TREATIES AND OTHER INTERNATIONAL ACTS SERIES 17-919

________________________________________________________________________

ATOMIC ENERGY

Nuclear Safety 

Arrangement Between the 

UNITED STATES OF AMERICA

and SWITZERLAND

Signed at Vienna

September 19, 2017

with

Addenda and Annex
 NOTE BY THE DEPARTMENT OF STATE

 Pursuant to Public Law 89—497, approved July 8, 1966

(80 Stat. 271; 1 U.S.C. 113)—

“. . .the Treaties and Other International Acts Series issued

under the authority of the Secretary of State shall be competent

evidence . . . of the treaties, international agreements other than

treaties, and proclamations by the President of such treaties and

international agreements other than treaties, as the case may be, 

therein contained, in all the courts of law and equity and of maritime

jurisdiction, and in all the tribunals and public offices of the

United States, and of the several States, without any further proof

or authentication thereof.”
 SWITZERLAND

 Atomic Energy: Nuclear Safety

 Arrangement signed at Vienna

 September 19, 2017;

 Entered into force September 19, 2017.

 With addenda and annex.
ARRANGEMENT 


BE1WEEN 


THE UNITED STATES NUCLEAR REGULATORY 


COMMISSION 


AND 


THE SWISS FEDERAL NUCLEAR SAFETY 


INSPECTORATE 


FOR THE EXCHANGE OF TECHNICAL 


INFORM_ATION 

AND 


COOPERATION IN NUCLEAR SAFE1Y MATTERS 


September 19, 2017 
ARRANGEMENT 


BETWEEN 


THE UNITED STATES NUCLEAR REGULATORY COMMISSION 


AND 


THE SWISS FEDERAL NUCLEAR SAFETY INSPECTORATE 


FOR THE EXCHANGE OF TECHNICAL INFORMATION 


AND 


COOPERATION IN NUCLEAR SAFETY MATTERS 


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

Swiss Federal Nuclear Safety Inspectorate (hereinafter the ENSI), the two together hereinafter 

referred to as the Parties; 

Having a mutual interest in a continuing exchange of information pertaining to regulatory 

matters and of standards required or recommended by their organizations for the regulation of 

safety, security, and environmental impact of nuclear facilities, and; 

Having similarly cooperated under the terms of prior arrangements between predecessor 

agencies for the exchange of technical information and cooperation in nuclear safety matters, 

most recently under the arrangement signed on September 19, 2012; 

Have agreed as follows 
I. SCOPE OF THE ARRANGEMENT 


A. 	 Technical Information Exchange 

To the extent that the Parties are permitted to do so under the laws, regulations, 

and policy directives of their respective countries, they shall exchange the 

following types of unclassified technical information relating to the regulation of 

nuclear safety, security, radioactive waste management, radiological safety, and 

environmental impact of designated nuclear energy facilities and to nuclear 

safety research programs: 

1. 	 Topical reports concerning nuclear safety, security, radioactive waste 

management, radiological safety, and environmental effects written by or 

for one of the Parties as a basis for, or in support of, regulatory decisions 

and policies. 

2. 	 Documents relating to significant licensing actions and safety and 

environmental decisions affecting nuclear facilities. 

3. 	 Detailed documents describing the USNRC process for licensing and 

regulating certain U.S. facilities designated by the ENSI as similar to 

certain facilities being built or planned in Switzerland, and equivalent 

documents on such facilities licensed and regulated by the ENSI. 

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

right to disclose, either in the possession of one of the Parties or available 

to it, including light water reactor safety information from the technical 

areas described in Addenda "A" and "B," attached hereto and made 

integral parts of this Arrangement. Cooperation in these itemized 

research areas may require a separate agreement, as determined to be 

necessary by the research organizations of one or both of the Parties. 

Each Party shall transmit immediately to the other information concerning 

research results that requires early attention in the interest of public 

safety, along with an indication of significant implications. 

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

accidents and shutdowns, and compilations of historical reliability data on 

components and systems. 

6. 	 Regulatory procedures for nuclear safety, security, radioactive waste 

management, radiological safety, and environmental impact evaluation of 

nuclear facilities. 

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

government-directed reactor shutdowns, and emerging technical issues, 

that are of immediate interest to the Parties. 

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B. Cooperation in Nuclear Safety Research 

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

research and development, or those programs and projects under which 

activities are divided between the two Parties, including the use of test facilities 

and/or computer programs owned by either Party, shall be considered on a caseby-case basis and may be the subject of a separate agreement, if determined to 

be necessary by the research organizations of one or both of the Parties. When 

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

established by an exchange of letters between the research organizations of the 

Parties, and shall be subject to the terms and conditions of this Arrangement. 

