TREATIES AND OTHER INTERNATIONAL ACTS SERIES 14-828

________________________________________________________________________

NUCLEAR SAFETY 

Arrangement Between the 

UNITED STATES OF AMERICA

and BRAZIL

Signed at Rio de Janeiro and Rockville

August 1 and 28, 2014

with

Addenda
 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.”
 BRAZIL

 Nuclear Safety

 Arrangement signed at 

 Rio de Janeiro and Rockville

 August 1 and 28, 2014;

 Entered into force August 28, 2014.

 With addenda.
ARRANGEMENT 

BETWEEN 

THE NUCLEAR REGULATORY COMMISSION 

OF THE UNITED STATES OF AMERICA 

AND 

THE COMISSAO NACIONAL DE ENERGIA NUCLEAR 

OF BRAZIL 

FOR THE EXCHANGE OF TECHNICAL 

INFORMATION 

AND COOPERATION IN REGULATORY AND SAFETY 

RESEARCH MATTERS 

AUGUSTU, 2014 
ARRANGEMENT 

BETWEEN 

THE NUCLEAR REGULATORY COMMISSION 

OF THE UNITED STATES OF AMERICA 

AND 

THE COMISSAO NACIONAL DE ENERGIA NUCLEAR 

OF BRAZIL 

FOR THE EXCHANGE OF TECHNICAL INFORMATION 

AND 

COOPERATION IN REGULATORY AND SAFETY RESEARCH MATTERS 

The Nuclear Regulatory Commission of the United States of America (hereinafter 

called the USNRC) and the Comissao Nacional de Energia Nuclear of Brazil (hereinafter 

called the CNEN), 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 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 Safety Research, signed on 

May 20, 1976; 

Having continued this cooperation through subsequent Arrangements for fiveyear periods on January 14, 1982; May 18, 1989; September 20, 1994; September 30, 

1999; September 21, 2004; and, September 14, 2009, and the Parties having indicated 

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

Have agreed as follows: 
I. SCOPE OF THE ARRANGEMENT 

A. Technical Information Exchange 

To the extent that the USNRC and the CNEN 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 safety, safeguards 

(materials accountancy and control and physical protection), waste 

management, and environmental impact of designated nuclear facilities 

and to nuclear safety research programs: 

1. Topical reports concerning technical safety, safeguards, waste 

management, 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 CNEN as 

similar to certain facilities being built or planned in Brazil and 

equivalent documents on such Brazilian facilities. 

4. Information in the field of reactor safety research, 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 a 

part hereof. These Addenda may be modified by agreement of 

the Parties. Cooperation in these itemized safety 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 reports on nuclear 

incidents, accidents and shutdowns, and compilations of historical 

reliability data on components and systems. 

6. Regulatory procedures for the safety, safeguards, waste 

management, and environmental impact evaluation of nuclear 

facilities. 

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

incidents and government-directed reactor shutdowns that are of 

immediate interest to the Parties. 
-2-

B. Cooperation in Confirmatory Nuclear Safety Research 

The terms of cooperation for joint programs and projects of confirmatory 

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, 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 arid will, in general, require a 

separate agreement between the research organizations of the Parties. 

C. Training and Assignments 

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

appropriated funds, the USNRC will cooperate with the CNEN in 

providing certain training and experience for CNEN safety personnel. 

Unless otherwise agreed, costs of salary, allowances and travel of CNEN 

participants will be paid by the CNEN. The following are typical of, but 

not necessarily exclusive of, the kinds of training and experience that may 

be provided: 

1. CNEN 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 CNEN employees in US NRC staff training 

courses. 

3. Assignment of CNEN employees for 6-12 month periods to the 

USNRC staff to work on USNRC staff duties and gain on-the-job 

experience. 

4. Possible training assignments within the radiation control 

programs in the United States. 

D. Technical Advice 

To the extent that the documents and other information provided by the 

USNRC as described in A and C. above, are not adequate to meet the 

CNEN's needs for technical advice, the Parties will consult on the best 

means for fulfilling such needs. The USNRC will attempt, within the limits 
-3-

of appropriated resources and statutory authority, to assist the CNEN in 

meeting these ne~ds. For example, within these limits, the USNRC will 

attempt to meet requests that come through the International Atomic 

Energy Agency for technical a'Ssistance missions to Brazil by USNRC 

safety experts. 

