosgene, bromine, anhy-drous hydrogen chloride, hydrogen fluoride, anhMrous sulfur dioxide, and sulfur trioxide. The initial list shall include at least 100 substances which pose the greatest risk of causing death, inju-ry, or serious adverse effects to human health or the environment from acddental releases. Regulations establishing the list shall Regulations. include an explanation of the basis for establishing the list. The list may be revised from time to time by the Administrator on the Ad-ministrator's own motion or by petition and shall be reviewed at least every 5 years. No air pollutant for which a national primary ambient air quality standard has been established shall be in-cluded on any such list. No substance, practice, process, or activity regulated under subchapter VI of this chapter shall be subject to regulations under this subsection. The Administrator shall estab-lish procedures for the addition and deletion oisubstances from the list established under this paragraph consistent with those ap-plicable to the list in subsection (b).
"(4) Factors To Be Considered.-In listing substances under paragraph (3), the Administrator shall consider each of the follow-mg criteria-
"(A) the severity of any acute adverse health effects associat-ed with accidental releases of the substance.
"(B) the likelihood of accidental releases of the substance; and
"(C) the potential magnitude of human exposure to acciden-tal releases of the substance.
"(5) Threshold Quantity.-At the time any substance is listed
' pursuant to paragraph (3), the Administrator shall establish by rule, a threshold quantity for the substance, taking into ac-count the toxicity, reactivity, volatility, dispersibility, combustibility, or flammability of the substance and the amount of the substance which, as a result of an accidental release, is known to cause or may reasonably be anticipated to cause death, injury or serious adverse effects to human health for which the substance waslisted. The Administrator is autho-rized to establish a greater threshold quantity for, or to exempt entirely, any substance that is a nutrient used in agriculture when held by a farmer.
"(11) State Authority.-Nothing in this subsection shall pre-clude, deny or limit any right of a State or political subdivision thereof to adopt or erforce any regulation, requirement, limita-tion or standard (including any procedural requirement) that is more stringent than a regulation, requirement, limitation or stan-dard in effect under this subsection or that applies to a substance not subject to this subsection.
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oo.. (7) Accident Prevention.-
"(A) In order to prevent accidental releases of regulated substances, the Administrator is authorized to promulgate re-lease prevention, detection, and correction requirements which may include monitoring, record-keeping, reporting, training, vapor recovery, secondary containment, and other design, equipment, work practice, and operational require-ments. Regulations promulgated under this paragraph may make distinctions between various types, classes, and kinds of facilities, devices and systems taking into consideration factors including, but not limited to, the size, kication, process, process controls, quantity of substances handled, potency of sub-stances, and response capabilities present at any stationary source. Regulations promulgated pursuant to this subpara-graph shall have an effective date, as determined by the Administrator, assuring compliance as expeditiously as practi-cable.
"(B)(i) Within 3 years after the date of enactment of the Regulations. Clean Air Act Amendments of 1990, the Administrator shal.'
promulgate reasonable regulations and appropriate guidance to provide, to the greatest extent practicable, for the preven-tion and detection of accidental releases of regulated substances and for response to such releases by the owners or operators of the sources of such releases. The Administrator shall utilize the expertise of the Secretaries of Transportation and Labor in promulgating such regulations. As appropriate, such regulations shall cover the use, operation, repair, replace-ment, and maintenance of equipment to monitor, detect, inspect, and control such releases, including training of per-sons in the use and maintenance of such equipment and in the conduct of periodic inspections. The regulations shall include procedures and measures for emergency response after an ac-cidental release of a regulated substance in order to protect human health and the environment. The regulations shall cov-er storage, as well as operations. The regulations shall, as appropriate, recognize differences in size, operations, pro-cesses, class and categories of sources and the voluntary actions of such sources to prevent such releases and respond to such releases. The regulations shall be applicable to a station-ary source 3 years after the date of promulgation, or 3 years after the date on which a regulated substance present at the source in more than threshold amounts is first listed under paragrap)h (3), whichever
"(ii The regulations under thisis subparagraph later, shall re-quire the owner or operator of stationary sources at which a regulated substance is present in more than a threshold quantity to prepare and implement a risk management plan to detect and prevent or minimize accidental releases of such substances from the stationary source, and to provide I
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( l l a prompt emergency response to any such releases in order j to protect human health and the environment. Such plan shall provide for compliance with the requirements of this subsection and shall also include each of the following:
"(I) a hazard assessment to assess the potential effects of an accidental release of any regulated substance. This assessment shall include an estimate of potential release quantities and a determination of downwind effects, in-ciuding potential exposures to affected populations. Such J j
assessment shall include a previous release history of the ! past 5 years, including the size, concentration, and duration 1 of releases, and shall include an evaluation of worst case accidental releases;
"(II) a program for preventing accidental releases of regulated substances, including safety precautions and maintenance, monitoring and employee training measures to be used at the source; and
"(III) a response program providing for specific ac-tions to be taken in response to an accidental release of a regulated substance so as to protect human health and the environment, including procedures for informing the pub-lic and local agencies responsible for responding to accidental releases, emergency health care, and employee training measures.
At the time regulations are promulgated under this subparagraph, the Administrator shall promulgate guidelines to assist stationary sources in the preparation of risk management plans. The guide-lines shall, to the extent practicable, include model risk management plans.
"(iii) The owner or operator of each stationary source cov-cred by clause (ii) shall register a risk management plan J prepared under this subparagraph with the Administrator be- )
fore the effective date of regulations under clause (i)in such ! form and manner as the Administrator shall, by rule, require. 1 Plans prepared pursuant to this subparagraph shall also be j submitted to the Chemical Safety and Hazard Investigation l Board, to the State in which the stationary source is k>cated, and to any kical agency or entity having responsibility for plan-ning for or responding to accidental releases which may occur at such source, and shall be available to the public under sec-tion ll4(c). The Administrator shall establish, by rule, an auditing system to regularly review and, if necessary, require revision in risk management plans to assure that the plans comply with this subparagraph. Each such plan shall be up- , dated periodically as required by the Administrator, by rule. <
"(C) Any regulatiuns promulgated pursuant to this subsec-tion shall to the maximum extent practicable, consistent with !
this subsection, be consistent with the recommendations and standards established by the American Society of Mechanical Engineers (ASME), the American National Standards Insti-
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tute (ANSI) or the American Society of Testing Materials (ASTM). The Administrator shall take into consideration the concerns of small business in promulgating regulations under I this subsection.
"(D) In carrying out the authority of this paragraph, the Administrator shall consult with the Secretary of Labor and the Secretary of Transportation and shall coordinate any re- g quirements under tius paragraph with any requirements i established for comparable purposes by the Occupational Safety and Health Administration or the Department of Trans-portation. Nothing in this subsection shall be interpreted, construed or applied to impose requirements affecting, or to grant the Admmistrator, the Chemical Safety and Hazard In-vestigation Board, or any other agency any authority to regulate (including requirements for hazard assessment), the accidental re! case of radionuclides arising from the construc-tion and operation of facilities licensed by the Nuclear Regulatory Commission.
"(E) After the effective date of any regulation or require-ment imposed under this subsection, it shall be unlawful for any person to operate any stationary source subject to such regulatian or requirement in violation of such regulation or requirement. Each regulation or seguirement under this sub-section shall for purposes of sections 113,114,116,120,304, and 307 and other enforcement provisions of this Act, be ;
treated as a standard in effect under subsection (d). !
"(F)Notwithstanding the provisions of title V or this section, l no stationary source shall be required to apply for, or operate l pursuant to, a permit issued under such title solely because such source is subject to regulations or requirements under this subsection.
"(G) In exercising any authority under this subsection, the l Administrator shall not, for purposes of section 653(b)(1) of title 29 of the United States Code, be deemed to be exercising statutory authority to prescribe or enforce standards or regula- ,
tions affecting occupational safety and health.2 1 RL7LVilON OF STATE AltfilORTIT Sec.116. Except as otherwise provided in sections 1857c-10(e), (e), and (ff) (as in effect before August 7,1977),7543,7545(c)(4), and 7573 of this title (preempting certain State regulation of moving seurces) nothing in this Act shall preclude or deny the right of any State or political subdivision thereof to adopt or enforce (1) any standard or limitation respecting emissions of air pollutants or (2) any requirement respecting control or abatement of air pollution; except that if an emis-sion standard or limitation is in effect under an applicable l implementation plan or under section 7411 or 7412, such State or politi-cal subdivision may not adopt or enforce any emission standard or
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l i i limitation which is less stringent than the standard or limitation under i such plan or section.3 i LISTING OF CERTAIN UNREGUIATED pot 1UTANTS Sec.122. (a) Not later than one year after August 7,1977 (two years for radioactive pollutants) and after notice and opportunity for public hearing, the Administrator shall review all available relevant informa-tion and determine whether or not emissions of radioactive pollutants (including source material, special nuclear material, and byproduct material), cadium, arsenic and polycyclic organic matter into the ambi-ent air will cause, or contribute to, air pollution which may reasonably be anticipated to endanger public health. If the Administrator makes an affirmative determination with respect to any such substance, he shall simultaneously with such determination include such substance in the list published under section 7408(a)(1) or 7412(o)(1)(A) (in the case of a substance which,in thejudgment of the Admimwator, causes, or contributes to, air pollution which may reasonably be andcipated to result in an increase m mortality or an increase in serious irrew rsible, I or incapacitating reversible, illness), or shall include each category of stationary sources emitting such substance in significant amounts in the list published under section 7411(b)(1)(A), or take any combination of i such actions. (b) Nothing in subsection (a) shall be construed to affeet the author-ity of the Administrator to revise any list referred to in subsection (a) i with respect to any substance (wheth:r or not enumerated in subsection
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(a)). (c)(1) Before listing any source material, special nuclear, or byprod-uct material (or component or derivative thereof) as provided in { subsection (a), the Administrator shall consult with the Nuclear Regu- ' latory Commission. (7; Not later than six months after listing any such material (or com-ponent or derivative thereof) the Administrator and the Nuclear Regulatory Commission shall enter into an interagency agreement with ! respect to those sources or facilities which are under the jurisdiction of the Commission. This agreement shall, to the maximum extent practi-cable consistent with this Act, minimize duplication of effort and conserve administrative resources in the establishment, implementa-tion, and enforcement of emission limitations, standards of performance, and other requirements and authorities (substantive and procedural) under this Act respecting the emission of such material (os component or derivative thereof) from such sources or facilities. ! (3) In case of r.ny standard or emission limitation promulgated by the ; Administrator, under this Act or by any State (or the Administrator) I under any applicable implementation plan under this Act,if the Nu-clear Regulatory Commission determines, after notice and opportunity for public hearing that the application of such standard or limitation to ; a source or facility within the jurisdiction of the Commission would i endanger public health or safety, such standard or limitation shall not ! 3 July 14.1951 ch 360, utte 1. 0116, immerly $109, as added Nov. 21,1%7, PL 90- 148, 2,81 Stat 497, renumbered and amended Det it,1970. PL 91- 104, 04(a),(c), 84 Stat 1678,1689, June 22,1974, PL 93-319,06(b),88 Eiat. 259, Nov.16,1975, PL 95-100, Il4(a)(24), 915:st.1400. s ~' % M
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apply to such facilities or sources unless the President determines otherwise within ninety days from the date of such finding.4 TITLE V-PERMITS Sec. 501. Permits. SEC. 501. PERMITS. Add t.he following new title after title IV: TITLE V-PERMITS Sec. 501. Definitions. Sec. 502. Permit programs. Sec. 503. Permit applications. Sec. 504. Permit requirements arid conditions. Sec. 505. Notification to Administrator and contiguous States. Sec. 506. Other authorities. Sec. 507. Small business stationary source technical .nd environmental compliance assistance program. 42 USC 7661. "SEC. 501. DEFINITIONS. As used in this title-
"(1) Affected source.-The term'affected source'shall have the meaning given such term in title IV.
"(2) Major source.-The term ' major source' means any station-ary source (or any group of stationary sources located within a contiguous area and under common control) that is either of the following:
"(A) A major source as defined in section 112.
"(B) A major stationary source as defined in section 302 or part D of title 1.
"(3) Schedule of compliance.-The term ' schedule of com-pliance' means a schedule of remedial measures, including an enforceable sequence of actions or operations, leading to com-pliance with an applicable implementation plan, emission standard, emission limitation, or emission prohibition.
"(4) Permitting authority.-The term ' permitting authority' means the Administrator or the air pollution control agency au-thorized by the Administrator to carry out a permit program under this title.
42 USC 7661a. "SEC. 502. PERMIT PROGRAMS.
"(a) VIOLATIONS.-After the effective date of any permit program approved or promulgated under this title, it shall be unlawful for any I person to violate any requirement of a permit issued under this title, or to operate an affected source (as provided in title IV), a major source, any other source (including an area source) subject to standards or dJuly 14.1953. cit 360. title 1. $122. as added Aug. 7,1977, PL 95-95. title 1. $120ta). 91 stat. 720.
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l regulations under section t il or 112, any other source required to have j a permit under parts C or D of title I, or any other stationary source in a j category designated (in whole or in part) byregulations promulgated by the Administrator (after notice and public comment) which shall in-l clude a finding setting forth the basis for such designation, except in compliance with a permit issued by a permitting authority under this title. (Nothing in this subsection shall be construed to alter the applica-ble requirements of this Act that a permit be obtained before construction or modification.) The Administrator may,in the Adminis-trator's discretion and consistent with the applicable provisions of this Act, promulgate regulations to exempt one or more source categories (in whole or in part) from the requirements of this subsection if the Administrator finds that complianm with such requirements in imprac-ticable, infeasible, or unnecessarily burdensome on such categories, except that the Administrator may not exempt any major source from such requirements.
"(b) REGULATIONS.-The Administrator shall promulgate within 12 months after the date of the enactment of the Clean Air Act Amend-ments of 1990 regulations establishing the minimum elements of a permit program to be administered by any air pollution control agency.
These elements shall include each of the following:
"(1) Requirements for permit applications, including a standard application form and criteria for determining in a timely fashion the completeness of applications.
"(2) Monitoring and reporting requirements.
"(3)(A) A requirement under State or local law or interstate compact that the owner or operator of all sources subject to the requirement to obtain a permit under this title pay an annual fee, or the equivalent over some other period, sufficient to cover all reasonable (direct and indirect) costs required to develop and administer the permit program requirements of this title, includ-ing section 507,includmg the reasonable costs of-
"(i) reviewing and acting upon any application for such a permit,
"(ii) if the owner or operator receives a permit for such source, whether before or after the date of the enactment of the Clean Air Act Amendments of 1990, implementing and enforcing the terms and conditions of any such permit (not including any court costs or other costs associated with any enforcement action),
"(iii) emissions and ambient monitoring,
"(iv) preparing generally applicable regulations, or guidance, ;
"(v) modeling, analyses, and demonstrations, and
"(vi) preparing inventories and tracking emissions.
"(B)The total amount of fees collected by the permitting author-ity shall conform to the following requirements:
"(i) The Administrator shall not approve a program as meeting the requirements of this paragraph unless the State demonstrates that, except as otherwise provided in subparagraphs (ii) through (v) of this subparagraph, the
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program will result in the collection, in the aggregate, from all sources subject to subparagraph (A), of an amount not less than $25 per ton of each regulated pollutant, or such other amount as the Administrator may determine ade-quately reflects the reasonable costs of the permit program.
"(ii) As used in this subparagraph, the term ' regulated pollutant' shall mean (I) a ,olatile organic compound; (II) each pollutant regulated under section 111 or 112; and (Ill) each pollutant for which a national primary ambient air quality standard has been promulgated (except that carbon monoxide shall be excluded from this reference).
"(iii) In determining the amount under clause (i), the permitting authority is not required to include any amount of regulated pollutant emitted by any source in excess of 4,000 tons per year of that regulated pollutant. ,
"(iv) The requirements of clause (i) shall not apply if the {
permitting authority demonstrates that collecting an l amount less than the amount specified under clause (i) will
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meet the requirements of subparagraph (A).
"(v) The fee calculated under clause (i) shall be increased (consistent with the need to cover the reasonable costs authorized by subparagraph (A)) in each year beginning after the year of the enactment of the Clean Air Act Amendments of1990 by the percentage, if any, by which the j Consumer Price Index for the most recent calendar year i ending before the beginning of such year exceeds the Con- !
sumer Price Index for the calendar year 1989. For purposes ) of this clause- ;
"(I) the Consumer Price Index for any calendar year is the average of the Consumer Price Index for all-urban con-sumers published by the Department of Labor, as of the close of the 12-month period ending on August 31 of each calendar year, and
"(II) the revision of the Consumer Price Index which is most consistent with the Consumer Price Index for calen-l dar year 1989 shall be used.
"(C)(i) If the Administrator determines, under subsection (d),
that the fee provisions of the operating permit program do not l .ncet the requirements of this paragraph, or if the Administrator l makes a determination, under subsection (i), that the permitting authority is not adequately administering or enforcing an ap-proved fee program, the Administrator may, in addition to taking any other action authorized under this title, collect reasonable fees from the sources identified under subparagraph (A). Such fees shall be designed solely to cover the Administrator's costs of l administering the provisions of the permit program promulgated by the Administrator.
"(ii) Any mource that fails to pay fees lawfully imposed by the Administrator under this subparagraph shall pay a penalty of 50 percent of the fee amount, plus interest on the fee amount com-I l 225 D 1 f ldb)JJ a
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puted in accordance with section 6621(a)(2) of the Intemal Revenue Code of 1986 (trbting to computation of interest on underpayment of Federal taxes).
"(iii) Any fees, penalties, and interest collected under this sub-paragraph shall be deposited in a special fund in the United States Treasury or licensing and other services, which thereafter shall be available for appropriation, to remain available until expended, subject to appropriation, to carry out the Agency's activities for which the fees were collected. Any fee required to be collected bya State, local, or interstate agency under this subsection shall be utilized solely to cover all reasonable (direct and indirect) costs required to support the permit program as set forth in subpara-graph (A).
mim(4) Requirements ster the program. for adequate personnel and funding to ad-
"(5) A requirement that the permitting authority have adequate authority to:
"(A) issue permits and assure compliance by all sources required to have a permit under this title with each applicable standard, regulation or requirement under this Act;
"(B) issue permits for a fixed term, not to exceed 5 years;
"(C) assure that upon issuance or renewal permits incorpo-rate emission limitations and other requirements in an applicable implementation plan;
"(D) terminate, modify, or revoke and reissue permits for cause;
"(E) enforce permits, permit fee requirements, and the re-quirement to obtain a permit, including authority to recover )
civil penalties in a maximum amount of not less than $10,000 l per day for each violation, and provide appropriate criminal penalties; and ]
"(F) assure that no permit will be issued if the Administrator objects to its issuance in a timely manner under this title.
"(6) Adequate, streamlined, and reasonable procedures for ex- j peditiously determining when applications are complete, for l processing such applications, for public notice, including offering an opportunity for public comment and a hearing, and for expedi-tious review of permit actions, including applications, renewals, or l revisions, and including an opportunity for judicial review in State l court of the final permit action by the applicant, any person who participated in the public comment process, and any other person who could obtain judicial review of that action under applicable law.
"(7) To ensure against unreasonable delay by the permitting authority, adequate authority and procedures to provide that a !
failure of such permitting authority to act on a permit application or permit renewal application (in accordance with the time peri-ods specified in section 503 or, as appropriate, title IV) shall be treated as a final permit action solely for purposes of obtaining l judicial review in State court of an action brought by any person 226
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i l referred to in paragraph (6) to require that action be taken by the permitting authority on such application without additional delay.
"(8) Authority, and reasonable procedures consistent with the need for expeditious action by the permitting authority on permit applications and related matters, to make available to the public any permit application, compliance plan, permit, and monitoring or compliance report under section 503(e), subject to the provi-sions of section 114(c) of this Act.
"(9) A requirement that the permitting autho:ity, in the case of permits with a term of 3 or rnore years for major sources, shall require revisions to the permit to incorporate applicable stan-dards and regulations promulgated under this Act after the issuance of such permit. Such revisions shall occur as expeditiously as practicable and consistent with the procedures established un-der paragraph (6) but not later than 18 months after the promulgation of such standards and regulations. No such revision shall be required if the effective date of the standards or regula-tions is a date after the expiration of the permit term. Such permit revision shall be treated as a permit renewal ifit complies with the requirements of this title regarding renewals. !
"(10) Provisions to allor< chaeges within a permitted facility (or one operating pursuant to section 503(d) without requiring a per-mit revision, if the changes are not modifications under any {
provision of title I and the changes do not exceed the emissions allowable under the permit (whether expressed therein as a rate of emissions or in terms of total emissions: Provided, That the facili-ty provides the Administrator and the permitting authority with written notification in advance of the proposed changes which shall be a minimum of 7 days, tmless the permitting authority provides in its regulations a different timeframe for emergencies.
"(c) SINGLE PERMIT.-A single permit may be issued for a facility {
with multiple sources. '
"(d) SUBMISSION AND APPROVAL-(1) Not later than 3 years after the date of the enactment of the Clean Air Act Amendments of I
1990, the Governor of each State shall develop and submit to the Ad-ministrator a permit program under State or local law or under an interstate compact meeting the requirements of this title. In addition, the Governor shall submit a legal opinion from the attorney general (or the attorney for those State air pollution control agencies that have independent legal counsel), or from the chief legal officer of an inter-state agency, that the laws of the State, locality, or the interstate compact provide adequate authority to carry out the program. Not later than 1 year after receiving a program, and after notice and opportunity for public comment, the Administrator shall approve or disapprove such program, in whole or in part. The Administrator may approve a program to the extent that the program meets the requirements of this Act, including the regulations issued under subsection (b). If the pro-gram is disapproved, in whole or in part, the Administrator shall notify the Governor of any revisions or modifications necessary to obtain l
i l i approval. The Governor shall revise and resubmit the program for review under this section within 180 days after receiving notification.
"(2)(A) If the Governor does not submit a program as required under paragraph (1)or if the Administrator disapproves a program submitted by the Governor under paragraph (1), in whole or in part, the Adminis-l trator may, prior to the expiration of the 18-month period referred to in subparagraph (B),in the Administrator's discretion, apply any of the sanctions specified in section 179(b).
"(B)If the Governor does not submit a program as required under paragraph (1), or if the Administrator disapproves any such program submitted by the Governor under paragraph (1),in whole or in part,18 months after the date required for such submittal or the date of such disappa,4.1, as the case may be, the Administrator shall apply sanctions under section 179(b) in the same manner and subject to the same deadlines and other conditions as are applicable in the case of a deter-mination, disapproval, or finding under section 179(a).
"(C) The sanctions under section 179(b)(2) shall not apply pursuant to this paragraph in any area unless the failure to submit or the disap-proval referred to in subparagraph (A) or (B) relates to an air pollutant for which such area has been designated a nonattninment area (as defined in part D of title I).
"(3)If a program meeting the requirements of this title has not been approved in whole for any State, the Administrator shall,2 years after the date required for submission of such a program under paragraph (1), promulgate, administer, and enforce a program under this title for that State.
"(e) SUSPENSION.-The Administrator shall suspend the issuance of permits promptly upon publication of notice of approval of a permit program under this section, but may, in such notice, retain jurisdiction over permits that have been federally issued, but for which the adminis-trative or judicial review process is not complete. The Administrator shall continue to administer and enforce federally issued permits under this title until they are replaced by a permit issued by a permitting program. Nothing in this subsection should be construed to limit the Administrator's ability to enforce permits issued by a State.
"(f) PROHIBITION.-No partial permit program shall be approved unless, at a minimum, it applies, and ensures compliance with, this title and each of the following:
"(1) All requirements established under title IV applicable to 'affected sources *.
"(2) All requirements established under section 112 applica-ble to ' major sources',' area sources,' and 'new sources'.
"(3) All requirements of title I(other than section 112)appli-cable to sources required to have a permit under this title.
Approval of a partial program shall not relieve the State of its obliga-tion to submit a complete program, nor from the application of any
. sanctions under this Act for failure to submit an approvable permit program.
"(g) INTERIM APPROVAL-If a program (including a partial permit program) submitted under this title substantia:ly meets the re-c2bkh.e 1
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7 I l quirements of this title, but is not fully approvable, the Administrator may by rule grant the program interim approval. In the notice of final rulemaking, the Administrator shall specify the changes that must be made before the program can receive full approval. An interim approv-al under this subsection shall expire on a date set by the Administrator not later than 2 years after such appioval, and may not be renewed. For the period of any such interim approval, the provisions of subsection (d)(2), and the obligation of the Administrator to promulgate a pro-gram under this title for the State pursuant to subsection (d)(3), shall be suspended. Such provisions and such obligation of the Administrator shall apply after the expiration of such interim approval.
"(h) EFFECTIVE DATE.-The effective date of a permit program, or partial or interim prograrn, approved under this title, shall be the effective date of approval by the Administrator. The effective date of a !
permit program, or partial permit program, promulgated by the Ad-ministrator shall be the date of promulgation.
"(i) ADMINISTRATION AND ENFORCEMENT.-(1)Whenever the Administrator makes a determination that a permitting authority is not adequately administering and enforcing a program, or portion 1 thereof,in accordance with the requirements of thia title, the Adminis- l trator shall provide notice to the State and may, prior to the expiration of the 18-month period referred to in paragraph (2),in the Administra-tor's discretion, apply any of the sanctions specified in section 179(b).
"(2) Whenever the Administrator makes a determination that a per-mitting authority is not adequately administering and enforcing a program, or portion thereof, in accordance with the requirements of this title,18 months after the date of the notice under paragraph (1),the Administrator shall apply the sanctions under section 179(b) in the same manner and subject to the same deadlines and other conditions as are applicable in the case of a determination, disapprovai, or finding under section 179(a).
"(3) The sanctions under section 179(b)(2) shall not apply pursuant j to this subsection in any area unless the failure to adequately enforce 1 and administer the program relates to an air pollutant for which such j area has been designated a nonattainment area. i
"(4)Whenever the Administrator has made a finding under para- i graph (1) with respect to any State, unless the State has corrected such l deficiency within 18 months after the date of such finding, the Adminis- l trator shall, 2 years after the date of such finding, promulgate, I administer, and enforce a program under this title for that State. Noth-ing in this paragraph shall be construed to affect the validity of a program which has been approved under this title or the authority of any permitting authority acting under such program until such time as such program is promulgated by the Administrator under this para-graph.
42 USC 7661b. SEC. 503. PERMIT APPLICATIONS.
"(a) APPLICABLE DATE.-Any source specified in section 502(a) shall become subject to a permit program, and required to have a permit, on the later of the following dates--
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"(1) the effective date of a permit program or partial or interim permit program applicable to the source; or
"(2) the date such source becomes subject to section 502(a).
"(b) COMPLIANCE PLAN.-(1) The regulations required by sec-tion 502(b) shall include a requirement that the applicant submit with the permit application a compliance plan describing how the source will Reports. comply with all applicable requirements under this Act. The compliance plan shall include a schedule of compliance, and a schedule under which the permittee will submit progress reports to the permitting authority no less frequently than every 6 months.
"(2) The regulations shall further require the permittee to periodical-ly (but no less frequently than annually) certify that the facility is in compliance with any applicable requirements of the permit, and to promptly report any deviations from permit requirements to the per-mitting authority.
"(c) DEADLINE.-Any person required to have a permit shall, not later than 12 months after the date onwhich the source becomes subject to a permit program approved or promulgated under this title, or such earlier date as the permitting authority may establish, submit to the permitting authority a compliance plan and an application for a I ermit signed by a responsible official, who shall certify the accuracy of the information submitted. The permitting authority shall approve or dis-approve a completed application consistent with the procedures established under this title for consideration of such applications), and shall issue or deny the permit, within 18 months after the date of receipt thereof, except that the permitting authority shall establish a phased schedule for acting on permit applications submitted within the first full j year after the effective date of a permit program (or a partial orinterim '
program). Any such schedule shall assure that at least one-third of such permits will be acted on by such authority annually over a period of not to exceed 3 years after such effective date. Such authority shall establish reasonable procedures to prioritize such approval or disapproval ac-tions in the case of applications for construction or modification under the applicable requirements of this Act.
"(d) TIMELY AND COMPLETE APPLICATIONS.-Except for sources required to have a permit before construction or modification under the applicable requirements of this Act,if an applicant has sub-mitted a timely and complete application for a permit required by this title (including renewals), but final action has not been taken on such application, the source's failure to have a permit shall not be a violation of this Act, unless the delay in final action was due to the failure of the applicant timely to submit information required or requested to pro-cess the application. No source required to have a permit under this title shall be in violation of section 502(a) before the date on which the source is required to submit an application under subsection (c).
Public "(e) COPIES; AVAILABILITY.-A copy of each permit application, information compliance plan (including the schedule of compliance), emissions or compliance monitoring seport, certification, and each permit issued under this title, shall be available to the public. If an applicant or permittee is required to submit information entitled to protection from 230
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disclosure under section 114(c)of this Act, the applicant or permittee may submit such information separately. The requirements of section 114(c) shall apply to such information. The contents of a permit shall not be entitled to protection under section 114(c). 43 USC 7661c. "SEC. 504. PERMIT REQUIREMENTS AND CONDITIONS.
"(a) CONDITIONS.-Each permit issued under this title shall in-clude enforceable emission limitations and standards, a schedule of compliance, a requirement that the permittee submit to the permitting authority, no less often than every 6 months, the s esults of any required monitoring, and such other conditions as are necessary to assure com-pliance with applicable requirements of this Act, including the requirements of the applicable implementation plan.
"(b) MONITORING AND ANALYSIS.-The Administrator mayby rule prescribe procedures and methods for determining compliance and for monitoring and analysis of pollutants regulated under this Act, but continuous emissions monitoring need not be required if alterna-tive methods are available that provide sufficiently reliable and timely information for determining compliance. Nothing in this subsection shall be construed to affect any continuous emissions monitoring re-quirement of title IV, or where required elsewhere in this Act.
"(c) INSPECTION, ENTRY, MONITORING, CERTIFICATION, AND REPORTING.-Each permit issued under this title shall set forth inspection, entry, monitoring, compliance certification, and re-porting requirements to assure compliance with the permit terms and conditions. Such monitoring and reporting requirements shall conform to any applicable regulation under subsection (b). Any report required to be submitted by a permit issued to a corporation under this title shall be signed by a responsible corporate official, who shall certify its accu-racy.
"(d) GENERAL PERMITS.-The permitting authority may, after notice and opportunity for public hearing, issue a general permit cover-ing numerous similar sources. Any general permit shall comply with all
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requirements applicable to permits under this title. No source covered by a general permit shall thereby be relieved from the obligation to file an application under section 503.
"(c) TEMPORARY SOURCES.-The permitting authority may is-sue a single permit authorizing emissions from similar operations at ;
multiple temporary locations. No such permit shall be issued unless it l includes conditions that will assure compliance with all the require- J ments of this Act at all authorized locations, including, but not limited l to, ambient standards and compliance with any applicable increment or visibility requirements under part C of title I. Any such permit shallin addition require the owner or operator to notify the permitting author-ity in advance of each change in location. The permitting authority may l require a separate permit fee for operations at each location. l
"(f) PERMIT SillELD.-Compliance with a permit issued in accor- l dance with this title shall be deemed compliance with section 502.
Except as otherwise provided by the Administrator by rule, the permit may also provide that compliance with the permit shall be deemed
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231 c5 Y l I i
h compliance with other applicable provisions of this Act that relate to the permittee if-
"(1) the permit includes the applicable requirements of such provisions, or
"(2) the permitting authority in acting on the permit application makes a determination relating to the permittee that such other provisions (which shall be referred to in such determination) are not applicable and the permit includes the da*artrination or a concise summary thereof.
Nothing in the preceding sentence shall alter or affect the provisions of section 303, including the authority of the Administrator under that section. 42 USC 7661d. "SEC. 505. NOTIFICATION TO ADMINISTRATOR AND CON-TIGUOUS STATES.
"(a) TRANSMISSION AND NOTICE.-(1) Each permitting au-thority-
"(A) shall transmit to the Administrator a copy of each permit application (and any application for a permit modification or re-newal) or such portion thereof, including any compliance plan, as the Administrator may require to effectively review the applica- I tion and otherwise to carry out the Administrator's I responsibilities under this Act, and
"(B) shall provide to the Administrator a copy of each permit j proposed to be issued and issued as a final permit.
"(2) The permitting authority shall notify all States-
"(A) whose air quality may be affected and that are contiguous l to the State in which the emission originates, or j
"(B) that are within 50 miles of the searce, of each permit application or proposed permit forwarded to the ;
Administrator under this section, and shall provide an opportunity for such States to submit written recommendations respecting the issuance of the permit and its terms and conditions. If any part of those recommendations are not accepted by the permitting authority, such authority shall notify the State submitting the recommendations and the Administrator in writing of its failure to accept those recommendations and the reasons therefor.
"(b) OBJECTION BY EPA.-(1) If any permit contains provisions that are i*crmined by the Administrator as not in compliance with the applicable requirements of this Act, including the requirements of an applicable implementation plan, the Administrator shall, in accordance with this subsection, object to its issuance. The permitting authority shall respond in writing if the Administrator (A) within 45 days after receiving a copy of the proposed permit under subsection (a)(1), or (B) within 45 days after receivmg notification under subsection (a)(2), ob-jects in writing to its issuance as not in compliance with such requirements. With the objection, the Administrator shall provide a statement of the reasons for the objection. A copy of the objection and statement shall be provided to the applicant.
"(2)lf the Administrator does not object in writing to the issuance of a permit pursuant to paragraph (1), any person may petition the Ad-232 h /
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ministrator within 60 days after the expiration of the 45-day review period specified in paragraph (1) to take such action. A copy of such petition shall be provided to the permitting authority and the applicant by the petitioner. The petition shall be based only on objections to the permit that were raised with reasonable specificity during the public comment period pnwided by the permitting agency (unless the peti-tioner demonstrates in the petition to the Administrator that it was impracticable to raise such objections within such period or unless the grounds for such objection arose after such period). The petition shall identify all such objections. If the permit has been issued by the permit-ting agency, such petition shall not postpone the effectiveness of the permit. The Administrator shall grant or deny such petition within 60 days after the petition is filed. The Administrator shall issue an objec-tion within such period if the petitioner demonstrates to the Administrator that the permit is not in compliance with the require-ments of this Act, including the requirements of the applicable implementation plan. Any denial of such petition shall be subject to judicial review under section 307. The Administrator shall include in regulations under this title provisions to implement this paragraph. The Administrator may not delegate the requirements of this paragraph.
" 1) Upon receipt of an objection by the Administrator under this sub dion, the permitting authority may not issue the permit unless it is revL. .nd issued in accordance with subsection (c). If the permitting authority has issued a permit prior to receipt of an objection by the Administrator under paragraph (2) of this subsection, the Administra-tor shall modify, terminate, or revoke such permit and the permitting authority may thereafter only issue a revised permit in accordance with subsection (c). "(c) ISSUANCE OR DENIAL-If the permitting authority fails, within 90 days after the date of an objection under subsection (b), to submit a permit revised to meet the objection, the Administrator shall issue or deny the permit in accordance with the requirements of this title. No objection shall be subject to judicial review until the Adminis-trator takes final action to issue or deny a permit under this subsection. "(d) WAIVER OF NOTIFICATION REQUIREMENTS.-(1) The 1 Administrator may waive the requirements of subsections (a) and (b) at >
the time of approval of a permit program under this title for any catego-ry (including any class, type, or size within such category) of sources covered by the program other than major sources.
"(2) The Administrator may, by regulation, establish categories of sources (including any class, type, or size within such category) to which the requirements of subsections (a) and (b) shall not apply. The preced-ing sentence shall not apply to major sources.
"(3) The Administrator may exclude from any waiver under this subsection notification under subsection (a)(2). Any waiver granted under this subsection may be revoke or modified by the Administrator by rule.
"(e) REFUSAL OF PERMITTING AUTilORITY TO TERMI-NATE, MODIFY, OR REVOKE AND REISSUE.-If the Administrator finds that cause exists to terminate, modify, or revoke 1
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1 l and reissue a permit under this title, the Administrator shall notify the permitting authority and the source of the Administrator's finding. The permitting authority shall, within 90 days after receipt of such notifica. tion, forward to the Administrator under this section a proposed determination of termination, modification, or revocation and reis-suance, as appropriate. The Administrator may extend such 90 day period for an additional 90 days if the Administrator finds that a new or revised permit application is necessary, or that the permitting authority must require the permittee to submit additional information. The Ad-ministrator may review such proposed determination under the provisions of subsections (a) and (b). If the permitting authority fails to 1 submit the required proposed determination, or if the Administrator i objects and the per;aitting authority fails to resolve the objection within 90 days, the Administrator may, after notice and in accordance with fair and reasonable procedures, terminate, modify, or revoke and reissue the permit. 42 USC 7661e. "SEC. 506. OTilER AUTI{0RITIES.
"(a) IN GENERAL-Nothing in this title shall prevent a State, or ;
interstate permitting authority, from establishing additional permitting requirements not inconsistent with this Act.
"(b) PERMITS IMPLEMENTING ACID RAIN PROVISIONS.-
. The provisions of this title, including provisions regarding schedules for submission and approval or disapproval of permit applications, shall apply to permits implementing the requirements of title IV except as modified by that title.
42 USC 7661f. "SEC. 507. SMALL BUSINESS STATIONAR'r SOURCE TECIINI-CAL AND ENVIRONMENTAL
- COMPLIANCE ASSISTANCE PROGRAM.5 l l i
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- Text not reprinted -See P.L 101-549.
! 5(July 14.1955, ch. 360, title V, 507, as added Nov.15,1990, Pub.L 101-549, 501,104 Stat. 2645.) O h
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SECTION 511 OF Tile FEDERAL WATER POLLUTION CONTROL ACT OF 1972 30 Stat.1151 PAGE USC 33 USC 1371 Sec. 511 Other Affected Authority . . . . . . . . . . . . 236 . . . . .42 USC 4321 I 1 l l l 235 h if.'2/* s
SECTION 511 OF Tile FEDERAL WATER POLLUTION CONTROL ACT OF 1972 OTIIER AITECTED ALTFIIORITY Sec. 511. (a) This act shall not be construed as (1) limiting the author-ity or functions of any officer or agency of the United States under any other law or regulation not inconsistent with this Act; (2) affecting or impairing the authority of the Secretary of the Army (A) to maintain navigation or (B) under the Act of March 3,1899 (30 Stat.1112); ex-cept that any permit issued under section 404 of this Act shall be conclusive as to the effect on water quality of any discharge resulting from any activity subject to section 10 of the Act of March 3,1899, or 30 STAT 1151 (3) affecting or impairing the provisions of any treaty of the United States. (b) Discharges of pollutants into the navigable waters subject to the 33 USC 1371 Rivers and liarbors Act of 1910 (36 Stat. 593; 33 U.S.C. 421) and the Supervisory liarbors Act of 1888 (25 Stat. 209; 33 U.S.C. 441-451b) 72 STAT 970 shall be regulated pursuant to this Act, and not subject to such Act of 1910 and Act of 1888 except to effect on navigation and anchorage. (c)(1) Except for the provision of Federal financial assistance for the purpose of assisting the construction of publicly owned treatment works as authorized by section 201 of this Act, and the issuance of a permit under section 402 of this Act for the discharge of any pollutant by a new source as defined in section 306 of this Act, no action of the Administrator taken pursuant to this Act shall be deemed a major Federal action significantly affecting the quality of the human environ-ment within the meaning of the National Environmental Policy Act of 42 USC 4321 1969 (83 Stat. 852); and note. (2) Nothing in the National Environmental Policy Act of 1969 (83 Stat. 852) shall be deemed to-(A) authorize any Federal agency authorized to license or per-mit the conduct of any activity which may result in the discharge of a pollutant into the navigable waters to review any effluent limita-tion or other requirement established pursuant to this Act or the adequacy of any certification under section 401 of this Act; or (B) authorize any such agency to impose, as a condition prece-dent to the issuance of any license or permit, any effluent limitation other than any such limitation established pursuant to this Act. (d) Not withstanding this Act or any other provision oflaw, the Ad-ministrator (1)shall rot require any State to consider in the development of the ranking in order of priority of needs for the construction of treatment works (as defined in title II of this Act), any water pollution control agreement which may have been entered into between the United States and any other nation, and (2) shall not consider any such agreement in the approval of any such priority rank-ing.1
'Puble La 93043 (87 Stat.1069)(1974) sec. 3. added subsec. (d).
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NATIONAL ENVIRONMENTAL POLICY ACT OF 1%9 AS AMENDED 3 Public Law 91-190 83 Stat. 852 TITLE I PAGE USC 42 USC Sec. 1 Sec.101 Declaration of National j Environmental Policy. . . . ... . . . . . . . 238 .. ... TITLE II Sec. 201 Council on Environmental Quality Rep (nt to Qmgress . . . . . . . . . . . . . .. .. 241 ... ., .. Sec. 202 Council on Environmental Ouality. . . . . . . . . 241 .. . . Sec. 203 Employment / Compensation . . ..... . .242 . . . j Sec. 204 Duties and Function . .... . . .. . . 242 .. .. j Sec. 205 Power . . . . . . . . . . . . . ... . .242 . . .. : Sec. 206 Tenure and Compensation . . . .. .... .243 . ........ J Sec. 207 Travel Reimbursement. ......... . ... .. 243 . 4346a l Sec. 208 Expenditures on International Travel . . . . . .243 . 4346b l Sec.209 Appropriations. . .. .. .... . . . . . 243 ..... l l l 1 l l 237 hY, 1 i
NATIONAL ENVIRONMENTAL POLICY ALT OF 1%9, As Amended Public Law 91-190 83 Stal 852 January 1,1970 An Act To establish a national policy for the environment, to provide for the National establishment of a Council on Environmental Quality, and for other Environmental purposes. Policy Act of . 1969 Be it enacted by the Senate and House of Representatives of the United States ofAmerica in Congress assembled, That this Act may be cited as the " National Environmental Policy Act of1969" PURPOSE Sec. 2. The purposes of this Act are: To declare a national policy which will encourage productive and enjoyable harmony between man and his environment; to promote efforts which will prevent or eliminate damage to the environment and biosphere and stimulate the health and welfare of man; to enrich the understanding of the ecological systems Policies and and natural resources important to the Nation; and to establish a goals. Council on Environmental Quality. TITLE I-DECLARATION OF NATIONAL ENVIRONMENTAL POLICY Sec.101. (a) The Congress, recognizing the profound impact of man's activity in the interrelations of all components of the natural environ-ment, particularly the profound influences of population growth, s high-density urbanization, industrial expansion, resource exploitation, i and new and expanding technological advances and recognizmg further l the critical importance of restoring and maintaining environmental quality to the overall welfare and development of man, declares that it is the continuing policy of the Federal Government, in cooperation with i State and local governments, and other concerned public and private organizations, to use all practicable means and measures, including financial and technical assistance, in a manner calculated to foster and promote the general welfare, to create and maintain conditions under which man and nature can exist in productive harmony, and fulfill the j social, economic, and other requirements of present and future genera- i tions of Americans. ) (b) In order to carry out the policy set forth in this Act, it is the continuing responsibility of the Federal Government to use all practica-ble means, consistent with other essential considerations of national ; policy, to improve and coordinate Federal plans, functions, programs, ; and resources to the end that the Nation may-238
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(1) fulfill the responsibilities of each generation as trustee of the environment for succeeding generations; (2) assure for all Americans safe, healthful, productive, and aesthetically and culturally pleasing surroundings; (3) attain the widest range of beneficial uses of the environ-ment without degradation, risk to health or safety, or other undesirable and unintended consequences; (4) preserve important historic, cultural, and natural aspects of our national heritage, and maintain, wherever possible, an envi-ronment which supports diversity and variety ofindividual choice; (5) achieve a balance between population and resource use which will permit high standards of living and a wide sharing of life's amenities; and (6) enhance the quality of renewable resources and ap; .oach the maximum attainable recycling of depletable resources. (c) The Congress recognizes that each person should enjoy a health-ful environment and that each person has a responsibility to contribute to the preservation and enhancement of the environment. Administration. Sec.102. The Congress authorizes and directs that, ta the fullest extent possible (1) the policies, regulations, and pubbe laws of the United States shall be interpreted and administered in accordance with the policies set forth in this Act, and (2) all agencies of the Federal Government shall-(A) utilize a systematic, interdisciplinary approach which will insure the integrated use of the natural and social sciences and the environmental design arts in planning and in decisionmaking which may have an impact on man's environment; (11) identify and develop methods and procedures, in consulta-tion with the Council on Environmental Quality established by title 11 of this Act, which will insure that presently unquantified environmental amenities and values may be given appropriate consideration in decisionmaking along with economic and techni-cal considerations; (C) include in every recommendation or report on proposals for legislation and other major Federal actions significantly af fect-ing the quality of the human environment; a detailed statement by the responsible official on-(i) the environmental impact of the proposed action, (ii) any adverse environmental effects which cannot be avoided should the proposal be implemented, ! (iii) alternatives to the proposed action, l (iv) the relationship between local short-term uses of man's i environment and the maintenance and enhancement oflong- ! term productivity, and l (v) any irreversible and irretrievable commitments of re-l sources which would be involved in the proposed action should it be implemented. Prior to making any detailed statement, the responsible Federal official shall consult with and obtain the comments of any Federal agency which 239 T l [2 f? e
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r Copies of state- has jurisdiction by law or special expertise with respec' to any environ-ments, etc.; mental impact myo!ved. Copies of such statement and the comments avoilability. and views of the wmtpriate Federal, State, and local agencies, which are authorized to dev6op ad cdorce envirenmental standards, shall be made available to the hesident, the Council on Environmental Quality and to the public as proviN by section 552 of title 5, United States Code, and shall accompany the proposal through the existing agency review processes; (D) Any detailed statement required under subparagraph (C) after January 1,1970, for any major Federal action funded under a program of grants to States shall not be deemed to be legally insufficient solely by reason of having been prepared by a State agency or officials, if: (i) the State agency or official has statewide jurisdiction and has the responsibility for such action, (ii) the responsible Federal official furnishes guidance and participates in such preparation, (iii) the responsible Federal official independently evaluates such statement prior to its approval and adoption, and j (iv) after January 1,1976, the responsible Federal official provides early notification to, and solicits the views of, any other State or any Federal land management entity of any alternative, thereto which may have significamt impacts upon such State or affected Federalland management entity and,if there is any disagreement on such impacts, prepares a written assessment of such impacts and views for incorporation into such detailed statement. The procedures in this subparagraph shall not relieve the Federal official of his responsibilities for the scope, objectivity, and con-tent of the entire statement or of any other responsibility under this Act; and further, this subparagraph does not affect the legal j sufficiency of statements prepared by State agencies with less than i statewide jurisdiction.1 l (E) study, develop, and describe appropriate alternatives to recommend courses of action in any proposal which involves unre-solved conflicts concerning alternative uses of available resources; (F) recognize the worldwide and long-range character of envi-ronmental problems and, where consistent with the foreign policy of the United States, lend appropriate support to initiatives, reso-lutions, and programs designed to maximize international cooperation in anticipating and preventing a decline in the quality - of mankind's world environment; (G) make available to States, counties, municipalities, institu-tions, and individuals, advice and information useful in restoring, maintaining, and enhancing the quality of the environment; j (II) initiate and utilize ecological information in the planning i and development of resource-oriented projects; and l IPublic I am 94-83 (89 Stat 424)(1975) amended Sec.102 (2) by redesignaling subparagraphs (D),(F)(F),(G), and (11) as subpaingraphs (ii), (F), (G), (II), sad (1), rmpe ettvely; and added a new subparagraph (D) NO h I
(1) assist the Council on Environmental Quality established by title II of this Act. Review. Sec.103. All agencies of the Federal Government shall review their present statutory authority, administrative regulations, and current policies and procedures for the purpose of determining whether there are any deficiencies or inconsistencies therein which prchibit full compliance with the purposes and provisions of this Act and shall propose to the President not later than July 1,1971, such measures as may be necessary to bring their authority and policies into conformity with the intent, purposes, and procedures set forth in this Act. Sec.104. Nothing in Section 102 or 103 shall in any way affect the specific statutory obligations of any Federal agency (1) to comply with criteria or standards of environmental quality, (2) to coordinate or consult nith any other Federal or State agency, or (3) to act, or refrain from acting contingent upon the recommenditions or certification of any other Federal or State agency. Sec.105. The polices and goals set forth in this Act are supplemen-tary to those set forth in existing authorization of Federal agencies. TITLE Il-COUNCIL ON ENVIRONMENTAL QUALITY Report to Sec. 201. The President shall transmit to the Congress annually Congress beginning July 1,1970, an Environmental Quality Report (hereinafter referred to as the " report") which shall set forth (1) the status and condition of the major natural manmade, or altered environmental classes of the Nation, including, but not limited to, the air, the aquatic, including marine, estuarine, and fresh water, and the terrestrial environment, including, but not limited to, the forest, dryland, wetland, range, urban, suburban, and rural environment; (2) current and foreseeable trends in the quality, management and utilization of such environments and the effects of those trends on the social, economic, , and other requirements of the Nation; (3) the adequacy of available natural resources for fulfilling human and economic requirements of
. the Nation in the light of expected population pressures; (4) a review of t the programs and activities (including regulatory activities) of the l Federal Government, the State and local governments, and l_ nongovernmental entities or individuals, with particular reference to l their effect on the environment and on the conservation, development l
and utilization of natural resources; and (5) a program for remedying the deficiencies of existing programs and activities, together with recommendations for legislation. Council on Sec.202. There is created in the Executive Office of the President a Environmental council on Environmental Quality (hereinafter referred to as the Outlity. " Council"). The council shall be composed of three members who shall be appointed by the President to serve at his pleasure, by and with the advice and consent of the Senate. The President shall designate one of the members of the Council to serve as Chairman. Each member shall be a person who, as a result of his training, experience, and attainments, is exceptionally well qualified to analyze and interpret environmental trends and information of all kinds; to appraise programs and activities of the Federal Government in the light of the policy set forth in title I of this Act; to be conscious of and responsive to the scientific, economic, f 241
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social, esthetic, and cultural needs and interests of the Nation; and to formulate and recommend national policies to promote the improvement of the quality of the environment. See. 203. (a)2 The Council may employ such officers and employees as may be necessary to carry out its functions under this Act. In addi. tion, the Council may employ and fix the compensation of such experts and consultants as inay be necessary for the carrying out of its functions under this Act,in accordance with section 3109 of title 5, United States Code (but without regard to the last sentence thereof). Voluntary and (b) Notwithstanding section 3679(b) of the Revised Statutes (31 uncompensated U.S.C. 665(b)), the Council may accept and employ voluntary and services. uncompensated services in furtherance of the purposes of the Council.3 80 STAT. 416 See.204. It shall be the duty and function of the Council-Duties and (1) to assist and advise the President in the preparation of the l functions. Environmental Quality Report required by section 201; (2) to gather timely and authoritative information concerning the conditions and trends in the quality of the environment both current and prospective, to analyze and interpret such informa-tion for the purpose of determinmg whether such conditions and trends are interfering, or are likely to interfere, with the achieve-ment of the policy set forth in title I of this Act, and to compile and submit to the President studies relating to such conditions and trends; (3) to review and appraise the various programs and activities of the Federal Government in the light of the policy set forth in title I of this Act for the purpose of determining the extent to which such programs and activities are contributing to the achievement of such policy, and to make recommendations to the ! President with respect thereto; I (4) to develop and recommend to the President national poli-cies to foster and promote the improvement of environmental quality to meet the conservation, social, economic, health, and other requirements and goals of the Nation; (5) to conduct investigations, studies, smveys, research, and analyses relating to ecological systems and environmental quality; (6) to document and deline changes in the natural environ-ment, including the plant and animal systems, and to accumulate necessary data and other information for a continuing analysis of these changes or trends and an interpretation of their underlying causes; (7) to report at least once each year to the President on the j state and condition of the environment; and j (8) to make and furnish such studies, reports thereon, and recommendations with respect to matters of policy and legislation as the President may request. 34 ER. 8693. Sec.205, in exercising its powers, functions, and duties under this Act, the council shall-I j $$!NUl0IE$Ud!ENN!$NOU'Y"
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(1) consult with the Citizens' Advisory Committee on Envi-ronmental Quality established by Executive Order numbered 11472, dated May 29,1969, and with such representatives of sci-ence, industry, agriculture, labor, conservation organizations, State and k> cal governments and other groups, as it deems advis-eble; and (2) utilize, to the fullest extent possible, the services, facilities, and information (including statistical information) of public api private agencies and organizations, and individuals, in order that duplication of effort and expense may be avoided, thus assuring that the Council's activities will not unnecessarily overlap or con-flict with similar activities authorized by 1:w and performed by established agencies. Tenure and Sec.206. Members of the Council shall serve full time and the compensation. Chairmen of the Council shall be compensated at the rate provided for 80 STAT. 460,461. Level II of the Executive Schedule Pay Rates (5 U.S.C. 5313). The other metr.oers of the council shall be compensated at the rate provided 81 STAT. 638. for Level IV or the Executive Schedule Pay Rates (5 U.S.C. 5315). ACCEPTANCE OF TRAVEL REIMBURSEMENT 42 USC 4346a. Sec. 207.4 The Council may accept reimbursements from any private nonprofit organization or from any department, agency, or instrumentality of the Federal Government, any State, or local government, for the reasonable travel expenses incurred by an officer or employee of the Council in connection with his attendance at any conference, seminar, or similar meeting conducted for the benefit of the Council.5 EXPENDI1URES OR INTERNATIONAL 1 RAVEL 42 USC 4346b. Sec.208. The Council may make expenditures in support of its international activities, including expenditures for; (1) international travel; (2) activities in implementation of international agreements; and (3) the support of international exchange programs in the United States and in foreign countries."5 Appropriations. Sec.209.4 There are authorized to be appropriated to carry out the provisions of this Act not to exceed $300,000 for fiscal year 1970,
$700,000 for fiscal year 1971, and $1,000,000 for each fiscal year thereafter.
Approved January 1,1970. l t-a aN 9 5 . ed e e ubne tus 0 a'nd .06, 243 cl)# :p-J
,d"y
eeee HAZARDOUS MATERIALS TRANSPORTATION UNIFORM SAFE'IY ACT OF 1990* Public Law 101-615 104 Stat. 3244 PAGE USC 49 USC Sec. Sec.1 Short
Title:
reference; table of contents . . . . . . . . 245 . .1801, note Sec.2 Find i ngs . .. . . .. . . . . . . . . . . . . . . . . . . . . . . . . . . .246 .... 1801, note Sec.103 Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 246 . . . . 1802 Sec.104 Designation of flazardous Materials. . . . . . . . . . . . . 248 .... 1803 Sec.105 Regulations Governing Transportation of liazardous Materials . . . . . . . . . . . . . . . . . . . . . . . 248 . . . . 1804 Sec.106 Ilandling of ilazardous Materials . . . . . . . . . . . . . . .254 .... 1805 Sec.107 Exe mptions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 260 ... 1806 Sec.108 Transportation of Radioactive Materials on Passenger-Carrying Aircraft. . . .. ........ . . 261 .... 1807 Sec.109 Powers a-d Duties of the Secretary. . . . . . . . . . . 261 .. 1808 Sec.110 Penalties ....... .......... ..... ... ... 263 ... 1808 Sec.111 Specific R ..c f . . . . . . . . . . . . . . . . . . . . . . . . . . 264 . . . 1810 Sec.112 Relationship to Other Laws . . . . . . . . . . . . . . . . . 265 . . . . 1811 Sec.113 Conforming Amendments. . . . . . . . . . . . . . . . . . . . 266 . . . . . . . . . Sec.114 Effective Date . . . .. ......... ...... . 268 .... 1801, note Sec.115 Authorization for Appropriations.. . .. ... ... 269 .... 1812 Sec.116 Transportation of Certam liighly Radioactive Materials . . . . . . . . . . ...... ..... 269 ... 1813 Sec.117A Public Sector Training and Planning . . . . . . . . 271 ... 1815 Sec.118 liAZMAT Employee Training Grant , Progra m . . . . . . . . . . . . . . . . . . . . . . . .. .... .278 .. . 1816 l Sec.119 Railroad Tank Cars . . . . . . . . . . . . . . . . . . . . . . . . 278 . . . . 1817 Sec.120 Application of Federal. State, and Local Law to Federal Contractors . . . . . . ..... 279 .... 1818 Sec.121. Uniformity of State Motor Carrict Registration and Permittin Forms and Procedurcs. . . .g.. ... .. .......... 280 .... 1819 Title V of Public Law 94- 187. . . . . . . . . . . . . . . . . . . . . . . . . . 288 . . 42 USC 5817 ee.. NOTE: This Act was recodified in Pub. L.103-272 (108 Stat. 759); July 5, 1994. Prior to this recodification this Act was found at 49 U.S.C. Section 1801 - 1819.
- NOTE:
PL 93-633. *rransportation safety Act of 1974." Title I was ciled as the
- Hazardous Materials Trane.
partsfion Act.* PL 101-615. *llasardma Materials Transportation Uniform safety Acto (1990" amends sectkms of the 1974 Act and added a new section. !!7A. 244 ^% n.W
Public Law 101-615 104 Stat. 3244 t
'An Act Nov.16,1990 To amend the Hazardous Materials Transportation Act to authorize ap-
[S.2936] propriations for fiscal year 1990,1991, and 1992, and for other purposes. Be it enacted by the Senate and House of Representatives of the United 11azardous States ofAmerica in Congress assembled, Materials l Transportation SECTION 1. SHORT TITLE; REFERENCE; TABLE OF-l Uniform Safety CONTENTS. l Act of 1990. 49 USC app. (a) SHORT TITLE.-This Act may be cited as the " Hazardous i 1801 note. Materials Transportation Uniform Safety Act of 1990". l (b) REFERENCE.-Except as otherwise specifically provided, l whenever in this Act an amendment or repeal is expressed in terms of i an amendment to, or repeal of, a section or other provision, the refer-ence shall be considered to be made to a section or other provision of
- the Hazardous Materials Transportation Act.
(c) TABLE OF CONTENTS.- l Sec.1. Short title; reference, table of contents. l Sec. 2. Findings. i Sec. 3. Defimtions. Sec. 4. Federal regulations governing transportation of i hazardous materials. Sec. 5. Representation and tampering. Sec. 6. Disclosure. l Sec. 7. Handling of hazardous materials. l Sec. 8. Hazardous materials transportation registration; motor carrier l safety permits. l Sec. 9. Exemptions. l- Sec.10. Definition of certain materials. ] l Sec.11. Secretary's powers. ' l Sec.12. Penalties. Sec.13. Relationship to other laws. Sec.14. Funding. Sec.15. Transportation of certain highly radioactive materials. Sec.16. Inspectors. Sec.17. Public sector training and planning. ! Sec.18. Hazmat employee training grant program. ! l Sec.19. Railroad tank cars. l l Sec. 20. Application of Federal, State, and local law to Federal con- l tractors.- ! Sec. 21. Railroad tank car study. Sec. 22. Uniformity of State motor carrier registration and permitting l forms and procedures. Sec. 23. Financial responsibility. , l Sec. 24. Federally leased commercial motor vehicles. ! l- Sec. 25. Improvements to hazardous materials identification systems. i I
I l Sec.16. Continually monitored telephone systems. ! Sec. 27. Shipper responsibility report, i Sec. 28. State participation in investigations and surveillance. l Sec. 29. Retention of markings and placards. . Sec. 30. Relationship to Federal Railroad Safety Act of 1970. l Sec. 31. Effective date. I i FINDINGS j i 49 USC app. SEC. 2. ! 1801 note, i The Congress finds that-(1) the Department of Transportation estimates that approximately 4 billion tons of regulated hazardous materials are transported each year and that approximately 500,000 movements of hazardous mate- . rials occur each day, I (2) accidents involving the release of hazardous materials are a ' serious threat to public health and safety, (3) many States and localities have enacted laws and regulations which vary from Federal laws and regulations pertaining to the trans- l portation of hazardous materials, thereby creating the potential for i unreasonable hazards in other jurisdictions and confounding ship- l pers and carriers which attempt to comply with multiple and l conflicting registration, permitting, routing, notification, and other i regulatory requirements, i (4) because of the potential risks to life, property, and the environ- ; ment posed by unintentional releases of hazardous materials, consistency in laws and regulations governing the transportation of l hazardous materials is necessary and desirable, I (5)in order to achieve greater uniformity and to pron.9te the public health, welfare, and safety at all levels, Federal standards for regulat-ing the transportation of hazardous materials in intrastate, interstate, c and foreign commerce are necessary and desirable, (6) in order to provide reasonable, adequate, and cost-effective protection from the risks posed by the transportation of hazardous materials, a network of adequately trained State and local emergency response personnel is required, (7)the Office of Technology Assessment has esGmated that approx-imately 1,500,000 emergency response personnel need better basic or advanced training for responding to the unintentional release of haz-ardous materials at fixed facilities and in transportation, and (8) the movement of hazardous materials in commerce is necessary and desirable to maintain economic vitality and meet consumer de-mands, and shall be conducted in a safe and efficient manner. DEFINITIONS SEC.103.-For purposes of this title, the following definitions apply: (1) Ad!ninistrator.-The term ' Administrator' means the Adminis-trator of the Environmental Protection Agency.
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tio(2) Commerce.-The term ' commerce' means trade, or transporta-n within thejurisdiction of the United States (A) between a place in a State and any place outside of such State; or (B) which affects trade, between a place in a State and a place outside of the State. (3) Director.-The term ' Director' means the Director of the Fed-eral Emergency Management Agency. (4)Ilazardous material.-The term ' hazardous material' means a substance or material designated by the Secretary of Transportation under section 5103 (a) of this Title. (5) Hazmat employee.-The term 'hazmat employce' means an individual who is employed by a hazmat employer and who in the course of the individual's employment directly affects hazardous ma- I terials transportation safety as determined by the Secretary by regulation. Such term includes an owner-operator of a motor vehicle which transports in commerce hazardous materials. Such term in- ! cludes, at a minimum, an individual who is employed by a hazmat i employer and who in the course of the individual's employment-(A) loads, unloads, or handles hazardous materials; (B) manufactures, reconditions, or tests containers, drums, and packages represented as qualified for use in the transportation of hazardous materials; (C) prepares hazardous materials for transportation; (D) is responsible for the safety of the transportation of hazard-ous materials; or (E) operates a vehicle used to transport hazardous materials. (6) Hazmat employer.-The term 'hazmat employer' means a per-son-(A)(i) who transports in commerce hazardous materials, (ii) who causes to be transported or shipped in commerce hazard-ous materials, or . (iii)who manufactures, reconditions, or tests containers, drums, l and packages represented as qualified for use in the transportation l of hazardous materials; and (B) who utilizes 1 or more ofits employees in connection with such activity. _ Such term includes an owner-operator of a motor vehicle which trans- j ports in commerce hazardous materials. Such term includes any ' department, agency, orinstrumentality of the United States, a State, a political subdivision of a State, or an Indian tribe engaged in an activity ; described in subparagraph (A)(i), (A)(ii), or (A)(iii). (7)lmminent hazard.-The term' imminent hazard' means the exis-tence of a condition which presents a substantial likelihood that death, serious illness, severe personal injury, or substantial endanger- , ment to health, property, or the environment may occur before the reasonably foreseeable completion of an administrative hearing or other formal proceeding initiated to abate the risks of those effects. (8) Indian tribe.-The term ' Indian tribe'shall have the meaning given that term under section 4 of the Indian Self-Determination and Education Assistance Act (25 U.S.C. 450b).
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(9) Motor Carrier.-The term ' motor carrier' means a motor com-l- mon carrier, motor contract carrier, motor private carrier, and freight ! forwarder as those terms are defined in section 10102 of title 49, United States Code. I i (10) National response team.-The term' National Response Team' means the national response team established pursuant to the Na-tional Contingency Plan as established under section 105 of the Comprehensive Environmental Response, Compensation, and Li-ability Act of 1980. (11) Person.-The term ' person' means an individual, firm, coper-tnership, corporation, company, association, joint-stock association, including any trustee, receiver, assignee, or similar representative j thereof, or government, Indian tribe, or agency or instrumentality of any government or Indian tribe when it offers hazardous materials for j transportation in commerce or transports hazardous materials in fur-l therance of a commercial enterprise, but ruch term does not include (A) the United States Postal Service, or (B) for the purposes of sec-tions 110 and 111 of 1 DESIGNATION OF HAZARDOUS MATERIALS 49 USC 1803. SEC.104.-Upon a finding by the Secretary, in his discretion, that the transportation of particular quantity and form of material in commerce may pose an unreasonable risk to health and safety or property, he shall l designate such quantity and form of materials or group or class of such materials as a hazardous material. The materials so designated may , include, but are not limited to explosives, radioactive materials, etio-logic agents, flammable liquids or solids, combustible liquids or solids, poisons, oxidizing or corrosive materials, and compressed gases. REGULATIONS GOVERNING TRANSPORTATION OF HAZARDOUS MATERIALS ! 49 USC 1804. SEC.105. (a) GENERAL (1) Issuance.-The Secretary shall issue regulations for the safe transportation of hazardous materials in intrastate, interstate, and-foreign commerce. The regulations issued under this section shall
- govern any aspect of hazardous materials transportation safety which the Secretary deems necessary or appropriate.
