Nuclear Regulatory

Legislation

NUREG-0980

Vol. 2, No. 10

112th Congress; 2nd Session

Office of the General Counsel
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Nuclear Regulatory

Legislation

NUREG-0980

Vol. 2, No. 10

112th Congress; 2nd Session

Prepared by:

Office of the General Counsel

U.S. Nuclear Regulatory Commission

Washington, DC 20555-0001

Date Published: September 2013

iii

FOREWORD

This compilation of statutes and materials pertaining to nuclear regulatory 

legislation through the 112th 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. The compilation is 

not to 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, neither the United States 

Government, the Nuclear Regulatory Commission, 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:

Anthony de Jesús

Legislative Specialist

Office of the General Counsel

U.S. Nuclear Regulatory Commission

Washington, DC 20555-0001

Anthony.deJesus@nrc.gov

v

Contents ___________

PART I: DOMESTIC LEGISLATION ...................................ix

1. Transportation of Hazardous Materials........................... 533

A. HAZARDOUS MATERIALS TRANSPORTATION UNIFORM 

SAFETY ACT OF 1990, AS AMENDED ............................................... 537

B. AIR TRANSPORTATION OF PLUTONIUM—(P.L. 94-79)............. 570

C. AIR TRANSPORTATION OF PLUTONIUM—(P.L. 94–187).......... 570

D. SECTION 5062 OF OMNIBUS BUDGET RECONCILIATION 

ACT OF 1987 REGARDING AIR TRANSPORTATION OF 

PLUTONIUM............................................................................................ 571

E. SHIPMENTS OF PLUTONIUM BY SEA ............................................ 573

F. SECTION 411 OF RAIL SAFETY IMPROVEMENT ACT OF 

2008............................................................................................................. 574

2. User Fees............................................................................ 575

A. TITLE V OF THE INDEPENDENT OFFICES 

APPROPRIATIONS ACT OF 1952........................................................ 579

B. PERTINENT PROVISIONS OF THE OMNIBUS BUDGET 

RECONCILIATION ACT OF 1990, AS AMENDED........................... 580

3. Administrative Law Statutes ............................................. 583

A. ADMINISTRATIVE PROCEDURES (5 U.S.C. 551–559)................. 589

B. NEGOTIATED RULEMAKING ACT OF 1990 (5 U.S.C. 561–570) . 631

C. ADMINISTRATIVE DISPUTE RESOLUTION ACT, AS 

AMENDED................................................................................................ 638

D. REGULATORY FLEXIBILITY ACT, AS AMENDED (5 U.S.C. 

601–612) ..................................................................................................... 650

E. JUDICIAL REVIEW (5 U.S.C. 701–706).............................................. 658

F. CONGRESSIONAL REVIEW (5 U.S.C. 801–808) .............................. 661

G. FEDERAL ADVISORY COMMITTEE ACT, AS AMENDED......... 667

H. ALTERNATIVE DISPUTE RESOLUTION ACT OF 1998............... 676

I. FEDERAL CIVIL PENALTIES INFLATION ADJUSTMENT 

ACT OF 1990, AS AMENDED................................................................ 681

4. NRC Appropriation Acts................................................... 685
vi

TABLE: ANNUAL NRC APPROPRIATION ACTS THROUGH 

FISCAL YEAR 2012................................................................................. 750

5. NRC Authorization Acts.................................................... 753

A. NRC AUTHORIZATION ACT FOR FISCAL YEAR, 1984–1985.... 757

B. NRC AUTHORIZATION ACT FOR FISCAL YEAR, 1982–1983 .... 761

C. NRC AUTHORIZATION ACT FOR FISCAL YEAR 1980............... 776

D. NRC AUTHORIZATION ACT FOR FISCAL YEAR 1979............... 789

E. NRC AUTHORIZATION ACT FOR FISCAL YEAR 1978 ............... 797

F. NRC AUTHORIZATION ACT FOR FISCAL YEAR 1977 ............... 800

G. NRC AUTHORIZATION ACT FOR FISCAL YEAR 1976............... 801

H. NRC FISCAL YEAR 1975 SUPPLEMENTAL 

AUTHORIZATION ACT ........................................................................ 803

I. AEC FISCAL YEAR 1975 SUPPLEMENTAL AUTHORIZATION 

ACT............................................................................................................ 804

J. AEC AUTHORIZATION ACT FOR FISCAL YEAR 1975 ................ 805

K. AEC AUTHORIZATION ACT FOR FISCAL YEAR 1974............... 810

6. Chief Financial Officers Legislation................................ 811

A. CHIEF FINANCIAL OFFICERS ACT OF 1990, AS AMENDED.... 815

B. REPORTS CONSOLIDATION ACT OF 2000 .................................... 833

C. GOVERNMENT PERFORMANCE AND RESULTS ACT OF 

1993............................................................................................................. 836

D. GPRA MODERNIZATION ACT OF 2010 .......................................... 847

7. Inspector General Legislation........................................... 865

A. INSPECTOR GENERAL ACT OF 1978, AS AMENDED ................. 869

8. Information Management Legislation ............................. 911

A. INFORMATION TECHNOLOGY MANAGEMENT REFORM 

ACT OF 1996............................................................................................. 917

B. PAPERWORK REDUCTION ACT OF 1995, AS AMENDED.......... 926

C. GOVERNMENT PAPERWORK ELIMINATION ACT.................... 958

D. CONSOLIDATED APPROPRIATIONS ACT, 2001 (DATA 

QUALITY)................................................................................................. 961

E. ELECTRONIC RECORDS AND SIGNATURES IN 

COMMERCE............................................................................................ 962

F. PLAIN WRITING ACT OF 2010........................................................... 974
vii

9. Environmental Legislation................................................ 977

A. PERTINENT SECTIONS OF THE CLEAN AIR ACT OF 1977, 

AS AMENDED.......................................................................................... 981

B. SECTION 511 OF THE FEDERAL WATER POLLUTION 

CONTROL ACT OF 1972 ..................................................................... 1007

C. NATIONAL ENVIRONMENTAL POLICY ACT OF 1969, AS 

AMENDED.............................................................................................. 1008

D. WEST VALLEY DEMONSTRATION PROJECT ACT.................. 1014

10. Miscellaneous Domestic Legislation and Executive 

Orders................................................................................... 1019

A. UNITING AND STRENGTHENING AMERICA BY 

PROVIDING APPROPRIATE TOOLS REQUIRED TO 

INTERCEPT AND OBSTRUCT TERRORISM (USA PATRIOT 

ACT) ACT OF 2001................................................................................ 1025

B. NATIONAL DEFENSE AUTHORIZATION ACT FOR FISCAL 

YEAR 2002 (HOMELAND SECURITY)............................................. 1027

C. PERTINENT SECTIONS OF THE INTELLIGENCE REFORM 

AND TERRORISM PREVENTION ACT OF 2004............................ 1028

D. NATIONAL DEFENSE AUTHORIZATION ACT FOR FISCAL 

YEAR 2000 (TRITIUM PRODUCTION) ............................................ 1038

E. STROM THURMOND NATIONAL DEFENSE 

AUTHORIZATION ACT FOR FISCAL YEAR 1999 (LICENSING 

MOX FUEL FACILITIES).................................................................... 1039

F. NATIONAL DEFENSE AUTHORIZATION ACT FOR FISCAL 

YEAR 2002 (MOX FUEL) ..................................................................... 1040

G. MISCELLANEOUS DEPARTMENT OF ENERGY NUCLEAR 

PROVISIONS, ENACTED BY PUBLIC LAW 109–58, THE 

ENERGY POLICY ACT OF 2005........................................................ 1042

H. EXECUTIVE ORDER 12656–ASSIGNMENT OF EMERGENCY 

PREPAREDNESS RESPONSIBILITIES ............................................ 1056

I. EXECUTIVE ORDER 12657–DEPARTMENT OF HOMELAND 

SECURITY ASSISTANCE IN EMERGENCY PREPAREDNESS 

PLANNING AT COMMERCIAL NUCLEAR POWER PLANTS ... 1063

PART I: DOMESTIC

LEGISLATION

Transportation of Hazardous Materials 533

1. Transportation of Hazardous 

Materials

Transportation of Hazardous Materials 535

1. Transportation of Hazardous Materials

Contents

A. HAZARDOUS MATERIALS TRANSPORTATION UNIFORM 

SAFETY ACT OF 1990, AS AMENDED ............................................... 537

49 USCA, Chapter 51–Transportation of Hazardous Material .................... 537

Sec. 5101. Purpose.......................................................................................... 537

Sec. 5102. Definitions..................................................................................... 537

Sec. 5103. General Regulatory Authority .................................................... 539

Sec. 5103a. Limitation on Issuance of Hazmat Licenses............................. 540

Sec. 5104. Representation and Tampering................................................... 543

Sec. 5105. Transporting Certain Highly Radioactive Material.................. 543

Sec. 5106. Handling Criteria ......................................................................... 544

Sec. 5107. HAZMAT Employee Training Requirements and Grants....... 544

Sec. 5108. Registration................................................................................... 546

Sec. 5109. Motor Carrier Safety Permits..................................................... 548

Sec. 5110. Shipping Papers and Disclosure.................................................. 549

Sec. 5111. Rail Tank Cars [Repealed] .......................................................... 550

Sec. 5112. Highway Routing of Hazardous Material .................................. 550

Sec. 5113. Unsatisfactory Safety Rating....................................................... 552

Sec. 5114. Air Transportation of Ionizing Radiation Material .................. 552

Sec. 5115. Training Curriculum for the Public Sector................................ 553

Sec. 5116. Planning and Training Grants, Monitoring, and Review ......... 554

Sec. 5117. Special Permits and Exclusions................................................... 558

Sec. 5118. Inspectors [Repealed]................................................................... 559

Sec. 5119. Uniform Forms and Procedures.................................................. 559

Sec. 5120. International Uniformity of Standards and Requirements ...... 559

Sec. 5121. Administrative .............................................................................. 560

Sec. 5122. Enforcement.................................................................................. 563

Sec. 5123. Civil Penalty.................................................................................. 563

Sec. 5124. Criminal Penalty........................................................................... 564

Sec. 5125. Preemption.................................................................................... 565

Sec. 5126. Relationship to Other Laws......................................................... 567

Sec. 5127. Judicial Review............................................................................. 568

Sec. 5128. Authorization of Appropriations ................................................ 568

B. AIR TRANSPORTATION OF PLUTONIUM—(P.L. 94-79)............. 570

Sec. 201............................................................................................................ 570

C. AIR TRANSPORTATION OF PLUTONIUM—(P.L. 94–187).......... 570

Sec. 501............................................................................................................ 570

Sec. 502............................................................................................................ 570

D. SECTION 5062 OF OMNIBUS BUDGET RECONCILIATION 

ACT OF 1987 REGARDING AIR TRANSPORTATION OF 

PLUTONIUM............................................................................................ 571

Sec. 5062. Transportation of Plutonium by Aircraft Through United 

States Air Space.......................................................................................... 571

E. SHIPMENTS OF PLUTONIUM BY SEA ............................................ 573
536 Transportation of Hazardous Materials

Sec. 2904. Study and Implementation Plan on Safety of Shipments of 

Plutonium by Sea........................................................................................ 573

F. SECTION 411 OF RAIL SAFETY IMPROVEMENT ACT OF 

2008............................................................................................................. 574

Sec. 411. Railroad Carrier Employee Exposure to Radiation Study......... 574
Haz. Mat. Trans. Uniform Safety Act (P.L. 101–615) 537

A. HAZARDOUS MATERIALS TRANSPORTATION UNIFORM 

SAFETY ACT OF 1990, AS AMENDED

Public Law 101–615 104 Stat. 3244

November 16, 1990

* * * *

NOTE: This Act was recodified in P.L. 103–272 (108 Stat. 759); July 

5, 1994. Prior to recodification, this Act was found at 49 USC 

sections 1801–1819. In this Volume we have set out the recodified 

version.

* * * *

49 USCA, Chapter 51–Transportation of Hazardous Material

Sec. 5101. Purpose

The purpose of this chapter is to protect against the risks to life, 

property, and the environment that are inherent in the transportation of 

hazardous material in intrastate, interstate, and foreign commerce.1

Sec. 5102. Definitions

In this chapter [49 USCS §§ 5101 et seq.]––

 (1) “commerce” means trade or transportation in the jurisdiction of the 

United States––

 (A) between a place in a State and a place outside of the State;

 (B) that affects trade or transportation between a place in a State and 

a place outside of the State; or

 (C) on a United States–registered aircraft.

 (2) “hazardous material” means a substance or material the Secretary 

designates under section 5103(a) of this title [49 USCS § 5103(a)].

 (3) “hazmat employee”––

 (A) means an individual––

 (i) who––

 (I) is employed on a full time, part time, or temporary basis by a 

hazmat employer; or

 (II) is self–employed (including an owner–operator of a motor 

vehicle, vessel, or aircraft) transporting hazardous material in commerce; 

and

 (ii) who during the course of such full time, part time, or temporary 

employment, or such self employment, directly affects hazardous 

material transportation safety as the Secretary decides by regulation; and

 (B) includes an individual, employed on a full time, part time, or 

temporary basis by a hazmat employer, or self employed, who during the 

course of employment––

 (i) loads, unloads, or handles hazardous material;

 (ii) designs, manufactures, fabricates, inspects, marks, maintains, 

reconditions, repairs, or tests a package, container, or packaging 

component that is represented, marked, certified, or sold as qualified for 

use in transporting hazardous material in commerce;

 (iii) prepares hazardous material for transportation;

 (iv) is responsible for the safety of transporting hazardous material; 

or

 (v) operates a vehicle used to transport hazardous material.

––––––––

1 Amended by P.L. 109–59, Title VII, § 7101(b), 119 Stat. 1891 (2005).

49 USC 5101.

49 USC 5102.
538 Haz. Mat. Trans. Uniform Safety Act (P.L. 101–615)

 (C) [Redesignated]

 (4) “hazmat employer”––

 (A) means a person––

 (i) who––

 (I) employs or uses at least 1 hazmat employee on a full time, part 

time, or temporary basis; or

 (II) is self–employed (including an owner–operator of a motor 

vehicle, vessel, or aircraft) transporting hazardous material in commerce; 

and

 (ii) who––

 (I) transports hazardous material in commerce;

 (II) causes hazardous material to be transported in commerce; or

 (III) designs, manufactures, fabricates, inspects, marks, maintains, 

reconditions, repairs, or tests a package, container, or packaging 

component that is represented, marked, certified, or sold as qualified for 

use in transporting hazardous material in commerce; and

 (B) includes a department, agency, or instrumentality of the United 

States Government, or an authority of a State, political subdivision of a 

State, or Indian tribe, carrying out an activity described in clause (ii).

 (5) “imminent hazard” means the existence of a condition relating to 

hazardous material that presents a substantial likelihood that death, 

serious illness, severe personal injury, or a substantial endangerment to 

health, property, or the environment may occur before the reasonably 

foreseeable completion date of a formal proceeding begun to lessen the 

risk of that death, illness, injury, or endangerment.

 (6) “Indian tribe” has the same meaning given that term in section 4 of 

the Indian Self–Determination and Education Assistance Act (25 U.S.C. 

450b).

 (7) “motor carrier”––

 (A) means a motor carrier, motor private carrier, and freight 

forwarder as those terms are defined in section 13102 [49 USCS § 

13102]; but

 (B) does not include a freight forwarder, as so defined, if the freight 

forwarder is not performing a function relating to highway transportation.

 (8) “National Response Team” means the National Response Team 

established under the National Contingency Plan established under 

section 105 of the Comprehensive Environmental Response, 

Compensation, and Liability Act of 1980 (42 U.S.C. 9605).

 (9) “person”, in addition to its meaning under section 1 of title 1 [1 

USCS § 1]––

 (A) includes a government, Indian tribe, or authority of a government 

or tribe that––

 (i) offers hazardous material for transportation in commerce;

 (ii) transports hazardous material to further a commercial 

enterprise; or

 (iii) designs, manufactures, fabricates, inspects, marks, maintains, 

reconditions, repairs, or tests a package, container, or packaging 

component that is represented, marked, certified, or sold as qualified for 

use in transporting hazardous material in commerce; but

 (B) does not include––

 (i) the United States Postal Service; and

 (ii) in sections 5123 and 5124 of this title [49 USCS §§ 5123 and 

5124], a department, agency, or instrumentality of the Government.

 (10) “public sector employee”––
Haz. Mat. Trans. Uniform Safety Act (P.L. 101–615) 539

 (A) means an individual employed by a State, political subdivision of 

a State, or Indian tribe and who during the course of employment has 

responsibilities related to responding to an accident or incident involving 

the transportation of hazardous material;

 (B) includes an individual employed by a State, political subdivision 

of a State, or Indian tribe as a firefighter or law enforcement officer; and

 (C) includes an individual who volunteers to serve as a firefighter for 

a State, political subdivision of a State, or Indian tribe.

 (11) “Secretary” means the Secretary of Transportation except as 

otherwise provided.

 (12) “State” means––

 (A) except in section 5119 of this title [49 USCS § 5119], a State of 

the United States, the District of Columbia, Puerto Rico, the Northern 

Mariana Islands, the Virgin Islands, American Samoa, Guam, and any 

other territory or possession of the United States designated by the 

Secretary; and

 (B) in section 5119 of this title [49 USCS § 5119], a State of the 

United States and the District of Columbia.

 (13) “transports” or “transportation” means the movement of property 

and loading, unloading, or storage incidental to the movement.