Technical areas specified by such exchanges of letters may be modified 

subsequently by mutual consent. 

C. 	 Training and Assignments 

Within the limits of available resources and subject to the availability of 

appropriated funds, the USNRC shall cooperate with the ENSI in providing 

certain training and experience for ENSI safety personnel. In addition, temporary 

assignments of personnel by one Party in the other Party's Agency shall also be 

considered on a case-by-case basis and shall, in general, require a separate 

agreement between the Parties. Unless otherwise agreed, costs of salary, 

allowances, and travel of participants shall be paid by the Party that incurs them. 

The following are typical of, but not necessarily exclusive of, the kinds of training 

and experience that may be provided: 

1. 	 ENSi designated inspector accompaniment of USNRC inspectors on 

reactor operation and reactor construction inspection visits in the United 

States, including extended briefings at USN RC regional inspection 

offices. 

2. 	 Participation by ENSI employees in USNRC staff training courses. 

3. 	 Assignment of ENSI experts for certain periods to be determined by the 

Parties within the USNRC staff to work on USNRC staff duties and gain 

on the job experience. 

4. 	 Training assignments of ENSI employees within the radiation control 

program in the United States. 

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11. ADMINISTRATION 


A. 	 The exchange of information under this Arrangement shall be accomplished 

through letters, reports, and other documents, and by visits and meetings 

arranged in advance on a case-by-case basis. Periodic meetings shall be held at 

such times as mutually agreed to review the exchange of information and 

cooperation under this Arrangement, to recommend revisions to the provisions of 

this Arrangement, and to discuss topics coming within the scope of the 

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

upon in advance. Visits which take place under this Arrangement, including their 

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

Section 11.8. of this Arrangement. 

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

in the overall exchange under this Arrangement. The administrators shall be the 

recipients of all documents transmitted under the exchange, including copies of 

all letters unless otherwise agreed. Within the terms of the exchange, the 

administrators shall be responsible for developing the scope of the exchange, 

including agreement on the designation of the nuclear energy facilities subject to 

the exchange, and on specific documents and standards to be exchanged. One 

or more technical coordinators may be appointed as direct contacts for specific 

disciplinary areas. These technical coordinators shall ensure that both 

administrators receive copies of all transmittals. These detailed arrangements 

are intended to ensure, among other things, that a reasonably balanced 

exchange giving access to equivalent available information is achieved and 

maintained. 

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

documents exchanged. Each document shall be accompanied by an abstract in 

English, 250 words or less, describing its scope and content. 

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

Parties under this Arrangement shall be the responsibility of the receiving Party, 

and the transmitting Party does not warrant the suitability of such information for 

any particular use or application. 

E. 	 Recognizing that some information of the type covered in this Arrangement is not 

available within the agencies that are Parties to this Arrangement, but is available 

from other agencies of the governments of the Parties, each Party shall assist 

the other to the maximum extent possible by organizing visits and directing 

inquiries concerning such information to appropriate agencies of the government 

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

furnish such information or to receive such visitors. 

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Ill. 	 EXCHANGE AND USE OF INFORMATION 

A. 	 General 

The Parties support the widest possible dissemination of information provided or 

exchanged under this Arrangement, subject to the requirements of each Party's 

national laws, regulations and policies and the need to protect proprietary and 

other confidential or privileged information, and subject to the provisions of the 

Intellectual Property Rights Annex, which is an integral part of this Arrangement. 

B. 	 Definitions 

1 . 	 The term "information" means unclassified nuclear energy-related 

regulatory, safety, security, radioactive waste management, scientific or 

technical data, including information on results or methods of 

assessment, research, and any other knowledge provided, created or 

exchanged under this Arrangement. 

2. 	 The term "proprietary information" means information made available 

under this Arrangement that contains trade secrets or other privileged or 

confidential commercial information (such that the person having the 

information may derive a commercial benefit from it or may have a 

commercial advantage over those who do not have it), and may only 

include information that: 

a. 	 has been held in confidence by its owner; 

b. 	 has not been transmitted by the owner to other entities (including 

the receiving Party), except on the basis that it be held in 

confidence; 

c. 	 is not otherwise available to the receiving Party from another 

source without restriction on its further dissemination; and 

d. 	 is not already in the possession of the receiving Party. 

3. 	 The term "other confidential or privileged information" means information, 

other than "proprietary information," that has been transmitted and 

received in confidence under this Arrangement and is protected from 

public disclosure under the laws, regulations, or policies of the country of 

the Party providing the information. 