(2) Procedures.-Regulations issued under paragraph (1) shall be issued in accordance with section $53 of title 5, United States Code, including an opportunity for informal oral presentation. (3) Applicability.-R egulations issued under paragraph (1) shall be applicable to any person who transports, ships, causes to be trans-l ported or shipped, or who manufacturers, fabricates, marks, maintains, reconditions, repairs, or tests a package or container which ; is represented, marked, certified, or sold by such person as qualified l for use in the transportation in commerce of hazardous materials. ! 248 g f-l l l
(4) Preemption.- (A) General rule.-Except as provided in subsection (b) and un. less otherwise authorized by Federal law, any law, regulation, order, ruling, provision, or other requirement of a State or political subdi-vision thereof or an Indian tribe, which concerns a subject listed in subparagraph (B) and which is not substantNely the same as any provision of this Act or any regulation under such provision which concerns such subject, is preempted. (B) Covered subjects.-The subjects referred to in subparagraph (A) are the following: (i) The designation, description, and classification of hazardous materials. (ii)The packing, repacking, handling, labeling, marking, and placarding of hazardous materials. (iii) The preparation, execution, and use of shipping documents pertaining to hazardous materials and requirements respecting the number, content, and placement of such documents. (iv)The written notification, recording, and reporting of the unintentional release in transportation of hazardous materials. (v) The design, manufacturing, fabrication, marking, mainte-nance, reconditioning, repairing, or testing of a package or container which is represented, marked, certified, or sold as quali-fled for use in the transportation of hazardous materials. State (C) Limitation on fines and penalties.-If a State or political governments. subdivision or Indian tribe assesses any fine or penalty deter-Indi:ns. mined by the Secretary to be appropriate for a violation concerning a subject listed in subparagraph (B), no additional fine or penalty may be assessed for such violation by any other authority. (5) State laws which are substantively the same as federal law.- Indians. (A) Continuation.-If the Secretary issues under this section be-fore, on, or after the date of the enactment of the llazardous Materials Transportation Uniform Safety Act of 1990, a regt.lation, rule, or standard concerning any subject set forth in paragrapl (4), a State, political subdivision of a State, or Indian tribe may only : stab-lish, maintain, and enforce a law, regulation, rule, standard. cmder concerning such subject which is substantively Ihe same as any provi-sion of this Act or any regulation, rule, or order issued u'ver such provision. Federal (B) Effective date of federal preemption.-The Secretary shall Register determine and publish in the Federal Register the effective publication, date of paragraph (1) with respect to any regulation, rule, or publication. standard described in subparagraph (A) and which is issued after such date of enactment by the Secretary; except that such effective date may not be earlier than the 90th day following the date of such issuance and may not be later than the last day of the 2-year period beginning on the date of such issuance. State (b)IIIGliWAY ROUTING.- Governments. (1) State authority.-Subject to paragraphs (4) and (5), each Indi:ns. State and Indian tribe may establish, maintain, and enforce (A) spe-cific highway routes over which hazardous materials may and may not J% e9
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r 1 be transported by motor vehicles in the area which is subject to the l jurisdiction of such State or Indian tribe, and (B) limitations and re-quirements with respect to highway routing. 1 Regulations. (2) Issuance of federal standards.-Not later than 18 months after ( the date of the enactment of the Hazardous Materials Transportation ! Uniform Safety Act of 1990, the Secretary, in consultation with the States, shall establish by regulation standards for States and Indian tribes to use in establishing, maintaining, and enforcing (A) specific highway routes over which hazardous materials may and may not be transported by motor vehicles, and (B) limitations and requirements l with respect to highway routing. (3) Contents of standards.-The Federal standards established pur-suant to paragraph (2) shall include the following: (A) Enhancement of public safety.-A requirement that highway routing designations, limitations, and requirements established, maintained, and enforced by a State or Indian tribe shall enhance l public safety (i)in the area subject to thejurisdiction of the State or ) Indian tribe, and (ii) in areas of the United States not subject to such j jurisdiction which are directly affected by such designations, limita-tions, and requirements. (B) Public participation.-Minimtun prowdural requirements for ensuring public participation in the establishment by a State or Indian tribe of highway routing designations, limitations, and requirements. (C) Consultation with other governments.-A requirement that, in establishing highway routing designations, limitations, and re-quirements, the State or Indian tribe shall consult with appropriate State, local, and tribal officials having jurisdiction over areas of the United States not subject to thejurisdiction of the establishing State or Indian tribe and affected industries. (D) Through routing.-A requirement that highway routing des-ignations, limitations, and requirements established, maintained, and enforced by a State or Indian tribe shall assure through highway routing for the transportation of hazardous materials between adja-cent areas. (E) Agreement of other states; burden on commerce.-A require-ment that a highway routing designation, limitation, or requirement which affects the transportation of hazardous materials in another State or Indian tribe may only be established, maintained, and en-forced by a State or Indian tribe if(i) it is agreed to by the other State or Indian tribe within a reasonable period or has been approved by the Secretary under paragraph (5), and (ii) does not unreasonably burden commerce. (F) Timeliness.-A requirement that the establishment of high- l way routing designations, limitations, and requirements by a State l or Indian tribe shall be completed in a timely manner. Motor vehicles. (G) Reasonable routes to terminals.-A requirement that highway routing designations, limitations, and requirements established, main-tained, and enforced by a State or Indian tribe shall provide reasonable routes for motor vehicles transporting hazardous materials to reach
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l 1 l terminals, facilities for food, fuel, repairs, and rest, and points for the ) i loading and unloading of hazardous materials. I I (11) State responsibility for local compliance.--A requirement I that the State shall be responsible (i) for ensuring that political sub- ) divisions of the State comply with the Federal standards in establishing, maintaining, and enforcing highway routing designa- , tions, limitations, and requirements, and (ii) for resolving disputes between or among such political subdivisions. (1) Factors to consider.-A requirement that, in establishing, , maintaining, and enforcing highway routing designations, limita-tions, and requirements, a State or Indian tribe consider-l (i) population density, J (ii) type of highways, (iii) type and quantities of hazardous materials, (iv) emergency response capabilities, (v) results of consultations with affected persons, ) (vi) exposure and other risk factors, I (vii) terrain considerations, j (viii) continuity of routes, (ix) alternative routes, (x) effects on commerce, I (xi) delays in transportation, and l (xii) such other factors as the Secretary considers appropriate ' (4) Preemption.- (A) General rule.-Except as otherwise provided in this para-graph, after the last day of the 2-year period beginning on the date of i the issuance of the regulations establishing the Federal standards I pursuant to paragraph (2), no State or Indian tribe may establish, j maintain, or enforce-l (i) any highway route designation over which hazardous materi- ! als may or may not be transported by motor vehicles, or (ii) any limitation or requirement with respect to such routing, unless such designation, limitation, or requirement is made in ac- ; cordance with the procedural requirements of the Federal i standards and complies with the substantive requirements of the Federal standards. (B) Grandfather clause.-Designations, limitations, and require-rnents established before the date of issuance referred to in l subparagraph (A) do not have to be in accordance with procedural requirements of the Federal standards established pursuant to paragraphs (3)(B), (3)(C), and (3)(F). , (C) Limitation with respect to consideration of factors.-Nothing i
;: this subsection shall be construed as requiring a State or b.dian i tribe to comply with paragraph (3)(I) with respect to designatn s, )
limitations, and requirements established before the date of the e. - actment of the IIazardous Materials Transportation Unifen Safety Act of 1990. i (D) Continuation of effectiveness during dispute resolution.-- The Secretary may permit a highway route designation or limitation or requirement of a State or Indian tribe to continue in effect pend-vWdW ,s l 0h( I l
i l ing the resolution of a dispute under paragraph (5) relating to such [ designation, limitation, or requirement. (5) Dispute resolution.- t (A) Petition of secretary.-If a dispute over a matter relating to through highway routing or a dispute relating to agreement with a proposed highway route designation, limitation, or requirement arises between or among States, political subdivisions of different States, or Indian tribes,1 or more of such States or Indian tribes may petition the Secretary to resolve the dispute. Regulations. (B) Procedure.-The Secretary shall, within 18 months of the
- date of the enactment of the 11azardous Materials Transportation l Uniform Safety Act of 1990, issue regulations for resolving dis-putes under this paragraph.
(C) Time period.-The Secretary shall resolve a dispute under , this paragraph within 1 year after the date the Secretary receives I the petition for resolution of such dispute. (D) Standard.-Resolut? n of a dispute under this paragraph shall provide the greatest level of highway safety without unrea-sonably burdening commerce and shall ensure compliance with the Federal standards established pursuant to paragraph (2). (E) Limitation onjudicial review.-After a petition is filed un-der this paragraph to resolve a dispute, no court action may be brought with respect to the subject matter of such dispute until a final decision of the Secretary is issued under this paragraph or the last day of the 1-year period beginning on the day the Secretary re-ceives such petition, whichever occurs first. (F) Judicial review.-Any State or Indian tribe whici,is adverse-ly affected by a decision of the Secretary under this paragraph may, at any time before the 90th day following the date such deci-sion becomes final, bring an action for judicial review in an appropriate district court of the United States. (6) Limitation on statutory construction.-Nothing in this subsec-tion and the 1xguiations issued under this subsection shall be construed as superseding or otherwise affecting application of section 127 of title 23, United States Code, relating to vehicle weight limita-tions, or section 411 or 416 of the Surface Transportation Assistance Act of 1982, relating to vehicle length and vehicle width limitations, respectively. (7) Limitation on applicability.- (A) Placarded motor vehicles.-Subject to subparagraph (B), this subsection only applies to a motor vehicle if the vehicle is transport-ing in commerce a hazardous material for which placarding of the vehicle is required in accordance with the regulations issued under , this title. Motor vehicles. (B) Authority to extend applicability.-The Secretary may, by regulation, extend application of this subsection or any Federal standard established pursuant to paragraph (2)- (i) to any use of a vehicle described in subparagraph (A) to pro-vide transportation in commerce of any hazardous material; and (ii) to any motor vehicle used to transport in commerce hazard-ous materials.
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i Motor vehicles. (8) Existing regulations relating to radioactive materials.-Nothing in this subsection shall be construed to requirc the Secretary to amend, modify, or reise regulations issued by the Department of Transportation before the date of the enactment of this paragraph and in effect on such date with respect to highway route designations over which radioactive materials may and may not be transported by motor vehicles and limitations and requirements with respect to such routing. (9) Limitation on authority of secretary.-The Secretary may not l assign any specific weight to be given by the States and Indian tribes in considering factors pursuant to paragraph (3)(1). (c) LIST OF ROUTE DESIGNATIONS.-The Secretary, in coor-dination with the States, shall pericdically update and publish a list of currently effective hazardous materials highway route designations. (d) INTERNATIONAL UNIFORMITY.- Foreign trade. (1) DOT participation in international forums.-Subject to guid-ance and direction from the Secretary of State, the Secretary shall participate in international forums that establish or recommend man-d%ry standards and requirements for the transportation of hazardous materials in international commerce. Regulations. (2) Consultation.-The Secretary may consult with interested agen-cies to assure that, to the extent practicable, regulations issued by the Secretary pursuant to this section shall be consistent with standards adopted by international bodies applicable to the transportation of hazardous materials. Nothing in this subsection shall require the Sec-retary to issue a standard identical to a standard adopted by an international body,if the Secretary determines the standard to be un-necessary or unsafe, nor shall the Secretary be prohibited from establishing safety requirements that are more stringent than those included in a standard adopted by an international body,if the Secre-tary determines that such requirements are necessary in the public interest. (e) UNLAWFUL REPRESENTATION.-No person shall, by mark-ing or otherwise, represent that-(1) a container or package for the transportation of hazardous ma-terials is safe, certified, or in compliance with the requirements of this title unless it meets the requirements of all applicable regulations issued under this title; or (2) a hazardous material is present in a package, container, motor vehicle, rail freight car, aircraft, or vessel, if the hazardous material is not present. (t) UNLAWFUL TAMPERING.-No person shall unlawfully alter, remove, deface, destroy, or otherwise tamper with-(1) any marking, label, placard, or description on a document re-quired by this title or a regulation issued under this title; or (g) DISCLOSURE.- Motor carriers. (1) Maintenance of shipping paper.-Each person who offers for transportation in commerce a hazardous material that is subject to the shipping paper requirements of the Secretary shall provide the carrier who is providing such transportation any shipping paper that 253 o
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l l l \ l I makes the 6sclosure established by the Secretary under paragraph ' (2) for the carrier to maintain on the vehicle to be used to provide such tran%ortation. If the person offering such material for transportation is also a private motor carrier, such person shall maintain such ship-ping paper on the vehicle. (2) Considerations and contents.-In carrying out paragraph (1), the Secretary shall consider and may require the following: J l (A) a description of the hazardous material, including the proper < shipping name of the material, I (B) the hazard class of the hazardous material, ' (C) the identification number (UN/NA) of the material, (D) immediate first action emergency response information or a means for appropriate reference to such information which must be immediately available, and I (E) a telephone number for the purpose of obtaining more specif-ic handling and mitigation informadon concerning the hazardous material at any time during its transportation. (3) Specification of location.-The shipping paper referred to in paragraph (1) shall be kept in a location, to be specified by the Secre-tary, in the motor vehicle, train, vessel, aircraft, or fadlity until the hazardous material is no longer in transportation or the documents have been made available to a representative of a Federal, State, or local government agency responding to an accident or incident involv-ing the motor vehicle, train, vessel, aircraft, or facility. (4) Disclosure to emergency response authorities.-Any person who transports a hazardous material in commerce shall, in the event of an incident involving such material, immediately disclose to ap-propriate emergency response authorities, upon their request, mformation on the hazardous material being transported. l 1 IIANDLING OF IIAZARDOUS MATERIALS 1 49 USC 1805. Sec.106. (a) CRITERIA.-The Secretary is authorized to establish criteria for handling hazardous materials. Such criteria may include, but need not be limited to, a minimum number of personnel; a minimum level of training and qualifiution for such personnel; type and frequency of inspection; equipment to be used for detection, warning, and control of risks posed by such materials; specifications , regarding the use of equipment and facilities used in the handling and { transportation of such materials; and a system of monitoring safety 1 I assurance procedures for the transportation of such materials. The Secretary may revise such criteria as required. Manpower (b) TRAINING CRITERIA FOR SAFE liANDLING AND training TRANSPORTATION.- programs. Regutations. (1) Federal requirements.-Within 18 months after the date of the enactment of the liazardous Materials Transportation Uniform Safe-ty Act of 1990, the Secretary shall issue, by regulation, requirements for training to be given by all hazmat employers to their hazmat em-ployees regarding the safe loading, unloading, handling, storing, and
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transporting of hazardous materials and emergency preparedness for responding to accidents or incidents involving the transportation of hazardous materials. (2) Different training requirements.-The regulations issued under paragraph (1) may provide for different training for different classes or categories of hazardous materials and hazmat employees. (3) Coordination of emergency response training regulations.-In consultation with the Administrator and the Secretary of Labor, the Secretary shall take such actions as may be necessary to ensure that the training requirements established under this subsection do not conflict with the requirements of the regulations issued by the Occu-pational Safety and Health Administration of the Department of Labor relating to hazardous waste operations and emergency re-sponse contained in part 1910 of title 29 of the Code of Federal Regulations (and amendments thereto) and the regulations issued by the Environmental Protection Agency relating to worker protection standards for hazardous waste operations contained in part 311 of title Regulations. 40 of such Code (and amendments thereto). For purposes of section Occupational 4(b)(1) of the Occupational Safety and Health Act of 1970 (29 U.S.C. safety and 653(b)(1), no action taken by the Secretary pursuant to this section health. shall be deemed to be an exercise of statutory authority to prescribe or enforce standards or regulations affecting occupational safety or health. (4) Commencement of training.-Within 6 months after the date on which the Secretary issues regulations under this subsection, each hazmat employer shall have commenced training of its hazmat em-ployees in accordance with the requirements established by such regulations. (5) Completion of training.-Regulations issued under this subsec-tion shall establish the date by which training of hazmat employees shall be completed in order to comply with requirements established by such regulations. Such date shall be within a reasonable period of time after (A) 6 months following the date of the issuance of such regulations, or (B)in the case of an individual employed as a hazmat employee after such 6-month period, the date on which the individual is to begin carrying out a duty of a hazmat employee. (6) certification.-After completion of training ofits hazmat em-ploy a iy accor+me with the requirements established under this subbion, each h:.1 mat employer shal! certify, with such appropriate documentation as may be required by regulation by the Secretary, that the employer's hazmat employees have received training and have been tested on appropriate transportation areas of responsibil-ity, including one or more of the following areas: (A) Recognition and understanding of the Department of Trans-portation hazardous materials classification system. (B) Use and limitations of the Department of Transportation haz-ardous materials placarding, labeling, and marking systems. (C) General handling procedures, loading and unloading tech-niques, and strategies to reduce the probability of release or damage during or incidental to transportation of hazardous materials. 255 I e I l
i (D) Ilealth, safety, and risk factors associated with hazardous ma-terials and their transportation. (E) Appropriate emergency response and communication proce-dures for dealing with accidents and incidents involving hazardous materials transportation. j_ (F) Use of the Department of Transportation Emergency Re-sponse Guidebook and recognition of its limitations or use of equivalent documents and recognition of the limitations of such documents. (G) Applicable hazardous materials transportation regulations. (H) Personal protection techniques. (I) Preparation of shipping documents for transportation of haz-ardous materials. (7) Applicability of information management requirements.- Chapter 35 of title 44, United States Code (relating to coordination of Federal information policy) shall not apply to activities of the Secre-tary under this subsection. (c) REGIS fRATION.- (1) Mandatory filings.-Each person who carries out one or more of the following activities shall file with the Secretary a registration statement in accordance with the provisions of this subsection: (A) Transporting or causing to be transported or shipped in com-merce highway-route controlled quantities ofradioactive materials, i more than 25 kilograms of class A or class B explosives in a motor vehicle, rail car, or transport container, or more than 1 liter per package of a hazardous material which has been designated by the Secretary as extremely toxic by inhalation. (B) Transporting or causing to be transported or shipped in com-merce a hazardous material in a bulk package, container, or tank as s defined by the Secretary if the package, container, or tank has a ca-pacity of 3,500 or more gallons or more than 468 cubic feet. (C) Transporting or causing to be transported or shipped in com-merce a shipment of 5,000 pounds or more (in other than a bulk packaging) of a class of a hazardous material for which placarding of a vehicle., rail car, or freight container is required in accordance with the regulations issued under this title. (2) Cooperation of EPA.-The Administrator shall assist the Secre-tag in carrying out this subsection by furnishing the Secretary with such information as the Secretary may request in order to carry out the objectives of this section. (3) Discretionary filings.-The Secretary may require each person who carries out one or more of the following activities to file a regis-tration statement with the Secretary in accordance with the provisions of this subsection: (A) Transporting or causing to be transported or shipped in com-merce hazardous materials and who is not required to file a registration statement under paragraph (1). (B) Manufacturing, fabricating, marking, maintaining, recondi-tioning, repairing, or testing packages or containers which are represented, marked, certified, or sold by such person for use in the 256 Mh/ \ l 1
transportation in commerce of hazardous materials designated by the Secretary. (4) Requirement.-No person required to file a registration state-ment by or under this subsection may transport or cause to be transported or shipped hazardous materials, or manufacture, fabri-cate, mark, maintain, recondition, repair, or test packages or containers for use in the transportation of hazardous materials, un-less such person has on file a registration statement in accordance with this subsection. (5) Filing deadlines.- (A) Initial filings.-Each person who is required to file a registra-tion statement by or under this subsection shall file an initial registration statement by March 31,1992. The Secretary may extend such date to September 30,1992,with respect to the requirements of paragraph (1). (B) Renewals.-Subject to the provisions of this subsection, each person who is required to file a registration statement by or under this section shall renew such registration statement periodically in accordance with regulations issued by the Secretary, but no less fre-quently than every 5 years and no more frequently than annually. (6) Amendments.-The Secretary shall by regulation determine when and under what circumstances a registration statement filed under this subsection with the Secretary must be amended and the procedures to be followed in amending such statement. (7) Contents.-A registration statement under this subsection shall be in such form and contain such information as the Secretary may require by regulation. The Secretary may utilize existing forms of the Department of Transportation and the Environmental Protection Agency in carrying out this subsection. At a minimum, such statement shall include-(A) the registrant's name and principal place of business; (B) a description of each activity the registrant carries out for which filing of a registration statement is required by or under this section; and (C) the State or States in which such person carries out each such activity. (8) Limitation on number of filings.-A person who carries out , more than one activity or carries out an activity at more than one ! location for which filing of a registration statement is required by or under this subsection only needs to file one registration statement in order to comply with this subsection. (9) Streamlined process.-The Secretary may take such action as l may be necessary to streamline and simplify the registration process i under this subsection and to minimize with respect to a person who is required to file a registration statement under this subsection the number of applications, documents, and other information which such person is required to file with the Department of Transportation under this title and any other laws of the United States. (10) Disclosure.-The Secretary shall make a registration state-ment filed under this subsection available for inspection by any l 257 ~' 1 12G- 7 l
l person, for a fee to be established by the Secretary; except that noth-i mg in this sentence shall be considered to require the release of any information described in section 552(f) of title 5, United States Code, or which is otherwise protected by law from disclosure to the public. (11) Fees.-The Secretary may establish, assess, and collect such j fees from persons required to file registration statements by or under this subsection as may be necessary to cover the costs of the Depart-ment of Transportation in processing such registration statements. 1 Regulations. (12) Proof of registration and payment of fees.-The Secretary may l issue regulations requiring a person required to file a registration l statement by or under this subsection to maintain proof of the filing of t such statement and the payment of any fees assessed under this sub- I section and section 117A(h). l (13) Applicability of information management requirements.- Chapter 35 of title 44, United States Code (relating to coordination of Federal information policy) shall be not apply to activities of the i Secretary under this subsection. (14) Nonapplicability to employees.-Notwithstanding any other 3 provisions of this subsection, an employee of a hazmat employer is not required to file a registration statement by or under this section. (15) Exemption of government agencies and employees.-Agencies of the Federal Government, agencies of States, and agencies of politi-cal subdivisions of States, and employees of such agencies with respect to their official duties do not have to file registration state-ments under this subsection. ) (d) MOTOR CARRIER SAFETY PERMITS.- 1 (1) Requirement.-Except as provided in this subsection, a motor carrier may transport or cause to be transported by motor vehicle in commerce a hazardous material only if the motor carrier holds a safety permit issued by the Secretary under this section authorizing the transportation and keeps a copy of such permit, or other proof establishing the existence of such permit, in the motor vehicle used to provide such transportation. ) (2) Issuance.-Except as provided in this subsection, the Secretary l shall issue a safety permit to a motor carrier authorizing that carrier to transport or cause to be transported by motor vehicle in commerce a hazardous material if the Secretary finds that the carrier is fit, willing, and able-(A) to provide the transportation to be authorized by the permit; (B) to comply with this title and the regulations issued by the Sec-retary to cany out this title; and (C) to comply with any applicable Federal motor carrier safety laws and regulations and any applicable Federal minimum financial responsibility laws and regulations. (3) Shipper's responsibility.-Each person who offers a hazardous material for motor vehicle transportation in commerce may offer that material to a motor carrier only if the carrier has a safety permit issued under this subsection authorizing such transportation. ; (4) Amendment, suspension, and revocation.-A safety permit is- ! sued to a motor carrier under this subsection may, after notice and an 1 C' I 258 c&V
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opportunity for hearing, be amended, suspended, or revoked by the l Secretag in accordance with procedures established under para- l graph (6) whenever the Secretary determines that such carrier has failed to comply with a requirement of this title, any regulation issued { under this title, any applicable Federal motor carrier safety law or regulation, or any applicable Federal minimum financial responsibil-ity law or regulation. If the Secretary determines that an imminent hazard exists, the Secretary may amend, suspend, or revoke the safety permit before scheduling a hearing thereon. Regulations. (5) Covered transportation.-The Secretary shall establish by regu-lation the hazardous materials and quantities thereof to which this subsection applies; except that this subsection shall apply, at a m'.i . mum, to all transportation by a motor carrier, in quantities established by the Secretary, of a class A or B explosive, a liquefied I natural gas, a hazardous material which has been designated by the Secretary as extremely toxic by inhalation, or a highway route con-trolled quantity of radioactive materials as defined by the Secretary. Regulations. (6) Procedures.-The Secretary shall establish by regulation- l (A) application procedures, including form, content, and fees nec- i essary to recover the full costs of administering this subsection; l (B) standards for determining the duration, terms, conditions, or { limitations of a safety permit; I (C) procedures for the amendment, suspension, or revocation of a safety permit issued under this section; and (D) any other procedures the Secretary deems appropriate toim-plement this subsection. (7) Application.-A motor carrier shall file an application with the Secretary for a safety permit to provide transportation under this subsection. The Secretary may approve any part of the application or deny the application. The application shall- ; (A) be under oath; and I (B) contain such information as the Secretary may require by reg-ulation. (8) Conditions.-A motor carrier may provide transportation un-der a safety permit issued under this subsection only if the carrier complies with such conditions as the Secretary finds are required to protect public safety. Effective date. (b) SAFETY PERMITS.-Section 106(d) of the Hazardous Materials Regulations. Transportation Act, relating to motor carrier safety permits, shall take 49 USC app. effect 2 years after the date of the enactment of this Act; except that the 1805 note. Secretary shall issue regulations necessary to carry out such section not later than 1 year after such date of enactment. (c) REPEAL OF EXISTING PROGRAM.-Subsections (c) and (f) of section 106 of the Hazardous Materials Transportation Act (49 U.S.C.1805), as redesignated by section 7 of this Act, are repealed effective March 31,1992. (e) REGISTRATION.-Each person who transports or causes to be transported or shipped in commerce hazardous materials or who manufactures, fabricates, marks, maintains, reconditions, repairs, or tests packages or containers which are represented, marked, certified,
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1 l or sold by such person for use in the transportation in commerce of certain hazardous materials (designated by the Secretary) may be re- , quired by the Secretary to prepare and submit to the Secretary a { registration statement not more often than once every 2 years. Such a 1 registration statement shall include, but need not be limited to, such j person's name; principal place of business; the location of each activity j handling such hazardous materials; a complete list of all such hazardous materials handled; and an averment that such person is in compliance with all applicable criteria established under subsection (a) of this sec-tion. The Secretary shall by regulation prescribe the form of any such statement and the information required to be included. The Secretary shall make any registration statement filed pursuant to this subsection available for inspection by any person, without charge, except that j nothing in this sentence shall be deemed to require the release of any { information described by subsection (c) of section 552 of title 5, United ! States Code, or which is otherwise protected by law from disclosure to { the public. (f) REQUIREMENT.-No person required to file a registration statement under subsection (e) of this section may transport or cause to be transported or shipped hazardous inaterials, or mar.ufacture, fabri-cate, mark, maintain, recondition, repair, or test packages or containers for use in the transportation of hazardous materials, unless he has on file a registration statement.1 { l EXEMPTIONS 49 USC 1806 Sec.107. (a) GENERAL-The Secretary, in accordance with , procedures prescribed by regulation, is authorized to issue or renew, to ' any person subject to the requirements of this title, an exemption from the provisions of this title, and from regulations issued under section 105 of this title, if such person transports or causes to be transported or shipped hazardous materials in a manner so as to achieve a level of I safety (1)which is equal to or exceeds that level of safety which would be required in the absence of such exemption, or (2) which would be consistent with the public interest and the policy of this title in the event there is no existing level of safety established. The maximum period of an exemption issued or renewed under this section shall not exceed 2 years, but any such exemption may be renewed upon application to the Secretary. Each person applying for such an exemption or renewal i shall, upon application, provide a safety analysis as prescribed by the 1 Secretary to justify the grant of such exemption. A notice of an application for issuance of such exemption shall be published in the l Federal Register. The Secretary shall afford access to any such safety l analysis and an opportunity for public comment on any such Publication in application, except that nothing in this sentence shall be deemed to Federal Register. require the release of any information described by subsection (b) of section 552 of title 5, United States Code, or which is otherwise protected by law from disclosure to the public. I Public Law 94- 474 (90 Stat. 2068)(1976). sec. 2, amended sec.106(c), by striking out "ex-tremely" each time it appears. 260 /,g 3 h W
l 1 Exclusion. (b) VESSELS.-The Secretary shall exclude, in whole or in part, from any applicable provisions and regulations under this title, any vessel which is excepted from the application of section 201 of the Ports and Waterways Safety Act of 1972 by paragraph (2) of such section (46 U.S.C. 391a(2)), or any other vessel regulated under such Act, to the extent of such regulation. (c) FIREARMS ANL' AMMUNITION.-Nothing in this title, or in any regulation issued under this title, shall be construed to prohibit or regulate the transportation by any individual, for personal use, of any firearms (as defired in paragraph (4) of section 232 of title 18, United States Code) or ai.y ammunity therefor, or to prohibit any transporta-tion of firearms or ammunition in commerce. (d) LIMITATION ON AUTI-IORITY.-Except when the Secretary determines that an emergency exists, exemptions or renewals granted pursuant to this section shall be the only means by which a person subject to the requirements of this title may be exempted from or relieved of the obligation to meet any requirements imposed under this title. TRANSPORTATION OF RADIOACTIVE MATERIALS ON PASSENGER-CARRYING AIRCRAFT Regulations. Sec.108. (a) GENERAL-Within 120 days after the date of 49 USC 1807. enactment of this section, the Secretary shall issue regulations, in accordance with this section and pursuant to section 105 of this title, with respect to the transportation of radioactive materials on any passenger-carrying aircraft in air commerce, as defined in section 101(4) of the Federal Aviation Act of 1958, as amended (49 U.S.C. 1301(4)). Such regulations shall prohibit any transportation of radioactive materials on any such aircraft unless the radioactive materials involved are intended for use in, or incident to, research, or medical diagnosis or treatment, so long as such materials as prepared for and during transportation do not pose an unreasonable hazard to health and safety. The Secretary shall further establish effective procedures for monitoring and enforcing the provisions of such regulations. (b) DEFINITION.-As used in this section, " radioactive materials" means any materials or combination of materials which spontaneously emit ionizing radiation. The term does not include any material which the Secretary determines is of such low order of radioactivity that when transported does not pose a significant hazard to health or safety. POWERS AND DUTIES OF'nlE SECRETARY 49 USC 1808. Sec.109. (a) GENERAL.-The Secretary is authorized, to the extent necessary to carry out his responsibilities under this title, to conduct investigations, make reports, issue subpoenas, conduct hearings, require the production of relevant documents, records, and pro [xrty, take depositions, and conduct, directly or indirectly, research, 261 2,. 7()
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l development, demonstration, and training activities. The Secretary is [ further authorized, after notice and an opportunity for a hearing, to Notice, hearing issue orders directing compliance with this title or regulations issued opportunity. under this title; the district courts of the United States shall have Jurisdiction. jurisdiction upon petition by the Attorney General, to enforce such orders by appropriate means. (b) RECORDS.-Each person subject to requirements under this I' l title shall establish and maintain such records, make such reports, and provide such snformation as the Secretary shall by order or regulation prescribe, and shall submit such reports and shall make such records and information available'as the Secretary may request. ! l (c) INSPECTION.-The Secretary may authorize any officer, em-ployee, or agent to enter upon, inspect, or examine, at reasonable times and in a reasonable manner, the records and properties of persons to the extent such records and properties relate to-(1) the manufacture, fabrication, marking, maintenance, recondi-tioning, repair, testing, or distribution of packages or containers for use by any person in the transportation of hazardous materials in commerce; or l (2) the transportation or shipment by any person of hazardous ma- , terials in commerce. Any such officer, employee, or agent shall, upon / request, display proper credentials. I (d) FACILITIES AND DUTIES.- (1) The Secretary shall-(a) establish and maintain facilities and technical staff sufficient to provide, within the Federal Government, the capability of evalu- 3 ating risks connected with the transportation of hazardous materials and materials alleged to be hazardous; (b) establish and maintain a central reporting system and datn
- center so as to be able to provide the law-enforcement and firefight-ing personnel of coinmunities, and other interested persons and government officers, with technical and other information and ad-vice for meeting emergencies connected with the transportation of hazardous materials; and (c) conduct a continuing review of all aspects of the transportation j of hazardous materials in order to determine and to be able to take appropriate steps to assure the safe transportation of hazardous I materials. l (2) Nothing in this subsection shall be construed to limit tb au-thority of the Secretary to enter into a contract with a privah e.fity 262 17L/
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for use of a supplemental reporting system and data center operated I and maintained by such entity.2 Report to (e) ANNUAL REPORT.-The Secretary shall prepare and submit to President, trans- the President for transmittal to the Congress on or before June 13 of mittal to congress, each year a comprehensive report on the transportation of hazardous Contents, materials during the preceding calendar year. Such report shall include, but need not be limited to-(1)a thorough statistical compilation of any accidents and casualties involving the transportation of hazardous materials; (2) a list and summary of applicable Federal regulations, criteria, i orders, and exemptions in effect; (3) a summary of the basis for any exemptions granted or main- 3 tained; ! (4) an evaluation of the effectiveness of enforcement activities and the degree of voluntary compliance with applicable regulations; (5) a summary of outstanding problems confronting the administra-tion of this title, in order of priority; and (6) such recommendations for additional legislation as are deemed necessary or appropriate. PENALTIES 49 USC 1808. Sec.110. (a) CIVIL-(1) Any person who is determined by the Secretary, after notice and an opportunity for a hearing, to have knowingly committed an act which is a violation of a provision of this title, an ord.:r, or regulation issued under this title, shall be liable to the United States for a civil penalty. Whoever knowingly commits an act which is a violation of any order or regulation, applicable to any person who transports to causes to be transported or shipped hazardous materials, shall be subject to a civil penalty of not more than $25,000 and not less than $250 for each violation, and if any such violation is a continuing one, each day of violation constitutes a separate offense. l Whoever knowingly commits an act which is a violation of any order or i regulation applicable to any person who manufactures, fabricates, marks, maintains, reconditions, rapairs, or tests a package or container which is represented, marked, cert:fied, or sold by such person for use 2P.L 98-559,98 Stat. 2907, amends sec.109, aubsection (d). Prior to amendments, sec. 109( read as follows: (d)FA LITIES AND DUTIES-The Secretary shall-(1) estabhsh and maintain facihtiet and technical staff sufficient to provide, within i the Federal Government, the capabihty of evaluating risks connected with the trans- l portation of 'nazardous materials and materials alleged to be hazardous; (2) establish and maintain a central reportmg system and data center so as to be able to provide the law-enforcement and firefighting personnel of communities, and other interested persons and government officers, with technical and other information and advice for meeting mergencies connected with the transportation of hazardous materi-als; and l (3) conduct a continuing review of all aspects of the transpo5tation of hazardous ma-terials in order to determine and to be able to recommend appropriate steps to assure the safe f.ransportation of hazardous materials. 3Public Law 98-559,98 Stat. 2907, amends see 109, subsection (c). The amendment changed the date of submittal. 2 ?3 s-
in the transportation in commerce of hazardous materials shall be subject to a civil penalty of not more than $25,000 and not less than $250 , for each violation. The amount of any such penalty shall be assessed by the Secretary by written notice. In determining the amount of such penalty, the Secretary shall take into account the nature, circumstances, extent, and gravity of the violation committed and, with respect to the person found to have committed such violation, the degree of culpability, any history of prior offenses, ability to pay, effect on ability to continue to do business, and such other matters asjustice may require. l (2) Such civil penalty may be recovered in an action brought by the Attorney General on behalf of the United States in the appropriate district court of the United States or, prior to referral to the Attorney i General, such civil penalty may be compromised by the Secretary. The amount of such penalty, when finally determined (or agreed upon in ! compromise), may be deducted from any sums owned by the United 1 States to the person charged. All penalties collected under this subsec-tion shall be deposited in the Treasury of the United States as . miscellaneous receipts. (b) CRIMINAL-A person is guilty of an offense if he willfully vio-lates a provision of this title or a regulation issued under this title. Upon . conviction, such person shall be subject, for each offense, to a fine of not I more than $25,000, imprisonment for a term not to exceed 5 years, or I both. (3) Acting knowingly.-For purposes of this section, e person shall be i considered to have acted knowingly if- j (A) such person has actual knowledge of the facts giving rise to the violation, or (11) a reasonable person acting in the circumstances and exercising due care would have such knowledge. l (b) CRIMINAL PENALTIES.-Subsection (b) of section 110 (49 l App. U.S.C.1809) is amended to read as follows: b) CRIMINAL-A person who knowingly violates section 105(f) of th(is title or willfully violates a provision of this title or an order or regulation issued under this title shall be fined under title 18, United States Code, or imprisoned for not more than 5 years, or both. SPECIFIC RELIEF 49 USC 1810. Sec.111. (a) GENERAL-The Attorney General, at the request of the Secretary, may bring an action in an appropriate district court of the , United States for equitable relief to redress a violation by any person of a provision of this title, or an order or regulation issued under this title. Such district courts shall have jurisdiction to determine such actions and may grant such relief as is necessary or appropriate, including mandatory or prohibitive injunction relief, interim equitable relief, and punitive damages. (b) IMMINENT IIAZARD.-If the Secretary has reason to believe that an imminent hazard exists, he may petition an appropriate district court of the United States, or upon his request the Attorncy General
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shall so petition, for an order suspending or restricting the transporta-tion of the hazardous material responsible for suchimminent hazard, or for such other order as is necessary to climinate or ameliorate such
" Imminent imminent hazard. As used in this subsection, an " imminent hazard" hczard." exists if there is substantial likelihood that serious harm will occur prior to the completion of an administrative hearing or other formal proceeding initiated to abate the risk of such harm.
RELATIONSillP TO OTilER IAWS 49 USC 1811. Sec.112. State governments. (a)IN GENERAL.-Except as provided in subsection (d) and unless Indians. otherwise authorized by Federal law, any requirement of a State or political subdivision thereof or Indian tribe is preempted if-(1) compliance 'with both the State or political subdivision or Indian tribe requirement and any requirement of this title or of a regulation based under this title is not possible, (2) the State or political subdivision or Indian tribe requirement as applied or enforced creates an obstacle to the accomplishment and execution of this title or the regulations issued under this title, or (3) it is preempted under section 105(a)(4) or section 105(b). (b) FEES.--A State or political subdivision thereof or Indian tribe may not levy any fee in connection with the transportation of hazardous materials that is not equitable and not used for purposes related to the transportation of hazardous materials, including enforcement and the planning, development, and maintenance of a capability for emergency response. (c) DETERMINATION OF PREEMPTION.- (1) Administrative determination.-Any person, including a State or political subdivision thereof or Indian tribe, directly affected by any requirement of a State or political subdivision or Indian tribe, may apply to the Secretary, in accordance with regulations prescribed by the Secretary, for a determination of whether that requirement is preempted by section 105(a)(4) or 105(b) or subsection (a). The Secre-Federal tary shall publish notice of the application in the Federal Register. Register. Once the Secretary has published such notice, no applicant for such publication. determination by the Secretary may seek relief with respect to the same or substantially the same issue in r..iy court until the Secretary has taken final action on the application or until 180 days after filing of Regulations. the application, whichever occurs first. The Secretary, in consultation - with States, political subdivisions, and Indian tribes, shall issue regu- l lations which set forth procedures for carrying out this paragraph. { (2) Judicial Determination.-Nothing in subsection (a) prohibits a i State or political subdivision thereof or Indian tribe, or any other person directly affected by any requirement of a State or political subdivision thereof or Indian tribe, from seeking a determination of ) preemption in any court of competent jurisdiction in lieu of applying l to the Secretary under paragraph (1). l
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r 1 l l 1 i l (d) WAIVER OF PREEMPTION.-Any State or political subdivi-l sion or Indian tribe may apply to the Secretary for a waiver of preemption with respect to any requirements that the State or political subdivision or Indian tribe acknowledges to be preempted by section 105(a)(4) or 105(b) or subsection (a). The Secretary, in accordance with procedures prescribed by regulation, may waive preemption with re-spect to such requirement upon a determination that such requirement-(1) affords an equal or greater level of protection to the public than is afforded by the requirements of this title or regulations issued under this title, and (2) does not unreasonably burden commerce. ) (e) J UDICI AL REVIEW.-A party to a proceeding under subsection ' (c) or (d) may seek review by the appropriate district court of the United States of a decision of the Secretary under such proceeding only j by filing a petition with such court within 60 days after such decision becomes final. (f) OTHER FEDERAL LAWS.-This title shall not apply to pipe-lines which are subject to regulation under the Natural Gas Pipeline j Safety Act of 1968 (49 U.S.C.1671 et seq.), to pipelines which are l subject to regulation under the Hazardous Liquid Pipeline Safety Act of 1979 (49 U.S.C. 2001 et seq.), or to any matter which is subject to the Federal postal laws or regulations under this title or under title 18 or - title 39 of the United States Code. l CONFORMING AMENDMENTS l Sec.113. (a) Section 4472 of title 52 of the Revised Statutes of the United States, as amended (46 U.S.C.170) is amended-
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" criminal" before the word " penalty" and "or imprisoned not more j than 5 years, or both" before the phrase "for each violation", and (2) by adding at the end thereof the following new paragraph:
Penalty. (17)(A) Any person (except an employee who acts without knowledge) who is determined by the Secretary, after notice and an opportunity for j a hearing, to have knowingly committed an act which is a violation of any provision of this section, or of any regulation issued under this section, shall be liable to the United States for a civil penalty of not more than $ 10,000 for each day of each violation. The amount of such civil penalty shall be assessed by the Secretary by written notice. In ietermining :he amount of such penalty, the Secretary shall take into account the nattire. circumstances, extent, and gravity of the violation committed and, with respect to the person found to have committed such violatior., the degree of culpability, any history of prior offenses, ability to pay, effect on ability to continue to do business, and such other matters as justice may require. (B) Such civil penalty may be recovered in an action brought by the Attorney General on behalf of the United States, in the appropriate district court of the United States or, prior to the referral to the Attor-ney General, such civil penalty may be compromised by the Secretary. 266 C% Y s I l I
i l l The amount of such penalty, when finally determined (or agreed upon I in compromise), may be deducted from any sums owned by the United States to the person charged. All penalties collected under this sutwec-tion shall be deposited in the Treasury of the United States as miscellaneous receipts. (b) Section 901(a)(1) of the Federal Aviation Act of 1958 (49 U.S.C. 147 (a)(1)) is amended-(1)byinserting immediately before the period at the end of the first sentence thereof and inserting in lieu thereof: ", except that the amount of such civil penalty shall not exceed $10,000 for each such violation which relates to the transportation of hazardous materials."; and (2) by deleting in the second sentence thereof ": Provided, That this" and inserting in lieu thereof the following: ". The amount of any such civil penalty which relates to the transportation of hazardous materials shall be assessed by the Secretary, or his delegate, upon written notice upon a finding of violation by the Secretary, after notice and an opportunity for a hearing. In determining the amount of such penalty, the Secretary shall take into account the nature, circumstances, extent, and gravity of the violation committed, and with respect to the person found to have committed such violation, the degree of culpability, and history of prior offenses, ability to pay, effect on ability to continue to do business, and such other matters as justice may required. This". (c) Section 902(h) of the Federal Aviation Act of 1958, as amended (49 U.S.C.1472(h)) is amended to read as follows: ilAZARDOUS MATERIALS (h)(1)ln carrying out his responsibilities under this Act, the Secretary Ante, p. 2157. of Transportation may exercise the authority vested in him by section 105 of the llazardous Materials Transportation Act to provide by regulation for the safe transportation of hazardous materials by air. Penalty. (2) A person is guilty of an offense if he willfully delivers or causes to be delivered to an air carrier or to the operator of a civil aircraft for transportation in air commerce, or if he recklessly causes the transportation in air commerce of, any shipment, baggage, or other property which contains a hazardous material, in violation of any rule, regulation, or requirement with respect to the transportation of hazardous materials issued by the Secretary of Transportation under this Act. Upon conviction, such person shall be subject, for each offense, to a fine of not more than $25,000, imprisonment for a term not to exceed 5 years, or both. (3) Nothing in this subsection shall be construed to prohibit or regu-late the transportation by any individual, for personal use, of any firearm (as defined in paragraph (4) of section 232 of title 18, United States Code) or any ammunition therefor.". (d) Section 6(c)(1) of the Department of Transportation Act (49 U.S.C.1655(c)(1))is amended by inserting in the first sentence thereof after " aviation safety" and before "as set forth in" the following: (other 267
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than those relating to the transportation, packaging, marking, or de-scription of hazardous materials)". (e)(1) Section 6(i)(3)(A) of the Department of Transportation Act (49 U.S.C.1655(f)(3)(A))is amended by striking out the period at the end thereof and by mserting in lieu thereof "(other than subsection (e)(4)).".
"(2) Section 6(f)(3)(B) of the Department of Transportation Act (49 U.S.C.1655(f)(3)(B))is amended by striking out the period at the end thereof and by inserting in lieu thereof "(other than subsection (e)(4)).".
(f) Subsection (6) of section 4472 cf the Revised Statutes, as amended (46 U.S.C.170(6))is amended-(1) in paragraph (a) thereof, by striking out " inflammable" each place it appears and inserting in lieu thereof at each such place "flam-mable"; by inserting before " liquids" the following: "or combustible"; and by deleting the colon and the proviso in its entirety and by insert-ingin lieu thereof a period and the following two new sentences: "The provisions of this subsection shall apply to the transportation, car-riage, conveyance, storage, stowing, or use on board any passenger vessel of any barrel, drum, or other package containing any flammable g or combustible liquid which has a lower flash point than that which is defined as safe pursuant to regulations establishing the defining flash-point criteria for flammable and combustible liquids. Such regulations shall be prescribed and revised as necessary, by the Secre-tary of Transportation.". (2)in paragraph (b) thereof, by striking out in clause (iv) thereof " inflammable liquids" and inserting in lieu thereof " flammable or combustible liquids" Repeal. (g) The 'lfazardous Materials Transportation Control Act of 1970 (Pub. L 91-458, title III; 49 U.S.1761-1762) is repealed. EFFECTIVE DATE 49 USC 1801. Sec.114. (a) Except as provided in this section, the provisions of the note. title shall take effect on the date of enactment. (b)(1) Except as provided in section 108 of this title or paragraph (2) of this subsection, any order, determination, rule, regulation, permit, contract, certificate, license, or privilege issued, granted, or otherwise authorized or allowed prior to the date of enactment of this title, pur-suant to any provision of law amended or repealed by this title, shall continue in effect according to its tenns or until repealed, terminated, withdrawn, amended, or modified by the Secretary or a court of compe-tent jurisdiction. (2) The Secretary shall take all steps necessary to bring orders, deter-minations, rules, and regulations into conformity with the purposes and provisions of this title as so(m as practicable, but in any event no per-mits, contracts, certificates, licenses, or privileges granted prior to the date of enactment of this title, or renewed or extended thereafter, shall be of any effect more than 2 years after the date of enactment of this I title, unless there is full compliance with the purposes and provisions of this Act and regulations thereunder. 1 27M.) , I l l l
(c) Proceedings pending u,pon ihe date of enactment of this title shall not be affected by the provisions of this iitle and shall be completed asif ! this title had not been enacted, unless the Secretary makes a determina-i tion that the public health and safety otherwise require. I~ l AUTHORIZATION FOR APPROPRIATIONS l 49 USC 1812. SEC.115 l (a)IN GENERAL.-There is authorized to be appropriated for car-rymg out this title (other than sections 117,117A,118, and 121) not to exceed $13,000,000 for fiscal year 1991, $16,000,000 for fiscal year 1992, and $18,000,000 for fiscal year 1993. (b) CREDITS.-The Secretary may credit to any appropriation to i carry out this title funds received from States, Indian tribes, or other - public authorities and private entities for expenses incurred by the
. Secretary in providing training to such States, public authorities, and private entitics".
TRANSPORTATION OF CERTAIN HIGHLY RADIOACTIVE MATERIALS 49 USC 1813. Sec.116. (a) RAILROAD TRANSPORTATION STUDY.-The Secretary, in consultation with the Department of Energy, the Nuclear Regulatory Commission, potentially, affected States and Indian tribes, representa-tives of the railroad transportation industry and shippers of high-level radioactive waste and spent nuclear fuel, shall undertake a study comparing the safety of using trains operated exclusively for transport-ing high-level radioactive waste and spent nuclear fuel (hereinafter in this section referred to as ' dedicated trams') with the safety of using other Reports. methods of rail transportation for such purposes. The Secretary shall report the results of the study to Congress not later than one year after the date of enactment of this section. (b) SAFE RAIL TRANSPORT OF CERTAIN RADIOACTIVE MATERIALS.-Within 24 months after the date of enactment of this Regulations. section, taking into consideration the findings of the study conducted pursuant to subsection (a), the Secretary shall amend existing regulations as the Secretary deems appropriate to provide for the safe transportation by rail of high-level radioactive waste and spent nuc! car fuel by various methods of rail transportation, including by dedicated train. (c) MODE AND ROUTE STUDY.-The Secretary shall, within 12 l months after the date of enactment of this section, undertake a study to ) determine which factors, if any, should be taken into consideration by shippers and carriers in order to select routes and modes which, in combination, would enhance overall public safety related to the trans. portation of high-level radioactive waste and spent nuclear fuel. Such study shall include notice and opportunity for public comment, and l shall include assessing the degree to which various factors, including population densities, types and conditions of modal infrastructures 269 SY ,.rff }'/ l
I (such as highways, railbeds, and waterways), quantities of high-level radioactive waste and spent nuclear fuel, emergency response capabili-ties, exposure and other risk factors, terrain considerations, continuity of routes, available alternative routes and environmental impact fac-tors, affect the overall public safety of such shipments. (d) INSPECTIONS OF VEHICLES TRANSPORTING ll!GHWAY ROUTE CONTROLLED QUANTITY RADIOACTIVE MATERI-ALS.- Regulations. "(*) Requirement.-Not later than one year after the date of the en-actment of the liazardous Materials Transportation Uniform Safety Act of 1990, the Secretary sha!! require by regulation that, before each use of a motor vehicle to transport in commerce any highway route , controlled quantity radioactive material, such vehicle shall be in- i spected and certified to be in compliance with this title and applicable j Federal motor carrier safety laws and regulations. '
"(2) Use of federal and state inspectors.-The Secretary may re-quire that inspections under this subsection be carried out by duly l authorized inspectors of the United States or in accordance with i appropriate State procedures.
"(3) Self-certification.-The Secretary may permit a person who transports or causes to be transported or shipped any highway route controlled quantity radioactive material to inspect the motor vehicle l
to be used to provide such transportation and to certify that the motor ' vehicle is in compliance with this title. The inspector qualification requirements for individuals performing inspections of motor ve-hicles issued by the Secretary shall apply to irclividuals conducting inspections under this paragraph. (c) DEFINITIONS.-For purposes of this section, the following defi-nitions vpply-
"(1)lligh-level radioactive waste.-The term 'high-level radio-active waste' has the meaning given such term in section 2(12) of the Nuclear Waste Policy Act of 1982 (42 U.S.C.10101(12)).
"(2) Spent nuclear fuel.-The term ' spent nuclear fuel' has the meaning given such term in section 2(23) of the Nuclear Waste -
Policy Act of 1982 (42 U.S.C.10101(23)) (a) IN GENERAL-The Secretary of Transportation, in fiscal year 1991, shall employ and maintai t thereafter an additional 30 hazardous materials safety inspectors above the number of safety inspectors au-thorized for fiscal year 1990,in the aggregate, for the Federal Railroad Administration, the Federal liighway Administration, and the Re-search and Special Programs Administration. The Secretary shall take such action as may be necessary to assure that the activities of 10 such additional inspectors focus on promoting safety in the transportation of radioactive materials, as defined by the Secretary. Such activities shall include-l
@ ,s I
) )
i (1,) the inspection at the point of origin of shipments of high-level radioactive waste or nuclear spent fuel, as those terms are defined in section 116 of the Hazardous Materials Transportation Act, as added by section 15 of this Act; and (2)the inspection, to the maximum extent practicable, of shipments of radioactive materials that are not high-level radioactive waste or nuclear spent fuel. Intergovern- (b) COOPERATION.-In carrying out their duties, the 10 addi-mental tional inspectors authorized by this section to focus on promoting relations. safety in the transportation of radioactive materials shall, to the maxi-mum extent possible, cooperate with safety inspectors of the Nuclear Regulatory Commission and appropriate State and local government officials. (c) ALLOCATION OF INSPECTORS OR RADIOACTIVE MA-TERIALS.-Of the 10 additional inspectors authorized by subsection (a) to focus on promoting safety in the transportation of radioactive materials-(1) not less than 1 shall be allocated to the Reschrch and Special Programs Administration; (2) not less than 3 shall be allocated to the Federal Railroad Admin-istration; (3) not less than 3 shall be allocated to the Federal Highway Admin-istration; and (4) the remainder shall be allocated, at the discrat.'on of the Secre-tary, among the agencies referred to in paragraplu (.'), (2) and (3). (d ALLOCATION OF OTHER SAFETY INSPECTDRS.- The 20 adds)tional inspectors authorized by subsection a) no: referred to in subsection (c) shall be allocated, at the discret(ion of the Secretary, among the agencies referred to in paragraphs (1), (2), and (3). (c) DEFINITIONS.-As used in this section-(1) High-level radioactive waste.-The term "high-level radioactive waste" has the meaning given such term in section 2(12) of the Nuclear Waste Policy Act of 1982 (42 U.S.C.10101(12)). (2 Spent nuclear fuel.-The term " spent nuclear fuel" has the mean-ing g)iven such term in section 2(23) of the Nuclear Waste Policy Act of 1982 (42 U.S.C.10101(23)). PUBLIC SECTOR TRAINING AND PLANNING ' State SEC.117A. governments. (a) PLANNING GRANT PROGRAM.- Gren: Programs. (1)In general.-The Secretary shall make grants to States-49 USC app. (A) for developing, improving, and implementing emergency plans 1815: under the Emergency Planning and Community Right-To-Know Act of 1986, including determination of flow patterns of hazardous ma-terials within a State and between a State and another State; and (B) for determining the need for regional hazardous materials emergency response teams. (2) Maintenance of effort.-The Secretary may not make a grant to a State under this subsection in a fiscal year unless such State certifies 271 [ J fr/,
that the aggregate expenditure of funds of the State, exclusive of Federal funds, for developing, improving, and implementing emer-gency plans under the Emergency Planning and Community Right-To-Know Act of 1986 will be maintained at a level which does not fall below the average level of such expenditure for its last 2 fiscal years. (3) Funding of planning by local emergency planning committees.- The Secretary may not make a grant to a State under this subsection in a fiscal year unless such State agrees to make available not less than 75 percent of the funds granted to the State under this subsection in the fiscal year to local emergency planning committees established pur-suant to section 301(c) of the Emergency Planning and Community Right 'Ib-Know Act of 1986 by the State emergency response commis-sion. Such funds shall be made available to the local committees for developing emergency p!ans under such Act. Indians. (b) TRAINING GRANT PROGRAM.-
"(1) In general.-The Secretary shall make grants to States and Indian tribes for training public sector employees to respond to acci-dents and incidents involving hazardous materials.
"(2) Maintenance of effort.-The Secretary may not make a grant to a State or Indian tribe under this subsection in a fiscal year unless the State or Indian tribe certifies that the aggregate expenditure of funds of the State or Indian tribe, exclusive of Federal funds, for training public sector employees to respond to accidents and inci-dents involving hazardous materials will be maintained at a level which does not fall below the average level of such expenditure for its last 2 fiscal years.
"(3) Funding of training by politic subdivisions.-The Secretary may not make a grant to a State under this subsection in a fiscal year unless such State agrees to make available at least 75 percent of the funds granted to the State under this subsection in the fiscal year for the purposes of training public sector employees employed or used by the political subdivisions.
Inter- "(4) Use of training courses.-The Secretary may only make a grant governmental to a State or Indian tribe under this subsection in a fiscal year if the relations. State or Indian tribe enters into an agreement with the Secretary to use in such fiscal year-(A) a course of courses developed or identified under subsection (g); or (B) other courses which the Secretary determines are consistent with the objectives of this section; for training public sector em-ployces to response to accidents and incidents involving hazardous materials. (5) Use of training funds.-Funds granted to a State or Indian tribe for training public sector employees under this subsection may be used to pay tuition costs of such employees for such training, travel expenses of such employees to and from the training facility, room and board of such employees while they are at the training facility, and travel expenses of persons who are to provide such training. (6) Training by others.-Funds granted to a State or Indian tribe for training public sector employees under this subsection-2'2
)2& /
l l 1 l 2 l 4 I I
e (A) may be used by the State or a political subdivision thereof or the Indian tribe to provide such training; or (B) may be used to enter into an agreement, approved by the Sec-retary, to authorize a person (including a department, agency, or instrumentality of a State or political subdivision thereof or an In-dian tribe) to provide such training-(i)if the agreement allows the Secretary and the State or Indian tribe to conduct random examinations, inspections and audits of such training without prior notification; and (ii)if the State or Indian tribe conducts at least annually I on-site observaten of such training. (7) Allocation of training funds.-The Secretary shall allocate funds made available for grants under this subsection for a fiscal year among States and Indian tribes which are eligible to receive such grants in such fiscal year based upon the needs of such States and Indian tribes for emergency response training. In determining such needs, the Sec-retary shall consider the number of hazardous materials facilities in the State or on lands under the jurisdiction of the Indian tribe, the types and amounts of hazardous saaterials transported in the State or on such lands, whether or not the State or Indian tribe assesses and collects fees on the transportation of hazardous materials, whether or not such fees are used solely to carry out purposes related to the transportation of hazardous materials, and such other factors as the j Secretary determines are appropriate to carry out the objectives of a this subsection. (c) ADOPTION OF FEDERAL STANDARDS AND COMPL1-ANCE WITH EMERGENCY PLANNING REQUIREMENTS.- The Secretary may only make a grant to a State under this section in a fiscal year if the State certifies that the State is complying with sections 301 and 303 of the Emergency Planning and Community Right-To-Know Act of 1986, including compliance with such sections with respect ; to accidents and incidents involving the transportation of hazardous ! materials. ; (d) FEDERAL SIIARE.-By a grant under this section, the Secre- i tary shall reimburse any State or Indian tribe an amount not to exceed 80 percent of the cost incurred by the State or Indian tribute in the fiscal ) year for carrying out the activitics for which the grant is made. The funds of the State or Indian tribe which are required to be expended under such sections (a)(2) and (b)(2) shall not be considered to be part of the non-Federal share. (e) APPLICATIONS.-A State or Indian tribe interested in receiv-ing a grant under this section shall submit an application to the Secretary for such grant. Such applications shall be submitted at such times and contain such information as the Secreta y may require by regulation to carry out the objectives of this subsection. (f) DELEGATION OF AUTilORITY.-For the purpose of rnini-mizing administrative costs and for coordinating Federal grant programs for emergency response training and planning, the Secretary ! may delegate to the Director, Chairman of the Nuclear Regulatory Commission Administrator, Secretary of Labor, Secretary of Energy, 273 ai %,. 1
r i i l-l and Director of the National Institute of Environmental 11ealth p Sciences of the Department of licalth and Human Services one or more of the following functions.
- (1) Authority to receive applications for grants under this section.
f (2) Authority to review applications for technical compliance with this section.
. (3) Authority to review applications for the purpose of making rec-
, ommendation on approval or disapproval of such applications. ! (4) Any other ministerial function associated with the grant pro- 1 grams under this section. l (g) TRAINING CURRICULUM.- ) { (1) Curriculum committee.-Not later than 24 months after the date of the enactment of the hazardous Materials Transportation Uniform Safety Act of 1990, the Secretary, in coordination with the Director, Chairman of the Nuclear Regulatory Commission, Admin- . istrator, Secretary of Labor, Secretary of Energy, Secretary ofIlealth and Human bevices, and Director of the National Institute of Envi-L ronmental Heanh Sciences and using the existing coordinating
- l. mechanisms of the National Response Team and, for radioactive l materials, the Federal Radiological Preparedness Coordinating Committee, shall develop and update periodically a curriculum which l
consists of a list of courses necessary to train public sector emergency response and preparedness teams. (2) Mandatory curriculum recommendations.-The curriculum to
- t. be developed under this subsection shall include-l (A))a (t recommended course of study-for training public sector employees to resp and incidents involving the transportation of hazardous materials, l
(ii) for planning such responses; (B) recommended basic courses and minimum numbers of hours of instruction necessary for public sector employees to be able-(i) to respond safely and efficiently to accidents and incidents in-f volving the transportation of hazardous materials, and [ (ii) to plan for such responses; (C) appropriate emergency response training and planning pro-grams for public sector employees developed under other Federal grant programs, including those developed with grants made under section 126 of the Superfund Amendments and Reauthorization Act of 1986. (3) Optional curriculum recommendations.-The curriculum to be developed under this subsection may include recommendations con- , cerning materials appropriate for use in the recommended courses l described in paragraph (2)(B). (4) Compliance with OSHA and EPA regulations and NFPA stan-dards.-The recommended courses described in paragraph (2)(B)
- shall provide such training to public sector employees as may be l necessary to compty-(A) with the regulations issued by the Occupational Safety and l Health Administration of the Department of Labor relating to haz-
- ardous waste operations and emergency response contained in part ]
s~y 274 /~ i
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i I l
i 1910 of title 29 of the Code of Federal Regulations, and any amend- I l ments thereto; ) (B) with the regulations issued by the Environmertal Protection ! Agency relating to worker protection standards for hazardous waste i operations contained in part 311 of title 40 of the Code of Federal l Regulations, and any amendments thereto; and (C)with standards issued by the National Fire Protection Associa-tion, relating to emergency response training, including standards 471 and 472. (5) Consultation requirement.-In developing the curriculum un-i der this subsection, the Secretary shall consult the regional response teams established pursuant to the National Contingency Plan estab-lished under section 105 of the Comprehensive Environmental Response, Compensation, and Liability Act of 1980, representatives of commissions established pursuant to section 301 of the Emergency Planning and Community Right-To-Know Act of 1986 (42 U.S.C. 11001), persons (including governmental entities) who provide train-ing for responding to accidents and incidents involving the transportation of hazardous materials, and representatives of per-sons who respond to such accidents and incidents. (6) Dissemination.-The Director, in conjunction with the Nation-al Response Team, shall disseminate the curriculum developed under this section and any amendments thereto to the regional response teams established pursuant to the National Contingency Plan estab-lished under section 105 of the Comprehensive Environmental Response, Compensation, and Liability Act of 1980 and to all com- ; mittees and commissions established pursuant to section 301 of the i Emergency Planning and Community Right-to-Know Act of 1986 (42 U.S.C.11001). (7) Monitoring and technical assistance.- I l (A) Monitoring.-The Director, in coordination with the Secre- ! tary, Administrator, Secretary of Energy, and Director of the National Institute of Environmental Health Sciences, shall monitor public sector emergency response training and planning for acci-dents and incidents involving hazardous materials. (B) Technical assistance.-Taking into account the results of mon-itoring under subparagraph (A), the Secretary, Director, Administrator, Secretary of Energy, and Director of the National Institute of Environmental IIealth Sciences shall each provide tech-nical assistance to States and political subdivisions thereof Indian traues for carrying out emergency response training and planning for accidents and incidents invohing hazardous materials and shall coordinate the provision of such technical assistance using the exist-ing coordinating mechanisms of the national response team and, for , radioactive materials, the Federal Radiological Preparedness Coor- ) dinating Committee. l (8) Publication oflist of training programs.-The Secretary, in con- 1 junction with the national response team, may publish a list of ] programs for training public sector employees to respond to accidents ' and incidents invohing the transportation of hazardous materials !
,fi%
275 ',i 6 .d 17 #M , g i s ! i j
( ! i which utilize one or more of the courses developed under this subsec-tion. } l (9) Minimization of duplication of effort.-The Secretary, Direc- 4 ! tor, Chairman of the Nuclear Regulatory Commission, Administrator, Secretary of Labor, Secretary of Energy, and the Di- , rector of the National Institute of Environmental IIcalth Sciences, in 1 conjunction with the heads of other Federal departments, agencies, and instrumentalities, shall review periodically all emergency re- j sponse and preparedness training programs of the Federal l department, agency, or instrumentality which such person heads for j the purpose of minimizing duplication of effort and expense of such departments, agencies, and instrumentalities in carrying out such training programs and shall take such actions, including coordination l of training programs, as may be necessary to minimize such duplica-tion of effort and expense. l (h) FEES FOR TRAINING AND PLANNING.- l Regulations. (1) Establishment and collection.-Not later than September 30, l 1992, the Secretary shall establish and assess by regulation and collect , l an annual fee from each person who is required by or under section 106 to file a registration statement. (2) Factors for determining amount of fees.-Subject to paragraph (3), the amount of annual fees to be collected under this subsection shall be determined by the Secretary based on 1 or more of the follow-ing factors: , (A) The gross revenues from transportation of hazardous materi-
- his.
l (B) The types of hazardous materials transported or caused to be
- transported.
(C) The quantities of hazardous material transported or caused to be transported. . (D) The number of shipments of hazardous materials. l i (E) The nun ber of activities which the person carries out and for
)
j l which filing of a registration statement is required by or under sec- q tion 106. l (F) The threat to property, persons, and the environment from an i accident or incident involving the hazardous materials transported 1 or caused to be transported. 1 (G) The percentage of gross revenues which are derived from the l transportation of hazardous materials. l (II) The amount of funds which are to be made available to carry I I out this section and section 118. l (I) Such other factors as the Secretary considers appropriate. l (3) Limitations of fee amounts.- (A) Maximum and minimum amount.-Subject to subparagraph I (B), the amount of a fee which may be collected from a person under this section in a year may not be less than $250 and may not exceed
$5,000.
(B) Adjustments.-The Secretary shall adjust the amount of fees ! being collected from persons under this section to reflect any un- ! spent balances in the account established under paragraph (6); l 276
,2 64
I 1 except that nothing in this subsection shall be construed as requiring the Secretary to refund any fees collected under this subsection. (4) Treatment of fees.-Fees collected under this subsection shall be in addition to any fees which the Secretary may collect under section 106. (5) Transfer to Secretary of Treasury.-The Secretary shall transfer to the Secretary of the Treasury amounts mllected under this subsec-tion for deposit in the account established under paragraph (6). (6) Use of amounts.- (A) Establishment of account.-The Secretary of the Treasury shall establish in the Treasury an account into which the Secretary of the Treasury shall deposit amounts transferred by the Secretary of Transportation under paragraph (5). (B) Purposes.-Amounts in the account established under sub-paragraph (A) shall be available, without further appropriation-(i) for making grants under this section and section 118, (ii) for monitoring and providing technical assistance under sub-section (g)(7), and (iii) for paying the administrative costs of carrying out this sec- , tion and section 118, but not to exceed 10 percent of the amounts made available from the account in any fiscal year. (i) FUNDING.- l (1) Planning grants.-There shall be available to the Secretary for 1 carrying out subsection (a), from amounts in the account established ! pursuant to subsection (h), $5,000,000 per fiscal year for each of fiscal years 1993,1994,1995,1996,1997, and 1998. { j (2) Training grants.-There shall be available to the Secretary for ' carrying out subsection (b), from amounts in the account established pursuant to subsection (h), $7,800,000 per fiscal year for each of fiscal years 1993,1994,1995,1996,1997, and 1998. (3) Curriculum.- (A) From general revenues.-There is authorized to be appro-priated to the Secretary to carry out subsection (g) (other than paragraph (7)) $1,000,000 per fiscal year for each of fiscal years 1991 and 1992. (B) From fee account.-There shall be available to the Secretary to carry out subsection (g) (other than paragraph (7)), from ' amounts in the account established pursuant to subsection (h),
$1,000,000 per fiscal year for each of fiscal years 1993,1994,1995, 1996,1997, and 1998.
(C) Transfers.-The Secretary may transfer from amounts made available under this paragraph such amounts as may be necessary to the Director to carry out subsection (g)(6), relating to dissemination of the curriculum. (4) Monitoring and technical assistance.-There shall be available for carrying out subsection (g)(7), from amounts in the account estab-lished pursuant to subsection (h)- l (A)to each of the Secretary, Director, Administrator, and Sem tary of Energy $750,000; and 277 [ a ;
(B) to the Director of the National Institute of Environmental Health Sciences $200,000; per fiscal year for each of fiscal years 1993,1994,1995,1996,1997, and 1998. l (5) Availability.-Funds made available pursuant to this subsection l shall remain available until expended". HAZMAT EMPLOYEE TRAINING GRANT PROGRAM SEC.18.-The Act (49 U.S.C. App. 1801 - 1813), as amended by
- section 17 of this Act, is further amended by adding at the end the
! following new section: HAZMAT EMPLOYEE TRAINING GRANT PROGRAM 49 USC app. SEC.118. >- 1816. (a) GRANT PURPOSES.-Grants for training and education of haz-l- mat employees regarding the safe loading, unloading, handling, storage, and transportation of hazardous materials and emergency pre-paredness for responding to accidents or incidents involving the l transportation of hazardous materials in order to meet the require-ments issued under section 106(b) may be made under this section. (b) ADMINISTRATION.-Grants under this section shall be administered by the National Institute of Environmental IIcalth Sciences in consultation with the Secretary, the Administrator, and the Secretary of Labor. l (c) GRANT Recipients.-Grants under this section shall be awarded to nonprofit organizations which demonstrate expertise in implement-
- ing and operating training and education programs for hazmat employees and demonstrate the ability to reach and involve in training programs target populations of hazmat employees.
(d) FUNDING.-There shall be available to the Director of the Na-tional Institute of Environmental llealth Sciences to carry out this
- section, from amounts in the account established pursuant to section l 117A(h), $250,000 per fiscal year for each of fiscal years 1993,1994, I i
1995,1996,1997, and 1998. RAILROAD TANK CARS ; SEC.19.-The Act (49 U.S.C. App.1801 et seq.), as amended by l section 18 of this Act, is further amended by adding at the end the following new section: RAILROAD TANK CARS l 49 USC app. SEC.119. I 1817. (a) PROIIIBITIONS FOR CERTAIN MATERIALS.-No railroad tank car constructed before January 1,1971, may be used for the trans-portation in commerce of any class A or B explosives, any hazardous material which has been designated by the Secretary as toxic by inhala-tion, or any other hazardous material the Secretary determines should
- l. be subject to such requirement, unless the air brake equipment support l attachments of such tank car at a minimum comply with the standards j 278 I
1 l 1 for attachments set forth in part 179.100-16 and part 179.200-19 of title 49, Code of Federal Regulations, as in effect on the date of enact-ment of this section. ! { (b) APPLICABILITY TO OTHER MATERIAll-No railroad j tank car constructed before January 1,1971, may be used for the trans-l portation in commerce of any hazardous material after July 1,1991, unless the air brake equipment support attachments of such tank car comply with the standards for attachments set forth in part 179.100-16 and part 179.200-19 of title 49, Code of Federal Regulations, as in effect on the date of enactment of this section. APPLICATION OF FEDERAL, STATE, AND LOCAL LAW TO FEDERAL CONTRACTORS 49 USC app. SEC. 20.-The Act (49 U.S.C. App. 1801-1813), as amended by section
- 1818. 19 of this Act, is further amended by adding at the end thereof the following new section
APPLICATION OF FEDERAL, STATE, AND LOCAL i LAW TO FEDERAL CONTRACTORS i SEC.120.-Any person who, under contract with a: lepartment, agency, or instrumentality of the executive, legislative, or judicial b; nch of the Federal government, transports, or causes to be trans-ported or shipped, a hazardous material or manufacturers, fabricates, marks, maintams, reconditions, repairs, or tests a package or container which is represented, marked, certified, or sold by such person as quali-fied for use in the transportation of hazardous materials shall be subject to any comply with all provisions of this title, all orders and regulations issued under this title, and all other substantive and procedural require-ments of Federal, State, and Ircal governments and Indian tribes (except any such requirements t! at have been preempted by this title or any other Federal law), in the same manner and to the same extent as any person engaged in such activities that are in or affect commerce is subject to such provisions, orders, regulations, and requirements. RAILROAD TANK CAR STUDY 49 USC app. SEC. 21. 1817 note. (a) STUDY.-The Secretary of Transportation shall enter into a Government contract with an appropriate disinterested expert body for a study of- J contracts. (1) the railroad tank car design process, including specifications de- 1 velopment, design approval, repair process approval, repair accountability, and the process by which designs and repairs are pre-sented, weighted, and evaluated, and (2) railroad tank car design criteria, including whether headshields should be installed on all tank cars which carry hazardous materials. In carrying out the study described in paragraph (1), such expert body shall also make recommendations as to whether public safety consider-ations require greater control by and input from the Secretary with respect to the railroad tank car design process, especially in the early stages, and such other recommendations as such expert body considers appropriate. p 279 - f
)
l (b) REPORT.-The Secretary of Transportation shall report the re-sults of such study and such recommendations to the Congress within 1 year after the date of enactment of this Act. UNIFORMITY OF STATE MOTOR CARRIER REGISTRATION AND PERMITTING FORMS AND PROCEDURES SEC. 22.-The Act (49 U.S.C. App 1801-1813), as amended by sec-t tion 290f this Act,is further amended by adding at the end the following new section: UNIFORMITY OF STATE MOTOR CARRIER REGISTRATION AND PERMITTING FORMS AND PROCEDURES 49 USC app. SEC.121. 18t9. (a) WORKING GROUP.-As soon as practicable after the date of the enactment of this section, the Secretary shall establish a working j group comprised of State and local government officials, including j representatives of the National Governors' Association, the National Association of Counties, the National League of Cities, the United States Conference of Mayors, and the National Conference of State Legislatures, for the purpose of-(1) establishing uniform forms and procedures for a State to register persons who transport, cause to be transported, or ship a hazardous
- material by motor vehicle in such State and for a State to permit the transportation of hazardous materials in such State, and (2) determining whether or not to limit the filing of any State registration and permit forms and collection of fees therefor to the
- State in which a person resides or has its principal place of business.