 (14) “United States” means all of the States.2

Sec. 5103. General Regulatory Authority

(a) Designating material as hazardous. The Secretary shall designate 

material (including an explosive, radioactive material, infectious 

substance, flammable or combustible liquid, solid, or gas, toxic, 

oxidizing, or corrosive material, and compressed gas) or a group or class 

of material as hazardous when the Secretary determines that transporting 

the material in commerce in a particular amount and form may pose an 

unreasonable risk to health and safety or property.

(b) Regulations for safe transportation.

 (1) The Secretary shall prescribe regulations for the safe transportation, 

including security, of hazardous material in intrastate, interstate, and 

foreign commerce. The regulations––

 (A) apply to a person who––

 (i) transports hazardous material in commerce;

 (ii) causes hazardous material to be transported in commerce;

 (iii) designs, manufactures, fabricates, inspects, marks, maintains, 

reconditions, repairs, or tests a package, container, or packaging 

component that is represented, marked, certified, or sold as qualified for 

use in transporting hazardous material in commerce;

 (iv) prepares or accepts hazardous material for transportation in 

commerce;

 (v) is responsible for the safety of transporting hazardous material 

in commerce;

 (vi) certifies compliance with any requirement under this chapter 

[49 USCS §§ 5101 et seq.]; or

 (vii) misrepresents whether such person is engaged in any activity 

under clause (i) through (vi); and

 (B) shall govern safety aspects, including security, of the 

transportation of hazardous material the Secretary considers appropriate.

 (C) [Deleted]

––––––––

2 Amended by P.L. 103–311, Title I, § 117(a)(1), 108 Stat. 1678 (1994); P.L. 104–88, 

Title III, Subtitle A, § 308(d), 109 Stat. 947 (1995); P.L. 109–59, Title VII, Subtitle A,

§§ 7102, 7126, 119 Stat. 1892, 1909 (2005); P.L. 110–244, Title III, § 302(a), 

122 Stat. 1618 (2008).

49 USC 5103.
540 Haz. Mat. Trans. Uniform Safety Act (P.L. 101–615)

 (2) A proceeding to prescribe the regulations must be conducted under 

section 553 of title 5 [5 USCS § 553], including an opportunity for 

informal oral presentation.

(c) Consultation. When prescribing a security regulation or issuing a 

security order that affects the safety of the transportation of hazardous 

material, the Secretary of Homeland Security shall consult with the 

Secretary of Transportation.

(d) Biennial report. The Secretary of Transportation shall submit to the 

Committee on Transportation and Infrastructure of the House of 

Representatives and the Senate Committee on Commerce, Science, and 

Transportation a biennial report providing information on whether the 

Secretary has designated as hazardous materials for purposes of chapter 

51 of such title [this chapter] [49 USCS §§ 5101 et seq.] all by–products 

of the methamphetamine–production process that are known by the 

Secretary to pose an unreasonable risk to health and safety or property 

when transported in commerce in a particular amount and form.3

Sec. 5103a. Limitation on Issuance of Hazmat Licenses

(a) Limitation.

 (1) Issuance of licenses. A State may not issue to any individual a 

license to operate a motor vehicle transporting in commerce a hazardous 

material unless the Secretary of Homeland Security has first determined, 

upon receipt of a notification under subsection (d)(1)(B), that the 

individual does not pose a security risk warranting denial of the license.

 (2) Renewals included. For the purposes of this section, the term 

“issue”, with respect to a license, includes renewal of the license.

(b) Hazardous materials described. The limitation in subsection (a) shall 

apply with respect to any material defined as hazardous material by the 

Secretary of Transportation for which the Secretary of Transportation 

requires placarding of a commercial motor vehicle transporting that 

material in commerce.

(c) Recommendations on chemical and biological materials. The 

Secretary of Health and Human Services shall recommend to the 

Secretary of Transportation any chemical or biological material or agent 

for regulation as a hazardous material under section 5103(a) [49 USCS § 

5103(a)] if the Secretary of Health and Human Services determines that 

such material or agent poses a significant risk to the health of individuals.

(d) Background records check.

 (1) In general. Upon the request of a State regarding issuance of a 

license described in subsection (a)(1) to an individual, the Attorney 

General––

 (A) shall carry out a background records check regarding the 

individual; and

 (B) upon completing the background records check, shall notify the 

Secretary of Homeland Security of the completion and results of the 

background records check.

 (2) Scope. A background records check regarding an individual under 

this subsection shall consist of the following:

 (A) A check of the relevant criminal history data bases.

 (B) In the case of an alien, a check of the relevant data bases to 

determine the status of the alien under the immigration laws of the 

United States.

––––––––

3 Amended by P.L. 103–311, Title I, § 117(a)(2), 108 Stat. 1678 (1994); P.L. 103–429, § 6(3), 108 Stat. 4378 (1994); P.L. 107–296, Title XVII, § 1711(a), 116 Stat. 2319 (2002); 

P.L. 109–59, Title VII, Subtitle A, §§ 7103, 7126, 119 Stat. 1893, 1909, (2005); P.L. 109– 177, Title VII, Subtitle D, § 741, 120 Stat. 272, (2006).

49 USC 5103a.
Haz. Mat. Trans. Uniform Safety Act (P.L. 101–615) 541

 (C) As appropriate, a check of the relevant international data bases 

through Interpol–U.S. National Central Bureau or other appropriate 

means.

(e) Reporting requirement. Each State shall submit to the Secretary of 

Homeland Security, at such time and in such manner as the Secretary of 

Homeland Security may prescribe, the name, address, and such other 

information as the Secretary of Homeland Security may require, 

concerning––

 (1) each alien to whom the State issues a license described in 

subsection (a); and

 (2) each other individual to whom such a license is issued, as the 

Secretary of Homeland Security may require.

(f) Alien defined. In this section, the term “alien” has the meaning given 

the term in section 101(a)(3) of the Immigration and Nationality Act [8 

USC § 1101(a)(3)].

(g) Background checks for drivers hauling hazardous materials.

 (1) In general.

 (A) Employer notification. Not later than 90 days after the date of 

enactment of this subsection [enacted Aug. 10, 2005], the Director of the 

Transportation Security Administration, after receiving comments from 

interested parties, shall develop and implement a process for notifying 

hazmat employers designated by an applicant of the results of the 

applicant's background record check, if––

 (i) such notification is appropriate considering the potential security 

implications; and

 (ii) the Director, in a final notification of threat assessment, served 

on the applicant determines that the applicant does not meet the standards 

set forth in regulations issued to carry out this section.

 (B) Relationship to other background records checks.

 (i) Elimination of redundant checks. An individual with respect to 

whom the Transportation Security Administration––

 (I) has performed a security threat assessment under this section; 

and

 (II) has issued a final notification of no security threat,

 is deemed to have met the requirements of any other background 

check that is required for purposes of any Federal law applicable to 

transportation workers if that background check is equivalent to, or less 

stringent than, the background check required under this section.

 (ii) Determination by Director. Not later than 60 days after the date 

of issuance of the report under paragraph (5), but no later than 120 days 

after the date of enactment of this subsection [enacted Aug. 10, 2005], 

the Director shall initiate a rulemaking proceeding, including notice and 

opportunity for comment, to determine which background checks 

required for purposes of Federal laws applicable to transportation 

workers are equivalent to, or less stringent than, those required under this 

section.

 (iii) Future rulemakings. The Director shall make a determination 

under the criteria established under clause (ii) with respect to any 

rulemaking proceeding to establish or modify required background 

checks for transportation workers initiated after the date of enactment of 

this subsection.

 (2) Appeals process for more stringent State procedures. If a State 

establishes its own standards for applicants for a hazardous materials 

endorsement to a commercial driver's license, the State shall also 

provide––
542 Haz. Mat. Trans. Uniform Safety Act (P.L. 101–615)

 (A) an appeals process similar to and to the same extent as the 

process provided under part 1572 of title 49, Code of Federal 

Regulations, by which an applicant denied a hazardous materials 

endorsement to a commercial driver's license by that State may appeal 

that denial; and

 (B) a waiver process similar to and to the same extent as the process 

provided under part 1572 of title 49, Code of Federal Regulations, by 

which an applicant denied a hazardous materials endorsement to a 

commercial driver's license by that State may apply for a waiver.

 (3) Clarification of term defined in regulations. The term 

“transportation security incident”, as defined in part 1572 of title 49, 

Code of Federal Regulations, does not include a work stoppage or other 

nonviolent employee–related action resulting from an employer–

employee dispute. Not later than 30 days after the date of enactment of 

this subsection [enacted Aug. 10, 2005], the Director shall modify the 

definition of that term to reflect the preceding sentence.

 (4) Background check capacity. Not later than October 1, 2005, the 

Director shall transmit to the Committee on Commerce, Science, and 

Transportation of the Senate and the Committees on Transportation and 

Infrastructure and Homeland Security of the House of Representatives a 

report on the implementation of fingerprint–based security threat 

assessments and the adequacy of fingerprinting locations, personnel, and 

resources to accomplish the timely processing of fingerprint–based 

security threat assessments for individuals holding commercial driver's 

licenses who are applying to renew hazardous materials endorsements.

 (5) Report.

 (A) In general. Not later than 60 days after the date of enactment of 

this subsection [enacted Aug. 10, 2005], the Director shall transmit to the 

committees referred to in paragraph (4) a report on the Director's plans to 

reduce or eliminate redundant background checks for holders of 

hazardous materials endorsements performed under this section.

 (B) Contents. The report shall––

 (i) include a list of background checks and other security or threat 

assessment requirements applicable to transportation workers under 

Federal laws for which the Department of Homeland Security is 

responsible and the process by which the Secretary of Homeland Security 

will determine whether such checks or assessments are equivalent to, or 

less stringent than, the background check performed under this section; 

and

 (ii) provide an analysis of how the Director plans to reduce or 

eliminate redundant background checks in a manner that will continue to 

ensure the highest level of safety and security.

(h) Commercial motor vehicle operators registered to operate in Mexico 

or Canada.

 (1) In general. Beginning on the date that is 6 months after the date of 

enactment of this subsection [enacted Aug. 10, 2005], a commercial 

motor vehicle operator registered to operate in Mexico or Canada shall 

not operate a commercial motor vehicle transporting a hazardous material 

in commerce in the United States until the operator has undergone a 

background records check similar to the background records check 

required for commercial motor vehicle operators licensed in the United 

States to transport hazardous materials in commerce.

 (2) Extension. The Director of the Transportation Security 

Administration may extend the deadline established by paragraph (1) for 
Haz. Mat. Trans. Uniform Safety Act (P.L. 101–615) 543

a period not to exceed 6 months if the Director determines that such an 

extension is necessary.

 (3) Commercial motor vehicle defined. In this subsection, the term 

“commercial motor vehicle” has the meaning given that term by section 

31101 [49 USCS § 31101].4

Sec. 5104. Representation and Tampering

(a) REPRESENTATION. A person may represent, by marking or 

otherwise, that––

 (1) a package, component of a package, or packaging for transporting 

hazardous material is safe, certified, or complies with this chapter [49 

USCS §§ 5101 et seq.] only if the package, component of a package, or 

packaging meets the requirements of each applicable regulation 

prescribed under this chapter [49 USCS §§ 5101 et seq.]; or

 (2) hazardous material is present in a package, container, motor 

vehicle, rail freight car, aircraft, or vessel only if the material is present.

(b) TAMPERING. No person may alter, remove, destroy, or otherwise 

tamper unlawfully with—

 (1) a marking, label, placard, or description on a document required 

under this chapter [49 USCS §§ 5101 et seq.] or a regulation prescribed 

under this chapter [49 USCS §§ 5101 et seq.]; or

 (2) a package, component of a package, or packaging, container, motor 

vehicle, rail freight car, aircraft, or vessel used to transport hazardous 

material.5

Sec. 5105. Transporting Certain Highly Radioactive Material

(a) DEFINITIONS. In this section, “high–level radioactive waste” and 

“spent nuclear fuel” have the same meanings given those terms in section 

2 of the Nuclear Waste Policy Act of 1982 (42 U.S.C. 10101).

(b) TRANSPORTATION SAFETY STUDY. In consultation with the 

Secretary of Energy, the Nuclear Regulatory Commission, potentially 

affected States and Indian tribes, representatives of the rail transportation 

industry, and shippers of high–level radioactive waste and spent nuclear 

fuel, the Secretary shall conduct a study comparing the safety of using 

trains operated only to transport high–level radioactive waste and spent 

nuclear fuel with the safety of using other methods of rail transportation 

for transporting that waste and fuel. The Secretary shall submit to 

Congress not later than November 16, 1991, a report on the results of the 

study.

(c) SAFE RAIL TRANSPORTATION REGULATIONS. Not later than 

November 16, 1992, after considering the results of the study conducted 

under subsection (b) of this section, the Secretary shall prescribe 

amendments to existing regulations that the Secretary considers 

appropriate to provide for the safe rail transportation of high–level 

radioactive waste and spent nuclear fuel, including trains operated only 

for transporting high–level radioactive waste and spent nuclear fuel.

(d) INSPECTIONS OF MOTOR VEHICLES TRANSPORTING 

CERTAIN MATERIAL.

 (1) Not later than November 16, 1991, the Secretary shall require by 

regulation that before each use of a motor vehicle to transport a 

highway–route–controlled quantity of radioactive material in commerce, 

––––––––

4 Added by P.L. 107–56, Title X, § 1012(a)(1), 115 Stat. 396, (2001). Amended by 

P.L. 109–59, Title VII, Subtitle A, §§ 7104, 7105, 7126, 119 Stat. 1894, 1909 (2005); 

P.L. 110–53, Title XV, Subtitle D, § 1556(a), 121 Stat. 475 (2007); P.L. 110–244, Title III, 

§ 302(b), 122 Stat. 1618 (2008). 5 Amended by P.L. 103–311, Title I, § 117(b), 108 Stat. 1678 (1994); P.L. 103–429, § 6(4), 108 Stat. 4378 (1994); P.L. 109–59, Title VII, Subtitle A, § 7106, 119 Stat. 1897

(2005).

49 USC 5104.

49 USC 5105.
544 Haz. Mat. Trans. Uniform Safety Act (P.L. 101–615)

the vehicle shall be inspected and certified as complying with this chapter 

[49 USCS §§ 5101 et seq.] and applicable United States motor carrier 

safety laws and regulations. The Secretary may require that the 

inspection be carried out by an authorized United States Government 

inspector or according to appropriate State procedures.

 (2) The Secretary may allow a person, transporting or causing to be 

transported a highway–route–controlled quantity of radioactive material, 

to inspect the motor vehicle used to transport the material and to certify 

that the vehicle complies with this chapter [49 USCS §§ 5101 et seq.]. 

The inspector qualification requirements the Secretary prescribes for an 

individual inspecting a motor vehicle apply to an individual conducting 

an inspection under this paragraph.6

Sec. 5106. Handling Criteria

The Secretary may prescribe criteria for handling hazardous material, 

including–

(1) a minimum number of personnel;

(2) minimum levels of training and qualifications for personnel;

(3) the kind and frequency of inspections;

(4) equipment for detecting, warning of, and controlling risks 

posed by the hazardous material;

(5) specifications for the use of equipment and facilities used in 

handling and transporting the hazardous material; and

(6) a system of monitoring safety procedures for transporting the 

hazardous material.7

Sec. 5107. HAZMAT Employee Training Requirements and Grants

(a) Training requirements. The Secretary shall prescribe by regulation 

requirements for training that a hazmat employer must give hazmat 

employees of the employer on the safe loading, unloading, handling, 

storing, and transporting of hazardous material and emergency 

preparedness for responding to an accident or incident involving the 

transportation of hazardous material. The regulations––

 (1) shall establish the date, as provided by subsection (b) of this 

section, by which the training shall be completed; and

 (2) may provide for different training for different classes or categories 

of hazardous material and hazmat employees.

(b) Beginning and completing training. A hazmat employer shall begin 

the training of hazmat employees of the employer not later than 6 months 

after the Secretary prescribes the regulations under subsection (a) of this 

section. The training shall be completed within a reasonable period of 

time after––

 (1) 6 months after the regulations are prescribed; or

 (2) the date on which an individual is to begin carrying out a duty or 

power of a hazmat employee if the individual is employed as a hazmat 

employee after the 6–month period.

(c) Certification of training. After completing the training, each hazmat 

employer shall certify, with documentation the Secretary may require by 

regulation, that the hazmat employees of the employer have received 

training and have been tested on appropriate transportation areas of 

responsibility, including at least one of the following:

 (1) recognizing and understanding the Department of Transportation 

hazardous material classification system.

––––––––

6 Amended by P.L. 109–59, Title VII, Subtitle A, §§ 7107, 7126, 119 Stat. 1897, 1909

(2005). 7 Amended by P.L. 109–59, Title VII, Subtitle A, § 7126, 119 Stat. 1909 (2005).

49 USC 5106.

49 USC 5107.
Haz. Mat. Trans. Uniform Safety Act (P.L. 101–615) 545

 (2) the use and limitations of the Department hazardous material 

placarding, labeling, and marking systems.

 (3) general handling procedures, loading and unloading techniques, and 

strategies to reduce the probability of release or damage during or 

incidental to transporting hazardous material.

 (4) health, safety, and risk factors associated with hazardous material 

and the transportation of hazardous material.

 (5) appropriate emergency response and communication procedures for 

dealing with an accident or incident involving hazardous material 

transportation.

 (6) the use of the Department Emergency Response Guidebook and 

recognition of its limitations or the use of equivalent documents and 

recognition of the limitations of those documents.

 (7) applicable hazardous material transportation regulations.

 (8) personal protection techniques.

 (9) preparing a shipping document for transporting hazardous material.