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C. Marking Procedures for Documentary Proprietary Information 

A Party receiving documentary proprietary information pursuant to this 

Arrangement shall respect the privileged nature of such information, provided 

that such proprietary information is clearly marked with the following (or 

substantially similar) restrictive legend: 

"This document contains proprietary information furnished in 

confidence under an Arrangement dated September 19. 2017, 

between the United Stales Nuclear Regulatory Commission and 

the Swiss Federal Nuclear Safety Inspectorate and shall not be 

disseminated outside these organizations, their consultants, 

contractors, and licensees, or concerned departments and 

agencies of the Government of the United States of America and 

the Government of the Swiss Confederation, without the prior 

written approval of (name of transmittin_g_farty). This notice shall 

be marked on each page of any reproduction hereof, in whole or 

in part. 	 These limitations shall automatically terminate when the 

proprietary information is disclosed by the owner without 

restriction." 

This restrictive legend shall be respected by the Parties to this Arrangement. 

Proprietary information bearing this restrictive legend shall not be made public or 

otherwise disseminated in any manner unspecified or contrary to the terms of this 

Arrangement without the prior written consent of the transmitting Party. 

Proprietary information bearing this restrictive iegend shall not be used by the 

receiving Party or its contractors and consultants for any commercial purposes 

without the prior written consent of the transmitting Party. 

D. Dissemination of Documentary Proprietary Information 

1. 	 In general, proprietary information received under this Arrangement may 

be disseminated by the receiving Party without prior consent to persons 

within or employed by the receiving Party, and to concerned Government 

departments and Government agencies in the country of the receiving 

Party, provided: 

a. 	 such dissemination is made on a case-by-case basis; and 

b. 	 such proprietary information bears the restrictive legend appearing 

in Section 111.C. of this Arrangement. 

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2. Proprietary information received under this Arrangement may be 

disseminated by the receiving Party without prior consent to contractors 

and consultants of the receiving Party located within the geographical 

limits of that Party's country provided: 

a. 	 that the proprietary information is used by such contractors and 

consultants only for work within the scope of their contracts with the 

receiving Party relating to the subject matter of the proprietary 

information, and shall not be used by such contractors and 

consultants for any other private commercial purposes; 

b. 	 that such dissemination is made on a case-by-case basis to 

contractors and consultants who have executed a non-disclosure 

agreement; and 

c. 	 that such proprietary information shall bear the restrictive legend 

appearing in Section 111.C. of this Arrangement. 

3. 	 With the prior written consent of the Party furnishing proprietary 

information under this Arrangement, the receiving Party may disseminate 

such proprietary information more widely than otherwise permitted under 

the terms set forth in this Arrangement. The Parties shall endeavor to 

grant such approval to the extent permitted by their respective national 

laws, regulations and policies, provided: 

a. that the entities receiving proprietary information under Section 

iii.D.3. of this Arrangement, inciuding domestic organizations 

permitted or licensed by the receiving Party to construct or operate 

nuclear production or utilization facilities, or to use nuclear and 

materials radiation sources, have executed a non-disclosure 

agreement; 

b. that the entities receiving proprietary information under Section 

111.D.3. of this Arrangement, including domestic organizations 

permitted or licensed by the receiving Party to construct or operate 

nuclear production or utilization facilities, shall not use such 

proprietary information for any private commercial purposes; and 

c. that those entities receiving proprietary information under Section 

111.D.3. of this Arrangement that are domestic organizations 

permitted or licensed by the receiving Party, agree to use the 

proprietary information only for activities carried out under or within 

the terms of their specific permit or license. 

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E. 	 Marking Procedures for Other Confidential or Privileged Information of a 

Documentary Nature 

A Party receiving under this Arrangement other confidential or privileged 

information shall respect its confidential nature, provided such information is 

clearly marked so as to indicate its confidential or privileged nature and is 

accompanied by a statement indicating: 

1. 	 that the information is protected from public disclosure by the government 

of the transmitting Party; and 

2. 	 that the information is transmitted under the condition that it be 

maintained in confidence. 

F. 	 Dissemination of Other Confidential or Privileged Information of a Documentary 

Nature 

Other confidential or privileged information may be disseminated in the same 

manner as that set forth in Section 111.D. of this Arrangement, "Dissemination of 

Documentary Proprietary Information." 