(b) CONSULTATION REQUIREMENT.-The working group es-tablished under this section shall consult with persons who are subject to the registration and permit icquirements described in subsection (a) in establishing uniform forms and procedures and making the deter-mination described in subsection (a). (c) REPORT.-The working group established under this section shall transmit a final report to the Secretary and to the Committee on l Commerce, Science, and Transportation of the Senate and the Com-mittee on Public Works and Transportation of the llouse of Representatives not later than 36 months after the date of the enact-ment of this section. The final report shall contain a detailed statement j of the findings and conclusions of the working group, together with its joint recommendations concerning the matters referred to in subsec-tion (a). (d) REGULATIONS.- (1) General Rule.-Subject to the provisions of this subsection, the Secretary shall issue regulations implementing those recommenda-tions contained in the report transmitted to the Secretary under subsection (c) with which the Secretary agrees. . (2) Deadline.-Regulations required to be issued by this subsection shall be issued by the later of the following dates: l #* i h hk l 1 i l I l l i l l
(A) The last day of the 3-year period beginning on the date the or-ganizations referred to in subsection (a) transmit their final joint report to the Secretary. (B) The last day of the 90-day period beginning on the date on which 26 or more States adopt all of such recommendations. (3)Nolimit of amount of fees.-Regulations issued undet this sec-tion shall not define or limit the amounts of any fees which may be imposed or collected by any State. Effective date. (e) UNIFORMITY.-A regulation issued pursuant to this section shall take effort 1 year after the date ofits issuance; except that the Secretary may extend such 1-year period for an additional 1-year period for good cause. After the effective date of such regulation, no State shall establish, maintain, or enforce any requirement which relates to the subject matter of such regulation unless such requirement is the same as such regulation. (f) IMPLEMENTATION EFFICIENCY.-The Secretary, in con-sultation with the working group established under this section, shall develop a procedure to eliminate any differences in State implementa-tion of regulations issued pursuant to this section. (g) APPLICABILITY OF ADVISORY COMMITTEE ACT.-The working group established under this section shall not be subject to the Federal Advisory Committee Act. (h) AUT110RIZATION OF APPROPRIATION.-There is autho-rized to be appropriated for carrying out this section $400,000 per fiscal year for :ach of fiscal years 1991,1992, and 1993. Such sums shall remain available until expended. FINANCIAL RESPONSIBILITY SEC. 23. Section 30(b)(2) of the Mo er Carrier Act of 1980 (49 U.S.C.10927 note) is amended to read as follows: (2) Hazardous materials transportation-(A) General rule.-Except as provided in subparagraphs (B) and (C), the minimal level of financial responsibility estabbshed by the Secretary under paragraph (1) of this subsection for any vehicle transporting in interstate or mtrastate commerce-(i) hazardous substances (as defined by the Administrator of the Environmental Protection Agency)in cargo tanks, portable tanks, or hopper-type vehicles, with capacities in excess of 3,500 water gallons, l (ii) in bulk class A explosives, poison gas, liquefied gas, or com-pressed gas, or
, (iii) large quantities of radioactive materials, shall not be less than $5,000,000.
(B) Phase-in reduction.-The Secretary, by regulation, may re-duce the $5,000,000 amount under subparagraph (A)(but not to an amount less than $1,000,000) for any class of vehicles or operations for the 3 +-year period beginning on the effective date of the regula-i tions issued under this subsection or any part of such period if the Secretary fm' ds that such reduction will not adversely affect public 281 1
( , safety and will prevent a serious disruption in transportation ser-l wa.
- (C) Territory reduction.-The Secretary, by regulation, may re-l duce the $5,000,000 amount under subparagraph (A) (but not to an l amount less than $1,000,000) for transportation described in sub-l paragraph (A) in the Commonwealth of Puerto Rico, the Virgin Islands, American Samoa, Guam, and the Commonwealth of the Northern Mariana Islands if the chief executive officer of such terri-tory requests the reduction and if the reduction will not adversely affect public s.afety, will prevent a serious disruption in transporta-tion service, and insurance at the $5,000,000 level is not readily available.
FEDERALLY LEASED COMMERCIAL
- MOTOR VEHICLES SEC. 24.-Section 210 of the Motor Carrier Safety Act of 1984 (49 U.S.C. App. 2509)is amended by adding at the end the following new subsection
l (g) FEDERALLY LEASED COMMERCIAL MOTOR VE-l lilCLES.-Any State which receives Federal financial assistance under section 402 of the Surface Transportation Assistance Act of1982 in a fiscal year may apply and enforce in such fiscal year any regulations pertaining to commercial motor vehicle safety adopted by such State with respect to commercial motor vehicles and operators leased to the United States. IMPROVEMENTS TO HAZARDOUS MATERIALS IDENTIFICATION SYSTEMS Mc vehicles. SEC. 25. Tele.vmmunica- (a) RULEMAKING PROCEEDING.- tions. (1) Initiation.-In order to develop methods ofimproving the cur-49 USC app. rent system of identifying hazardous materials being transported in 1804 note. vehicles for safeguarding the health and safety of persons responding , to emergencies involving such hazardous materials and the public and to facilitate the review and reporting process required by subsection (d). the Secretary of Transportation shall initiate a rulemaking pro-cet. ding not later than 30 days after the date of the enactment of this Act. (2) Primary purposes.-The primary purposes of the rule-making proceeding initiated under this subsection are-(A) to determine methods of improving the current system of plac-arding vehicles transporting hazardous materials; and (B) to determine methods for establishing and operating a central reporting system and computerized telecommunications data cen-ter described in subscetion (b)(1). (3) Methods of improving placarding system.-The methods of improving the current system of placarding to be considered under the rulemaking proceeding initiated under this subsection shall in-clude methods to make such placards more visible, methods to reduce the number ofimproper and missing placards, alternative methods of marking vehicles for the purpose ofidentifying the hazardous materi-282 9 Co
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als being transported, methods of modifying the composition of placards in order to ensure their resistance to flammability, methods of improving the coding system used with respect to such placards, identification of appropriate emergency response procedmes through symbols on placards, and whether or not telephone numbers of any continually monitored telephone systems which are established under the llazardous Materials Transportation Act are displayed on vehicles transporting hazardous aterials. (4) Completion of rulemakit t proceeding with respect to reporting system and data center.-Not ter than 19 months after the date of the enactment of this Act, the Se retary of Transportation shall com-plete the rulemaking proceeding initiated with respect to the central reporting system and computerized telecommunications data center described in subsection (b). (5) Final rule with respect to placarding.-Not later than 30 months after the date of the enactment of this Act, the Secretary of Trans-portation shall issue a final rule relating to improving the current system for placarding vehicles transporting hazardous materials. (b) CENTRAL REPORTING SYSTEM AND COMPUTERIZED TELECOMMUNICATIONS DATA CENTER STUDY.- (1) Arrangements with National Academy of Sciences.-Not later than 30 days after the date of the enactment of this Act, the Secretary of Transportation shall undertake to enter into appropriate arrange-ments with the National Academy of Sciences to conduct a study of the feasibility and necessity of establishing and operating a central reporting system and computerized telecommunications data center that is capable of receiving, storing, and retrieving data concerning all daily shipments of hazardous materials, that can identify hazardous materials being transported by any mode of transportation, and that can provide information to facilitate responses to accidents and inci-dents involving the transportation of hazardous materials. (2) Consultation and report.-In entering into any arrangements ' with the National Academy of Sciences for conducting the study un-du this section, the Secretary of Transportation shall requat the National Academy of Sciences-(A) to consut with the Denartment of Transportation, the De-partment of IIcalth and lluman Services, the Environmental Protection Agency, the Federal Emergency Management Agency, and the Occupational Safety and Health Administration, shippers { and carriers of hazardous materials, manufacturers of computer-ized telecommunications systems, State and local emergency preparedness organizations (including law enforce-ut and fire-fighting organizations), and appropriate ...: national l j organizations in conducting such study; and l (13) to submit, not later than 19 months after the date of the enact-ment of this Act, to the Secretary, the Committee on Commerce, Science, and Transportation of the Senate, and the Committees on Energy and Commerce and Public Works and Transportation of the ; llouse of Representatives a report on the results of such study. ' 283 # f%
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Such repert shall include recommendations of the National Academy of Sciences with respect to establishment and operation of a central reporting system and computerized telecommunications data center described in paragraph (1). (3) Authorization of appropriation.-In addition to amounts au-thorized under section 115 of the llazardous Materials Transportation Act, there is authorized to be appropriated to the Secretary of Transportation to carry out this subsection $350,000. (c) ADDITIONAL PURPOSES OF RULEMAKING PROCEED- { ING AND STUDY.-Additional purposes of the rulemaking j proceeding initiated under subsection (a) with respect to a central reporting system and computerized telecommunications data center described in subsection (b) and the study conducted under subsection (b) are-(1) to determine whether such a system and center should be estab- - lished and operated by the United States Government or by a private entity, either on its own initiative or under contract with the United
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i States; (2) to determine, on an annualized basis, the estimated cost for , establishing, operating, and maintaining such a system and center and i for carrier and shipper compliance with such a system; (3) to determine methods for financing the cost of establishing operating, and maintaining such a system and center; (4) to determine projected safety benefits of establishing and oper-ating such a system and center; ) (5) to determine whether or not shippers, carriers, and handlers of l hazardous materials, in addition to law enforcement officials and ) ' persons responsible for responding to emergencies involving hazard-ous materials, should have access to such system for obtaining information concerning shipments of hazardous materials and tech-nical and other information and advice with respect to such emergencies; (6) to determine methods for ensuring the security of the informa-tion and data stored in such a system; (7) to determine types of hazardous materials and types of ship- 3 ments for which information and data should be stored in such a < system; (8) to determine the degree of liability of the operator of such a system and center for providing incorrect, false, or misleading infor-mation; (9) to determine deadlines by which shippers, carriers, and handlers i of hazardous materials shculd be required to submit information to ! the operator of such a system and center and minimum standards relating to the form and contents of such information; j (10) to determine measures (including the imposition of civi and ) criminal penalties) for ensuring compliance with the deadlines and standards referred to in paragraph (9); and (11) to determine methods of accessing such a system through no- i' bile satellite service or other technologies having the capability to provide 2-way voice, data, or facsimile services.
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1 (d) REVIEW AND REPORT TO CONGRESS.- l (1) In general.-Not later than 25 months after the date of the l enactment of this Act, the Secretary of Transportation shall review the report of the National Academy of Sciences submitted under i subsection (b) and the results of rulemaking proceeding initiated under subsection (a) with respect to a central reporting system and ; computerized telecommunications data center and shall prepare and { submit to Congress a report summarizing the report of the National ' Academy of Sciences and the results of such rulemaking proceeding, together with the Secretary's recommendations concerning the estab- ; lishment and operation of such a system and center and the { Secretary's recommendations concerning implementation of the rec- j ommendations contained in the report of the National Academy of ; Sciences. l (2) Weight to be given to recommendations of NAS.-In conducting l the review and preparing the report under this subsection, the Secre- l tary shall give substantial weight to the recommendations contained d in the report of the National Academy of Sciences submitted under subsection (b). (3) inclusion of reasons for not following recommendations.-If the Secretary does not include in the report prepared for submission to Congress under this subsection a recommendation for implementa-tion of a recommendation contained in the report of the National Academy of Sciences submitted under subsection (b), the Secretary shall include in the report to Congress under this subsection the Secretary's reasons for not recommending implementation of the recommendation of the National Academy of Sciences. CONTINUALLY MONITORED TELEPilONE SYSTEMS 40 USC app. SEC. 26. j j 1804 note. (a) RULEMAKING PROCEEDING.-Not later than 90 days after the date of the enactment of this Act, the Secretary of Transportation l l shall initiate a rulemaking proceeding on the feasibility, necessity, and . safety benefits of requiring carriers involved in the hazardous materials 1 transportation industry to establish continually monitored telephone systems equipped to provide emergency response information and assistance with respect to accidents and incidents involving hazardous l l materials. Additional objectives of such proceeding shall be to l 1 l determine which hazardous materials, if any, should be covered by such a requirement and which segments of such industiy (including persons
]j l who own and operate motor vehicles, trains, vessels, aircraft, and j in-transit storage facilities) should be covered by such a requirement. ;
(b) COMPLETION OF PROCEEDING.-Not later than 30 months j after the date of the enactment of this Act, the Secretary of Transporta. l tion shall complete the proceeding under this section and may issue a i final rule relating to establishment of ccmtinually monitored telephone l systems described in subsection (a). 285
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1 SIIIPPER RESPONSiblLITY IU ' ORT I SEC. 27.-Not later than 90 days after the dits on the enactment of l this Act, the Secretary of Transportation shall transmit to Congress a l report on- ! (1) the safety benefits of a lawwhich provides that if a person causes ! a hazardous material to be transported in bulk in commerce by a motor carrier, which is involved in a hazardous material incident and which has an unsatisfactory safety rating issued by the Secretary or which has a conditional safety rating issued by the Secretary which has been in effect for a period of more than 12 months, such person shall be liable for at least 50 percent of the costs, damages, and attorney's fees assessed against the motor carrier for any hazardous material incident invoMng such transportation; (2) such other systems as the Secretary of Transportation may deter-mine would assure responsible actions by a person who causes the transportation of haza'dous material in bulk in commerce; and (3) the safety benefds of a law which provides that the liability of the person or persons who caused such a shipment of hazardous materials may not be transferred by indemnificatbn, hold harmless, or similar agreements. STATE PARTICIPATION IN INVESTIGATIONS AND SURVEILLANCE SEC. 28. (a) AMENDMENT OF SECTION 206(a) OF FRSA.-Section 206(a) of the Federal Railroad Safety Act of 1970 (45 U.S.C. 435(a))is amended-(1) by inserting "related to railroad safety" atter " standard pre-scribed"; (2) by striking "under this title" the first place it appears; (3) by striking " established under this title" in paragraph (2); and (4) by striking " prescribed by the Secretary under section 202(a) of this title" and inserting " relating to railroad safety prescribed by the Secretary". (b) AMENDMENT OF SECTION 206(b) OF FRSA.-Section 206(b) of the Federal Railroad Safety Act of 1970 (45 U.S.C. 435(b))is amended by striking " prescribed by him under section 202(a) of this title" and inserting " relating to railroad safety prescribed by the Secre-tary" (c) AMENDMENT OF SECTION 206(f) OF FRSA.-Section 206(f) of the Federal Railroad Safety Act of 1970 (45 U.S.C. 435(f))is amended by striking "under this title". (d) AMENDMENT TO SECTION 206 OF FRSA.-Section 206 of the Federal Railroad Safety Act of 1970 (45 U.S.C. 435)is amended by adding at the end the following.
"(h) There is authorized to be appropriated for carrying out this section $5,000,000 per fiscal year for each of fiscal years 1991,1992, and 1993."
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(c) AMENDMENT OF SECTION 207(a)(1) OF FRSA.-Section 207(a)(1) of the Federal Railroad Safety Act of 1970 (45 U.S.C. 436(a)(1))is amended-(1) by striking "under section 209 of this title with respect"; and (2) by striking " issued under this title or under any law transferred by section 6(e)(1), (e)(2), or (e)(6)(A) of the Department of Trans-portation Act". (f) AMENDMENT OF SECTION 210(a) OF FRSA.-Section 210(a) of the Federal Railroad Safety Act of 1970 (45 U.S.C. 439(a))is
- 1. mended by striking "this title or to enforce rules, regulations, orders, or standards established under this title" and inserting "or to enfora:
rules, regulations, orders, or standards relating to railroad safety." RETENTION OF MARKINGS AND PLACARDS 29 USC 655 note. SEC. 29.-Not later than 18 months after the date of enactment of this Act, the Secretary of Labor, in consultation with the Secretary of Transportation and the Secretary of the Treasury, shall issue under section 6(b) of the Occupational Safety and Health Act of 1970 (29 U.S.C. 655(b)) standards requiring any employer who receives a package, container, motor vehicle, rail freight car, aircraft, or vessel which contains a hazardous material and which is required to be marked, placarded, or labeled in accordance with regulations issued i under the Hazardous Materials Transportation Act to retain the , markings, placards, and labels, and any other information as may be ' l_ required by such regulations on the package, container, motor vehicle, l rail freight car, aircraft, or vessel, until the hazardous materials have j been removed therefrom. RELATIONSHIP TO FEDERAL RAILROAD SAFETY ACT OF 1970 l 45 USC 434 note. SEC. 30.-Nothing in this Act, including the amendments made by l this Act, shall be construed to alter, amend, modify, or otherwise affect the scope of section 205 of the Federal Railroad Safety Act of 1970. EFFECTIVE DATE 40 USC app. SEC. 31. l 1801 note. (a) GENERAL RULE.-Except as provided in this Act, this Act i [ (including the amendments made by this Act) shall take effect on the ! date of the enactment of this Act. (b) CONTINUATION OF EXISTING REGULATIONS.-Any reg-ulation or ruling issued before the date of the enactment o this Act pursuant to the llazardous Materials Transportation Act and any au-thority granted under such a regulation shall continue in effect according to its terms until repealed, terminated, amended, or modi- , fied by the Secretary of Transportation or a court of competent ' ! jurisdiction. I Approved November 16,1990. 287 e? 7], L
l
. TITLE V OF PUBLIC LAW 94-1871 TITLE V-AIR TRANSPORTATION OF PLUTONIUM 42 U.S.C. 5817 Sec. 501. The Energy Research and Development Administration shall note not ship plutonium in any form by aircraft whether exports, imports or l domestic shipment: Provided, That any exempt shipments of
! plutonium, as defined by section 502, are not subject to this restriction. This restriction shall be in force until the Energy Research and Development Administration has certified to the Joint Committee on l Atomic Energy of the Congress that a safe container has been developed and tested which will not rupture under crash and blast testing equivalent to the crash and explosion of a high-flying aircraft. 42 U.S.C. 5817 Sec. 502. For the purposes of this title, the term" exempt shipments of note plutonium" shall include the following: i ph(cation.1) Plutonium shipments in any form designed for medical ap-I (2) Plutonium shipments which pursuant to rules promulgated by the Administrator of the Energy Research and Development Administration are determined to be made for purposes of na-tional security, public health and safety, or emergency maintenance operations. (3) Shipments of small amounts of plutonium deemed by the Administrator of the Energy Research and Development Admin-istration to require rapid shipment by air in order to preserve the chemical, physical, or isotopic properties of the transported item or material. SECTION 2904 OF ENERGY POLICY ACT OF 19922 SEC. 2904. STUDY AND IMPLEMENTATION PLAN ON SAFE-TY OF SHIPMENT OF PLUTONIUM BY SEA. (a) STUDY.-The President, in consultation with the Nuclear Regu-latory Commission, shall conduct a study on the safety of shipments of plutonium by sea. The study shall consider the following: (1) The safety of the casks containing the plutonium. (2) The safety risks to the States of such shipments. (3) Upon the request of any State, the adequacy of that State's emergency plans with respect to such shipments. (4) The Federal resources needed to assist the States on account of such shipments. , (b) REPORT.-The President shall, not later than 60 days after the date of the enactment of this Act, transmit to the Congress a report on the study conducted under subsection (a), together with his recommen-dations based on the study. (c) IMPLEMENTATION PLAN.-The President, in consultation l with the Nuclear Regulatory Commission, shall establish a plan to im- l tThe title consists chections $0! and 502 of Pub. L94- 187 (69 Stat.1077) enacted on Dec. 31.1975. The acctions c e ace t re r toi scate a ted Stat s 2This section consists of serA 2904 of Pub. L 102-486 (106 $ tat 2776) enacted on Oct. 24.1902, and does not appear in the United States Cooe. 288 2
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plement the recommendations contained in the study conducted under ) subsection (a) and shall, not later than 90 days after transmitting the } report to the Congress under subsection (b), transmit to the Congress j that implementation plan. (d) DEFINITION.-As used in this section, the term " State" in-cludes the District of Columbia and any commonwealth, territory, or possession of the United States. SECTION 5062 OF OMNIBUS BUDGET RECONCILIATION ACI' OF 19873 42 U.S.C. 5841 SEC. 5062. TRANSPORTATION OF PLUTONIUM BY AIRCRAFI' note THROUGH UNITED STATES AIR SPACE. , (a)in General.-Notwithstanding any other provision oflaw, no form of plutonium may be transported by aircraft through the air space of the United States from a foreign nation to a foreign nation unless the l Nuclear Regulatory Commission has certified to Congress that the < container in which such plutonium is transported is safe, as determined l in accordance with subsection (b), the second undesignated paragraph I l under section 201 of Public Law 94-79 (89 Stat. 413), and all other applicable laws. (b) Responsibilities of the Nuclear Regulatory Commission.-
- (1) DETERMINATION OF SAFETY.-The Nuclear Regula-tory Commission shall determine whether the container referred to in subsection (a) is safe for use in the transportation of pluto-l_ nium by aircraft and transmit to Congress a certification for the i purposes of such subsection in the case of each container deter-mmed to be safe.
(2) TESTING.-In order to make a determination with respect - to a container under paragraph (1), the Nuclear Regulatory Com-mission shall-(A) require an actual drop test from maximum cruising alti-tude of a full-scale sample of such container loaded with test
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materials; and (B) require an actual crash test of a cargo aircraft fully loaded 3 with full-scale samples of such container loaded with test mate-rial unless the Commission determines, after consultation with an independent scientific review panel, that the stresses on the container produced by other tests used in developing the con-tainer exceed the stresses which would occur during a worst case plutonium air shipment accident. (3) LIMITATION.-The Nuclear Regulatory Commission may not certify under this section that a container is safe for use in the transportation of plutonium by aircraft if the container ruptured or released its contents during testing conducted in accordance with paragraph (2). also e d a klen I farm by Pub L 100- ! !$ 21 on the nr The ap a in i e United States Code at 42 U.S.C. 5841 moie.
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(4) EVALUATION.-The Nuclear Regulatory Commission shall evaluate the container certification required by title II of the Energy Reorganization Act of 1974 (42 U.S.C. 5841 et seq.) and 42 U.S.C. 4321, subsection (a) in accordance with the National Environmental et seq. Policy Act of 1969 (83 Stat. 852) and all other applicable law. (c) CONTENT OF CERTIFICATION.-A certification referred to in subsection (a) with respect to a container shall include-(1) the determination of the Nuclear Regulatory Commission as to the safety of such container; (2) a stetement that the requirements of subsection (b)(2)were satisfied in the testing of such container; and (3) a statement that the container did not rupture or release its contents into the environment during testing. (d) DESIGN OF TESTING PROCEDURES.-The tests required by subsection (b) shall be designed by the Nuclear Regulatory Commis-sion to replicate actual worst case transportation conditions to the maximum extent practicable. In designing such tests, the Commission shall provide for public notice of the proposed test procedures, provide a reasonable opportunity for public comment on such procedures, and consider such comments, if any. (e) TESTING RESULTS: REPORTS AND PUBLIC DISCLO-SURE.-The Nuclear Regulatory Commission shall transmit to Congress a report on the results of each test conducted under this section and shall make such results available to the public. (f) ALTERNATIVE ROUTES AND MEANS OF TRANSPORTA-TION.-With respect to any shipments of plutonium from a foreign nation to a foreign nation which are subject to United States consent rights contained in an Agreement for Peaceful Nuclear Cooperation, the President is authorized to make every effort to pursue and conclude arrangements for alternative routes and means of transportation, in-cluding sea shipment. All such arrangements shall be subject to stringent physical security conditions, and other conditions designed to
- l. protect the public health and safety, and provisions of this section, and all other applicable laws.
(g) INAPPLICABILITY TO MEDICAL DEVICES.-Subsections l (a) through (e) shall not apply with respect to plutonium in any form contained in a medical device designed for individual human applica-tion. (h) INAPPLICABILITY TO MILITARY USES.-Subsectionis (a) through (e) shall not apply to plutonium in the form of nuclear weapons l nor to other shipments of plutonium determined by the Department of ! Energy to be directly connected with the United States national securi-l ty or defense programs. (i) INAPPLICABILITY TO PREVIOUSLY CERTIFIED CON-TAINERS.-This section shall not apply to any containers for the 42 U.S.C.5841, shipment of plutonium previously certified as safe by the Nuclear note Regulatoly Commission under Public Law 94-79 (89 Stat. 413). l pr ! J s y/~ ,,,
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1 (j) PAYMENT OF COSTS.-All costs incu; red by the Nuclear Regu-42 U.S.C.5841, latory Commission associated with the testing program required by this note section, and administrative costs related thereto, shall be reimbursed to the Nuclear Regulatory Commission by any foreign country receiving plutonium-shipped through ' United States airspace in containers -l t -4 - specified by the Commission. j l
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WESTVALLEY DEMONSTRATION PROJECT ACT Public Law %368 94 Stat.1347 i PAGE USC 42 USC Sec. \ Sec.1 Title . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 293 . . . . . . . . . . . 2021 a note Sec.2 Pu rpose . . . . . . . . . . . . . . . . . . . . . . . . . . . .293 ....... .... 2021a-note Sec.3 Appropriation / Authorization . . . . . . . . . . 295 . . . . . . . . . . , . 2021a note Sec.4 Re port . . . . . . . . . . . . . . . . . . . . . . . . . . . .295 ..... .. .. 2021a i note Sec.5 Rights and Obligations . . . . . . . . . . . . . . . 295 . . . . . . . . 2021; 5801 notC Sec.6 Defmitions . . . . . . . . . . . . . . . . . . . . . . 2% . . . . .... 2021a note i b i I
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WEST VALLEY DEMONSTRATION PROJECT ACT Public Law 96-368 94 Stat.1347 j An Act To authorize the Department of Energy to carry out a high-level liquid tuclear waste management demonstration project at the Western ww York Service Center in West Valley, New York. Be it enacted by the Senate and House of Representatives of the United States ofAmerica in Congress assembled, West Valley Section 1. This Act may be cited as the " West Valley Demonstration Demonstration Project Act". Project Act 42 USC 2021a Sec. 2. (a) The Secretary shall cany out, in accordance with Ihis Act, a note, high level radioactive waste management demonstration project at the 42 USC 2021a Westem New York Service Centerin West Valley, New York,for thepurpose note. ofdemonstrating solidification techniques which can be usedforpreparing high levelradioactive wastefordisposal. Underthe project the Secretary Activities. shall carty out the following activities: (1) The Secretary shall solidify, in a form suitable for transporta-tion and disposal, the high level radioactive waste at the Center by vitrification or by such other technology which the Secretary de-termmes to be the most effective for solidification. (2) The Secretary shall develop containers suitable for the per-manent disposal for the high level radioactive waste solidified at the Center. (3) The Secretary shall, at soon as feasible, transport, in accor-dance with applicable provis hns oflaw, the waste solidified at the Center to an appropriate I ederal repository for permanent dis-posal. (4) The Secretary shall, in accordance with applicable licensing requirements, dispose of low level radioactive waste and trans-l uranic waste produced by the solidification of the high level , radioactive waste under the project. l (5) The Secretary shall decontaminate and decommission-(A) the tanks and other facilities of the Center in which the high level radioactive waste solidified under the project was stored, ! (B) the facilities used in the solidification of the waste, and l (C) any material and hardware used in connection with the l project in accordance with such requirements as the Commis-l sion may prescribe. (b) Before undertaking the project and during the fiscal year ending September 30,1981, the Secretary shall carry out the following: Hecrings (1) The Secretary shall hold in the vicinity of the Center public hearings to inform the residents of the area in which the Center is located of the activities proposed to be undertaken under the project and to receive their comments on the project. , (3) The Secretary shall- l 293 D yg/ s _________-__w
(A) undertake detailed engineering and cost estimates for the project. (B) prepare a plan for the safe removal of the high level radioactive waste at the Center for the purposes of solidifica-tion and include in the plan provisions respecting the safe breaching of the tanks in which the waste is stored, operating equipment to accomplish the removal, and sluicing techniquet (C) conduct appropriate safety analyses of the project, and (D) prepare required environmental impact analyses of the project. (4) The Secretary shall enter into a cooperative agreement with the State in accordance with the Federal Grant and Coop-41 USC 501 erative Agreement Actof1977underwhichthe Statewillcarryout note. the following: (A) The State will make available to the Secretary the facili-ties of the Center and the high level radioactive waste at the Center which are necessary for the completion of the project. The facilities and the waste shall be made available without the transfer of title and for such period as may be required for completion of the project. (B) The Secretary shall provide technical assistance in secur-l ing required license amendments. State costs, (C) The State shall pay 10 per centum of the costs of the percentage. project, as determined by the Secretary. In determining the costs of the project, the Secretary shall consider the value of the use of the Center for the project. The State may not use Federal funds to pay its share of the cost of the project, but may use the perpetual care fund to pay such share. Licensing (D) Submission joimly by the Department of Energy and tne amendment State of New York of an application for a licensing amendment application. as soon as possible with the Nuclear Regulatory Commission providing for the demonstration. (c) Within one year from the date of the enactment of this Act, the Secretary shall enter into an agreement with the Commission to estab-lish arrangements for review and consultation by the Commission with respect to the project: hovided, That review and consultation by the Commission pursuant to this subsection shall be conducted informally by the Commission and shall not include nor require formal procedures ! 42 USC 2011 or actions by the Commission pursuant to the Atomic Energy Act of note. 1954, as amended, the Energy Reorganization Act of 1974, as amended, 42 USC 5801 or any other law. The agreement shall provide for the following: note. (1) The Secretary shall submit to the Commission, for its review and comment, a plan for the solidification of the high level radioactive waste at the Center, the removal of the waste for purposes of its solidification, the preparation of the waste for disposal, and the decontamination of the facilities to be used in solidifying the waste. In preparing its comments on the plan, the . Publications in Commission shall specify with precision its objections to any 1 Federal Register. provision of the plan. Upon submission of a plan to the Commission, the Secretary shall publish a notice in the Federal l 294 Ju _ 1 L
l Register of the submission of the plan and ofits availability for public inspection, and, upon receipt of the comments of the l Commission respecting a plan; the Secretary shall publish a notice in the Federal Register of the receipt of the comments and of the availability of the comments for publicinspection. If the Secretary does not revise the plan to meet objections specified in the comments of the Commission, the Secretary shall publish in the Federal register a detailed statement for not so revising the plan. (2) The Secretary shall consult with the Commission with re-spect to the form in which the high level radioactive waste at the Center shall be solidified and the containers to be used in the permanent disposal of such waste. Reports and other (3) The Secretary shall submit to the Commission safety analysis information to reports and such other information as the Commission may Commission. require to identify any danger to the public health and safety which may be presented by the project. (4) The Secretary shall afford the Commission access to the Center to enable the Commission to monitor the activities under the project for the purpose of assuring the public health and safety. Consultation with (d) In carrying out the project, the Secretary shall consult with the EPA and others. Administrator of the Environmental Protection Agency, the Secretary of Transportation, the Director of the Geological Smvey, and the commercial operator of the Center. Appropriation Sec. 3. (a) There are authorized to be appropriated to the Secretary authorization. for the project not more than $5,000,000 for the fiscal year ending 42USC 2021a September 30,1981. note. (b) The total amount obligated for the project by the Secretary shall j be 90 per centum of the costs of the project. ' (c) The authority of the Secretary to enter into contracts under this Act shall be effective for any fiscal year only to such extent or in such j amounts as are provided in advance by appropriation Acts. Report to Speaker Sec. 4. Not later than February 1,1981, and on February 1 of each of the House and calendar year thereafter during the term of the project, the Secretary President pro shall transmit to the Speaker of the House of Representatives and the i tempore of the President pro tempore of the Senate an up-to-date report containing a Senate. detailed description of the activities of the Secretary in carrying out the fi 42 USC 2021a project, including agreements entered into and the costs incurred note. during the period reported on and the activities to be undertaken in the next fiscal year and the estimated costs thereof. 42 USC 2021a Sec. 5. (a) Other than the costs and responsibilities established by this note. Act for the project, nothing in this Act shall be construed as affecting 1 any rights, obligations, or liabilities of the commercial operator of the Center, the State, or any person, as is appropriate, arismg under the 42 USC 2011 Atomic Energy Act of 1954 or under any other law, contract, or note. agreement for the operation, maintenance, or decontamination of any facility or property at the Center or for any wastes at the Center. Nothing in this Act shall be construed as affecting any applicable 42 USC 5801 licensing requirement of the Atomic Energy Act of 1954 or the Energy note. Reorganization Act of 1974. This Act shall not apply or be extended to any facility or property at the Center which is not used in conducting the 295 auv - l l r I l i
project. This Act may not be construed to expand or diminish the rights of the Federal Government. (b) This Act does not authorize the Federal Government to acquire title to any high level radioactive waste at the Center or to the Center or any portion thereof. Definitions. Sec. 6. For purposes of this Act: 42 USC 2021a (1) The term " Secretary" means the Secretary of Energy. note. (2) The term " Commission" means the Nuclear Regulatory Commission. (3) The term " State" means the State of New York. (4) The term "high level radioactive v.aste" means the high level radioactive waste which was produced by the reprocessing at the Center of spent nuclear fuel. Such term includes both liquid wastes which are produced directly in reprocessing, dry solid material derived from such liquid waste, and such other material as the Commission designates as high level radioactive waste for the purposes of protecting the public health and safety. (5) The term " transuranic waste" means material contaminated with elements which have an atomic number greater than 92,in-cluding neptunium, plutonium, americium, and curium, and which are in concentrations greater than 10 nanocuries per gram, or in such other concentrations as the Commission may prescribe to protect the public health and safety. (6) The term " low level radioactive waste" means radioactive waste not classified as high level radioactive waste, transuranic waste, or byproduct material as defined in section 11 e. (2) of 42 USC 2014 the Atomic Energy Act of 1954. (7) The term " project" means the project prescribed by section 2(a). (8) The term " Center" means the Western New York Service Center in West Valley, New York. Approved October 1,1980. 5
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NUCLEAR NON. PROLIFERATION AND EXPORT LICENSING PAGE ,. Nuclear Non-Proliferation Act of 1978 (P.L 95-242) . . . . . . . . . . . . . . . . 300 International Atomic Energy Agency Participation Act of 1957 and the Statute of the International Atomic Energy Agency (P.L 85 - 177) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 340 International Security Assistance and Arms Export Control Act of 1976 (P.L 94-329) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 363 International Security and Development Cooperation Act of 1980 (P.L % -533) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 372 International Security and Development Cooperation Act of 1981 (P.L 97- 113) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 374 Convention on the Physical Protection of Nuclear Material Implementation (P.L 97- 351 ) . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 79 l l l [ l l 297 30 /
NUCLEAR NON-PROLIFERATION ACT OF 1978 Public Law 95 242 92 Stat.120 PAGE USC 22 USC Sec. Sec.2~ Statement of Policy . . . . . . . . . . . . . . . . 300............. 3201 Sec.3 Statement of Pur ..... . 300........... . 3202 Sec.4 Definitions . . . . pose. . . . .............. ...... 301...... ...... 3203 Title I-United States Initiatives to Provide Adequate Nuclear Fuel Supply 22 USC Sec. Sec.101 Policy . . . . . . . . . . . . . . . . . . . . . . . .302 ............. 3221 Sec.102 Uraruum Enrichment. .......... ... 302.. .......... 3222 Sec.103 Report. . . . . . . . . . ................. 302....... .. .. 3222 Sec.104 Internation al Undertaking . . . . . . . . . . 302 ....... . ... 3223 Sec.105 Reevaluation of Nuclear Fuel Cycle. . . . . 304 . . . . . .. 3224
'Iltle II-United States Initiatives to Strengthen the International Safeguards System 22 USC Sec.
Sec. 201 Policy . . . . . . . . . . . . .. .. .. ... 304.. .......... 3241 Sec. 202 Training Program. . . . .. .. ..... 305. . .. .... . 3242 Sec. 203 Negoti tions . . . . . . . .. ..... .... . 305............ 3243 Title III-Export Organization and Criteria j 42 USC Sec. Sec. 301 Government-to-Government *1ransfers. . . 305 . .... . . . 2074 Sec. 302 Special Nuclear Material Production. . . 306 . ......... 2077 Sec. 303 Subsequent Arrangements . . . . . . . . . . . 307 . . . . . . . . 2160 Sec. 304 Export Licensing Procedures . . . . . . . .312 ............. 2155 Sec.305 Criteria Governmg United States Nuclear Exports . . . . . . . . . . . . . . . . . . . 318 . . . . . . . . . 2156 Sec. 306 Additional Export Criterion and Procedures . . . . . . . . . . .. ... . 319.... . . .. 2157 Sec. 307 Conduct Resulting in Termination i of Nuclear Exports. . . . . . . . . . . . . . . . . . 320 . . . . . . ..... 2158 Sec. 308 Congressional Review Procedures. . . . . . 321. . . . . . . .. 2159 Sec. 309 Component and Other Part of Facilities . 323 . . . . . . . . . . . . 2139
'Iltle IV-Negotiation of Further Export Controls 42 USC Sec.
Sec. 401 Cooperation with Other Nations . . . . .. 324 .. ... . . 2153 ; Sec. 402 Additional Requirements . . . . . . . 328 . . .... ..2153a i Sec. 403 Peaceful Nuclear Activities. . . . . ..... 329...... . . 2153b Sec. 404 Renegotiation of Agreements for Cooperation . . . . ,, . . . . . . . 330 . . . .. .. 2153c
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NUCLEAR NON-PROLIFERATION ACT OF 1978 (Continued) PAGE USC 22 USC Sec. Sec. 405 Authority to Continue A Sec. 406 Review . . . . . . . . . . . ......
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.331....
. . . 331. ...
. . .2160a
. . . 2153d Sec. 407 Protection of the Environment. . . . . . . . . 331. . . . . . . . . . . 2153c Title V-United States Assistance to Developing Countries 22 USC Sec.
Sec. 501 Policy; Report. . . . .............. .. 332............. 3261 Sec. 502 Programs . . . . . . . . . . . . . . . . . . . . . . . . .332 ...... ..... 2151a Sec. 503 Report . . . . . . . . . . ......... ... . 333............. 3262
'Iltle VI-Executive deporting 22 USC Sec.
Sec. 601 Report of the Presiden'. . . . . . . . ..... 333............. 3281 Sec. 602 Additional Reporte . . . . . . ... ...... 338............. 3282 42 USC Sec. , Sec. 603 Savings Clause . . . . . . ..... . ... 339............ 2153f l l 1 l l 1 1 299 g c'j i i
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NUCLEAR NON-PROLIFERATION ACT OF 1978 Public Law 95-242 92 Stat.120 An Act Nuclear Non-- To provide for more efficient and effective control over the proliferation Proliferation of nuclear explosive capability. Act of 1978.- 22 USC 3201 Be it enacted by the Senate and House of Representatives of the United note. States ofAmerica in Congress assembled, That this Act may be cited as the " Nuclear Non-Proliferation Act of 1978". STATEMENT OF POLICY 22 USC 3201 Sec. 2. The Congress finds and declares that the proliferation of nuclear explosive devices or of the direct capability to manufacture or otherwise acquire such devices poses a grave threat to the security interests of the United States and to continue international progress toward world peace and development. Recent events emphasize the urgency of this threat and the imperative need to increase the ettectiveness of international safeguards and controls on peaceful nuclear activities to prevent proliferation. Accordingly, it is the policy of the United States to-(a) actively pursue through international initiatives mecha-i nisms for fuel supply assurances and the establishment of more l cffective international controls over the transfer and use of nu-clear materials and equipment and nuclear technology for peaceful purposes in order to prevent proliferation, including the establishment of common international sanctions; l (b) take such actions as are required to confirm the reliability i of the United States in meeting its commitments to supply nuclear l reactors and fuel to nations which adhere to effective non-prolif-l eration policies by establishing procedures to facilitate the timely i processing of requests for subsequent arrangements and export licenses; (c) strongly encourage nations which have not ratified the i Treaty on the Non-Proliferation of Nuclear Weapons to do so at l the earliest possible date; and j (d) cooperate with foreign nations in identifying and adapting ! suitable technologies for energy production and,in particular, to identify alternative options to nuclear power in aiding such na-tions to meet their energy needs, consistent with the economic and material resources of those nations and environmenta' protec-tion, j STATEMENT OF PURPOSE } 22 USC 3202 Sec. 3. It is the purpose of this Act to promote the policies set forth above by-(a) establishing a more effective framework for international cooperation to meet the energy needs of all nations and to ensure 300 k
that the worldwide development of peaceful nuclear activities and the export by any nation of nuc: car materials and equipment and nuclear technology intended for use in peaceful nuclear activitics do not contribute to proliferation; (b) authorizing the United States to take such actions as are required to ensure that it will act reliably in meeting its commit-ment to supply nuclear reactors and fuel to nations which adhere to effective non-proliferation policies; (c) providing incentives to the other nations of the world to join in such international cooperative efforts and to ratify the Treaty; and (d) ensuring effective controls by the United States over its exports of nuclear materials and equipment and of nuclear technology. DEFINITIONS Sec. 4. (a) As used in this Act, the term-22 USC 3203 (1) " Commission" means the Nuclear Regulatory Commission; (2) " Director" means the Director of the Arms Control and Disarmament Agency; (3)"IAEA" means International Atomic Energy Agency; (4)" nuclear materials and equipment" means source material, special nuclear material, production facilities, utilization facili-ties, and components, items or substances determined to have significance for nuclear explosive purposes pursuant to subsection 109 b. of the 1954 Act; Post, p.141 (5) " physical security measures" means measures to reasonably ensure that source or special nuclear material will only be used for authorized purposes and to prevent theft and sabotage; (6)" sensitive nuclear technology" means any information (in-cluding information incorporated in a production or utilization facility or important component part thereof) which is not avail-able to the public and which is important to the design, construction, fabrication, operation or maintenance of a uranium enrichment of nuclear fuel reprocessing facility or a facility for the production of heavy water, but shall not include Restricted Data controlled pursuant to chapter 12 of the 1954 Act; r 42 USC 2011 no;e. (7) "1954" Act" means the Atomic Energy Act of 1954, as amended; and (8)"the Treaty" means the Treaty on the Non-Proliferation of Nuclear Weapons. (b) All other terms used in this Act not defined in this section shall have the meaningr, ascribed to them by the 1954 Act, the Energy Reor-ganization Act of 1974, and the Treaty.
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42 USC 5801 TITLE I-UNITED STATES INITIATIVES TO note PROVIDE ADEQUATE NUCLEAR FUEL SUPPLY POLICY Sec.101. The United States, as a matter of national po'q, shall take 22 USC 3221 such actions and institute such measures as may tv necessary and feasible to assure other nations and groups of nations that may seek to utilize the benefits of atomic energy for peaceful purposes that it will provide a reliable supply of nuclear fuel to those nations and groups of nations which adhere to policies designed to prevent proliferation. 42 USC 2201 Such nuclear fuel shall be provided under agreements entered into pursuant to section 161 of the 1954 Act or as otherwise authorized by law. The United States shall ensure that it will have available the capacity on a long-term basis to enter into new fuel supply commitments consistent with its nonproliferation policies and domestic energy needs. The Commission shall, on a timely basis, authoriz , the export of nuclear materials and equipment when all the applicable statutory requirements are met. URANIUM ENRICIIMENT CAPACI1Y 22 USC 3222 Sec.102. The Secretary of Energy is directed to initiate construction planning and design, construction, and operation activities for expansion of uranium enrichment capacity, as elsewhere provided by law. Further the Secretary as well as the Nuclear Regulatory Commission, the Secretary of State, and the Director of the Arms Control and Disarmament Agency are directed to establish and implement procedures which will ensure to the maximum extent feasible, consistent with this Act, orderly processing of subsequent arrangements and export licenses with minimum time delay. LEPORT Study. Sec.103. The President shall promptly undertake a study to 22 USC 3222 determine the need for additional United States enrichment capacity to note. meet domestic and foreign needs and to promote United States non-proliferation objectives abroad. The President shall report to the Report to Congress on the results of this study within twelve months after the date Congress of enactment of this Act. INTERNATIONAL UNDERTAKING Discussions and Sec.104. (a) Consistent with section 105 of this Act, the President negotiations. shall institute prompt discussions with other nations and groups of 22 USC 3223 nations, including both supplier and recipient nations, to develop international approaches for meeting future worldwide nuclear fuel needs. In particular, the President is authorized and urged to seek to negotiate as soon as practicable with nations possessing nuclear fuel production facilities or material, and such other nations and groups of nations, such as the IAEA, as may be deemed appropriate, with a view toward the timely establishment of binding international undertakings providing for-(1) the establishment of an international nuclear fuel authority (UlFA) w:th responsibility for providing agreed fuel services and 32 37g i I l l i i i
i allocating agreed upon quantities of fuel resources to ensure fuel supply on reasonable terms in accordance with agreements be-tween INFA and supplier and recipient nations; (2) a set of conditions consistent with subection (d) under which international fuel assurances under llNFA auspices will be pro-vided to recipient nations. including conditions which will ensure that the transferred materials will not be used for nuclear explo-sive devices; (3) devising, cor.sistent with the policy goals set forth in section 403 of this Act, feasible and environmentally sound approaches for the siting, development, and management under effective in-ternational auspices and inspection of facilities for the provision of nuclear fuel services, including the storage of special nuclear material; (4) the establishment of repositories for the storage of spent nuclear reactor fuel under effective international auspices and inspection; (5) the establishment of arrangements under which nations plac-ing spent fuel in such repositories would receive appropriate compensation for the energy content of such spent fuel if recovery of such energy content is deemed necessary or desirable; and (6) sanctions for violations of the provisions of or for abrogation of such binding international undertakings. Proposals, (b) The President shall submit to Congress not later than six months submitted to after the date of enactment of this Act proposals for initial fuel Congress. assurances, including creation of an interim stockpile of uranium enriched to less than 20 percent in the uranium isotope 235 (Iow-enriched uranium) to be available for transfer pursuant to a sales arrangement to nations which adhere to strict policies designed to prevent proliferation when and if necessary to ensure continuity of nuclear fuel supply to such nations. Such submission shall include proposals for the taansfer of low-enriched uranium up to an amount sufficient to produce 100,000 NWe years of power from light water nuclear reactors, and shall also include proposals for seeking contributions from other supplier nations to such an interim stockpile pending the establishment of INFA. (c) The President shall, in the report required by section 103, also address the desirability of and options for foreign participation, includ-ing investment, in new United States uranium enrichment facilities. This report shalf also address the arrangements that would be required to implement such participation and the commitments that would be Proposed required as a condition of such participation. This report shall be legistation. accompanied by any proposed legislation to implement these arrangements. (d) The fuel assurances contemplated by this section shall be for the benefit of nations that adhere to policies designed to prevent prolifera-tion. In negotiating the binding international undectakings called for in this section, the President shall, in particular, seek to ensure that the benefits of such undertakings are available to non-nuclear-weapon states only if such states accept IAEA safeguards on all their peaceful 303 y l l l
nuclear activities, do not manufacture or otherwise acquire any nuclear explosive device; do not establish any new enrichment or reprocessing facilities under their de facto or de jure control, and place any such existing facilities under effective international auspices and inspection. (e) The report required by section 601 shall include information on the progress made in any negotiations pursuant to this section. (f)(1) The President may not enter into any binding internation-al undertaking negotiated pursuant to subsection (a) which is not a treaty until such time as such proposed undertaking has been submitted to the Congress and has been approved by concurrent resolution. (2) The proposals prepared pursuant to subsection (b) shall be submitte.1 to the Congress as part of an annual authorization Act for the Department of Energy. REEVALUA'I1ON OFNUCLEAR FUEL CYCLE 22 USC 3224. Sec.105. The President shall take immediate initiatives to invite all nuclear supplier and recipient nations to reevaluate all aspects of the nuclear fuel cycle, with emphasis on alternatives to an economy based on the separation of pure plutonium or the presence of high enriched uranium, methods to deal with spent fuel storage, and methods to improve the safeguards for existing nuclear technology. The President shall, in the first report required by section 601, detail the progress of such international reevaluation. TITLE Il-UNITED STATES INITIATIVES TO STRENGTHEN THE INTERNATIONAL SAFEGUARDS SYSTEM POULT 22 USC 3241. Sec.201. The United States is committed to continued strong support for the principles of the Treaty on the Non-Proliferation of Nuclear Weapons, to a strengthened and more effective International Atomic Energy Agency and to a comprehensive safeguards system administered by the Agency to deter proliferation. Accordingly, the United States shall seek to act with other nations to-(a) continue to strengthen the safeguards program of the IAEA and, in order to implement this section, contribute funds, technical re-sources, and other support to assist the IAEA in effectively implementing safeguards; (b) ensure that the IAEA has the resources to carry out the provi-sions of Article XII of the Statute of the IAEA; (c) improve the IAEA safeguards system (including accountability) to ensure-(1) the timely detection of a possible diversion of source or special nuclear materials which could be used for nuclear explo-save devices; (2) the timely dissemination of information regarding such di-version; and (3) the timely implementation ofinternationally agreed proce-dures in the event of such diversion; (d) ensure that the I AEA receives on a timely basis the data needed for it to administer an effective comprehensive international safe-304 l l
guards program and that the I AEA provides timely notice to the world community of any evidence of a violation of any safeguards agreement to which it is a party; and (c) encourage the IAEA, to the maximum degree consistent with > the Statute, to provide nations which supply nuclear materials and equipment with the data needed to assure such nations of adherence to J bilateral commitments applicable to such supply.
"IltAINING PROGRAM 22 0SC 3242. Sec.202. The Department of Energy, in consultation with the Commission, shall establish and operate a safeguards and physical security training program to be made available to persons frcm nations and groups of nations which have developed or acquired, or may be expected to develop or acquire, nuclear materials and equipment for use for peaceful purposes. Any such program shall include training in the most advanced safeguards and physical security techniques and j technology consistent with the national security interests of the United '
States. NEGOTtATIONS 22 USC 3243. Sec.203. The United States shall seek to negotiate with other nations and groups of nations to-(1) adopt general principles and procedures, including common international sanctions, to be followed in the event that a nation i violates any material obligation with respect to the peaceful use of I nuclear materials and equipment or nuclear technology, or in the event that any nation violates the principles of the Treaty,includ-ing the detonation by a non-nuclear-weapon state of a nuclear explosive device; and (2) establish international procedures to be followed in the event i of diversion, theft, or sabotage of nuclear materials or saboiage of l nuclear facilities, and for recovering nuclear materials that have ' been lost or stolen, or obtained or used by a nation or by any person or group in contravention of the principles of the Treaty.
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TITLE III-EXPORT ORGANIZATION AND CRITERIA GOVERNMENT TO-GOVERNMENT TRANSFERS Ibst, p.131. Sec. 301. (a) Section 54 of the 1954 Act is amended by adding a new 42 USC 2074. subsection d. thereof as follows:
"d. The authority to distribute special nuclear metaial under this I section other than under an export license granted by the Nuclear Regulatory Commission shall extend only to the following small quanti-ties of special nuclear material (in no event more than five hundred grams per year of the uranium isotope 233, the uranium isotope 235, or plutonium contained in special nuclear material to any recipient): -
"(1) which are contained in laboratory samples, medical devices, or monitoring or other instruments; or '
"(2) the distribution of which is needed to deal with an emergen- !
cy situation in which time is of the essence." l 42 USC 2094. (b) Section 64 of the 1954 Act is amended byinserting the follmtiny, l immediately after the second sentence thereof: "The anchority to j 305 3/C /
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L distribute source material under this section other than under an export license granted by the Nuclear Regulatory Commission shall in no case extend to quantities of source material in excess of three metric tons per l year per recipient." (c) Chapter 10 of the 1954 Act is amended by adding a new section 111 as follows: 42 USC 2141. Sec.111.a. The Nuclear Regulatory Commission is authorized to license the distribution of special nuclear material, source material, and byproduct material by the Department of Energy pursuant to section 54,64, and 82 of this Act, respectively, in accordance with the same Supm. procedures established by law for the export licensing of such material . 42 USC 2112. by any person: Provided. That nothing in this section shall require the licensing of the distribution of byproduct material by the Department of Energy under section 82 of this Act.
"b. The Department of Energy shall not distribute any special nuclear material or source material under section 34 or 64 of this Act other than under an export license issued by the Nuclear Regulatory Commission until (1) the Department has obtained the concurrence of the Depart-r ment of State and has consulted with the Arms Control and Disarmament Agency, the Nuclear Regulatory Commission, and the Department of Defense under mutually agreed procedures which shall be established within not more than ninety days after the date of enact-ment of this provision and (2) the Department finds based on a reasonable judgment J the assurances provided and the information avai oic b &c Uriid Cbtes Government, that the criteria in section Ibst, p.136. 127 of this Act or th-u equivalent and any applicable criteria in Ihrt. p.137. subsection 128 are met, and that the proposed distribution would not be inimical to the common defense and security.". j Special nuclear Sec. 302. Subsection 57 b. of the 1954 Act is amended to read as !
mit: rial, follows: production. "b. It shall be unlawful for any person to directly or indirectly engage Technology in the production of any special nuclear material outside of the United
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transfers. States except (1) as specifically authorized under an agreement for i 42 USC 2077. cooperation made pursuant to section 123, including a specific l Ibst, p.142. authorization in a subsequent arrangement under section 131 of this l Act, or (2) upon authorization by the Secretary of Energy after a Post, p.127. determination that such activity will not be inimical to the interest of the United States:Ihwided. That any such determination by the Secretary , Authorization of Energy shall be made only with the concurrence of the Department ' requests, of State and after cxmsultation with the Arms Control and Disannament procedures. Agency, the Nuclear Regulatory Commission, the Department of Commerce, and the Department of Defense. The Secretary of Energy shall, within ninety days after the enactment of the Nuclear Non-Proliferation Act of 1978, establish orderly and expeditious procedures, including provision for necessary administrative actions and inter-agency memoranda of understanding, which are mutually agreeable to the Secretaries of State, Defense, and Commerce, the Director of the Arms Control and Disarmament Agency, and the Nuclear Regulatory Commission for the consideration of requests for authorization under this subsection. Such precedures shallinclude, at a 306 ~
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minimum, explicit direction on the handling of such requests, express deadlines for the solicitation and collection of the views of the consulted agencies (with identified officials responsible for meeting such deadlines), an interagency coordinating authority to monitor the processing of such requests, predetermined procedures for the expeditious handling of intra-agency and inter-agency disagreements and appeals to higher authorities, frequent meetings of interagency administrative coordinators to review the status of all pending requests, and similar administrative mechanisms. To the extent practicable, an applicant should be advised of all the information required of the applicant for the entire process for every agency's needs at the beginning of the process. Potentially controversial requests should be j identified as quicidy as possible so that any required policy decisions or l diplomatic consultations can be iaitiated in a timely manner. An immediate effort should be undertaken to establish quickly any necessary standards and criteria, including the nature of any required i Standards and assurances or evidentiary showing, for the decision required under this criteria. subsection. The processmg of any request proposed and filed as of the i date of enactment of the Nuclear Non-Proliferation Act of 1978 shall not be delayed pending the development and establishment of procx.dures Trade secrets, to implement the requirements of this subsection. Any trade secrets or protection. proprietary information submitted by any person seeking an authorization under this subsection shall be afforded the maximum 42 USC 2014. degree of protection allowable by law: Nvided fwther, That the export h t,pp.131,141. of component parts as defm' ed in subsection 11 v. (2) or 11 cc. (2) shall i be governed by sections 109 and 126 of this Act: Providedfurther, That notwithstanding subsection 402(d) of the Department of Energy 42 USC 7172. Organization Act (Public Law 95-91), the Secretary of Energy and not the Federal Energy Regulatory Commission, shall have sole Ante, p.125. jurisdiction within the Department of Energy over any matter arising 42 USC 2074, from any function of the Secretary of Energy in this section, section 2094. 54 d., section 64, or section 111 b.". SUBSEQUENT ARRANGEMENTS Sec. 303. (a) Chapter 11 of the 1954 Act, as amended by sections 304, 305,306,307, and 308,is further amended by adding at the end thereof the following: 42 USC 2160. "Sec.131. SUBSEQUENT ARRANGEMENTS.- Consultation. "a. (1) Prior to entering into any proposed subsequent arrangement under an agreement for cooperation (other than an agreement for cooperation arranged pursuant ta subsection 91c., 144 b., or 144 e. of this Act), the Secretary of Energy shall obtain the concurrence of the Secretary of State and shall consult with the Director, the Commission, and the Secretary of Defense: 42 USC 2121 Movided, That the Secretary of State shall have the leading role 2164. in any negotiations of a policy nature pertaining to any proposed subsequent arrangement regarding arrangements for the storage 1 or disposition of irradiated fuel elements or approvals for the transfer, for which prior approval is required under an agreement l for cooperation, by a recipient of source or special nuclear j I 307
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raaterial, production or utilization facilities, or nuclear tecimology. Notice of any proposed subsequent arrangement shall be Notice, publica- published in the Federal Register, to3cther with the written tion in the determination of the Secretary of Energy that such arrangement ! Federal Register, will not be inimical to the common defense and security, and such proposed subsequent arrangement shall not take effect before fifteen days after publication. Whenever the Director declares that he intends to prepare a Nuclear Proliferation Assessment Statement pursuant to paragraph (2) of this subsection, notice of the proposed subsequent arrangement which is the subject of the Director's declaration shall not be published until after the receipt by the Secretary of Energy of such Statement or the expiration of the time authorized by subsection c. for the preparation of such l Statement, whichever occurs first. Nuclear "(2) If in the Director's . view a proposed subsequent Proliferation arrangement might sipifimntly mntribute to proliferation, he may Assessment prepare an unclassified Nuclear Proliferation Assessment Statement Statement. with regard to such proposed subsequent arrangement regarding the adequacy of the safeguards and other control mechanisrus and the application of the peaceful use assurances of the relevant agreement to ensure that assistance to be furnished pursuant to the ' subsequent arrangement' will not be used to further any military or nuclear explosive purpose. For the purposes of this
" Subsequent section, the term' subsequent arrangements' means arrangements arrangements." entered into by any agency or department of the United States Government with respect to cooperation with any nation or group of nations (but not purely private or domestic arrangements) involving-Contracts. "(A) contracts for the furnishing of nuclear materials and equipment;
"(B) approvals for the transfer, for which prior approval is required under an agreement for cooperation, by a recipient of any source or special nuclear material, production or utiliza-tion facility, or nuclear technology;
"(C) authorization for the distribution of nuclear materials and Ante, p.121 equipment pursuant to this Act which is not subject to the l Post, pp. 131,141, procedures set forth in section 111b., section 126, or section 109b.;
"(D) arrangements for physical security;
"(E) arrangements for the storage or disposition of irra-diated fuel elements;
"(F) arrangements for the application of safeguards with respect to nuclear materials and equipment; or
"(G) any ether arrangement which the President finds to be important from the standpoint of preventing proliferation.
"(3) The United States will give timely consideration to all re-quests har prior approval, when required by this Act, for the reprocessing of material proposed to be exported, previously ex-ported and subject to the applicable agreement for cooperation, j or special nuclear material produced through the use of such ma- l terial or a production or utilization facility transferred pursuant to 308 3 /P l I
l l s
such agreement for cooperation, or to the altering of irradiated fuel elements containing such material, and additionally, to the maximum extent feasible, will attempt to exped!!r mch consider-ation when the terms and conditions for such actions are set forth in such agreement for cooperation or in some other international agreement executed by the United States and subject to congres-sional review procedures comparable to those set forth in section 123 of this Act. Post, p.142. "(4) All other sta'tu:ory requirements under other sections of this Act for the approval or conduct of any arrangement subject to this subsection shall continue to apply and other such I requirements for prior approval or conditions for entering such arrangement shall also be satisfied before the arrangements takes l effect pursuant to subsection a. (1).
"b. With regard to any special nuclear material exported by the United States or produced through the use of any nuclear materials and equipment or sensitive nuclear technology exported by the United States-Report to "(1) the Secretary of Energy may not enter into any subsequent i congressional arrangements for the retransfer of any such material to a third ;
committees. country for reprocessing, for the reproccaing of any such l material, or for the subsequent retransfer of any plutonium in i quantities greater than 500 grams resulting from the reprocessing of any such material until he has provided the Committee on International Relations of the House of Representatives and the Committee of Foreign Relations of the Senate with a report , containing his reasons for entering into such arrangement and a ' period of 15 days of continuous session (as defined in subsection Post, p.139. 130g. of this Act) has elapsed: Provided, however, That ifin the view ! of the President an emergency exists due to unforeseen circumstances requiring immediate entry into a sphequent arrangement, such period shall consist of fifteen calendar days;
"(2) the Secretary of Energy may not enter into any subsequent arrangement for the reprocessing of any such material in a facility which has not processed power reactor fuel assemblics or been the subject of a subsequent arrangement therefor prior to the date of enactment of the Nuclear Non-Proliferation Act of 1978 or for subsequent retransfer to a non-nuclear-weapon state of any pluto-nium in quantities greater than 500 grams resulting from such reprocscssing, unless in his judgment, and that of the Secretary of State, such repr ocessing or retransfer will not result in a significant increase of the risk of proliferation beyond that which exists at the time that approval is requested. Among all the factors in making thisjudgment, foremost consideration will be given to whether or not the reprocessing or retransfer will take place under conditions that will ensure timely warning to the United States of any diver-sion well in advance of the time at which the non-nuclear-weapon state could transform the diverted material into a nuclear explo-sive device; and 309 3/.
I
"(3) the Secretary of Energy shall attempt to ensure, in entering into any subsequent arrangement for the reprocessing of any such material in any facility that has processed power reactor fuel as-semblies or been the subject of a subsequent arrangement therefor prior to the date of enactment of the Nuclear Non-Prolif-eration Act of 1978, or fer the subsequent retransfer to any non-nuclear-weapon state of any plutonium in quantities greater than 500 grams resulting from such reprocessing, that such repro-cessing or retransfer shall take place under conditions comparable to those which in his view, and that of the Secretary of State, satisfy the standards set forth in paragraph (2).
Nuclear "c. The Secretary of Ener:y shall, within ninety days after the m:terials, enactment of this section, establish orderly and expeditious procedures, reprocessing including provisions for necessary administrative actions and inter-or transfer agency memoranda of understandir.g. which are mutually agreeable l procedures. to the Secretaries of State, Defense, and Commerce, the Director of I the Arms Control and Disarmament Agency, and the Nuclear Regulatory Commission for the consideration of requests for subsequent arrangements under this section. Such procedures shall , include, at a minimum, explicit direction on the handling of such requests, express deadlines for the solicitation and collection of the views of the consulted agencies (with identified officials responsible for meeting such deidlines), an inter-agency coordinating authority to monitor the processing of such requests, predetermined procedures for the expeditious handling of intra-agency and inter-agency disagreements and appeals to higher coordinators to review the status of all pending requests, and similar administrative mechanisms. To the extent practicable, an applicant should be advised of all the information required of the applicant for the entire process for every agency's needs Controversial at the beginning of the process. Potentially controversial requests be requests, should identified as quickly as possible so that any required policy or ! identification. decisions diplomatic consultations can be initiated in a timely manner. ' An immediate effort should be undertaken to establish quickly as Standards and necessary standards and criteria, including the nature of any required criteria. assurance or evidentiary showings, for the decisions required under this ; section. Further, such procedure shall specify that if he intends to Nuclear prepare a Nuclear Proliferation Assessment Statement, the Director Proliferation shall so dedare in his response to the Department of Energy. If the Assessment Director declares that he intends to prepare such a Statement, he shall Statement. do so within sixty days of his receipt of a copy of the proposed subsequent arrangement (during which time the Secretary of Energy Presidential may not enter into the subsequent arrangement), unless pursuant to the waiver. Director's request the President waives the six*y-day requirement and Notice to notifies the Committee on International Relations of the House of congressional Representatives and the Committee on Foreign Relations of the Senate committees. of such waiver and the justification therefor. The processing of any subsequent arrangement proposed and filed as of the date of enactment of this section shall not be delayed pending the development and establishment of procedures to implement the requirements of this section. j ch l l
l "d. Nothing in this section is intended to prohibit, permanently or l unconditionally, the reprocessing of spent fuel owned by a foreign l nation which fuel has been supplied by the United States, to preclude the United States from full participation in the International Nuclear ) Fuel Cycle Evaluation provided for in section 105 of the Nuclear Non- ! Proliferation Act of 1978; to in any way limit the presentation or
- l consideration in that evaluation of any nuclear fuel cycle by the United States or any other participation; nor to prejudice open and objective consideration of the results of the evaluation.
42 USC 7172. "e. Notwithstanding subsection 402(d) of the Department of Energy Organization Act (Public Law 95-91), the Secretary of Energy, and not the Federal Energy Regulatory Commission, shall have sole , jurisdiction within the Department of Energy every any matter arising i from any function of the Secretary of Energy in this section. Presidential "f.(1) With regard to any subsequent arrangement under i pt:n, submittal subsection a.(2)(E) (for the storage or disposition of irradiated fuel l to Congress. elements), where such arrangement involves a direct or indirect commitment of the United States for the storage or other disposition, interim or permanent, of any foreign spent nuclear l fuel in the United States, the Secretary of Energy may not enter I into any such subsequent arrangement, unless: l "(A)(i) Such commitment of the United States has been submitted to the Congress for a period of sixty days of continu-ous session (as defined in subsection 130g. of this Act) and has Pms,p.139. been referred to the Committee on International Relations of j the House of Representatives and the Committee on Foreign Relations of the Senate, but any such commitment shall not become effective if during such sixty 4ay period the Congress adopts a xncurrent resolution stating in substance thet it does not favor the commitment, arry such commitment to be consid-ered pursuant to the procedures set forth in section 130 of this l l Act for the consideration of Presidential submissions; or (ii)if ! . the President has submitted a detailed generic plan for such j ! disposition or storage in the United States to the Congress for l period of sixty days of continuous session (as defined in subsec-l tion 130g. of this Act), which plan has been referred to the I Committee on International Relations of the House of Repre-sentatives and the Committee on Foreign Relations of the Senate and has not been disapproved during such sixty-day l period by the adoption of a concurrent resolution stating in substance that Congress does not favor the plan; and the com- ! mitment is subject to the terms of an effective plan. Any such ! plan shall be considered pursuant to the procedures set forth in l section 130 of this Act for the consideration of Presidential submissions; j "(B) The Secretary of Energy has complied with subsection a.; and
"(C) The Secretary of Energy has complied, or in the ar-rangement will comply with all other statutory requirements of Ante, p.125. this Act, under sections 54 and 55 and any other applicable 311 3 ~b'
Ibst, p.131. sections, and any other requirements of law. Notice to "(2) Subsection (1) shall apply to the storage or other disposition I congressional in the United States oflimited quantities of foreign spent nuclear committees. fuel if the President determines that (A) a commitment under section 54 or 55 of this Act of the United States for storage or other i disposition _of such limited quantities in the United States is j required by an emergency situation, (B) it is in the national j l interest to take such immediate action, and (C) he notifies the Committees on International Relations and Science and Technology of the House of Representatives and the Committees on Foreign Relations and Energy and Natural Resources of the Senate of the determination and action, with a detailed l explanation and justification thereof, as soon as possible. I l PI:n, contents. "(3) Any plan submitted by the President under subsection f. (1) shall include a detailed discussion, with detailed information, and any supporting documentation thereof, relating to policy ) objectives, technical description, geographic information, costs l l data and justifications, legal and regulatory consideration, ; l erwironmental impact information and any related international agreements, arrangements or understandings. .