(d) Coordination of training requirements. In consultation with the 

Administrator of the Environmental Protection Agency and the Secretary 

of Labor, the Secretary shall ensure that the training requirements 

prescribed under this section do not conflict with or duplicate––

 (1) the requirements of regulations the Secretary of Labor prescribes 

related to hazard communication, and hazardous waste operations, and 

emergency response that are contained in part 1910 of title 29, Code of 

Federal Regulations; and

 (2) the regulations the Agency prescribes related to worker protection 

standards for hazardous waste operations that are contained in part 311 of 

title 40, Code of Federal Regulations.

(e) Training grants.

 (1) In general. Subject to the availability of funds under section 5128(c) 

[49 USCS § 5128(c)], the Secretary shall make grants under this 

subsection––

 (A) for training instructors to train hazmat employees; and

 (B) to the extent determined appropriate by the Secretary, for such 

instructors to train hazmat employees.

 (2) Eligibility. A grant under this subsection shall be made to a 

nonprofit hazmat employee organization that demonstrates––

 (A) expertise in conducting a training program for hazmat employees; 

and

 (B) the ability to reach and involve in a training program a target 

population of hazmat employees.

(f) Training of certain employees. The Secretary shall ensure that 

maintenance–of–way employees and railroad signalmen receive general 

awareness and familiarization training and safety training pursuant to 

section 172.704 of title 49, Code of Federal Regulations.

(g) Relationship to other laws.

 (1) Chapter 35 of title 44 [44 USCS §§ 3501 et seq.] does not apply to 

an activity of the Secretary under subsections (a)–(d) of this section.

 (2) An action of the Secretary under subsections (a)–(d) of this section 

and section 5106 [49 USCS § 5106] is not an exercise, under section 

4(b)(1) of the Occupational Safety and Health Act of 1970 (29 U.S.C. 

653(b)(1)), of statutory authority to prescribe or enforce standards or 

regulations affecting occupational safety or health.
546 Haz. Mat. Trans. Uniform Safety Act (P.L. 101–615)

(h) Existing effort. No grant under subsection (e) shall supplant or 

replace existing employer–provided hazardous materials training efforts 

or obligations.8

Sec. 5108. Registration

(a) Persons required to file.

 (1) A person shall file a registration statement with the Secretary under 

this subsection if the person is transporting or causing to be transported 

in commerce any of the following:

 (A) a highway–route–controlled quantity of radioactive material.

 (B) more than 25 kilograms of a Division 1.1, 1.2, or 1.3 explosive 

material in a motor vehicle, rail car, or transport container.

 (C) more than one liter in each package of a hazardous material the 

Secretary designates as extremely toxic by inhalation.

 (D) hazardous material in a bulk packaging, container, or tank, as 

defined by the Secretary, if the bulk packaging, container, or tank has a 

capacity of at least 3,500 gallons or more than 468 cubic feet.

 (E) a shipment of at least 5,000 pounds (except in a bulk packaging) 

of a class of hazardous material for which placarding of a vehicle, rail 

car, or freight container is required under regulations prescribed under 

this chapter [49 USCS §§ 5101 et seq.].

 (2) The Secretary may require any of the following persons to file a 

registration statement with the Secretary under this subsection:

 (A) a person transporting or causing to be transported hazardous 

material in commerce and not required to file a registration statement 

under paragraph (1) of this subsection.

 (B) a person designing, manufacturing, fabricating, inspecting, 

marking, maintaining, reconditioning, repairing, or testing a package, 

container, or packaging component that is represented, marked, certified, 

or sold as qualified for use in transporting hazardous material in 

commerce.

 (3) A person required to file a registration statement under this 

subsection may transport or cause to be transported, or design, 

manufacture, fabricate, inspect, mark, maintain, recondition, repair, or 

test a package, container packaging component, or container for use in 

transporting, hazardous material, only if the person has a statement on 

file as required by this subsection.

 (4) The Secretary may waive the filing of a registration statement, or 

the payment of a fee, required under this subsection, or both, for any 

person not domiciled in the United States who solely offers hazardous 

materials for transportation to the United States from a place outside the 

United States if the country of which such person is a domiciliary does 

not require persons domiciled in the United States who solely offer 

hazardous materials for transportation to the foreign country from places 

in the United States to file registration statements, or to pay fees, for 

making such an offer.

(b) Form, contents, and limitation on filings.

 (1) A registration statement under subsection (a) of this section shall be 

in the form and contain information the Secretary requires by regulation. 

The Secretary may use existing forms of the Department of 

Transportation and the Environmental Protection Agency to carry out 

this subsection. The statement shall include––

 (A) the name and principal place of business of the registrant;

––––––––

8 Amended by P.L. 103–311, Title I, §§ 106, 119(c)(1)–(3), 108 Stat. 1674, 1680 

(1994); P.L. 109–59, Title VII, Subtitle A, §§ 7108, 7126, 119 Stat. 1897, 1909 (2005).

49 USC 5108.
Haz. Mat. Trans. Uniform Safety Act (P.L. 101–615) 547

 (B) a description of each activity the registrant carries out for which 

filing a statement under subsection (a) of this section is required; and

 (C) each State in which the person carries out any of the activities.

 (2) A person carrying out more than one activity, or an activity at more 

than one location, for which filing is required only has to file one 

registration statement to comply with subsection (a) of this section.

(c) Filing. Each person required to file a registration statement under 

subsection (a) shall file the statement in accordance with regulations 

prescribed by the Secretary.

(d) Simplifying the registration process. The Secretary may take 

necessary action to simplify the registration process under subsections 

(a)–(c) of this section and to minimize the number of applications, 

documents, and other information a person is required to file under this 

chapter [49 USCS §§ 5101 et seq.] and other laws of the United States.

(e) Cooperation with Administrator. The Administrator of the 

Environmental Protection Agency shall assist the Secretary in carrying 

out subsections (a)–(g)(1) and (h) of this section by providing the 

Secretary with information the Secretary requests to carry out the 

objectives of subsections (a)–(g)(1) and (h).

(f) Availability of statements. The Secretary shall make a registration 

statement filed under subsection (a) of this section available for 

inspection by any person for a fee the Secretary establishes. However, 

this subsection does not require the release of information described in 

section 552(b) of title 5 or otherwise protected by law from disclosure to 

the public.

(g) Fees.

 (1) The Secretary shall establish, impose, and collect from a person 

required to file a registration statement under subsection (a) of this 

section a fee necessary to pay for the costs of the Secretary in processing 

the statement.

 (2) (A) In addition to a fee established under paragraph (1) of this 

subsection, the Secretary shall establish and impose by regulation and 

collect an annual fee. Subject to subparagraph (B) of this paragraph, the 

fee shall be at least $ 250 but not more than $ 3,000 from each person 

required to file a registration statement under this section. The Secretary 

shall determine the amount of the fee under this paragraph on at least one 

of the following:

 (i) gross revenue from transporting hazardous material.

 (ii) the type of hazardous material transported or caused to be 

transported.

 (iii) the amount of hazardous material transported or caused to be 

transported.

 (iv) the number of shipments of hazardous material.

 (v) the number of activities that the person carries out for which 

filing a registration statement is required under this section.

 (vi) the threat to property, individuals, and the environment from an 

accident or incident involving the hazardous material transported or 

caused to be transported.

 (vii) the percentage of gross revenue derived from transporting 

hazardous material.

 (viii) the amount to be made available to carry out sections 

5108(g)(2), 5115, and 5116 of this title [49 USCS §§ 5108(g)(2), 5115, 

and 5116].

 (ix) other factors the Secretary considers appropriate.
548 Haz. Mat. Trans. Uniform Safety Act (P.L. 101–615)

 (B) The Secretary shall adjust the amount being collected under this 

paragraph to reflect any unexpended balance in the account established 

under section 5116(i) of this title [49 USCS § 5116(i)]. However, the 

Secretary is not required to refund any fee collected under this paragraph.

 (C) The Secretary shall transfer to the Secretary of the Treasury 

amounts the Secretary collects under this paragraph for deposit in the 

Hazardous Materials Emergency Preparedness Fund established under 

section 5116(i) of this title [49 USCS § 5116(i)].

 (3) Fees on exempt persons. Notwithstanding subsection (a)(4), the 

Secretary shall impose and collect a fee of $ 25 from a person who is 

required to register under this section but who is otherwise exempted by 

the Secretary from paying any fee under this section. The fee shall be 

used to pay the costs incurred by the Secretary in processing registration 

statements filed by such persons.

(h) Maintaining proof of filing and payment of fees. The Secretary may 

prescribe regulations requiring a person required to file a registration 

statement under subsection (a) of this section to maintain proof of the 

filing and payment of fees imposed under subsection (g) of this section.

(i) Relationship to other laws.

 (1) Chapter 35 of title 44 [44 USCS §§ 3501 et seq.] does not apply to 

an activity of the Secretary under subsections (a)–(g)(1) and (h) of this 

section.

 (2)

 (A) This section does not apply to an employee of a hazmat 

employer.

 (B) Subsections (a)–(h) of this section do not apply to a department, 

agency, or instrumentality of the United States Government, an authority 

of a State or political subdivision of a State, an Indian tribe, or an 

employee of a department, agency, instrumentality, or authority carrying 

out official duties.9

Sec. 5109. Motor Carrier Safety Permits

a) REQUIREMENT.–A motor carrier may transport or cause to be 

transported by motor vehicle in commerce hazardous material only if the 

carrier holds a safety permit the Secretary issues10 under this section 

authorizing the transportation and keeps a copy of the permit, or other 

proof of its existence, in the vehicle. The Secretary shall issue a permit if 

the Secretary finds the carrier is fit, willing, and able–

(1) to provide the transportation to be authorized by the permit;

(2) to comply with this chapter and regulations the Secretary 

prescribes to carry out this chapter; and

(3) to comply with applicable United States motor carrier safety 

laws and regulations and applicable minimum financial responsibility 

laws and regulations.

(b) APPLICABLE TRANSPORTATION.–The Secretary shall 

prescribe by regulation the hazardous material and amounts of hazardous 

material to which this section applies. However, this section shall apply 

at least to transportation by a motor carrier, in amounts the Secretary 

establishes, of–

(1) a class A or B explosive;

(2) liquefied natural gas;

––––––––

9 Amended by P.L. 103–311, Title I, §§ 104, 117(a)(3), 119(d)(1), 108 Stat. 1673, 1678, 1680 (1994); P.L. 105–102, § 2(3), 111 Stat. 2204 (1997); P.L. 105–225, § 7(b)(1), 

112 Stat. 1511, (1998); P.L. 109–59, Title VII, Subtitle A, §§ 7109(a)–(c), (e), (f), 

7114(d)(3), 7126, 119 Stat. 1897, 1898, 1900, 1909 (2005). 10 Amended by P.L. 109–59, Title VII, Subtitle A, § 7126, 119 Stat. 1909 (2005).

49 USC 5109.
Haz. Mat. Trans. Uniform Safety Act (P.L. 101–615) 549

(3) hazardous material the Secretary designates as extremely toxic 

by inhalation; and

(4) a highway–route–controlled quantity of radioactive material, 

as defined by the Secretary.

(c) APPLICATIONS.–A motor carrier shall file an application with 

the Secretary for a safety permit to provide transportation under this 

section. The Secretary may approve any part of the application or deny 

the application. The application shall be under oath and contain 

information the Secretary requires by regulation.

(d) AMENDMENTS, SUSPENSIONS, AND REVOCATIONS.–

(1) After notice and an opportunity for a hearing, the Secretary 

may amend, suspend, or revoke a safety permit, as provided by 

procedures prescribed under subsection (e) of this section, when the 

Secretary decides the motor carrier is not complying with a 

requirement of this chapter, a regulation prescribed under this 

chapter, or an applicable United States motor carrier safety law or 

regulation or minimum financial responsibility law or regulation.

(2) If the Secretary decides an imminent hazard exists, the 

Secretary may amend, suspend, or revoke a permit before scheduling 

a hearing.

(e) PROCEDURES.–The Secretary shall prescribe by regulation–

(1) application procedures, including form, content, and fees 

necessary to recover the complete cost of carrying out this section;

(2) standards for deciding the duration, terms, and limitations of a 

safety permit;

(3) procedures to amend, suspend, or revoke a permit; and

(4) other procedures the Secretary considers appropriate to carry 

out this section.

(f) SHIPPER RESPONSIBILITY.–A person offering hazardous 

material for motor vehicle transportation in commerce may offer the 

material to a motor carrier only if the carrier has a safety permit issued 

under this section authorizing the transportation.

(g) CONDITIONS.–A motor carrier may provide transportation 

under a safety permit issued under this section only if the carrier 

complies with conditions the Secretary finds are required to protect 

public safety.

(h) REGULATIONS.–The Secretary shall prescribe regulations 

necessary to carry out this section not later than November 16, 1991.

Sec. 5110. Shipping Papers and Disclosure

(a) PROVIDING SHIPPING PAPERS. Each person offering for 

transportation in commerce hazardous material to which the shipping 

paper requirements of the Secretary apply shall provide to the carrier 

providing the transportation a shipping paper that makes the disclosures 

the Secretary prescribes in regulations.

(b) KEEPING SHIPPING PAPERS ON THE VEHICLE.

 (1) A motor carrier, and the person offering the hazardous material for 

transportation if a private motor carrier, shall keep the shipping paper on 

the vehicle transporting the material.

 (2) Except as provided in paragraph (1) of this subsection, the shipping 

paper shall be kept in a location the Secretary specifies in a motor 

vehicle, train, vessel, aircraft, or facility until—

 (A) the hazardous material no longer is in transportation; or

 (B) the documents are made available to a representative of a 

department, agency, or instrumentality of the United States Government 

49 USC 5110.
550 Haz. Mat. Trans. Uniform Safety Act (P.L. 101–615)

or a State or local authority responding to an accident or incident 

involving the motor vehicle, train, vessel, aircraft, or facility.

(c) DISCLOSURE TO EMERGENCY RESPONSE AUTHORITIES. 

When an incident involving hazardous material being transported in 

commerce occurs, the person transporting the material, immediately on 

request of appropriate emergency response authorities, shall disclose to 

the authorities information about the material.

(d) RETENTION OF PAPERS.

 (1) offerors. The person who provides the shipping paper under this 

section shall retain the paper, or an electronic format of it, for a period of 

2 years after the date that the shipping paper is provided to the carrier, 

with the paper or electronic format to be accessible through the offeror's 

principal place of business.

 (2) Carriers. The carrier required to keep the shipping paper under this 

section, shall retain the paper, or an electronic format of it, for a period of 

1 year after the date that the shipping paper is provided to the carrier, 

with the paper or electronic format to be accessible through the carrier's 

principal place of business.

 (3) Availability to government agencies. Any person required to keep a 

shipping paper under this subsection shall, upon request, make it 

available to a Federal, State, or local government agency at reasonable 

times and locations.11

Sec. 5111. Rail Tank Cars [Repealed]12

Sec. 5112. Highway Routing of Hazardous Material

(a) Application.

 (1) This section applies to a motor vehicle only if the vehicle is 

transporting hazardous material in commerce for which placarding of the 

vehicle is required under regulations prescribed under this chapter [49 

USCS §§ 5101 et seq.]. However, the Secretary by regulation may extend 

application of this section or a standard prescribed under subsection (b) 

of this section to––

 (A) any use of a vehicle under this paragraph to transport any 

hazardous material in commerce; and

 (B) any motor vehicle used to transport hazardous material in 

commerce.

 (2) Except as provided by subsection (d) of this section and section 

5125(c) of this title [49 USCS § 5125(c)], each State and Indian tribe 

may establish, maintain, and enforce––

 (A) designations of specific highway routes over which hazardous 

material may and may not be transported by motor vehicle; and

 (B) limitations and requirements related to highway routing.

(b) Standards for States and Indian tribes.

 (1) The Secretary, in consultation with the States, shall prescribe by 

regulation standards for States and Indian tribes to use in carrying out 

subsection (a) of this section. The standards shall include––

 (A) a requirement that a highway routing designation, limitation, or 

requirement of a State or Indian tribe shall enhance public safety in the 

area subject to the jurisdiction of the State or tribe and in areas of the 

United States not subject to the jurisdiction of the State or tribe and 

directly affected by the designation, limitation, or requirement;

––––––––

11 Amended by P.L. 103–311, Title I, § 115, 108 Stat. 1678, (1994); P.L. 109–59, Title VII, Subtitle A, §§ 7110, 7126, 119 Stat. 1898, 1909, (2005); P.L. 110–244, Title III, 

§ 302(i), 122 Stat. 1618 (2008). 12 Repealed by P.L. 109–59, Title VII, Subtitle A, § 7111, 119 Stat. 1899, (2005).

