TREATIES AND OTHER INTERNATIONAL ACTS SERIES 14-924.2

________________________________________________________________________

NUCLEAR SAFETY 

Arrangement Between the 

UNITED STATES OF AMERICA

and KAZAKHSTAN

Signed at Vienna September 24, 2014

with

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.”
 KAZAKHSTAN

 Nuclear Safety

 Arrangement signed at Vienna 

 September 24, 2014;

 Entered into force September 24, 2014.

 With annex.
ARRANGEMENT 

BETWEEN 

THE UNITED STATES NUCLEAR REGULATORY 

COMMISSION 

AND 

THE REPUBLIC OF KAZAKHSTAN 

COMMITTEE ON ATOMIC AND ENERGY CONTROL 

AND SUPERVISION 

OF THE MINISTRY OF ENERGY 

FOR THE EXCHANGE OF TECHNICAL . 

INFORMATION 

AND 

COOPERATION IN NUCLEAR SAFETY MATTERS 

September 24, 2014 
ARRANGEMENT 

BETWEEN 

THE UNITED STATES 

NUCLEAR REGULATORY COMMISSION 

AND 

THE REPUBLIC OF KAZAKHSTAN 

COMMITTEE ON ATOMIC AND ENERGY CONTROL AND SUPERVISION 

OF THE MINISTRY OF ENERGY 

FOR THE EXCHANGE OF TECHNICAL INFORMATION 

AND 

COOPERATION IN NUCLEAR SAFETY MATTERS 

The United States Nuclear Regulatory Commission (hereinafter called the USNRC) 

and the Republic of Kazakhstan Committee on Atomic and Energy Control and Supervision of 

the Ministry of Energy (hereinafter called the CAECS), 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, safeguards, physical security, waste management, spent fuel storage and 

transport, decommissioning, and environmental impact of nuclear facilities; 

Having similarly cooperated under the terms of a five-year Arrangement for the 

Exchange of Technical Information and Cooperation in Nuclear Safety Matters, originally 

signed with the Atomic Energy Agency of the Republic of Kazakhstan on February 14,1994, 

such Arrangement including provision for its extension every five years as mutually agreed 

upon by the Parties; 

Having three times renewed such Arrangement for five-year periods, on 

December 20, 1999, September 22, 2004, and September 15, 2009, and the Parties having 

indicated their mutual desire to continue the established cooperation for another five years; 

Have agreed as follows: 
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I. SCOPE OF THE ARRANGEMENT 

A. Technical Information Exchange 

To the extent that the USNRC and the CAECS are permitted to do so under the 

laws, regulations, and policy directives of their respective countries, the Parties 

will exchange of the following types of unclassified technical information 

relating to the regulation of safety, safeguards, physical security, waste 

management, spent fuel storage and transport, decommissioning, and 

environmental impact of designated nuclear facilities and to nuclear safety 

research programs: 

1. Topical reports concerning technical safety, safeguards, physical 

security, waste management, spent fuel storage and transport, 

decommissioning, 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 CAECS as similar to 

certain Kazakhstan facilities being built or planned in and equivalent 

documents on such Kazakhstan facilities. 

4. Information in the field of nuclear safety research, including safety 

rnformation from technical areas to be further agreed by the Parties. 

Cooperation in research areas may require a separate agreement, as 

determined to be necessary by the research organizations of one or 

both of the Parties. Each Party will 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 on nuclear incident~. 

accidents and shutdowns, and compilations of historical reliability data 

on components and systems. 

6. Regulatory procedures for the safety, safeguards, physical security, 

waste management, spent fuel storage and transport, 

decommissioning, and environmentai impact evaluation of nuclear 

facilities. · · 

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

and government-directed reactor shutdowns 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, 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, will be considered on a case-by-case basis 

and may be the subject of a separate agreement, if determined to be 

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

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

established by an exchange of letters between the research organizations of 

the Parties, and will be subject to the terms and conditions of the present 

Arrangement. Technical areas specified by such exchanges of letters may be 

modified subsequently by mutual consent. Temporary assignments of 

personnel by one Party in the other Party's agency will also be considered on a 

case-by-case basis and will, in general, require a separate agreement. 

C. Training and Assignments 

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

appropriated funds, the USNRC will cooperate with the CAECS in providing 

certain training and experience for CAECS safety personnel. Unless otherwise 

agreed, costs of salary, allowances, and travel of CAECS participants will be 

paid by the CAECS. The following are typical of, but not necessarily restricted 

to, the kinds of training and experience that may be provided: 

. 1. CAECS designated inspector accompaniment of USNRC inspectors on 

reactor operation and reactor construction inspection visits in the United 

States, including extended briefings at USNRC regional inspection 

offices. 

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

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

the Parties within the USNRC staff to work on US NRC staff duties and 

gain on the job experience. 

4. Training assignments of CAECS employees within the radiation control 

program in the United States. 
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II. ADMINISTRATION 

A. The exchange of Information under this Arrangement will be accomplished 

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

arranged in advance on a case-by-case basis. A meeting will be held annually, 

or at such other times as mutually agreed, to review the exchange of 

information and cooperation under this Arrangement, to recommend revisions 

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

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

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

schedules, will have the prior approval of the two administrators referred to in 

paragraph II.B. 

B. An administrator will be designated by each Party to coordinate its participation 

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

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

all letters unless otherwise agreed. Within the terms of this Arrangement, the 

administrators will 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. 