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

Non-documentary proprietary or other confidential or privileged information 

provided in seminars and other meetings organized under this Arrangement, or 

information arising from the assignment of staff, use of facilities, or joint projects, 

shall be treated by the Parties according to the principles specified for 

documentary information in this Arrangement; provided, however, that the Party 

communicating such proprietary or other confidential or privileged information 

has placed the recipient on notice as to the character of the information 

communicated. 

H. 	 Consultation 

If, for. any reason, one of the Parties becomes aware that it will be, or may 

reasonably be expected to become, unable to meet the non-dissemination 

provisions of this Arrangement, it shall immediately inform the other Party. The 

Parties shall thereafter consult to define an appropriate course of action. 

I. 	 Other 

Nothing contained in this Arrangement shall preclude a Party from using or 

disseminating information received without restriction by a Party from sources 

outside of this Arrangement. 

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IV. FINAL PROVISIONS 


A. 	 Nothing contained in this Arrangement shall require either Party to take any 

action that would be inconsistent with its existing laws, regulations, or policy 

directives. Should any conflict arise between the terms of this Arrangement and 

those laws, regulations, or policy directives, the Parties agree to consult before 

any action is taken. No nuclear information related to proliferation-sensitive 

technologies shall be exchanged under this Arrangement. 

B. 	 Unless otherwise agreed, all costs resulting from cooperation pursuant to this 

Arrangement shall be the responsibility of the Party that incurs them. The ability 

of the Parties to carry out their obligations is subject to the appropriation of funds 

by the appropriate governmental authority and to the laws, regulations and 

policies applicable to the Parties. 

C. 	 Cooperation under this Arrangement shall be in accordance with the laws and 

regulations of the Parties. Any dispute or questions between the Parties 

concerning the interpretation or application of this Arrangement shall be settled 

by mutual agreement of the Parties. 

D. 	 This Arrangement shall enter into force upon signature and, subject to paragraph 

E of this Section, shall remain in force for a period of five years. It may be 

extended for a further period of time by written agreement of the Parties. 

E. 	 Either Party may terminate this Arrangement by providing the other Party written 

notice at least 180 days prior to its intended date of termination. 

DONE at Vienna, Austria on this 19th day of September 2017, in duplicate, in the English 

language. 

FOR THE UNITED STATES NUCLEAR FOR THE SWISS FEDERAL NUCLEAR 

REGULATORY COMMISSION: SAFETY INSPECTORATE: 

<KfiStineLSVif1iCairman 	 ~ Hans Wanner, Director General 

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Addendum A 

USNRC - ENSI Safety Research Exchange 

Areas in Which the USNRC Is Performing or Sponsoring Safety Research 

1. Digital Instrumentation and Control 

2. Reactor and Electrical Equipment Qualification 

3. Environmental Transport 

4. Radionuclide Transport and Waste Management 

5. Dry Cask Storage and Transport 

6. Fire Safety Research 

7. Nuclear Fuel Analysis 

8. Severe Accident Analysis 

9. Operating Experience and Generic Issues 

10. Human Factors Engineering 

11. Organizational Factors/Safety Culture 

12. Human Reliability Analysis (HRA) 

13. Probabilistic Risk Assessments 

14. Radiation Protection and Health Effects 

15. Seismic Safety 

16. State of the Art Risk Consequences 

17. Reactor Containment Structural Safety 

18. Reactor Vessel and Piping Integrity 

19. Regulatory Guide Update 

20. New and Advanced Reactor Designs 

21. Decommissioning 

22. Thermal Hydraulic Code Applications and Maintenance 

23. Uncertainty Analysis for Thermal Hydraulic Kinetics 

24. Coupled 3D Neutronic and Plant Thermal Hydraulics 

25. Medical Isotope Production 

26. Long-term Operational Management 

27. Plant and Systems Operations 
Addendum B 


USNRC - ENSI Safety Research Exchange 


Areas in Which the ENSI Is Performing or Sponsoring Nuclear Safety Research 


1. Fuel safety criteria and ageing of structural materials 

2. Internal events and damage occurrences 

3. External events 

4. Human factors 

5. Systems behavior and accident sequences 

6. Radiological protection 

7. Waste disposal 
INTELLECTUAL PROPERTY RIGHTS ANNEX 


I. General Obligation 

The Parties shall ensure adequate and effective protection of intellectual property created or 

furnished under this Arrangement and relevant implementing arrangements. Rights to such 

intellectual property shall be allocated as provided in this Annex. 

II. Scope 

A. This Annex is applicable to all cooperative activities undertaken pursuant to this 

Arrangement, except as otherwise specifically agreed by the Parties or their designees. 