49 USC 5111.

49 USC 5112.
Haz. Mat. Trans. Uniform Safety Act (P.L. 101–615) 551

 (B) minimum procedural requirements to ensure public participation 

when the State or Indian tribe is establishing a highway routing 

designation, limitation, or requirement;

 (C) a requirement that, in establishing a highway routing designation, 

limitation, or requirement, a State or Indian tribe consult with appropriate 

State, local, and tribal officials having jurisdiction over areas of the 

United States not subject to the jurisdiction of that State or tribe 

establishing the designation, limitation, or requirement and with affected 

industries;

 (D) a requirement that a highway routing designation, limitation, or 

requirement of a State or Indian tribe shall ensure through highway 

routing for the transportation of hazardous material between adjacent 

areas;

 (E) a requirement that a highway routing designation, limitation, or 

requirement of one State or Indian tribe affecting the transportation of 

hazardous material in another State or tribe may be established, 

maintained, and enforced by the State or tribe establishing the 

designation, limitation, or requirement only if––

 (i) the designation, limitation, or requirement is agreed to by the 

other State or tribe within a reasonable period or is approved by the 

Secretary under subsection (d) of this section; and

 (ii) the designation, limitation, or requirement is not an 

unreasonable burden on commerce;

 (F) a requirement that establishing a highway routing designation, 

limitation, or requirement of a State or Indian tribe be completed in a 

timely way;

 (G) a requirement that a highway routing designation, limitation, or 

requirement of a State or Indian tribe provide reasonable routes for motor 

vehicles transporting hazardous material to reach terminals, facilities for 

food, fuel, repairs, and rest, and places to load and unload hazardous 

material;

 (H) a requirement that a State be responsible––

 (i) for ensuring that political subdivisions of the State comply with 

standards prescribed under this subsection in establishing, maintaining, 

and enforcing a highway routing designation, limitation, or requirement; 

and

 (ii) for resolving a dispute between political subdivisions; and

 (I) a requirement that, in carrying out subsection (a) of this section, a 

State or Indian tribe shall consider––

 (i) population densities;

 (ii) the types of highways;

 (iii) the types and amounts of hazardous material;

 (iv) emergency response capabilities;

 (v) the results of consulting with affected persons;

 (vi) exposure and other risk factors;

 (vii) terrain considerations;

 (viii) the continuity of routes;

 (ix) alternative routes;

 (x) the effects on commerce;

 (xi) delays in transportation; and

 (xii) other factors the Secretary considers appropriate.

 (2) The Secretary may not assign a specific weight that a State or 

Indian tribe shall use when considering the factors under paragraph (1)(I) 

of this subsection.
552 Haz. Mat. Trans. Uniform Safety Act (P.L. 101–615)

(c) List of route designations. In coordination with the States, the 

Secretary shall update and publish periodically a list of currently 

effective hazardous material highway route designations.

(d) Dispute resolution.

 (1) The Secretary shall prescribe regulations for resolving a dispute 

related to through highway routing or to an agreement with a proposed 

highway route designation, limitation, or requirement between or among 

States, political subdivisions of different States, or Indian tribes.

 (2) A State or Indian tribe involved in a dispute under this subsection 

may petition the Secretary to resolve the dispute. The Secretary shall 

resolve the dispute not later than one year after receiving the petition. 

The resolution shall provide the greatest level of highway safety without 

being an unreasonable burden on commerce and shall ensure compliance 

with standards prescribed under subsection (b) of this section.

 (3) (A) After a petition is filed under this subsection, a civil action 

about the subject matter of the dispute may be brought in a court only 

after the earlier of––

 (i) the day the Secretary issues a final decision; or

 (ii) the last day of the one–year period beginning on the day the 

Secretary receives the petition.

 (B) A State or Indian tribe adversely affected by a decision of the 

Secretary under this subsection may bring a civil action for judicial 

review of the decision in an appropriate district court of the United States 

not later than 89 days after the day the decision becomes final.

(e) Relationship to other laws. This section and regulations prescribed 

under this section do not affect sections 31111 and 31113 of this title [49 

USCS §§ 31111 and 31113] or section 127 of title 23.

(f) Existing radioactive material routing regulations. The Secretary is not 

required to amend or again prescribe regulations related to highway 

routing designations over which radioactive material may and may not be 

transported by motor vehicles, and limitations and requirements related 

to the routing, that were in effect on November 16, 1990.13

Sec. 5113. Unsatisfactory Safety Rating

A violation of section 31144(c)(3) [49 USCS § 31144(c)(3)] shall be 

considered a violation of this chapter [49 USCS §§ 5101 et seq.], and 

shall be subject to the penalties in sections 5123 and 5124 [49 USCS §§ 

5123 and 5124].14

Sec. 5114. Air Transportation of Ionizing Radiation Material

(a) TRANSPORTING IN AIR COMMERCE.–Material that emits 

ionizing radiation spontaneously may be transported on a passenger–

carrying aircraft in air commerce (as defined in section 40102(a) of this 

title) only if the material is intended for a use in, or incident to, research 

or medical diagnosis or treatment and does not present an unreasonably 

hazard to health and safety when being prepared for, and during, 

transportation.

(b) PROCEDURES.–The Secretary15 shall prescribe procedures for 

monitoring and enforcing regulations prescribed under this section.

(c) NON–APPLICATION.–This section does not apply to material 

the Secretary decides does not pose a significant hazard to health or 

safety when transported because of its low order of radioactivity.

––––––––

13 Amended by P.L. 109–59, Title VII, Subtitle A, § 7126, 119 Stat. 1909 (2005). 14 Amended by P.L. 105–178, Title IV, § 4009(b), 112 Stat. 407, (1998); P.L. 109–59, Title VII, Subtitle A, § 7112(a), 119 Stat. 1899 (2005). 15 Amended by P.L. 109–59, Title VII, Subtitle A, § 7126, 119 Stat. 1909 (2005).

49 USC 5113.

49 USC 5114.
Haz. Mat. Trans. Uniform Safety Act (P.L. 101–615) 553

Sec. 5115. Training Curriculum for the Public Sector

(a) IN GENERAL. In coordination with the Director [Administrator] of 

the Federal Emergency Management Agency, the Chairman of the 

Nuclear Regulatory Commission, the Administrator of the Environmental 

Protection Agency, the Secretaries of Labor, Energy, and Health and 

Human Services, and the Director of the National Institute of 

Environmental Health Sciences, and using existing coordinating 

mechanisms of the National Response Team and, for radioactive 

material, the Federal Radiological Preparedness Coordinating 

Committee, the Secretary of Transportation shall maintain, and update 

periodically, a current curriculum of courses necessary to train public 

sector emergency response and preparedness teams in matters relating to 

the transportation of hazardous material. Only in developing the 

curriculum, the Secretary of Transportation shall consult with regional 

response teams established under the national contingency plan 

established under section 105 of the Comprehensive Environmental 

Response, Compensation, and Liability Act of 1980 (42 U.S.C. 9605), 

representatives of commissions established under section 301 of the 

Emergency Planning and Community Right–To–Know Act of 1986 (42 

U.S.C. 11001), persons (including governmental entities) that provide 

training for responding to accidents and incidents involving the 

transportation of hazardous material, and representatives of persons that 

respond to those accidents and incidents.

(b) REQUIREMENTS. The curriculum maintained and updated under 

subsection (a) of this section––

 (1) shall include—

 (A) a recommended course of study to train public sector employees 

to respond to an accident or incident involving the transportation of 

hazardous material and to plan for those responses;

 (B) recommended basic courses and minimum number of hours of 

instruction necessary for public sector employees to be able to respond 

safely and efficiently to an accident or incident involving the 

transportation of hazardous material and to plan those responses; and

 (C) appropriate emergency response training and planning programs 

for public sector employees developed with Federal financial assistance, 

including programs developed with grants made under section 126(g) of 

the Superfund Amendments and Reauthorization Act of 1986 (42 U.S.C. 

9660a); and

 (2) may include recommendations on material appropriate for use in a 

recommended basic course described in clause (1)(B) of this subsection.

(c) TRAINING ON COMPLYING WITH LEGAL REQUIREMENTS. 

A recommended basic course described in subsection (b)(1)(B) of this 

section shall provide the training necessary for public sector employees 

to comply with—

 (1) regulations related to hazardous waste operations and emergency 

response contained in part 1910 of title 29, Code of Federal Regulations, 

prescribed by the Secretary of Labor;

 (2) regulations related to worker protection standards for hazardous 

waste operations contained in part 311 of title 40, Code of Federal 

Regulations, prescribed by the Administrator; and

 (3) standards related to emergency response training prescribed by the 

National Fire Protection Association and such other voluntary consensus 

standard–setting organizations as the Secretary of Transportation 

determines appropriate.

49 USC 5115.
554 Haz. Mat. Trans. Uniform Safety Act (P.L. 101–615)

(d) DISTRIBUTION AND PUBLICATION. With the National 

Response Team—

 (1) the Secretary shall distribute the curriculum and any updates to the 

curriculum to the regional response teams and all committees and 

commissions established under section 301 of the Emergency Planning 

and Community Right–To–Know Act of 1986 (42 U.S.C. 11001); and

 (2) the Secretary may publish and distribute a list of programs and 

courses maintained and updated under this section and of any programs 

utilizing such courses.16

Sec. 5116. Planning and Training Grants, Monitoring, and Review

(a) Planning grants.

 (1) The Secretary shall make grants to States and Indian tribes––

 (A) to develop, improve, and carry out emergency plans under the 

Emergency Planning and Community Right–To–Know Act of 1986 (42 

U.S.C. 11001 et seq.), including ascertaining flow patterns of hazardous 

material on lands under the jurisdiction of a State or Indian tribe, and 

between lands under the jurisdiction of a State or Indian tribe and lands 

of another State or Indian tribe; and

 (B) to decide on the need for a regional hazardous material 

emergency response team.

 (2) The Secretary may make a grant to a State or Indian tribe under 

paragraph (1) of this subsection in a fiscal year only if ––

 (A) the State or Indian tribe certifies that the total amount the State or 

Indian tribe expends (except amounts of the United States Government) 

to develop, improve, and carry out emergency plans under the Act [42 

USCS §§ 11001 et seq.] will at least equal the average level of 

expenditure for the last 5 fiscal years; and

 (B) the State agrees to make available at least 75 percent of the 

amount of the grant under paragraph (1) of this subsection in the fiscal 

year to local emergency planning committees established under section 

301(c) of the Act (42 U.S.C. 11001(c)) to develop emergency plans 

under the Act [42 USCS §§ 11001 et seq.].

 (3) A State or Indian tribe receiving a grant under this subsection shall 

ensure that planning under the grant is coordinated with emergency 

planning conducted by adjacent States and Indian tribes.

(b) Training grants.

 (1) The Secretary shall make grants to States and Indian tribes to train 

public sector employees to respond to accidents and incidents involving 

hazardous material.

 (2) The Secretary may make a grant under paragraph (1) of this 

subsection in a fiscal year––

 (A) to a State or Indian tribe only if the State or tribe certifies that the 

total amount the State or tribe expends (except amounts of the 

Government) to train public sector employees to respond to an accident 

or incident involving hazardous material will at least equal the average 

level of expenditure for the last 5 fiscal years;

 (B) to a State or Indian tribe only if the State or tribe makes an 

agreement with the Secretary that the State or tribe will use in that fiscal 

year, for training public sector employees to respond to an accident or 

incident involving hazardous material––

 (i) a course developed or identified under section 5115 of this title 

[49 USCS § 5115]; or

––––––––

16 Amended by P.L. 103–429, § 6(5), 108 Stat. 4378 (1994); P.L. 109–59, Title VII, 

Subtitle A, §§ 7113, 7126, 119 Stat. 1899, 1909 (2005).

49 USC 5116.
Haz. Mat. Trans. Uniform Safety Act (P.L. 101–615) 555

 (ii) another course the Secretary decides is consistent with the 

objectives of this section; and

 (C) to a State only if the State agrees to make available at least 75 

percent of the amount of the grant under paragraph (1) of this subsection 

in the fiscal year for training public sector employees a political 

subdivision of the State employs or uses.

 (3) A grant under this subsection may be used––

 (A) to pay––

 (i) the tuition costs of public sector employees being trained;

 (ii) travel expenses of those employees to and from the training 

facility;

 (iii) room and board of those employees when at the training 

facility; and

 (iv) travel expenses of individuals providing the training;

 (B) by the State, political subdivision, or Indian tribe to provide the 

training; and

 (C) to make an agreement the Secretary approves authorizing a 

person (including an authority of a State or political subdivision of a 

State or Indian tribe) to provide the training––

 (i) if the agreement allows the Secretary and the State or tribe to 

conduct random examinations, inspections, and audits of the training 

without prior notice; and

 (ii) if the State or tribe conducts at least one on–site observation of 

the training each year.

 (4) The Secretary shall allocate amounts made available for grants 

under this subsection for a fiscal year among eligible States and Indian 

tribes based on the needs of the States and tribes for emergency response 

training. In making a decision about those needs, the Secretary shall 

consider––

 (A) the number of hazardous material facilities in the State or on land 

under the jurisdiction of the tribe;

 (B) the types and amounts of hazardous material transported in the 

State or on that land;

 (C) whether the State or tribe imposes and collects a fee on 

transporting hazardous material;

 (D) whether the fee is used only to carry out a purpose related to 

transporting hazardous material; and

 (E) other factors the Secretary decides are appropriate to carry out 

this subsection.

(c) Compliance with certain law. The Secretary may make a grant to a 

State under this section in a fiscal year only if the State certifies that the 

State complies with sections 301 and 303 of the Emergency Planning and 

Community Right–To–Know Act of 1986 (42 U.S.C. 11001, 11003).

(d) Applications. A State or Indian tribe interested in receiving a grant 

under this section shall submit an application to the Secretary. The 

application must be submitted at the time, and contain information, the 

Secretary requires by regulation to carry out the objectives of this 

section.

(e) Government's share of costs. A grant under this section is for 80 

percent of the cost the State or Indian tribe incurs in the fiscal year to 

carry out the activity for which the grant is made. Amounts of the State 

or tribe under subsections (a)(2)(A) and (b)(2)(A) of this section are not 

part of the non–Government share under this subsection.

(f) Monitoring and technical assistance. In coordination with the 

Secretaries of Transportation and Energy, Administrator of the 
556 Haz. Mat. Trans. Uniform Safety Act (P.L. 101–615)

Environmental Protection Agency, and Director of the National Institute 

of Environmental Health Sciences, the Director [Administrator] of the 

Federal Emergency Management Agency shall monitor public sector 

emergency response planning and training for an accident or incident 

involving hazardous material. Considering the results of the monitoring, 

the Secretaries, Administrator, and Directors each shall provide technical 

assistance to a State, political subdivision of a State, or Indian tribe for 

carrying out emergency response training and planning for an accident or 

incident involving hazardous material and shall coordinate the assistance 

using the existing coordinating mechanisms of the National Response 

Team and, for radioactive material, the Federal Radiological 

Preparedness Coordinating Committee.

(g) Delegation of authority. To minimize administrative costs and to 

coordinate Federal financial assistance for emergency response training 

and planning, the Secretary may delegate to the Directors of the Federal 

Emergency Management Agency and National Institute of 

Environmental Health Sciences [Administrator of the Federal Emergency 

Management Agency, Director of the National Institute of Environmental 

Health Sciences], Chairman of the Nuclear Regulatory Commission, 

Administrator of the Environmental Protection Agency, and Secretaries 

of Labor and Energy any of the following:

 (1) authority to receive applications for grants under this section.

 (2) authority to review applications for technical compliance with this 

section.

 (3) authority to review applications to recommend approval or 

disapproval.

 (4) any other ministerial duty associated with grants under this section.

(h) Minimizing duplication of effort and expenses. The Secretaries of 

Transportation, Labor, and Energy, Directors of the Federal Emergency 

Management Agency and National Institute of Environmental Health 

Sciences [Administrator of the Federal Emergency Management Agency, 

Director of the National Institute of Environmental Health Sciences], 

Chairman of the Nuclear Regulatory Commission, and Administrator of 

the Environmental Protection Agency shall review periodically, with the 

head of each department, agency, or instrumentality of the Government, 

all emergency response and preparedness training programs of that 

department, agency, or instrumentality to minimize duplication of effort 

and expense of the department, agency, or instrumentality in carrying out 

the programs and shall take necessary action to minimize duplication.

(i) Annual registration fee account and its uses. The Secretary of the 

Treasury shall establish an account in the Treasury (to be known as the 

“Hazardous Materials Emergency Preparedness Fund”) into which the 

Secretary of the Treasury shall deposit amounts the Secretary of 

Transportation transfers to the Secretary of the Treasury under section 

5108(g)(2)(C) of this title [49 USCS § 5108(g)(2)(C)]. Without further 

appropriation, amounts in the account are available––

 (1) to make grants under this section;

 (2) to monitor and provide technical assistance under subsection (f) of 

this section;

 (3) to publish and distribute an emergency response guide; and

 (4) to pay administrative costs of carrying out this section and sections 

5108(g)(2) and 5115 of this title [49 USCS §§ 5108(g)(2) and 5115], 

except that not more than 2 percent of the amounts made available from 

the account in a fiscal year may be used to pay those costs.

(j) Supplemental training grants.
Haz. Mat. Trans. Uniform Safety Act (P.L. 101–615) 557

 (1) In order to further the purposes of subsection (b), the Secretary 

shall, subject to the availability of funds, make grants to national 

nonprofit employee organizations engaged solely in fighting fires for the 

purpose of training instructors to conduct hazardous materials response 

training programs for individuals with statutory responsibility to respond 

to hazardous materials accidents and incidents.

 (2) For the purposes of this subsection the Secretary, after consultation 

with interested organizations, shall––

 (A) identify regions or locations in which fire departments or other 

organizations which provide emergency response to hazardous materials 

transportation accidents and incidents are in need of hazardous materials 

training; and

 (B) prioritize such needs and develop a means for identifying 

additional specific training needs.

 (3) Funds granted to an organization under this subsection shall only be 

used––

 (A) to train instructors to conduct hazardous materials response 

training programs;

 (B) to purchase training equipment used exclusively to train 

instructors to conduct such training programs; and

 (C) to disseminate such information and materials as are necessary 

for the conduct of such training programs.