" Foreign spent "(4) For the purposes of this subsection, the term ' foreign spent 1 nuclear fuel." nuclear fuel' shall include any nuclear fuel irradiated in any j l nuclear power reactor located outside of the United States and l operated by any foreign legal entity, govermnent or )
nongovernment, regardless of the legal ownership or other control l of the fuel or the reactor and regardless of the origin or licensing of ( the fuel or reactor, but not ine!uding fuel irradiated in a research reactor.". (b)(1) Section 54 of the 1954 Act is amended by adding new subsec-tion e. as follows, l Ante, p.125. "c. The authority in this section to commit United States funds for , any activities pursuant to any subsequent arrangement under section l 131 a. (2)(E) shall be subject to the requirements of section 131.". Ante, p.127. (2) Section 55 of the 1954 Act is amended by adding a proviso at the 42 USC 2075. end of the section as follows, "Providing, That the authority in this section to commit United States funds for any activities pursuant to any subsequent arrangement under scetion 131a. (2)(E) shall be subject to the requirements of section 131.". r EXPORT LICENSING PROCEDURES Sec.304. (a) Chapter 11 of the 1954 Act is amended by adding a new ! section 126 as follows:
"Sec 126. Export Licensing Procedures.-
l 42 USC 2155. "a. No license may be issued by the Nuclear Regulatory Commission Exemption. (the ' Commission') for the export of any production or utilization facility, or any source material or special nuclear material, including l Ante, p.125. distributions of any material by the Department of Energy under Supm. secticq 54,64, or 82, for which a license is required or requested, and no 42 USC 2112. exemption from any requirement for such an export license may be Executive granted by the Commission, as the case may be, until-
- brinch judgment, "(1) the Commission has been notified by the Secretary of State 1
312 3?0 i 1 l i
I notice to that it is the judgment of the executive branch that the proposed Commission. export or exemption will not be inimical to the common defense ; and security, or that any export in the category to which the proposed export belongs would not be inimical to the common defense and security because it lacks significance for nuclear ! Procedures. explosive purposes. The Secretary of State shall, within ninety J days after the enactment of this section, establish orderly and j expeditious procedures, including provision for necessary administrative actions and inter-agency memoranda of understanding, which are mutually agreeable to the Secretaries of ( Energy, Defense, and Commerce, the Director of the Arms Contents. Control and Disarmament Agency, and the executive branch i judgment on export applications under this section. Such ! procedures shall include, at a minimum, explicit direction on the handling of such applications, express deadlines for the solicitation and collection of the views of the consulted agencies j (with identified officials responsible for meeting such deadlines), i j an inter-agency coordinating authority to monitor the processing ! of such applications, predetermined procedures for the expeditious handling of intra-agency and interagency disagreements and appeals to higher authorities, frequent meetings of inter-agency administrative coordinators to review
! the status of all pending applications, and similar administrative i mechanisms. To the extent practicable, an applicant should be j advised of all the information required of the applicant for the entire process for every agency's needs at the beginning of the l prowss. Potentially cxmtroversial applications should be identified as j i quickly as possible so that any required policy decisions or '
Standards and diplomatic ansultations can be initiated in a timely manner. ! criteria. An immediate effort should be undertaken to establish quickly any necessary standards and criteria, including the nature of any required assurances or evidentiary showing, for the decisions required under this section. The processing of any export application proposed and filed as of the date of enactment of this I section shall not be delayed pending the development and i i establishment of procedures to implement the requirements of i this section. The executive branch judgment shall be completed in not more than sixty days from receipt of the application or request ! unless the Secretary of State in his discretion specifically authorizes additional time for consideration of the application or request because it is in the national interest to allow such additional time. The Secretary shall notify the Committee on Foreign Relations of the Senate and the Committee on International Relations of the House of Representatives of any such authorization. In submitting any such judgment, the Secretary of State shall specifically address the extent to which the i export criteria then in effect are met and the extent to which the ! cooperating party has adhered to the provisions of the applicable l agreement for cooperation. In the event he considers it warranted, l 313 N
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i l l l the Secretary may also address the following additional factors, j among other.;:
"(A) v hether issuing the license or granting the exemption
, will materially advance the non-proliferation policy of the l United States by encouraging the recipient nation to adhere to the Treaty, or to participate in the undertakings contemplated l by section 403 or 404(a) of the Nuclear Non-Proliferation Act of 1978;
"(B) whether failure to issue the license er gmnt the exemp-tion would othenvise be seriously prejudicial to the non-proliferation objectives of the United States; and
"(C) whether the recipient nation or group of nations has I agreed that conditions substantially identical to the export i Ibst, p.136. criteria set forth in section 127 of this Act will be applied by another nuclear supplier nation or group of nations to the proposed United States export, and whether in the Secretary's judgment those conditions will be implemented in a manner acceptable to the United States.
Dita and recom- The Secretary of State shall provide appropriate data and recommenda-t mendations. tions, subject to requests for additional data and recommendations, as required by the Commission or the Secretary of Energy, as the case may bc;and
"(2) the Commission finds, based on a reasonable judgment of the assurances provided and other information available to the Federal Government, including the Commission, that the criteria in section 127 of this Act or their equivalent, and any other appli-cable statutory requirements, are met: Provided, That continued cooperation under an agreement for moperation as authorized in 42 USC 2154 accordance with section 124 of this Act shall not be prevented by failure to meet the provisions of paragraph (4) or (5) of section 127 for a period of thirty days after enactment of this section, and for a period of twenty-three months thereafter if the Secretary of State l
notifies the Commission that the nation or group of nations bound by the relevant agreement has agreed to negotiations as called for l in section 404(a) of the Nuclear Non-Proliferation Act of 1978; however, nothing in this subsection shall be deemed to relinquish ! any rights which the United States may have under agreements for cooperation in force on the date of enactment of this section: Provided fwther, That, if upon the expiration of such l Extension, twenty-four month period, the President determines that l notice to failure to continue cooperation with any group of nations which has Congress. been exempted pursuant to the above proviso from the provisions
- of paragraph (4) or (5) of section 127 of this Ac'. but which has not yet agreed to comply with those provisions would be seriously prejudicial to the achievement of United States non-proliferation objectives or otherwise jeopardize the common defense and security, he may, after notifying the Congress of his determination, extend by Executive order the duration of the above proviso for a period of twelve months, and may further extend the duration of such proviso by one year, increments 1
314 32 1
annually thereafter if he again makes such determination and so notifies the Congress. In the event that the Committee on International Relations of the House of Representatives or the Committee on Foreign Relations of the Senate reports a joint resolution to take any action with respect to any such extension, such joint resolution will be considered in the llouse or Senate, as the case may be, under procedures identical to those provided for , the consideration of resolutions pursuant to section 130 of this ! Post, p.139. Act: And additionallyprovided, That the Commission is authorized ! Findings. to (A) make a single finding under this subsection for more than a i single application or request, where the applications or requests involve exports to the same country, in the same general time frame, or similar significance for nuclear explosive purposes and under reasonably similar circumstances and (B) make a finding under this subsection that there is no material changed circumstance associated with a new application or request from those existing at the time of the last application or request for an export to the same country, where the prior application or request was approved by the Commission using all applicable procedures of this section, and such finding of no material changed 4 circumstance shall be deemed to satisfy the requirement of this I paragraph for findings of the Commission. The decision not to make Judicial any such finding in lieu of the findings which wotJd otherwise review, be required to be made under this paragraph shall not be exception. subject to judicial review: And provided further, That nothing contained in this section is intended to require the Commission ; independently to conduct or prohibit the Commission from independently conducting country or site specific visitations in the Commission's consideration of the application of IAEA safeguards. l "b. (1) Timely consideration shall be given by the Commission to requests for export licenses and exemptions and such requests shall be granted upon a determination that all applicable statutory 1 requirements have been met. Presidential "(2) If, afte receiving the executive branch judgment that the review. issuance of a proposed export license will not be inimical to the common defense and security, the Commission does not issue the proposed license on a timely basis because it is unable to make the statutory determinations required under this Act, the Commission shall publicly issue its decision to that effect, and shall submit the license application to the President. The Commission's decision shall include an explanation of the basis for the decision and any dissenting or separate views. If, after receiving the proposed license application and reviewing the Commission's decision, the President determines that withholding the proposed export would be seriously prejudicial to the achievement of United States non-proliferation objectives, or would otherwise jeopardize the common defense and security, the proposed 315 S Nh
Report to export may be authorized by Executive order: Movided, That Congress and pnor to any such export, the President shall submit the Executive congressional order, together with his explanation of why in light of the ! comnuttees. Commission's decision, the export should nonetheless be made, to l the Congress for a period of sixty days of continuous session (as defined in subsection 130g.) and shall be referred to the Ibst, p.139. , Committee on International Relations of the House of l Representatives and the Committee on Foreign Relations of the Senate, but any such proposed export shall not occur if during such ! sixty-day period the Congress adopts a concurrent resolution stating in substance that it does not favor the proposed export. Any such Executive order shall be considered pursuant to the
- procedures set forth in section 130 of this Act for the l Review. consideration of Presidential submissions: And providedfurther, l That the procedures established pursuant to subsection (b) of I section 304 of the Nuclear Non-Proliferation Act of 1978 shall
! provide that the Commission shallimmediately initiate review of any application for a license under this section and to the I maximum extent feasible shall expeditiously process the application concurrently with the executive branch review, while I Concerns and awaiting the final executive branch judgment. In initiating its requests, review, the Commission may identify a set of concerns and requests transmittal to for information associated with the projected issuance of such executive license and shall transmit such concerns and requests to the l branch. executive branch which shall address such concerns and requests in its written communications with the Commission. Such l procedures shall also provide that if the Commission has not l completed action on the application within sixty days after the i receipt of an executive branch judgment that the proposed export , or exemption is not inimical to the common defense and security l or that any export in the category to which the proposed export belongs would not be inimical to the common defense and security because it lacks significance for nuclear explosive purposes, the i Commission shall inform the applicant in writing cf the reason for ! delay and provide follow-up reports as appropriate. If the Commission has not completed action by the end of an additional sixty days (a total of one hundred and twenty days from receipt of the executive branch judgment), the President may authorize the proposed export by Executive order, upon a finding that further delay would be excessive and upon making the findings required for such Presidential authorization under this subsection, and l subject to the Congressional review procedures set forth herein. l Ilowever, if the Commission has commenced procedures for public participation regarding the proposed export under regulations promulgated pursuant to subsection (b) of section 304 of the Nuclear Non-Proliferation Act of 1978, or-within sixty days after receipt of the executive branch judgment on the , proposed export-the Commission hasidentified and transmitted l to the executive branch a set of additional concerns or requests for information, the President may not authorize the proposed export 316 l 32G. - l l
until sixty days after public proceedings are completed or sixty days after a full executive branch response to the Commission's additional concerns or requests has been made consistent with subsection a. (1) of this section: IYoridedfunher, That nothing in this section shall affect the right of the Commission to obtain data and recommendations from the Secretary of State at any time as , provided in subsection a.(1) of this section. Referral to "c. In the event that the 11ouse of Representatives or the Senate congressional passes a joint resolution which would adopt one or more additional committees. export criteria, or would modify any existing export criteria under this Act, any suchjoint resolution shall be referred in the other 11ouse to the Committee on Foreign Relations of the Senate or the Committee on International Relations of the 11ouse of Representatives, as the case may be, and shall be considered by the other Ilouse under applicable procedures provided for the consideration of resolutions pursuant to section 130 of this Act.". Part, p.139. b) Within one hundred and twenty days of the date of enactment of Regulations. th(is Act, the Commission shall, after consultations with the Secretary of 42 USC 2155a State, promulgate regulations establishing procedures (1) for the granting, suspending, revoking, or amending of any nuclear export license or exemption pursuant to its statutory authority; (2) for public participation in nuclear export licensing proceedings when the Commission finds that such participation will be in the public interest and will assist the Commission in making the statutory determinations required by the 1954 Act, including such public hearings and access to information as the Commission deems appropriate: Itorided, That judicial review as to any such finding shall be limited to the determination of whether such finding was arbitrary and capricious; (3) for a publicwritten Commission opinion accompanied by the dissenting or separate views of any Commissioner, in those proceedings where one or more Commissioners have dissenting or separate views on the issuance of an export license; and (4) for public notice of Commission proceedings and decisions, and for recording of minutes and votes of the Commission: Fivvidedfunher, That until the regulations required by this subsection have been promulgated, the Commission shall implement the provisions of this Act under temporary procedures established by the Commission. Ilearings. (c) The procedures to be established pursuant to subsection (b) shall 42 USC 2155a constitute the exclusive basis for hearings in nuclear export licensing proceedings before the Commission and, notwithstanding section 189
- a. of the 1954 Act, shall not require the Commission to grant any person 42 USC 2239. an on-the-record hearing in such a proceeding.
Regulations. (d) Within sixty days of the date of enactment of this Act, the 42 USC 2156a Commission shall, in consultation with the Secretary of State, the Secretary of Energy, the Secretary of Defense, and the Director, promulgate (and may from time to time amend) regulations establishing the levels of physical security which in its judgment are no less strict than those established by any international guidelines to which the United States subscribes and which in its judgment will 317 3p7 i l _
1 1 I l provide adequate protection for facilities and material referred to in t paragraph (3) of section 127 of the 1954 Act taking into consideration l post. p.136. variations in risks to security as appropriate. CRITERIA GOVERNING UNITED STATES NUCLEAR EXPORTS
- Sec.305. Chapter 11 of the 1954 Act, as a amended by section 304,is further amended by adding at the end thereof the following
42 USC 2156 "Sec.127. CRITERIA GOVERNING UNITED STATES NUCLEAR EXPORTS-
"The United States adopts the following criteria which,in addition to !
other requirements of law, will govern exports for peaceful nuclear uses from the United States of source material, special nuclear material, production or utilization facilities, and any sensitive nuclear technolo- l gy: . l
"(1) IAEA safeguards, as required by Article III(2)of the Treaty i
will be applied with respect to any such material or facilities pro- ! l posed to be exported, to any such material or facilities previously i exported and subject to the applicable agreement for cooperation, l and to any special nuclear material used in or produced through i the use thereof.
"(2) No such material, facilities, or sensitive nuclear technology proposed to be exported or previously exported and subject to the i applicable agreement for cooperation, and no special nuclear ma-terial producer through the use of such materials, facilities or sensitive nuclear technology, will be used for any nuclear explosive i device or for research on or development of any nuclear explosive device.
"(3) Adequate physical security measures will be maintained '
with respect to such material or facilities proposed to be exported and to any special nuclear material used in or produced through the use thereof. Following the effective date of any regulations j l promulgated by the Commission pursuant to section 304(d) of the Nuclear Non-Proliferation Act of 1978, physical security measures shall be deemed adequate if such measures provide a level of protection equivalent to that required by the applicable regula-tions.
"(4) No such materials, facilities, or sensitive nuclear technolo-gy proposed to be exported, and no special nuclear material produced through the use of such material, will be retransferred to the jurisdiction of any other nation or group of nations unless the prior approval of the United States isobtained for such retransfer.
In addition to other requirements oflaw, the United States may approve such retransfer only if the nation er group of nations designated to receive such retransfer agrees that it shall be subject to the conditions required by this section.
"(5) No such material proposed to be exported and no special nuclear material produced through the use of such material will be l reprocessed, and no irradiated fuel elements containing such ma-terial removed from a reactor shall be altered in form or content, j unless the prior approval of the United States is obtained for such reprocessing or alteration.
l r 318 g bp
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"(6) No such sensitive nuclear technology shall be exported un-less the foregoing conditions shall be applied to any nuclear material or equipment which is produced or constructed under the d
ju sdiction of the recipient nation or group of nations by or i te A the use of any such exported sensitive nuclear technology.". ADL . L JNAL EXPORT CRITERION AND PROCEDURES Sec.300. Chapter 11 of the 1954 Act, as amended by sections 304 and 305,is further amended by adding at the end thereof the following: 42 'USC 2157 "Sec.128. ADDITIONAL EXPORT CRITERIA AND PRO-CEDURES-
"a. (1) As a condition of continued United States export source material, special nuclear material, production or utilization facilities, and any sensitive nuclear technology to non-nuclear-weapon states, no such export shall be made unless IAEA safeguards are maintained with respect to all peaceful nuclear activities in, under the jurisdiction of, or l carried out under the control of such state at the time of the export.
"(2) The President shall seek to achieve adherence to the foregoing criterion by recipient non-nuclear-weapon states. i Export "b. The criterion set forth in subsection a. shall be applied as an rpplications, ]
export criterion with respect to any application for the export of j i criterion materials, facilities, or technology specified in subsection a. which is i enforcement. filed after eighteen months from the date of enactment of this section, I or for any such application under which the first export would occur at least twenty-four months after the date of enactment of this section, except as provided in the following paragraphs:
"(1) If the Commission or the Department of Energy, as the case may be,is notified that the President has determined that failure to approve an export to which this subsection applies because such criterion has not yet been met would be seriously prejudicial to the achievement cf United States non-proliferation objectives or otherwise jeopardize the common defense and security, the license or authorization may be Report to issued subject to other applicable requirements of law: Movided, That congressional no such export of any production or utilization facility or of any source of committees. special nuclear material (intended for use as fuel in any production or utilization facility) which has been licensed or authorized pursuant to j
this subsection shall be made to any non-nuclear-weapon state which has failed to meet such criterion until the first such license or f authorization with respect to such state is submitted to the Congress l (together with a detailed assessment of the reasons underlying the l President's determination, the judgment of the executive branch j required under section 126 of this Act, and any Commission opinien l and views) for a period of sixty days of continuous session (as Ante, p.131. defined in subsection 130 g. of this Act) and referred to the Committee on International Relations of the Ilouse of Representatives and Ibst, p.139. the Committee on Foreign Relations of the Senate, but such export shall not occur if during such sixty-day period the Congress adopts a concurrent resolution stating in substance that the Congress does not favor the proposed export. Any such license or authorization shall be ! considered pursuant to the procedures set forth in section 130 of this ' Act for the consideration of Presidential submissions. j 319 i 4 j
Congressional "(2) If the Congress adopts a resolution of disapproval pursuant to disapproval, paragraph (1), no further export of materials, facilities, or technology resolution. specified in subsection a. shall be permitted for the remainder of that Congress, unless such state meets the criterion or the President notifies the Congress that he has determined that significant progress has been made in achieving adherence to such criterion by such state or that United States foreign policy interests dictate reconsideration and the Congress, pursuant to the procedure of paragraph (1), does not adopt a concurrent resolution stating in substance that it disagrees with the President's determination. Export "(3) If the Congress does not adopt a resolution of disapproval with tuthorizations, respect to a license or authorization submitted pursuant to paragraph congressional (1), .ne criterion set forth in subsection a. shall not be applied as an review. export criterion with respect to exports of materials, facilitier, and technology specified in subsection a. to that state: Provided, That the first license or authorization with respect to that state which is issued pursont to this paragraph after twelve months from the elapse of the sixty-day period specified in paragraph (1), and the first such license or authorization which is issued after each twelve-month period thereafter, shall be submitted to the Congress for review pursuant to the procedures specified in paragraph (1): Providedfunher, That if the Congress adopts a resolution of disapproval during any review period provided for this paragraph, the provisions of paragraph (2) shall apply with respect to further exports to such state. CONDUCT RESULTING IN TERMINATION OF NUCLEAR EXPORTS Export Sec.307. Chapter 11 of the 1954 Act, as amended by sections 304, I terminations, 305, and 306, is further amended by adding at the end thereof: criterion. "Sec.129. Conduct Resulting In Termination Of Nuclear Exports-42 USC 2158. "No nuclear materials and equipment or sensitive nuclear technology shall be export to-
"(1) any non-nuclear-weapon state that is found by the Presi-dent to have, at any time after the effective date of this section,
"(A) detonated a nuclear explosive device; or
"(B) terminated or abrogated IAEA safeguards; or
"(C) materially violated an IAEA safeguards agreement; or
"(D) engaged in activities involving source or special nuclear material and having direct significance for the manufacture or acquisition of nuclear explosive devices, and has failed to take steps which, in the President's judgment, represent sufficient progress toward terminating such activities; or
"(2) any nation or group of nations that is found by the President to have, at any time after the effective date of this section,
"(A) materially violated an agreement for cooperation with the United States, or, with respect to material or equipment not supplied under an agreement for cooperation, materially violated the terms under which such material or equipment was supplied or the terms of any commitments obtained with 320 33a p
l l l respect thereto pursuant to section 402(a) of the Nuclear I Non-Proliferation Act of 1978; or
"(B) assisted, encouraged, or inducted any non-nuclear-weapon state to engage in activities involving source or special nuclear material and having direct significance for the !
manufacture or acquisition of nuclear explosive devices, and , has failed to take steps which, in the President's judgment, ' represer.t sufficient progress toward terminating such assis-tance, encouragement, or inducement; or
"(C) entered into an agreement after the date of enact- j ment of this section for the transfer of reprocessing equipment, materials, or technology to the sovereign control of a non-nuclear-weapon state except in connection with an international fuel cycle evaluation in which the United States is a participant or pursuant to a subsequent international agreement or understanding to which the United States sub-scribes; unless the President determines that cessation of such exports would be i seriously prejudicial to the achievement of United States non-prolifer- '
ation objectives or otherwise jeopardize the common defense and Report to security: Provided, That prior to the effective date of any such Congress. determination, the President's determination, together with a report containing the reasons for his determination, shall be submitted to the Congress and referred to the Committee on International Relations of the llouse of Representatives ' and the Committee on Foreign Infra. Relations of the Senate for a period of sixty days of continuous session (as defined in subsection 130g. of this Act), but any such determination shall not become effective if during such sixty-day period the Congress I adopts a concurrent resolution stating in substance that it does not favor the determination. Any such determination shall be considered i pursuant to the procedures set forth in section 130 of this Act for the consideration of Presidential submissions.". CONGRESSIONAL REVIEW PROCEDURES l Sec.308. Chapter 11 of the 1954 Act, as amended by sections 304, ! 305,306, and 307,is further amended by adding at the end thereof the following: i 42 USC 2159. "Sec.130. CONGRESSIONAL REVIEW PROCEDURES- I Congressional "a. Not later than forty-five days of continuous session of Congress after committee the date of transmittal to the Congress of any submission of the reports. President required by subsection 123 d.,126 a. (2),126 b. (2),128 b., 129,131 a. (3), or 131 f. (1)(A) of this Act, the Committee on Foreign Post, p.142. Relations of the Senate and the Committee on International Relations i Ante, pp.131, of the 1-louse of Representatives, and in addition, in the case of a 1 137,138,127. proposed agreement for cooperation arranged pursuant to subsection 91 c.,144 b., or 144 c., the Committee on Armed Services of the IIouse 42 USC 2121, of Representatives and the Committee on Armed Services of the 2164. Senate, shall each submit a report to its respective Ilouse on its views i and recommendations respecting such Presidential submission l together with a resolution, as defined in subsection f., stating in substance that the Congress approves or disapproves such submission, g. 321 33 j/-
as the case may be: Provided, That if any such committee has not reported such a resolution at the end of such forty-five day period, such committee shall be deemed to be discharged from further consideration of such submission and if, in the case of a proposed agreement for cooperation arranged pursuant to subsection 91 c., 144 b.,or 144 c.of this Act,the other relevant committee of that House has reported such a resolution, such committee shall be deemed discharged from further consideration of that resolution. If no such resolution has been reported at the end of such period, the first resolution, as defined in subsection f., which is introduced within five days thereafter within such liouse shall be placed on the appropriate calendar of such House.
"b. When the relevant committee or committees have reported such a resolution (or have been discharged from further consideration of such a resolution pursuant to subsection a.) or when a resolution has been introduced and placed on the appropriate calendar pursuant to subsection a., as the case may be it is at any time thereafter in order (even though a previous motion to the same effect has been disagreed to) for any Member of the respective House to move to proceed to the consideration of the resolution. The motion is highly privileged and is not debatable. The motion shall not be subject to amendment, or to a motion to postpone, or to a motion to proceed to the consideration of other business. A motion to reconsider the vote by which the motion of other business. A motion to reconsider the vote by which the motion is agreed to or disagreed to shall not be in order. If a motion to proceed to the consideration of the resolution is agreed to, the resolution shall remain the unfinished business of the respective House until disposed of. "c. Debate on the resolution, and on all debatable motions and appeals in connection therewith, shall be limited to not more than ten hours, which shall be divided equally between individuals favoring and ,
individuals opposing the resolution. A motion further to limit debate is I in order and not debatable. An amendment to a motion to postpone, or a motion to recommit the resolution, or a motion to proceed to the consideration of other business is not in order. A motion to reconsider the vote by which the resolution is agreed to or disagreed to shall not be in order. No amendment to any concurrent resolution pursuant to the procedures of this section is in order except as provided in subsection d.
"d. Immediately following (1) the conclusion of the debate on such concurrent resolution, (2) a single quorum call at the conclusion of debate if requested in accordance with the rules of the appropriate House, and (3) the consideration of an amendment introduced by the Majority Leader or his designee to insert the phrase, 'does not' in lieu of the word 'does' if the resolution under consideration is a current resolution of approval, the vote on final approval of the resolution shall occur. "e. Appeals from the decisions of the Chair relating to the applica-tion of the rules of the Senate or the House of Representatives, as the case may be, to the procedure relating to such a resolution shall be decided without debate.
e 3 3d l l L l
r
" Resolution." "f. For the purposes of subsections a. through e. of this section, the term ' resolution' means a concurrent resolution of the Congress, the f matter after the resolving clause of which is as follows: "That the Congress (does or does not) favor the l transmitted to the Congress by the President on ,
. the blank spaces therein to be appropriately filled, and the affirma-l tive or negative phrase within the parenthetical to be appropriately l selected.
Continuous "g. For the purposes of this section-session of "(1) contmuity of session is broken only by an adjournment of Congress, Congress sine die; and computation. "(2) the days on which either House is not in session because of l an adjournment of more than three days to a day certain are excluded in the computation of any period of time in which Congress is in continuous session.
"h. This section is enacted by Congress-
"(1) as an exercise of the rulemaking power of the Senate and the llouse of Representatives, respectively, and as such they are deemed part of the rules of each House, respectively, but applica-ble only with respect to the procedure to be followed in that House in case of resolutions described by subsection f. of this section; and they supersede other rules only to the extent that they are incon-sistent therewith; and
"(2) with full recognition of the constitutional right of either ifouse to change the rules (so far as relating to the procedures of that llouse) at any time, in the same manner and to the same extent as in the case of any other rule of that House.".
COMPONENT AND OTHER PARTS OF FACILillES 42 USC 2139 Sec. 309. (a) Section 109 of the 1954 Act is amended to read as follows: i "Sec.109. Component And Other Parts Of Facilities- l Domestic "a. With respect to those utilization and production facilities which l activities are so determined by the Commission pursuant to subsection 11 v. (2) or , licenses, 11 cc. (2) the Commission may issue general licenses for domestic I issuance activities required to be licensed under section 101,if the Commission ' authorization determines in writing that such general licensing will not constitute an 42 USC 2139. unreasonable risk to the common defense and security. ! Export licenses. "b. After consulting with the Secretaries of State, Energy, rnd l Commerce, and the Director, the Commission is authorized and directed to determine which component parts as defined in subsection 11 v. (2) or 11 cc. (2) and which other items or substances are especially l relevant from the standpoint of export control because of their ' significance for nuclear explosive purposes. Except as provided in Ante, p.131. section 126 b. (?), no such component, substance, or item which is so determined by the Commission shall be exported unless the Commission issues a general or specific license for its export after l finding, based issues a general or specific license on a reasonable ! judgment of the assurances provided and other information available to the Federal Government, including the Commission, that the following criteria or their equivalent are met: (1)IAEA safeguards as required by Article 111 (2) of the Treaty will be applied with respect to 3 QV \ l
such cx>mponent, substance, or item; (2) no such component, substance, or item will be used for any nuclear explosive device or for research on or development of any nuclear explosive device; and (3) no such component, substance, or item will be retransferred to the jurisdiction of any other nation or group of nations unless the prior consent of the United States is obtained for such retransfer; and after determining in writing that the issuance of each such general or specific license or category of that licenses will not be inimical to the common defense and security: Provided, That a specific license shall not be required for an export pursuant to this section if the component, item or substance is covered by a facility license issued pursuant to section 126 of this Act.
"c. The Commission shall not issue an export license under the authority of subsection b. if it is advised by the executive branch, in accordance with the procedures established under subsection 126 a.,
that the export would be inimical to the common defense and security of the United States." . Regulations. (b) The Commission, not later than one hundred and twenty days ) 42 USC 2139a after the date of the enactment of this Act, shall publish regulations to implement the provisions of subsections b. and c. of section 109 of the 1954 Act. Among other things, these regulations shall provide for the l Supra. prior consultation by the Commission with the Department of State, '~ the Department of Energy, the Department of Defense, the Department of Commerce, and the Arms Control and Disarmament Agency. Export control (c) The President, within not more than one hundred and twenty procedures, days after the date of enactment of the Act, shall publish procedures Prrsidential-. regarding the control by the Department of Commerce over all export publications. . items, other than those licensed by the Commission, which could be, if 42 USC 2139a used for purposes other than those for which the export is intended, of significance for nuclear explosive purposes. Among other things, these procedures shall provide for prior consultations, as required, by the l Department of Commerce with the Department of State, the Arms ; Control and Disarmament Agency, the Commission, the Department :
- of Energy, and the Department of Defense. l l Savings (d) The amendments to section 109 of the 1954 Act made by this provisions. section shall not affect the approval of exports contracted for prior to 42 USC 2139 November 1,1977, which are made within one year of the date of note. enactment of such amendments.
j Ante. p.141. TITLE IV-NEGOTIATION OF FURTHER EXPORT CONTROLS COOL'ERATION MTITI OTHER NA110NS 42 USC 2153 Sec.401. Section 123 of the 1954 Act is amended to read as follows: ;
"Sec.123. Cooperation With Other Nations-- l 42 USC 2073, No cooperation wit 1 any nation, group of nations or regional defense 2074,2077, organizations pursuant to section 53,54 a.,57,64,82,91,103,104, or ,
2094,2112, 144 shall be undertaken until- 1 2121,2133, "a. the proposed agreement for cooperation has been submitted 2134,2164. to the President, which proposed agreement shall include the terms, conditions, duration, nature, and scope of the cooperation; i ( 324_ 3V 4
Cooperative and shall include the following requirements: agreements, "(1) a guaranty by the cooperating party that safeguards as submittal to set forth in the agreement for cooperation will be maintained President. with respect to all nuclear materials and equipment transferred Contents. pursuant thereto, and with respect to all special nuclear material used in or produced through the use of such nuclear materials and equipment, so long as the material or equipment remains under the jurisdiction or control of the cooperating party, irrespective of the duration of other provisions in the agreement or whether the agreement is terminated or suspended for any reason;
"(2) in the case of non-nuclear-weapon states, a require-ment, as a condition of continued United States nuclear supply under the agreement for cooperation, that IAEA safeguards <
be maintained with respect to all nuclear materials in all peace-ful nuclear activities within the territcry of such state, under its jurisdiction, or carried out under its control anywhere;
"(3) except in the case of those agreements for cooperation arranged pursuant to subsection 91 c., a guaranty by the coop-erating party that no nuclear materials and equipment or sensitive nuclear technology to be transferred pursuant to such agreement, and no special nuclear material produced through the use of any nuclear materials and equipment or sensitive !
nuclear technology transferred pursuant to such agreement, ' will be used for any nuclear explosive device, or for research on or development of any nuclear explosive device, or for any other military purpose;
"(4) except in the case of those agreements for cooperation arranged pursuant to subsection 91 c. and agreements for cooperation with nuclear-weapon states, a stipulation that the l United States shall have the right to require the return of any nuclear materials and equipment transferred pursuant thereto and any special nuclear material produced through the use thereof if the cooperating party detonates a nuclear explosive device or terminates or abrogates an agreement providing for
. IAEA safeguards;
"(5) a guaranty by the cooperating party that any material or any Restricted Data transferred pursuant to the agreement for cooperation and, except in the case of agreements arranged pursuant to subsection 91 c.,144 b.. or 144 c., any production 42 USC 2121, or utilization facility transferred pursuant to the agreement for 2164. cooperation or any special nuclear material produced through the use of any such facility or through the use of any material transferred pursuant to the agreement, will not be transferred to unauthorized persons or beyond the jurisdiction or control of the cooperating party without the consent of the United States; l
"(6) guaranty by the cooperating party that adequate physi- l cal security will be maintained with respect to any nuclear i material transferred pursuant to such agreement and with re.
325 .-
x spect to any special nuclear material used in or produced through the use of any material, production facility, or utiliza-tion facility transferred pursuant to such agreement;
"(7) except in the case of agreements for cooperation ar-ranged pursuant to subsection 91 c.,144 b., or 144 c., a guaranty by the cooperating party that no material transferred pursuant to the agreement for cooperation and no material used in or produced through the use of any material, produc-tion facility, or utilization facility transferred pursuant to the agreement for cooperation will be reprocessed, enriched or (in the case of plutonium, uranium 233, or uranium enriched to greater than twenty percent in the isotope 235, or other nuclear materials which have been irradiated) otherwise altered in form or content without the prior approval of the United States;
"(8) except in the case of agreements for cooperation ar-ranged pursuant to subsection 91 c.,144 b., or 144 c., a guaranty by the cooperating party that no plutonium, no ura-nium 233, and no uranium enriched to greater than twenty percent in the isotope 235, transferred pursuant to the agree-ment for cooperation, or recovered from any source or special nuclear material so transferred or from any source or special nuclear material used in any production facility or utilization facility transferred pursuant to the agreement for cooperation, will H stored in any facility that has not been approved in advance by the United States; and
"(9)except in the case of agreements for cooperation ar-ranged pursuant to subsection 91 c.,144 b., or 144 c., a guaranty by the cooperating party that any special nuclear material, production facility, or utilization facility produced or constructed under the jurisdiction of the cooperating party by or through the use of any sensitive nuclear technology trans-ferred pursuant to such agreement for cooperation will be subject to all the requirements specified in this subsection.
Agreement The President may exempt a proposed agreement for requirements, cooperation (except an agreement arranged pursuant to Presidential subsection 91 c.,144 b., or 144 c.) from any of the requirements of exemptions. the foregoing sentence if he determines that inclusion of any such requirement would be seriously prejudicial to the achievement of Proposed United States non-proliferation objectives or otherwise jeopardize cooperation the common defense and security. Except in the case of those agr:ements, agreements for cooperation arranged purmant to subsection 91 c., submittal to 144 b., or 144 c., any proposed agreement for cooperation shall be President. negotiated by the Secretary of State, with the technical assistance Nuclear and concurrence of the Secretary of Energy and in consultation
' Proliferation with the Director of the Arms Control and Disarmament Agency Assessment ('the Director'); and after consultation with the Commission shall Statement. be submitted to the President jointly by the Secretary of State and submitted to the Secretary of Energy accompanied by the views and recom-President. mendations of the Secretary of State, the Secretary of Energy, the
=
326 i 1 I (
42 USC 2121, Nuclear Regulatory Com. mission, and the Director, who shall also 2164. provide to the President an unclassified Nuclear Proliferation Assessment Statement regarding the adequacy of the safeguards and other control mechanisms and the peaceful use assurances contained in the agreement for cooperation to ensure that any assistance furnished thereunder will not be used to further any military or nuclear explosive purpose. In the case of those agreements for cooperation arranged pursuant to subsection 91 c.,144 b., or 144 c., any proposed agreement for cooperation shall be submitted to the President by the Secretary of Energy or, in the case of those agreements for cooperation arranged j pursuant to sutsection 91c., or 144b.which are to be implemented l by the Department of Defense, by the Secretary of Defense; I
" b. the President has approved and authorized the execution of the proposed agreement for cooperation and has made a deter- i mination in writing that the performance of the proposed )
agreement will promote, and will not constitute an unreasonable risk to, the common defense and security; Submittal to "c. the proposed agreement for cooperation (if not an agree-congressional ment subject to subsection d.), together with the approval and committees. determination of the President, has been submitted to the Committee on International Relations of the House of Representatives and the Committee on Foreign Relations of the Ante, p.139. Senate for a period of thirty days of continuous session (as defined in subsection 130g.): Provided, however, That these committees, after having received such agreement for cooperation, may by resolution in writing waive the conditions of all or any portion of such thirty-day period; and "d. the proposed agreement for cooperation (if arranged 42 USC 2073, pursuant to subsection 91 c.,144 b., or 144 c., or if entailing 2074,2133,2073, implementation of section 53,54 a.,103, or 104 in relation to a 2074,2133,2134. reactor that may be capable of producing more than five thermal megawatts or special nuclear material for use in connection therewith) has been submitted to the Congress, together with the approval and determination of the President, for a period of sixty i days of continuous session (as defined in subsection 130 g. of this l Act) of the House of Representatives and the Committee on ' Foreign Relations of the Senate, and in addition, in the case of a proposed agreement for cooperation arranged pursuant to subsection 91 c.,144 b., or 144 c., the Committee on Armed Services of the House of Representatives and the Committee on l Armed Services of the Senate, but such proposed agreement for cooperation shall not become effective if during such sixty-day period the Congress adopts a concurrent resolution stating in substance that the Congress does not favor the proposed agreement for cooperation: Movided, That the sixty-day period shall not begin until a Nuclear Proliferation Assessment Ante, p.142. Statement prepared by the Director of the Arms Control and Disarmament Agency, when required by subsection 123 a., has been submitted to the Congress. Any such proposed agreement 327 D[ /, l l
Ante, p.139. for cooperation shall be considered pursuant to the procedures set forth m section 130 of this Act for the consideration of Presidential submissions. Agency views "Following submission of a proposed agreement for cooperation to congressional (except an agreement for cooperation arranged pursuant to subsection committees. 91 c.,144 b., or 144c.) to the Committee on International Relations of 42 USC 2121, the House of Representatives and the Committee on Foreign Relations 21M. of the Senate, the Nuclear Regulatory Commission, the Department of State, the Department of Energy, the Arms Control and Disarmament Agency, and the Department of Defense shall, upon the request of either of those committees, promptly furnish to those committees their views a= to whether the safeguards and other controls contained therein provide an adequate framework to ensure that any exports as contemplated by such agreement will not be inimical to or constitute an unreasonable risk to the common defense and security. Anse, p.127. "If, after the date of enactment of the Nuclear Non-Proliferation Act of 1978, the Congress fails to disapprove a proposed agreement for cooperation which exempts the recipient nation from the requirement set forth in subsection 123 a. (2), such failure to act shall constitute a Ante, p.131. failure to adopt a resolution of disapproval pursuant to subsection 128
- b. (3) for purposes of the Commission's consideration of applications and requests under section 126 a. (2) and there shall be no congressional review pursuant to section 128 of any subsequent license or authorization with respect to that state until the first such license or
{ authorization which is issued after twelve months from the elapse of the sixty-day period in which the agreement for cooperation in question is reviewed by the Congress.". ADDirIONAL REQUIREMENTS Nuclear Sec. 402. (a) Except as specifically provided in any agreement for material cooperation, no source or special nuclear material hereafter exported enrichment, from the United States may be enriched after export without the prior approval. approval of the United States for such enrichment: Provided. That the 42 USC 2153a procedures governing such approvals shall be identical to those set forth for the approval of proposed subsequent arrangements under section 131 of the 1954 Act, and any commitments from the recipient Ante, p.127. which the Secretary of Energy and the Secretary of State deem necessary to ensure that such approval will be obtained prior to such enrichment shall be obtained prior to the submission of the executive j branch judgment regarding the export in question and shall be set forth i in such submission: And providedfurther, That no source or special l nuclear material shall be exported for the purpose of enrichment or ! reactor fueling to any nation or group of nations which has, after the l date of enactment of this Act, entered into a new or amended l agreement for cooperation with the United States, except pursuant to l such agreement. Enrichment (b) In addition to other requirements of law, no major cri.c t l freility com- component of any uranium enrichment, nuclear fuel reprocessing. m ponents, export heavy water production facility shall be exported under any agreeme. prohibition. for cooperation (exempt an agreement for cooperation pursuant to 42 USC 2121, subsection 91 c.,144 b.,144 c. of the 1954 Act) unless such agreement 328 lN
l l l 2164. for cooperation specifically designates such components as items to be exported pursuant to the agreement for cooperation. For purposes of
" Major critical this subsection, the term " major critical component" means any com-I component." ponent part or group of component parts which the President determines to be essential to the operation of a complete uranium l enrichment, nuclear fuel reprocessmg, or heavy . vater production
) facility. PEACEFULNUCLEAR ACHVITIES Sec. 403. The President shall take immediate and vigorous steps to seek agreement from all nations and groups of nations to commit them-Export policies selves to adhere to the following export policies with respect to their ! 42 U.S.C. 2153b. peaceful nuclear activities and their participation in international j nuclean trade: i (a) No nuclear materials and equipment and no sensitive nu-clear technology within the territory of any nation or group of nations, under its jurisdiction, or under its control anywhere will be transferred to the jurisdiction of any other nation or group of , nations unless the nation or group of nations receiving such trans-fer commits itself to strict undertakings including, but not limited to, provisions sufficient to ensure that- ; (1) no nuclear materials and equipment and no nuclear i technology in, under the jurisdiction of, or under the control of l any non-nuclear-weapon state, shall be used for nuclear explo- ! sive devices for any purpose or for research on or development of nuclear explosive devices for any purpose, except as per-mitted by Article V, the Treaty; (2) IAEA safeguards will be applied to all peaceful nuclear activities in, under the jurisdiction of, or under control of any non-nuclear-weapon state; (3) adequate physical security measures will be established and maintained by any nation or group of nations on all ofits nuclear-activities; (4) no nuclear materi'.ls and equipment and no nuclear technology intended for peaceful purposes in, under the juris-diction of, or under the control of any nation or group of ! nations shall be transferred to the jurisdiction of any other nation or group of nations which does not agree to stringent undertakings meeting the objective: of this section; and (5) no nation or group of nations w lli assist, encourage, or induce any non-nuclear-weapon state to manufacture or otherwise acquire any nuclear explosive device. Enriched nuclear (b)(1) No source or special nuclear material within the territory material and of any nation or group of nations, under its jurisdiction, or under its sources, control anywhere will be enriched (as described in paragraph aa. prohibition. (2) of section 11 of the 1954 Act)or reprocessed, no irradiated fuel Proposed elements containing such material which are to be removed from a international reactor will be altered in form or ccmtent, and no fabrication or agreements. stockpiling involving plutonium, uranium 233, or uranium 42 USC 2104. enriched to greater than 20 percent in the isotope 235 sh.tll be performed except in a facility under effective international 329 ,
~ ,
auspices and inspection, and any such irradiated fuel elements shall be transferred to such a facility as soon as practicable after removeJ from a reactor consistent with safety requirements. Such facilitics shall be limited in number to the greatest extent feasible and shall be carefully sited and managed so as to minimize the proliferation and environmental risks associated with such facilities. In addition, there shall be conditions to limit the access of non-nuclear-weapon states other than the host country to sensitive nuclear technology associated with such facilities. Enriched nuclear (2) Any facilities within the territory of any nation or group of material, short- nations, under its jurisdiction, or under its control anywhere for t:rm storage. the necessary short-term storage of fuel elements containing plu-International tonium, uranium 233, or uranium enriched to greater than 20 inspection percent in the isotope 235 prior to placement in a reactor or of irradiated fuel elements prior to transfer as required in subparagraph (1) shall be placed under effective international auspices and inspection. (c) Adequate physical security measures will be established and maintained with respect to all nuclear activities within the territory of each nation and group of nations, under its jurisdic-tion, or under its control anywhere, and with respect to any international shipment of significant quantities of source or spe-cial nucicar material or irradiated source or special nuclear material, which shall also be conducted under international safe-guards. (d) Nothing in this section shall be interpreted to require inter-national control or supervision of any United States military activities. RENEGOTIATION OF AGREEMENTS FOR COOPERATION 42 USC 2153e Sec. 404. (a) The President shall initiate a program immediately to renegotiate agreements for cooperation in effect on the date of enactment of this Act, or otherwise to obtain the agreement of parties to such agreements for cooparation to the undertakings that would be required for new ag " ment under the 1954 Act. To the extent that an agreement for coope nion in effect on the date of enactment of this Act with a moperating party mntains provisions equivalent to any or all of Ante, p.136. the criteria set forth in section 127 of the 1954 Act with respect to
- materials and equipment transferred pursuant thereto or with respect to any special nuclear material used in or produced through the use of ,
l any stah material or equipment, any renegotiated agreement with that ! ! cooperating party shall continue to contain an equivalent provision j with respect to such transferred mat: rials and equipment and such i special nuclear material. To the extent that an agreement for l cooperation in effect on the dre of enactment of this Act with a l cooperating party does not contain provisions with respect to any nuclear materials and equipment which have previously been tran.ferred under an agreement for cooperation with the United States i and which are under the jurisdiction or control of the cooperating party I and with respect to any special nuclear material which is used in or I 330
produced through the use thereof and which is under the jurisdiction or control of the cooperating party, which are equivalent to any or all of those Ante, p.142. required for new and amended agreements for cooperation under section 123 a. of the 1954 Act, the President shall vigorously seek to obtain the application of such provisions with respect to such nuclear materials and equipment and such special nuclear material. Nothing in this Act or in the 1954 Act shall be deemed to relinquish any rights which the United States may have under any agreement for cooperation in force on the date of enactment of this Act. Export (b) The President shall annually review each of requirements (1) cgreement con- through (9) set forth for inclusion in agreements for cooperation under ditions and section 123 a. of the 1954 Act and the export policy goals set forth in policy, goals, section 401 to determine whether it is in the interest of United States Presidential non-proliferation objectives for any such requirements or export review. policies which are not already being applied as export criteria to be Ante, p.142. enacted as additional export criteria. (c) If the President proposes enactment of any such requirements or Presidential export policies as additional export criteria or to take any other action export criteria with respect to such requirements or export policy goals for the purpose proposals, of encouraging adherence by nations and groups of nations to such submittal to requirements and policies, he shall submit such a proposal together Congress. with an explanation thereof to the Congress. (d) If the Committee on Foreign Relations of the Senate or the Committee on International Relationt of the House of Representa-tives, after reviewing the President's annual report or any proposed l legislation, determines that it is in the interest of United States non-proliferation objectives to take any action with respect to su:h requirements or export policy goals, it shall report a joint resolution to implement such determmation. Any joint resolution so reported shall be considered in the Senate and the House of Representatives, respec-tively, under applicable procedures provided for the cc nsideration Ante, p.139. of resolutions pursuant to subsection 130 b. through g. of the 1954 Act. AUTilORTIYTO CONTINUE AGREEMENTS Savings provision. Sec. 405. (a) The amendments to section 123 of the 1954 Act made by 42 USC 2153d this Act shall not affect the authority to continue cooperation pursuant to agreements for cooperation entered into prior to the date of enactment of this Act. l (b) Nothing in this Act shall affect the authority to include dispute settlement provisions, including arbitration, in any agreement made pursuant to an Agreement of Cooperation. REVIEW 42 USC 2160a Sec. 406. No court or regulatory body shall have any jurisdiction under any law to compel the performance of or to review the adequacy of the performance of anyNuclear Proliferation Assessment Statement called l for in this Act or in the 1954 Act. l PROTECTION OF TIIE ENVIRONMENT j 42 USC 2153e Sec. 407. The president shall endeavor to provide in any agreement entered into pursuant to section 123 of the 1954 Act for cooperation between the parties in protecting the international emironment from
~ l 331 l
l l l
i radioactive, chemical or thermal contamination arising from peaceful nuclear activities. TITLE V-UNITED STATES ASSISTANCE TO DEVELOPING COUNTRIES POLJCY: REPORT Nuclest and Sec. 501. The United States shall endeavor to cooperate with other non-nuclear nations, international institutions, and private organizations in energy, resource establishing programs to assist in the development of non-nuclear development. energy resources, to cooperate with both developing and industrialized 22 USC3261 nations in protecting the international environment from contami-nation arising from both nuclear and non-nuclear energy activities, and shall seek to cooperate with and aid developing countries in meeting their eergy needs through the development of such resources and the application of non-nuclear technologies consistent with the economic factors, the material resources of those countries, and environmental protection. The United States shall additionally seek to encourage other industrialized nations and groups of nations to make commitments for similar cooperation and aid to deve'oping countries. The President shall report annually to Congress on the level of other ! nations' and groups of nations' commitments under such program and j the relation of any such commitments to United States efforts under l this title. In cooperating with and providing such assistance to j developing countries, the United States shall give priority to parties to the Treaty. PROGRAMS , Developing Sec. 502. (a) The United States shall initiate a program, consistent countries, energy with the aims of section 501, to cooperate with developing countries for - development the purpose of-programs. (1) meeting the energy needs required for the development of such countries; l (2) reducing the dependence of such countries on petroleum - l fuels, with emphasis given to utilizing solar and other renewable l energy resources; and l (3) expanding the energy alternatives available to such coun-
- tries, i Assessment and (b) Such program shallinclude cooperation in evaluating the energy l cooperative alternatives of developing countries, facilitating international trade in I projects. energy - commodities, developing energy resources, and applying l suitable energy technologies. The program shall include both general and country-specific energy assessments and cocperative projects in l
resource exploration and production, training, research and development. Experts, (c) As an integral part of such program, the Department of Energy, exchange. under the general policy guidance of the Department of State and in cooperation with the Agency for International Development and other Federal agencies as appropriate, shall initiate, as soon as practicable, a program for the exchange of United States scientists, technicians, and energy experts with those of developing countries to implement the purposes of this section. 3 KL
Appropriation (d) For the purposes of carrying out this section, there is authorized cuthorization. to be appropriated such sums as are contained in annual authorization Acts for the Department of Energy, including such sums which have been authorized for such purposes under previous legislation. (e) Under the direction of the President, the Secretary of State shall ensure the coordination of the activities authorized by this title with other related activities ei the United States conducted abroad, includ-22 USC 2151a, ing the programs authorized by sections 103(c),106(a)(2), and 119 of the 2151d,2151q. Foreign Assistance Act of 1961. REPORT Presidential Sec.503. Not later than twelve months after the date of enactment report to of this Act, the President shall report to the Congress on the feasibility Congress. of expanding the cooperative activities established pursuant to section 22 USC 3262 502(c)into an international cooperative effort to include a scientific note. peace corps designed to encourage large numbers of technically trained ve unteers to live and work in developing countries for varying periods cf time for the purpose of engaging in projects to aid in meeting the energy needs of such countries through the search for and utilization of { indigenous energy resources and the application of suitable technology, J including the widespread utilization of renewable and unconventional energy technologies. Such report shall also include a discussion of other mechanisms to conduct a coordinated international effort to develop, demonstrate, and encourage the utilization of such technologies in . developing countries. ' TITLE VI-EXECUTIVE REPORTING REPORTS OF THE PRESIDENT 1 Governmental Sec. 601. (a) The President shall review all activities of Government I nuclear non- departments and agencies relating to preventing proliferation and shall proliferation make a report to Congress in January of 1979 and annually in January of i activities. each year thereafter on the Government's efforts to prevent ' 22 USC 3281 proliferation. This report shall include but not be limited to-(1) a description of the progress made toward- I (A) negotiating the initiatives contemplated in sections 104 ! and 105 of this Act; (B) negotiating the international arrangements or other ! mutual undertakings contemplated in section 403 of this Act; (C) encouraging non-nuclear-weapons states that are not party to the Treaty to adhere to the Treaty or, pending such ! adherence, to enter into comparable agreements with respect l to safeguards and to forswear the development of any nuclear explosive devices, and discouraging nuclear exports to non-nu-clear-weapon states which have not taken such steps; l (D) strengthening the safeguards of the IAEA as contem-l plated in section 201 of this Act; and l (E) renegotiating agreements for cooperation as contem-plated in section 404(a) of this Act; (2) an assessment of the impact of the progress, described in paragraph (1) on the non-proliferation policy of the United States; an explanation of the precise reasons why progress has not 333 [~
i been made on any particular point and recommendations with respect to appropriate measures to encourage progress; and a statement of what legislative modifications, if any, are necessary in hisjudgment to achieve tLe non-proliferation policy of the United ) States; ! (3) a determination as to which non-nuclear-weapon states with which the United States has an agreement for cooperation m l1 effect or under negotiation, if ariy, have-(A) dete:.ated a nuclear device; or (B) refused to accept the safeguards of the IAEA on all of their peaceful nuclear activities; or 1 (C) refused to give specifie assurances that they will :not { manufacture or otherwiec acquire any nuclear explosive de- J vice; or I' (D) engaged in activities involving source or special nuclear material and having direct significance for the manufacture or acquisition of nuclear explosive devices; i (4) an assessment of whether any of the policies set forth in this j Act have, on balance, been counterproductive from the stand- J point of preventing proliferation; I (5) a description of the progress made toward establishing pro-l cedures to facilitate the timely processing of requests for subsequent arrangements and export licenses in order to enhance , the reliability of the Unites States in meeting its commitments to supply nuclear reactors and fuel to nations which adhere to effec-tive non-proliferation policies; current civil (b) In the first report required by this section, the President shall agreements, analyre each civil agreement for cooperation negotiated pursuant to analysis. section 123 of the 1954 Act, and shall discuss the scope and adequacy of the requirements and obligations relating to safeguards and other control therein.
"(6) a description of the implementation of nuclear and nuclear-related dual-use export controls in the preceding calendar year, )
including a summary by type of commodity and destination of- ;
"(A) all transactions for which-
"(i) an export license was issued for any good controlled under section 309(c) of this Act; i
"(ii) an export license was issued under section 109 b. of i
the 1954 Act;
"(iii) approvals were issued under the Export Adminis-tration Act of 1979, or section 109 b.(3) of the 1954 Act, for the retransfer of any item, technical data, component, or substance; or
"(iv) authorizations were made as required by section 57 I b.(2) of the 1954 Act to engage, directly or indirectly, in the production of special nuclear material;
"(B) each instance in which "
"(i) a sanction has been imposed under section 821(a) or section 824 of the Nuclear Proliferation Prevention Act of 1994 or section 102(b)(1) of the Arms Export Control Act;
/
334 3yg' .-
i
"(ii) sales or leases have been denied under section 3(f) of the Arms Export Control Act or transactions prohibited by reason of acts relating to proliferation of nuclear explosive devices as described in section 40(d) of that Act;
"(iii) a sanction has not been imposed by reason of section 821(c)(2) of the Nuclear Proliferation Prevention Act of 1994 or the imposition of a sanction has been delayed under section 102(b)(4) of the Arms Export Control Act; or
"(iv) a waiver of a sanction has been made under-
"(I) section 821(f) or section 824 of the Nuclear Prolifera-tion Prevention Act of 1994,
"(II) section 620E(d) of the Foreign Assistance Act of 1961, or paragraph (5) or (6)(B) of section 102(b) of the Arms Export Control Act,
"(III) section 40(g) of the Arms Export Control Act with respect to the W sentence of section 40(d) of that Act, or
"(IV) sectiw .4 of the Foreign Assistance Act of 1961 with respect Y ,ection 620E of that Act or section 3(f), the last sentence of section 40(d), or 102(b)(1) of the Arms Export Control Act; and
"(C) the progress of those independent states of the former Soviet Union that are non-nuclear-weapon states and of the Baltic states towards achieving the objective of applying full scope safeguards to all their peaceful nuclear activities. Por-tions of the information required by paragraph (6) may be submitted in classified form, as necessary. Any such informa-tion that may not be published or disclosed under section 12(c)(1) of the Export Administration Act of 1979 shall be submitted as confidential.".
(a) DETERMINATION BY THE PRESIDENT.- (1) IN GENERAL-Except as provided in subsection b)(2), the President shall impose the sanction described in subsect(ion (c) if the President determines in writir.g that, on or aftr.r the effective date of this part, a foreign person or a United States person has materially and with requisite knowledge contributed, through the export from the United States or any other country of any goods or technology (as defined in section 830(2)), to the efforts by any l inctividual, group, or non-nuclear-weapon state to acquire unsafe-guarded special nuclear material or to use, develop, produce, ,. stockpile, or otherwise acquire any nuclear explosive device. (2) PERSONS AGAINST WHICH THE SANCTION IS TO BE IMPOSED.-The sanction shall be imposed pursuant to para-graph (1) on-(A) the fereign person or United States person with respect to which the President makes the determination described in that paragraph; (B) any successor entity to that foreign person or United States person; l (C) any foreign person or United States person that is a parent or subsidiary of that person if that parent or subsidiary 335
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materially and with requisite knowledge assisted in the activi-ties which were the basis of that determination; and (D) any foreign person or United States person that is an affiliate of that person if that affiliate materially and with req-uisite knowledge assisted in the acovities which were the basis of that determination and if that affiliate is controlled in fact by that person. (3) OTiiER SANCTIONS AVAILABLE.-The sanction which is required to be impased for activities described in this subsection is in addition to any other sanction which may be im-posed for the same activities under any other provision oflaw. (4) DEFINITION.-For purposes of this subsection, the term
" requisite knowledge" means situations in which a person "knows", as " knowing" is defined in section 104 of the Foreign Corrupt Practices Act cf 1977 (15 U.S.C. 78dd-2).
(b) CONSULTATION WITII AND ACTIONS BY FOREIGN GOVERNMENT OF JURISDICTION.- (1) CONSULTATIONS.-If the President makes a deter-mmation described in subsection (a)(1) with respect to a foreign person, the Congress urges the President to initiate consultations immediately with the government with primary jurisdiction over that foreign person with respect to the imposition of the sanction pursuant to this section. (2) ACTIONS BY GOVERNMENT OF JURISDICTION.- In order to pursue such consultations with that government, the President may delay imposition of the sanction pursuant to this section for up to 90 days. Following these consultations, the Presi-dent shall impose the sanction unless the President determines and certifies in writing to the Congress that that government has taken specific and effective actions, including appropriate penal-ties, to terminate the involvement of the foreign person in the activities described in subsection (a)(1). The President may delay tbc imposition of the sanction for up to an additional 90 days if the President determines and certifies in writing to the Congress that that government is in the process of taking the actions described in the preceding sentence. (3) REPORT TO CONGRESS.-Not later than 90 days after making a determination under subsection (a)(1), the President shall submit to the Committee on Foreign Relations and the Com-mitter on Governmentai Affairs of the Senate and the Committee on Foreign Affairs of the liouse of Representatives a report on the status of consultations with the appropriate government under this subsection, and the basis for any determination under para-graph (2) of this subsection that such government has taken s l (c) pecific SANCTION.- corrective actions. (1) DESCRIPTION OF SANCTION.-The sanction to be imposed pursuant to subsection (a)(1) is, except as provided in paragraph (2) of this subsection, that the United States Govern-ment shall not procure, or enter into any contract for the l 336 s I
procurement of, any goods or services from any person described m subsection (a)(2). (2) EXCEPTIONS.-The President shall not be required to apply or maintain the sanction under this section-(A)in the case of procurement of defense articles or defense services-(i) under existing contracts or subcontracts, including the exercise of options for production quantities to satisfy re-quirements essential to the nat anal security of the United States; (ii)if the President determines in writing that the person or other entity to which the sanction would otherwise be applied is a sole source supplier of the defense articles or services, that the defense articles or services are essential, and that alternative sources are not readily or reasonably available; or (iii)if the President determines in writing that such ar-ticles or services are essential to the national security under defense coproduction agreements; (B) to products or services provided under contracts entered into before the date on which the President publishes his inten-tion to impose the sanction; (C) to-(i) spare parts which are essential to United States pro-ductsor production; (ii) component parts, but not fished products, essential , to United States products or production; or (iii) routine servicing and maintenance of products, to the extent that alternative sources are not readily or reasonably annable; (D) to information and technology essential to United States products or production; or (E) to medical or other humanitarian items. (d) ADVISORY OPINIONS.-Upon the request of any person, the l Secretary of State may,in consultation with the Secretary of Defense, issue in writing an advisory opinion to that person as to whether a proposed activity by that person would subject that person to the sanc- , tion under this section. Any person who relies in good faith on such an advisory opinion which states that the proposed activity would not subject a person to such sanction, and any person who thereafter en-gages in such activity, may not be made subject to such sanction on account of such activity. (e) TERMINATION OF TiiE SANCTION.-The sanction im-l posed pursuant to this section shall apply for a period of at least 12 l months following the imposition of the sanction and shall cease to apply thereafter only if the President determines and certifies in writing to the Congress that- , (1) reliable information indicates that the foreign person or j United States person 'vith respect to which the determination was made under subsection (a)(1) has ceased to aid or abet any indi-e 337 g v
vidual, group, or non-nuclear-weapon state in its efforts to acquire unsafeguarded special nuclear material or any nuclear explosive device, as described in that subsection; and (2) the President has received reliable assurances from the for-eign person or United States person, as the case may be, that such person will not, in the future, aid or abet any individual, group, or non-nuclear-weapon state in its efforts to acquire unsafeguarded special nuclear material or any nuclear explosive device, as de-scribed in subsection (a)(1). (f) WAIVER.- (1) CRITERION FOR WAIVER.-The President may waive the application of the sanction imposed on any person pursuant to this section, after the end of the 12-month period beginning on the date on which that sanction was imposed on that person, if the President determines and certifies in writing to the Congress that the continued imposition of the sanction would have a serious adverse effect on vital United States interests. (2) NOTIFICATION OF AND REPORT TO CON-GRESS.-if the President decides to exercise the waiver authority provided in paragraph (1), the President shall so notify the Congress not less than 20 days before the waiver takes effect. Such notification shall include a report fully articulating the ratio-nale and circumstances which led the President to exercise the waiver authority.* ADDITIONAL REPORTS Reports to Sec. 602. (a) The annual report to the Congress by the Commission Congress. and the Department of Energy which are otherwise required by law Governmental shall also include views and recommendations regarding the policies ! nuclear non- and actions of the United States to prevent proliferation which are the proliferation statutory responsibility of those agencies. The Department's report activities. shall include a detailed analysis of the proliferation implications so 22 USC 3282 advanced enrichment and reprocessing techniques, advanced reactors, and alternative nuclear fuel cycles. This part of the report shallinclude a comprehensive version which includes any relevant classified informa-tion and a summary unclassified version. (b)The reporting requirements of this title are in addition to and not to lieu of any other reporting requirements under applicable law. (c) The Department of State, the Department of Defense, the Arms i Control and Disarmament Agency, the Department of Commerce, the l Department of Energy, and the Commission shall keep the Commit-tecs on Foreign Relations and Oovernmental Affairs of the Senate and the Committee on International Relations of the House of Representa-tives fully and currently informed with respect to their activities to carry out the purposes and policies of this Act and to otherwis: prevent ; proliferation, and with respect to the current activities of foreign na-tions which are of significance from the proliferation standpoint.1
*sec. 6 was added by Pt 10 236 (108 stat 507-511); April 30,19%
1Pubhc law 99 661 (100 stat 4004) (1986) amended sec. 602 (c) and added (f). 338 l 3 y;p
i (d) Any classified portions of the reports required by this Act shall be I submitted to the Senate Foreign Relations Committee and the liouse of International Relations Committee. I Reports to (e) Three years after enactment of this Act, the Comptroller General Congress. shall complete a study and report to the Congress on the i nuclear non- implementation and impact of this Act on the nuclear non-proliferation i proliferation policies, purposes, and objectives of this Act. The Secretaries of State, l policies, study. Energy, Defense, and Commerce and the Commission and the Director shall cooperate with the Comptroller General in the conduct of the study. The report shall contain such recommerdations as the Ccmptroller General deems necessary to support the nuclear non-proliteration policies, purposes, and objectives of this Act. (f 1) The Secretary of Defense stiall have access, on a timely basis,to all m)(formation regarding nuclear proliferation matters which the Sec-retary of State or the Secretary of Energy has or is entitled to have. Such access shall include access to all communications, materials, docu-ments and records relating to nuclear proliferation matters. (2) This subsection does not apply to any intra-departmental docu-ment of the Department of State or the Department of Energy, or any portion of such document, that is solely concerned with internal, confi-dential advice on policy concerning the conduct of interagency deliberations on nuclear proliferation matters.1 SAVINGS CLAUSE 42 USC 2153f. Sec. 603. (a) All orders, determinations, rules, reg &tions, permits, contracts, agreements, certificates, license =, and privileges-(1) which have been issued, made, granted, or allowed to be-come effective in the exercise of functions which are the subject of this Act, by (i) any agency or officer, or part thereof, in exercising ' the functions which are affected by this Act,or (ii) any court of ; competent jurisdiction, and l (2) which are in effect at the time this Act takes effect, shall l' continue in effect according to their terms until modified, termi-nated, superseded, set aside, or repealed as the case may be, by the parties thereto or by any court of competent jurisdiction. 42 USC 2153f (b) Nothing in this Act shall affect the procedures or requirements applicable to agreements for cooperation entered into pursuant to l 42 USC 2121, sections 91 c.,144 b., or 144 c of the 1954 Act or arrangements l 2164. pursuant thereto as it was in effect immediately prior to the date of enactment of this Act. Effective date. (c) Except where otherwise proe;ded, the provisions of this Act sball 22 USC 3201 take effect immediately upcm enactment regardless of any re,quirement note. for the pumulgation of regulations to implement such provisions. Approved March 10,1978. 1Pubhc tm 99461 (100 stat 4004) (1986) amended sec. 602 (c) and added (f). 339
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i :1 INTERNATIONAL ATOMIC ENERGY AGENCY PARTICIPATION I ACT OF 1957 AND THE STATUTE OF Tile INTERNATIONAL ATOMIC ENERGY AGENCY l Public Law 85-177 71 Stat. 5899 l ! An Act To provide for the ap intment of representatives of the United States l of the organs of t International Atomic Energy Agency, and to j make other provisions with respect to the participation of the United , States in that Agency, and for other purposes. ! Be it enacted by the Senate and House of Representatives of the United States ofAmerica in Congress assembled, That this Act may be cited as the " International Atomic Energy Agency Participation Act of 1957". Sec. 2. (a) The President, by and with the advice and consent of the Senate, tchall appoint a representative and a deputy representative of the United States to the International Atomic Energy Agency (herein-after referred to as the " Agency"), who shall hold office at the pleasure of the President. Such representative and deputy representative shall represent the United States on the Board of Governors of the Agency, may represent the United States et the General Conference, and may serve exofficio as United States representative on any organ of that Agency, and shall perform such other functions in connection with the participation of the United States in the Agency as the President may from time to time direct.