The Parties may appoint one or more technical coordinators as direct contacts 

for specific disciplinary areas. These technical coordinators will assure that 

both administiators receive copies of all transmittals. These detailed 

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

balanced exchange glving access to equivalent available information is 

achieved and maintained. 

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

documents exchanged. Each document will 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 will 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 will 

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 does not constitute a commitment of 

other agencies to furnish such information or to receive such visitors. 
5 

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 and regulations regarding the protection of proprietary or 

other confidential or privileged information as may be exchanged hereunder, 

and to the provisions of the Intellectual Property Annex, which is an integral 

part of this Arrangement. 

B. Definitions 

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

regulatory, safety, safeguards, waste management, scientific, or 

technical data, including information on results or methods of research 

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

exchanged under this Arrangement. 

2. The term "proprietary information" means information provided, created, 

or exchanged under this Arrangement that contains trade secrets or 

other privileged or confidential commercial information'(such that the 

person having the information may derive an economic benefit from it or 

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

may only include information which: 

(a) has ·been held in confidence by its owner; 

(b) is of a type which is customarily held in confidence by its 

owner; 

(c) has not been transmitted by the owner to other entities 

(including the receiving Party) except on the basis that it be 

held in confidence; 

(d) is not otherwise available to the receiving Party from 

another source without restriction on its further 

dissemination; and . 

(e) 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 is. 

protected from public disclosure under the laws, regulations, or 

policies of the country of the Party providing the information and 

that has been transmitted and received in confidence, or is 

otherwise restricted by the provider. 
6 

C. Marking Procedures for Documentary Proprietary Information 

A Party receiving documentary proprietary information pursuant to this 

Arrangement will respect the privileged nature thereof, provided such proprietary 

information is clearly marked with the following (or substantially similar) restrictive 

legend: 

"This document contains proprietary information furnished in confidence under an 

Arrangement dated September 22, 2014, between the United States Nuclear 

Regulatory Commission and the Atomic Energy Committee of the Ministry of 

Industry and New Technologies of the Republic of Kazakhstan and will not be 

disseminated outside these organizations, their consultants, contractors, and 

licensees, and concerned departments and agencies of the Government of the 

United States and the ministries of the Government of the Republic of Kazakhstan 

without the prior approval of (name of the transmitting Party). This notice will be 

marked on any reproduction hereof, in whole or in part. These limitations will 

automatically terminate when the proprietary information is disclosed by the owner 

without restrictions." 

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

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

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

this Arrangement without the prior written consent of the transmitting Party. 

Proprietary information bearing this restrictive legend will 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 to 

persons, or departments and agencies, having a legitimate 

need for the proprietary information; and 

b. such proprietary information bears the restrictive 

legend appearing in Section III.C of this Arrangement. 
7 

2. Proprietary information received under this Arrangement may be 

disseminated by the receiving Party without the prior consent of 

the transmitting Party to contractors and consultants of the 

receiving Party located within the geographical limits of that 

Party's nation, 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; and 

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

to contractors and consultants having a legitimate need for 

the proprietary information and who have executed a nondisclosure agreement; and 

c. that such proprietary information shall bear the restrictive 

legend appearing in Section III.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 will 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 111.0.3 of this Arrangement, including 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 a legitimate need for the proprietary information and 

have executed a non-disclosure agreement; and 

b. that the entities receiving proprietary information under 

Section 111.0.3 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 
8 

c. that those entities receiving proprietary information under 

Section III.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. 

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

Documentary Nature 

A Party receiving under this Arrangement other confidential or privileged 

information will 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 Ill. D. 

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 attachments of staff, use of 

facilities, or joint projects, will 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 will immediately inform the other Party. The 

Parties will thereafter consult to define an appropriate course of action. 
9

I. Other

Nothing contained in this Arrangement precludes a Party from using or

disseminating information received without restriction by a Party from

sources outside of this Arrangement.

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 proliferationsensitive 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 after providing the other Party

written notice 180 days prior to its intended date of termination.

DONE at Vienna, Austria, this 24th day of September 2014, in the English language.

FOR THE UNITED STATES

NUCLEAR REGULATORY COMMISSION

FOR THE REPUBLIC OF KAZAKHSTAN

COMMITTEE ON ATOMIC AND ENERGY

CONTROL AND SUPERVISION

OF THE MINISTRY OF ENERGY

Allison Macfarlane, Chairman Timur Zhan ikin, Deputy Chairman
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 

Agreement, 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 ~4. 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 nationals, 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 designe~s. Upon mutual 

agreement of the Parties, a dispute shall be submitted to an arbitral 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 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 non-exclusive, irrevocable, royalty-free license in all 

countries to translate, reproduce, and publicly distribute 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 provision 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 

III.A above, shall be allocated as follows: · 

(1) Visiting researchers shall receive rights, awards, bonuses and royalties in accordance with 

the policies of 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 person. 

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

within its territory all rights to exploit or license 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 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 111.8(2)(a) and (b) above, if a particular project has led to the 

creation of intellectual property protected by the laws of one Party but not the other, the Party 

whose Jaws provide for this type of protection shall be entitled to all rights to exploit or license 

intellectual property worldwide although creators of intellectual property shall nonetheless be 

entitled to awards, bonuses and royalties as provided in paragraph III.B(2)(a). 

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

sponsoring the inventor(s) shall disclose the inventions 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.