 (4) The Secretary may only make a grant to an organization under this 

subsection in a fiscal year if the organization enters into an agreement 

with the Secretary to train instructors to conduct hazardous materials 

response training programs in such fiscal year that will use––

 (A) a course or courses developed or identified under section 5115 of 

this title [49 USCS § 5115]; or

 (B) other courses which the Secretary determines are consistent with 

the objectives of this subsection;

 for training individuals with statutory responsibility to respond to 

accidents and incidents involving hazardous materials. Such agreement 

also shall provide that training courses shall be open to all such 

individuals on a nondiscriminatory basis.

 (5) The Secretary may impose such additional terms and conditions on 

grants to be made under this subsection as the Secretary determines are 

necessary to protect the interests of the United States and to carry out the 

objectives of this subsection.

(k) Reports. The Secretary shall submit annually to the Committee on 

Transportation and Infrastructure of the House of Representatives and the 

Committee on Commerce, Science, and Transportation of the Senate and 

make available to the public information on the allocation and uses of the 

planning grants allocated under subsection (a), training grants under 

subsection (b), and grants under subsection (j) of this section and under 

section 5107 [49 USCS § 5107]. The report shall identify the ultimate 

recipients of training grants and include a detailed accounting of all grant 

expenditures by grant recipients, the number of persons trained under the 

grant programs, and an evaluation of the efficacy of training programs 

carried out.17

––––––––

17 Amended by P.L. 103–311, Title I, §§ 105, 119(a), (d)(2), (3), 108 Stat. 1673, 1679, 

1680 (1994); P.L. 103–429, § 7(c), 108 Stat. 4389 (1994); P.L. 104–287, §§ 5(8), 6(b), 

110 Stat. 3389, 3398 (1996); P.L. 109–59, Title VII, Subtitle A, §§ 7114(a)–(d)(2), (e), 

7126, 119 Stat. 1900, 1909 (2005).
558 Haz. Mat. Trans. Uniform Safety Act (P.L. 101–615)

Sec. 5117. Special Permits and Exclusions

(a) Authority to issue special permits.

 (1) As provided under procedures prescribed by regulation, the 

Secretary may issue, modify, or terminate a special permit authorizing a 

variance from this chapter [49 USCS §§ 5101 et seq.] or a regulation 

prescribed under section 5103(b), 5104, 5110, or 5112 of this title [49 

USCS § 5103(b), 5104, 5110, or 5112] to a person performing a function 

regulated by the Secretary under section 5103(b)(1) [49 USCS § 

5103(b)(1)] in a way that achieves a safety level––

 (A) at least equal to the safety level required under this chapter [49 

USCS §§ 5101 et seq.]; or

 (B) consistent with the public interest and this chapter [49 USCS §§ 

5101 et seq.], if a required safety level does not exist.

 (2) A special permit issued under this section shall be effective for an 

initial period of not more than 2 years and may be renewed by the 

Secretary upon application for successive periods of not more than 4 

years each or, in the case of a special permit relating to section 5112 [49 

USCS § 5112], for an additional period of not more than 2 years.

(b) Applications. When applying for a special permit or renewal of a 

special permit under this section, the person must provide a safety 

analysis prescribed by the Secretary that justifies the special permit. The 

Secretary shall publish in the Federal Register notice that an application 

for a special permit has been filed and shall give the public an 

opportunity to inspect the safety analysis and comment on the 

application. This subsection does not require the release of information 

protected by law from public disclosure.

(c) Applications to be dealt with promptly. The Secretary shall issue or 

renew the special permit for which an application was filed or deny such 

issuance or renewal within 180 days after the first day of the month 

following the date of the filing of such application, or the Secretary shall 

publish a statement in the Federal Register of the reason why the 

Secretary's decision on the special permit is delayed, along with an 

estimate of the additional time necessary before the decision is made.

(d) Exclusions.

 (1) The Secretary shall exclude, in any part, from this chapter [49 

USCS §§ 5101 et seq.] and regulations prescribed under this chapter [49 

USCS §§ 5101 et seq.]––

 (A) a public vessel (as defined in section 2101 of title 46);

 (B) a vessel exempted under section 3702 of title 46 from chapter 37 

of title 46 [46 USCS §§ 3701 et seq.]; and

 (C) a vessel to the extent it is regulated under the Ports and 

Waterways Safety Act of 1972 (33 U.S.C. 1221 et seq.).

 (2) This chapter [49 USCS §§ 5101 et seq.] and regulations prescribed 

under this chapter [49 USCS §§ 5101 et seq.] do not prohibit––

 (A) or regulate transportation of a firearm (as defined in section 232 

of title 18), or ammunition for a firearm, by an individual for personal 

use; or

 (B) transportation of a firearm or ammunition in commerce.

(e) Limitation on authority. Unless the Secretary decides that an 

emergency exists, a special permit or renewal granted under this section 

is the only way a person subject to this chapter [49 USCS §§ 5101 et 

49 USC 5117.
Haz. Mat. Trans. Uniform Safety Act (P.L. 101–615) 559

seq.] may be granted a variance from this chapter [49 USCS §§ 5101 et 

seq.].18

Sec. 5118. Inspectors [Repealed]19

Sec. 5119. Uniform Forms and Procedures

(a) ESTABLISHMENT OF WORKING GROUP. The Secretary shall 

establish a working group of State and local government officials, 

including representatives of the National Governors' Association, the 

National Association of Counties, the National League of Cities, the 

United States Conference of Mayors, the National Conference of State 

Legislatures, and the Alliance for Uniform Hazmat Transportation 

Procedures.

(b) PURPOSE OF WORKING GROUP. The purpose of the working 

group shall be to develop uniform forms and procedures for a State to 

register, and to issue permits to, persons that transport, or cause to be 

transported, hazardous material by motor vehicle in the State.

(c) LIMITATION ON WORKING GROUP. The working group may not 

propose to define or limit the amount of a fee a State may impose or 

collect.

(d) PROCEDURE. The Secretary shall develop a procedure for the 

working group to employ in developing recommendations for the 

Secretary to harmonize existing State registration and permit laws and 

regulations relating to the transportation of hazardous materials, with 

special attention paid to each State's unique safety concerns and interest 

in maintaining strong hazmat safety standards.

(e) REPORT OF WORKING GROUP. Not later than 18 months after the 

date of enactment of this subsection [enacted Aug. 10, 2005], the 

working group shall transmit to the Secretary a report containing 

recommendations for establishing uniform forms and procedures 

described in subsection (b).

(f) REGULATIONS. Not later than 18 months after the date the working 

group's report is delivered to the Secretary, the Secretary shall issue 

regulations to carry out such recommendations of the working group as 

the Secretary considers appropriate. In developing such regulations, the 

Secretary shall consider the State needs associated with the transition to 

and implementation of a uniform forms and procedures program.

(g) LIMITATION ON STATUTORY CONSTRUCTION. Nothing in 

this section shall be construed as prohibiting a State from voluntarily 

participating in a program of uniform forms and procedures until such 

time as the Secretary issues regulations under subsection (f).20

Sec. 5120. International Uniformity of Standards and Requirements

(a) PARTICIPATION IN INTERNATIONAL FORUMS. Subject to 

guidance and direction from the Secretary of State, the Secretary of 

Transportation shall participate in international forums that establish or 

recommend mandatory standards and requirements for transporting 

hazardous material in international commerce.

(b) CONSULTATION. The Secretary may consult with interested 

authorities to ensure that, to the extent practicable, regulations the 

Secretary prescribes under sections 5103(b), 5104, 5110, and 5112 of this 

title [49 USCS §§ 5103(b), 5104, 5110, and 5112] are consistent with 

––––––––

18 Amended by P.L. 103–311, Title I, § 120(a), 108 Stat. 1680 (1994); P.L. 109–59, Title VII, Subtitle A, §§ 7115(a)(1), (b)–(g), 7126, 119 Stat. 1901, 1909 (2005). 19 Repealed by P.L. 109–59, Title VII, Subtitle A, § 7115(h), 119 Stat. 1901 (2005). 20 Amended by P.L. 104–287, § 5(9), 110 Stat. 3389 (1996); P.L. 109–59, Title VII, 

Subtitle A, § 7116, 119 Stat. 1901 (2005).

49 USC 5118.

49 USC 5119.

49 USC 5120.
560 Haz. Mat. Trans. Uniform Safety Act (P.L. 101–615)

standards and requirements related to transporting hazardous material 

that international authorities adopt.

(c) DIFFERENCES WITH INTERNATIONAL STANDARDS AND 

REQUIREMENTS. This section—

 (1) does not require the Secretary to prescribe a standard or 

requirement identical to a standard or requirement adopted by an 

international authority if the Secretary decides the standard or 

requirement is unnecessary or unsafe; and

 (2) does not prohibit the Secretary from prescribing a safety standard or 

requirement more stringent than a standard or requirement adopted by an 

international authority if the Secretary decides the standard or 

requirement is necessary in the public interest.21

Sec. 5121. Administrative

(a) GENERAL AUTHORITY. To carry out this chapter [49 USCS §§ 

5101 et seq.], the Secretary may investigate, conduct tests, make reports, 

issue subpenas, conduct hearings, require the production of records and 

property, take depositions, and conduct research, development, 

demonstration, and training activities. Except as provided in subsections 

(c) and (d), after notice and an opportunity for a hearing, the Secretary 

may issue an order requiring compliance with this chapter [49 USCS §§ 

5101 et seq.] or a regulation prescribed, or an order, special permit, or 

approval issued, under this chapter [49 USCS §§ 5101 et seq.].

(b) RECORDS, REPORTS, AND INFORMATION. A person subject to 

this chapter [49 USCS §§ 5101 et seq.] shall—

 (1) maintain records and property, make reports, and provide 

information the Secretary by regulation or order requires; and

 (2) make the records, property, reports, and information available for 

inspection when the Secretary undertakes an investigation or makes a 

request.

(c) INSPECTIONS AND INVESTIGATIONS.

 (1) In general. A designated officer, employee, or agent of the 

Secretary––

 (A) may inspect and investigate, at a reasonable time and in a 

reasonable manner, records and property relating to a function described 

in section 5103(b)(1) [49 USCS § 5103(b)(1)];

 (B) except in the case of packaging immediately adjacent to its 

hazardous material contents, may gain access to, open, and examine a 

package offered for, or in, transportation when the officer, employee, or 

agent has an objectively reasonable and articulable belief that the 

package may contain a hazardous material;

 (C) may remove from transportation a package or related packages in 

a shipment offered for or in transportation for which—

 (i) such officer, employee, or agent has an objectively reasonable 

and articulable belief that the package may pose an imminent hazard; and

 (ii) such officer, employee, or agent contemporaneously documents 

such belief in accordance with procedures set forth in guidance or 

regulations prescribed under subsection (e);

 (D) may gather information from the offeror, carrier, packaging 

manufacturer or tester, or other person responsible for the package, to 

ascertain the nature and hazards of the contents of the package;

 (E) as necessary, under terms and conditions specified by the 

Secretary, may order the offeror, carrier, packaging manufacturer or 

––––––––

21 Amended by P.L. 109–59, Title VII, Subtitle A, §§ 7117, 7126, 119 Stat. 1902, 1909

(2005).

49 USC 5121.
Haz. Mat. Trans. Uniform Safety Act (P.L. 101–615) 561

tester, or other person responsible for the package to have the package 

transported to, opened, and the contents examined and analyzed, at a 

facility appropriate for the conduct of such examination and analysis; and

 (F) when safety might otherwise be compromised, may authorize 

properly qualified personnel to assist in the activities conducted under 

this subsection.

 (2) Display of credentials. An officer, employee, or agent acting under 

this subsection shall display proper credentials when requested.

 (3) Safe resumption of transportation. In instances when, as a result of 

an inspection or investigation under this subsection, an imminent hazard 

is not found to exist, the Secretary, in accordance with procedures set 

forth in regulations prescribed under subsection (e), shall assist—

 (A) in the safe and prompt resumption of transportation of the 

package concerned; or

 (B) in any case in which the hazardous material being transported is 

perishable, in the safe and expeditious resumption of transportation of the 

perishable hazardous material.

(d) EMERGENCY ORDERS.

 (1) In general. If, upon inspection, investigation, testing, or research, 

the Secretary determines that a violation of a provision of this chapter [49 

USCS §§ 5101 et seq.], or a regulation prescribed under this chapter [49 

USCS §§ 5101 et seq.], or an unsafe condition or practice, constitutes or 

is causing an imminent hazard, the Secretary may issue or impose 

emergency restrictions, prohibitions, recalls, or out–of–service orders, 

without notice or an opportunity for a hearing, but only to the extent 

necessary to abate the imminent hazard.

 (2) Written orders. The action of the Secretary under paragraph (1) 

shall be in a written emergency order that—

 (A) describes the violation, condition, or practice that constitutes or is 

causing the imminent hazard;

 (B) states the restrictions, prohibitions, recalls, or out–of–service 

orders issued or imposed; and

 (C) describes the standards and procedures for obtaining relief from 

the order.

 (3) Opportunity for review. After taking action under paragraph (1), the 

Secretary shall provide for review of the action under section 554 of title 

5 [5 USCS § 554] if a petition for review is filed within 20 calendar days 

of the date of issuance of the order for the action.

 (4) Expiration of effectiveness of order. If a petition for review of an 

action is filed under paragraph (3) and the review under that paragraph is 

not completed by the end of the 30–day period beginning on the date the 

petition is filed, the action shall cease to be effective at the end of such 

period unless the Secretary determines, in writing, that the imminent 

hazard providing a basis for the action continues to exist.

 (5) Out–of–service order defined. In this subsection, the term “out–of–

service order” means a requirement that an aircraft, vessel, motor vehicle, 

train, railcar, locomotive, other vehicle, transport unit, transport vehicle, 

freight container, potable tank, or other package not be moved until 

specified conditions have been met.

(e) REGULATIONS.

 (1) Temporary regulations. Not later than 60 days after the date of 

enactment of the Hazardous Materials Transportation Safety and Security 

Reauthorization Act of 2005 [enacted Aug. 10, 2005], the Secretary shall 

issue temporary regulations to carry out subsections (c) and (d). The 
562 Haz. Mat. Trans. Uniform Safety Act (P.L. 101–615)

temporary regulations shall expire on the date of issuance of the 

regulations under paragraph (2).

 (2) Final regulations. Not later than 1 year after such date of enactment, 

the Secretary shall issue regulations to carry out subsections (c) and (d) 

in accordance with subchapter II of chapter 5 of title 5 [5 USCS §§ 551 et 

seq.].

(f) FACILITY, STAFF, AND REPORTING SYSTEM ON RISKS, 

EMERGENCIES, AND ACTIONS.

 (1) The Secretary shall—

 (A) maintain a facility and technical staff sufficient to provide, within 

the United States Government, the capability of evaluating a risk related 

to the transportation of hazardous material and material alleged to be 

hazardous;

 (B) maintain a central reporting system and information center 

capable of providing information and advice to law enforcement and 

firefighting personnel, other interested individuals, and officers and 

employees of the Government and State and local governments on 

meeting an emergency related to the transportation of hazardous material; 

and

 (C) conduct a continuous review on all aspects of transporting 

hazardous material to decide on and take appropriate actions to ensure 

safe transportation of hazardous material.

 (2) Paragraph (1) of this subsection does not prevent the Secretary from 

making a contract with a private entity for use of a supplemental 

reporting system and information center operated and maintained by the 

contractor.

(g) GRANTS AND COOPERATIVE AGREEMENTS. The Secretary 

may enter into grants and cooperative agreements with a person, agency, 

or instrumentality of the United States, a unit of State or local 

government, an Indian tribe, a foreign government (in coordination with 

the Department of State), an educational institution, or other appropriate 

entity––

 (1) to expand risk assessment and emergency response capabilities with 

respect to the security of transportation of hazardous material;

 (2) to enhance emergency communications capacity as determined 

necessary by the Secretary, including the use of integrated, interoperable 

emergency communications technologies where appropriate;

 (3) to conduct research, development, demonstration, risk assessment, 

and emergency response planning and training activities; or

 (4) to otherwise carry out this chapter [49 USCS §§ 5101 et seq.].

(h) REPORT. The Secretary shall, once every 2 years, prepare and 

transmit to the Committee on Transportation and Infrastructure of the 

House of Representatives and the Committee on Commerce, Science, and 

Transportation of the Senate a comprehensive report on the transportation 

of hazardous materials during the preceding 2 calendar years. The report 

shall include—

 (1) a statistical compilation of accidents and casualties related to the 

transportation of hazardous material;

 (2) a list and summary of applicable Government regulations, criteria, 

orders, and special permits;

 (3) a summary of the basis for each special permit;

 (4) an evaluation of the effectiveness of enforcement activities relating 

to a function regulated by the Secretary under section 5103(b)(1) [49 

USCS § 5103(b)(1)] and the degree of voluntary compliance with 

regulations;
Haz. Mat. Trans. Uniform Safety Act (P.L. 101–615) 563

 (5) a summary of outstanding problems in carrying out this chapter [49 

USCS §§ 5101 et seq.] in order of priority; and

 (6) recommendations for appropriate legislation.22

Sec. 5122. Enforcement

(a) GENERAL. At the request of the Secretary, the Attorney General 

may bring a civil action in an appropriate district court of the United 

States to enforce this chapter [49 USCS §§ 5101 et seq.] or a regulation 

prescribed or order, special permit, or approval issued under this chapter 

[49 USCS §§ 5101 et seq.]. The court may award appropriate relief, 

including a temporary or permanent injunction, punitive damages, and 

assessment of civil penalties considering the same penalty amounts and 

factors as prescribed for the Secretary in an administrative case under 

section 5123 [49 USCS § 5123].

(b) IMMINENT HAZARDS.