' (b) The President, by and with the advice and consent of!Se Senate, may appoint or designate from time to time to attend a specibed session or spec;fied sessions of the General Conference of the Agency a repre- ;
sentative of the United States and such number of alternates as he may determine consistent with the rules of procedure of the General Con-ference. (c) The President may also appoint or designate from time to time such other persons as he may deem necessary to represent the United States in the organs of the Agency. The President may designate any officer of the United States Government, whose appointment is subject to confirmation by the Senate, to act,without additional compensation, for temporary periods as the representative of the United States on the Board of Governors or to the General Conference of the Agencyin the absence or disability of the representative and deputy representative appointed under section 2(a) or in lieu of such representative in con-nection with a specified subject matter. (d) All persons appointed or designated in pursuance of authority contained in this section shall receive compensation at rates deter-mined by the President upon the basis of duties to be performed but not in excess of rates authorized by sections 411 and 412 of the Foreign Service Act of 1946, as amended (22 U.S.C. 866,867), for Chiefs of Mission and Foreign Service officers occupying positions of equivalent importance, except that no Member of the Senate or House of Repre-340 [^ (l W
sentatives or officer of the United States who is designated under subsection (b) or subsection (c) of this section as a delegate or represen-tative of the United States or as an alternate to attend any specified session or specified sessions of the General Conference shall be en-titled to receive such compensation. Any person who receives com-pensation pursuant to the provisions of this subsection may be granted allowances and benefits not trie exceed those received by Chiefs of Mission and Foreign Service officers occupying positiom of equivalent . importance. I Sec. 3. The participation of the United States in the International Atomic Energy Agency shall be consistent with and in furtherance of the purposes of the Agency set forth in its Statute and the policy con-cerning the development, use, and control of atomic energy set forth in the Atomic Energy Act of 1954, as amended. [The President shall, from time to time as occasion may require, but not less that once each year, make reports to the Congress on the activities of the International Atomic Energy Agency and on the participation of the United States therein.]1 In addition to any other requirements oflaw the Depart-ment of State and the Atomic Energy Commission shall keep the Joint Committee on Atomic Energy, the llouse Committee on Foreign Af-fairs, and the Senate Committee on Foreign Relations, as appropriate. currently informed with respect to the activities of the Agency and the participation of the United States therein. Sec. 4. The representatives provided for in section 2 hereof, when representing the United States in the organs of the Agency, shall, at c') times, act in accordance with the instructions of the President, and such representatives shall, in accordance with such instructions, cast any and all votes under the Statute of the International Atomic Enerry Agency. TIAS 3873 Sec.1 There is hereby authorized to be appropriated annually to the Department of State, out of any money in the Treasury not otherwise appropriated, such sums as may be necessary for the payment by the United States ofits share of the expenses of the International Atomic Energy Agency as apportioned by the Agency in accordance with j paragraph (D) of article XIV of the Statute of the ^igency, and for all necessary salaries and expenses of the representatives provided for in section 2 hereof and of their appropriate staffs, including personal services without regard to the civil service laws and the Classification 5 USC 5101. Act of 1949, as amended, travel expenses without regard to the 5 USC 5701. Standardized Government Travel Regulations, as amended, the Travel 5 USC 5731 Expense Act of 1949, as amended, and section 10 of the Act of March 3, 22 USC 801. 1933, as amended; salaries as authorized by the Foreign Service Act of note. 1946, as amended, or as authorized by the Atomic Energy Act of 1954, as amended, ani expenses and allowances of personnel and dependents as authorized by the Foreign Service Act of 1946, as amended; services as authorized by section 15 of the Act of August 2, 1946 (5 U.S.C. 55a);2 translating and other services, by contract; hire of IPubhc Law 89,348 (79 Stat.1310), sec.1(20), amended Pubhc Law B5 m by repenhng the sequirement of a re. nd t part espa of O ie ta re a 2 Pubhc Im 89-554 (80 $ tat 416) codi6ed sec.15 of the Act of August 11946. as 5 U.S.C. 3109. 341 % 3,5/)
l ' l passenger motor vehicles and other local transportation; printing and binding without regard to section II of the Act of March 1,1919 (44 U.S.C.111); official functions and courtesies; such sums as may be necessary to defray the expenses of United States participation in the Preparatory Commission for the Agency, established pursuant to annex I of the Statute of the Agency; and such other expenses as may be i authorized by the Secretary of State. 5 USC 830L Sec. 6. (a) Notwithstanding any other provision of law, Executive order 5 USC 8701. or regulation, a Federal employee who, with the approval of the Federal agency or the head of the department by which he is employed, leaves his position to enter the employ of the Agency shall not be considered for the purposes of the Civil Service Retirement Act, as amended, and the Federal Employees' Group Life insurance Act of 1954, as amended, as separated from his Federal position during such employment with the Agency but not to extend beyond the first three consecutive years of his entering the employ of the Agency: Provided;(1) That he shall pay to the Civil Service Commission within ninety days from the date he is separated without prejudice from the Agency all necessary deductions and agency contributions for coverage under the Civil Service Retirement Act for the period of his employment by the Agency, and (2) That all deductions and agency contributions necessary for continued coverage under the Federal Employees' Group life Insurance Act of 1954, as amended, sha!! be made during the term of his employment with the International Atomic Energy Agency. If such employee, within three years from the date of his employment with the Agency, and within ninety days from the date he is separated without ! prejudice from the Agency, applies to be restored to his Federal j position, he shall within thirty days of such application be restored to l such position or to a position of like seniority, status and pay.3 (b) Notwithstanding any other provision of law, Executive order or regulation, and Presidential appointee or elected officer who leaves his position to enter, or who within ninety days after the termination of his position enters, the employ of the Agency, shall be entitled to the coverage and benefits of the Civil Service Retirement Act, as amer.ded, and the Federal Employees' Group Life insurance Act of 1954, as amended, but not beyond the earlier of either the termination of his employment with the Agency or the expiration of three years from the , date he entered employment with the Agency: Provided, (1) That he ' shall pay to the Civil Service Commission within ninety days from the date he is separated without prejudice from the Agency all necessary deductions and agency contributions for coverage under the Civil Scr-vice Retirement Act for the period of his employment by the Agency and (2) That all deductions and agency contributions necessary for continued coverage under the Federal Employees' Group Life Insur-ance Act of 1954, as amended, shall be made during the term of his employment with the Agency. 3sec. 7 of Pubhc 1m 85495 (72 $ tat. 959), approved Aug 28.1958 repealed sec.6(a),"escept that h shall be con-a na At ic e gy Ag the a7 ment tuA and a e1 e ae red n e6.tton 6 and Lsr the purpames of any r.ghu and benefits vested thereunder prmt to such date." f~ 342 3Ap
(c) The President is authorized to prescribe such regulations as may be necessary to carry out the provisions of this section and to protect the retirement, insurance and such other civil service rights and privileges as the President may find appropriate. Sec. 7. Section 54 of the Atomic Energy Act of 1954, as amended, is amended by adding the following new sentences: "Unless hereafter otherwise authorized by law the Commission shall be compensated for special nuclear material so distributed at not less than the Commis-sion's published charges applicable to the domestic distribution of such material, except that the Commission to assist and encourage research on peaceful uses or for medical therapy may so distribute without charge during any calendar year only a quantity of such material which at the time of transfer does not exceed in value $10,000 in the case of one nation or $50,000in the case of any group of nations. The Commis-sion may distribute to the International Atomic Energy Agency, or to any group of nations, only such amounts of special nuclear meterials and for such periods of time as are authorized by Congress: Provided, however, That, notwithstanding this provision, the Commission is here-by authorized subject to the provisions of section 123, to distribute to the Agency five thousand kilograms of contained uranium 235, togeth-er with the amounts of special nuclear material which will match in amount the sum of all quantities of special nuclear materials made available by all other members of the Agency to July 1,1960." Sec. 8. In the evnt of an amendment to the Statute of the Agency being adopted in accordance with article XV111-C of the Statute to which the Senate by formal vote shall refuse its advice and consent, upon notification by the Senate to the President of such refusal to advise and consent, all further authority under sections 2,3,4, and 5 of this Act, as amended, shall terminate: Provided, however, That the Sec-retary of State, under such regulations as the President shall promul-
)
gate, shall have the necessary authority to complete the prompt and orderly settlement of obligations and commitments to the Agency al-ready incurred and pay salades, allowances, travel expenses, and other expenses required for a prompt and orderly termination of United States participation in the Agency: Andprovidedfather, That the repre-sentative and the deputy representative of the United States to the !
- Agency, and such other officers or employees representing the United ;
States in the Agency, under such regulations as the President shall ! l promulgate, shall retain their authority under this Act for such time as l may be necessary to complete the setdement of matters arising out of . the United States participation in the Agency. ! Approved August 28,1957. 343 3D.-
STATUTE OF THE INTERNATIONAL ATOMIC ENERGY AGENCY ARTICLE I-ESTABLISHMENT OF THE AGENLY The Parties hereto establish an International Atomic Energy Agency (hereinafter referred to as"the Agency" upon the terms and conditions hereinafter set forth. ARTICLE II-OBJECTIVES The Agency shall seek to accelerate and enlarge the contribution of atomic energy to peace, health, and prosperity throughout the world. It shall ensure, so far as it is able, that assistance provided by it or at its request or under i st supervision or control is not used in such a way as to further any mihary purpose. ARTICLE III-FUNCTIONS A. The Agency is authorized:
- 1. To encourage and assist research on, and development and practical applications of, atomic energy for peaceful uses through-out the world; and, if requested to do so, to act as an intermediary for the purposes of securing the performance of services or the supplying of materials, equipment, or facilities by one member of the Agency for another; and to perform any operation or service useful in research on, or development or practical application of, atomic energy for peaceful purposes.
- 2. To make provision, in accordance with this Statute, for materi-als. services, equipment, and facilities to meet the needs of re-search on, and development and practical application of, atomic energy for peaceful purposes, including the production of electric power, with due consideration for the needs of the underdevel-oped areas of the world.;
- 3. To foster the exchange of scientific and technical information l on peaceful use of atomic energy;
- 4. To encourage the exchange of scientific and training of scien-i tists and experts in the field of peaceful uses of atomie energy;
- 5. To establish and administer safeguards designed to ensure that special fissionable and other materials, sesvices, equipment, facilities, and information made available by the Agency or at its i request or under its supervision or control are not used in a way as to further any military purposes; and to apply safeguards, at the request of the parties, to any bilateral or multilateral arrange-ment, cr at the request of a State, to any of that State's activities in the field of atomic energy;
- 6. To establish or adopt, in consultation and, where appropriate, in collaboration with the competent organs of the United Nations l and with the specialized agencies concerned, standards of safety l for protection of health and minimization of danger to life and property (including such standards for labour conditions), and to provide for the applications of these standards to its own opera-thus as well as to the operations making use of materials, services, equipment, facilitics, and information made available by the Agency or at its request or under its control or supervision; and to M
L I
provide for the application of these standards, at the request of the parties, to operations under any bilateral or multilateral ar-rangement, or, at the request of a State, to any of that State's activities in the field of atomic energy; l
- 7. To acquire or establish any facilities, plant and equipment l useful in carrying out its authorized functions, whenever the facili- ;
ties, plant, and equipment otherwise available to it in the area j concerned are inadequate or available only on terms it deems l unsatisfactory. l B. In carrying out its functions, the Agency shall: j
- 1. Conduct its activities in accordance with the purposes and ;
principles of the United Nations to promote peace and interna- ' tional cooperation, and in conformity with policies of the United Nations furthering the establishment of safeguarded worldwide i disarmament and in conformity with any international agree- l ments entered into pursuant to such policies; )
- 2. Establish control over the use of special fissionable materials received by the Agency,in order to ensure that these materials are used only for peaceful purposes; i
- 3. Allocate its resources in such a manner as to secure efficient utilization and the greatest possible general benefit in all areas of the world, bearing in mind the special needs of the underdevel-oped areas of the world; i
- 4. Submit reports on the activities annually to the General As- !
sembly of the United Nations and, when appropriate, to the Secu-rity Council, if in connection with the activities of the Agency there should arise questions that are within the competence of the Security Council, the Agency shall notify the Security Council, as the organ bearing tne main responsibility for the maintenance of international peace and security, and may also take the measures open to it under this Statute, incliiding those provided in para-graph C of Article XII;
- 5. Submit reports to the Economic and Social Council and other i organs of the United Nations on matters within the competence of l these organs.
C. In carrying out its functions, the Agency shall not make assistance to members subject to any political, economic, military, or other condi-tions incompatible with the provisions of this Statute. D. Subject to the provisions of this Statute and to the terms of agreement concluded between a State or a group of States and the Agency which shall be in accordance with the provisions of the Statute, the activitier of the Agency shall be carried out with due observance of the sovereign rights of States. ! ARTICLE IV-MEMBERSillP A. The initial memFers of the agency shall be those States Members of the Untied Nations or of any of the specialized agencies which shall have signed this Statute within i.inety . lays after it is opened for signa-ture and shall have deposited an instrument or ratification. B. Other members of the Agency shall be those States, whether or not Members of the United Nations or of any of the specialized agencies. m J
which deposit an instrument of acceptance of this Statute after their membership has been approved by the General Conference upon the recommendation of the Board of Governors. In recommending and approving a State for membership, the Board of Governors and the General Conference shall determine that the State is able and willing to carry out the obligations of membership in ie Agency, giving due consideration to its ability and willingness to act in accordance with the purposes and principles of the Charter of the United Nations. C. The Agency is based on the principle of the sovereign equality of all its mcmbers, and all members, in order to ensure to all of them the rights and benefits resulting from membership, shall fulfill in good faith the obligations assumed by them in accordance with this Statute. ARTICLE V--GENERAL CONFERENCE A. A General Conference consisting of representatives of all mem-bers shall meet in regular annual session and in such special sessions as shall be convened by the District General at the request of the Board of Governois or of a majority of members. The sessions shall take place at the headquarters of the Agency unless otherwise determined by the General Conference. B. At such sessions, each member shall be represented by one dele-gate who may be accompanied by alternates and by advisers. The cost of attendance of any delegation shall be borne by the member con-cerned. C. The General Conference shall elect a President and such other officers as may be required at the beginning of each session. They shall hold office for the duration of the session. The General Conference, subject to the provisions of this Statute, shall adopt its mvn rules of procedure. Each member shall have one vote. Decision pursuant to paragraph H of Article XIV, paragraph C of article XV II, and para-graph B of article XIX shall be made by a two-thirds majority of the members present and voting. Decisions on other questions, including the determination of additional questions or categories of questions to be decided by a two-thirds majority, shall be made by a majority of the members present and voting. A majority of members shall constitute a quorum. D. The General Conference may discuss any questions or any matters within the scope of this Statute or relating to the powers and functions of any organs provided for in this Statute, and may make recommenda-tions to the membership of the Agency or to the Board of Governors or to both on any such questions or matters. E. The General Conference shall:
- 1. Elect members of the Board of Governors in accordance with article VI;
- 2. Approve States for membership in accordance with article IV;
- 3. Suspend a merr.ber from the privileges and rights of member-ship in accordance with article XIX;
- 4. Consider the annual report of the Board;
- 5. !n accordance with article XIV, approve the budget of the Agency recommended by the Board or return it with recommen-346 g a
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I dations as to its entirety or parts to the Board, for resubmission to the General Conference; l i
- 6. Approve reports to be submitted to the United Nations as j required by the relationship agreement between the Agency and '
the United Nations, except report referred to in paragraph C of j article XII,or return them to the Board with its recommendations; l
- 7. Approve any agreement or agreements between the Agency ,
and the United Nations and other organizations as provided in i article XVI or return such agreements with its recommendations to the Board, for resubmission to the General Conference;
- 8. Approve rules and limitations regarding the exercise of bor-rowing powers by the Board, in accordance with paragraph G of article XIV; approve rules regarding the acceptance of voluntary contributions to the Agency; and approve, in accordance with
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i paragraph F of article XIV, the manner in which the general fund i referred to in that paragraph may be used; '
- 9. Approve amendments to this Statute in accordance with para-graph C of article XVIII.
- 10. Approve the appointment of the Director Generalin accor-danu: with paragraph A of article VII.
E The General Conference shall have the authority:
- 1. To take decisions on any matter specifically referred to the General Conference for this purpose by the Board;
- 2. To propose matters for consideration by the Board and re-quest from the Board reports on any matter relating to the func-tions of the Agency.
ARTICLE VI-BOARD OF GOVERNORS A. The Board of Governors shall be composed as follows: l
- 1. The outgoing Board of Governors shall designate for mem-bership on the Board the ten members most advanced in the technology of atomic energy including the production of source materials, and the member most cdvanced in the technology of atomic energy including the production of source materials in each of the following areas in which none of the aforesaid ten is located:
(1) North America (2) Latin America (3) Western Europe (4) Eastern Europe (5) Africa (6) Middle East and South Asia (7) South East Asia and the Pacific (8) Far East
- 2. The outgoing Board of Governors (or in the case of the first Board, the Preparatory Commission referred to in Annex I) shall designate for membership on the Board two members from among the following other producers of source materials: Belgium, i Czechoslovakia, Poland, and Portugal; and sha:1 also designate for 1
membership on the Board one other member as a supplier of technical assistance. No member in this category in any one year 347 g y
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will be eligible for redesignation in the same category for the following year.
- 3. The General Conference shall elect ten members to member-ship on the Board of Governors, with due regard to equitable representation on the Board as a whole of the members in the areas listed in subparagraph A-1 of this article, so that the Board shall at all times include in this category a representative of each of those areas except North America. Except for the five members chosen for a term of one year in accordance with paragraph D of this article, no member in this category in any one term of office will be eligible for reelection in this same category for the follow-ing term of office.
B. The designations provided for in subparagraphs A-1 and A-2 of this article shall take place not less that sixty days before each regular annual session of the General Conference. The elections provided for j in subparagraph A-3 of this article shall take place at regular annual i I sessions of the General Conference. C. Members represented on the Board of Governors in accordance with subparagraph A-1 and A-2 of this article shall hold office from the end of the next regular annual session of the General Conference after their designation until the end of the following regular annual session for the General Conference. D. Members represented on the Board of Governors in accordance with subparagraph A-3 of this article shall hold office from the end of j the regular annual session of the General Conference at which they are l clected until the end of the second regular annual session of the Gener- l al Conference thereafter. In the election of these members for the first : Board, however, five shall be chosen for a term of one year. I E. Each member of the Board of Governors shall have one vote. Decisions on the amount of the Agency's budget shall be made by a I two-thirds majority of those present and voting, as provided in para-graph H of article XIV. Decisions on other questions, including the determination of additional questions or categories of questions to be decided by a two-thirds majority, shall be made by a majority of those present and voting. Two-thirds of all members of the Board shall consti- j tute a quorum. 1 E The Board of Governors shall have authority to carry out the functions of the Agency in accordance with this Statute, subject to its responsibilities to the General Conference as provided in the Statute. G. The Board of Governors shall meet at such times as it may deter-mine. The rneetings shall take place at the headquarters of the Agency l unless otherwise determined by the Board. H. The Board of Governors shall elect a Chairman and other officers from among its members and, subject to the provisions of this Statute, shall adopt its own rules of procedure. I. The Board of Governors may establish such committees as it deems advisable. The Board may appoint persons to represent it in its rela-tions with other organizations. J. The Board of Governors shall prepare an annual report to the General Conference concerning the affairs of the Agency - ad any pro-W(
jects approved by the Agency. The Board shall also prepare for submis-sion to the General Conference such reports as the Agency is or may be required to make to the United Nations or to any other organization the work of which is related to that of the Agency. These reports, along with the annual reports, shall be submitted to members of the Agency at least one month before the regular annual session of tit General Con-ference. ARTICLE VII-STAFF A. The staff of the Agency shall be headed by a Director General. The Director General shall be appointed by the Board of Governors with the approval of the General Conference for a term of four years. lie shall be the chief administrative officer of the Agency. B. The Director General shall be responsible for the appointment, organization, and functioning of the staff and shall be under the author-ity of and subject to the control of the Board of Governors. lie shall perform his duties in accordance with regulations adopted by the Board. C. The staff shallinclude such qualified scientific and technical and other personnel as may be required to fulfill the objectives and func-tions of the Agency. The Agency thall be guided by the principal that its permanent staff shall be kept to a minimum. D. The paramount consideration in the recruitment and employment of the staff and in the determination of the conditions of service shall be to secure cinployees of the highest standards of efficiency, technical competence, and integrity. Subject to this consideration, due regard shall be paid to the contributions of members of the Agency and to the importance of recruiting the staff on as wide a geographical basis as possible. E. The terms and conditions on which the staff shall be appointed, renumerated, and dismissed shall be in accordance with regulations made by the Board of Governors, subject to provisions of this Statute and to general rules approved by the General Conference on the rec-ommendation of the Board. E In the performance of their duties, the Director General and the staff shall not seek or recs e instruction from any source external to the Agency. They shall refram from any action which might reflect on their position as officials of the Agency; subject to their responsibilities to the Agency, they shall not disclose any industrial secret or other confiden-tial information coming to their knowledge by reason of their official dutics for the Agency. Each member undertakes to respect the interna-tional character of the responsibilities of the Director General and the staff shall not seek to influence them in the discharge of their duties. G. In this article the arm " staff" includes guards. ' ARTICLE Vill-EXCIIANGE OF INFORMATION A. Each member should make available such information as would,in the judgment of the member, be helpful to the Agency. B. Each member shall make available to the Agency all scientific information developed as a result of assistance extended by the Agency pursuant to article XI. 3 Q-1 L
i C. The Agency shall assemble and make available in an accessible form the information made available to it under paragraphs A and B of this article. It shall take positive steps to encourage the exchange among its members ofinformation relating to the nature and peaceful uses of atomic energy and shall serve as an intermediary among its members for this purpose. ARTICLE IX-SUPPLYING OF MATERIALS A. Members may make available to the Agency such quantities of special fissionable materials, as they deem advisable and on such terms as shall be agreed with the Agency. The materials made availah!c to the I Agency may, at the discretion of the member making them available, be stored either by the member concerned or, with the agreement of the Agency,in the Agency's depots. B. Members may also make available to the Agency source materials ! as defined in article XX and other materials. The Board of Governors 1 shall determine the quantities of such materials which the Agency will accept under agreements provided for in article XIII. C. Each member shall notify the Agency of the quantities, form, and composition of special fissionable materials, source materials, and oth-er materials whiuh that mernber is prepared, in conformity with its laws, to make available immediately or during a period specified by the Board of Governors. D. On request of the Agency a member shall, from the materials which it has made available, without delay deliver to another member I or group of members such quantities of such maurials as the Agency l may specify, and shall without delay deliver to tl. :: Agency itself such quantities of such materials as are really necessara for operations and scientific research in the facilities of the Agency. E. The quantities, form and composition of matet alst made available by any member may be changed at any time by th, member with the l approval of the Board of Governors, i E An initial notification in accordance with pa- agraph C of this ; article shall be made within three months of the entr,. into force of this ' Statute with respect to the member concerned. In <he absence of a contrary decision of the Board of Governors, the n;aterials initially made available shall be for the period of the calendar year succeeding the year when this Statute takes effect with respect o the member concerned. Subsequent notificaticas shalllikewise,in t le absence of a contrary action by the Board, relate to the period of th( calendar year following the notification and shall be made no later than the first day of November of each year. G. The Agency shall specify the place and method of delivery and, where appropriate, the form and composition, of materiah which it has requested a member to deliver from the amounts which t hat member l has notified the Agency it is prepared to make available. The Agency shall also verify the quantities of materials delivered and shall report those quantities periodically to the members. The Agency shall be responsible for storing and protectiru materials
- in its possession. The Agency shall ensure that these materi,ds shall be l safeguarded against (1) hazards of the weather, (2) unautinrized re-36h-
moval or diversion, (3) damage or destruction, including sabotage, and (4) forcible seizure. In storing special fissionable materials in its posses-sion, the Agency shall ensure the geographical distribution of these materials in any one country or region of the world. I. The Agency shall as soon as practicable establish or acquire such of the following as may be necessary:
- 1. Plant, equipment, and facilities for the receipt, storage, and issue of materials; j
- 2. Physical safeguards; J
- 3. Adequate health and safety measures;
- 4. Control laboratories for the analysis and verification of mate-rials received;
- 5. Ilousing and administrative facilities for any staff required for the foregoing.
J. The materials made available pursuant to this article shall be used as determined by the Board of Governors in accordance with the provi-sions of this Statute. No member shall have the right to require that the materials it makes available to the Agency be kept separately by the Agency or to designate the specific project in which they must be used. ARTICLE X-SERVICES, EQUIPMENT, AND FACILITIES Members may make available to the Agency services, equipment, and facilities which may be of assistance in fulfilling the Agency's objectives and functions. ARTICLE XI-AGENCY PROJECTS l A. Any r- .mber or group of members of the Agency desiring to set up any project for research on, or development or practical application of atomic energy for peaceful purposes may request the assistance of the Agency in securing special fissionable and other materials, services, l equipment, and facilities necessary for this purpose. Any such request j shall be accompanied by an explanation of the purpose and extent of ! the project and shall be considered by the Board of Governors. B. Upon request, the Agency may also assist any member or group of members to make arrangements to secure necessary financing from outside sources to carry out such projects. In extending this assistance, the Agency will not be required to provide any guarantees or to assume any f'mancial responsibility for the project. l C. The Agency may arrange for the supplying of any materials, ser-vices, equipment, and facilities necessary for the project by one or more l l members or mayitself undertake to provide any or all of these directly, , taking into consideration the wishes of the member or members making ' the request. D. For the purpose of considering the request, the Agency may send into the territory of the member or group of members making the i request a person or persons qualified to examine the project. For this purpose the Agency may, with the approval of the member or group of members making the request, use members of its own staff or employ suitably qualified nationals of any member. l E. Before approving a project under this article, the Board of Gover-nors shall give due ecmsideration to:
I I I 1.The usefulness of the project, including its scientific and tech-nical feasibility;
- 2. The adequacy of plans, funds, and technical personnel to assure the effective execution of the project;
- 3. The adequacy of proposed health and safety standards for l handling and storing materials and for operating facilitics;
- 4. The inability of the member or group of members makmg the request to secure the necessary finances, materials, facilities, j equipment, and services; j
- 5. The equitable distribution of materials and other resources j available to the Agency;
- 6. The special needs of the underdeveloped areas of the world; t 7. Such other matters as may be relevant.
F. Upon approving a project, the Agency shall enter into an agree-ment with the member or group of members submitting the project, l which agreement shall: i
- 1. Provide for allocation to the project of any required special l fissionable or other materials; J
- 2. Provide for transfer of special fissionable materials from their i then place of custody, whether the materials be in the custody of the Agency or of the member making them available for use in Agency projects, to the member or group of members submitting the project, under conditions which ensure the safety of any ship-ment required and meet applicable health and safety standards;
- 3. Set forth the terms and conditions, including charges, on which any materials, services, equipment, and facilities are to be provided by the Agency itself, and,if any such materials, services, I equipment, and facilities are to be provided by a member, the j terms and conditions as arranged for by the member or group of .
members submitting the project and the supplying member; !
- 4. Include undertakings by the member or group of members I submitting the project: (a) that the assistance provided shall not be used in such a way as to further any military purpose; and (b) that the project shall be subject to the safeguards provided for in article XII, the relevant safeguards being specified in the agreement;
- 5. Make appropriate provisions regarding the rights and inter-ests of the Agency and the member or members concerned in any inventions or discoveries, or any patents therein, arising from the project;
- 6. Make appropriate provision regarding settlement ofdisputes;
- 7. Include such other provisions as may be appropriate.
G. The provisions of this article shall also apply where appropriate to a request for materials, services, facilities, or equipment m connection with an existing project. ARTICLE XII-AGENCY SAFEGUARDS A. With respect to any Agency project, or other arrangement where the Agency is requested by the parties concerned to apply safeguards, l the Agency shall have the following rights and responsibilities to the extent relevant to the project or arrangement: 352 AL ./
- 1. To examine the design of specialized equipment and facilities, including nuclear reactors, and to approve it only from the view-point of assuring that it will not further any military 7urpose, that it complies with applicable health and safety standa ds, and that it will permit effective application of the safeguards provided for in this article;
- 2. To require the observance of any health and safety measures prescribed by the Agency;
- 3. To require the maintenance and production of operating records to assist in ensuring accountability for source and special fissionable materials used or prx'uced in the project or arrange-ment; ,
- 4. To call for and receive progress reports;
- 5. To approve the means to be used for the cheniical processing ofirradiated materials solely to ensure that this chemical process-ing will not lend itself to diversion of materials for military pur- 1 poses and will comply with applicable health and safety standards;
. to require that special fissionable materials recovered or pro-duced as a by-product be used for peaceful purposes under, con-tinuing Agency safeguards for research or in reactors, existing or -
under construction, specified by the member or members con-wrned; and to requiu deposit with the Agency of any excess ef t.ny special fissionable materials recovered or produced as a by-prod-uct over what is needed for the above-stated uses in order to I prevent stockpiling of these materials, provided that thereafter at the request of the member or members concerned special fission-able materials so deposited with the Agency shall be returned promptly to the member or members concerned for use under the same provisions as stated as above; C.. To send into the territory of the recipient State or States
- inspectors, designated by the Agency after consultation with the State or States concerned, who shall have access at all times to all places and data and to any person who by reason of his occupation deals with materials, equipment, or facilities which are required by this Statute to be safeguarded, as necessary to account for source and special fissionable materials supplied and fissionable prod-ucts and to determine whether there is a compliance with the undertaking against use in furtherance of any military purpose referred to in subparagraph F-4 of article XI, with the health and safety measures referred to in subparagraph A-2 of this article, and with any other conditions presuibed in the agreement be-tween the Agency and the State or States concerned. Inspectors designated by the Agency shall be accompanied by representatives of the authorities of the State concerned,if that State so requests, l provided that the inspectors shall not thereby be delayed or other- l wise impeded in the exercise of their functions.
- 7. In the event of noncompliance and failure by the recipient 3 tate or States to take requested corrective steps within a reason-able time, to suspend er terminate assistance and withdraw any l 1
i (36L- . l l m
l' materials and equipment made available by the Agency or a mem-
. ber in furtherance of the project.
I B. The Agency shall, as necessary, establish a statf ofinspectors. The staff of inspectors shall have the responsibility of examining all opera-tions conducted by the Agency itself to determine whether the Agency is mmplying with the health and safety measures prescribed by it for application to projects subject to its approval, supenision or control, and whether the Agency is taking adequate measures to prevent the source and special fissionable materials in its custody or used or pro-duced in its own operations from being used in furtherance of any military purpose. The Agency shall take remedial action forthw'th to . correct any noncompliance or failure to take adequate measures. C. The staff ofinspectors shall also have the responsibility of obtain-ing and verifying the accounting referred toin subparagraph A-6 of this article and of determining whether there is compliance with the under-taking referred to in subparagraph A-2 of this article, and with all other conditions of the project prescribed in the agreement between the Agency and the State or States concerned. The inspectors shall report any noncompliance to the Director General who shall thereupon trans-mit the report to the Board of Governors. The Board shall call upon the recipient State or States to remedy forthwith any noncompliance which it finds to have occurred. The Board shall report the noncompliance to all members and to the Security Council and General Assembly of the United Nations. In the event of failure of the recipient State or States to take fully corrective action within a reasonable time, the Board may take one or both of the following measures: direct curtailment or sus-pension of assistance being provided by the Agency or by a member, and call for the return of materials and equipment made available to the recipient members or groups of members. The Agency may also, in accordance with article XIX, suspend any noncomplying member from the exercise of the privileges and rights of membership. ARTICLE XIII-REIMBURSEMENT OF MEMBERS Unless otherwise agreed upon between the Board of Governors and i the members furnishing to the Agency materials, semces, equipment, or facilities, the Board shall enter into an agreement with such member providing for reimbursement for the items furnished. ARTICLE XIV-FINANCE A. The Board of Governors shall submit to the General Conference the annual budget estimates for the expenses of the Agency. To facili-tate the work of the Board in this regard, the Director General shall initially prepare the budget estimates. If the General Conference does not approve the estimates, it shall return them together with its recom-mendations to the Board. The Board shall then submit further esti-mates to the General Conference for its approval. B. Expenditures of the Agency shall be classified under the following categories:
- 1. Administrative expenses: These shall include:
(a) Costs of the staff of the Agency other than the staff employed in connection with materials, senices, equipment, j 354 i l i
i and facilities referred to in subparagraph B-2 below; costs of meetings; and expenditures required for the preparation of Agency projects and for the distribution ofinformation; (b) Costs of implementing the safeguards referred to in article XII in relation to agency projects or, under subparn-graph A-5 of article III,in relation to any bilateral or multilm-eral arrangement, together with the costs of handling and stor-age of special fissionable material by the Agency other than the storage and handling charges referred to in paragraph E below;
- 2. Expenses, other than those included in subparagraph 1 of this paragraph in connection with any materials, facilities, plant, and equipment acquired or established by the Agency in carrying out its authorized functions, and the costs of materials, services, equipment, and facilities provided by it under agreements with one or more members.
C. In fixing the expenditures under subparagraph B-1 (b) above, the Board of Governors shall deduct such amounts as are recoverable un-der agreements regarding the application of safeguards between the Agency and parties to bilateral or multilateral arrangements. D. The Board of Governors shall apportion the expenses referred to in subparagraph B-1 above, among members in accordance with a scale to be fixed by the General Conference, in fixing the scale the General Conference shall be guided by the principles adopted by the United Nations in assessing contributions of Member States to the regular budget of the United Nations. E. The Board of Governors shall establish periodically a scale of charges, including reasonable uniform storage and handling charges, for materials, services, equipment, and facilities furnished to members by the Agency. The scale shall be designed to produce revenues for the Agency adequate to meet the expenses and costs referred to in sub-paragraph B-2 above,less any voluntary contributions which the Board of Governors may, in accordance with paragraph F, apply for this pur-pose. The proceeds of such charges shall be placed in a separate fund ( which shall be used to pay members for any materials, services, equip-ment, or facilities furnished by them and to meet other expenses re- - ferred to in subparagraph B-2 above, w'nich may be incurred by the Agency itse f. E Any exces of revenues referred to in paragraph E over the ex- ! penses and cost; there referred to, and any voh ntary contributions to i the Agency, shall be placed in a general fund which may be used as the l Board of Governors, with the approval of the General Conference, may determine. G. Subject to rules and limitations approved by the General Confer-ence, the Board of Governors shall have the authority to exercise bor-rowing powers on behalf of the Agency without, however, imposing on members of the Agency any liability in respect of loans entered into pursuant to this authority, and to accept voluntary contributions made to the Agency. 355 b8~ ; 1 t i
l- H. Decisions of the General Conference on financial questions and of the Board of Governors on the amount of the Agency's budget shall require a two-thirds majority of those present and voting. ARTICLE XV-PRIVILEGES AND IMMUNITIES ! A. The Agency shall enjoy in the territory of each member such legal l~ capacity and such privileges and immunities as are necessary for the exercise of its functions. i B. Driegates of members together with their alternates and advisers, l Govetnors appointed to the Board together with their alternates and ady'.sers, and the Director General and the staff of the Agency, shall cajoy such privileges and immunities as are necessary in the indepen-dent exercise of their functions in connection with the Agency. C. The legal capacity, privileges and immunities referred to in this l article shall be defined in a separate agreement or agreements between the Agency, represented for this purpose by the Director General act-ing under mstructions of the Board of Governors, and the members. ARTICLE XVI-RELATIONSHIP WITH OTilER ORGANIZATIONS A. The Board of Governors, with the approval of the General Con- ! ference, is authorized to enter into an agreement or agreements estab-lishing an appropriate relationship *.;etween the Agency and the United Nations and any other organizations the work of which is related to that of the Agency. B. The agreement or agreements establishing the relationship of the Agency and the United Nations shall provide for:
- 1. Submission by the Agency of reports as provided for in sub-paragraphs B-4 and B-5 of article III;
- 2. Consideration by the igency of resolutions relating to it l adopted by the General Assembly or any of the Councils of the United Nations and the submission of reports, when requested, to l the appropriate organ of the United Nations on the action taken by the Agency or by its members in accordance with this Statute as a result of such consideration.
ARTICLE XVII-SETTLEMENT OF DISPUTES A. Any question or dislute concerning the interpretation or applica-tion of thm Statute which is not settled by negotiation shall be referred to the International Court of Justice in conformity with the Statute of the Court unless the parties concerned agree on another mode of settle-ment. B. The General Conference and the board of Governors are sepa-rately empowered, subject to authorization from the General Assembly of the United Nations, to request the International Court of Justice to give an advisory opinion on any legal question arising within the scope of the Agency's activities. ARTICLE XVill-AMENDMENTS AND WITilDRAWALS A. Amendments to this Statute may be proposed by any member. Certified copies of the text of any amendment proposed shall be pre-pared by the Director General and communicated by him to all raem-l 356 7
.d &&
1 l > l l l l j 1
l bers at least ninety days in advance ofits consideration by the General . Conference. l B. At the fifth annual session of the General Conference following j the coming into force of this Statute, the question of a general review of ' , the provisions of this Statute shall be placed on the agenda of that i ! session. On approval by a majority of the members present and voting, l l the review will take place at the folkwing General Conference. There- {
- after, proposals on the question of a general review of this Statute may '
l be submitted for decision by the General Conference under the same l procedure. C. Amendments shall come into force for all members when: l (i) Approved by the General Conference by a two-thirds major- j ity of those present and voting after consideration of observations submitted by the Board of Governors on each proposed amend- { ment, and (ii) Accepted by two-thirds of all the members in accordance with their respective constitutional processes. Acceptance by a member shall be effected by the deposit of an instrument of accep-tance with the depository Government referred to in paragraph C of article XXI. D. At any time after five y' ears from the date when this Statute shall take effect in accordance with paragraph E of article XXI or whenever a member is unwilling to accept an amendment to this Statute, it may withdraw from the Agency by notice in writing to that effect given to the depository Government referred to in paragraph C of article XXI, which shall promptly inform the Board of Governors and all members. E. Withdrawal by a member from the Agency shall not affect its i contractual obligations entered into pursuant to article XI or its bud-getary obligations for the year in which it withdraws. ARTICLE XIX-SUSPENSION OF PRIVILEGES A. A member of the Agency which is in arrears in the payment ofits financial contributions to the agency shall have navote in the Agencyif the amount ofits arrears equals or exceeds the amount of the cantribu-tions due from it for the preceding twoyears. The General Conference may, nevertheless, permit such a member to vote ifit is satisfied that the failure to pay is due to conditions beyond the control of the member. B. A member which has persistently violated the provisions of this Statute or of any agreement entered into by it pursuant to this Statute may be suspended from the exercise of the privileges and rights of membership by the General Conference acting by a two-thirds majority of the members prc ent and voting upon recommendation by the Board of Governors. ARTICLE XX-DEFINITIONS As used in this Statute:
- 1. The term "special fissionable materials" means pluto-nium-239; uranium-233; uranium enriched in the isotopes 235 or 233; any material containing one or more of the foregoing; and such other fissionable material as the Board of Governors shall 357
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p i from time to time determine; but the term "special fissionable material" does not include source material.
- 2. The term " uranium enriched in the isotopes 235 or 233" means uranium containing the isotopes 235 or 233 or both in an amount such as the abundance ratio of the sum of these isotopes to the isotope 238 is greater than the ratio of the isotope 235 to the
! isotope 238 occurring in nature. l 3. The term " source material" means uranium containing the ! mixture of isotopes occuning in nature; uranium depleted in the l isotope 235; thorium; any of the foregoing in the form of metal, I alk)y, chemical compound, or concentrate; any other material con-l taining one of more of the foregoing in such concentration as the
- Board of Governors shall from time to time determine; and such
! other materials as the Board of Governors shall from time to time l determine. ARTICLE XXI-SIGNATURE, ACCEPTANCE, AND ENTRY INTO FORCE A. This Statute shall be open for signature on 26 October 1956 by all States Members of the United Nations or of any of the specialized agencies and shall remain open for signature by those States for a period of ninety days. B. The signatory States shall become parties to this Statute by deposit of an instrument of ratification. , C. Instruments of ratification by signatory States and instruments of l acceptance by States whose membership has been approved under paragraph B of article IV of this Statute shall be deposited with the l Government of the United States of America, hereby designated as l depository Government. 7 D. Ratification or acceptance of this Statute shall be effected by States in accordance with their respective constitutional processes. l E. This Statute, apart from the Annex, shall come into force when cighteen States have deposited instruments of ratification in accor-dance with paragraph B of this article, provided that such eighteen l States shall include at least three of the following States: Canada, France, the Union of Soviet Socialist Republics, the United Kingdom of l Great Britain and Northern Irebnd, and the United States of America. Instruments of ratification and instruments of acceptance deposited thereafter shall take effect on the date of their receipt. I F. The depository Government shall promptly inform all States signa-tory to this Statute of the date of each deposit of ratification and the date of entry into force of the Statute. The depository Government shall promptly inform all signatories and members of the dates on which States subsequently become parties thereto. G. The Annex to this Statute shall come into force on the first day this Statute is open for signature. ARTICLE XXII-REGISTRATION WITH THE UNITED NATIONS A. This Statute shall be registered by the depository Government pursuant to Article 102 of the Charter of the United Nations.
'58 3G7 L
1 I
l l B. Agreements between the Agency and any member or members, l agreements between the Agency and any organization or other organi-zations, and agreements between members subject to approval of the Agency, shall be registered with the Agency. Such agreements shall be registered by the Agency with the United Nations if registration is required under Article 102 of the Charter of the United Nations. ARTICLE XXill-AUTilENTIC TEXTS AND CERTIFIED COPIES This Statute, done in the Chinese, English, French, Russian and Span-ish languages, each being equally authentic, shall be deposited in the archives of the depository Government. Duly certified copies of this Statute shall be transmitted by the depository Government to the Gov-crnments of the other signatory States and to the Governments of States admitted to membership under paragraph B of Article IV. In witness whereof the undersigned, duly authorized, have signed this Statute. Done at the lleadquarters of the United Natiors, this twenty-sixth day of October, one thousand nine hundred and fifty-six. ANNEX I-PREPARATORY COMMISSION A. A Preparatory Commission shall come into existence on the first day this Statute is open for signature. It shall be composed of one representative each of Australia, Belgium, Brazil, Canada, Czechoslo-vakia, France, India, Portugal, Union of South Africa, Union of Soviet Socialist Republics, United Kingdom of Great Britain and Northern Ireland, and United States of America, and one representative each of six other States to be chosen by the International Conference on the Statute of the International Atomic Energy Agency. The Preparr. tory commission shall remain in existence until this Statute comes into force and thereafter until the general Conference has convened and a Board of Governors has been selected in accordance with Article VI. B. The expenses of the Preparatory Commission may be met by aloan provided by the United Nations and for this purpose the Preparatory Commission shall make the necessary arrangements with the appropri-ate authorities of the United Nations, including arrangements for re- , payment of the loan by the Agency. Should these funds be insufficient, the Preparatory Commission may accept advances from Governments. Such advances may be set off against the contributions of the Govern-ments concerned to the Agency. C. Preparatcry commission snall-
- 1. Elect its own officers, adopt its own rules of procedure, meet as often as necessary, determine its own place of meeting and establish such committees as it deems necessary.
- 2. Appoint an executive secretary and staff as shall be necessary, who shall exercise such powers and perfortns such duties as the Commission may determine;
- 3. Make arrangements for the first session of the General Con-ference, including the preparation of a provisional agenda and draft rules of procedure, such session to be held as soon as possible after the entry into force of this Statute; cy 359 We J!# /.
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- 4. Make designations for membership on the first Board of Governors in accordance with subparagraph A-1 and A-2 and -
paragraph B of Article VI;
- 5. Make studies, reports, and recommendations for the first l session of the General conference and for the first meeting of the
[ Board of Governors on subjects of concern to the Agency requir-ing immediate attention,- including (a) the financing of the Agency; (b) the programs and budget for the first year of the Agency; (c) technical problems relevant to advance planning of l Agency operations; (d) the establishment of a permanent Agency l staff; and (e) the location of the permanent headquarters of the Agency;
- 6. Make recommendations for the first meeting of the Board of Governors concerning the provisions of a headquarters agree-ment defining the status of the Agency and the rights and obliga-tions which will exist in the relationship between the Agency and the host Government;
- 7. (a) Enter into negotiations with the United Nations with a
- view to the preparation of a draft agreement in accordance with
! article XVI of this Statute, such draft agreement to be submitted l~ to the first session of the general Conference and to the first l meeting of the Board of Governors; and (b) make recommenda- ! tions to the first session of the General Conference and to the first f t meeting of the Board of Governors concerning the relationship of the Agency to other international organizations as contemplated in article XVI of this Statute. l
SUMMARY
OF THE STATUTE OF THE INTERNATIONAL ATOMIC ENERGY AGENCY l ARTICLES I AND 11 l The statute upon its entry into force will establish the International i Atomic Energy Agency, the basic objective of which is to seek to accel- ) ! erate and enlarge the contribution of atomic energy to peace, health, i and prosperity throughout the world without at the same time further-ing any military purpose. j ARTICLE III I The functions of the Agency set forth in article 111 of the statute are (a) to encourage and assist research on, and development and practical application of, atomic energy for peaceful purposes throughout the world; (b) to make provisions for materials, services, equipment, and - l facilities needed to carry out the foregoing purposes; (c) to foster the ' exchange of scientific and technical information on, and the exchange and training of sciertist and experts in, the peaceful uses of atomic energy; (d) to estai hh and administer safeguards to ensure that fis- j sionable or other materials, services, equipment, facilities, and infor- 1
- mation with which the Agency deals are not uses to further any military 4 purpose; (e) to participate in the establishment, adoption, and applica- !
tion of standards of safety for the protection of health and the mini-mization of danger to life and property from activities in the field of ! ' 360 % !
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atomic energy; and (f) to acquire or establish any facilities, plant, and equipment useful in carrying out its authorized functions. In carrying out its functions, the Agency is required by the statute (a) I to conduct its activities in accordance with the purposes and principals of the United Nations and, in particular in conformity with United Nations policies furthering the establishment of a safeguarded world-wide disarmament; (b) to control the use of such fissionable materials as are received by the Agency so as to ensure that they are used only for peaceful purposes; (c) to allocate its resources so as to secure efficient utilization and wide distribution of their benefits throughout the world, bearing in mind the special needs of the underdeveloped areas; (d) to submit annual reports on its activities to the General Assembly of the United Nations; (e) when appropriate, to submit reports and informa-tion to the Security Council, Economic and Social Council, and other organs of the United Nations; (f) to refuse to give assistance to member countries under political economic, military, or other conditions that are inconsistent with the statute; and (g) subject to the terms of any agreements that may be made between a state or group of states and the Agency, to give due observance to the sovereign rights of states. ARTICLE IV Initial members of the Agency are to be states members of the United Nations or of any of the specialized agencies which signed the statute within 90 days after it was opened for signature and which deposit instruments of ratification. The following 30 states signed the statute during the period it was open for signature: (From Oct. 26,1956 for a period of 90 days). Afghansistan Byelorussian Soviet Socialist i Albania Republic Argentina Cambodia Australia Canada l Austria Ceylon l Belgium Chile Bolisia China Brazil Colombia Bulgaria Costa Rica Burma Cuba 361 3 7f L f
INTERNATIONAL SECURITY ASSISTANCE AND ARMS EXPORT CONTROL ACT OF 1976 Public Law 94-329 PAGE USC 22 USC Sec. Sec.38 Control of Arr s Exports and Imports . . . . . . . ...... . .. . .363 . .... . .2778 Sec. 669 Nuclear Enrichment and Reprocessing Transfers: Nuclear Detonations . . . . . 368 . . .... 2429 Sec. 670 Nuclear Reprocessing Transfers and Nuclear Detonation . .. . .. 369... .. .2429a 37,2 W-
i \ \ INTERNATIONAL SECURITY ASSISTANCE AND ARMS EXPORT !- CONTROL ACT OF l';76 1 l Public Law 94-329 90 Stat. 729 l l An Act To amend the Foreign Assistance Act of 1961 and the Foreign Military Sales Act, and for other purposes. International Be it enacted by the Senate and House of Representatives of the United. l Security States ofAmerica in Congress assembled, , Assistance and i Arms Export That this Act may be cited as the " International Security Assistance and l Control Act of Arms Export Control Act of 1976". ,
- 1976.
l i 22 USC 2778 TITLE II-CONTROL OF ARMS EXPORTS AND IMPORTS Sec. 38. (a) Presidential Control of Exports and Imports of Defense , Articles and Services, Guidance of Policy, Etc.; Designation of United l States Munitions List; Issuance of Export Licenses; Condition for Ex- 1 port; Negotiations Information ; (1) In furtherance of world peace and the security and foreign policy ' i of the United States, the President is authorized to control the import and the export of defense articles and defense services and to provide foreign policy guidance to persons of the United States involved in the export and import of such articles and services. The President is autho-l rized to designate those items which shall be considered as defense articles and defense senices for the purposes of this section and to promulgate regulations for the import and export of such articles and . services. The items so designated shall constitute the United States Munitions List. (2) Decisions on issuing export licenses under this section shall be i
' made in coordination with the Director of the United States Arms Control and Disarmament Agency, taking into account the Director's assessment as to whether the export of an article would contribute to an -
arms race, aid in the development of weapons of mass destruction, ' i support international terrorism, increase the possibility of outbreak or ' escalation of conflict, or prejudice the development of bilateral or mul-l tilateral arms control or non-proliferation agreements or other ar- 1 rangements. The Director of the Arms Control and Disarmarrent ! Agency is authorized, whenever iSc Director determines that the is-suance of an export license under this section would be detrimental to I i the national security of the United States, to recommend to the Presi-dent that such export license be disapproved.1 (3) In exercising the authorities conferred by this section, the Pres - dent may require that any defense article or defense service be sold under this chapter as a condition of its eligibility for export, and may require that persons engaged in the negotiation for the export of de-fense articles and services keep the President fully and currently in-formed of the progress and future prospects of such negotiations. ' h 103-236 (108 Stat. 497) AprH 30.1994 extended Director's authority 6a sec. 38(a)(2). l e. 363 373. .# l T
r (b) Registration and licensing requirements for manufacturers, ex-porters. or importers of designated defense articles and defense ser-vices (1)(A) As prescribed in rel,u%tions issued under this section, every person (other than an officer or employee of the United States Govern-ment acting in an official capacity) who engages in the business of manufacturing, expm ting, or importing any defense articles or defense services designated by the President under subscetion (a)(1) of this section shall register with the United States Governraent agency charged with the administration of this section, and shall pay a registra-
- ion fe9 which shall be prescribed by such regulations.
(B) A copy of each registration made under this paragraph shall be transmitted to the Secretary of the Treasury for review regarding law enforcement concerns. The Secretary shall report to the President re-
!srding such concerns as necessary.
(2) Except as otherwise specifically provided in regulations issued under subsection (a)(1) of this section, no defense articles or defense services designated by the President under subsection (a)(1) of this section may be exported or imported without a license for such export or import, issued in accordance with this chapter and regulations issued under this chapter, except that no license shall be required for exports or imports made by or for an agency of the United States Government (A) for official use by a department or agency of the United States Government, cr (B) for carrying out any foreign assistance or sales program author ed bylaw and subject to the control of the President by other means. (c) CRIMINAL VIOLATION 5; PUNISHMENT Any perscn who willfully violates any provision of this section or seMion T*19 of this title, or any rule or regulation issued under either section, or who wilifvily, in a registration or license application or tequired repor*., makes any untrue statement of a material fact or omits to state a material fact required to be stated therein or necessary to make the statements therein not misleading, shall upon conviction be fined for each violation not more than $1,000,000 or imprisoned not more than ten yeau, or both. (d) REPEALED. PUB. L 96-70, TITLE III,9 3303(a)(4), SEPT. 27, 1979,93 STAT. 499. (e) ENFORCEMENT POWERS OF PRESIDENT. In carryu.g out functions under this section with respect to the export of defense articles and defense services, the President is authorized to exercise the same powers concerning violations and enforcement which are conferred upon departments, agencies and officials by subsections (c),(d), (e), and (g) of section 11 of the Export Administration Act of 1979 [50 App. U.S C. 2410(c), (d), (c), and (g)], and by subsections (a) and (c) of section 12 of such Act [50 App. U.S.C. 2411(a) and (c)l, subject to the same terms and conditions as are applicable to such powers under such Act [50 App. U.S.C. 2401 et seg.]. Nothing in this subsection shall be construed as authorizing the wahholding ofinfor-mation from the Congress. Notwithstanding section 11(c) of the Ex-port Administration Act of 1979,6e civil penalty for each violation 364 bY _/
r i involving controls imposed on the export of defense articles and def-ensc services under this section may not exceed $500,000. (g)2 IDENTIFICATION OF PERSONS CONVICTED OR SUD- , JECT TO INDICTMENT FOR VIOLATIONS OF CERTAIN PRO-l VISION (1) The President shall develop appropriate mechanisms to identify, in connection with the export licensing process under this section-(A) persons who are the subject of an indictment for, or have been convicted of, a violation imder- 1 (i) this section, l (ix) cection 57,92,101,104,222,224,225, or 226 of the Atomic i Energy Act of 1954 (42 U.S.C. 2077,2122,2131,2134,2272,2274,2275, and 2276),
)
(xi) section 603(b)or(c)of the Comprehensive Anti-Apartheid Act l of 1986 (22 U.S.C. 5113(b) and (c)); (2) The President shall require that each applicant for a license to export an item on the United States Munitions List identify in the i application all consignees and freight forwarders involved in the pro-posed export. (3) If the President deterrv.aes- l (A) that an applicant fo a license to export under this section is the l subject of an indictment for a violation of any of the statutes cited in paragraph (1), l (B) that there is reasonable cause to believe that an applicant for a license to export under this section has violated any of the statutes cited in paragraph (1), or (C) that an applicant for a license to export under this section is ineligible to contract with, or to receive a license or other form i f authorization to import defense articles or defense services from, any agency of the United States Government, the President may disap-
- prove the application. The President shall consider requests by the Secretary of the Treasury to disapprove any export license application based on these criteria.
l (4) A license to export an item an the United States Munitions List i may not be issued to a person-l (A) if that person, or any party to the export, has been convicted of ; violating a statute cited in paragraph (1), or 1 i . (B) if that person, or any party to the export, is at the time of the j license review ineligible to receive export licenses (or other forms of authorization to export) from any agency of the Un:ted States Govern-
)
i ment, except as may be determined on a case-by-case basis by the ) President, after consultation with the Secreta of he Treasury, after a j thorough review of the circumstances surroi F 3 the conviction or ! ineligibility to export and a finding by the President that appropriate l steps have been taken to mitigate any law enforcement concerns. 1 (5) Alicense to export an item on the United States Munitions List may not be issued to a foreign person (other than a foreign govern-ment). 2 Pub. L 99-64 substituted "(g)" for "(f)". 365 3 7{/ l l 1
)
I (6) The President may require a license (or other form of authoriza- l tion) before any item on the United States Munitions List is sold or otherwise transferred to the control or possession of a foreign person or a person acting on behalf of a foreign person. (7) The President shall, in coordination with law enforcement and l national security agencies, develop standards for identifying high-risk exports for regular end-use verification. These standards shall be pub-lished in the Federal Register and the initial standards shall be pub-lisned not later than October 1,1988. (8) Upon request of the Secretary of State, the Secretary of Defense and the Secretary of the Treasury shall detail to the office primarily responsible for export licensing functions under this section, on a non- 1 reimbursable basis, personnel with appropriate expertise to assist in the initial screening of applications for export licenses under this section in order to determine the need for further review of those applications for foreign policy, national security, and law enforcement concerns. (9) For purposes of this subsection-(A) the term " foreign corporation" means a corporation that is not incorporated in the United States; (B) the term " foreign government" includes any agency or sub-division of a foreign government, including an official mission of a
)
foreign government; (C) the term " foreign person" means any person who is not a citizen or national of the United States or lawfully admitted to the United States for permanent residence under the Immigration j and Nationality Act [8 U.S.C.1101 et seq.), and includes foreign corporations, international organizations, and foreign govern-ments; (D) the term " party to the export" means-(i) the president, the chief executive officer, and other senior officers of the license applicant; (ii) the freight forwarders or designated exporting agent of the license application; and (iii) any consignee or end user of any item to be exported; and (E) the term " person" means a natural person as well as a corporation, business association, partnership, society, trust, or any other entity, organization, or group, including governmental entities. 22 USC 2778a. EXPORTATION OF URANIUM DEPLETED IN THE ISOTOPE 235. - Upon finding that an export of uranium depleted in the isotope 2.45 is incorporated in defense articles or commodities soWV to take advan-tage of high density or pyrophoric characteristics unrelated to its radio-activity, such exports shall be exempt from the provisions of the Atomic Energy Act of 1954 [a2 U.S.C. 2011 et seq.] and of the Nuclear Non-Proliferadon Act of 1978 [22 U.S.C. 3201 et seq.] when such exports are subject u. tLe controls esthblished under the Arms Export Control Act
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i i [22 U.S.C. 2751 et seq.] or the Export Admini ,tration Act of 1979 [50 l App. U.S.C. 2401 et seq}3 CODIFICATION I Section was enacted as part of the International Security and Devel- I opment Cooperation Act of 1980, and not as part of the Arms Expon t Control Act which comprises this chapter.3 AMENDMENTS j 1987 - Subsec. (b)(1). Pub. L 100-204, w 1255(b), desquated existmg ' provisions as subpar. (A) and added subpar. (B) relating to review by l Secretary of the Treasury of munitions control registrations. ' Pub. L 100-202 designated existing provisions as subpar. (A) and ; added subpar. (B) relating to allowance of return to United States of ; certain military firearms, etc., under certain circumstances. ! Subsec. (b)(3). Pub. L 100-204, S 1255(c), added par. (3). Subsec. (g). 1985 - Subsec. (c), Pub. L 99-83,9119(a), inserted "for each viola-tion" before "not more" and substituted "$1,000,000" for $100,000" and " ten" for "two". Subsec. (e). Pub. L 99-83,9119(b), inserted provisions relating to ! civil penalty for each violation. 1981 - Subsec. (b)(3), Pub. L 97-113, S 106, struck out par. (3), which placed a $100,000,000 ceiling on commercial arms exports of major defense equipment to all countries other than NATO countries, Japan, j Australia, and New Zealand. < Subsec. (f), Pub. L 97-113,9107, added subsec. (f). 1980 - Subsec. (a)(3). Pub. L 96-533, @ 107(c), added para. (3). - Subsec. (b)(3). Pub. L 96-533, S 107(a), iacreased the limitation in the sale of major defense equipment exports to $100,000,000 from
$35,000,000.
1979 - Subsec. (b) (3), Pub. L 96-92 increased the limitation in the sale of major defense equipment exports to $35,000,000 from
$25,000,000.
Subsec. (d). Pub. L 96-70 struck out subsec. (d), which provided that this section applies to and within the Canal Zone. Subsec. (c). Pub. L 96-72 substituted " subsections (c), (d), (c), and (f) of section 11 of the Export Administration Act of 1979, and by subsec-tions (a) and (c) of section 12 of such Act" for " sections 6(c), (d), (e), and (f) and 7(a) and (c) of the Export Administration Act of 1969". 1977 - Subsec. (b)(3). Pub. L 95-92 added provisions relating to exceptions to prohibitions against issuance of licenses under this sec-tion and procedures applicable for implementation of such exceptions. APub. L 96-533, title i,i 110, Dec.16,1980. 94 Stat 3138. 3 Pub. L 90429, ch. 3,6 38, an added Pub, L94.329, utic !!, 5212(a) (1), June 30,1976,90 $ tat 744. and amended 96 72, 9 a 2, , 3 Sta 3 Pub L 96 92, t 9 3 is 70P 53 ti i 107(s), (c), Dec.16.1980,94 Stat. 3136, Pub. L 97-I13. title I il106,107. Dec. 29.1981,95 Stat 1522.) Pub. L 9944, title 1. l 123ta), July 12,1985,99 Stat.156; Pub. L 99-83, title I,9 il9(a), (b), Aug 8.1985,99 Stat 203,204, Pub. L 100 202, i 101(b)l title Yiu $ 8142(a)) Dec. 22,1987,101 Stat 1329-43,1329 88, Pub. L 100 204, tule XII i 1255, Dec. 22,1987,101 Sta 1429-) 367
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~ 22 USC 2304 note. TITLE Ill-GENERuL LIMITATIONS NUCLEAR ENRICHMENT AND REPROFESSING TRANSFERS:
NUCLEAR DETONA*IloNS 22 USC 2429. Sec. 669. Nuclear Enrichment Transfers.3 -(a) Except : provided Assistance, in subsection (b), no funds authorized to be appropriated b) iis Act or cgreements and the Arms Export Control Act may be used for the purpow d providing safeguards. economic assistance (including assistance under chapter 4 of part 11)2 22 USC 2751 providing military assistance or grant military education and training, note. providing assistance under chapter 6 of part 11,3or extending military credits or making guarantees, to any country which, or, or after the date of enactment of the International Security Assistance Act of 1977, delivers nuclear enrichment equipment, materials, or technology to any other country, or receives such equipment, materials, or technology from any other country, unless before such delivery-(1) the supplying country and receiving country have reached agreement to place all such equipment, materials, or technology, upon delively, under multilateral auspices and management when available; and (2) the recipient country has entered into an agreement with the International Atomic Energy Agency to place all such equipment, materials, technology, and all nuclear fuel and facilities m such country under the safeguards system af such Agency. Prehidential (b)(1) Notwithstanding subsection (a)of this section, the President cerification may furnish assistance which would otherwise be prohibited under such trcnsmittal to subsection if he determines and certifies in writing to the Speaker of the Speaker of the llouse of Representatives and the Committee on Foreign Relations of
~ Ilouse and the Senate that -
- congressional (A) the termination of suel assistance would have a serious committee. adverse effect on vital United States interests; and 1Pubhc lane 95-92 (91 StaL 620) (1977) sec.12, struck 6 a old sec. 660 tad inserted new sec. 669. Before amend-
. ment, old sec. 669 read as follows:
Sec. 669. NUCLEAR TRAN51TRS -(a) heept as prtwided in subsectka (b), no funds authartaed to be ap-propriated by this Act or the Arrns bpart Control Act may be used for the purpuse of-(1) providing economic assatance; (2) providmg mihtary or security supporung amistance or nubrary educatma and trainmg; or (3) cateadmg mahtary credise or makmg guarantees; to any country whrb-- ( A) dehvers nuclear reptoressing or enrichment equ(iment, maler6als, or technology to any other country, or (B) receives such equipmrat, amter 6als or techauke from any oiber country; unless before such dehvery-(1) the supplying country and recerving sountry have reached agreement to place allsuch equipment, maler6-ans, and tecanolu m ; upon dehvery, under multilateral auspices and management den available; and (46)the recipies. ~mntry has entered saio an agreement with the laternational Atomic Energy Agency to place su such equipment, material 4 sei bunng), and all nuclear fuel and facihtaes to such country under the safeguards sys. tem of such Agency. (b)(1)Notwithstandmg the provts6ons afsubsecthm (a)of thisacetmn, the President may,ln Esecutive Order effective not less than 30 days lullowing its date et pronmlantion, furnish assistance which would otherwise be prat tb-sted under paragraph (1), d), or (3) of such subwetion Albe deeermmes and certifies in writing to d e Speaker of the 11ouse of Represensatives and the comtnittee on Foreign Relations of the Senate that-(A) the terminatma of such assistance would have a serious adverse effect on vital 1taited stales interests; and (b) he has received rehable assurances that the country in question will not acquire or develop suclear weap-ans or assima other nations in doms so, Such certificaths shan set furth the reasons supporting such determinataca in each partirular case. Q) ( A) The Congress may by josa resolutes terminale or gestract asmatance described as raragraphs (1) through (3) of subsection ta) with respect to a country to wh6ch the prohiblike in such subsection appinen or take any othrt actum wnh respect to such saalstance for sah tuunny an it deems appropriaw. (til Any such Juant resoluthm with respect to e country shall ifintroduced within 30 days after the transmittal of a certificatmo under paragraph (1)with respect tosuch rountry, be consmered in the Senate in accordance with the provamos of section 601(b) of the laternational securtry Assatance and Arms hport Control Act of 1976. 2Public law 95 384 (92 Stat. 734) (1978) sec. 534(a)(4h added the words "(including anatstance onder chapter 4 of part Ilf* and striking "or security supportmg".
$Public 14w95-384 (92 stat. 734)(1978) sec. 554(3), added the words "provkling aantatance under chaurer 6 of part I!.*
'68 3 W, p f l
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(B) he has received reliable assurances that the muntry in ques-tion will not acquire or develc,p nuclear weapons or assist other l l nations in doing so. Such certification shall set forth the reasons ' supporting such determination in each particular case. l Joint resolution. (2) Anyjoint resolution which would terminate or restrict assistance ! (continued) described in subsection (a) with resp ct to a country to which the prohibition in such subsection applies shall, ifintroduced within thirty days after the transmittal of a certification under paragraph (1) of this subsection with respect to och country, be considered in the Senate in accordance with the provisions of section 601(b) of the International Security Assistance and Arms Export Control Act of 1976, 22 USC 2429a. Sec. 670. Nuclear Reprocessing Transfers And Nuclear Detonations.-(a) Except as provided in subsection (b), no funds authorized to be appropriated by this Act or the Arms Export Control l Act may be used for the purpose of providing economic assistance, (including assistance under chapter 4 of part II) providing military or security supporting assistance or grant military education and training, providing assistance under chapter 6 of part II, or extending military credits or making guarantees, to any country which on or after the date of enactment of the International Security Assistance Act of 1977-(1) delivers nuclear reprocessing equipment, materials, or : technology to any other country or receives such equipment, ma-terials, or technology from any other country (except for the trans-fer of reprocessing technology associated with the investigation, under international evaluation programs in which the United States participates, or technologies which are alternatives to pure plutonium reprocessing); or (2) is not a nuclear-weapon state as defined in article IX (3) of the Treaty on the Non-Proliferation of Nuclear Weap(ms and which detonates a nuclear explosive device. Presidential (b)(1) Notwithstanding subsection (a) of this section, the President certification, may furnish assistance which would otherwise be prohibited under such submitted to subsection if he determines and certifies in writing to the Speaker of the l Speaker of the llouse of Representatives and the Committee on Foreign Relations of House and the Senate that the termination of such assistance would be seriously congressional prejudicial to the achievement of United States nonproliferation committee. objectives or otherwise jeopardize the common defense and security. The President shall transmit with such certification a statement setting forth the specific reasons therefor. I
- _ .. m l
369 1 l l 1
l Joint (2) Any joint resolution which would terminate or restrict assistance l resolution. described in subsection (a) with respect to a country to which the prohibition in such subsection applies shall, if introduced within thirty days after the transmittal of a certification under paragraph (1) of this subsection with respect to such country, be considered in the Senate in accotdance with the provisions of section 601(b) of the International l Security Assistance and Arms Export Control Act of 1976.'8 l I I l l i i 1 1 I l I I I I i
~
i 4Pubhc Law 95 92 (91 stat 620) (1977) sec,12, added new acc. 6'10. ny
INTERNATIONAL SECURITY AND DEVELOPMENT COOPERATION ACT OF 1980 Public Law 96-533 PAGE USC
- 42USC l 1
Sec.110 Exportation of Uraniurn Depleted in the Isotope 235. . . .., . . . . 372 . . . .. . 22 USC 2778a i< i 1
)
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INTERNATIONAL SECURITY AND DEVELOPMENT - COOPERATION ACT OF 1980 Public Law 96-533 An Act To authorize appropriations for the fiscal year 1981 for international security and development assistance, the Peace Corps, and refugee assistance, and for other purposes. Be it enacted by the Senate and House of Representatives of the United International States ofAmerica in Congress assembled, Security and Development SHORT TITLE Cooperation Act
, of1980.
' 22 USC 2151 Sec.1. This Act may be cited as the " International Security and note. Development Cooperation Act of 1980".
TITLE I-MILITARY AND RELATED ASSISTANCE AND SALES PROGRAMS EXPORTATION OF URANIUM DEPLETED IN TIIE ISOTOPE 235 22 USC 2778a. Sec.110. Upon a finding that an expert of uranium depleted in the isotope 235 is incorporated in defense articles or commodities solely to take advantage of high density or ppophoric characteristics unrelated to its radioactivity, such exports shall be exempt from the provisions of 42 USC 2011 the Atomic Energy Act of 1954 and of the Nuclear Non-Proliferation note. Act of 1978 when such exports are subject to the contmis estah'ished 22 USC 3201 under theArms Export Control Act or the Export Administration Act of note. 1979. 22 USC 2751 note. Approved Decernber 16,1980. l l 372 l 3P&
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I i i INTERNATIONAL SECURITY AND DEVELOPMENT l COOPERATION ACT OF 1981 Public Law 97-113 PAGE USC 22 USC Sec. Sec.1 Short Title. . . ... . .. . . . . 3 74 . . . ...... 2151 l Sec. 735 Report to Congress . ...... .. . . 3 74 . . 2429a-1 3 Sec. 737 Prohibitions Relating to Nuclear / Transfers and Nuclear Detonation. .. 374 ...... .. 2429a ! Sec. 670 Nuclear Reprocessing Transfers. . . 375 . .. .. 2751 I w,,, 373
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l l r' INTERNATIONAL SECURITY, AND DEVELOPMENT j f COOPERATION ACT OF 1981 1 l Public Law 97-113 95 Stat.1519 An Act To authorize appropriations for the fiscal years 1982 and 1983 for ) international security and development assistance and for the Peace l , Corps, to establish the Peace Corps as an autonomous agency, and for i l other purposes, j Be it enacted by the Senate and House of Representatives of the United States ofAmerica in Congress assembled, , International SHORT TITLE i l Security and Development Ccaperation Sec.1. This Act may be cited as the " International Security and l l Act of 1981. Development Cooperation Act of 1981". 22 USC 2151 note. TITLE VII-MISCELLANEOUS PROVISIONS l REPORTONNUCLEAR ACTITTTIES i Report to Sec. 735. Beginning with the fiscal year 1983 and for each fiscal year l Congress thereafter, the President shall prepare and transmit to the Congress, as l 22 USC 2429a-1. part of the presentation materials for foreign assistance programs proposed for that fiscal year, a classified report describing the nuclear i' programs and related activities of any country for which a waiver of l 22 USC 2429, section 669 or 670 of the Foreign Assistance Act of 1961 is in effect, l 2429a. including an assessment of-l (1) the extent and effectiveness ofinternational Atomic Energy l Agency safeguards at that country's nuclear facilities; and (2) the capability, actions, and intentions of the government of i that country with respect to the manufacture or acquisition of a nuclear explosive device. I PROHIBI110NS RE1ATING *IU NUCLEAR TRANSFERS AND NUCLEAR ' DETONATIONS l 22 USC 2429a Sec. 737. (a) The Congress finds that any transfer of a nuclear explo- l l- note. sive device to a non-nuclear-weapon state or, in the case of a l non-nuclear-weapon state, any receipt or detonation of a nuclear explosive device would cause grave damage to bilateral relations between the United States and that country. 22 USC 2429. (b) Section 669(b)(2) of the Foreign Assistance Act of 1961 is amended to read as follows:
"(2)(A) A certification under paragraph (1) of this subsection shall
- take effect on the date on which the certification is received by the Congress. Ilowever, if, within thirty calendar days after receiving this
!. certification, the Congress adopts a concurrent resolution stating in substance that the Congress disapproves the furnishing of assistance 1 374 3Pg? 3 l
pursuant to the certification, then upon the adoption of that resolution the certification shall cease to be effective and all deliveries of assis- { tance furnished under the authority of that certification shall be sus- l pended immediately. l
"(B) Any concurrent resolution under this paragraph shall be consid-90 Stat. 765. cred in the Senate in accordance with the provisions of section 601(b) of
)
j the International Security Assistance and Arms Export Control Act of 1976.