B. For purposes of this Arrangement, "intellectual property" shall mean the subject matter listed 

in Article 2 of the Convention Establishing the World Intellectual Property Organization, done at 

Stockholm, July 14, 1967 and may include other subject matter as agreed by the Parties. 

C. Each Party shall ensure, through contracts or other legal means with its own participants, if 

necessary, that the other Party can obtain the rights to intellectual property allocated in 

accordance with this Annex. This Annex does not otherwise alter or prejudice the allocation 

between a Party and its participants, which shall be determined by that Party's laws and 

practices. 

D. Except as otherwise provided in this Arrangement, disputes concerning intellectual property 

arising under this Arrangement shall be resolved through discussions between the concerned 

participating institutions, or, if necessary, the Parties or their designees. Upon mutual 

agreement of the Parties, a dispute shaii be submitted to an arbitrai tribunal for binding 

arbitration in accordance with the applicable rules of international law. Unless the Parties or 

their designees agree otherwise in writing, the arbitration rules of the United Nations 

Commission on International Trade Law (UNCITRAL) shall govern. 

E. Termination or expiration of this Arrangement shall not affect rights or obligations under this 

Annex. 

Ill. Allocation of Rights 

A. Each Party shall be entitled to a worldwide, non-exclusive, irrevocable, royalty-free license to 

translate, reproduce, and publicly distribute monographs, scientific and technical journal articles, 

reports, and books directly arising from cooperation under this Arrangement. All publicly 

distributed copies of a copyrighted work prepared under this Arrangement shall indicate the 

names of the authors of the work unless an author explicitly declines to be named. 

B. Rights to all forms of intellectual property, other than those rights described in paragraph Ill.A 

above, shall be allocated as follows: 

(1) Prior to participation in cooperative activities under this Arrangement by a visiting 

researcher, the host Party or its designee and the Party or its designee employing or sponsoring 

the visiting researcher may discuss and determine the allocation of rights to any intellectual 

property created by the visiting researcher. Absent such a determination, visiting researchers 
shall receive rights, awards, bonuses and royalties in accordance with the policies of the host 

institution. For purposes of this Arrangement, a visiting researcher is a researcher visiting an 

institution of the other Party (host institution) and engaged in work planned solely by the host 

institution. 

(2) (a) Any intellectual property created by persons employed or sponsored by one Party under 

cooperative activities other than those covered by paragraph 111.(8)(1) shall be owned by that 

Party. Intellectual property created by persons employed or sponsored by both Parties shall be 

jointly owned by the Parties. In addition, each creator shall be entitled to awards, bonuses and 

royalties in accordance with the policies of the institution employing or sponsoring that creator. 

(b) Unless otherwise agreed in an implementing or other arrangement, each Party shall have 

within its territory a right to exploit and allow others to exploit intellectual property created in the 

course of the cooperative activities. 

(c) The rights of a Party outside its territory shall be determined by mutual agreement 

considering, for example, the relative contributions of the Parties and their participants to the 

cooperative activities, the degree of commitment in obtaining legal protection and licensing of 

the intellectual property and such other factors deemed appropriate. 

(d) Notwithstanding paragraphs lll.B(2)(a) and (b) above, if either Party believes that a particular 

project is likely to lead to or has led to the creation of intellectual property not protected by the 

laws of the other Party, the Parties shall immediately hold discussions to determine the 

allocation of rights to the intellectual property. If an agreement cannot be reached within three 

months of the date of the initiation of the discussions, cooperation on the project in question 

shall be terminated at the request of either Party. Creators of intellectual property shall 

nonetheless be entitled to awards, bonuses and royaliies as provided in paragraph iii.8(2)(a). 

(e) For each invention made under any cooperative activity, the Party employing or sponsoring 

the inventor(s) shall disclose the invention promptly to the other Party together with any 

documentation and information necessary to enable the other Party to establish any rights to 

which it may be entitled. Either Party may ask the other Party in writing to delay publication or 

public disclosure of such documentation or information for the purpose of protecting its rights in 

the invention. Unless otherwise agreed in writing, the delay shall not exceed a period of six 

months from the date of disclosure by the inventing Party to the other Party. 

IV. Business Confidential Information 

In the event that information identified in a timely fashion as business-confidential is furnished or 

created under this Arrangement, each Party and its participants shall protect such information in 

accordance with applicable laws, regulations, and administrative practices. Information may be 

identified as "business-confidential" if a person having the information may derive an economic 

benefit from it or may obtain a competitive advantage over those who do not have it, and the 

information is not generally known or publicly available from other sources, and the owner has 

not previously made the information available without imposing in a timely manner an obligation 

to keep it confidential.