 (1) If the Secretary has reason to believe that an imminent hazard 

exists, the Secretary may bring a civil action in an appropriate district 

court of the United States—

 (A) to suspend or restrict the transportation of the hazardous material 

responsible for the hazard; or

(B) to eliminate or mitigate the hazard.

 (2) On request of the Secretary, the Attorney General shall bring an 

action under paragraph (1) of this subsection.

(c) WITHHOLDING OF CLEARANCE.

 (1) If any owner, operator, or individual in charge of a vessel is liable 

for a civil penalty under section 5123 of this title [49 USCS § 5123] or 

for a fine under section 5124 of this title [49 USCS § 5124], or if 

reasonable cause exists to believe that such owner, operator, or individual 

in charge may be subject to such a civil penalty or fine, the Secretary of 

Homeland Security, upon the request of the Secretary, shall with respect 

to such vessel refuse or revoke any clearance required by section 60105 

of title 46.

 (2) Clearance refused or revoked under this subsection may be granted 

upon the filing of a bond or other surety satisfactory to the Secretary.23

Sec. 5123. Civil Penalty

(a) PENALTY.

 (1) A person that knowingly violates this chapter [49 USCS §§ 5101 et 

seq.] or a regulation, order, special permit, or approval issued under this 

chapter [49 USCS §§ 5101 et seq.] is liable to the United States 

Government for a civil penalty of at least $ 250 but not more than $ 

50,000 for each violation. A person acts knowingly when—

 (A) the person has actual knowledge of the facts giving rise to the 

violation; or

 (B) a reasonable person acting in the circumstances and exercising 

reasonable care would have that knowledge.

 (2) If the Secretary finds that a violation under paragraph (1) results in 

death, serious illness, or severe injury to any person or substantial 

destruction of property, the Secretary may increase the amount of the 

civil penalty for such violation to not more than $ 100,000.

––––––––

22 Amended by P.L. 103–311, Title I, §§ 108, 117(a)(2), 108 Stat. 1674, 1678 (1994); 

P.L. 109–59, Title VII, Subtitle A, §§ 7118, 7126, 119 Stat. 1902, 1909 (2005); P.L. 110– 244, Title II, § 302(e), 122 Stat. 1618 (2008). 23 Amended by P.L. 104–324, Title III, § 312(a), 110 Stat. 3920 (1996); P.L. 109–59, Title VII, Subtitle A, §§ 7119, 7126, 119 Stat. 1905, 1909 (2005); P.L. 109–304, § 17(h)(1), 

120 Stat. 1709 (2006).

49 USC 5122.

49 USC 5123.
564 Haz. Mat. Trans. Uniform Safety Act (P.L. 101–615)

 (3) If the violation is related to training, paragraph (1) shall be applied 

by substituting “$ 450” for “$ 250”.

 (4) A separate violation occurs for each day the violation, committed 

by a person that transports or causes to be transported hazardous 

material, continues.

(b) HEARING REQUIREMENT. The Secretary may find that a person 

has violated this chapter [49 USCS §§ 5101 et seq.] or a regulation 

prescribed or order, special permit, or approval issued under this chapter 

[49 USCS §§ 5101 et seq.] only after notice and an opportunity for a 

hearing. The Secretary shall impose a penalty under this section by 

giving the person written notice of the amount of the penalty.

(c) PENALTY CONSIDERATIONS. In determining the amount of a 

civil penalty under this section, the Secretary shall consider—

 (1) the nature, circumstances, extent, and gravity of the violation;

 (2) with respect to the violator, the degree of culpability, any history of 

prior violations, the ability to pay, and any effect on the ability to 

continue to do business; and

 (3) other matters that justice requires.

(d) CIVIL ACTIONS TO COLLECT. The Attorney General may bring a 

civil action in an appropriate district court of the United States to collect 

a civil penalty under this section and any accrued interest on the civil 

penalty as calculated in accordance with section 1005 of the Oil Pollution 

Act of 1990 (33 U.S.C. 2705). In the civil action, the amount and 

appropriateness of the civil penalty shall not be subject to review.

(e) COMPROMISE. The Secretary may compromise the amount of a 

civil penalty imposed under this section before referral to the Attorney 

General.

(f) SETOFF. The Government may deduct the amount of a civil penalty 

imposed or compromised under this section from amounts it owes the 

person liable for the penalty.

(g) DEPOSITING AMOUNTS COLLECTED. Amounts collected under 

this section shall be deposited in the Treasury as miscellaneous 

receipts.24

Sec. 5124. Criminal Penalty

(a) IN GENERAL. A person knowingly violating section 5104(b) [49 

USCS § 5104(b)] or willfully or recklessly violating this chapter [49 

USCS §§ 5101 et seq.] or a regulation, order, special permit, or approval 

issued under this chapter [49 USCS §§ 5101 et seq.] shall be fined under 

title 18, imprisoned for not more than 5 years, or both; except that the 

maximum amount of imprisonment shall be 10 years in any case in 

which the violation involves the release of a hazardous material that 

results in death or bodily injury to any person.

(b) KNOWING VIOLATIONS. For purposes of this section—

 (1) a person acts knowingly when—

 (A) the person has actual knowledge of the facts giving rise to the 

violation; or

 (B) a reasonable person acting in the circumstances and exercising 

reasonable care would have that knowledge; and

 (2) knowledge of the existence of a statutory provision, or a regulation 

or a requirement required by the Secretary, is not an element of an 

offense under this section.

––––––––

24 Amended by P.L. 109–59, Title VII, Subtitle A, §§ 7120(a)–(c), 7126, 119 Stat. 1905, 1909 (2005).

49 USC 5124.
Haz. Mat. Trans. Uniform Safety Act (P.L. 101–615) 565

(c) WILLFUL VIOLATIONS. For purposes of this section, a person acts 

willfully when—

 (1) the person has knowledge of the facts giving rise to the violation; 

and

 (2) the person has knowledge that the conduct was unlawful.

(d) RECKLESS VIOLATIONS. For purposes of this section, a person 

acts recklessly when the person displays a deliberate indifference or 

conscious disregard to the consequences of that person's conduct.25

Sec. 5125. Preemption

(a) GENERAL. Except as provided in subsections (b), (c), and (e) of this 

section and unless authorized by another law of the United States, a 

requirement of a State, political subdivision of a State, or Indian tribe is 

preempted if––

 (1) complying with a requirement of the State, political subdivision, or 

tribe and a requirement of this chapter [49 USCS §§ 5101 et seq.], a 

regulation prescribed under this chapter [49 USCS §§ 5101 et seq.], or a 

hazardous materials transportation security regulation or directive issued 

by the Secretary of Homeland Security is not possible; or

 (2) the requirement of the State, political subdivision, or tribe, as 

applied or enforced, is an obstacle to accomplishing and carrying out this 

chapter [49 USCS §§ 5101 et seq.], a regulation prescribed under this 

chapter [49 USCS §§ 5101 et seq.], or a hazardous materials 

transportation security regulation or directive issued by the Secretary of 

Homeland Security.

(b) SUBSTANTIVE DIFFERENCES.

 (1) Except as provided in subsection (c) of this section and unless 

authorized by another law of the United States, a law, regulation, order, 

or other requirement of a State, political subdivision of a State, or Indian 

tribe about any of the following subjects, that is not substantively the 

same as a provision of this chapter [49 USCS §§ 5101 et seq.], a 

regulation prescribed under this chapter [49 USCS §§ 5101 et seq.], or a 

hazardous materials transportation security regulation or directive issued 

by the Secretary of Homeland Security, is preempted:

 (A) the designation, description, and classification of hazardous 

material.

 (B) the packing, repacking, handling, labeling, marking, and 

placarding of hazardous material.

 (C) the preparation, execution, and use of shipping documents related 

to hazardous material and requirements related to the number, contents, 

and placement of those documents.

 (D) the written notification, recording, and reporting of the 

unintentional release in transportation of hazardous material.

 (E) the designing, manufacturing, fabricating, inspecting, marking, 

maintaining, reconditioning, repairing, or testing a package, container, or 

packaging component that is represented, marked, certified, or sold as 

qualified for use in transporting hazardous material in commerce.

 (2) If the Secretary prescribes or has prescribed under section 5103(b), 

5104, 5110, or 5112 of this title [49 USCS § 5103(b), 5104, 5110, or 

5112] or prior comparable provision of law a regulation or standard 

related to a subject referred to in paragraph (1) of this subsection, a State, 

political subdivision of a State, or Indian tribe may prescribe, issue, 

maintain, and enforce only a law, regulation, standard, or order about the 

subject that is substantively the same as a provision of this chapter [49 

––––––––

25 Amended by P.L. 109–59, Title VII, Subtitle A, § 7121, 119 Stat. 1906 (2005).

49 USC 5125.
566 Haz. Mat. Trans. Uniform Safety Act (P.L. 101–615)

USCS §§ 5101 et seq.] or a regulation prescribed or order issued under 

this chapter [49 USCS §§ 5101 et seq.]. The Secretary shall decide on 

and publish in the Federal Register the effective date of section 5103(b) 

of this title [49 USCS § 5103(b)] for any regulation or standard about any 

of those subjects that the Secretary prescribes. The effective date may not 

be earlier than 90 days after the Secretary prescribes the regulation or 

standard nor later than the last day of the 2–year period beginning on the 

date the Secretary prescribes the regulation or standard.

 (3) If a State, political subdivision of a State, or Indian tribe imposes a 

fine or penalty the Secretary decides is appropriate for a violation related 

to a subject referred to in paragraph (1) of this subsection, an additional 

fine or penalty may not be imposed by any other authority.

(c) COMPLIANCE WITH SECTION 5112(B) REGULATIONS.

 (1) Except as provided in paragraph (2) of this subsection, after the last 

day of the 2–year period beginning on the date a regulation is prescribed 

under section 5112(b) of this title [49 USCS § 5112(b)], a State or Indian 

tribe may establish, maintain, or enforce a highway routing designation 

over which hazardous material may or may not be transported by motor 

vehicles, or a limitation or requirement related to highway routing, only 

if the designation, limitation, or requirement complies with section 

5112(b) [49 USCS § 5112(b)].

 (2) (A) A highway routing designation, limitation, or requirement 

established before the date a regulation is prescribed under section 

5112(b) of this title [49 USCS § 5112(b)] does not have to comply with 

section 5112(b)(1)(B), (C), and (F) [49 USCS § 5112(b)(1)(B), (C) and 

(F)].

 (B) This subsection and section 5112 of this title [49 USCS § 5112] 

do not require a State or Indian tribe to comply with section 5112(b)(1)(I) 

[49 USCS § 5112(b)(1)(I)] if the highway routing designation, limitation, 

or requirement was established before November 16, 1990.

 (C) The Secretary may allow a highway routing designation, 

limitation, or requirement to continue in effect until a dispute related to 

the designation, limitation, or requirement is resolved under section 

5112(d) of this title [49 USCS § 5112(d)].

(d) DECISIONS ON PREEMPTION.

 (1) A person (including a State, political subdivision of a State, or 

Indian tribe) directly affected by a requirement of a State, political 

subdivision, or tribe may apply to the Secretary, as provided by 

regulations prescribed by the Secretary, for a decision on whether the 

requirement is preempted by subsection (a), (b)(1), or (c) of this section 

or section 5119(f) [49 USCS § 5119(f)]. The Secretary shall publish 

notice of the application in the Federal Register. The Secretary shall issue 

a decision on an application for a determination within 180 days after the 

date of the publication of the notice of having received such application, 

or the Secretary shall publish a statement in the Federal Register of the 

reason why the Secretary's decision on the application is delayed, along 

with an estimate of the additional time necessary before the decision is 

made. After notice is published, an applicant may not seek judicial relief 

on the same or substantially the same issue until the Secretary takes final 

action on the application or until 180 days after the application is filed, 

whichever occurs first.

 (2) After consulting with States, political subdivisions of States, and 

Indian tribes, the Secretary shall prescribe regulations for carrying out 

paragraph (1) of this subsection.
Haz. Mat. Trans. Uniform Safety Act (P.L. 101–615) 567

 (3) Subsection (a) of this section does not prevent a State, political 

subdivision of a State, or Indian tribe, or another person directly affected 

by a requirement, from seeking a decision on preemption from a court of 

competent jurisdiction instead of applying to the Secretary under 

paragraph (1) of this subsection.

(e) WAIVER OF PREEMPTION. A State, political subdivision of a 

State, or Indian tribe may apply to the Secretary for a waiver of 

preemption of a requirement the State, political subdivision, or tribe 

acknowledges is preempted by subsection (a), (b)(1), or (c) of this section 

or section 5119(f). Under a procedure the Secretary prescribes by 

regulation, the Secretary may waive preemption on deciding the 

requirement––

 (1) provides the public at least as much protection as do requirements 

of this chapter [49 USCS §§ 5101 et seq.] and regulations prescribed 

under this chapter [49 USCS §§ 5101 et seq.]; and

 (2) is not an unreasonable burden on commerce.

(f) FEES.

 (1) A State, political subdivision of a State, or Indian tribe may impose 

a fee related to transporting hazardous material only if the fee is fair and 

used for a purpose related to transporting hazardous material, including 

enforcement and planning, developing, and maintaining a capability for 

emergency response.

 (2) A State or political subdivision thereof or Indian tribe that levies a 

fee in connection with the transportation of hazardous materials shall, 

upon the Secretary's request, report to the Secretary on—

 (A) the basis on which the fee is levied upon persons involved in such 

transportation;

 (B) the purposes for which the revenues from the fee are used;

 (C) the annual total amount of the revenues collected from the fee; 

and

 (D) such other matters as the Secretary requests.

(g) APPLICATION OF EACH PREEMPTION STANDARD. Each 

standard for preemption in subsection (a), (b)(1), or (c), and in section 

5119(f) [49 USCS § 5119(f)], is independent in its application to a 

requirement of a State, political subdivision of a State, or Indian tribe.

(h) NON–FEDERAL ENFORCEMENT STANDARDS. This section 

does not apply to any procedure, penalty, required mental state, or other 

standard utilized by a State, political subdivision of a State, or Indian 

tribe to enforce a requirement applicable to the transportation of 

hazardous material.26

Sec. 5126. Relationship to Other Laws

(a) CONTRACTS. A person under contract with a department, agency, 

or instrumentality of the United States Government that transports 

hazardous material, or causes hazardous material to be transported, or 

designs, manufactures, fabricates, inspects, marks, maintains, 

reconditions, repairs, or tests a package, container, or packaging 

component that is represented as qualified for use in transporting 

hazardous material shall comply with this chapter [49 USCS §§ 5101 et 

seq.], regulations prescribed and orders issued under this chapter [49 

USCS §§ 5101 et seq.], and all other requirements of the Government, 

State and local governments, and Indian tribes (except a requirement 

––––––––

26 Amended by P.L. 103–311, Title I, §§ 107, 117(a)(2), 120(b), 108 Stat. 1674, 1678, 

1681 (1994); P.L. 103–429, § 6(6), 108 Stat. 4378 (1994); P.L. 107–296, Title XVII, 

§ 1711(b), 116 Stat. 2320 (2002); P.L. 109–59, Title VII, Subtitle A, §§ 122, 7123(a), 

7126, 119 Stat. 1907, 1909 (2005); P.L. 110–244, Title III, § 302(c), 122 Stat. 1618 (2008).

49 USC 5126.
568 Haz. Mat. Trans. Uniform Safety Act (P.L. 101–615)

preempted by a law of the United States) in the same way and to the 

same extent that any person engaging in that transportation, designing, 

manufacturing, fabricating, inspecting, marking, maintaining, 

reconditioning, repairing, or testing that is in or affects commerce must 

comply with the provision, regulation, order, or requirement.

(b) NONAPPLICATION. This chapter [49 USCS §§ 5101 et seq.] does 

not apply to––

 (1) a pipeline subject to regulation under chapter 601 of this title [49 

USCS §§ 60101 et seq.]; or

 (2) any matter that is subject to the postal laws and regulations of the 

United States under this chapter [49 USCS §§ 5101 et seq.] or title 18 or 

39.27

Sec. 5127. Judicial Review

(a) FILING AND VENUE. Except as provided in section 20114(c) [49 

USCS § 20114(c)], a person adversely affected or aggrieved by a final 

action of the Secretary under this chapter may petition for review of the 

final action in the United States Court of Appeals for the District of 

Columbia or in the court of appeals for the United States for the circuit in 

which the person resides or has its principal place of business. The 

petition must be filed not more than 60 days after the Secretary's action 

becomes final.

(b) JUDICIAL PROCEDURES. When a petition is filed under 

subsection (a), the clerk of the court immediately shall send a copy of the 

petition to the Secretary. The Secretary shall file with the court a record 

of any proceeding in which the final action was issued, as provided in 

section 2112 of title 28 [28 USCS § 2112].

(c) AUTHORITY OF COURT. The court has exclusive jurisdiction, as 

provided in subchapter II of chapter 5 of title 5 [5 USCS §§ 551 et seq.], 

to affirm or set aside any part of the Secretary's final action and may 

order the Secretary to conduct further proceedings.

(d) REQUIREMENT FOR PRIOR OBJECTION. In reviewing a final 

action under this section, the court may consider an objection to a final 

action of the Secretary only if the objection was made in the course of a 

proceeding or review conducted by the Secretary or if there was a 

reasonable ground for not making the objection in the proceeding.28

Sec. 5128. Authorization of Appropriations

(a) IN GENERAL. In order to carry out this chapter [49 USCS §§ 5101

et seq.] (except sections 5107(e), 5108(g)(2), 5113, 5115, 5116, and 5119 

[49 USCS §§ 5107(e), 5108(g)(2), 5113, 5115, 5116, and 5119]), the 

following amounts are authorized to be appropriated to the Secretary:

 (1) For fiscal year 2005, $ 24,940,000.