'(C) For the purpose of expediting the consideration and adoption of concurrent resolutions under this paragraph, a motion to proceed to the consideration of any such resolution after it has been reported by the appropriate committee shall be treated as highly privileged in the ,
Ilouse of Representatives.". l 22 USC 2429a. (c) Section 670 of such Act is amended to read as follows:
"Sec. 670. Nuclear Reprocessing Transfers, Transfers Of Nuclear Ex- j plosive Devices, And Nuclear Detonations.- 1 22 USC 2751 (a)(1) Except as provided in paragraph (2) of this subsection, no funds l note, authorized to be appropriated by this Act or the Arms Export Control i 22 USC 2346. Act may be used for the purpose of providing economic assistance '
22 USC 2348. (including assistance under chapter 4 of part II), providing military i assistance or grant military education and training, providing assistance l 22 USC 2151 under chapter 6 of part II, or extending military credits or making - note. guarantees, to any country which on or after the date of enactment of the International Security Assistance Act of 1977 delivers nuclear l 22 USC 2151 reprocessing equipment, materials, or technology to any other country note. or receives such equipment, materials, or technology from any other country (except for the transfer of reprocessing technology associated with the investigation, under international evaluation programs in which the United States participates, of technologies which are alternatives to pure plutonium reprocessing). Transmittal of "(2) Notwithstanding paragraph (1)of this subsection, the President certification to may furnish assistance which would otnermise be prohibited under that Congress. paragraph if he determines and certifies in writing to the Speaker of the 11ouse of Representatives and the Committee on Foreign Relations of the Senate that the termination of such assit,tance would be seriously i prejudicial to the achievement of United States nonproliferation objectives or othenvisc jeopardize the common defense and security. ! The President shall transmit with such certification a statement setting I forth the specific reasons therefor. Congressional "(3)(A) A certification under paragraph (2) of this subsection shall disapproval, take effect on the date on which the certification is received by the ; Congress. However, if, within 30 calendar days after receiving this j certification, the Congress adopts a concurrent resolution stating in substance that the Congress disapproves the furnishing of assistance pursuant to the certification, then upon the adoption of that resolution the certification shall cease to be effective and all deliveries of assistance furnished under the authority of that certification shall be suspended immediately. 3's d 3W l
, "(B) Any concurrent resolution under this paragraph shall be consid-l cred in the Senate in accordance with the provisions of section 601(b) of the International Security Assistance and Arms Export Control Act of 90 Stat. 765. 1976.
"(C) For the purpose of expediting the consideration and adoption of concurrent resolutions under this paragraph, a motion to proceed to the consideration of any such resolution after it has been reported by the appropriate committee shall be treated as highly privilcged in the
! Ilouse of Representatives.
"(b)(1) Except as provided in paragraphs (2) and (3) of this subsec-tion, no funds authorized to be appropriated by this Act or the Arms l Export Control Act may be used for the purpose of providing economic assistana: (including assistance under chapter 4 of part II), providing mili-22 USC 2751 tary assistance or grant military education and training, providing note. assistance under chapter 6 of part II, or extending military credits or 22 USC 2346. making guarantees, to any country which on or after the date of 22 USC 2458. enactment of the International Security Assistance Act of 1977-
! 22 USC 2151 "(A) transfers a nuclear explosive device to a non-nuclear-l note. weapon state, or j "(B) is a non-nuclear-weapon state and either-
"(i) receives a nuclear explosive device, or
"(ii) detonates a nuclear explosive device.
Tronsmittal of "(2)(A) Notwithstanding paragraph (1) of this subsection, the certification to President may, for a period of not more than 30 days of continuous Congress. session, furnish assistance which would otherwise be prohibited under = l paragraph (1) of this subsection if, before furnishing such assistance, l the President transmits to the Speaker of the llouse of Representatives, and to the chairman of the Committee on Foreign Relations of the Senate, a certification that he has determined that an immediate termination of assistance to that country would be-detrimental to the national security of the United States. Not more l than one such certification may be trammitted for a country with 1 l respect to the same detonation, transfer, or receipt of a nuclear j l explosive device. l "(B) If the President transmits a certification to the Congress under subparagraph (A), a joint resolution which would permit the President J l to exercise the waiver authority of paragraph (3) of this subsection
- shall, if introduced in either House within thirty days of continuous i session after the Congress receives this certification, be considered in the Senate and House of Representatives in accordance with subpara-graphs (C) and (D) of this paragraph.
"(C) Anyjoint resolution under this paragraph shall be considered in the Senate in accordance with the provisions of section 601(b) of the i
International Security Assistance and Arms Export Control Act of 1976.
"(D) For the purpose of expediting the consideration and adoption of l joint resolutions under this paragraph, a motion to proceed to the ,
consideration of such ajoint resolution after it has been reported by the l appropriate cormnittee shall be treated as highly privileged in the llouse of Representatives.
~~~
l 376 l 39,6-I
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" Joint "(E) For purposes of this paragraph, the term ' joint resolution' means resolution." a joint resolution the matter after the resolving clause of which is as follows: 'That the Congress having received on a certification by the President under section 670(b)(2)of the Foreign Assistance Act of 1961 with respect to ' the
, Congress hereby authorizes the 22 USC 2429a. President to exercise the waiver authority contained in section 670(b)(3) of that Act.', with the date of receipt of the certification inserted in the first blank and the name of the country inserted in the j second blank. '
Transmittal of "(3) Notwithstanding paragraph (1) of this subsection,if the Congress - , certification to enacts a joint resolution under paragraph (2) of this subsection, the Congress. President may furnish assistance which would otherwise be prohibited under paragraph (1) if he determines ar.d certifies in writing to the i Speaker of the llouse of Representatives and the Committee on Foreign Relations of the Senate that the termination of such assistance would be seriously prejudicial to the achievement of United States nonproliferation objectives or otherwise jeopardize the common defense and security. The President shall transmit with such ; certification a statement setting forth the specific reasons therefor. I
"(4) For purposes of this subsection, continuity of session is broken !
only by an adjournment of Congress sine die and the days on which either llouse is not in session because of an adjournment of more than three days to a day certain are excluded in the computation of any period of time in which Congress is in continuous session.
"Non-nuclear . "(5) As used in this subsection, the term 'non-nuclear-weapon state' weapon State." means any country which is not a nuclear-weapon state, as defined in 1 article IX(3) of the Treaty on the Non-Proliferation 'of. Nuclear 21 UST 483. Weapons.".
Approved December 29,1981. 1 I 4 k 3F7 l
IT
') . CONVENTION ON THE PHYSICAL PROTECTION OF NUCLEAR MATERIAL IMPLEMENTATION ACT OF 1982 Public Law 97-351
! PAGE USC t 18 USC Sec. I Sec.1 Short Title . . . . . . . . . . . . . . . . . . . . . . . . .379..... ........ 831 I Sec.2 Implementation of Convention and Prohibition of Related Offenses. . . . . . . . 379 . . . . . . . . . . . . . . 831 l Sec.3 Amendment to Definition of i International Organizations Used ! in Dcfining Offenses Against l. t Internationally Protected Persons . . . . 382 . . . .. . . . . . ... I i l I l i I l 1 l l l 1 I l 378
.373 1
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Convention on the Physical Protection of Nuclear MaterialImplementation Act of1982 Public Law 97-351 96 Stat.1663 An Act To amend title 18 of the United States Code to implement the Convention on the Physical Protection of Nuclear Material, and for other purposes. Convention on Be it enacted by the Senate and House ofRepresentatives of the United States the Physical ofAmerica in Congress assembled, Protection of Nuclear Material SHORT TITLE Implementation Act of 1982. Section 1. This Act may be cited as the " Convention on the Physical 18 USC 831 note. Protection of Nuclear Material Implementation Act of 1982". IMPLEMENTATION OF CONVENTION AND PROHIBITION OF RELATED OFFENSES Sec.2. (a) Chapter 390f title 180f the United States Code is amended byinserting after the table of sections at the beginning of such chapter the following new section: 18 USC 83t 6831. Prohibited transactions involving nuclear materials
"(a) Whoever,if one of the circumstances described in subsection (c) of this section occurs-
"(1) without lawful authority, intentionally receives, possesses, uses, transfers, alters, disposes of, or disperses any nuclear materi-al and-
"(A) thereby knowingly causes the death of or serious bodily injury to any person or substantial damage to property; or
"(B) knows that circumstances exist which are likely to cause the death of or serious bodily injury to any person or substan-tial damage to property; ,
"(2) with intent to deprive another of nuclear material, knowing- '
ly-
"(A) takes and carries away nuclear material of another with-out authority; :
} "(B) makes an unauthorized uses, disposition, or transfer, of nuclear material belonging to another; or
"(C) uses fraud and thereby obtains nuclear material belong-ing to another;
"(3) knowingly- )
"(A) uses force; or !
"(B) threatens or places another in fear that any person other !
than the actor will imminently be subject to bodily injury; ! and thereby takes nuclear material belonging to another from the per- j son or presence of any other;
"(4) intentionally intimidates any person and thereby obtains nuclear material belonging to another; i
"(5) with intent to compel any person, international organiza- 1 tion, or governmental entity to do or refrain from doing any act, l l
}
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f , knowingly threatens to engage in conduct described in paragraph j (2)(A) or (3) of this subsection; 96 STAT.1664 "(6) knowingly threatens to use nuclear material to cause death or serious bodily injury to any person or substantial damage to property under circumstances in which the threat may reasonably be understood as an expression of serious purposes;
"(7) attempts to commit an offense under paragraph (1), (2),(3),
or (4) of this subsection; or
"(8)is a party to a conspiracy of two of more persons to commit an offense under paragraph (1), (2), (3), or (4) of this subsection, if any of the parties intentionally engages in any conduct in f arther-ance of such offense; shall be punished as provided in subsection (b) of this section.
"(b) The punishment for an offense under-
, "(1) paragraphs (1) through (7) of subsection (a) of this section ts -
"(A) a fine of not more than $250,000; and
"(B) imprisonment-
"(i) for any term of years t r for life (I) if, while commit-ting the offense, the offende knowingly causes the death of any person; or (II) if, w.ii!e committing an offense
, under paragraph (1) or (3) of subsection (a) of this sec-l tion, the offender, under circumstances manifesting ex-treme indifference to the life of an individual, knowingly I engages in any conduct and therchy recklessly causes the death of cr serious body injury to .ay person; and
"(ii) for not more than 20 years in any other case; and
"(2) paragraph (8) of subsection (a) of this section is-
! "(A) a fine of not more than $250,000; and
"(B) imprisonment-
"(i) for not more than 20 years if the offense which is the l object of the conspiracy is punishable under paragraph 3 (1)(B)(i); and l "(ii) for not more than 10 years in any other case.
l "(c) The circumstances referred to in subsection (a) of this section are 1 ! that- '
"(1) the offense is committed in the United States or the special maritime and territorial jurisdiction of the United States, or the special aircraft jurisdiction of the United States (as defined in section 101 of the Federal Aviation Act of 1958 (49 U.S.C.1301);
"(2) the defendant is a national of the United States, as defined in section 101 of the Immigration and Nationality Act (8 U.S.C 1101);
"(3) at the time of the offense the nuclear material is in use, storage, or transport, for peaceful purposes, and after the conduct required for (he offense occurs the defendant is found in the
, United States, even if the conduct required for the offense occurs outside the United States; or
"(4) the conduct required for the offense occurs with respect to the carriage of a consignment of nuclear material for peaceful l
380 39d
/
purposes by any means of transportation intended to go beyond the territory of the state where the shipment originates beginning
% STAT.1665 with the departure from a facility of the shi, P. in that state and ending with the arrival at a facility of the receiver within the state of ultimate destination and either of such states is the United States.
10 USC 371 "(d) The Attorney General may request assistance from the Secretary ciseq. of Defense undct chapter 18 of title 10 in the enforcement of this g section and the Secretary of Defense may provide such assistance in accordance with chapter 18 of title 10, except that the Secretary cf Defense may proside such assistance through any Department of Defense personnel. 18 USC 1385 "(e)(1) The Attorney General may also request assistance from the Secretary of Defense under this subsection in the enforcement of this section. Notwithstanding section 1385 of this title, the Secretary of Defense may, in accordance with other applicable law, provide such assistance to the Attorney General if-
"(A) an emergency situation exists (asjointly determined by the Attorney General and the Secretary of Defense in their discretion); and
"(B) the provision of such assistance will not adversely affect the military preparedness of the United States (as determined by the Secretary of Defense in such Secretary's discretion).
" Emergency "(3) As used in this subsection. the term 'emergeacy situation' situation. means a circumstance-
"(A) that poses a serious threat to the interests of the United States; and
"(B) iri which-
"(i) enforcement of the law would be seriously impaired if the assistance were not provided; and
"(ii) civilian law enforcements personnel are not capa-ble of enforcing the law.
"(4) Assistance under this section may include-
"(A)use ofpersonnel of the Department of Defense to arrest persons and conduct scarches and seizures with respect to violations of this section; and
"(B) such other activity as is incidental to the enforcement of this section, or to the protection of persons or property from conduct that vio!ctes this section.
"(5) The Secretary of Defense may require reimbursement as a condition of assistance under this section.
"(6) The Attorney General may delegate the Attorney General's function under this subsection only to a Deputy, Associate, or Assistant Attorrey General.
Definitions. "(f) As used in this wection-
"(1) the term ' nuclear material' means material containing any-
"(A) plutonium with an isotopic concentration not in excess of 80 percent plutonium 238; 381 -%
?t/ /s) a
"(B) uranium not in the form of ore or ore residue that contams the mixture ofisotopes as occurring in nature;
"(C) uranium that contains the isotope 233 or 235 or both in such amount that the abundance ratio of the sum of those isotopes to the isotope 238 is greater than the ratio of the isotope 235 to the isotope 238 occurring in nature; or
"(D) uranium 233;
"(2) the term ' international organization' means a public inter-national organization designated as such pursuant to section 1 of the International Organizations Immunities Act (22 U.S.C. 288) or a 96 STAT.1666 public organization created pursuant to treaty or other agreement under international law as an instrument through or by which two or more foreign governments engage in some aspect of their conduct ofinternational affairs;
"(3) the term ' serious bodily injury' means bodily injury which involves-
"(A) a substantial risk of death;
"(B) extreme physical pain;
"(C) protracted and obvious disfigurement; or
"(D) protracted loss or impairment of the function of bodily member, organ, or mentai faculty; and
"(4) the term ' bodily injury' means-
"(A) a cut, abrasion, bruise, burn, or disfigurement;
"(B) physical pain;
"(C) illness;
"(D) impairment of a function of a bodily member, organ, or mental faculty; or
"(E) any other injury to the body, no matter how tempo-rary.".
(b) The table of sections for chapter 39 of title 18 of the United States Code is amended by striking out the items relating to sections 831 through 835 and inserting in lieu thereof the following: -
"831. Prohibited transactions involving nuclear materials.".
AMENDMENT TO DEFINITION OF INTERNATIONAL ORGANI-7ATIONS USED IN DEFINING OFFENSES AGAINST IN-TERNATIONA11Y PROTECTED PERSONS Sec. 3. Section 1116(b)(5) of title 18 of the United States Code is amended by inserting before the period the following: "or a public organization created pursuant to treaty or other agreement under in-ternational law as an instrument through or by which two or more foreign governments engage in some aspect of their conduct ofinterna-tional affairs" Approved October 18,1982. 382 3 5,.2,
f I
. MISCELLANEOUS i
- PAGE Nuclear Non-Proliferation Treaty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 384 L Convention on the Physical Protection of Nucle ar M aterial 4 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 395 i
- Convention on Early Notification of a Nudear Accident . . . . . . . . . . . . . . 397 l
Convention on Assistance in the Case of a Nuclear Accident or Radiological Emerger.cy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 408 Additional Protocol I to the Treaty for the Prohibition
- of Nuclear Weapons in Latin America . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 424 Agreement between the United States of America and the International Atomic Energy Agency for the Application of Safeguards in the United States of America . . . . . . . . . . . . . . . . . . . . . . 445 l j
I AEA Supply Agreements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 479 United States 1.ist of Agreements for Peaceful Nuclear Cooperation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 482
- Agreements for Cooperation in the Use of At omic Energy . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 484 Convention of the Prevention of Marine Poilution by Dumping of Wastes and Other Matters . . . . . . . . . . . . . . . . . . . . . . . . . . 487 Executive Order 10841 (re: International Atomic Energy Cooperation)' . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 500
' Executive Order 10956 (re: Amndt. to E.O. 10841) .................. 502 Executive Order 12058 (re: Functions Relating to Nuclear Non-Proliferation) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 502 Executive Order 12657 (re: FEMA Assistance in Emergency Preparedness) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 507 1
l I 383 h} I i i i i l J
NONPROLIFERATION TREATY l Treaty on the Nonproliferation on Nue' ear Weapons The States concluding this Treaty, hereinafter referred to as the ' Par-ties to the Treaty", Considering the devastation that would be visited upon all mankind by a nuclear war and the consequent need to make every effort to avert the danger of such a war and to take measurements to safeguard the security of peoples, llelieving that the proliferation of nuclear weapons would seriously enhance the danger of nuclear war, In conformity with resolutions of the United Nations General Assem-bly calling for the conclusion of an agreem:nt on the prevention of wider dissemination of nuclear weapons, l Undertaking to cooperate in facihtating the application of Interna-tional Atomic Energy Agency safeguards on peaceful nuclear activities. Expressing their support for research, development and other efforts , to further the application, within the framework of the International ! Atomic Energy Agency safeguards system, of the principle of safe-guarding effectively the flow of source and special fissionable materials by use of instruments and other techniques at certain strategic points, Affirming the principle that the benefits of peaaful applications of nuclear technology, including any technological by-products which may be derived by nuclear-weapon States from the development of nuclear explosive devices, should be available for peaceful purposes to all Par-ties to the Treaty, whether nuclear-weapon or non-nuclear-weapon States, Convinced that, in furtherance of thir principle, all Parties to the Treaty are entitled to participate in the fullest possible exchange of scientific information for, e=1 to contribute alone or in cooperation with other States, to the further development of the applications of atomic energy for peaceful purposes, Declaring their intention to achieve at the earliest possible date the cessation of the nuclear arms race and to undertake effective measures in the direction of nuclear disarmament, Urging the cooperation of all States in the attainment of this objec-tive, Recalling the determination expressed by the Parties to the 1963 Treaty banning nuclear weapon tests in the atmosphere in outer space and under water in its Preamble to seek to achieve the discontinuance of all test explosions of nuclear weapons for all time and to continue negotiations to this end, Desiring to further the easing of international tension and the strengthening of trust between States in order to facilitate the cessation of the manufacture of nuclear weapons, the liquidation of all their existing stockpiles, and the elimination from national arsenals of nu-clear weapons and the means of their delivery pursuant to a treaty on general and complete disarmament under strict and effective interna-tional control, ! 384 5 l-l l
Recalling that, in accordance with the Charter of the United Nations, States must refrain in their international relations from the threat or use of force against the territorial integrity or political independence of any State, or in any other manner inconsistent with the Purposes of the United Nations, and that the establishment and maintenance ofinter-national peace and security are to be promoted with the least diversion for armaments of the world's human and economic resources, IIave agreed as folkws: ARTICLE I Each nuclear-weapon State Party to the Treaty undertakes not to transfer to any recipient whatsoever nuclear weapons or other nuclear explosive devices or control over such weapons or explosive devices directly, or indirectly; and not in any way to assist, encourage, or induce j any non-nuclear-weapon State to manufacture or othetwise acquire i nuclear weapons or other nuclear explosive devices, or control over I such weapons or explosive devices. I ARTICLE II I Each non-nuclear weapon State Party to the Treaty undertakes not to receive the transfer from any transferor whatsoever of nuclear weapons or other nuclear explosive devices or of control over such weapons or explosive devices directly, or indirectly; not to manufacture or other-wise acquire nuclear weapons or other nuclear explosive devices; and . not to seek or receive any assistance in the manufacture of nuclear . weapons or other nuclear explosive devices. " ARTICLE Ill
- 1. Each non-nuclear-weapon State Party to the Treaty undertakes to accept safeguards, as set forth in an agreement to be negotiated and concluded with the Internaticaal Atomic Energy Agency in accordance with the Statute of the International Atomic Energy Agency and the Agency's safeguards system, for the exclusive purpose of verification of the fulfillment of its obligations assumed under this Treaty with a view to preventing diversion of nuclear energy from peaceful uses to nuclear ,
weapons or other nuclear explosive devices. Procedures for the safe- I gt.ards required by this article shall be followed with respect to source i or special fissionable material whether it is being produced, processed - or used in any principal nuclear facility or is outside any such facility. The safeguards required by this article shall be applied on all source or j special fissionable material in all peaceful nuclear activities within the 4 territory of such State, under its jurisdiction, or carried out under its l control anywhere.
- 2. Each State Party 1o the Treaty undertakes not to provide: (a) source or special fissionable material, or (b) equipment or material especially 3
, designed or prepared for the processing, use or production of special ) l fissionable material, to any non-nuclear-weapon State for peac;ful j . purposes, unless the source or special fissionable material shall be sub-l ject to the safeguards required by this article. l 3. The safeguards required by this article shall be implemented in a 3 manner designed to comply with article IV of this Treaty, and to avoid 385 bh ,./
I hampering the economic or technological development of the Parties or international cooperation in the field of peaceful nuclear activities, including ihe international exchange of nuclear material and equip-ment for the processing, use or production of nuclear material for peaceful purposes in accordance with the provisions of this article and the principle of safeguarding set forth in the Preamble of the Treaty.
- 4. Non-nuclear-weapon States Party to the Treaty shall conclude agreements with the International Atomic Energy Agency to meet the requirements of this article either individually or together with other States in accordance with the Statute of International Atomic Energy Agency. Negotiation of such agreements shall commence within 180 days from the original entay into force of this Treaty. For States deposit-ing their instruments of ratification or accession after the 180-day peri-od, negotiation of such agreements shall commence not later than the date of such deposit. Such agreements shall enter into force not later than eighteen months after the date ofinitiation of negotiations.
ARTICLE IV
- 1. Nothing in this Treaty shall be interpreted as affecting the inalien-able right of all the Parties to the Treaty to develop research, production and use of nuclear energy for peaceful purposes without discrimination and in cot.formity with articles I and II of this Treaty. 2. All the Parties to the Treaty undertake to facilitate, and have the right to participate in, the fullest possible exchange of equipment, materials and scientific and technological information for the peaceful uses of nuclear energy. Par-ties to the Treaty in a position to do so shall also cooperate in contribut-ing alone or together with other States orinternational organizations to the further development of the applications of nuclear energy for peaceful purposes, especially in the territories of non-nuclear- weapon States Party to the Treaty, with due consideration for the needs of the developing areas of the world.
ARTICLE V I Each Party to the Treaty undertakes to take appropriate measures to ensure that,in accordance with this Treaty, under appropriate interna-tional observation and through appropriate international procedures, potential benefits from any peaceful applications of nuclear explosions will be made available to non-nuclear weapon States Party to the Treaty on a non-discriminatory basis and that the charge to such Parties.for the , explosive devices used will be as low as possible and uclude any charge ' for research and development. Non-nuclear-weapon States Party to the Treaty shall be able to obtain such benefits, pursuant to a special inter-national agreement or agreements, through an appropriate interna-tional body with adequate representation ef non-nuclear-weapon States. Negotiations on this subject shall commence as soon as possible after the Treaty enters into force. Non-nuclear-weapon States Party to the Treaty so desiring may also obtain such benefits pursuant to bilater-al agreements. ARTICLE VI Each of the Parties to the Treaty undertakes to pursue negotiations in good faith on effective measures relating to cessation of the nuclear 386 s?C***]
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- arms race at an early date and to nuclear disarmament, and on a treaty ,
on general and compete disarmament under strict and effective inter-national control. I ARTICLE VII Nothing in this Treaty affects the right of any group of States to conclude regional treatics in order to assure the total absence of nu. clear weapons in their respective territories. ARTICLE VIII
- 1. Any Party to the Treaty may propose amendments to this Treaty. l The text of any proposed amendment shall be submitted to the Deposi-tary Governments which shall circulate it to all Parties to the Treaty.
Thereupon, if requested to do so by one-third or more of the Parties to the Treaty, the Depositary Governments shall convene a conference, to which they shallinvite all the Parties to the Treaty, to consider such an amendment.
- 2. Any amendment to this Treaty must be approved by a majority of the votes of all the Parties to the Treaty, including the votes of all nuclear-weapon States Party to the Treaty and all other Parties which, on the date the amendment is circulated, are members of the Board of Governors of the International Atomic Energy Agency. The amend- I ment shall enter into force for each Party that deposits its instrument of ratification of the amendment upon the deposit of such instruments of ratification by a majority of all the Parties, including the instruments of ;
ratification of all nuclear-weapon States Party to the Treaty and all ' other Parties which, on the date the amendment is circulated, are mem-bers of the Board of Governors of the International Atomic Energy l Agency. Thereafter, it shall enter into force for any other Party upon the deposit ofits instrument of ratification of the amendment.
- 3. Five years after the entry into force of this Treaty, a conference of Parties to the Treaty shall be held in Geneva, Switzerland, in order to review the operation of this Treaty with a view to assuring that the purposes of the Preamble and the provisions of the Treaty are being i realized. At intervals of five years thereafter, a majority of the Parties to the Treaty may obtain, by submitting a proposal to this effect to the i Depositary Governments, the convening of further conferences with I the same objective of reviewing the operation of the Treaty.
ARTICLE IX
- 1. This Treaty shall be open to all States for signature. Any State which does not sign the Treaty before its entry into force in accordance with paragraph 3 of this article may accede to it at any time.
- 2. This Treaty shall be subject to ratification by signatory States.
Instruments of ratification and instruments of accession shall be depos-ited with the Governments of the United States of America, the United Kinodom of Great Britain and Northern Ireland and the Union of Soviet Socialist Republics, which are hereby designated the Depositary l Governments.
- 3. This Treaty shall enter into force after its ratification by the States, the Governments of which are designated Depositaries of the Treaty, w/
I t I
and forty other States signatory to this Treaty and the deposit of their instruments of ratification. For the purposes of this Treaty, a nuclear-weapon State is one which has manufactured and exploded a nuclear weapon or other nuclear explosive device prior to January 1,1967.
- 4. For States whose instruments of ratification of accession are depos- ,
ited subsequent to the entry into force of this Treaty, it shall enter into ' force on the date of the deposit of their instruments of ratification or accession.
- 5. The Depositary Governments shall promptly inform all signatory and acceding States of the date of each signature, the date of deposit of each instrument of ratification or of accession, the date of the entry into force of this Treaty, and the date of receipt of any requests for conven-ing a conference or other notices.
- 6. This Treaty shall be registered by the Depositary Governments pursuant to article 102 of the Charter of the United Nations.
ARTICLE X
- 1. Each Party shall in exercising its national sovereignty have the right to withdraw from the Treaty if it decides that extraordinary events, related to the subject matter of this Treaty, have jeopardized the su-preme interests of its country. It shall give notice or such withdrawal to all oth :r Parties to the Treaty and to the United National Security Council three months in advance. Such notice shall include a statement of the extraordinary events it regards as having jeopardized its supreme interests.
- 2. Twenty-five years after the entiy into force of the Treaty, a confer- I ence shall be convened to decide whether the Treaty shall continue to force indefinitely, or shall be extended for an additional fixed period or periods. This decision shall be taken by a majority of the Parties to the Treaty, i ARTICLE XI This Treaty, the English, Russian, French, Spanish and Chinew ' Tts of which are equally authentic, shall be deposited in the arent 3 Depositary Governments. Duly certified copies of this Trean '
transmitted by the Depositary Governments to the Governmi 6 % signatory and acceding States. IN WITNESS WIIEREOF the undersigned, duly authoriu ' 1 signed this Treaty. DONE in triplicate, at the cities of Washington, London and Moscow, this first day of July one thousand nine hundred sixty-eight. LEGISLATIVE IllSTORY Message from the President transmitting treaty to the Senate, July 9, 1968 (Document Executive 11,90th Cong., second sess.). Referred to the Senate Committee on Foreign Relations, July 9,1968. l IIcarings (public) held before Senate Committee on Foreign Relations jointly with Senate members of Joint Committee on Atomic Energy, l July 10-12 and 17,1968; published under the title " Nonproliferation Treaty, Part 2."
,4 388 y9p
i Reported by Senate Committee on Foreign Relations, September 26, 1968 (Ex. Rept. No. 9,90th Cong., second sess.). Further hearings (public) held before Senate Committee on Foreign Relations, February 18 and 20,1969; published under the title "Non. i proliferation Treaty, Part 2." l Advice and consent to ratification given by Senate: March 13,1969. Treaty ratified by President: March 5,1970. Treaty proclaimed by President; March 5,1970. 21 U.S.T. 483, TIAS 6839. NON. PROLIFERATION TREATY Date of Date of Deposit of Date of Deposit of Accession (A) or Country Signature Ratification Successions (S) Afghanistan . . . . . . . . . . . . . . . . . . . 7/1/68 . . . . . . . . . 2/4/70 . . . . . . . . . . . . . . . j Albania .... ........... ..... ..... ....... ........ . . .. . . . 9/12/90(A) l Alge ria . . .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1/12/95( A) Andorra . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6/25/96(A) Angola.................................................... 10/14/96(A) Antigua and Barbu da . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6/17/85(S) Arge ntina . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2/10/95 (A)
. Arm e nia . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7/15/93( A)
Australia . . . . . . . . . . . . . . . . . . . . . 2/27/70 . . . . . . . . . 1/23/73 ............ . Austr ia . . . . . . . . . . . . . . . . . . . . . . . . 7/1/68 . . . . . . . . . . 6/27/69 ............. Azcrbaijan . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9/22/92(A) B ahamas, The . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. ..
. . . . 8/11n6(S)
Bahrain . . . . . . . . . . . . . ... ...... ....... ............. . . . . 11/3/88(A) Bangladesh ................................. ....... .. . . . . . 8/31n9(A) Barbados . . . . . . . . . . . . . . . . . . . . 7/1/68 . . . . . . . . 2/21/E0 . . . . . . . . . . . . . . . Belarus . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7/22/93 (A) Belgium . . . . . . . . . . . . . . . . . . . . . . . . 8/20/68 . . . . . . . . . 5/2n5 ........ .... B e lize . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8/9/85(S) Beni n . . . . . . . . . . . . . . . . . . . . . . . . . 7/1/68 . . . . . . . . . . . . . . . ...... 10/31/72 , B hu tan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . 5/23/85(A) l Bolivia . . . . . . . . . . . . . . . . . . . . . . . . . . 7/1/68 . . . . . . . . 5/26/70 . . . . ....... l Bosnia and IIerzegovina . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8/15/94(S) Botswana . . . . . . . . . . . . . . . . . . . . . . 7/1/68 . . . . . . . . 4/28/69 . . . . . . . . . . . . . . . B ru nei . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3/26/85 (A) B ulgaria . . . . . . . . . . . . . . . . . . . . . . . . 7/1/68 . . . . . . . . . . . 9/5/69 . . . . . . . . . . . . . . l Burkina Faso . . . . . . . . . . . . . . . . 11/25/68 . . . . . . . . 3/3/70 . . . . . . . . . . . . Burma . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12/2/92(A) Burundi.................................................. 3/19/71(A) { 1 5 389 l J7 cl. el , ( l i i I l l
NON. PROLIFERATION TREATY (continued) Date of Date of Deposit of Date of Deposit of Accession (A) or Cou;try Signature Ratification Successions (S) Cambodia . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6/2n2( A )
. Cameroon . . . . . . . . . . . . . . . . . . . . . 7/17/68 . . . . . . . . . . 1/8/69 . . . . . . . . . . . . . .
Canada . . . . . . . . . . . . . . . . . . . . . . . 7/23/68 . . . . . . . . . 1/8/69 . . . . . . . . .. Cape Verde . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10/w i9( A) Central African Republic . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10/25/70(A) Chad . . . . . . . . . . . . . . . . . . . . . . . . . . . 7/1/68 . . . . . . . . . . 3/10/71 . . . . . . . . . . . . . . Chile . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5/25/95(A} China . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3/9/92(A) j Colom bia . . . . . . . . . . . . . . . . . . . . . . . 7/1/68 . . . . . . . . . . 4/8/86 . . . . . . . . . . . . . . . Comoros . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10/4/95( A) Congo................................................... .. 10/23/R(A) Costa Rica . . . . . . . . . . . . . . . . . . . . . . . 7/1/68 . . . . . . . . . . . 3/3n0 . . . . . . . . . . . . Cote d'Ivoire . . . . . . . . . . . . . . . . . . . . . . 7/1/68 . . . . . . . . . . . 3/6n3 .. ........... Croa tia . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6/29/92(S) 1 Cyprus . . . . . . . . . . . . . . . . . . . . . . . 7/1/68 . . . . . . . . . 2/10/70 . . . . . . . . . . . . . . Czech Republic . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . , . . . . .. . 1/1/93(S) Denmar k . . . . . . . . . . . . . . . . . . . . . . . 7/1/68 . . . . . . . . . . . 1/3/69 . . . . . . . . . . . . . . . ! Djibouti . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10/16/9 6 i Dom i nica . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .... .... 8/10/84(S) Dominican Republic . . . . . . . . . . . . 7/1/68 . . . . . . . . . . 7/24n1 ... .......... Ecuador . . . . . . . . . . . . . . . . . . . . . . . . 7/9/68 . . . . . . . . . 3/7/69 . . . . . . . . . . . . . . Egypt ........................ . 7/1/68 . . . . . . . . . 2/26/812 ,,,,,,,,,,,,,, El Salvador . . . . . . . . . . . . . . . . . 7/1/68 . . . . . . . . 7/11n2 . . . . . . . . . . . . . . Equatorial Guinea . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11/1/84( A) Eri tre a . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .... ... . .. 3/16/95(A) Es t onia . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1/7/92(A) Ethiopia . . . . . . . . . . . . . . . . . . . . . . 9/5/68 . . . . . . . . . 2/5/70 . . . . . . . . . . . . . . Fiji . . . . . . . . . . . . . . . . ...
.......... ............... .. ........ 7/1492(S)
Finland . . . . . . . . . . . . . . . . . . . . . . . . 7/1/68 . . . . . . . . . . . 2/5/69 . . . . . . . . . . . . . . France ............... ..
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8/3/92( A)
Gabon........................................... . . . . . . 2/19/74(A) Gambia, The . . . . . . . . . . . . . . . . . . 9/4/68 . . . . . . . . . . 5/12n5 . . . . . . . . . . . . . . . Georgia . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . 3n/94( A) Germany . . . . . . . . . . . . . . . . . 11/28/69 . . . . . . . . . 5/2/752 3 , , ,,,,,,,,,, G hana . . . . . . . . . . . . . . . . . . . . . . . . 7/1/68 . ....... 5/4 9 0 .............. Greece . . . . . . . . . . . . . . . . . . . . . . . . . 7/1/68 . ....... 3/11 0 0 ............... G renada . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9/2n5( S) ! Guatemala . . . . . . . . . . .. . ... 7/26/68 . . . . . . . . . . 9/22n 0 ............... l . - 390 /
%/
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NON.PNi)LIFERATION TREATY (continued) Date of Date of Deposit of ] Date of Deposit of Accession (A) or '. CoIntry Signature Ratification Successions (S) G u ine a . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4/29/85( A) G uinea - Bissau . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8/2006( A) Guyana...................................................... 10/19/93(A) , l i ai t i . . . . . . . . . . . . . . . . . . . . . . . . . . . 7/1/68 . . . . . . . . . . 6/2n0 . . . . . . . . . . . . . . . I loly See . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2/25n 1 (A )2 lionduras . . . . . . . . . . . . . . . . . . . . . . 7/1/68 . . . . . . . . 5/1693 . . . . . . . . . . . . . . . H ungary . . . . . . . . . . . . . . . . . . . . . . . . . 7/1/68 . . . ..... 5/27/69 . . . . . . . . . . . . .
- I cel and . . . . . . . . . . . . . . . . . . . . . . . . . 7/1/68 . . . . . . . . . 7/18/69 . . . . . . . . . . . . . . l Indonesia . . . . . . . . . . . . . . . . . . . . . . . . 3/2n0 . . . . . . . . . 7/12n92 ,,,,,,,,,,,,,,
I ran . . . . . . . . . . . . . . . . . . . . . . . . . 7/1/68 . . . . . . . . . . 2/200 ........... .. Iraq .......... ... .. .
. . . . . . . 7/1/68 . . . . . . . . . 10/29/69 . . . . . . . . . . .
I rcia nd . . . . . . . . . . . . . . . . . . . . . . . . . . 7/1/68 . . . . . . . . . . 7/1/68 ' . . . . . . . . . . . . . . . I taly . . . . . . . . . . . . . . . . . . . . . . . . . . 1/28/69 . . . . . . . 5/2n52 ,,,,,,,,,,,,,, Jamaica . . . . . . . . . . . .. . . . . . . . . 4/14/69 .......... 3/5 9 0 ...... ........ Japan ................. ... . . . . 2/3no . . . . . . . . . . 6/8n62 ............... Jordan . . . . . . . . . . . . . . . . . . . . . . . 7/10/68 . . . . . . . . . 2/1 1n0 . . . . . . . . . . . . . .
. Kazakhstan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2/14/94( A)
Ke nya . . . . . . . . . . . . . . . . . . . . . . . . . 7/1/68 . . . . . . . . 6/11/70 . . . . . . . . . . . . . Ki riba t i . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . ...... 4/18/85(S) Korea, Democratic People's . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12/12/85(A) Republic of I Korea, Republic of . . . . . . . . . . . . . . . . . "> /1/68 . . . . . . . . . 4/23n5 . . . . . . . . . . . . . . l Kuwait . . . . . . . . . . . . . . . . . . . . . . 8/7 5/68 . . . . . . . . . 11/17/892 ,,,,,,, , ,,, Kyrgyzstan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7/5/94(A) Laos . . . . . . . . . . . . . . . . . . . . . . . . . . . 7/1/68 . . . . . . . . . . 2/20n0 . . . . . . . . . . . . . La tvia . . . . . . . . . . . . . . . ....... .. . . . . . . . . . . . . . . . . . . . . . . . . . . . 1/31/92( A) Lebanon ................ ..... .. 7/1/68 . . . . . . . . . . 7/15n0 . . . . . . . . . . . . . . . Lesotho ... ...................... 7/9/68 . . . . . . . . . 5/20n0 . . . . . . . . . . . . . . . Li be ri a . . . . . . . . . . . . . . . . . . . . . . . . . . 7/1/68 . . . . . . . . . . 3/500 . . . . . . . . . . . . . . l Libya ........... .. . . . . . . . . . . 7/18/68 . . . . . . . . . 5/2695 . . . . . . . . . . . . . ; Liechtenstein . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4/20n8 ( A) 2 Lit h u a nia . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9/23/91 ( A) Luxembourg . . . . . . . . . . . . . . . . . . . . 8/14/68 . . . . . . . . . 5/2n5 . . . . . . . . . . . . . . Macedonia, The Former . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4/12/95(S) Yugoslav Republic of M adagascar . . . . . . . . . . . . . . . . . . . . 8/22/68 . . . . . . . . . . 10/890 . . . . . . . . . . . . . M alawi . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2/18/86(S) Malaysia . . . . . . . . . . . . . . . . . . . . 7/1/68 ....... . 3/5/70 . . . . . . . . . . . 7-391 ((,h
.g*
NON-PROLIFERATION TREATY (continued) Date of Date of Deposit of Date of Deposit of Accession (A) or CItntry Signature Ratification Successions (S) M aldives . . . . . . . . . . . . . . . . . . . . . . 9/11/68 . . . . . . . . . . . 4/7/70 . . . . . . . . . . . . . . . M ali . . . . . . . . . . . . . . . . . . . . . . . . . 7/14/69 . . . . . . . 2/10n0 . . . . . . . . . . . . . . . M alta . . . . . . . . . . . . . . . . . . . . . . . . 4/17/69 . . . . . . . . . . . 2/6n0 . . . . . . . . . . . . Marshall Islands ......................... . . . . . . . . . . . . . . . . . . . . 1/30/95(A) M a uri t a nia . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10/26/93(A) M auriti u s . . . . . . . . . . . . . . . . . . . . . . . . . 7/1/68 . . . . . . . . . . . 4/8/69 . . . . . . . . . . . . . . M exi co . . . . . . . . . . . . . . . . . . . . . . . . . 7/26/68 . . . . . . . . . . 1/21/692 ,,,,,,,,,,,,, Micronesia, Federated . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4/14/95(A) States of Moldova.................................................... 10/11/94(A) M o naco . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3/13/95( A) M o ngolia . . . . . . . . . . . . . . . . . . . . . . . . 7/1/68 . . . . . . . . . 5/14/69 . . . . . . . . . . . Morocco . . . . . . . . . . . . . . . . . . . . 7/1/68 . . . . . . . . . . 1 1/27n0 . . . . . . . . . . . .. . . M ozambique . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9/12/90( A) Namibia . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10/2/92 ( A ) N a uru . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6n/82 ( A) Nepal . . . . . . . . . . . . . . . . . . . . . . . . . . 7/1/68 . . . . . . . . . 1/5n0 . . . . . . . . . . . . . Netherlands . . . . . . . . . . . . . . . . . . . 8/20/68 . . . . . . . . . . 5/2n54.. ............ New Zealand . . . . . . . . . . . . . . . . . . 7/1/68 . . . . . . . . . . 9/10/69 .............. Nicaragua . . . . . . . . . . . . . . . . . . . . . . 7/1/68 .......... 3/693 ............... Niger . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10/9/92(A) Nigeria . . . . . . . . . . . . . . . . . . . . . . . . 7/1/68 . . . . . . . . . . 9/27/68 . ...... ...... Norway . . . . . . . . . . . . . . . . . . . . . . 7/1/68 . . . . . . . . . 2/5/69 . . . . . . . . . . . . . . Oma n . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1/23/97(A) Palau............................................ . ....... 4/14/95(A) Panama ... ...... ....... . . . 7/1/68 . , . . . . . . . 1/13n7 . . . . . . . . . . . . . 4 Papua New Guinea . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1/13/82( A) 1 Paraguay ..... ................... 7/1/68 . . . . . . . . . . 2/4RO . . . . . . . . . . . . . . . Peru . . . . . . . . . . . . . . . . . . . . . . . . . . . 7/1/68 . . . . . . . . . 3/3/70 . . . . . . . . . . . . . . . Philippines . . . . . . . . . . . . . . . . . . . . . 7/1/68 . . . . . . . . . 10/502 . . . . . . . . . . . . . Poland . . . . . . . . . . . . . . . . . . . . . . . . 7/1/68 . . . . . . . . . . 6/12/69 . . . . . . . . . . . . . . Po r t u g al . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12/1597(A) Oatar ............................ .................... . . . 4/3/89(A) t Rom a nia . . . . . . . . . . . . . . . . . . . . . . . . 7/1/68 . . . . . . . . . . 2/4n0 . . . . . . . . . . . . . . . 1 Russi a . . . . . . . . . . . . . . . . . . . . . . . 7/1/68 . . . . 3/5R0 . . . . . . . . . . . . . . . . . . . I Rwanda................................................... 5/2005(A) St. Kitts and Nevis . . . . . . . . . . . . . . . . . . . . . . . 4 .... ... ..... ....... 3/22/93(S) St. Lucia..................................................... 12/2899(S) mm 392 kb /
/ )
1 l
i NON-PROLIFERATION TREA'IY (continued) Date of Date of Deposit of Date of Deposit of Accession (A) or Country Signature Ratification Successions (S) St. Vincent and the . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11/6/84(S) Grenadines San M arino . . . . . . . . . . . . . . . . . . . . . 7/1/68 . . . . . . . . . 8/1000 . . . . . . . . . . . . . . Sao Tome and Principe . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7/20/83(A) Saudi Arabia . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10/3/88(A) Senegal . . . . . . . . . . . . . . . . . . . . . . . . 7/1/68 . . . . . . . 12/17n0 . . . . . . . .... Seyche ll es . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ...
. 3/12/85(A)
Sierra Leone . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2/26H5( A) Singapore . . . . . . . . . . . . . . . . . . . . . . 2/5n0 . . . . . . . . 3/10n6 . . . . . . . . . . . . . . Sl ovakia . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1/1/93( S) Slove nia . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4R/92(S) Solomon Islands . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ... .... .. . . . 6/17/81(S) Somalia . . . . . . . . . . . . . . . . . . . . 7/1/68 . . . . . . . . . 3/5/70 . . . . . . . . . . . . . Sou th Africa . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7/10/91(A) Spain . . . . . . . . . . ............................ . ........ .... 11/5/87(A) Sri Lanka . . . . . . . . . . . . . . . . . . . . 7/1/68 . . . . . . .. 3/5 9 9 .............. Sudan . . . . . . . . . . . . . . . . . . . . . 12/24/68 . . . . . . . . . 10/31/73 . . . . . . . . . .. Suriname . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6/30/76( S) Swaziland . . . . . . . . . . . . . . . . . . . . . . 6/24/69 . . . . . . . . . . 12/11/69 . . . . . . . . . . . Sweden . . . . . . . . . . . . . . . . . . . . . 8/19/68 . . . . . . . . . . . 1/9n0 . . . . . . . . . . . . Switzerland . . . . . . . . . . . . . . . . . . . 11/27/69 . . . . . . . . . 3/9972,,,,,, ,,,,,,, Syria . . . . . . . . . . . . . . . . . . . . . . . . . . . 7/1/68 . . . . . . . . 9/24/69 . . . . . . . . . . . . . . Tajikistan . . . . . . . . . . . . . . . . . . . . .. . . ....... ... ............... . 1/17/95(A) Tanzania . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6n/91 ( A ) Thail a nd . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12/2n2(A) l Togo . . . . . . . . . . . . . . . . . . . . . . . . . . 7/1/68 . . . . . . . . . . 2/2600 . . .. ....... l Tonga ... .. ............... ..... ............... ..... .. .... 76 n1(S) Trinidad and Tobago . . . . . . . . . . . . . 8/20/68 . . . . . . . . . 10/30/86 . . ..... ... Tunisi a . . . . . . . . . . . . . . . . . . . . . . . . . . 7/1/68 . . . . . . . . . 2/2690 . . . . . . . . . . . . . . Turkey . . . . . . . . . . . . . . . . . . . . . 1/28/69 .. ..... . 4/17/802 , , , , , , , , , , , , , Turkmenistan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9/29/94( A) Tuvalu . . . . . . . . . . . . . . . . . . . . .. . ................. . .. . .1/1999(S) Uganda................................................. 10/20/82(A) U kraine . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12/5/94( A) United Arab Emirates . . . . . . . . . . . . . . . . . . . . . . . . . . . . ....... 9/26/95(A) i United Kingdom . . . . . . . . . . .. . 7/1/68 . . . . . . . . . . 11/27/685,,, ,,,,,,,,, j United States . . . . . . . . . . . . . . . . . . . . . 7/1/68 . . . . . . . . . . . 3/5n0 . . . . . . . . . . . . . . . ! Uruguay . . . . . . . . . . . . . . . . . . . . . . 7/1/68 . . . . . . . . . 8/3100 . . . . . . . . . . . . I Uzbekistan . . . . . , .......................... ..... .. . ...... . SU/92(A) 4 393 [63 4 1 i i i . r
NON-PROLIFERATION TREATY (continued) Date of Date of Deposit of Date of Deposit of Accession (A) or ! Ccuntry Signature Ratification Successions (S) Ve nezu ela . . . . . . . . . . . . . . . . . . . . . . . . 7/1/68 . . . . . . . . . . 9/25n5 . . . . . . . . . . . . . . . Vietnam . . . . ........ . ..................................... 6/14/82(A) Western Samoa . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3/17DS( A) Yemen . . . . . . . . .. . . . . . . . . . . . . . . 11/14/68 . . . . . . . . . 6/In9 . . . . . . . . . . . . . . . Yugoslavia . . . . . . . . . . . . . . . . . . . . . . . 7/10/68 . . . . . . . . . . 3/4n02 ,,,,,,,,,,,,,,, j Zaire . . . . . . . . . . . . . . . . . . . . . . . . 7/22/68 . . . . . . . . . . . 8/4n0 . . .... ..... Zambia . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5/15/91 (A) Zimbabwe . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9/26/91 (A) l Taiwan 6 .......
........... .... 7/1/68 . . . . . . . . . 1/27n06 , ,, ,, ,
l Dates given are the earliest dates on which a country signed the Treaty or deposited its instrument of ratification or accession or notification of succession-whether in Washing-ton, London, or Moscow. In cases of succession, the effective date of the action may differ from the date of deposit; e.g., it may be effective from the date of independence. IDate of notification of succession. l 2With Statement 3 The German Democratic Reoublic had signed and ratified the Treaty on July 1,1968 and October 31,1969, respectively. 4 Extended to Netherlands An' titles and Aruba. 5 Extended to Anguilla and territories under the territorial sovereignty of the United King-dom. 6 0n January 27,1970, an instrument of ratification was deposited in the name of the Re-public of China. Effective January 1,1979, the United States recognized the People's Re-
- public of China as the sole legal overnment of China. The authorities on Taiwan state
! that they will continue to abide b the provisions of the Treaty and the United States re-l gards them as bound by its oblig tions. January 24,1997 Treaty Affairs, Office of the Legal Advisor Department of State k $ i 1 l l l
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CONVENTION ON EARLY NOTIFICATION OF A NUCLEAR ACCIDENT Adopted September 26,1986, Entered into Force October 27,1986 l THE STATES PARTIES TO THIS CONVENTION, l l AWARE that nuclear activities are being carried out in a number of I States, l NOTING T11AT comprehensive measures have been and are being ; taken to ensure a high level of safety in nuclear activities, aimed at j preventing nuclear accidents and minimizing the consequences of any l such accident, should it occur, DESIRING to strengthen further international co-operation on the safe development and use of nuclear energy, i CONVINCED of the need for States to provide relevant information i about nuclear accidents as early as possible in order that transboundary l radiological consequences can be minimized, ' NOTING the useftdness of bilateral and multilateral arrangements on information exchange in this area, IIAVE AGREED as follows: Article 1 Scope of application l
- 1. This Convention shall apply in the event of any accident involving !
facilities or activities of a State Party or of persons or legal entities { under its jurisdiction or control, referred to in paragraph 2 below, from I which a release of radioactive material occurs or is likely to occur and j which has resulted or may result in an interna *.ional transboundary release that could be of radiological safety significance for another State.
- 2. The facilities and activities referred to in paragraph 1 are the following: j (a) any nuclear reactor wherever located; (b) any nuclear fuel cycle facility; (c) any radioactive waste manage- l ment facility; (d) the transpo:t and storage of nuclear fuels or radioactive wastes; I (e) the manufacture, use, storage, disposal and transport of radioiso-topes for agricultural, industrial, medical and related scientific and research purposes; and (f) the use of radioisotopes for power generation in space objects. O l Article 2 )
l Notification and information In the event of an accident specified in article 1 (hereinafter referred l to as a " nuclear accident"), the State Party referred to in that article l shall: (a) forthwith notify, directly or through the International Atomic j Energy Agency (hereinafter referred to as the " Agency"), those States which are or may be physically affected as specified in article 1 and the 1 397 Vo? ./
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I-Agency of the nuclear accident, its nature, the time of its occurrence and its exact location where appropriate; and
- f. (b) promptly provide the States referred to in subparagraph (a), di-
! rectly or through the Agency, and the Agency with such avadable infor- ! mation relevant to minimizing the radiological consequences in those l States, as specified in article 5. f Article 3 Other Nuclear Accidents L With a view to minimizing the radiological consequences, States Par-t ties may notify in the event of nuclear accidents other than those speci-fied in article 1. Article 4 Functions of the Agency The Agency shall: (a) forthwith inform States Parties, Member States, other States which are or may be physically affected as specified in article 1 and relevant international intergovernmental organizations (hereinafter , referred to as" international organizations") of a notification received L pursuant to subparagraph (a) of article 2; and (b) promptly provide any State Party, Member State or relevant inter-national organization, upon request, with the information received pursuant to sub-paragraph (b) of article 2. Article 5 Inforniation to be provided
- 1. The information to be provided pursuant to subparagraph (b) of article 2 shall comprise the following data as then available to the notifying State Party:
(a) the time, exact location where appropriate, and the nature of the
; nuclear accident; (b) the facility or activity involved; (c) the assumed or established cause and the foreseeable develop-ment of the nuclear accident relevant to the transboundary release of the radioactive materials; (d) the general characteristics of the radioactive release, including, as far as is practicable and appropriate, the nature, probable physical and chemical form and the quantity, composition and effective height of the radioactive release; (e)information on current and forecast meteorological and hydrolog-ical conditions, necessary for forecasting the transboundary release of the radioactive materials; (f) the results of environmental monitoring relevant to the transboun-dary release of the radioactive materials; (g) the off-site protective measures taken or planned; (h) the predicted behavior over time of the radioactive release.
- 2. Such mformation shall be supplemented as appropriate intervals by further relevant information on the development of the emergency situation, includmg its foreseeable or actual termination.
398 .- s YOP - l l
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- 3. Information received pursuant to sub-paragraph (b) of article 2 may be used without restriction, except when such information is pro-l vided in confidence by the notifying State Party.
Article 6 Consultations i A State Party providing information pursuant to subparagraph (b)of l article 2 shall, as far as is reasonably practicable, response promptly to a request for further information or consultations sought by an affected State Party with a view to minimizing the radiological consequences in that State. Article 7 l Competent authorities and points of contact
- 1. Each State Party shall make known to the Agency and to other l States Parties, directly or through the Agency,its competent authorities t
and point of contact responsible for issuing and receiving the notifica-tion and information referred to in article
- 2. Such poir.ts of contact and a bcal point within the Agency shall be available continuously. 2. Each Statu Party shall promptly inform the Agency of any changes that may occur in @ information referred to in paragraph 1.
- 3. The Agency shall maintain an up-to-date list of such national au-thorities and points of contact as well as points of catact of relevant international organizations and shall provide it to States Parties and Member States and to relevant international organizations.
Article 8 Assistance to State Parties The Agency shall, in accordance with its Statute and upon a request of a State Party which does not have nuclear activities itself and borders on l a State having an active nuclear programme but not Party, ctmduct investigations into the feasibility and establishment of an appropriate radiation monitoring system in order to facilitate the achievement of the objectives of this Convention. Article 9 l Bilateral and multilateral arrangements - i
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l In furtherance of their mutualinterests, States Parties may consider, where deemed appropriate, the conclusion of bilateral or multilateral arrangements relating to the subject matter of this Convention. Article 10 Relationship 'to other international agreements l This Convention shall not affect the reciprocal rights and obligations of States Parties under existing international agreements which relate l. l 399 y Ys9 t t-
l l l to the matters covered by this vonvention, or under future mternation-l al agreements concluded in accordance with the object and purpose of 1 ( this Convention. Article 11 l l Settle..'ent of disputes l l
- 1. In the event of a dispute between States Parties, or between a State Party and the Agency, concerning the interpretation or application of this Convention, the parties to the dispute shall consult with a view to the settlement of the dispute by negotiation or by any other peaceful means of settling disputes acceptable to them.
- 2. If a dispute of this character between States Parties cannot be settled within one year from the request for consultation pursuant to paragraph 1, it shall, at the request of any party to such dispute, be submitted to arbitration or referred to the International Court of Jus-tice for decision. Where a dispute is submitted to arbitration, if, within six months from the date of the request, the parties to the dispute are unable to agree on the organization of the arbitration, a party may request the President of the International Court of Justice or the Secre-
^ ,
tary-General of the United Nations to appoint one or more arbitrators. i In cases of conflicting requests by the parties to the dispute, the request i to the Secretary-General of the United Nations shall have priority.
- 3. When signing, ratifying, accepting, approving or acceding to this ,
Convention, a State may 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 for which such a declaration is in force.
- 4. A State Party which made a declaration in accordance with para- !
graph 3 may at any time withdraw it by notification to the depositary. l Article 12 Enty into force J
- 1. This Convention shall be open for signature by all States and Na- l mibia, represented by the United Nations Council for Namibia, at the IMquarters of the International Atomic Energy Agency i<i Vienna and at the Headquarters of the United Nations in New Ycrt, from 26 September 1986 : nd 6 October 1986 respectively, until its entry into .
force or for twelve months, whichever period is longer. !
- 2. A State and Namibia, represented by the United Nations Council l for Namibia, may express its consent to be bound by this Convention '
either by signature, or by deposit of an instrument of ratification, accep- ! tance or approval following signature made subject to ratification, ac-ceptance or approval, or by deposit of an instrument of accession. The instruments of ratification, acceptance, approval or accession shall be deposited with the depositary.
- 3. This Convention shall enter into force thirty days after consent to be bound has been expressed by three States.
i 400 l j/N l l l
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- 4. For each State expressing consent to be bound by this Convention after its entry into force, this Convention shall enter into force for that State thirty days after the date of expression of consent.
- 5. (a) This Convention shall be open for accession, as provided for in this article, by international organizations and regional integration or-ganizations constituted by sovereign States, which have competence in respect of the negotiation, conclusion and application ofinternational 1 agreements in matters covered by this Convention. ;
(b)In matters within their competence such organizations shall, on l their own behalf, exercin the rights and fulfill the obligations which this ' Convention attributes to States Parties. (c) When depositing its instrument of accession, such an organization , shall communicate to the depositary a declaration indicating the extent of its competence in respect of matters covered by this Convention. (d) Such an organization shall not hold any vote additional to those of its Member States. Article 13 Provisional application A State may, upon signature or at any later date before this Conven-tion enters into force for it, declare that it will apply this Convention provisionally. Article 14 Amendments
- 1. A State Party may propose amendments to this Convention. The proposed amendment shall be submitted to the depositary who shall circulate it immediately to all other States Parties.
- 2. If a majority of the States Parties request the depositary to convene a conference to consider the proposed amendments, the depositary shall invite all States Parties to attend such a conference to begin not j sooner than thirty days after the in vitations are issued. Any amendment I adopted at the conference by a two-thirds majority of all States Parties shall be laid down in a protocol which is open to signature in Vienna and New York by all States Parties.
- 3. The protocol shall enter into force thirty days after consent to be bound has been expressed by three States. For each State expressing consent to be bound by the protocol after its entry into force, the protocol shall enter into force for that State thirty days after the date of expression of consent.
Article 15 Denunciation
- 1. A State Party may denounce this Convention by written notification to the depositary.
- 2. Denunciation shall take effect one year folknving the date on which the notification is received by the depositary.
401 7 l
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I i f Article 16 Depositary
- 1. The Director General of the Agency shall be the depositary of this l Convention.
- 2. The Director General of the Agency shall prortptly notify States Parties and all other States of:
(a) each signature of this Convention or any protocol of amendment; (b) each deposit of an instrument of ratification, acceptance, approval or accession concerning this Convention or any protocol of amend-ment; (c) any declaration or withdrawal thereof in sccordance with article 11; (d) any declaration of provisional application of this Convention in accordance with article 13; (e) the entry into force of this Convention and of any amendment thereto; and (f) any denunciation made under article 15. Article 17 Authentic texts and certified copies The original of this Convention, of which the Arabic, Chinese, En-glish, French, Russian and Spanish texts are equally authentic, shall be deposited with the Director General of the International Atomic Ener-gy Agency who shall send certified copies to States Parties and all other States. IN WITNESS WIIEREOF the undersigned, being duly authorized, have signed this Convention, open for signature as provided for in paragraph 1 of article 12. f ADOPTED by the General Conference of the International Atomic ! Energy Agency meeting in special session at Vienna on the twenty -sixth day of September one thousand nine hundred and eighty-six. 1 I l
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i 402 g- - 9 l l 1 1 l l
I i CONVENTION ON EARLY NOTIFICATION OF A NUCLEAR ACCIDENT Signature, ratification, acceptance, approval or accession by States or Organizations Means and date of State / Date of expression of Organization signature consent to be bound Entry into force Afghanistan
- 26 Sep 1986 Algeria
- 24 Sep 1987 Argentina accession
- deposited: 17 Jan 90 17 Feb 1990 Armenia accession deposited: 24 Aug 93 24 Sep 1993 Australia
- 26 Sep 1986 ratification deposited: 22 Sep 87 23 Oct 1987 Austria 26 Sep 1986 ratification deposited: 18 Feb 88 20 Mar 1988 Bangladesh accession deposited: 7 Jan 88 7 Feb 1988 Belarus* 26 Sep 1986 ratification
- 4 deposited: 26 Jan 87 26 Feb 1987 Belgium 26 Sep 1986 Brazil 26 Sep 1986 ratification deposited: 4 Dec 90 4 Jan 1991 Bulgaria
- 26 Sep 1986 ratification
- deposited: 24 Feb 88 26 Mar 1988 Cameroon 25 Sep 1987 Canada
- 26 Sep 1986 ratification deposited: 18 Jan 90 18 Feb 1990 Chile 26 Sep 1986 China
- 26 Sep 1986 ratification
- deposited: 10 Sep 87 11 Oct 1987 Costa Rica 26 Sep 1986 ratification deposited: 16 Sep 91 17 Oct 1991 Cote d'Ivoire 26 Sep 1986 Croatia succession effect from notified: 29 Sep 92 8 Oct 1991 Cuba
- 26 Sep 1986 ratification
- deposited: 8 Jan 91 8 Feb 1991 Cyprus accession i deposited: 4 Jan 89 4 Feb 1989 Czech Republic notified: 24 Mar 93 1 Jan 1993 Democratic People's Republic of Korea
- 29 Sep 1986 Denmark 26 Sep 1986 signature, 26 Sep 86 27 Oct 1986 Egypt 26 Sep 1986 ratification
- deposited: 6 Jul 88 6 Aug 1988 403
CONVENTION ON EARLY NOTIFICATION OF A NUCLEAR ACCIDENT (continued) Means and date of State / Date of expression of Organization signature consent to be bound Entry into force Estonia accession ! deposited: 9 May 94 9 Jun 1994 ' Finland 26 Sep 1986 approval deposited: 11 Dec 86 11 Jan 1987 France
- 26 Sep 1986 approval
- deposited: 6 Mar 69 6 Apr 1989 Gerrnany* 26 Sep 1986 ratification
- deposited: 14 Sep 89 15 Oct 1989 Grcece* 26 Sep 1986 ratification deposited: 6 Jun 91 7 Jul 1991 Guatemala 26 Sep 1986 ratification deposited: 8 Aug 88 8 Sep 1988 Holy See 26 Sep 1986 Hungary
- 26 Sep 1986 ratification
- 1/
deposited: 10 Mar 87 10 Apr 1987 Iceland 26 Sep 1986 ratification deposited: 27 Sep 89 28 Oct 1989 India
- 29 Sep 1986 ratification
- deposited: 28 Jan 88 28 Feb 1988 Indonesia
- 26 Sep 1986 ratification *
, deposited: 12 Nov 93 13 Dec 1993 Iran, Islamic Republic of 26 Sep 1986 Iraq' 12 Aug 1987 ratification * ) deposited: 21 Jul 88 21 Aug 1988 : Ireland
- 26 Sep 1986 ratification i deposited: 1,3 Sep 91 14 Oct 1991 1 Israel. 26 Sep 1986 ratification deposited: 25 May 89 25 Jun 1989 Italy
- 26 Sep 1986 ratification
- deposited: 8 Feb 90 11 Mar 1990 Japan 6 Mar 1987 acceptance j deposited: 9 Jun 87 10 Jul 1987 Jordan 2 Oct 1986 ratification deposited: 11 Dec 87 11 Jan 1988 Korea, Rep. of accession deposited: 8 Jun 90 9 Jul 1990 Latvia accession deposited: 28 Dec 92 28 Jan 1993 Lebanon 26 Sep 1986 Liechtenstein 26 Sep 1986 ratification deposited: 19 Apr 94 20 May 1994 404 1
[- CONVENTION ON EARLY NOTIFICATION t OF A NUCLEAR ACCIDENT (continued) ! Means and date of l State / Date of expression of . l Organization signature consent to be bound Entry into force
- Lithuania accession
! deposited: 16 Nov 94 17 Dec 1994 Luxembourg 29 Sep 1986 Malaysia
- 1 Sep 1987 signature,1 Sep 87 2 Oct 1987 Mali 2 Oct 1986 Mauritius accession
- l deposited: 17 Aug 92 17 Sep 1992 Mexico 26 Sep 1986 ratification deposited: 10 May 88 10 Jun 1988 Monaco 26 Sep 1986 approval
- i deposited: 19 Jul 89 19 Aug 1989
' Mongolia
- 8 Jan 1987 ratification
- 1/
deposited: 11 Jun 87 12 Jul 1987 i Morocco 26 Sep 1986 ratification deposited: 7 Oct 93 7 Nov 1993 Netherlands
- 26 Sep 1986 acceptance
, deposited: 23 Sep 91 24 Oct 1991 New Zealand accession !
deposited: 11 Mar 87 11 Apr 1987 i Nicaragua accession
- deposited: 11 Nov 93 12 Dec 1993 Niger 26 Sep 1986 Nigeria 21 Jan 1987 ratification deposited: 10 Aug 90 10 Sep 1990 l Norway 26 Sep 1986 signature, 26 Sep 86 27 Oct 1986 i Pakistan accession * !
Panama 26 Sep 1986 Paraguay 2 Oct 1986 Poland
- 26 Sep 1986 ratification
- deposited: 24 Mar 88 24 Apr 1988 Portugal 26 Sep 1986 ratification deposited: 30 Apr 93 31 May 1993 Romania accession
- deposited: 12 Jun 90 13 Jul 1990 Russian Federation
- 26 Sep 1986 ratification
- deposited: 23 Dec 86 24 Jan 1987 continuation notified: 26 Dec 91 Saudi Arabia accession
- Senegal - 15 Jun 1987 Sierra Leone 25 Mar 1987 405 7
CONVENTION ON EARLY NOTIFICATION OF A NUCLEAR ACCIDENT I (continued) i Means and date of State / Date of expression of Organization signature consent to be bound Enty into force I Slovak Republic succession effect from notified: 10 Feb 93 1 Jan 1993 Slovenia succession effect from notified: 7 Jul 92 25 Jun 1991 I South Africa 10 Aug 1987 ratification
- deposited: 10 Aug 87 10 Sep 1987 Spain 26 Sep 1986 ratification
- deposited: 13 Sep 89 14 Oct 1989 Sri Lanka accession
- deposited: 11 Jan 91 11 Feb 1991 Sudan 26 Sep 1986 Sweden 26 Sep 1986 ratification i deposited: 27 Feb 87 30 Mar 1987 Switzerland 26 Sep 1986 ratification deposited: 31 May 88 1 Jul 1988 l Syrian Arab Republic 2 Jul 1987 l Thailand
- 26 Sep 1987 ratification
- l deposited: 21 Mar 89 21 Apr 1989 ;
Tunisia 24 Feb 1987 ratification - i deposited: 24 Feb 89 27 Mai 1989 Turkey
- 26 Sep 1986 ratification
- deposited: 3 Jan 91 3 Feb 1991 Ukraine
- 26 Sep 1986 ratification
- deposited: 26 Jan 87 26 Feb 1987 l United Arab Emirates accession
- deposited: 2 Oct 87 2 Nov 1987 United Kingdom 26 Sep 1986 ratification
- deposited: 9 Feb 90 12 Mar 1990 United States
- 26 Sep 1986 ratification
- deposited: 19 Sep 88 20 Oct 1988 l Uruguay accession
! deposited: 21 Dec 89 21 Jan 1990 , l Viet Nam, Soc. Rep of accession
- i deposited: 29 Sep 87 30 Oct 1987 l Yugoslavia 27 May 1987 ratification '
deposited,: 8 Feb 89 11 Mar 1989 l continuation i notified: 28 Apr 92 ! l i 406 h
CONVENTION ON EARLY NOTIFICATION OF A NUCLEAR ACCIDENT (continued) Means and date of State / Date of expression of Organization signature consent to be bound Entry into force Zaire 30 Sep 1986 Zimbabwe 26 Sep 1986 Food & Agriculture accession
- Organization deposited: 19 Oct 90 19 Nov 1990 World llealth accession
- Organization deposited: 10 Aug 88 10 Sep 1988 World Meteorologial accession
- Organization deposited: 17 Apr 90 18 May 1990 NOTE: The Convention entered into force on 27 October 1986, i.e. thirty days after the date on which the third State expressed their consent to be bound, pursuant to Ar-ticle 12, para 3.