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 Arrang~ment, and to discuss topics coming 

within the scope of the exchange. The time, place, and agenda for such 

meetings will be agreed upon in advance. Visits which take place under 

this Arrangement, including their schedules, will have the prior approval of 

the administrators referred to in paragraph II. B. 

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

participation in the overall exchange. 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 the 

exchange, the administrators will be responsible for developing the scope 

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

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 will assure that both administrators receive copies 

of all transmittals. These detailed arrangements are intended to assure, 

among other things, that a reasonably balanced exchange providing 

access to equivalent available information from both sides 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. 
-4-

The foregoing does not constitute a commitment of other agencies to 

furnish such information or to receive such visitors. 

Ill. EXCHANGE AND USE OF INFORMATION 

A. General 

The Parties support the widest possible dissemination of information provided, 

created, or exchanged under this Arrangement, subject both to the requirements 

of each Party's national laws, regulations and policies and need to protect 

proprietary and other confidential or privileged information, and subject to the 

provisions of the Intellectual Property Addendum, hereby incorporated into 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 competitive 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," which is 

protected from public disclosure under the laws, 
-5-

regulations, or policies of the country of the Party providing 

the information and which has been transmitted and 

received in confidence, or is otherwise restricted by the 

provider. 

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 [INSERT DATE], between the Nuclear 

Regulatory Commission of the United States of America and the 

Comissao Nacional de Energia Nuclear of Brazil 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 and the Government of Brazil without 

the prior approval of (name of the transmitting Par:ty). This notice shall be 

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

These limitations shall automatically terminate when this information is 

disclosed by the owner without 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 

by or contrary to the terms of this Arrangement without the prior written 

consent of the transmitting Party. Proprietary information bearing this 

restrictive legend shall not be used by the receiving Party or its 

contractors and consultants for any commercial purposes without the 

prior written consent of the transmitting Party. 

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 shall bear the restrictive 

legend appearing in Section Ill. C. of this Arrangement. 
-6-

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 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; 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 Ill. 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 

c. that those entities receiving proprietary information under 

Section 111.0.3. of this Arrangement that are domestic 

organizations permitted or licensed by the receiving Party, 

agree to use the proprietary information only for activities 
-7-

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., 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 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 nondissemination provisions of this Arrangement, it will immediately inform 

the other Party. The Parties will thereafter consult to define an 

appropriate course of action. 

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

disseminating information received without restriction by a Party from 

sources outside of this Arrangement. 
-8-

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 after providing the other 

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

DONE in the English language. 

UNITED STATES NUCLEAR 

REGULATORY COMMISSION 

~-W-- Allison actariane, Chairman - Date:~~ J.- .2-~, 2-0l4-

Piace: Roc v1lle, Maryland 

United States 

FOR THE COMISSAO NACIONAL 

DE ENERGIA NUCLEAR OF 

BRAZIL 

Brazil 
ADDENDUM "A" 

Areas in Which the USNRC Is Performing Confirmatory Nuclear Safety Research 

1. Digital Instrumentation and Control 

2. Reactor Equipment Qualification 

3. Environmental Transport 

4. Fire Safety Research 

5. Nuclear Fuel Analysis 

6. Operating Experience and Generic Issues 

7. Human Effects on Nuclear Safety 

8. Radionuclide Transport and Waste Management 

9. Probabilistic Risk Assessments 

10. Radiation Protection and Health Effects 

11. Seismic Safety 

12. State of the Art Risk Consequences 

13. Containment Structural Integrity 

14. Regulatory Guide Update 

15. New and Advanced Reactor Designs 

16. Decommissioning 

17. Thermal Hydraulic Code Applications and Maintenance 

18. Severe Accident Analysis 
ADDENDUM "8" 

Areas in Which the CNEN is Performing Confirmatory Nuclear Safety Research 

1. Safety of Nuclear Waste Disposal 

2. Reactor Components Predictive Maintenance 

3. Sever Accidents Analysis 

4. Probabilistic Safety Assessment 

5. Natural Circulation 
Intellectual Property Addendum 

Intellectual Property Rights 

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 Addendum. 

II. Scope 

A This Addendum 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 Addendum. This 

Addendum 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 designees. 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 Addendum. 

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 lilA 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 III.B(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 laws 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 111.8(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 businessconfidential 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.