 (2) For fiscal year 2006, $ 29,000,000.

 (3) For fiscal year 2007, $ 30,000,000.

 (4) For fiscal year 2008, $ 30,000,000.

(b) HAZARDOUS MATERIALS EMERGENCY PREPAREDNESS 

FUND. There shall be available to the Secretary, from the account 

established pursuant to section 5116(i) [49 USCS § 5116(i)], for each of 

fiscal years 2005 through 2008 the following:

 (1) To carry out section 5115 [49 USCS § 5115], $ 200,000.

 (2) To carry out sections 5116(a) and (b) [49 USCS § 5116(a) and (b)], 

$ 21,800,000 to be allocated as follows:

––––––––

27 Amended by P.L. 103–311, Title I, § 117(a)(2), 108 Stat. 1678 (1994); P.L. 109–59, Title VII, Subtitle A, § 7124, 119 Stat. 1908 (2005); P.L. 110–244, Title III, § 302(d), 

122 Stat. 1618 (2008). 28 Added P.L. 109–59, Title VII, Subtitle A, § 7123(b), 119 Stat. 1907 (2005).

49 USC 5127.

49 USC 5128.
Haz. Mat. Trans. Uniform Safety Act (P.L. 101–615) 569

 (A) $ 5,000,000 to carry out section 5116(a) [49 USCS § 5116(a)].

 (B) $ 7,800,000 to carry out section 5116(b) [49 USCS § 5116(b)].

 (C) of the amount provided for by this paragraph for a fiscal year in 

excess of the suballocations in subparagraphs (A) and (B)—

 (i) 35 percent shall be used to carry out section 5116(a) [49 USCS § 

5116(a)]; and

 (ii) 65 percent shall be used to carry out section 5116(b) [49 USCS 

§ 5116(b)],

 except that the Secretary may increase the proportion to carry out 

section 5116(b) [49 USCS § 5116(b)] and decrease the proportion to 

carry out section 5116(a) [49 USCS § 5116(a)] if the Secretary 

determines that such reallocation is appropriate to carry out the intended 

uses of these funds as described in the applications submitted by States 

and Indian tribes.

 (3) To carry out section 5116(f) [49 USCS § 5116(f)], $ 150,000.

 (4) To publish and distribute the Emergency Response Guidebook 

under section 5116(i)(3) [49 USCS § 5116(i)(3)], $ 625,000.

 (5) To carry out section 5116(j) [49 USCS § 5116(j)], $ 1,000,000.

(c) HAZMAT TRAINING GRANTS. There shall be available to the 

Secretary, from the account established pursuant to section 5116(i) [49 

USCS § 5116(i)], to carry out section 5107(e) [49 USCS § 5107(e)] $ 

4,000,000 for each of fiscal years 2005 through 2008.

(d) ISSUANCE OF HAZMAT LICENSES. There are authorized to be 

appropriated for the Department of Transportation such amounts as may 

be necessary to carry out section 5103a [49 USCS § 5103a].

(e) CREDITS TO APPROPRIATIONS. The Secretary may credit to any 

appropriation to carry out this chapter [49 USCS §§ 5101 et seq.] an 

amount received from a State, Indian tribe, or other public authority or 

private entity for expenses the Secretary incurs in providing training to 

the State, authority, or entity.

(f) AVAILABILITY OF AMOUNTS. Amounts made available by or 

under this section remain available until expended.29

––––––––

29 Amended by P.L. 103–311, Title I, §§ 103, 119(b), (c)(4), 108 Stat. 1673, 1680

(1994); P.L. 109–59, Title VII, Subtitle A, §§ 7123(b), 7125, 119 Stat. 1907, 1908 (2005); 

P.L. 110–244, Title III, § 302(f), 122 Stat. 1618 (2008).
570 Air Transportation of Plutonium (P.L. 94–79/94–187)

B. AIR TRANSPORTATION OF PLUTONIUM—(P.L. 94-79)1

Sec. 201. 

Section 201(a) of the Energy Reorganization Act of 1974 is amended:

The Nuclear Regulatory Commission shall not license any shipments 

by air transport of plutonium in any form, whether exports, imports or 

domestic shipments: Provided, however, That any plutonium in any form 

contained in a medical device designed for individual human application 

is not subject to this restriction. This restriction shall be in force until the 

Nuclear Regulatory Commission has certified to the Joint Committee on 

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.

* * * *

C. AIR TRANSPORTATION OF PLUTONIUM—(P.L. 94–187)

Sec. 501. 

The Energy Research and Developments Administration shall not ship 

plutonium in any form by aircraft whether exports, imports, or domestic 

shipment: Provided, that any exempts 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 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.

Sec. 502.

For the purpose of this title, the term “exempt shipments of plutonium”

shall include the following:

(1) Plutonium shipments in any form designed for medical 

application.

(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 

national 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 

Administration to require rapid shipment by air in order to preserve 

the chemical, physical, or isotopic properties of the transported item 

or material.

* * * *

––––––––

1 This section consists of § 201 of P.L. 94–79, 89 Stat. 413, enacted on August 9, 1975. 

The paragraph shown appears in the United States Code at 42 U.S.C. 5841 note.

42 USC 5841.

Note.

42 USC 5817.

Note.

42 USC 5817.

Note.
Sec. 5062 of Omni. Bud. Rec. Act (P.L. 100 –202/P.L. 100–203) 571

D. SECTION 5062 OF OMNIBUS BUDGET RECONCILIATION 

ACT OF 1987 REGARDING AIR TRANSPORTATION OF 

PLUTONIUM

P.L. 100–202 AND 100–203

Sec. 5062. Transportation of Plutonium by Aircraft Through United 

States Air Space

(a)1 IN GENERAL–Notwithstanding any other provision of law, 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 

Nuclear Regulatory Commission has certified to Congress that the 

container in which such plutonium is transported is safe, as determined in 

accordance with subsection (b), the second undesignated paragraph under 

section 201 of Public Law 94–79 (89 Stat. 413; 42 USC 5841 note), and 

all other applicable laws.

(b) RESPONSIBILITIES OF THE NUCLEAR REGULATORY 

COMMISSION–

(1) DETERMINATION OF SAFETY–The Nuclear Regulatory 

Commission shall determine whether the container referred to in 

subsection (a) is safe for use in the transportation of plutonium by 

aircraft and transmit to Congress a certification for the purposes of 

such subsection in the case of each container determined to be safe.

(2) TESTING–In order to make a determination with respect to a 

container under paragraph (1), the Nuclear Regulatory Commission 

shall–

(A) require an actual drop test from maximum cruising 

altitude of a full–scale sample of such container loaded with test 

materials; and

(B) require an actual crash test of a cargo aircraft fully loaded 

with full–scale samples of such container loaded with test material 

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 container 

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).

(4) EVALUATION–The Nuclear Regulatory Commission shall 

evaluate the container certification required by title II of the Energy 

Reorganization Act of 1974 (42 USC 5841 et seq.) and subsection (a) 

in accordance with the National Environmental Policy Act of 1969 

(83 Stat. 852; 42 USC 4321 et seq.) 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 statement that the requirements of subsection (b)(2) were 

satisfied in the testing of such container; and

––––––––

1 This title consists of § 5062 of P.L. 100–203, 101 Stat. 1330–251, (1987), and was 

also enacted in identical form by P.L. 100–202, 101 Stat. 1329–121, (1987). The section 

appears in the United States Code at 42 U.S.C. 5841 note.

42 USC 5841.

Note.
572 Sec. 5062 of Omni. Bud. Recon. Act (P.L. 100–202/P.L. 100–203)

(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 Commission 

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 DISCLOSURE 

–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 

TRANSPORTATION–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, including sea shipment. All such arrangements shall be 

subject to stringent physical security conditions, and other conditions 

designed to protect the public health and safety, and provisions of this 

section, and all other applicable laws.

(g) INAPPLICABILITY TO MEDICAL DEVICES–Subsections (a) 

through (e) shall not apply with respect to plutonium in any form 

contained in a medical device designed for individual human application.

(h) INAPPLICABILITY TO MILITARY USES–Subsections (a) 

through (e) shall not apply to plutonium in the form of nuclear weapons 

nor to other shipments of plutonium determined by the Department of 

Energy to be directly connected with the United States national security 

or defense programs.

(i) INAPPLICABILITY TO PREVIOUSLY CERTIFIED 

CONTAINERS–This section shall not apply to any containers for the 

shipment of plutonium previously certified as safe by the Nuclear 

Regulatory Commission under Public Law 94–79 (89 Stat. 413; 42 USC 

5841 note).

(j) PAYMENT OF COSTS–All costs incurred by the Nuclear 

Regulatory Commission associated with the testing program required by 

this 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 specified 

by the Commission.

* * * *

President of 

U.S.
Shipment of Plutonium by Sea (P.L. 102–486) 573

E. SHIPMENTS OF PLUTONIUM BY SEA

P.L. 102–486

Sec. 2904. Study and Implementation Plan on Safety of Shipments of

Plutonium by Sea1

(a) STUDY–The President, in consultation with the Nuclear 

Regulatory 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 recommendations 

based on the study.

(c) IMPLEMENTATION PLAN–The President, in consultation with 

the Nuclear Regulatory Commission, shall establish a plan to implement 

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 that 

implementation plan.

(d) DEFINITION–As used in this section, the term “State” includes 

the District of Columbia and any commonwealth, territory, or possession 

of the United States.

* * * *

––––––––

1 This title consists of § 2904 of the Energy Policy Act of 1992, P.L. 102–486, 

106 Stat. 2776, (1992), and does not appear in the United States Code.
574 Sec. 411 of Rail Safety Improvement Act (P.L. 110–432)

F. SECTION 411 OF RAIL SAFETY IMPROVEMENT 

ACT OF 2008

P.L. 110-432

Sec. 411. Railroad Carrier Employee Exposure to Radiation Study

(a) STUDY.—The Secretary of Transportation shall, in consultation with 

the Secretary of Energy, the Secretary of Labor, the Administrator of the 

Environmental Protection Agency, and the Chairman of the Nuclear 

Regulatory Commission, as appropriate, conduct a study of the potential 

hazards to which employees of railroad carriers and railroad contractors 

or subcontractors are exposed during the transportation of high–level 

radioactive waste and spent nuclear fuel (as defined in section 5101(a) of 

title 49, United States Code), supplementing the report submitted under

section 5101(b) of that title, which may include—

(1) an analysis of the potential application of ‘‘as low as 

reasonably achievable’’ principles for exposure to radiation to such 

employees with an emphasis on the need for special protection from 

radiation exposure for such employees during the first trimester of 

pregnancy or who are undergoing or have recently undergone 

radiation therapy; 

(2) the feasibility of requiring real–time dosimetry monitoring

for such employees; 

(3) the feasibility of requiring routine radiation exposure 

monitoring in fixed railroad locations, such as yards and repair 

facilities; and 

(4) a review of the effectiveness of the Department’s 

packaging requirements for radioactive materials. 

(b) REPORT.—Not later than 18 months after the date of enactment of 

this Act, the Secretary of Transportation shall transmit a report on the 

results of the study required by subsection (a) and any recommendations 

to further protect employees of a railroad carrier or of a contractor or 

subcontractor to a railroad carrier from unsafe exposure to radiation 

during the transportation of high–level radioactive waste and spent 

nuclear fuel to the Senate Committee on Commerce, Science, and 

Transportation and the House of Representatives Committee on 

Transportation and Infrastructure. 

(c) REGULATORY AUTHORITY.—The Secretary of Transportation 

may issue regulations that the Secretary determines appropriate, pursuant 

to the report required by subsection (b), to protect railroad employees 

from unsafe exposure to radiation during the transportation of radioactive 

materials.

49 USC 5103.

Note.
User Fees 575

2. User Fees

User Fees 577

2. User Fees

Contents

A. TITLE V OF THE INDEPENDENT OFFICES 

APPROPRIATIONS ACT OF 1952........................................................ 579

Sec. 9701. Fees and Charges for Government Services and Things of 

Value............................................................................................................ 579

B. PERTINENT PROVISIONS OF THE OMNIBUS BUDGET 

RECONCILIATION ACT OF 1990, AS AMENDED........................... 580

Title VI–Energy and Environmental Programs................................................. 580

Subtitle B–NRC User Fees and Annual Charges............................................ 580

Sec. 6101. NRC User Fees and Annual Charges.......................................... 580
 
Title V–Independent Appropriations Act of 1952 (P.L. 82–137 ) 579

A. TITLE V OF THE INDEPENDENT OFFICES APPROPRIATIONS 

ACT OF 1952

Public Law 82–137 65 Stat. 268

AUGUST 31, 1951

Sec. 9701. Fees and Charges for Government Services and Things of

Value

(a) It is the sense of Congress that each service or thing of value provided 

by an agency (except a mixed–ownership Government corporation) to a 

person (except a person on official business of the United States 

Government) is to be self–sustaining to the extent possible.

(b) The head of each agency (except a mixed–ownership Government 

corporation) may prescribe regulations establishing the charge for a 

service or thing of value provided by the agency. Regulations prescribed 

by the heads of executive agencies are subject to policies prescribed by 

the President and shall be as uniform as practicable. Each charge shall 

be–

(1) fair; and

(2) based on—

(A) the costs to the Government; 

(B) the value of the service or thing to the recipient; 

(C) public policy or interest served; and 

(D) other relevant facts. 

(c) This section does not affect a law of the United States—

(1) prohibiting the determination and collection of charges and the 

disposition of those charges; and 

(2) prescribing bases for determining charges, but a charge may be 

redetermined under this section consistent with the prescribed bases.

31 USC 9701.
580 Provisions from the Omnibus Budget Recon. Act (P.L. 101–508)

B. PERTINENT PROVISIONS OF THE OMNIBUS BUDGET 

RECONCILIATION ACT OF 1990, AS AMENDED

Public Law 101–508 104 Stat. 1388

NOVEMBER 5, 1990

Title VI–Energy and Environmental Programs

Subtitle B–NRC User Fees and Annual Charges

Sec. 6101. NRC User Fees and Annual Charges

(a) ANNUAL ASSESSMENT–

(1) IN GENERAL–The Nuclear Regulatory Commission (in this 

section referred to as the “Commission”) shall annually assess and 

collect such fees and charges as are described in subsections (b) and 

(c).

(2) FIRST ASSESSMENT–The first assessment of fees under 

subsection (b) and annual charges under subsection (c) shall be made 

not later than September 30, 1991.

(3)1

(b) FEES FOR SERVICE OR THING OF VALUE–Pursuant to 

section 9701 of title 31, United States Code, any person who receives a 

service or thing of value from the Commission shall pay fees to cover 

the Commission’s costs in providing any such service or thing of value.

(c) ANNUAL CHARGES–

(1) PERSONS SUBJECT TO CHARGE–Except as provided in 

paragraph (4), any licensee or certificate holder of the Commission 

may be required to pay, in addition to the fees set forth in subsection 

(b), an annual charge.

(2) AGGREGATE AMOUNT OF CHARGES–

(A) The aggregate amount of the annual charge collected from 

all licensees and certificate holders in a fiscal year shall equal an 

amount that approximates the percentages of the budget authority 

of the Commission for the fiscal year stated in subparagraph (B), 

less–

(i) amounts collected under subsection (b) during the 

fiscal year; 

(ii) amounts appropriated to the Commission from the 

Nuclear Waste Fund for the fiscal year;

(iii) amounts appropriated to the Commission for the fiscal 

year for implementation of section 3116 of the Ronald W. 

Reagan National Defense Authorization Act for Fiscal Year 

2005; and

(iv) amounts appropriated to the Commission for 

homeland security activities of the Commission for the fiscal 

year, except for the costs of fingerprinting and background 

checks required by section 149 of the Atomic Energy Act of 

1954 942 U.S.C. 2169) and the costs of conducting security 

inspections.2

(B) Percentages–The percentages referred to in subparagraph 

A) are–

––––––––

1 Paragraphs (1) and (3) amended by P.L. 109–58, § 637, 119 Stat. 791, (2005). 2 Amended by P.L. 109–58, § 637, 119 Stat. 791, (2005).

42 USC 2214.

42 USC 2214.
Provisions from the Omnibus Budget Recon. Act (P.L. 101–508) 581

(i) 98 percent for fiscal year 2001;

(ii) 96 percent for fiscal year 2002;

(iii) 94 percent for fiscal year 2003;

(iv) 92 percent for fiscal year 2004; and

(v) 90 percent for fiscal year 20053 and each fiscal year 

thereafter.4

(3) AMOUNT PER LICENSEE–The Commission shall establish, 

by rule, a schedule of charges fairly and equitably allocating the 

aggregate amount of charges described in paragraph (2) among 

licensees. To the maximum extent practicable, the charges shall have 

a reasonable relationship to the cost of providing regulatory services 

and may be based on the allocation of the Commission’s resources 

among licensees or classes of licensees.

(4) EXEMPTION–

(A) IN GENERAL–Paragraph (1) shall not apply to the holder 

of any license for a federally owned research reactor used 

primarily for educational training and academic research 

purposes.

(B) RESEARCH REACTOR.–For purposes of subparagraph 

(A), the term “research reactor” means a nuclear reactor that–

(i) is licensed by the Nuclear Regulatory Commission 

under section 104c. of the Atomic Energy Act of 1954 (42 

USC 2134(c)) for operation at a thermal power level of 10 

megawatts or less; and

(ii) if so licensed for operation at a thermal power level of 

more than 1 megawatt, does not contain–

(I) a circulating loop through the core in which the 

licensee conducts fuel experiments;

(II) a liquid fuel loading; or

(III) an experimental facility in the core in excess of 16 

square inches in cross–section.