17 November 1994 Status: 70 signatories, 74 parties (changed: Lithuania)
' indicates that a reservation / declaration was deposited upon signature / ratification /
acceptance / approval / accession. 1/ indicates that reservation / declaration was subsequently withdrawn. t 6 407 / l l
r l ! ) 1 CONVENTION ON ASSISTANCE ! IN THE CASE i l OF A NUCLEAR ACCIDENT OR RADIOLOGICAL EMERGENCY l 1 [ ADOPTED SEl'I' EMBER 26,1986 l TIIE STATES PARTIES TO THIS CONVENTION, ! AWARE that nuclear activities are being carried out in a number of States, NOTING TIIAT comprehensive measures have been and are being taken to ensure a high level of safety in nuclear activities, aimed at preventing nuclear accidents and minimizing the consequences of any I
- such accident, should it occur, DESIRING to strength further international co-operation in the safe development and use of nuclear energy, CONVINCED of the need for an international framework which will facilitate the prompt provision of assistance in the event of a nuclear l accident or radiological emergency to mitigate its consequences, ,
NOTING the usefulness of bilateral and multilateral arrangements ! l on mutual assistance in this area, l NOTING the activities of the International Atomic Energy Agency in developing guidelines for mutual emergency assistance arrangements ,
. in connection with a nuclear accident or radiological emergency, I IIAVE AGREED as follows:
i Article 1 General provisions 1.The States Parties shall cooperate between themselves and with the International Atomic Energy Agency (hereinafter referred to as the
" Agency") in accordance with the provisions of this Convention to facilitate prompt assistance in the event of a nuclear accident or radio-l logical emergency to minimize its consequences and to protect life, l property and the environment from the effects of radioactive releases.
- 2. To facilitate such cooperation States Parties may agree on bilateral
' or multilateral arrangements or, where appropriate, a combination of these, for preventing or minimizing injury and damage which mayresult i in the event of a nuclear accident or radiological emergency. l 3.The States Parties request the Agency, acting within the framework of its Statute, to use its best endeavours in accordance with the provi-sions of this Convention to promote, facilitate and support the coop-eration between States Parties provided for in this Convention.
Article 2 l Provisions of assistance
- 1. lf a State Party needs assistance in the event of a nuclear accident or radiological emergency, whether or not such accident or emergency originates within its territory, jurisdiction or control, it may call for such assistance from any other State Party, directly or through the Agency, and from the Agency, or, where sopropriate, from other international t #h 408 i
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. ) i intergovernmental organizations (hercinafter referrcd to as " interna-tional crganizations").
- 2. A State Party requesting assistance shall specify the scope and type of assistance required and, where practicable, provide the assistance party with such information as may be necessary for that party to deter-mine the extent to which it is able to meet the request. In the event that it is not practicable for the requesting State Party to specify the scope and type of assistance required, the requesting State Party and the assisting party shall, in consultation, decide upon the scope and type of assistance required.
- 3. Each State Party to which a requect for such assistance is directed shall promptly decide and notify the requesting State Party, directly or through the Agency, whether it is in a position to render the assistance requested, and the scope and terms of the assistance that might be rendered.
- 4. States Parties shall, within the limits of their capabilities, identify and notify the Agency of experts, equipment and materials which could be made available for the provision of assistance to other States Parties in the event of a nuclear accident or radiological emergency as well as the terms, especially financial, under which such assistance could be provided.
- 5. Any State Party may request assistacee relating to medical treat-ment or temporary relocation into the territory of another State Party of people involved in a nuclear accident or radiological emergency.
- 6. The Agency shall respond, in accordance with its Statute and as provided for in this Convention, to a requesting State Party's or a Member State's request for assistance in the event of a nuclear accident or radiological emergency by:
(a) making appropriate resources allocated for this purpose; (b) transmitting promptly the request to other States and internation-al organizations which, according to the Agency's information, may possess the necessary resources; and - (c) if so requested by the requesting State, co-ordinating the assis-tance r.t the international level which may thus become available. Article 3 Direction and control of assistance Unless otherwise agreed: (a) the overall direction, control, co-ordination and supervision of the assistance shall be the responsibility within its territory of the request-ing State. The assisting party should, where the assistance involves personnel, designate in consultation with the requesting State, the per-son who should be in charge of and retain immediate operational super-vision over the personnel and the equipment provided by it. The desig-nated person should exercise such supervision in cooperation with the appropriate authorities of the requesting State; (b) tne requesting State shall provide, to the extent of its capabilities, local facilities and services for the proper and effective administration of the assistance. It shall also ensure the protection of personnel, equip-409 . f
ment and materials brought into its territory by or on behalf of the assisting party for such purpose; (c durm) ownership g the periods ofofassistance equipment and shall bematerials unaffected,provided and their by either party return shall be ensured; (d) a State Party providing assistance in response to a request under paragraph 5 of article 2 shall co-ordinate that assistance within its territory. Article 4 Competent authorities and points of contact
- 1. Each State Party shall make known to the Agency and to other States Parties, directly or through the Agency,its competent authorities and point of contact authorized to make and receive requests for and to accept offers of assistance. Such points of contact and a focal point withm the Agency shall be available continuously.
- 2. Each State Party shall promptly inform the Agency of any changes that may occur in the information referred to in paragraph 1.
- 3. The Agency shall regularly and expeditiously provide to States Parties, Member States and relevant international organizations the information referred to in paragraphs 1 and 2.
Article 5 Functions of the Agency The States Parties request the Agency, in accordance with paragraph 3 of article 1 and without prejudice to other provisions of this Conven-tion, to: (a) collect and disseminate to States Parties and Member States infor-mation concerning: c (i) experts, equipment and materials which could be made available in the event of nuclear accidents or radiological emergencies; (ii) methodologies, techniques and available results of research relat-ing to response to nuclear accidents or radiological emergencies; (b) assist a State Party or a Member State when requested in any of the following or other appropriate matters: (i) preparing both emergency plans in the case of nuclear accidents and radiological emergencies and the appropriate legislation; (ii) developing appropriate training programmes for personnel to deal with nuclear accidents and radiological emergencies; (iii) transmitting requests for assistance and relevant information in the event of nuclear accident or radiological emergency; (iv) developing appropriate radiation monitoring programmes, pro-cedures and standards; (v) conducting investigations into the feasibility of establishing ap-propriate radiation monitoring systems; and public (c) make available to a State Party or a Member State requesting assistance in the event of a nuclear accident or radiological emergency appropriate resources allocated for the purpose of conducting an initial assessment of the accident or emergency; 410 -
(d) offer its good offices to the States Partica and Member States in the event of a nuclear accident or radiological emergency; (e) establish and maintain liaison with relevant international organi-zations for the purposes of obtaining and exchanging relevant informa-tion and data, and make a list of such organizations available to States Parties, Member States and the aforementioned organizations. Article 6 Confidentiality and public statements
- 1. The requesting State and the assisting party shall protect the confi-dentiality of any confidential information that becomes availabic to either of them in connection with the assistance in the event of a nuclear accident or radiological emergency. Such information shall be used exclusively for the purpose of the assistance agreed upon.
- 2. The assisting party shall make every effort to coordinate with the requesting State before releasing infcirmation to the pub'ic on the assis-tance provided in connection with a nuclear accident or radiological emergency.
Article 7 Reimbursement of costs
- 1. An assisting party may offer assistance withom costs to the request-ing State. When considermg whether to offer assistance on such a basis, the assisting party shall take into account:
(a) the nature of the nuclear accident or radiological emergency; (b) the place of origin of the nuclear accident or radiological emergency; (c) the needs of developing countries; (d) the particular needs of countries without nuclear facilities; and (e) any other relevant factors.
- 2. When assistance is provided wholly or partly on a reimbursement basis, the requesting State shall reimburse the assisting party for the costs incurred for the services rendered by persons or organizations acting on its behalf, and for all expenses in connection with the assis-tance to the extent that such expenses are not directly defrayed by the requesting State. Unless of herwise agreed, reimbursement shall be pro-vided promptly after the assisting party has presented its request for reimbursement to the requesting State, and in respect of costs other than local costs, shall be freely transferable.
- 3. Notwithstanding paragraph 2, the assisting party may at any time waive, or agree to the postponement of, the reimbursement in whole or in part. In considering such waiver or postponement, assisting parties shall give due consideration to the needs of developing countries.
Article 8 Privileges, immunities and facilities
- 1. The requesting State shall afford to personnel of the assisting party and personnel acting on its behalf the necessary privileges, immunities and facilities for the performance of their assistance functions. !
411 l l l
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- 2. The requesting State shall afford the following privileges and im-munities to personnel of the assisting party or personnel acting on its
[ behalf who have been duly notified to and accepted by the requesting l State: l (a) immunity from arrest, detention and legal process, including crim-1 inal, civil and administrative jurisdiction, of the requesting State, in respect of acts or omissions in the performance of their duties; and (b) exemption from taxation, duties or other charges, except those l which are normally incorporated in the price of goods or paid for ser. I vices rendered,in respect of the performance of their assistance func- ! tions.
- 3. The requesting State shalk (a) afford the assisting party exemption from taxation, duties or other charges on the equipment and property brought into the territory of the l
requesting State by the assisting party for the purpose of the assistance; and (b) provide immunity from seizure, attachment, or requisition of such equipment and property. 4.The requestmg State shall ensure the return of such equipment and property. If requested by the assisting party, the requesting State shall arrange, to the extent it is able to do so, for the necessary decontamina-tion of recoverable equipment involved in the assistance before its l return.
- 5. The requesting State shall facilitate the entry into, stay in and I departure from its national territory of personnel notified pursuant to paragraph 2 and of equipment and property involved in the assistance.
6.Nothing in this article shall require the require the requesting State l to provide its nationals or permanent residents with the privileges and immunities provided for in the foregoing paragraphs.
- 7. Without prejudice to the privileges and immunities, all beneficia-rics enjoying such privileges and immunities under this article have a duty to respect the laws and regulations of the requesting State. They shall also have the duty not to interfere in the domestic affairs of the requesting State.
- 8. Nothing in this article shall prejudice rights and obligations with respect to privileges and immunities afforded pursuant to other inter-national agreements or the rules of customary international law.
- 9. When signing, ratifying, accepting, approving or acceding to this
- Convention, a State may declare that it does not consider itself bound in whole or in part by paragraphs 2 and 3.
- 10. A State Party which has made a declaration in accordance with paragraph 9 may at any time withdraw it by notification to the deposita-1Y.
Article 9
'hansit of personnel, equipment and property Each State Party shall, at the request of the requesting State or the assisting party, seek to facilitate the transit through its territory of duly notified pessonnel, equipment and property involved in the assistance to and from the requesting State.
c2c 1 I
Article 10 Claims and compensation
- 1. The States Parties shall closely cooperate in ordet to facilitate the settlement of legal proceedings and claimc under this article.
- 2. Unless otherwise agreed, a requesting he shall in respect of death or injury to persons, damage to or loss of property, or damage to the environment caused within its territory or other area under its jurisdiction or control in the course of providing the assistance re-quested:
(a) not bring any legal proceedings against the assisting party or per-sons or other legal entities acting on its behalf; (b) assume responsibility for dealing with legal proceedings and claims brought by third parties against the assisting party or against persons or other legal entities actmg on its behalf; (c) hold the assisting party or persons or other legal entities acting on its behalf harmless in respect of legal proceedings and claims referred to in sub-paragraph (b); and (d) compensate the assisting party or persons er other legal entities acting on its behalf for: (i) death of or injury to personnel of the assisting party or persons acting on its behalf; (ii) loss of or damage to non-consumable equipment or materials related to the assistance; except in cases of willful misconduct by the individuals who caused the death, injury, loss or damage.
- 3. This article shall not prevent compensation or indemnity available under any applicable international agreement or national law of any State.
- 4. Nothing in this article shall require the requesting State to apply paragraph 2 in whole or in part to its nationals or permanent residents.
- 5. When signing, natifying, accepting, approving or acceding to this Convention, a State may declare:
(a) tlut it does not consider itself bound in whole or in part by para-graph 2; (b) that it will not apply paragraph 2 in whole or in part in cases of gross negligence by the individuals who caused the death, injury, loss or damage.
- 6. A State Party which has made a declaration in accordance with paragraph 5 may at any time withdraw it by notification to the deposita-
! ry. l Article 11 l Termination of assistance The requesting State or the assisting party may at any time, after appropriate consultations and by notification in writing, request the termination of assistance received or provided under this Convention. Once such a request has been made, the parties involved shall consult 413 l [~^} d
with each other to make arrangements for the proper conclusion of the assistance. Article 12 Relationship to other international agreements This Convention shall not affect the reciprocal rights and obligations of States Parties under existing international agreements which relate to the matters covered by this Convention, or under future internatien-al agreements concluded in accordance with the object and purpose of this Convention. Article 13 Settlement of disputes
- 1. In the event of a dispute between States Parties, or eetween a State Party and the Agency, concerning the interpretation or application of this Convention, the parties to the dispute shall consult with a view t o the settlement of the dispute by negotiation or by any other p:aceful means of settling disputes acceptab!c to thein.
- 2. If a dispute of this character between States Parties cannot be settled within one year from the request for consultation pursuant to paragraph 1, it shall, at the request of any party to such dispute, be l submitted to arbitration or referred to the International Court of Jus- l tice for decision. Where a dispute is submitted to arbitration, if,within six months from the date of the request, the parties to the dispute are unable to agree on the organization of the arbitration, a party may l request the President of the International Court of Justice or the Secre-tary-General of the United Nations to appoint one or more arbitrators.
In cases of conflicting requests by the parties to the dispute, the request to the Secretary-General of the United Nations shall have priority.
- 3. When signing, ratifying, accepting, approving or acceding to this Convention, a State may declare that it does not cons dcr 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 pa agraph 2 with respect to a State Party for which such a declaration is in force.
- 4. A State Party which has made a declaration in accordance with paragraph 3 may at any time withdraw it by notification to the deposita-ry.
Article 14 Entry into force
- 1. This Convention shall be open for signature by all States and Na-mibia, represented by the United Nations Council for Namibia, at the licadquarters of the International Atomic Energy Agency in Vienna and at the lleadquarters of the United Nations in New York, from 26 1
3 hlf
September 1986 and 6 October 1986 respectively, until its entry into force or for twelve months, whichever period is longer.
- 2. A State and Namibia, represented by the United Nations Council for Namibia, may express its consent to be bound by this Convention either by signature, or by deposit of an instrument of ratification, accep-tance or approval following signature made subject to ratification, ac-ceptance or approval, or by deposit of an instrument of accession. The instruments of ratification, acceptance, approval or accession shall be deposited with the depositary.
- 3. This Convention shall enter into force thirty days after consent to be bound has been expressed by three States.
- 4. For each State expressing consent to be bound by this Convention after its entry into force, this Convention shall enter into force for that Sate thirty days after the date of expression of consent.
- 5. (a) This Ccmvention shall be open for accession, as provided for in this article, by international organizations and regional integration cr-ganizations constituted by sovereign States, which have espetence in respect of the negotiation, conclusion and application ofinternational agreements in matters covered by this Convention.
(b)In matters within their competence such organizations shall, on their own behalf, exercise the rights and fulfill the obligations which this Convention attributes to States Parties. (c) When depositing its instrument of accession, such an organization shall commumcate to the depositary a declaration indicating the extent ofits competence in respect of matters covered by this Convention. (d) Such an organization shall not hold any vote additional to those of its Member States. Article 15 Provisional application A State may, upon signature or at any later date before this Conven-tion enters into force for it, declare that it will apply this Convention provisionally. Article 16 Amendments
- 1. A State Party may propose amendments to this Convention. The proposed amendment shall be submitted to the depositary who shall circulate it immediately to all other States Parties.
- 2. If a majority of the States Parties request the depositary to convene a conference to consider the proposed amendments, the depositary shall invite all States Parties to attend such a conference to begin not so(mer 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 laid down in a protocol which is open to signature in Vienna and New York by all States Parties.
- 3. The protocol shall enter into force thirty days after consent to be bound has been expressed by three States. For each State expressing 415 f:
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consent to be bound by the protocol after its entry into force, the protocol shall enter into force for that State thirty days after the date of expression of consent. Article 17 Denunciation
.1. A State Party may denounce this Convention by written notification to the depositary. 2. Denunciation shall take effect one year following the date on which the notification is received by the depositary.
Article 18 Depositary l
- 1. The Director General of the Agency shall be the depositary of this Convention.
- 2. The Director General of the Agency shall promptly notify States Parties and all other States of:
(a) each signature of this Convention or any protocol of amendment; (b) each deposit of an instrument of ratification, acceptance, approval or accession conceming this Convention or any protocol of amend-ment; (c) any declaration or withdrawal thereof in accordance with articles 8,10 and 13; (d) any declaration of provisional application of this Convention in accordance with article 15; (e) the entry into force of this Convention and of any amendment t thereto; and (f) any denunciation made under article 17. Article 19 Authentic texts and certified copies The original of this Convertion, of which the Arabic, Chinese, En-glish, French, Russian and Spanish texts are equally authentic, shall be deposited with the Director General of the International Atomic Ener-gy Agency who shall send certified copies to States Parties and all other States.
)
IN WITNESS WHEREOF the undersigned, being duly authorized, have signed this Convention, open for signature as provided for in paragraph 1 of article 14. ADOPTED by the General Conference of the International Atomic Energy Agency meeting in special session at Vienna on the twenty-sixth day of September one thousand nine hundred and eighty-six. 416 A {dh \ l l l l 1
il l 1 l CONVENTION ON ASSISTANCE IN Tile CASE OF A NUCLEAR ACCIDENT ; l OR RADIOLOGICAL EMERGENCY Signature, ratification, acceptance, approval or accession by States or Organizations Means and date of State / Date of expression of Organization signature consent to be bound Entry into force Afghanistan
- 26 Sep 1986 Algeria
- 24 Sep 1987 Args.itina accession
- deposited: 17 Jan 90 17 Feb 1990 Armenia accession deposited: 24 Aug 93 24 Sep 1993 Australia
- 26 Sep 1986 ratification
- deposited: 22 Sep 87 23 Oct 1987 Austria 26 Sep 1986 ratification
- deposited: 21 Nov 89 22 Dec 1989 Bangladesh accession deposited: 7 Jan 88 7 Feb 1988 Belarus* 26 Sep 1986 ratification
- deposited: 26 Jan 87 26 Feb 1987 Belgium 26 Sep 1986 Brazil 26 Sep 1986 ratification deposited: 4 Dec 90 4 Jan 1991 Bulgaria
- 26 Sep 1986 ratification
- 1/
deposited: 24 Feb 88 26 Mar 1988 Cameroon 25 Sep 1987 Canada
- 26 Sep 1986 ratification
- deposited: 10 Sep 87 Chile 26 Sep 1986 China
- 26 Sep 1986 ratification
- deposited: 10 Sep 87 11 Oct 1987 Costa Rica 26 Sep 1986 ratification deposited: 16 Sep 91 17 Oct 1991 Cote d'Ivoire 26 Sep 1986 Croatia succession effect from notified: 29 Sep 92 8 Oct 1991 Cuba
- 26 Sep 1986 ratification
- deposited: 8 Jan 91 8 Feb 1991 Cyprus accession deposited: 4 Jan 89 4 Feb 1989 Czech Republic succession effect from notified: 24 Mar 93 1 Jan 1993 Democratic People's Republic of Korea
- 29 Sep 1986 417 %
9'? 7)
7 CONVENTION ON ASSISTANCE IN THE CASE OF A NUCLEAR ACCIDENT OR RADIOLOGICAL EMERGENCY (continued) Means and date of State / Date of expression of Organlielon signature consent to be bound Entry into foice Denmark 26 Sep 1986 Egypt 26 Sep 1986 ratification * ! deposited: 17 Oct 88 17 Nov 1988 ! Estonia ' accession l deposited: 9 May 94 9 Jun 1994 Finland 26 Sep 1986 approval
- deposited: 27 Nov 90 28 Dec 1990 France
- 26 Sep 1986 approval
- deposited: 6 Mar 89 6 Apr 1989 Germany
- 26 Sep 1985 ratification
- deposited: 14 Sep 89 15 Oct 1989 Greece
- 26 Sep 1986 ratification deposited: 6 Jun 91 7 Jul 1991 Guatemala 26 Sep 1986 ratification deposi'ed: 8 Aug 88 8 Sep 1988 Iloly See 26 Sep 1986 Ilungary* 26 Sep 1986 ratification
- 1/ {
deposited: 10 Mar 87 10 Apr 1987 lecland 26 Sep 1986 ratification
- deposited: 28 Jan 88 India
- 29 Sep 1986 ratification
- deposited: 12 Nov 93 28 Feb 1988 l Indonesia
- 26 Sep 1986 ratification
- I deposited: 21 Jul 93 13 Dec 1993 ]
Iran, Islamic ' Republic of 26 Sep 1986 Iraq' 12 Aug 1987 ratification
- deposited: 21 Jul 88 21 Aug 1988 Ireland
- 26 Sep 1986 ratification i deposited: 13 Sep 91 14 Oct 1991 Israel 26 Sep 1986 ratification
- l deposited: 25 May 89 25 Jun 1989 ;
Italy
- 26 Sep 1986 ratification
- I deposited: 8 Feb 90 11 Mar 1990 l Japan 6. Mar 1987 acceptance deposited: 9 Jun 87 10 Jul D87 Jordan 2 Oct 1986 ratification deposited: 11 Dec 8711 Jan 1988 Korea, Rep. of accession deposited: 8 Jun 90 9 Jul 1990 418 r l
s/? ! l J
l l l CONVENTION ON ASSISTANCE IN THE CASE OF A NUCLEAR ACCIDENT OR RADIOLOGICAL EMERGENCY (continued) Means and date of State / Date of expression of Organization signature consent to be bound Entry into force Latvia accession deposited: 28 Dec 92 28 Jan 1993 Lebanon 26 Sep 1986 Libyan Arab Jamahiriya accession deposited: 27 Jun 90 28 Jul 1990 Liechtenstein 26 Sep 1986 ratification deposited: 19 Apr 94 20 May 1994 Malaysia
- 1 Sep 1987 signature,1 Sep 87 2 Oct 1987 Mali 2 Oct 1986 !
Mauritius accession
- deposited: 17 Aug 92 17 Sep 1992 Mexico 26 Sep 1986 ratification deposited: 10 May 88 10 Jun 1988 I Monaco 26 Sep 1986 approval
- deposited: 19 Jul 89 19 Aug 1989 !
Mongolia
- 8 Jan 1987 ratification
- 1/ i deposited: 11 Jun 87 12 Jul 1987 Morocco 26 Sep 1986 ratification !
deposited: 7 Oct 93 7 Nov 1993 ! Netherlands" 26 Sep 1986 acceptance deposited: 23 Sep 91 24 Oct 1991 New Zealand accession
- deposited: 11 Mar 87 11 Apr 1987 Nicaragua accession
- deposited: 11 Nov 93 12 Dec 1993 Niger 26 Sep 1986 Nigeria 21 Jan 1987 ratification deposited: 10 Aug 90 10 Sep 1990 Norway
- 26 Sep 1986 signature, 26 Sep 86 27 Feb 1987 Pakistan accession
- deposited: 11 Sep 89 12 Oct 1989 Panama 26 Sep 1986 Paraguay 2 Oct 1986 Poland
- 26 Sep 1986 ratification
- deposited: 24 Mar 88 24 Apr 1988 Portugal 26 Sep 1986 ratiLcation Romania accession
- deposited: 12 Jun 90 13 Jul 1990 9
pmg r i l I 1
i CONVENTION ON ASSISTANCE IN THE CASE OF A NUCLEAR ACCIDENT OR RADIOLOGICAL EMERGENCY I { (continued) Means and date of State / Date of expression of i Organization signature consent to be bound Entry into force 1 Russian Federation
- 26 Sep 1986 ratification
- deposited: 23 Dec 86 26 Feb 1987 continuation l notified: 26 Dec '11 i Saudi Arabia accession
- deposited: 3 Nov 89 4 Dec 1989 Senegal 15 Jun 1987 Sierra Leone 25 Mar 1987 Slovak Republic succession effect from notified: 10 Feb 93 1 Jan 1993 Slovenia succession effect from ,
notified: 7 Jul 92 25 Jun 1991 ' South Africa 10 Aug 1987 ratification
- deposited: 10 Aug 87 10 Sep 1987 ;
Spain 26 Sep 1986 ratification
- d deposited: 13 Sep 89 14 Oct 1989 Sri Lanka accession
- deposited: 11 Jan 91 11 Feb 1991 Sudan 26 Sep 1986 Sweden 26 Sep 1986 ratification deposited: 24 Jun 92 25 Jul 1992 Switzerland 26 Sep 1986 ratification deposited: 31 May 88 1 Jul 1988 Syrian Arab Republic 2 Jul 1987 Tlailand* 25 Sep 1987 ratification
- l deposited: 21 Mar 89 21 Apr 1989 lbtvsia 24 Feb 1987 ratification deposited: 24 Feb 89 27 Mar 1989 lbrkey* 26 Sep 1986 ratification
- deposited: 3 Jan 91 3 Feb 1991 Ukraine
- 26 Sep 1986 ratification
- deposited: 26 Jan 87 26 Feb 1987 United Arab Emirates accession
- deposited: 2 Oct 87 2 Nov 1987 United Kingdom 26 Sep 1986 ratification
- deposited: 9 Feb 90 12 Mat 1990 420 Y3e) l l
_J
CONVENTION ON AS$1 STANCE IN THE CASE OF A NUCLEAR ACCIDENT OR RADIOLOGICAL EMERGENCY (continued) Means and date of - State / Date of expression of Organization signature consent to be bound Entry into force United States
- 26 Sep 1986 ratification
- deposited: 19 Sep 88 20 Oct 1988 Uruguay accession deposited: 21 Dec 89 21 Jan 1990 Viet Nam, Soc. Rep of accession
- deposited: 29 Sep 87 30 Oct 1987 Yugoslavia accession deposited: 9 Apr 91 10 May 1991 contmuation notified: 28 Apr 92 Zaire 30 Sep 1986 Zimbabwe 26 Sep 1986 Food & Agriculture accession
- Organization deposited: 19 Oct 90 19 Nov 1990 World llcalth accession
- Organization deposited: 10 Aug 88 10 Sep 1988 World Meteorologial accession
- 0:pnization deposited: 17 Apr 90 18 May 1990 NOTE: The Convention entered into force on 26 February 1987,i.e. thirty days after the date on which the third State expressed its ccmsent to be bound, pursuant to Ar-ticle 14, paragraph 3.
16 May 1994 STATUS: 68 signatories 70 parties
- indicates that reservation / declaration was deposited upon signature / ratification /
acceptance / approval / accession. 1/ indicates that reservation / declaration was subsequently withdrawn. I l l 421 b/.s - l l
i MULTILATERAL 1 Additional Protocol I to the 'IYeaty for the Prohibition of ' Nuclear Weapons in Latin America Done at Mexico February 14,1967; Transmitted by the President of the United States of America to the Senate May 24,1978 (S. Ex. I,95th Cong.,2d Sess.); Reported favorably by the Senate Committee on Foreign Relations October 19,1981 (S. Ex. Rep. No. 97-23,97th Cong.,1st Sess.); Advice and consent to ratification by the Senate, with understandings, November 13,1981; , Ratified by the President, with said understandings, November 19, ! 1981; Ratification of the United States of America deposited with Mexico j November 23,1981; Proclaimed by the President December 14,1981; i Entered into force with respect to the United States of America November 23,1981. 4 By the President of the United States of America l A PROCLAMATION Considering that: ;
. Additional Protocol I to the Treaty for the Prohibition of Nuclear !
Weapons in Latin America was signed on behalf of the United States of ; America at Mexico City on May 26,1977, a certified copy of which is !
' hereto annexed;1 i
The Senate of the United States of America by its resolution of No- l vember 13,1981, two-thirds of the Senators present concurring therein, gave its advice and consent to ratification of Additional Protocol I, subject to the following understandings:
- 1) That the provisions of the Treaty made applicable by this Addi-tional Protocol do not affect the exclusive power and legal competence l under international law of a State adhering to this Protocol to grant or
, deny transit and transport privileges to its own or any other vessels or ! aircraft irrespective of cargo or armaments. l
- 2) That the provisions of:he Treaty made applicable by this Addition-l al Protocol do not affect rights under the international law of a State adhering to this Protocol regarding the exercise of the freedom of the
, seas, or regarding passage through or over waters subject to the sover- ! eignty of a State. l 3) That the understar. dings and declarations attached by the United States to its ratification of Additional Protocol II (text attached)2 [ apply also to its ratification of Additional Protocol I. ( 1 Texts of the Enghsh. French, Portuguese and Spanish languages as certified by the l Department of Foreign Relations of Mexico. l 2See pp.1794-1795. k
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i I
The President of the United States of An, erica on November 19,1981, ratified Additional Protocol I, subject to the said understandings, in pursuance of the advice and consent of the Senate, and the United States of America deposited its instrument of ratification with the Government of the United Mexican States on November 23,1981; Pursuant to the provisions of Additional Protocol I, Additional Proto-col I, subject to the said understandings, entered into force for the United States of America on November 23,1981; Now, Therefore, I, Ronald Reagan, President of the United States of America, proclaim and make public Additional Protocol I, subject to the said understandings, to the end that it shall be observed and fulfilled with good faith by the United States of America and by the citizens of the United States of America and all other persons subject to the jurisdiction thereof. In testimony whereof, I have signed this proclamation and caused the seal of the United States of America to be affixed. Done at the city of Washington this fourteenth day of December in [ seal] the year of our Lord one thousand nine hundred eighty-one and of the Independence of the United States of ; America the two hundred sixth. By the President: Alexander M. IIaig, Jr. I Secretary of State UNDERSTANDINGS AND DECLARATIONS A'ITACHED l BY THE UNITED STATES TO ITS RATIFICATION I OF ADDITIONAL PROTOCOL 113 1.That the United States Government understands the reference in Article 3 of the treaty to "its own legislation" to relate only to such legislation as is compatible with the rules of international law and as involves an exercise of sovereignty consistent with those rules, and accordingly that ratification of Additional Protocol II by the United States Government could not be regarded as implying recognition, for the purpose of this treaty and its protocols, or for any other purpose, of any legislation which did not, in the view of the United States, comply with the relevant rules ofinternational law. That the United States Government takes note of the Preparatory Commission's interpretation of the treaty, as set forth in the Final Act, that, governed by the principles and rules ofinternational law, each of the contracting parties retains exclusive power and legal competence, unaffected by the terms of the treaty, to grant or deny non-contracting parties transit and transport privileges. That as regards the undertaking in Article 3 of Protocol 11 not to use or threaten to use nuclear weapons against the Contracting Parties, the United States Government would have to consider that an armed at-3May 8,1971.TIAS 7137; 22 IJST 760.
)
l
tack by a Contracting Party, in which it was assisted by a nuclear-weap-on state, would be incompatible with the Contractmg Party's corre-sponding obligations under Article 1 of the treaty. II. That the United States Government considers that the technology of making nuclear explosive devices for peaceful purposes is indistin-guishable from the technology of making nuclear weapons, and that nuclear weapons and nuclear explosive devices for peaceful purposes are both capable of releasing nuclear energy in an uncontrolled manner and have the common group of characteristics of large amounts of energy generated instantaneously from a compact sour c. Therefore the United States Government understands the definition contained in Article 5 of the treaty as necessarily encompassing all nuclear explosive devices. It also understood that Articles 1 and 5 restrict accordingly the activities of the contracting parties under paragraph 1 of Article 18. That the United States Government understands that paragraph 4 of Article 18 of the treaty permits, and that United States adherence to Protocol II will not prevent, collaboration by the United States with contracting parties for the purpose of carrying out explosions of nuclear devices for peaceful purposes in a manner consistent with a policy of not contributing to the proliferation of nuclear weapons capabdities. In this connection, the United States Government notes Article V of the Treaty on the Non-Proliferation of Nuclear Weapons, under which it j joined in an undertaking to take appropriate measures to ensure that potential benefits of peaceful applications of nuclear explosions would be made available to non-nuclear-weapons states party to that treaty, and reaffirms its willingness to extend such undertaking, on the same basis, to states precluded by the present treaty from manufacturing or acquiring any nuclear explosive device. lil.That the United States Government also declares that, although not required by Protocol II,it will act with respect to such territories of Protocol I adherents as are within the geographical area defined in paragraph 2 of Article 4 of the treaty in the same manner as Protocol 11 requires it to act with respect to the territories of contracting parties. ADDITIONAL PROTOCOL I The undersigned Plenipotentiaries, furnished with full powers by their respective Governments, Cominced that the Treaty for the Prohibition of Nuclear Weapons in Latin America,1 negotiated and signed in accordance with the recom-mendations of the General Assembly of the United Nations in Resolu-tion 1911 (XVIII) of 27 November 1963, represents an important step towards ensuring the non-proliferation of nuclear werpons, Aware that the non-proliferation of nuclear weapons is not an end in itself but, rather, a means of achieving general and complete disarma-ment at a later stage, and Desiring to contribute, so far as lies in their power, towards ending the armaments race, especially in the field of nuclear weapons, and towards strengthening a world at peace, based on mutual respect and sovereign equality of States, 1Done Feb. 14,1967. TI AS 7137; 22 UST 762. a , 424 b-i l t
i Have agreed as follows: ARTICLE 1. To undertake to apply the status of denuclearization in respect of warlike purposes as defined in articles 1,3,5 and 13 of the Treaty for the Prohibition of Nuclear Weapons in Latin America in territories for which,dejure or defacto, they are internationally respon-sible and whichlie within the limits of the geographical zone established in that Treaty. j ARTICLE 2. The duration of this protocol shall be the same as that of the Treaty for the Prohibition of Nuclear Weapons in Latin America of which this Protocol is an annex, and the provisions regarding ratifica-tion and denunciation contained in the Treaty shall be applicable to it. ARTICLE 3. This Protocol shall enter into force, for the States which have ratified it, on the date of the deposit of their respective instru- < ments of ratification. In witness whereof the undersigned Plenipotentiaries, having depos-ited their full powers, found in good and due form, sign this Protocol on behalf of their respective Governments. FOR TIIE UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND: N.J.A. Cheetham FOR TIIE KINGDOM OF TiiE NETIIERLANDS: S. Van Heemstra FOR TIIE UNITED STATES OF AMERICA: Jimmy Carter j NUCLEAR FREE ZONE-LATIN AMERICA 1 ! NOTE: l 1The United States is not a party to the treaty for the prohibition of ' nuclear weapon in Latin America (the Treaty of Tlatelolco). For the English text of the treaty, see 22 UST 762; TIAS 7137; for the text in other languages, see 634 UNTS 281. Additional protocol I to the treaty of February 14,1967 for the pro-hibition of nuclear weapons in Latin America. Done at Mexico Febru-ary 14,1967; entered into force December 11, 1969; for the United States November 23,1981. 33 UST 1792; TI AS 10147; 634 UNTS 362. States which are partiet;: Netherlands,1 United Kingdom,2 United States 3 NOTES: l 1With statement (s). 2 Applicable to Anguilla, British Virgin Is.. r ayman Is., Falkland Is., , Montserrat, Turks and Caicos Is. { 3With understanding and declaratio as. Additional protocol II to the trea y of February 14,1967 for the 9 prohibition of nuclear weapons in Latin America. Done at Mexico February 14, 1967; entered into force December 11, 1969; for the l i l 425 # I t'
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United States May 12,1971. 22 UST 754; TIAS 7137; 634 UNTS 364. States which are parties: China,1 France,1 Union of Soviet Socialist Reps.,1 United Kingdom 2 3, United States 4 NOTES: 1With statement (s). 2With declaration. 3 Applicable to Anguilla, British Virgin Is., Cayman Is., Falkland Is.,
)
Montserrat, Turks and Caicos Is. 4With understanding and declarations. Additional Protocol II to the 'IVenty for the Prohibition of Nuclear Weapons in Latin America 1 Si;ned l by the United States at Mexico April 1,1968 l Underlying Treaty signed by others at Mexico February 14,1967 U.S. ratification with understandings and declarations deposited May 12,1971 3 l Entered into force for the United States May 12,19711 J BY THE PRESIDENT OF THE UNITED STATES OF AMERICA A. PROCLAMATION ! CONSIDERING TIIAT: ' Additional Protocol II to the Treaty for the Prohibition of Nuclear Weapons in Latin America, done at the City of Mexico on February 14, 1967,was signed on behalf of the United States of America on April 1, 1968, the text of which Protocol is word for word as follows: ADDITIONAL PROTOCOL Il j The undersigned Plenipotentiaries, furnished with fuil powers by I their respective Governments, Cominced that the Treaty for the Prohibition of Nuclear Weapons in , Latin America, negotiated and signed in accordance with the recom- j mendations of the General Assembly of the United Nations in Resolu- ' tion 1911 (XVIII) of 27 November 1963, represents an important step .l towards ensuring the non-proliferation of nuclear weapons. ' i Aware that the non-proliferation of nuclear weapons is not an end in itself but, rather, a means of achieving general and complete disarma-ment at a later stage, and Desiring to contribute, so far as lies in their power, towards ending the armaments race, especially in the field of nuclear weapons, and towards promoting and strengthening a world at peace, based on mutual respect and sovereign equality of States. Ifare agreed asfollows: l Article 1. The statute of denuclearization of Latin America in respect l of warlike purposes, as defined, delineated and set forth in the Treaty l for the Prohibition of Nuclear Weapons in Latin American of which this
- l. instrument is an annex, shall be fully respected by the Parties to this Protocol in all its express aims and provisions.
Article 2. The Governments represented by the undersigned Plenipo-tentiaries undertake, therefore, not to contribute in any way to the 1The United Kingdom, France, and the People's Republic of China are also parties of Protocol II. 426 #
I l performance of actsinvolving a violation of the obligations of article 1 t of the Treaty in the territories to which the Treaty applies in accordance I with article 4 thereof. Article J. The Governments represented by the undersigned Plenipo-tentiaries also undertake not to use or threaten to use nuclear weapons against the Contracting Parties of the Treaty for the Prohibition of Nuclear Weapons in Latin America.
. Article 1. The duration of this Protocol shall be the same as that of the Treaty for the Prohibition of Nuclear Weapons in Latin American of which this protocol is an annex, and the definitions of territory and nuclear weapons set forth in articles 3 and 5 of the Treaty shall be applicable to this Protocol, as well as the provisions regarding ratifien-tion, reservations, denunciation, authentic texts and registration con.
tained in articles 26,27,30 and 31 of the Treaty. Article 5. The Protocol shall enter into force, for the States which have radfied it, on the date of the deposit of their respective instruments of ratification. In witness whereof the undersigned, Plenipotentiatires, having de-posited their full powers, found in good and due form, sign this Addi-tional Protocol on behalf of their respective Governments. The Senate of the United States of America by its resolution of April 19,1971, two-thirds of the Senators present concurring, gave it advice and consent to the ratification of Additional Protocol 11, with the fol-lowing understandings and declarations: I That the United States Government understands the reference in
. Article 3 of the treaty .to "its own legislation" to relate only to such !
legislation as is compatible with the rules of international law and as involves an exercise of sovereignty consistent with those rules, and accordingly that ratification of Additional Protocol II by the United States Government could not be regarded as implying recognition, for the purposes of this treaty and its protocols or for any other purpose, of any legislation which did not,in the view of the United States, comply with the relevant rules of international law. That the United States Government takes note of the Preparatory Commission's interpretation of the treaty, as set forth in the Final Act, that, governed by the principles and rules of international law, each of the Contracting Parties retains exclusive power and legal competence, unaffected by the terms of the treaty, to grant or deny non-Contracting Parties transit and transport privileges. { That as regards the undertaking in Article 3 of Protocol 11 not to use or threaten to use nuclear weapons against the Contracting parties, the United States Government would have to consider that an armed at-tack by a Contracting Party, in which it was assisted by a nuclear-weap-on state, would be incompatible with the Contracting Party's corre-sponding obligations under Ar;icle I of the Treaty. I 1 II i That the United States Government considers that the technology of i making nuclear explosive devices for peaceful purposes is indistin- ! i 427
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guishable from the technology of making nuclear weapons, and that nuclear weapons and nuclear explosive devices for peaceful purposes are both capable of releasing nuclear energy in an uncontrolled manner and have the common group of characteristics of large amounts of energy generated instantaneously from a compact source. Therefore, the United States Government understands the definition contained in Article 5 of treaty as necessarily encompassing all nuclear explosive devices. It is also understood that Articles 1 and 5 restrict accordingly the activities of the Contracting Parties under paragraph 1 of Article 18. That the United States Government understands that paragraph 4 of Article 18 of the treaty permits, and the United States adherence to Protocol 11 will not prevent, collaboration by the United States with Contracting Parties for the purpose of carrying out explosions of nu-clear devices for peaceful purposes in a manner consistent with a policy of not contributing to the proliferation of nuclear weapons capabilities. In this connection, the United States Government notes Article V of the Treaty on the Non-Proliferation of Nuclear Weapons, under which it joined in an undertaking to take appropriate measures to ensure that potential benefits of peaceful applications of nuclear explosions would be made available to non-nuclear-weapon stams party to that treaty, and reaffirms its willingness to extend such undertaking, on the same basis, to states precluded by the present treaty from manufacturing or acquiring any nuclear explosive device. Ill That the United States Government also declares that, although not required by Protocol II,it will act with respect to such territories of Protocol I adherents as are within the geographical area defined in paragraph 2 of Article 4 of the treaty in the same manner as Protocol 11 requires it to act with respect to the territories of Contracting Parties. The President ratified Additional Protocol 11 on May 8,1971,with the above-recited understandings and declarations, in 7ursuance of the advice and consent of the Senate. It is provided in Article 5 of Additional Protocol 11 that the Protocol shall enter into force, for the States which have ra'.?hd it, on the date of the deposit of their respective instruments of rate.:ation. The mstrument of ranfication of the United Kingdom of Great Brit-ain and Northern Ireland was deposited on December 11,1969 with understandings and a declaration, and the instrument of ratification of the United States of America was deposited on May 12,1971 with the above-recited understandings and declarations. In accordance with Article 5 of Additional Protocol II, the Protocol entered into force for the United States of America on May 12,1971, subject to the above recited understandings an 7 declarations. Now, thereforc, I, Richard Nixon, President of the United States of America, proclaim and make public3dditional Protocol 11 to the Treaty for the Prohibition of Nuclear V..,,ons in Latin America to the end that it shall be observed and fulfilled with good faith, subject to the above-recited understandings and declarations, on and after May 12, 1971 by the United States of America and by the citizens of the United
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States of America rnd all other persons subject to the jurisdictions thereof. In testimony whereof, I have signed this proclamation and caused the Seal of the United States of America to be affixed. Done at the city of Washington this eleventh day of June in the year of our Lord one thousand nine hundred seventy-one and of the Indepen-dence of the United States of America the one-hundred ninety-fifth. (Seal) Treaty for the Prohibition of Nuclear Weapons in Latin America Preamble In the name of their peoples and faithfully interpreting their desires and aspirations, the Governments of the States which sign the Treaty for the Prohibition of Nuclear Weapons in Latin America. Desiring to contribute, so far as lies in their oower, towards ending the { armaments race, especially in the field of nuclear weapons, and towards strengthening a world at peace, based on the sovereign equality of States, mutual respect and good neighbourliness, Recalling that the United Nations General Assembly, in its Resolution i 808 (XI), adopted unanimously as one of the thr e points of a coordi- ! nated programme of disarmament "the total prm bition of the use and I manufacture of nuclear weapons and weapons of mass destruction of l cvery type", i Recalling that militarily denuclearized zones are not an end in them- l selves but rather a means of achieving general and complete disarma- ! ment at a later stage, Recalling, United Nations General Assembly Resolution 1911 (XVIII), which established that the measures that should be agreed upon for the denuclearization of Latin America should be taken "in the light of the principles of the Charter of the United Nadons ard of regional agreements", Recalling United Nations General Assembly Resolution 2028 (XX), which established the principle of an acceptable balance of mutual
- responsibilities and duties for the nuclear non-nuclear powers, and Recalling that the Charter of the Organization of American States proclaims that it is an essential purpose of the Organization to strength-en the peace and security of the hemisphere, Convinced
That the incalculable destructive power of nuclear weapons has made it imperative that the legal prohibition of war should be strictly ob-served in practice if the survival of civilization and of mankind itself is to be assured, l That nuclear weapons, whose terrible effects are suffered, indiscrimi-l nately and inexorably, by military forces and civilian population alike, l constitute, through the persistence of the radioactivity they release, and attack on the integrity of the human species and ultimately may even render the whole carth uninhabitable.
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l l l The general and complete disarmament under effective international control is a vital matter which all the peoples of the world equally demand, That the proliferation of nuclear weapons, which seems inevitable unless States, in the exercise of their sovereign rights, impose restric-tions on themselves in order to prevent it, would make an agreement of disarmament enormously difficult and would increase the danger of the outbreak of a nuclear conflagration, That the establishment of n'ilitarily denuclearized zones is closely linked with the maintenance of peace and security in the respective regions, That the military denuclearization of vast geographical zones, I adopted by the sovereign decision of the States compriced therein, will exercise a beneficial influence on other regions where similar condi-tions exist, That the privileged situation of the signatory States, whose territories are wholly free from nuclear weapons, imposes upon them the inescap- l able duty of preserving that situation both in their own interests and for the good of mankind, That the existence of nuclear weapons in any country of Latin Ameri-ca would make it a target for possible nuclear attacks and would inevita- j ble set off, throughout the region, a ruinous race in nuclear weapons ! which would involve the unjustifiable diversion, for warlike purposes, of the limited resources required for economic and social development, I That the foregoing reasons, together with the traditional peace-lov-ing outlook of Latin America, give rise to an inescapable necessity thist nuclear energy should be used in that region exclusively for peaceful . purposes, and that the Latin American countries should use their right l to the greatest and most equitable access to this new source of energy in l order to expedite the eccmomic and social development of their l peoples. : Comincedfinally That the military denuclearization of Latin America-being under-stood to mean the undertaking entered into internationally in this Treaty to keep their territories forever free from nuclear weapons-will constitute a measure which will spare their peoples from the squander-ing of their limited resources on nuclear armaments and will protect them against possible nuclear attacks on their territories, and will also constitute a significant contribution towards preventing the prolifera-tion of nuclear weapons and a powerful factor of general and complete disarmaments, and That Latin America, faithful to its tradition of universality, must not only endeavor to banish from its homelands the scourge of a nuclear war, but must also strive to promote the well-being and advancement of
' its peoples, at the same time co-operating in the fulfillment of the ideals of mankind, that is to say, in the consolidation of a permanent peace based on equal rights, economic fairness and social justice for all, in accordance with the principles and purposes set forth in the Charter of the United Nations and in the Charter of the Organization of American States, fwr+ '
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i i Have agreed asfollows: Obligations ARTICLE I
- 1. The Contracting Parties hereby undertake to use exclusively for peaceful purposes the nuclear material and facilities which are under this jurisdiction, and to prohibit and prevent in their respective territo-ries:
(a) The testing, use, manufacture, production or acquisition by any means whatsoever of any nuclear weapons, by the Parties themselves, directly or indirectly, on behalf of anyone else or in any other way, and (b) The receipt, storage, installation, deployment and any form of possession of any nuclear weapons, dircctly orindirectly, by the Parties themselves, by anyone on their behalf or in any other way. 2.The Contracting Parties also undertake to refrain from engaging in, encouraging or authorizing, directly or indirectly, or in any way partici-pating in the testing, use, manufacture, production, possession or con-trol of any nuclear weapon. DefMtion of the ContractingIbnies ARTICLE 2 i For the purposes of this Treaty, the Contracting Parties are those for j whom the Treaty is in force. l Definition of territory ARTICLE 3 For the purposes of this Treaty, the term " territory" shall include the I territorial sea, air space and any other space over which the State exercises sovereignty in accordance with its own legislation. Zone of application 1.The zone of application of this Treaty is the whole of the territories for which the Treaty is in force. 2.Upon fulfillment of the requirements of article 28, paragraph 1, the zone of application of this Treaty shall also be that which is situated in the western hemisphere within the following limits (except the conti-nental part of the territory of the United States of America and its i territorial waters); starting at a point located at 35x north latitude, 75x I west longitude; from this point directly southward to a point at 30x north latitude, 75x west longitude; from there, directly eastward to a point at 30x north latitude,50x west longitude; from there, along a loxodromic litude; from there, along a loxodromic line to a point a 35x north latitude,150x west longitude; from there, directly eastward to a point at 35x north latitude, 75x west longitude. Definition ofnuclear weapom ARTICLE 5 For the purposes of this Treaty, a nuclear weapon is any device which is capable of releasing nuclear energy in an uncontrolled manner and 431 #3 Yf// I l
which has a group of characteristics that are appropriate for use for warlike purposes. Aninstrument that may be used for the transport or propulsion of the device is not included in this definition ifit is separa-ble from the device and not an indivisible part thereof. Meeting ofsignatories ARTICLE 6 At the request of any of the signatory States or if the Agency estab-lished by article 7 should so decide, a meeting of all the signatories may be convoked to consider in common questions which may affect the very essence of this instrument, including possible amendments to it. In either case, the meeting will be convoked by the General Secretary. Organization ARTICLE 7
- 1. In order to ensure compliance with the obligations of this Treaty, the Contracting Parties hereby establish an international organization to be known as the " Agency for the Prohibition of Nuclear Weapons in l Latin America" hereinafter referred to as"the Agency" Only the Con- '
tracting Parties shall be affected by its decisions.
- 2. The Agency shall be responsible for the holding of periodic or extraordinary consultations among Member States on matters relating to the purposes, measures and procedures set forth in this Treaty and to .
the supervision of compliance with the obligations arising therefrom.
- 3. The Contracting Parties agree to extend to the Agency full and prompt cooperation in accordance with the provisions of this Treaty, of any agreements they may conclude with the Agency and of any agree-ments the Agency may conclude with any other international organiza-tion or body. .,
- 4. The headquarters of the Agency shall be in Mexico City, l Organs ARTICLE 8
- 1. There are hereby established as principal organs of the Agency a General Conference, a Council and a Secretariat.
- 2. Such subsidiary organs as are considered necessary by the General Conference may be established within the purview of this Treaty. l The General Conference l
ARTICLE 9 j
- 1. The General Conference; the supreme organ of the Agency, shall I be composed of all the Contracting Parties; it shall hold regular sessions every two years and may also hold special sessions whcocver this Ticaty so provides or, in the opinion of the Council, the circumstances so requ:re.
- 2. The General Conference:
(a) May consider and decide on any matters or questions cov-cred by this Treaty, within the limits thereof, including those refer-I sfk l 1
ring to powers and functions of any organ provided for in this Treaty. (b) Shall establish procedures for the control system to ensure observance of this Treaty in aardance with its provisions. (c) Shall elect the Members of the Council and the General Secretary. (d) May remove the General Secretary from office if the proper functioning of the Agency so requires. (c) Shall receive and consider the biennial and special reports submitted by the Council and the General Secretary. (f) Shall initiate and consider studies designed to facilitate the optimum fulfillment of the aims of this Treaty, without prejudice to the power of the General Secretag independently to carry out similar studies for submission to and consideration by the Confer-ence. (g) Shall be the organ competent to authorize the conclusion of agreements with Gov:rnments and other international organiza-tions and bodies.
- 3. The General Cor'erence shall adopt the Agency's budget and fix the scale of financial contributions to be paid by Member States, taking into account the syt tems and criteria used for the same purpose by the United Nations.
- 4. The General Conference shall elect its officers for each session and may establ% ouch subsidiary organs as it deems necessary for the ;
performance ofits functions.
- 5. Each Member of the Agency shall have one vote. The decisions of the General Conference shall be taken by a two-thirds majority of the Members present and voting in the case of matters relating to the control system and measures referred to in article 20, the admission of new Merabers, the election or removal of the General Secretary, adop-tion of tha budget and matters related thereto. Decisions on other matters, a* well as procedural questions and also determination of which questions must be decided by a two-thirds majority, shall be j taken by a simple majority of the Members present and voting. !
- 6. The General Conference shall adopt its own rules of procedure.
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The Council ARTICLE 10
- 1. The Council shall be composed of five Members of the Agency elected by the General Conference from among the Contracting Par-ties, due account being taken equitable geographic distribution.
- 2. The Members of the Council shall be elected for a term of four years. Ilowever, in the first election three will be elected for two years.
Outgoing Members may not be re-elected for the following period unless the limited number of States for which the Treaty is in force so reqmres.
- 3. Each Member of the Council shall have one representative.
- 4. The Council shall be so organized as to be able to function continu-ously.
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- 5. In addition to the functions conferred upon it by this Treaty and to those which may be assigned to it by the General Conference, the Council shall, through the General Secretary, ensure the proper opera-tion of the control system in accordance with the provisions of this Treaty and with the decisions adopted by the General Conference.
- 6. The Council shall submit an annual report on its work to the Gener-al Conference as well as such special reports as it deems necessary or which the General Conference requests ofit.
- 7. The Council shall elect its officers for each session.
- 8. The decisions of the Council shall be taken by a simple majority of its Members present and voting.
- 9. The Council shall adopt its own rules of procedure.
The Secretariat ARTICLE 11
- 1. The Secretariat shall consist of a General Secretary, who shall be the chief administrative officer of the Agency, and of such staff as the Agency may require. The term of office of the General Secretary shall be four years and he may be re-elected for a single additional term. The General Secretary may not be a national of the country in which the Agency has its headquarters. In case the office of General Secretary becomes vacant, a new election shall be held to fill the office for the remainder of the term.
- 2. The staff of the Secretariat shall be appointed by the General Secretary in accordance with rules laid down by the General Confer-ence.
- 3. 'n addition to the functions conferred upon him by this Treaty and to t',ose which may be assigned to him by the General Conference-the Get eral Secretary shall ensure, as provided by article 10, paragraph 5, the l' roper operation of the control system established by this Treaty,in acco dance with the provisions of the Treaty and the decisions taken by the General Conference.
4 The General Secretary shall act in that capacity in all meetings of i the General Conference and of the Council and shall make an annual j report to both bodies on the work of the Agency and any special reports requested by the General Merence or the Council or which the General Secretary may deere desirable.
- 5. The General Secretary shall establish the procedures for distribut-ing to all Contracting Parties information received by the Agency from i
governmental sources and such information from non-governmental j sources as may be ofinterest to the Agency. l 6. In the performance of their duties the General Secretary and the staff shall not seek or receive instructions from any Government or from any other authority external to the Agency and shall refrain from any action which might reflect on their position as international offi-l cials responsible only to the Agency; subject to their responsibility to the Agency, they shall not disclose any industrial secrets or other confi-dential information coming to their knowledge by reason of their offi-cial duties in the Agency. ang 434
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- 7. Each of the Contracting Parties undertakes to respect the exclusive-lyinternational character of the responsibilities of the General Secre-
~ tary and the staff and not to seek to influence them in the discharge of their responsibilities.
Control system ARTICLE 12
- 1. For the purpose of verifying compliance with the obligations en-tered into by the Contracting Parties in accordance with article 1, a control system shall be established which shall be put into effect in accordance with the provisions of articles 13-18 of this Treaty.
- 2. The control system shall be used in particular for the purpose of verifying:
(a) That devices, services and facilities intended for peaceful 1 uses of nuclear energy are not used in the testing or manufacture of nuclear weapons. (b) That none of the activities prohibited in article 1 of this Treaty are carried out in the territory of the Contracting Parties with nuclear materials or weapons introduced from abroad, and (c) That explosions for peaceful purposes are compatible with article 18 of this Treaty. l IAEA safeguards j ARTICLE 13 Each Contracting Party shall negotiate multilateral or bilateral agree- ! ments with the International Atomic Energy Agency for the application ofits safeguards to its nuclear activities. Each Contracting Party shall initiate negotiations within a period of 180 days after the date of the deposit of its instrument of ratification of this Treaty. These agree-ments shall enter into force, for each Party, not later than eighteen months after the date of the initiation of such negotiations except in case of unforeseen circumstances or force majeure. Reports of the Panies ARTICLE 14
- 1. The Contracting Parties shall submit to the Agency and to the International Atomic Energy Agency, for their information, semi-annual reports stating that no activity prohibited imder this Treaty has occurred in their respective territories.
- 2. The Contracting Parties shall simultaneously transmit to the Agency a copy of any report they may submit to the International Atomic Energy Agency which relates to matters that are the subject to this Treaty and to the application of safeguards.
- 3. The Contracting Parties shall also transmit to the Organization of American States, for its information, any reports that may be of inter:st to it, in accordance with the obligations established by the Inter-American System.
Special reports requested by the General Secretary
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I 1 ARTICLE 15 l
- 1. With the authorization of the Council, the General Secretary may I request any of the Contracting Parties to provide the Agency with complementary or supplementary information regarding any event or circumstances connected with compliance with this Treaty, explaining his reasons. The Contracting Parties undertake to co-operate promptly and fully with the General Secretary.
- 2. The General Secretary shall inform the Council and the Contract-ing Parties forthwith of such requests and of the respective replies.
Specialinspections ARTICLE 16
- 1. The International Atomic Energy Agency and the Council estab-lished by this Treaty have the power of carrying out special inspections in the following cases:
(a)In the case of the International Atomic Energy Agency,in j accordance with the agreements referred to in article 13 of this Treaty; (b)In the case of the Council: (i) When so requested, the reasons for the request being i stated, by any Party which suspects that some activity prohib- j ited by this Treaty has been carried out or is about to be carried out, either in the territory of any other Party or in any other place on such latter Party's behalf, the Council shall immedi-ately arrange for such an inspection in accordance with article 10, paragraph 5. (ii) When requested by any Party which has been suspected of or charged with having violated this Treaty, the Council shall immediately arrange for the special inspection requested in ac-cordance with article 10, paragraph 5. The above requests will be made to the Council through the General Secretary.
- 2. The costs and expenses of any special inspection carried out under paragraph 1, sub-paragraph (b), sections (i) and (ii) of this article shall be borne by the requesting Party or Parties, except where the Council concludes on the basis of the report on the special inspection that, in view of the circumstances existing in the case, such costs and expenses should be borne by the Agency.
- 3. The General Conference shall formulate the procedures for the organization and execution of the special inspections carried out in accordance with paragraph 1, subparagraph (b), sections (i) and (ii) of this article.
- 4. The Contracting Parties undertake to grant the inspectors carrying out such special inspections full and free access to all places and all information which may be necessary for the performance of their duties and which are directly and intimately connected with the suspicion of violation of this Treaty. If so requested by the authorities of the Con-tracting Party in whose territory the inspection is carried out, the in-spectors designated by the General Conference shall be accompanied by representatives of said authorities, provided that this does not in any way delay or hinder the work m .he inspectors.
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- 5. The Council shall immediately transmit to all Parties, through the General Secretary, a copy of any report resulting from special inspec-tions.
- 6. Similarly, the Council shall send through the General Secretary to the Secretary-General of the United Nations, for transmission to the United Nations Secretary Council and General Assembly, and to the Council of the Organization of American States, for its information, a copy of any report resulting from any special inspection carried out in accordance with paragraph 1, sub-paragraph (b), sections (i) and (ii) of this article.
- 7. The Council may decide, or any Contracting Party may request, the convening of a special session of the General Conference for the pur-pose of considering the reports resulting from any special inspection. In such a case, the Geneal Secretary shall take immediate steps to con-vene the special session requested.
- 8. The General Conference, convened in special session un-der this article, may make recommendations to the Contract-ing Parties, and submit reports to the Secretary-General of the United Nations to be transmitted to the United Nations Secu-rity Council and the General Assembly.
Use of nuclear energ for peaceful purposes ARTICLE 17 Nothing in the provisions of this Treaty shall prejudice the rights of the Contracting Parties, in conformity with this Treaty, to use nuclear energy for peaceful purposes, in particular for their economic develop-ment and social progress. Erplosionsforpeacefulpwposes ARTICLE 18
- 1. Contracting Parties may carry out explosir,as of nuclear devices for peaceful purposes-including explosions which involve devices :,imilar to those used in nuclear weapons--or collaborate with third parties for the same purpose, provide that they do so in accordance with the provi-sions of this article and the other articles of the Treaty, particularly articles 1 and 5.
- 2. Contracting Parties intending to carry out, or to cooperate in carry-ing out, such an explosion shall notify the Agency and the International Atomic Energy Agency, as far in advance as the circumstances require, of the date of the explosion and shall at the same time provide the following information:
(a) The nature of the nuclear device and the source from which it was obtained. (b) The place and purpose of the planned explosion, (c) The procedures which will be followed in order to comply with paragraph 3 of this article. (d) The expected force of the device, and (e) The fullest possible information on any possible radioactive fall-out that may result from the explosion or explosions, and 437 5 Y Y7,
measures which will be taken to avoid danger to the population, flora, fauna and territories of any other Party or Parties.
- 3. The General Secretary and the technical personnel designated by the Council and the International Atomic Energy Agency may observe all the preparations, including the explosion of the device, and shall have unrestricted access to any area in the vicinity of the site of the explosion in order to ascertain whether the device and the procedures followed during the explosion are in conformity with the information supplied under paragraph 2 of this article and the other provisions of tius Treaty.
- 4. The Contracting Parties may accept the collaboration of third par-ties for the purnose set forth in paragraph 1 of the present article, in accordance with paragraphs 2 and 3 thereof.
Relations with other international organizations ARTICLE 19
- 1. The Agency may conclude such agreements with the International Atomic Energy Agency as are authorized by the General Conference and as it considers likely to facilitate the efficient operation of the control system established by this Treaty.
- 2. The Agency may also enter into relations with any international organization or body, especially any which may be established in the a future to supervise disarmament or measures for the ccmtrol of arma-ments in any part of the world.
- 3. The Contracting Parties may,if they see fit, request the advice of the Inter-American Nuclew Energy Commission on all technical mat-ters connected with the application of this Treaty with which the Com-mission is competent to deal under its Statute.
Measures in the event of violation of the Treaty ARTICLE 20
- 1. The General Conference shall take note of all cases in which, in its opinion, any Contracting Party is not complying fully with its obliga-tions under this I'reaty and shall draw the matter to the attention to the Party concerned, making such recommendations as it deems appropri-ate.
- 2. If, in its opinion, such non-compliance constitutes a violation of this Treaty which might endanger peace and security, the General Confer-ence shall report thereon simultaneously to the United Nations Securi-ty Council and the General Assembly through the Secretary-General of the United Nations and to the Council of the Organization of American States. The General Conference shall likewise report to the Interna-tional Atomic Energy Agency for such purposes as are relevant in accordance with its Statute.
United Nations and Organizations ofAmerican States ARTICLE 21 None of the provisions of this Treaty shall be construed as impairing the rights and obligations of the Parties under the Charter of the United 438
Nations or,in the case of States Members of the Organization of Amer-ican States, under existing regional treaties. Privileges andimmunities ARTICLE 22
- 1. The Ageng shall enjoy in the territory of each of the Contracting Parties such legal capacity and such privileges and immunities as may be necessary for the exercise of its functions and the fulfillment of its purposes. I
- 2. Representatives of the Contracting Parties accredited to the Agency and officials of the Agency shall similarly enjoy such privileges and immunities as are necessary for the performance of their functions.
3.The Agency may conclude agreements with the Contracting Parties with a view to determining the details of the application of paragraphs 1 l and 2 of this article. Notification of other agreements ARTICLE 23 Once this Treaty has entered into force, the Secretariat shall be noti-fied immediately of any international agreement concluded by any of the Contracting Parties on matters with which this Treaty is concerned; the Secretariat shall register it and notify the other Contracting Parties. Settlement of disputes ARTICLE 24 Unless the Parties concerned agree on another mode of peaceful settlement, any question or dispute concerning the interpretation or application of this Treaty which is not settled shall be referred to the International Court of Justice with the prior consent of the Parties to j the controversy. l Signature ARTICLE 25
- 1. This Treaty shall be open indefinitely for signature by: ;
(a) All the Latin American Republics, and (b) All other sovereign States situated in their entirety south of ' latitude 35x north in the western hemisphere; and, except as pro-vided in paragraph 2 of this article, all such States which become sovereign, when they have admitted by the General Conference.
- 2. The General Conference shall not take any decision regarding the admission of a political entity party or all of whose territory is the subject, prior to the date when this Treaty is opened for signature, of a dispute or claim between an extra-continental country and one or more Latin American States, so long as the dispute has not been settled by peaceful means.
! Ratification and deposit ! ARTICLE 26
- 1. This Treaty shall be subject to ratification by signatory States in accordance with their respective constitutional procedures.
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- 2. This Treaty and the instruments of ratification shall be deposited with the Government of the Mexican United States, which is hereby designated the Depositary Government.
- 3. The Depositary Government shall send certified ccpies of this Treaty to the Governments of signatory States and shall notify them of the deposit of each instrument of ratification.
Reservations ARTICLE 27 This Treaty shall not be subject to rescivations. Entry intoforce ARTICLE 28
- 1. Subject to the provisions of paragraph 2 of this article, this Treaty shall enter into force among the States that have ratified it as soon as the following requirements have been met:
(a) Deposit of the instruments of ratification of this Treaty with the Depositary Government by the Governments of the States mentioned in article 25 which are in existence on the date when this Treaty is opened for signature and which are not affected by the provisions of article 25, paracjaph 2; (b) Signature and ratification ef Additional Protocol 1 annexed to this Treaty by all extra-continen.x ar continental States have de jure or defacto international responsibility for territories situated in the zone of application of the Treaty; (c) Signature and ratification of the Additional Protocol 11 an-nexed to this Treaty by all powers possessing nuclear weapons; (d) Conclusion of bilateral or multilateral agreements on the agreements on the application of the Safeguards System of the ) International Atomic Energy Agency in accordance with article 13 of this Treaty. ,
- 2. All signatory States shall have the imprescriptible right to waive,
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wholly or in part, the requirements laid down in the preceding para- < graph. They may do so by means of a declaration which shall be annexed to their respective instrument of ratification and which may be formu-lated at the time of deposit of the instrument or subsequently. For those States which exercise this right, this Treaty shall enter into force upon ; deposit of the declaration, or as soon as those requirements have been ! met which have not been expressly waived. !
- 3. As soon as this Treaty has entered into force in accordance with the provisions of paragraph 2 for eleven States, the Depositary Govern-ment shall convene a preliminary meeting of those States in order that I the Agency may be set up and commence its work. l l 4. After the entry into force of this treaty for all the countries of the l zone, the rise of a new per possessing nuclear weapons shall have the effect of suspending the execution of this Treaty for those countries which have ratified it without waiving requirements of paragraph 1, sub-paragraph (c) of this article, and which request such suspension; i the Treaty shall remain suspended until the new power, on its own i 440 "~~**
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initiative or upon request by the General Conference ratifies the an- l nexed Additional Protocol 11. Amendments ARTICLE 29
- 1. Any Contracting Party may propose amendments to this Treaty and l
shall submit its proposals to the Council through the General Secretary, j who shall transmit them to all the other Contracting Parties and, m addition, to all other signatories in accordance with article 6. The Council, through the General Secretary, shall immediately following the meeting of signatories convene a special session of the General Conference to examine the proposals made, for the adoption ofwhich a two-thirds majority of the C<mtracting Parties present and voting shall be required.
- 2. Amendments adopted shall enter into force as sOon as the require- j ments set forth in article 28 of this Treaty have been complied with. 1 Duration and denunciation ARTICLE 30
- 1. This Treaty shall be of a permanent nature and shall remain in force indefinitely, but any Party may denounce it by notifying the General l Secretary of the Agency if,in the opinion of the denouncing State, there have arisen or may arise circumstances connected with the content of ,
this Treaty or of the annexed Additional Protocols I and 11 which affect i its supreme interests or the peace and security of one or more Contract-ing Parties.
- 2. The denunciation shall take eff; . three months after the delivery to the General Secretary of the Ageq of the notification by the Gov-crnment of the signatory State concerned. The General Secretary shall i immediately communicate such notification to the other Contracting {
Parties and to the Secretary-General of the United Nations for the l information of the United Nations Security Council and the General Assembly. lie shall also communicate it to the Secretary-General of the Organization of American States. Authentic texts and registration l ARTICLE 31 This Treaty, of which the Spanish, Chinese, English, French, Portu- i guese and Russian texts are equally authentic, shall be registered by the l Depositary Government in accordance with article 102 of the United l Nations Charter. The Depositary Government shall notify the Secre-tary-General of the United Nations of the signatures, ratifications and amendments relating to this Treaty and shall communicate them to the Secretary-General of the Organization of American States for its infor-mation. TRANSITIONAL ARTICLE l' Denunciation of the declaration referred toin article 28, paragraph 2, shall be subject to the same procedures as the denunciation of this 441 - (
t Treaty, except that it will take effect on the date of delivery of the respective notification. In Witness Whereof the undersigned Plenipotentiaries, having depos-ited their full powers, found in good and due form, sign this Treaty on behalf of their respective Governments. Done at Mexico, Distrito Federal, on the Fourteenth day of February, one thousand nine hur> dred and sixty-seven. ADDITIONAL PROTOCOL 2 The undersigned Plenipotentiaries, furnished with full powers by their respective Governments. Convinced that the Treaty for the Prohibition of Nuclear Weapons in Latin America, negotiated and signed in accordance with the recom-mendations of the General Assembly of the United Nations in Resolu-tion 1911 (XVIII) of 27 November 1963, represents an important step towards ensuring the non-proliferation of nuclear weapons. Aware that the non-proliferation of nuclear weapons is not an end in itself but, rather, a means of achieving general and complete disarma-ment at a later stage, and Desiring to contribute, so far as lies in their power, towards ending the artnaments race, especially in 6 tiled of nuclear weapons, and towards stre ngthening a world at peace, based on mutual respect and sovereign equality of States. Have agreedasfollows: Article 1. To undertake to apply the statute of denuclearization in respect of warlike purposes as defined in articles 2,3,5 and 13 of the Treaty for the Prohibition of Nuclear Weapons in Latin America in territories for which, dejure or defacto, they are internationally respon-sible and which lie within the limits of the geographical zone established in that treaty. l Article 2. The duration of this Protocol shall be the same as that of the i Treaty for the Prohibition of Nuclear Weapons in Latin America of which this Protocol is an annex, and the provisions regarding ratifica-tion and denunciation contained in the Treaty shall be applicable to it. Anicle J. This Protocol shall enter into force, for the States which have ratified it, on the date of the deposit of their respective instruments of ratification. In Witness Whereof the undersigned Plenipotentiaries, having deposited their full powers, found in good and due form, sigt, this Protocol on behalf of their respective Governments. 2The United Kingdom and the Netherlands are parties to this Protocol. The United States has signed. A V& I l
TREATY FOR THE PROHIBITION OF NUCLEAR WEAPONS IN LATIN AMERICA Date of Date of Deposit of Country Signature Ratification Antigua & Barbuda . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10/11/83 ... .... 10/11/83 Arge nti na . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9/27/67 . . . . . . . . . 1/18/94 Bahamas, The . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11/2996a . . . . . . . . . 11/29/76 B ar ba dos . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10/18/68 . . . . . . . . . 4/25/69 Be lize . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . 2/14/92 . .. . . . . . . . . . . -- B olivia . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2/14/67 . . . . . . . . . 2/18/69 Brazil ' . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5/9/67 . . . . . . . . . 1/29/68b Chile . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2/14/67 . . . . . . . . . 10/9/74b Colo mbia . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2/14/67 . . . . . . . . . . 8/4/72 Cost a Ri ca . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2/14/67 . . . . . . . . . 8/25/69 Cuba............................................. - D om i nica . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5/2/89 . . . . . . . . . . 6/4/93b Dominican Republic . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7/29/67 . . . . . . . 6/14/68 Ecuador . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2/14/67 . . . . . . . . 2/11/69 El Salvador . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2/14/67 . . . . . . . . 4/22/68 Grenada . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4/29/75 . . . . . . . . . 6/20/75 G uate mala . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2/14/67 . . . . . . . . . . 2/6/70 Guyana . . . . ....... .......................... . . - ............ -- IIaiti . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2/14/67 . . . . . . . . . 5/23/69 H o nd ur as . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2/14/67 . . . . . . . . 9/23/68 J a maica . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10/26/67 . . . . . . . . 6/26/69 M exico . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2/14/67 . . . . . . . . . 9/20/67 Nicaragua . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2/15/67 . . . . . . . . 10/24/68 Pa nam a . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2/14/67 . . . . . . . . . 6/11/71 Paraguay .......................................... 4/26/67 . . . . . . . . . 3/19/69 Pe ru . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2/14/67 . . . . . . . . . . 3/4/69 St. Kitts/Nevis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2/18/94 . . . . . . . . . . . -- St. Lucia . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8/25/92 . . . . . . . . . . . . -- St. Vincent / Grenadines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2/14/92 . . . . . . . . . 2/14/92b Surina me . . . . . . . . . . . . . . . . . . . ........ . .. . . . . 2/13/76 . . . . . . . . . 6/10/77 Trinidad & Tobago . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6/27/67 . . . . . . . . 12/3/70b U rugu ay . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2/14/67 . . . . . . . . . 8/20/68 Ve nezuela . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2/14/67 . . . . . . . . . 3/23/70 TO TAL . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31 ....... ..... 28 "This is date of notification of succession. The declaration ofwaiver was deposited 4/26n7,which is date of entry into force for The Bahamas. b Waived into force on separate date. Brazil. 5/30/94; Chile,1/18/94; Colombia,9/6/72; St. Vincent /Gren-rdines,5/11/92; Trinidad & Tobago,6/27/75. 443 fb,gh l l L
l ADDITIONAL PROTOCOL I TO THE TREATY FOR TIIE PROHIBITION OF NUCLEAR WEAPONS IN LATIN AMERICA Date of Date of Deposit of Ccuntry Signature Ratification France ................. ............. . . ....... 3/2n9 . .............. Ne therlands. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4/1/68 . . . . . . . 7/26/71 United Ki1gdom . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12/20/67 . . . . . . . . 12/11/69 UnitedStres . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5/26n7 . . . . . . . 11/23/81 ADDITIONAL PROTOCOL II TO THE TREATY FOR Tile PROHIBITION OF NUCLEAR WEAPONS IN LATIN AMERICA Date of Date of Deposit of Country Signature Ratification China. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8/2103 . . . . . . . . . 6/12n4 France ...... ................. .......... . . . . . . 7/1803 . . . . . .. 3/22/74 U SSR. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5/18n8 . . . . . . . . . . 1/8n9 United Kingdom. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12/20/67 . . . . . . . . 12/11/69 United States . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4/1/68 . . . . . . . 5/12n1 awn 444 Y N
l i AGREEMENT BE'IWEEN TIIE UNITED STATES OF AMERICA AND l TIIE INTERNATIONAL ATOMIC ENERGY AGENCY FOR TIIE i APPLICATION OF sal /EGUARDS IN TIIE UNITED STATES OF AMERICA Whereas the United States of America (hereinafter referred to as the j
" United States") is a Party to the Treaty on S Non-Proliferation of '
Nuclear Weapons (hereinafter referred to as the " Treaty") which was opened for signature at London, Moscow and Washagton on 1 July 1968 and which entered into force on 5 March 1970; Whereas States Parties to the Treaty undertake to co-operate in facili- l tating the application of International Atomic Energy Agency ) (hereinafter referred to as the " Agency") safeguards on peaceful nu-clear activities; Whereas non-nuclear-weapon States Parties to the Treaty undertake to accept safeguards, as set forth in an agreement to be negotiated and concluded with the Agency, on all source or special fissionable material ; in all their peaceful nuclear activities for the exclusive purpose ofverifi-cation of the fulfillment of their obligations under the Treaty with a view to preventing diversion of nuclear energy from peaceful uses to nuclear weapons or other nuclear explosive devices; Whereas the United States, a nuclear-weapon State as defined by the Treaty, has indicated that at such time as safeguards are being generally applied in accordance with paragraph 1 of Article III of the Treaty, the United States will permit the Agency to apply its safeguards to all nuclear activities in the United States-excluding only those with direct national security significance-by concluding a safeguards agreement with the Agency for that purpose; Whereas the United States has made this offer and has entered into this agreement for the purpose of encouraging widespread adherence to the Treaty by demonstrating to no-nuclear-weapon States that they would not be placed at a commercial disadvantage by reason of the application of safeguards pursuant to the Treaty; Whereas the purpose of a safeguard agreement giving effect to this offer by the United States would thus differ necessarily from the pur-poses of safeguards agreements concluded between the Agency and non-nuclear-weapon States Party to the Treaty; Whereas it is in the interest of Members of the Agency, that, without prejudice to the principles and integrity of the Agency's safeguards system, the expenditure of the Agency's financial and other resources for implementation of such an agreement not exceed that necessary to accomplish the purpose of the Agreement; Whereas the Agency is authorized, pursuant to Article III of the Statute of the International Atomic Enemy Agency (hereinafter re-ferred to as the " Statute"), to conclude such a safeguards agreement; Now, therefore, the United States and the Agency have agreed as follows-D 445 p
PARTI l ARTICLE 1 (a) The United States underGes m nermit the Agency to apply safeguards, in accordance with the terms of this Agreement, on all 1 source or special fissionable material in all facihus within the United i States, excluding only those facilities associated with dvities with direct national security significance to the United States, whid a view to enabling the Agency to verify that such material is not withdrac except as provided for in this Agreement, from activities in facilities while such material is being safeguarded under this Agreement. (b) The United States shall, upon entry in force of this Agreement, i provide the Agency with a list of facilities within the United States not ! associated with activities with direct national security significance to the United States and may,in accordance with the procedures set forth ; in Part II of this Agreement, add facilities to or remove facilities from ' that list as it deems appropriate. (c) The United States may,in accordance with the procedures set forth in this Agreement, withdraw nuclear material from activities in facilities included in the list referred to in Article 1(b). ARTICLE 2 (a) The Agency shall have the right to apply safeguards in accordance with the terms of this Agreement on all source or special fissionable material in all facilities within the United States, excluding only those ; facilities associated with activities with direct national security signifi-cance to the United States, with a view to enable the Agency to verify tht such material is not withdrawn, except as provided for in this Agreement, from activities in facilities while such material is being safeguarded under this Agreement. , (b) The Agency shall, from time to time, identify to the United States ! those facilities, selected from the then current list provided by the United States in accordance with Article 1(b) in which the Agency wishes to apply safeguards, in ao:ordance with the terms of this Agreement. (c) In identifying facilities and in applying safeguards thereafter on source or special fissionable material in such facilities, the Agency shall , proceed in a manner which the Agency and the United States mutually , agrees takes into account the requirement on the United States to ! avoid discriminatory treatment as between United States commercial firms similarly situated. ARTICLE 3 (a) The United States and the Agency shall co-operate to facilitate the implementation of the safeguards provided for in this Agreement. (b) The source or special fissionable material subject to safeguards under this Agreement shall be that material in those facilities which shall have been identified by the Agency at any given time pursuant to Article 2(b). (c) The safeguards to be applied by the Agency under this agreement on source or special fissionable materials in facilities in the United 446 "% Y (( - l
I l l States shall be implemented by the same procedures followed by the ' Agency in applying its safeguards on similar material in similar facilities in non-nuclear-weapon States under agreement pursuant to paragraph 1 of Article III of the Treaty. ARTICLE 4 The safeguards provided for in this Agreement shall be implemented in a manner designed: (a) To avoid hampering the economic and technological devel-opment of the United States orinternational co-operation in the field of peaceful nuclear activities, including international ex-change of nuclear material; (b) To avoid undue interference in peaceful nuclear activities of the United States and in particular in the operation of the facili-ties; and 4 (c) To be consistent with prudent management practices re-quired for the economic and safe conduct of nuclear activities. ARTICLE 5 (a) The Agency shall take every precaution to protect commercial and industrial secrets and other confidential information coming to its knowledge in the implementation of this Agreement. (b)(i) The Agency shall not publish or communicate to any State, organization or person any information obtained by it in connection I with the implementation of this Agreement, except that specific infor-mation relating to the implementation thereof may be given to the Board of Governors of the Agency (hereinafter referred to as "the Board") and to such Agency staff members as require such knowledge by reason of their official duties in connection with safeguards, but only to the extent necessary for the Agency to fulfill its responsibilities in implementing this Agreement. ! (ii) Summarized information on nuclear material subject to safe-guards under this Agreement may be published upon the decision of the Board if the United States agrees thereto. l j ARTICLE 6 (a) The Agency shall, in implementing safeguards pursuant to this Agreement, take full account of technological developments in the field of safeguards, and shall make every effort to ensure optimum cost-ef-fcctiveness and the application of the principle of safeguarding effectively the flow of nuclear material subject to safeguards under this Agreement by use ofinstruments and other techniques at certain stra-tegic points to the extent that present or future technology permits. (b) In order to ensure optimum cost-effectiveness, use shall be made, for example, of such means as:
'(i) Containment as a means of defining material balance areas for accounting purposes; (ii) Statistical techniques and random sampling in evaluating the flow of nuclear material; and l
l l I
(iii) Concentration of verification procedures on those stages in the nuclear fuel cycle invohing the production, processing, use or storage of nuclear material from which nuclear weapons or other nuclear explosive devices could readily be made, and minimiza-tion of verification procedures in respect of other nuclear material, on condition that this does not hamper the Agency in applying safeguards under this Agreement. ARTICLE 7 i (a) The United States shall establish and maintain a system of ac-counting for and control of all nuclear material subject to safeguards under this Agreement. (b) The Agency shall apply safeguards in accordance with Article 3(c) in such a manner as to enable the Agency to verify, in ascertaining that there has been no withdrawal of nuclear material, except as pro-vided for in this Agreement, from activities in facilitics while such material is being safeguarded under this Agreement, findings of the accounting and control system of the United States. The Agency's veri-fication shall include, inter alia, independent measurements and observations conducted by the Agency in amordance with the procedures specified in Part 11. The Agency,in its verification, shall take due account of the technical effectiveness of the system of the United States. ARTICLE 8 (a) In order to ensure the effective implementation of safeguards under this Agreement, the United States shall, in accordance with the provisions set out in Part II, provide the Agency with information con-cerning nuclear material subject to safeguards under this Agreement and the features of facilities relevant to safeguarding such material. (b (i) The Agency shall require only the minimum amount of infor-mat)on i and data consistent with carrying out its responsibilities under this Agreement. (ii)Information pertaining to facilitics shall be the minimum neces-sary for safeguarding nuclear material subject to safeguards under this Agreement. (c) If the United States so requests, the Agency shall be prepared to examine on premises of the United States design information which the United States regards as being of particular sensitivity. Such informa-tion need not be physically transmitted to the Agency provided that it remains readily available for further examination by the Agency on premises of the United States. ARTICLE 9 (a)(i) The Agency shall secure the consent of the United States to the designation of Agency inspectors to the United States. (ii) If the United States, either upon proposal of a designation or at any other time after designath has been made, objects to the designa-
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tion, the Agency shall propose to the United States and alternative designation or designations.
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( l (iii)lf, as a result of the repeated refusal of the United States to accept I the dedgnation of the Agency inspectors, inspections to be conducted under this Agreement would be impeded, such refusal shall be consid-cred by the Board, upon referral by the Director General of the Agency (hereinafter referred to as "the Director General") with a view to its taking appropriate action. (b) The United States shall take the necessary steps to ensure that Agency inspectors can effectively discharge their functions under this , Agreement. 1 (c) 1 he visits and activities of Agency inspectors shall be so arranged as: (i) To reduce to a minimum the possible inconvenience and disturbance to the United States and to the peaceful nuclear activ-ities inspected; and (ii) To ensure protection of industrial secrets or any other confi- l i dential information coming to the inspectors' knowledge. ARTICLE 10 The Provisions of the International Organizations Immunities Act of the United States of America shall apply to Agency inspectors perform-ing functions in the United States under this Agreement and to any l property of the Agency used by them. ARTICLE 11 Safeguards shall terminate on nuclear material upon determination by the Agency that the material has been consumed, or has been diluted in such a way that it is no longer usable for any nuclear activity relevant ' front the point of view of safeguards, or has become practicably irrecov-erable. ARTICLE 12 (a) If the United States intends to exercise its right to withdraw nuclear material from activities in fhcilities identified by the Agency pursuant to Article 2(b) and 39(b) (other than those facilities re-moved, pursuant to Article 34(b)(i) from the list provided for by Article 1(b)) and to transfer such material to a destination in the United States other than to a facility included in the list established and maintained pursuant to Article 1(b) and 34, the United States shall notify the Agency in advance of such withdrawal. Nuclear material in respect of which such notification has been given shall cease to be subject to safeguards under this Agreement as from the time ofits withdrawal. (b) Nothing in this Agreement shall effect the right of the United States to transfer material subject to safeguards under this Agreement to destinations not within orunder thejurisdiction of the United States. The United States shall provide the Agency with information with respect to such transfers m accordance with Article 89. The Agency shall keep records of each such transfer and, where applicable, of the re-application of safeguards to the transferred nuclear material. 449 l
ARTICLE 13 Where nuclear material subject to safeguards under this Agreement is to be used in non-nuclear activities, such as the production of alloys or ceramics, the United States shall agree with the Agency, before the material is so used, on the circumstances under which the safeguards on such material may be terminated. 1 ARTICLE 14 i The United States and the Agency will bear the expenses incurred by them in implementing their respective responsibilities under this Agreement. Ilowever if, the United States or persons under itsjurisdic. ! tion incur extraordinary expenses as a result of a specific request by the Agency, the Agency shall reimburse such expenses provided that it has ] j agreed in advance to do so. In any case the Agency shall bear the cost of ariy additional measuring or sampling which inspectors may request. ARTICLE 15 In carrying out its functions under this Agreement within the United , States, the Agency and its personnel shall be covered to the same extent as nationals of the United States by any protection against third-party liability provided under the Price-Anderson Act, including insurance or other indemnity coverage that may be required by the Price-Anderson Act with respect to nuclear incidents. ARTICLE 16 Any claim by the United States against the Agency or by the Agency against the United States in respect of any damage resulting from the implementation of safeguards under this Agreement, other than dam-age arising out of a nuclear incident, shall be settled in accordance with international law. ARTICLE 17 If the Board, upon report of the Director General, decides that an action by the United States is essential and urgent in order to ensure compliance with this Agreement, the Board may call upon the United ! States to take the required action without delay, irrespective ofwhether procedures have been invoked pursuant to Article 21 for the settlement i of a dispute. I ARTICLE 18 ! If the Board,upon examination of relevant information reported toit I by the Director General, determines there has been any non-com- ! pliance with this Agreement, the Board maycall upon the United States l to remedy forthwith such non-compliance. In the event there is a failure to take fully corrective action within a reasonable time, the ; Board may make the reports provided for in paragraph C of Article XII of the Statute and may also take, where applicable, the other measures l provided for in that paragraph. In taking such action the Board shall hd i
take account of the degree of assurance provided by the safeguards measures that have been applied and shall afford the United States every reasonable opportunity to furnish the Board with any necessary reassurance. ARTICLE 19 The United States and the Agency shall, at the request of e.ither, consult about any question arising out of the interpretation or applica-tion of this Agreement. ARTICLE 20 The United States shall have the right to request that any question { arising out of the interpretation or application of this Agreement be ; considered by the Board. The Board shallimite the United States to participate in the discussion of any such question by the Board. ARTICLE 21 Any dispute arising out of the interpretation or application of this l Agreement, except a dispute with regard to a determination by the Board under Article 18 or an action taken by the Board pursuant to such a determination which is not settled by negotiation or another procedure agreed to by the United States and the Agency shall, at the request of either, be submitted to ar. arbitral tribunal composed as follows: The United States and the Agency shall cach designate one arbitrators, and the two arbitrators so designated shall elect a third, who shall be the Chairman. If, within thirty days of the request for arbitration, either the United States or the Agency has not designated an arbitrator, either the United States or the Agency may request the President of the International Court of Justice to appoint an arbitrator. The same procedure shall apply if, within thirty days of the designation or appointment of the second arbitrator, the third arbitrator has not been elected. A majority of the members of the arbitral tribunal shall constitute a quorum, and all decisions shall require the concurrence of two arbitrators. The arbitral procedure shall be fixed by the tribunal. The decisions of the tribunal shall be binding on the United States and the Agency. ARTICLE 22 The Parties shall institute steps to suspend the applications of Agency safeguards in the United States under other safeguards agreements with the Agency while this Agreement is in force. However, the United States and the Agency shall ensure that nuclear material being safe-guarded under this Agreement shall be at all times at least equivalent in amount and composition to that which would be subject to safeguards in the United States under the agreements in question. The detailed arrangements for the implementation of this provision shall be speci-fied in the subsidiary arrangements provided for in Article 39, and shall reflect the nature of any undertaking given under such other safeguards agreement.
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ARTICLE ;3 (a) The United States and the Agen:y shall, at the request of either, consult each other on amendments to this Agreement. (b) All amendments shall require the agreement of the United States and the Agency. ARTICLE 24 This Agreement or any amendment thereto shall enter into force on the date on which the Agency receives from the United States written l notification that statutory and constitutional requirements of the l United States for entry into force have been met. l ARTICLE 25 l The Director General shall promptly inform all Member States of the Agency of the entry into force of this Agreement, or of any amendments thereto. ARTICLE 26 The Agreement shall remain in force as long as the United States is a party to the Treaty except that the Parties to this Agreement so.ll, upon - the request of either of them, consult and, to the extent mutually agreed, modify this Agreement in order to ensure that it continues to serve the purpose for which it was originally intended. If the Parties are unable after such consultation to agree upon necessary modifications, either Party may, upon six months' notice, terminate this Agreement. PART II ARTICLE 27 l The purpose of this part of the Agreement is to specify the procedures to be apphed in the implementation of the safeguards provisions of Part I. ARTICLE 28 The objective of the safeguards procedures set forth in this part of the Agreement is the timely detection of withdrawal, other than in accor-dar.e with the terms of this Agreement, of significant quantities of nuclear material from activities in facilities while such material is being safeguarded under this Agreement. ARTICLE 29 For the purpose of achieving the objective set forth in Amd 28, material accountancy shall be used as a safeguards measure of funda-mental importance, with containment and surveillance as important complementary measures. ARTICLE 30 The technical conclusion of the Agency's verification activities shall be a statement, in respect of each material balance area, of the amount 452 % hk - L. __ _ __ ._ _
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of material unaccounted for over a specific period, and giving the limits of accuracy of the amounts stated.
. ARTICLE 31 Pursuant to Article 7, the Agency, in carrying out its verification activities, shall make full use of the United States' system of accounting for and control of all nuclear material subject to safeguards under this Agreement and shall avoid unnecessary duplication of the United States' accounting and control activities.
ARTICLE 32 The United States' system of accounting for and control of all nuclear material subject to safeguards under this Agreement shall be based on a structure of material balance areas, and shall make psovision, as ap-propriate and specified in the Subsidiary Arrangements, for the establishment of such mensures as : (a) A measurement system for the determination of the quanti-ties of nuclear material received, produced, shipped, lost or otherwise removed from inventory, and the quantities on invento-17; (b) The evaluation of precision and accuracy of measurements and the estimation of measurement uncertainty; (c) Procedure for identifying, reviewing and evaluating differ-ences in shipper / receiver measurements; (d) Procedure for taking a physical inventory; (e) Procedures for the evaluation of accumulations of unmea-sured inventory and unmeasured losses; (f) A system of records and reports showing, for each material balance area, the inventory of nuclear material and the changes in that inventory including receipts into and transfers out of the material balance area; (g) Provisions to ensure that the accounting procedures and arrangements are being operated correctly; and (h) Procedures for the provision of reports to the Agency in accordance with Article 57 through 63 and 65 through 67. ARTICLE 33 Safeguards under this Agreement shall not apply to material in min-ing or ore processing activities. l l ARTICLE 34 j The United States may, at any time, notify the Agency of any facility l or facilities to be added to or removed from the list provided for in Article 1(b): (a) In case of addition to the list, the notification shall specify
- the facility or facilities to be added to the list and the date upon I
which the addition is to take effect; (b) In the case of removal from the list of a facility or facilities then currently identified pursuant to Article 2(b) or 39(b):
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(i) The Agency shall be notified in advance and the notifica-tion shall specify: the faciiity or facilities being removed, the date of removal, and the quantity and composition of the nu-cicar material contained therein at the time of notification. In exceptional circumstances, the United States may remove fa-cilities without giving advance notification; (ii) Any facility in respect of which notification has been given in accordance with sub-paragraph (i) shall be removed from the list and nuclear material contained therein shall cease to be subject to safeguards under this Agreement in accor-dance with and at the time specified in the notification by the United States. (c) In the case of removal from tbc list of a facility or facilities not then currently identified pursuant to Article 2(b) or 39(b), the notification shall specify the facility or facilities being removed and the date of removal. Such facility or facilities shall be removed from the list at the time specified in the notification by the United States. ARTICLE 35 (a) Safeguards shall terminate on nuclear material subject to safe-guards under this Agreement, under the conditions set forth in Article
- 11. Where the conditions of the Article are not met, but the United States considers that the recovery of safeguarded nuclear material from residues is not for the time being practicable or desirable, the United States and the Agency shall consult on the appropriate safeguards measures to be applied.
(b) Safeguards shall tenbte on nuclear material subject to safe-guards under this Agreemc.. Mr the conditions set forth in Article 13, provided that the United a s and the Agency agree that such nuclear material is practicably irrecoverable. ARTICLE 36 At the request of the United States, the Agency shall exempt from the safeguards nuclear material, which would otherwise be subject to safe-guards under this Agreement, as follows: (a ties)or less as a sensing component in instruments;Special fissionable material, wh (b) Nuclear material, when it is used in non-nuclear activities in accordance with Article 13,if such nuclear material is recoverable; and (c) Plutonium with anisotopicconcentration of pktonium-238 exceeding 80% ARTICLE 37 At the request of the United States, the Agency shall exe npt from safeguards nuclear material that would otherwise be subject to safe-guards under this Agreement, provided that the total qutntity of nuclear material which has been exempt in the United States in accor-darce with this Article may not at any time exceed: 1 N I 454 _v , I I ! i l f , l !
(a) One kilogram in total of special fissionable material, which ! may consist of one or more of the following: ' (i) Plutonium; (ii) Uranium with an enrichment of 0.2 (20%) and above, tak- 4 en account of by multiplying its weight by its enrichment; and ! (iii) Uranium with an enrichment below 0.2 (20%) and ! above that of natut al uranium, taken account of by multiplying its weight by five times the square of its enrichment; (b) Ten metric tons in total of natural uranium and depleted uranium with an enrichment above 0.005 (0.5%); (c) Twenty metric tons of depleted uranium with and enrich- , ment of 0.005 (0.5%) or below; and ; (d) Twenty metric tons of thorium; or such greater amounts as may be specified by the Board for uniform application. ARTICLE 38 If exempted nuclear material is to be processed or stored togecer with nuclear material subject to safeguards under this Agreement, pro-vision shall be made for the re-application of safeguards thereto. ARTICLE 39 (a) The United States and the Agency shall make Subsidiary Ar-rangements which shall: (i) contain a current listing of those facilities identified by the Agency pursuant to Article 2(b) and thus containing nuclear ma-terial subject to safeguards under this Agreement; and (ii) specify in detail, to the extent necessary to permit the Agency to fulfill its responsibilities under this Agreement in an effective and efficient manner, how the procedures laid down in this Agreement are to be applied. < (b)(i) After entry into force of this Agreement, the Agency shall - identify to the United States, from the list provided in accordance with Article 1(b), those facilities to be included in the initial Subsidiary Arrangements listing; > (ii The Agency may thereafter identify for inclusion in the Subsid-iary) Arrangements listing additional facilities from the list provided in accordance with Article 1(b) as that list may have been modified in accordance with Article 34. (c) The Agency shall also designate to the United States those facili-ties to be removed from the Subsidiary Arrangements listing which have not otherwise been removed pursuant to notification by the by the United States in accordance with Article 34. Such facility or facilities l shall be removed from the Subsidiary Arrangements listing upon such ) designation to the United States. l (d) The Subsidiary Arrangements may be extended or charged by i agreement between the Agency and the United States without amend- j ment of this Agreement. g i s : 455 y ) w.w - : I l I i l i
l ARTICLE 40 ' (a) With respect to those facilities which shall have been identified by the Agency in accordance with Article 39(b)(i), such Subsidiary Ar-rangement shall enter into force at the same time as, or as soon as possible after, entry into force of this Agreement. The United States and the Agency shall make every effort to achieve their entry into force within 90 days after entry into force of this Agreement; an extension of that period shall require agreement between the United States and the Agency. (b) With respect to facilities which, after the entry into force of this Agreement, have been identified by the Agency in accordance with Article 39(b)(ii) for inclusion in the Subsidiary Arrangements listing, the United States and the Agency shall make every effort to achieve the ; entry into force of such Subsidiary Arrangements within ninety days 4 following such identification to the United States; an extension of that period shall require agreement between the Agency and the United States. I (c) Upon identification of a facility by the Agency in accordance with ; Article 39(b), the United States shall provide the Agency promptly with ' the information required for completing the Subsidiary Arrangements, and the Agency shall have the right to apply the procedures set forth in this Agreement to the nuclear material listed in the inventory provided for in Article 41, even if the Subsidiary Arrangements have not yet entered into force. ARTICLE 41 l The Agency shall establish, on the basis of the initial reports referred to in Article 60(a) below, a unified inventory of all nuclear material in the United States subject to safeguards under this Agreement,irrespec-tive of its origin, and shall maintain this inventory on the basis of subsequent reports concerning those facilities, of the initial reports referred to in Article 60(b), of subsequent reports concerning the facili-ties listed pursuant to Article 39(b)(ii), and of the results of its verification activities. Copics of the inventory shall be made available to the United States at intervals to be agreed. ARTICLE 42 Pursuant to Article 8, design information in respect of facilities iden- i tified by the Agency in accordance with Article 39(b)(i) shall be provided to the Agency during the discussion of the Subsidiary Ar-rangements. The time limits for the provision of design information in respect of any facility which is identified by the Agency in accordance with Article 39(b)(ii) shall be specified in the Subsidiary Arrange-ments and such information shall be provided as early as possible after such identification. ARTICLE 43 The design information to be provided to the Agency shall include, in respect of each facility identified by the Agency in accordance with Article 39(b), when applicable: 456
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1 (a) The identification of the facility, stating its general charac-ter, purpose, nominal capacity and geographic location, and the name and address to be used for routine business purposes; (b) A description of the general arrangement of the facility with , reference, to the extent feasible, to the form, location and flow of { nuclear material and to the general layout of important items of equipment which use, produce or process nuclear material; ) i (c) A description of features of the facilities relating to material accountancy, containment and surveillance; and (d) A descrir, tion of the existing and proposed procedures at j the facility for nuclear material accountancy and control, with special reference to material balance areas established by the op. crator, measurements of flow and procedures for physical inventory taking. ARTICLE 44 Other information relevant to the .eplication of safeguards shall also be provided to the Agency in respeu of each facility identified by the Agency in accordance with Article 39(b), in particular on organization-al responsibility for material accountancy and control. The United States shall provide the Agency with supplementary information on the health and safety procedures which the Agency shall observe and with which the inspectors shall comply at the facility. ARTICLE 45 The Agency shall be provided with design information in respect of a modification relevet for saicguards purposes. for examination, and shall be informed of any change in the information provided to it under Article 44, sufficiently in advance for the safeguards procedures to be ; adjusted when necessary. ARTICLE 46 The design information provided to the Agency shall be used for the following purposes: (a) To identify the features of facilities and nuclear material ) relevant to the application of safeguards to nuclear material in I sufficient detail to facilitate verification; (b) To determine material balance areas to be used for Agency accounting purposes and to select those strategic points which are key measurement points and which will be used to determine flow and inventory of nuclear material; in determining such material bal-ance areas the Agency shall, inter alia, use the following criteria: (i) The size of the material balance area shall be related to the accuracy with which the material balance can be established; (ii) In determining the material balance area, advantage shall be taken of any opportunity to use containment and sur-veillance to help ensure the completeness of flow ; measurements and thereby to simplify the application of safe- i guards and to concentrate measurement efforts at key measurement points; 457 o\ YG _- 7 ) i
I l (iii) A number if material balance areas in use at a facility or at distinct sites may be combined in one material balance area to be used for Agency accounting purposes when the Agency determines that this is consistent with its verification require-ments; and (iv) A special material balance area may be established at the l request of the United States around a process step involving commercially sensitive information; (c) To establish the nominal timing and procedure for taking of physical inventory of nuclear material for the Agency accounting purposes; (d) To establish the records and reports requirements and re-cords evaluatio i procedures; (c) To establish requirements and procedures for verification of the quality and location of nuclear material; and (f) To select appropriate combinations of containment and sur-veillance methods and techniques at the strategic points at which they are to be applied. The results of the examination of the design information shall be included in the Subsidiary Arrangements. ARTICLE 47 Design information shall be re-examined in the light of changes in , operating conditions, of developments in safeguards technology or of l experience in the application of verification procedures, with a view to modifying the action the Agency has taken pursuant to Article 46. i ARTICLE 48 The Agency in co-operation with the United States, may send inspec-tors to facilities to verify the design information provided to the Agency i pursuant to Article 42 through 45, for the purposes stated in Article 46. ARTICLE 49 In establishing a national system of materials control as referred to in l Article 7, the United States shall arrange that records are kept in re-spect of each material balance area determined in accordance with Article 46(b). The records to be kept shall be described in the Subsid-iary Arrangements. ARTICLE 50 l The United States shall make arrangements to facilitate the emmina- i tion of records referred to in Article 49 by inspectors. ARTICLE 51 l Records referred to in Article 49 shall be retained for at least five years. 458 y/g p d
ARTICLE 52 Records referred to in Article 49 shall consist, as appropriate, of (a) Accounting recc. Is of all nuclear material subject to safe-guards under this Agreement; and (b) Operating records for facilities containing such nuclear ma-terial. ARTICLE 53 The system of measurements on which the record used for the prepa-ration of reports are based shall either conform to the latest international standards or be equivalent in quality to such standards. ARTICLE $4 The accounting records referred to in Article 52(a) shall set forth the following in respect of each material balance area determined in accor-dance with Article 46(b): (a) Ah inventory changes, so as to permit a determination of the book invennry at any time; (b) All me tsurement results that are used for determination of the physical iaventory; and (c) All adjtstments and corrections that have been made in respect of inventory changes, book inventories and physical inven-tones. ARTICLE 55 For all inventory changes and physical inventories the records re-ferred toin Article 52(a) shall show,in respect of each batch of nuclear material: material identification, batch data and source data. The re-cords shall account for uranium, thorium and plutonium separately in each batch of nuclear material. For each inventory change, the data of the inventory change and, when appropriate, the originating material balance area and the receiving material balance area of the recipient shall be indicated. ARTICLE 56 The operating records referred to in Article 52(b) shall set forth, as appropriate, in respect of each material balance area determined in accordance with Article 46(b): (a) Those operating data which are used to establish changes in the quantities and composition of nuclear material; (b) The data obtained from the calibration of tanks and instru-ments and from sampling and analyses, the procedures to control the quality of measurements and the derived estimates of random ; and systematic error; l (c) A description of the sequence of the actions taken in prepar- j ing for, and in taking a physical inventory, in order to ensure that it ! is correct and complete; and (d) A description of the actions taken in order to ascertain the cause and magnitude of any accidental or unmeasured loss that might occur. m. 459 eg/9 l l L
ARTICLE 57 The United States shall provide the Agency with reports as detaile.1 in Article 58 through 67 in respect of nuclear material subject to safe-guards under this Agreement. ARTICLE 58 Reports shall be made in English. J ARTICLE 59 Reports shall be based on the records kept in accordance with Article 49 through 56 and shall consist, as appropriate, of accounting repcrts and special reports. ARTICLE 60 The United States shall provide the Agency with an initial report on all nuclear material contained in each facility which becomes listed in the Subsidiary Arrangements in accordance with Article 39(b): ; (a) With respect to those facilities listed pursuant to Article 39(b)(i), such reports shall be dispatched to the Agency within thirty days of the last day of the calendar month in which this Agreement enters into force, and shall reflect the situations as of the last day of that month. (b) With respect to each facility listed pursuant to Article 39(b)(ii), an initial report shall be dispatched to the Agency within thirty days of the last day of the calendar month in which the Agency identifies the facility of the United States and shall reflect the situation as of the last day of the month. ARTICLE 61 The United States shall provide the Agency with the following ac-counting reports for each material balance area determined in accordance with Article 46(b): l (a) Inventory change reports showing all charges in the invento-ry of nuclear material. The reports shall be dispatched as socn as possible and in any event within thirty days after the end of the month in which the inventory changes occurred or were estab-lished; and (b) Material balance reports showing the material balance based on a physical inventory of nuclear material actually present in the material balance area. The reports shall be dispatched as soon as possible and in any event within thirty days after the physical inventory has been taken. The reports shall be based on data available as of the date of reporting and may be corrected at a later date, as required. ARTICLE 62 Inventory change reports submitted in accordance with Article 61 (a) shall specify identification and batch data for each batch of nuch,ar 460 i f- , l ( i I I_
1 I l material, the date of the inventory change, and, as appropriate, the originating material balance area and the receiving material balance area or the recipient. These reporte, shall be accompanied by concise notes: (a) Explaining the inventory changes, on the basis of the operat-ing data contained in the opetating records provided for under Article 56(a); and 3 (b) Describing, as specif;ed in the Sub".idiary Arrangements, ' the anticipated operational programme, particularly the taking of a physical inventory. ARTICLE 63 The United States shall report each inventory change, adjustment j and correction, either periodically in a consolidated list or individually. , Inventory changes shall be reported in terms of batches. As specified m j the Subsidiary Arrangements, small changes in inventory of nuclear j material, such as transfers of analytical samples, may be combined m one batch and reported as one inventory change. I ARTICLE 64 The Agency shall provide the United States with semi-annual state-ments of book inventory of nuclear material subject to safeguards under this Agreement, for each material balance area, as based on the , inventory change reports for the period covered by each such state- ; ment. 1 ARTICLE 65 i Material balance reports submitted in accordance with Article 61(b) shall include the following entries, unless otherwise agreed by the United States and the Agency: (a) Beginning physical inventory; (b) Inventory changes (first increases, then decreases); ; (c) Ending book inventory; i (d) Shipper / receiver differences-(e) Adjusted ending book inventory; i (t) Ending physical inventory; and I (g) Material unaccounted for. , A statement of the physical inventory, listing all batches sepa-l rately and specifying material identification and batch data for ] cach batch, shall be attached to each material balance report. l ARTICLE 66 i The United States shall make special reports without delay: l (a) If any unusual incident or circumstances lead the United States to believe that there is or may have been loss of nuclear material subject to safeguards under this Agreement that exceeds 1 l the limits specified for this purpose in the Subsidiary Arrange-ment; or l (b) If the containment has unexpectedly changed from that spe- j cified in the Subsidiary Arrangement to the extent that ' f 461 ,.e
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! l 1 unauthorized removal of nuclear material subject to safeguards under this Agreement has become possible. ARTICLE 67 If the Agency so requests, the United States shall provide it with l amplifications or clarifications of any report submitted in accordance with Article 57 through 63,65 and 66, in so far as relevant for the purpose of safeguards. ARTICLE 68 The Agency shall have the right to make inspections as provided forin I Article 69 through 82. . I ARTICLE 69 The Agency may make ad hoc inspections in order to: l (a) Verify the information contained in the initial reports sub-mitted in accordance with Article 60; (b) Identify and verify changes in the situation which have oc-curred since the date of the relevant initial report; and (c) Identify and if possible verify the quality and composition of the nuclear material subject to safeguards under this Agreement in respect of which the information referred to in Article 89(a) has been provided to the Agency. ARTICLE 70 The Agency may make routine inspections in order to: (a) Verify that reports submitted pursuant to Articles 57 through 63,65 and 66 are consistent with records kept pursuant to Articles 49 through 56; (b) Verify the location, identify, quantity and composition of all nuclear material subject to safeguards under this Agreement; and (c) Verify information on the possible causes of material unac-counted for, shipper / receiver differences and uncertainties in the , book inventory. I ARTICLE 71 Subject to the procedures laid down in Article 75, the Agency may make special inspections: (a) In order to verify the information contained in special re- , puts submitted in accordance with Article 66; or ! (o) If the Agency considers that information made available by I the United States, including explanations from the Iinited States I and information obtained from routine inspections, is not ade- l quate for the Agency to fulfill its responsibilities under this i Agreement. An inspection shall be deemed to be special when it is either addition-al to the routine inspection effort provided for in Article 76 through 80, l or involves access to information or locations in addition to the access specified in Article 74 for ad hoc and routine inspections, or both, d l I
ARTICLE 72 For the purposes specified in Article 69 through 71,the Agency mav: (a) Examine the records kept pursuant to Articles 49 through SG (b) Make independent measurements of all nuclear material subject to safeguards under this Agreement; (c) Verify the functioning and calibration of instruments and other measuring and control equipment; (d) Apply and make use of surveillance and containment mea-sures; and (e) Use other objective methods which have been demon-strated to be technically feasible. ARTICLE 73 Within the scope of Article 72, the Agency shall be enabled: (a) To observe that samples at key measurement points for ma-terial balance accountancy are taken in accordance with procedures which produce representative samples, to observe the treatment and analysis of the samples and to obtain duplicates of such samples; (b) To observe that the measurements of nuclear material at key measurement points for material balance accountancy are repre-sentative, and to observe the calibration of the instruments and equipment involved; (c) To make arrangements with the United States that, if neces-sary: (i) Additional measurements areit ide and additional samples taken for the Agency's use; (ii) The Agency's standard analytical samples are analyzed; (iii) Appropriate absolute standards are used in calibrating instru-ments and other equipment; and (iv) Other calibrations are carried out; (d) To arrange to use its own equipment forindependent mea-surement and surveillance, and if so agreed and specified in the Subsidiary Arrangements to arrange to install such equipment; (e) To apply its seals and other identifying tamper-indicating devices to containments, if so agreed and specified in the Subsid-iary Arrangements; and (f) To make arrangements with the United States for the ship-ping of samples taken for the Agency's use. ARTICLE 74 (a) For the purposes specified in Article 69(a) and (b) and until such time as the strategic points have been specified in the Subsidiary Arrangements, Agency inspectors shall have access to any location where the initial report or any inspections carried out therewith indi-cate that nuclear material subject to safeguards under this Agreement is present. (b) For the purposes specified in Article 69(c), the inspectors shall have access to any facility identified pursuant to Article 2(b) or 39(b) in which nuclear material referred to in Article 69(c) is located. 463 Y72 5
(c) For the purposes specified in Article 70 the inspectors shall have l access only to the strategic points specified in the Subsidiary Arrange-( ments and to the records maintained pursuant to Articles 49 through 56; and (d) In the event of the United States concluding that any unusual circumstances require extended limitations on access by the Agency, is the United States and the Agency shall promptly make arrangements l with a view to enabling the Agency to discharge its safeguards responsi-i bilities in the light of these limitations. The Director General shall report each such arrangement to the Board. i ARTICLE 75 ' ! In circumstances which may lend to special inspections for purposes l specified in Article 71 the United States and the Agency shall consult 4 forthwith. As a result of such consultations the Agency may: (a) Make inspections in addition to the routine inspection ef-fort provided for in Article 76 through 80; and (b) Obtain access, in agreement with the United States, to in-formation or locations in addition to those specified in Article 74. Any disagreement concerning the need for additional access shall be resolved in accordance with Articles 20 and 21;in case action by the United States is essential and urgent, Article 17 shall apply. ARTICLE 76 The Agency shall keep the number, intensity and duration of routine i inspections, applying optimum timing, to the minimum consistent with i the effective implementation of the safeguards procedures set forth in this Agreement, and shall make the optimum and most economical use of inspection resources available to it. i ARTICLE 77
. The Agency may carry out one routine inspection per year in respect 4 of facilities listed in the Subsidiary Arrangements pursuant to Article ]
39 with a content or annual throughput, whichever is greater, of nuclear material not exceeding five effective kilograms. ARTICLE 78 The number, intensity, duration, timing and mode of routine inspec-tions in respect of facilities listed in the Subsidiary Arrangements pursuant to Article 39 with a content or annual throughput of nuclear material exceeding five effective kilograms shall be determined on the basis that in the maximum or limiting case the inspection regime shall be no more intensive than is necessary and sufficient to maintain conti-nuity of knowledge of the flow and inventory of nuclear material, and the maximum routine inspection effort in respect of such facilities shall be deterrrined as folknvs: (a) For reactors and scaled storage installations the maximum total ( f routine inspection per year shall be determined by allow-ing one sixth of a man-year ofinspection for each such facility.
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tio(b) For facilities, ns, involving otherorthan plutonium reactors uranium or scaled enriched to morestorage than 5 installa-percent, the maximum total of routine inspection per year shall be determined by allewing for each facility 30x E mandays ofinspec-tion per year, where E is the inventory or annual throughput of nuclear material, whi6ever is greater, expressed in effective kilo-grams. The maxirce established for any such fa:ility shall not, however, be less tran 1.5 man-years of inspection; and (c) Forfacilities notcovered byparagraphs a) or(b),themari-mum total of routine inspection per year sha(ll be determined by allowing for each such facility one third of a man-year of inspec-tion plus 0.4 x E man-days of inspection per year, where E is th: inventory or annual throughput of nuclear material, whichever is greater, expressed in effective kilograms. The United States and the Agency may agree to amend the figures for the maximum inspection effort specified in this Article, upon deter-mination by the Board that such amendment is reasonable. ARTICLE 79 Subject to Articles 76 through 78 the criteria to be used for determin-ing the actual number, int:.nsity, duration, timing and mode of routine inspections in respect of any facility listed in the Subsidiary Arrange-ments pursuant to Article 39 shall include: (a) The form of the nuclear material,in particular, whether the nuclear material is in bulk for n or contained in a number of separate items;its chemical composition and,in the case of ura-nium, whether it is oflow or high enrichment; and its accessibility; (b) The effectiveness of the United States' accounting and con-trol system, including the extent to which the operators of facilities are functionally independent of the United States' accounting and control system; the extent to which the measures specified in Ar-ticle 32 have been implemented by the United States; the promptness of reports provided to the Agency; their mnsistency with the Agency's independent verification; and the amount and accuracy of the material unaccounted for, as verified by the Agency; (c) Characteristics of that part of the United States fuel cycle in which safeguards are applied under this Agreement,in particular, the number and types of facilitics containing nuclear material subject to safeguards under this Agreement, the characteristics of such facilities relevant to safeguards, notably the degree of con-tainment; the extent to which the design of such facilities facilitates verification of the flow and inventory of nuclear materi-al; and the extent to which information from different material balan,e areas can be correlated; ' (d) International interdependence; in particular 11.. utent to which nuclear material, safeguarded under this Agreement, is received from or sent to other States for use or processing; any verification activities by the Agency in connection therewith; and the extent to which activities in facilities in which safeguards are 465'
applied under this Agreement are interrelated with those of other States; and (e) Technical developments in the field of safeguards, including the use of statistical techniques and random sampling in evaluat-ing the flow of nuclear material. ARTICLE 80 The United States and the Agency shall consult if the United States considers that the inspection effort is being deployed with undt.e con-centration on particular facilities. ARTICLE 81 The Agency shall give advance notice to the United States of the arrival ofinspectors at facilities listed in the Subsidiary Arrangements pursuant to Article 39, as follows: (a) For ad hoc inspections pursuant to Article 69(c), at least 24 hours; for those pursuant to Article 69(a) and (b), as well as the activities provided for in Article 48, at least one week; (b) For special inspections pursuant to Article 71, as promptly as possible after the United States and the Agency have consulted as provided for in Article 75,it being understood that notification of arrival normally will constitute part of the consultations; and (c) For routine inspections pursuant to Article 70 at least twenty-four hours in respect of the facilities referred to in Article 78(b) and sealed storage installations containing plutonium or uranium enriched to more than 5 percent and one week in all other cases. Sucia notice ofinspections shall include the names of the inspectors and shall indicate the facilities to be visited and the periods during which they will be visited. If the inspectors are to arrive from outside the United States the Agency shall aho give advance notice of the place and time of their arrival in the United States. ARTICLE 82 Notwithstanding the provisions of Article 81, the Agency may, as a supplementary measure, carry out without advance notification a por-tion of the routine inspections pursuant to Article 78 in accordance with the principle of random sampling. In performing any unannounced inspections, the Agency shall fully take into account any operational programme provided by the United States pursuant to Article 62(b). Moreover, whenever practicable, and on the basis of the operational programme, it shall advise the United States periodically of its general programme of announced and unannounced inspections, specifying the general periods when inspections are foreseen. In carrying out any unannounced inspections, the Agency shall make every effort to mini-mize any practical difficulties for the United States and facilities operators bearing in mind the relevant provisions of Articles 44 and 87. - Similarly the United States shall make every effort to facilitate the task of the inspectors. 466 @ni,'m$)
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' ARTICLE 83 The following procedures shall apply to the designation ofinspectors:
(a) The Director General shall inform the United States in writ-ing of the name, qualifications, nationality, grade and such other particulars as may be relevant, of each Agency official he proposes for designation as an inspector for the United States; tlu(b) The rty days United of the receipt ofStates shallinform such a proposal whether it the District accepts the General within proposal; (c) The Director General may designate cach official who has been accepted by the United States as one of the inspectors for the United States as one of the inspectors for the United States, and shall inform the United States of such designations; and (d) The Director General, acting in response to a request by the 'j United States or on his own initiative, shall immediately inform the United States of the withdrawal of the designation of any official as an inspector for the United States. Ilowever, in respect of inspectors needed for the activities provided for in Article 48 and to carry out ad hoc inspections pursuant to Article 69 (a) and (b) the designation procedures shall be completed if pos- ,
. sible within thirty days after the entry into force of this Agreement. If '
such designation appears impossible within this time limit, inspectors i for such purposes shall be designated on a temporary basis. ARTICLE 84 l The United States shall grant or renew a quickly as possible appropri-atc visas, where required, for each inspector designated for the United States. ARTICLE 85 I Inspectors, in exercising their functions under Articles 48 and 69 to 73, shall carry out their activities in a manner designed to avoid hamper. ing or delaying the construction, commissioning or operation of facilities, or affecting their safety. In particular inspectors shall not l operate any facility themselves or direct the staff of a facility to carry l. out any operation. Ifinspectors consider that in pursuance of para-graph 72 and 73, particular operations in a facility should be carried out by the operator, then shall make a request therefor. ARTICLE 86 When inspectors require services available in the United States, in-cluding the use of equipment, in connection with the performance of inspections, the United States shall facilitate the procurement of such services and the use of such equipment by inspectors. ARTICLE 87 The United States shall have the right to have inspectors accompa-nied during their inspections by its representatives, provided that x 467 Y? -
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inspectors shall not thereby be delayed or otherwise impeded in the exercise of their functions. ARTICLE 88 T. Agency shall inform the United States of: (a) The results ofinspections, at intervals to be specified in the Subsidiary Arrangements; and (b) The conclusions it has drawn from its verification activities in the United States, in particular by means of statements in re-spect of each material balance area determined in accordance with Article 46(b) which shall be made as soon as possible after a physical inventory has been taken and verified by the Agency and a material balance has been stuck. i ARTICLE 89 (a) Information mncerning nuclear material exported from and imported into the United States shall be provided to the Agency in accordance with arrangements made with the Agency as, for example, those set forth in INFCIRC/207. (b) In the case of international transfers to or from facilities ! identified by the Agency pursuant to Articles 2(b) and 39(b) with l respect to which information has been provided to the Agency in l accordance with arrangements referred to in paragraph (a), a spe- ; cial report, as envisaged in Article 66, shall be made if any unusual j incidents or circumstances lead the United States to believe that i' there is or may have been loss of nuclear material, including the occurrence of significant delay, during the transfer. l DEFINITIONS ARTICLE 90 For the purpose of this Agreement: A Adjustment means an entry inte .nd accounting record or a report showing a shipper / receiver afference of material unac-counted for. B Annual throughput means, for the purposes of Article 77 and 78, the amount of nuclear material transferred annually out of a i facility working at nominal .:apacity. C Batch means a portion of nuclear material handled as a unit for accounting purposes at a key measurement point and for which the composition and quantity are defined by a single set of specifi-cations or measurements. The nuclear material may be in bulk form or contained in a number of separate items. D Batch data means the total weight of each element ofnuclear material and, in the case of plutonium and uranium, the isotopic composition when appropriate. The units of account shall be as follows: ; (a) Grams of contained plutonium; l 468 Os
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(b) Grams of total uranium and grams of contained ura-nium-235 plus uranium-233 for uranium enriched in these isotopes; and (c) Kilograms of contained thorium, natural uranium or de-leted uranium. For reporting purposes the weight of individual items in the batch shall be added together before rounding to the nearest unit. E Book inventory of a material balance area means the algebra-ic sum of the most recent physical inventory of that material balance area and of allinventory changes that have occurred since that physical inventory was taken. F Correction means an entry into an accounting record or a report to rectify an identified mistake or to reflect an improved measurement of a quantity previously entered into the record or report. Each corrections must identify the entry to which it pertains. G Effective kilogram means a special unit used in safeguarding nuclear material. The quantity in effective kilograms is obtained by taking : (a) For plutonium, its weight in kilograms; (b) For uranium with an enrichment of 0.01 (1 percent) and above, its weight in kilograms multiplied by the square of its enrichment; (c) For uranium with an enrichment below 0.01 (1 percent) and above 0.005 (0.5 percent), its weight in kilograms multi-plied by 0.0001; and (d) For depleted uraniur.1 with an enrichment of 0.005 (0.5 percent) or below, and for thorium, its weight in kilograms multiplied by 0.00005. 11 Ennchment means the ratio of the combined weight of the isotopes uranium-233 and uranium-235 to that of the total ura-nium in question. I Facility means; (a) A reactor, a critical facility, a conversion plant, a fabnca- i tion plant, a reprocessing plant, an isotope separation plant or a separate storage installation; or i (b) Any location where nuclear material in amounts greater than one effective kilogram is customarily used.
)
J Inventory change means an increase or decrease, in terms of batches, of nuclear material in a material balance area; such a l change shallinvolve one of the following: (a) Increases: (i) Import; (ii) Domestic receipt: receipts from other material bal-l ance areas, receipts from a non-safeguarded activity or l receipts at the starting point of safeguards; ( (iii) Nuclear production: production of special fission-l able material in a rector; and ! (iv) De-exemption: replication of safeguards on nu-clear material previously exempted therefrom on account of its use or quantity. el 469 gy c rpr %*
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(b) Decreases: (i) Export; (ii) Domestic shipments: shipments to other material balance areas or shipments for a non-safeguarded aethity; (iii) Nuclear loss: loss of nuclear material due to its transformation into other element (s) or isotope (s) as a result of nuclear reactions; (iv) Measured discard: nuclear material which has been measured, or estimated on the basis of measurement, and disposed ofin such a way that it is not suitable for further nuclear use; (v) Retained waste: nuclear material generated from processing or from an operational accident, which is deemed to be unrecoverable for the time being but which is stored; (vi) Exemption: exemption of nuclear material from safeguards on account ofits use or quantity; and (vii) Other loss: for example, accidental loss (that is, irretrievable and inadvertent loss of nuclear material as the result of an operational accident) or theft. K Key measurement point means a location where nuclear ma-terial appears in such a form that it may be measured to determined material flow or inventory. Key measurement pointo thus include, but are not limited to, the inputs and outputs (includ-ing measured discards) and storages in material balance areas. L Man-year ofinspection means, for the purposes of Article 78, 300 man-days ofinspection, a man-day being a day during which a single inspector has access to a facility at any time for a total of not . more than eight hours. I M Material balance area means an area in our outside of a facility such that: - (a) The quantity of nuclear material in each transfer into or out of each material balance area can be determined; and 4 (b) The physical inventory of nuclear material in each mate-rial balance area can be determined when necessary in accordance with specified procedures, in order that the mate-rial balance for Agency safeguards purposes can be established. N Material unaccounted for means the difference between book inventory and physical inventory. O Nuclear material means any source or any special fissionable material as defined in Article XX of the Statute. The term source material shall not be interpreted as applying to ore or ore residue. Any determination by the Board under Article XX of the Statute after the entry into force of this Agreement which adds to the materials considered to be source material or special fissionable material shall have effect under this Agreement only upon accep-tance by the United States. P Physical inventory means the sum of all the measured or derived estimates of batch quantities of nuclear material on hand g.. 470 f l f t
at a given time within a material balance area, obtained in accor-dance with specified procedures. Q Shipper / receiver difference means the difference between the quantity of nuclear material in a batch as stated by the shipping material balance area and as measured at the receiving balance area. R Source data means those data, recorded during measurement or calibration or used to derive empirical relationships, which identify nuclear material and provide batch data. Source data may include, for example, weight of compounds, conversion factors to determine weight of element, specific gravity, element concentra-tion, isotopic ratios, relationship between volume and manometer readings and relationships between plutonium produced and pow-er generated. S Strategic point means a kication selected during examination of design information where, under normal conditions and when combined with the information from all strategic points taken together, the information necessary and sufficient for the imple-mentation of safeguards measures is obtained and verified; a strategic point may include any location where key measurements related to material balance accountancy are made where contain-ment and surveillance measures are executed. PROTOCOL ARTICLE 1 This Protocol specifies the procedures to be followed with respect to facilities identified by the Agency pursuant to Article 20f this Protocol. ARTICLE 2 (a) The Agency may from time to time identify to the United States those facilities included in the list, established and maintained pursuant to Article 1(b) and 34 of the Agreement, of facilities not associated with activities having direct national security significance to the United States, other than those which are then currently identified by the Agency pursuant to Article 2(b) and 39(b) of the Agreement, towhich the provisions of this Protocol shall apply. (b) the Agency may alsoinclude among the facilities identified to the United States pursuant to the foregoing paragraph, any facility which had previously been identified by the Agency pursuant to Article l 2(b) and 39(b) of the Agreement but which had subsequently been ! designated by the Agency pursuant to Article 39(c) of the Agreement l for removal from the Subsidiary Arrangements listing. i (c) In identifying facilities pursuant to the forgoing paragraphs and in the preparation of Transitional Subsidiary Arrangements pursuant to Article 3 of this Protocol, the Agency shall proceed in a manner which l the Agency and the United States mutually agree takes into account the I requirement on the United States to avoid discriminatory treatment as I between United States commercial firms similarly situated. sa 471
,f g -
ARTICLE 3 The United States and the Agency shall make Transitional Subsidiary Arrangements which shall: (a) contain a current listing of those facilities identified by the Agency pursuant to Article 2 of this Protocol; (b) specify in detail how the procedures set forth in this Protocol are to be applied. ARTICLE 4 (a) The United States and the Agency shall make every effort to complete the Transitional Subsidiary Arrangements with respect to each facility identified by the Agency pursuant to Article 2 of this Protocol within ninety days following such identification to the United States. th(is Protocol, the information previously submitted to the Agency inb) With respec accordance with Article 42 through 45 of the Agreement, the results of the examination of the design information and other provisions of the Subsidiary Arrangements relative to such facilities, to the extent that such information, results and provisions satisfy the provisions of this Protocol relating to the submission and examination of information and the preparation of Transitional Subsidiary Arrangements, shall constitute the Transitional Subsidiaiy Arrangements for such facility, until and unless the United States and the Agency shall otherwise complete Transitional Subsidiary Arrangements for such facility in ac-cordance with the provisions of this Protocol. ARTICLE 5 In the event that a facility currently identified by the Agency pursuant to Article 2(a) of this Protocolis identified by the Agency pursuant to Artic!cs 2(b) and 39(b) of the Agreement, the Transitional Subsidiary Arrangements relevant to such facility shall, to the extent that such Transitional Subsidiary Arrangements satisfy the provisions of the Agreement, be deemed to have been made part of the Subsidiary Ar-rangements to the Agreement. ARTICLE 6 Design information in respect of each facility identified by the Agency pursuant to Article 2 of this Protocol shall be provided to the Agency during the discussion of the relevant Transitional Subsidiary Arrangements. The information shall include, when applicable: (a) The identification of the facility, stating its general charac-ter, purpose, nominal capacity and geographic location, and the name and address to be used for routine business purpose; (b) A description of the general arrangement of the facility with reference, to the extent feasible, to the form, location and flow of i nuclear material and to the general layout ofimportant items of equipment which use, produce or process nuclear material; 1 1
(c) A description of features of the facility relating to material accountancy, containment and surveillance; and (d) A description of the existing and proposed procedures at the facility for nuclear material accountancy and control, with special reference to material balance areas established by the op-erator, measurements of flow and procedures for physical inventory taking. ARTICLE 7 Other information relevant to the application of the provisions of this Protocol shall also be provided to the Agency in respect of each facility identified by the Agency in accordance with Article 2 of this Protocolin particular on organizational responsibility for material accountancy and control. The United States snall provide the Agency with supple-mentary information on the health and safety procedures which the Agency shall observe and with which inspectors shall comply when visiting the facility in accordance with Article 11 of this Protocol. ARTICLE 8 The Agency shall be provided with design information in respect of a modification relevant to the application of the provisions of this Proto-col, for examination, and shall be informed of any change in the information provided to it under Article 7 of this Protocol, sufficiently in advance for the procedures under this Protocol to be adjusted when necessary. ARTICLE 9 The design information provided to the Agency in accordance with the provisions of this Protocol, in anticipation of the application of safeguards under the Agreement, shall be used for the following pur-poses: (a) To identity the features of facilities and nuclear material relevant to the application of safeguards to nuclear material in sufficient detail to facilitate verification; (b) To determine material balance areas to be used for Agency accounting purposes and to select those strategic points which are key measurement points and which will be used to determine flow and inventory of nuclear material; in determining such material l balance areas the Agency shall, inter alia, use the following criteria: (i) The size of the material balance area shall be related to the accuracy with which the material balance can be estab-lished; (ii) In determining the material balance area, advantage i shall be taken of any opportunity to use containment and sur-veillance to help ensure the completeness of flow measurements and thereby to simplify the application of safe-guards and to concentrate measurement efforts at key j measurement points; (iii) A number of material balance areas in use at a facility or at distinct sites may be combined in one material balance area m
to be used for Agency accounting purposes when the Agency detmnines that this is consistent with its verification require-ments; and (iv) A special material balance area may be established at the request of the United States around a process step involving commercially sensitive information; (c) To establish the nominal timing and procedures ior taking of physical inventory of nuclear material for Agency accounting pur-poses; (d) To establish the records and reports requirements and re-cords evaluation procedures; (c) To establish requirements and procedures for verification of the quantity and location of nuclear material; and (f) To select appropriate combinations of containment and sur-veillance methods and techniques and the strategic points at which they are to be applied. The results of the examination of the design information shall be included in the relevant Transitional Subsidiary Arrangements. ARTICLE 10 Design information provided in accordance with the provisions of this Protocol shall be re-examined in the light of changes in operatir. ondi-tions, of developments in safeguards technology or of experience m the application of verification procedures, with a view to modifyin,t the action taken pursuant to Article 9 of this Protocol. ARTICLE 11 (a) The Agency, in co-cperation with the United States, may send inspectors to facilities identified by the Agency pursuant to Article 2 of this Protocol to verify the design information provided to the Agency in accordance with the provisions of this Protocol, for the purposes stated in Article 9 of this Protocol or for such other pu; poses as may be agreed between the United States and the Agency. (b) The Agency shall give notice to the United States with respect to each such visit at least one week prior to the arrival of inspectors at the facility to be visited. ARTICLE 12 In establishing a national system of materials control as referred to in Article 7(a) of the Agreement, the United States shall arrange that records are kept in respect of each material balance area determined in accordance with Article 9(b) of this Protocol. The records to be kept shall be described in the relevant Transitienal Subsidiary Arrange-ments. ARTICLE 13 Records refened to in Article 12 of this Protocol shall be retained for at least five years. l l 1 l l
ARTICLE 14 Records referred to in Article 12 of this Protocol shall consist, as appropriate, of: (a) Accounting records of all nuclear material stored, pro- 1 cessed, used or produced in each facility; and '
-(b) Operating records for activities within each facility.
ARTICLE 15 The system of measurements onwhich the records used for the prepa- i ration of reports are based shall either conform to the latest international standards or be equivalent in quality to such standards. ARTICLE 16 The accounting records referred to in Article 14(a) of this Protocol l shall set forth the following in respect of each material balance area
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determined in accordance with Article 9(b) of this Protocol: (a) Allinventory changes, so as to permit a determination of the . book inventory at any time; j (b) All measurement results that are used for determination of ' the physical inventory; and ; (c) All adjustments and corrections that have been made in ! respect ofinventory changes, book inventories and physical inven-tones. l ARTICLE 17 l For all inventory changes and physical inventories the records re-
- ferred to in Article 14(a) of this Protocol shall show,in respect of each ,
batch of nuclear material: material identification, batch data and i source data. The records shall account far uranium, thorium and pluto- l nium separately in each batch of nuclear material. For each inventory i change, the date of the inventory change and, when appropriate, the I originating material balance area and the receiving material balance , area or the recipient, shall be indicated. !
)
ARTICLE 18 - The operating records referred to in Article 14(b) of this Protocol shall set forth, as appropriate, in respect of each material balance area ; determined in accordance with Article 9(b) of this Protocol: ) (a) Those operating data which are used to establish changes m 1 the quantities and composition of nuclear material; j (b) The data obtained from the calibration of tanks and instru-ments and from sampling and analyses, the procedures to control , the quality of measurements and the derived estimates of random i and systematic error; ; (c) Adescription of the sequence of the actions taken in prepar- ! ing for, and in taking, a physical inventory, in order to ensure that 1 it is correct and complete; and (d) A description of the actions taken in order to ascertain the l cause and magnitude of any accidental or unmeasured loss that might occur. x 475 fW/ j l i i \
i i , ARTICLE 19 j The United States shall provide the Agency with accounting reports as detailed in Article 20 through 25 of this Protocol in respect of nuclear
- material in each facility identified by the Agency pursuant to Article 2 of this Protocol.
ARTICLE 20 , The accounting reports shall be based on the records kept in accor- ! dance with Articles 12 to 18 to this Protocol. They shall be made in English. , ARTICLE 21 l The United States shall provide the Agency with an initial report on l all nuclear material in each facility identified by the Agency pursuant to
' Article 2 of this Protocol. Such report shall be dispatched to the Agency within thirty days of the last day of the Calendar month in which the facility is identified by the Agency and shall reflect the situation as of the last day of that month.
l l ARTICLE 22 l The United States shall provide the Agency with the following ac-l counting reports for each material balance areas determined in accordance with Article 9(b) of this Protocol: (a) Inventory change reports showing all changes in the inven-tory of nuclear material. The reports shall be dispatched as soon as possible and in any event withm thirty days after the end of the l month in which the inventory changes occurred or were estab-lished; and (b) Material balance reports showing the material balance based on a physical inventory of nuclear material actually present in the material balance area. The reports shall be dispatched as l soon as possible and in any event within thirty days after the physical mventory has been taken. The reports shall be based on data available as of the date of reporting and may be corrected at a later date, as required. 1 i ARTICLE 23 Inventory change reports submitted in accordance with Article ! 22(a) of this Protocol shall specify identification and batch data for each batch of nuclear material, the date of the inventory change, and, as
. appropriate, the originating material balance area and the receiving material balance area or the recipient. These reports shall be accompa.
nied by concise notes: (a) Explaining the inventory changes, on the basis of the operat-ing data contained in the operating records provided for in Article , 18(a) of this Protocol; and t (b) Describing, as specified in the relevant Transitional Subsid-iary Arrangements, the anticipated operational programme, particularly the taking of a physical inventory.
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ARTICLE 24 The United States shall report each inventory change, adjustment and correction, either periodically in a consolidated list orindividually, Ittventory changes shall be reported in terms of batches. As specified in the relevant Transitional Subsidiary Arrangements, small changes in inventory of nuclear material, such as transfers of analytical samples, may be combined in one batch and reported as one inventory change. ARTICIE 25 Material balance reports submitted in accordance with Article 22(b) of this Protocol shallinclude the following entries, unless other-wise agreed by the United States and the Agency: (a) Beginning physical inventory; (b) Inventory changes (first increases, then decreases); (c) Ending book inventory; (d) Shipper / receiver differences; (e) Adjusted ending book inventory; (f) Ending physical inventory; and (g) Material unaccounted for. A statement of the physical inventory, listing all batches separately and specifying material identification and batch data for each batch, shall be attached to each material balance report. ARTICLE 26 The Agency shall provide the United States with semi-annual state-ments of book inventory of nuclear material in facilities identified pursuant to Article 20f this Protocol, for each material balance area, as based an the inventory change reports for the period covered by each such statement. ARTICLE 27 (a) If the Agency so requests, the United States shall provide it with amplifications or clarifications of any report submitted in accordance with Article 19 of this Protocol, insofar as consistent with the purpose of the Protocol. (b) The Agency shall inform the United States of any significant observations resulting from its examination of reports received pur-suant to Article 19 of this Protocol and from visits of inspectors made pursuant to Article 11 of this Protocol. (c) The United States and the Agency shall, at the request of either, consult about any question arising out of the interpretatmn or applica-tion of this Protocol, including corrective action which, in the opituon of the Agency, should be taken by the United States to ensure compliance with its terms, as indicated by the Agency in its observations pursuant to paragraph (b) of this Article. ARTICLE 28 The definition set forth in Article 90 of the Agreement shall apply, to the extent relevant, to this Protocol. 477 r-YF7
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n_ Done in Vienna on the 18th day of November,1977,in duplicate, in the English language. FOR THE UNITED STATES OF AMERICA: FOR THE IN-TERNNTIONAL ATOMIC ENERGY AGENCY: I l 478 ff7 l
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