(d) DEFINITION–As used in this section, the term “Nuclear Waste 

Fund” means the fund established pursuant to section 302(c) of the 

Nuclear Waste Policy Act of 1982 (42 USC 10222(c)).

(e) REPEALED: Section 7601 of the Consolidated Omnibus Budget 

Reconciliation Act of 1985 (42 USC 2213) is repealed.5

––––––––

3 Amended by P.L. 105–245, Title V, § 505, 112 Stat. 1856, (1998); P.L. 106–60, 

Title VI, § 604, 113 Stat. 501, (1999); P.L. 106–377, § 1(a)(2),Title VIII, 114 Stat. 1441, 

1441A–86 (2000); P.L. 109–58, § 637, 119 Stat. 791, (2005); P.L. 109–103, Title IV, 

119 Stat. 2283, (2005). 4 These fees were established in P.L. 106–377, (2000), and made permanent by 

P.L. 109–58, (2005). Previously, fees were established as follows: 33 percent in P.L. 99–

272, (1986); 45 percent in P.L. 100–203, (1987); 100 percent in P.L. 101–508, (1990). 5 Amended by P.L. 109–58, § 637(b), 119 Stat. 791, (2005), which repealed § 7601. 

Note: The prior language read as follows: 

(e) CONFORMING AMENDMENT TO COBRA.–Paragraph(1)(a) of 

§ 7601 of the Consolidated Omnibus Budget Reconciliation Act of 1985 

(P.L. 99–272) is Amended by striking “except that for fiscal year of 1990 such 

maximum amount shall be estimated to be equal to 45 percent of the costs 

incurred by the Commission for fiscal year 1990” and inserting “except as 

otherwise provided by law.”

42 USC 2213.

Administrative Law Statutes 583

3. Administrative Law Statutes

Administrative Law Statutes 585

3. Administrative Law Statutes

Contents

A. ADMINISTRATIVE PROCEDURES (5 U.S.C. 551–559)................. 589

Subchapter II–Administrative Procedures ..................................................... 589

Sec. 551. Definitions....................................................................................... 589

Sec. 552. Public Information; Agency Rules, Opinions, Orders, 

Records, and Proceeding ........................................................................... 590

Sec. 552a. Records Maintained on Individuals............................................ 604

Sec. 552b. Open Meetings.............................................................................. 618

Sec. 553. Rulemaking ..................................................................................... 623

Sec. 554. Adjudications.................................................................................. 624

Sec. 555. Ancillary Matters ........................................................................... 625

Sec. 556. Hearings; Presiding Employees; Powers and Duties; Burden 

of Proof; Evidence; Record as Basis of Decision...................................... 626

Sec. 557. Initial Decisions; Conclusiveness; Review by Agency; 

Submissions by Parties; Contents of Decisions; Record ......................... 627

Sec. 558. Imposition of Sanctions; Determination of Applications for 

Licenses; Suspension, Revocation, and Expiration of Licenses.............. 629

Sec. 559. Effect on Other Laws; Effect of Subsequent Statute................... 629

B. NEGOTIATED RULEMAKING ACT OF 1990 (5 U.S.C. 561–570) . 631

Sec. 1. Short Title............................................................................................... 631

Sec. 2. Findings .................................................................................................. 631

Sec. 3. Negotiated Rulemaking Procedure ...................................................... 631

Sec. 561. Purpose............................................................................................ 631

Sec. 562. Definitions....................................................................................... 632

Sec. 563. Determination of Need for Negotiated Rulemaking 

Committee ................................................................................................... 632

Sec. 564. Publication of Notice; Applications for Membership on 

Committees ................................................................................................. 633

Sec. 565. Establishment of Committee ......................................................... 634

Sec. 566. Conduct of Committee Activity..................................................... 634

Sec. 567. Termination of Committee ............................................................ 635

Sec. 568. Services, Facilities, and Payment of Committee Member 

Expenses...................................................................................................... 635

Sec. 569. Encouraging Negotiated Rulemaking........................................... 636

Sec. 570. Judicial Review............................................................................... 637

Sec. 570a. Authorization of Appropriations. ............................................... 637

Sec. 4. Authorization of Appropriations.......................................................... 637

Sec. 5. Sunset and Savings Provisions.............................................................. 637

C. ADMINISTRATIVE DISPUTE RESOLUTION ACT, AS 

AMENDED................................................................................................ 638

Sec. 1. Short Title............................................................................................... 638

Sec. 2. Findings .................................................................................................. 638

Sec. 3. Promotion of Alternative Means of Dispute Resolution..................... 638

Sec. 4. Administrative Procedures ................................................................... 639
586 Administrative Law Statutes

Subchapter IV–Alternative Means of Dispute Resolution in the 

Administrative Process.................................................................................. 640

Sec. 571. Definitions....................................................................................... 640

Sec. 572. General Authority .......................................................................... 641

Sec. 573. Neutrals........................................................................................... 641

Sec. 574. Confidentiality ................................................................................ 642

Sec. 575. Authorization of Arbitration......................................................... 644

Sec. 576. Enforcement of Arbitration Agreements...................................... 644

Sec. 577. Arbitrators...................................................................................... 644

Sec. 578. Authority of the Arbitrator ........................................................... 644

Sec. 579. Arbitration Proceedings................................................................. 645

Sec. 580. Arbitration Awards........................................................................ 645

Sec. 581. Judicial Review............................................................................... 646

Sec. 582. Repealed.......................................................................................... 646

Sec. 583. Support Services............................................................................. 646

Sec. 584. Authorization of Appropriations .................................................. 646

Sec. 5. Judicial Review of Arbitration Awards. .............................................. 646

Sec. 6. Government Contract Claims............................................................... 647

Sec. 7. Federal Mediation and Conciliation Service ....................................... 647

Sec. 8. Government Tort and Other Claims.................................................... 647

Sec. 9. Use of Non–Attorneys............................................................................ 648

Sec. 10. Definitions............................................................................................. 648

Sec. 11. Sunset Provision................................................................................... 648

D. REGULATORY FLEXIBILITY ACT, AS AMENDED (5 U.S.C. 

601–612) ..................................................................................................... 650

Chapter 6–The Analysis of Regulatory Functions.......................................... 650

Sec. 601. Definitions....................................................................................... 650

Sec. 602. Regulatory Agenda......................................................................... 651

Sec. 603. Initial Regulatory Flexibility Analysis.......................................... 651

Sec. 604. Final Regulatory Flexibility Analysis ........................................... 652

Sec. 605. Avoidance of Duplicative or Unnecessary Analyses.................... 653

Sec. 606. Effect on Other Law....................................................................... 653

Sec. 607. Preparation of Analyses................................................................. 653

Sec. 608. Procedure for Waiver or Delay of Completion............................ 653

Sec. 609. Procedures for Gathering Comments........................................... 654

Sec. 610. Periodic Review of Rules................................................................ 655

Sec. 611. Judicial Review............................................................................... 656

Sec. 612. Reports and Intervention Rights................................................... 657

E. JUDICIAL REVIEW (5 U.S.C. 701–706).............................................. 658

Chapter 7–Judicial Review............................................................................... 658

Sec. 701. Application; Definitions................................................................. 658

Sec. 702. Right of Review............................................................................... 658

Sec. 703. Form and Venue of Proceeding..................................................... 659

Sec. 704. Actions Reviewable......................................................................... 659

Sec. 705. Relief Pending Review.................................................................... 659

Sec. 706. Scope of Review .............................................................................. 659

F. CONGRESSIONAL REVIEW (5 U.S.C. 801–808) .............................. 661

Chapter 8–Congressional Review of Agency Rulemaking............................. 661
Administrative Law Statutes 587

Sec. 801. Congressional Review .................................................................... 661

Sec. 802. Congressional Disapproval Procedure ......................................... 663

Sec. 803. Special Rule on Statutory, Regulatory, and Judicial 

Deadlines..................................................................................................... 665

Sec. 804. Definitions....................................................................................... 665

Sec. 805. Judicial Review............................................................................... 665

Sec. 806. Applicability; Severability ............................................................. 665

Sec. 807. Exemption for Monetary Policy .................................................... 666

Sec. 808. Effective Date of Certain Rule....................................................... 666

G. FEDERAL ADVISORY COMMITTEE ACT, AS AMENDED......... 667

Sec. 1. Short Title ........................................................................................... 667

Sec. 2. Findings and Purpose......................................................................... 667

Sec. 3. Definitions........................................................................................... 667

Sec. 4. Applicability; Restrictions................................................................. 667

Sec. 5. Responsibilities of Congressional Committees; Review; 

Guidelines.................................................................................................... 668

Sec. 6. Responsibilities of the President; Report to Congress; Annual 

Report to Congress; Exclusion.................................................................. 668

Sec. 7. Responsibilities of the Administrator of General Services; 

Committee Management Secretariat, Establishment; Review; 

Recommendations to President and Congress; Agency Cooperation; 

Performance Guidelines; Uniform Pay Guidelines; Travel Expenses; 

Expense Recommendations....................................................................... 669

Sec. 8. Responsibilities of Agency Heads; Advisory Committee 

Management Officer, Designation ............................................................ 670

Sec. 9. Establishment and Purpose of Advisory Committees; 

Publication in Federal Register; Charter; Filing; Contents; Copy......... 671

Sec. 10. Advisory Committee Procedures; Meetings; Notice, 

Publication in Federal Register; Regulations; Minutes; Certification; 

Annual Report; Federal Officer or Employee; Attendance.................... 671

Sec. 11. Availability of Transcripts; Agency Proceeding............................ 672

Sec. 12. Fiscal and Administrative Provisions; Recordkeeping; Audit; 

Agency Support Services ........................................................................... 672

Sec. 13. Responsibilities of Library of Congress; Reports and 

Background Papers; Depository ............................................................... 673

Sec. 14. Termination of Advisory Committees; Renewal; Continuation... 673

Sec. 15. Requirements.................................................................................... 673

Sec. 16. Effective Date.................................................................................... 675

H. ALTERNATIVE DISPUTE RESOLUTION ACT OF 1998............... 676

Sec. 1. Short Title ........................................................................................... 676

Sec. 2. Findings and Declaration of Policy ................................................... 676

Sec. 3. Alternative Dispute Resolution Process to be Authorized in All 

District Courts............................................................................................ 676

Sec. 4. Jurisdiction ......................................................................................... 677

Sec. 5. Mediators and Neutral Evaluators ................................................... 678

Sec. 6. Actions Referred to Arbitration........................................................ 678

Sec. 7. Arbitrators.......................................................................................... 679

Sec. 8. Subpoenas ........................................................................................... 679

Sec. 9. Arbitration Award and Judgment.................................................... 679
588 Administrative Law Statutes

Sec. 10. Compensation of Arbitrators and Neutrals ................................... 680

Sec. 11. Authorization of Appropriations .................................................... 680

Sec. 12. Conforming Amendments................................................................ 680

I. FEDERAL CIVIL PENALTIES INFLATION ADJUSTMENT 

ACT OF 1990, AS AMENDED................................................................ 681

Title III, Chapter 10.............................................................................................. 681

Sec. 1. Short Title ........................................................................................... 681

Sec. 2. Findings and Purpose......................................................................... 681

Sec. 3. Definitions........................................................................................... 681

Sec. 4. Civil Monetary Penalty Inflation Adjustment Reports................... 682

Sec. 5. Cost–of–Living Adjustments of Civil Monetary Penalties.............. 682

Sec. 6. Annual Report .................................................................................... 683
Administrative Procedures (5 U.S.C. 551–559) 589

A. ADMINISTRATIVE PROCEDURES (5 U.S.C. 551–559)

Subchapter II–Administrative Procedures

Sec. 551. Definitions

For the purpose of this Subchapter–

(1) “agency” means each authority of the Government of the United 

States, whether or not it is within or subject to review by another agency, 

but does not include–

(A) the Congress;

(B) the courts of the United States;

(C) the governments of the territories or possessions of the United 

States;

(D) the Government of the District of Columbia; or except as to 

the requirements of section 552 of this title ____;

(E) agencies composed of representatives of the parties or of 

representatives of organizations of the parties to the disputes 

determined by them;

(F) courts martial and military commissions;

(G) military authority exercised in the field in time of war or in 

occupied territory; or

(H) functions conferred by sections 1738, 1739, 1743, and 1744 

of title 12; chapter 2 of title 41; Subchapter II of chapter 471 of title 

49; or sections 1884, 1891–1902, and former section 1641(b)(2), of 

title 50, appendix;

(2) “person” includes an individual, partnership, corporation, 

association, or public or private organization other than a agency;

(3) “party” includes a person or agency named or admitted as a party, 

or properly seeking and entitled as of right to be admitted as a party, in 

an agency proceeding, and a person or agency admitted by an agency as a 

party for limited purposes;

(4) “rule” means the whole or a part of an agency statement of 

general or particular applicability and future effect designed to 

implement, interpret, or prescribe law or policy or describing the 

organization, procedure, or practice requirements of an agency and 

includes the approval or prescription for the future of rates, wages, 

corporate or financial structures or reorganizations thereof, prices, 

facilities, appliances, services or allowances therefor or of valuations, 

costs, or accounting, or practices bearing on any of the foregoing;

(5) “rule making” means agency process for formulating, amending, 

or repealing a rule;

(6) “order” means the whole or part of a final disposition whether 

affirmative, negative, injunctive, or declaratory in form, of an agency in a 

matter other than rule making but including licensing;

(7) “adjudication” means agency process for the formulation of an 

order;

(8) “license” includes the whole or a part of an agency permit, 

certificate, approval, registration, charter, membership, statutory 

exemption or other form of permission;

(9) “licensing” includes agency process respecting the grant, renewal, 

denial, revocation, suspension, annulment, withdrawal, limitation, 

amendments, modification, or conditioning of a license;

(10) “sanction” includes the whole or a part of an agency–

(A) prohibition requirement, limitations, or other condition 

affecting the freedom of a person;

5 USC 551.
590 Administrative Procedures—5 U.S.C. 551–559

(B) withholding of relief;

(C) imposition of penalty or fine;

(D) destruction, taking, seizure, or withholding of property;

(E) Assessment of damages, reimbursement, restitution, 

compensation, costs, charges, or fees;

(F) requirement, revocation, or suspension of a license; or

(G) taking other compulsory or restrictive action;

(11) “relief” includes the whole or a part of an agency–

(A) grant of money, assistance, license, authority, exemption, 

exception, privilege, or remedy;

(B) recognition of a claim, right, immunity, privilege, exemption, 

or exception; or

(C) taking of other action on the application or petition of, and 

beneficial to, a person;

(12) “agency proceedings” means an agency process as defined by 

paragraphs (5), (7), and (9) of this section;

(13) “agency action” includes the whole or a part of an agency rule, 

order, license, sanction, relief, or the equivalent or denial thereof, or 

failure to act; and

(14) “ex parte communication” means an oral or written 

communication not on the public record with respect to which reasonable 

prior notice to all parties is not given, but it shall not include requests for 

status reports on any matter or proceeding covered by this Subchapter;

(P.L. 89–554, Sept. 6, 1966, 80 Stat. 381; amended P.L. 94–409, 

Sept. 13, 1976, 90 Stat. 1247.); Pub.L. 103–272, § 5(a), July 5, 1994, 108 

Stat. 1373.

Sec. 552. Public Information; Agency Rules, Opinions, Orders, 

Records, and Proceeding

(a)1 Each agency shall make available to the public information as 

follows:

(1) Each agency shall separately state and currently publish in the 

Federal Register for the guidance of the public–

(A) descriptions of its central and field organization and the 

established places at which, the employees (and in the case of a 

uniformed service, the members) from whom, and the methods 

whereby, the public may obtain information, make submittals or 

requests, or obtain decisions;

(B) statements of the general course and method by which its 

functions are channeled and determined, including the nature and 

requirements of all formal and informal procedures available;

(C) rules of procedure, descriptions of forms available or the 

places at which forms may be obtained, and instructions as to the 

scope and contents of all papers, reports, or examinations;

(D) substantive rules of general applicability adopted as 

authorized by law, and statements of general policy or 

interpretations of general applicability formulated and adopted by 

the agency; and

(E) each amendment, revision, or repeal of the foregoing.

Except to the extent that a person has actual and timely notice of 

the terms thereof, a person may not in any manner be required to 

resort to, or be adversely affected by, a matter required to be 

published in the Federal Register and not so published. For the 

purpose of this paragraph, matter reasonably available to the class 

––––––––

1 Amended by P.L. 104–231, 110 Stat. 3049–3054 (1996).

5 USC 552.
Administrative Procedures (5 U.S.C. 551–559) 591

of persons affected thereby is deemed published in the Federal 

Register when incorporated by reference therein with the approval 

of the Director of the Federal Register.

(2) Each agency, in accordance with published rules, shall make 

available for public inspection and copying–

(A) final opinions, including concurring and dissenting 

opinions, as well as orders, made in the adjudication of cases;

(B) those statements of policy and interpretations which have 

been adopted by the agency and are not published in the Federal 

Register;

(C) administrative staff manuals and instructions to staff that 

affect a member of the public;

(D) copies of all records, regardless of form or format, which 

have been released to any person under paragraph (3) and which, 

because of the nature of their subject matter, the agency 

determines have become or are likely to become the subject of 

subsequent requests for substantially the same records; and

(E) a general index of the records referred to under 

subparagraph (D); unless the materials are promptly published and 

copies offered for sale. For records created on or after November 

1, 1996, within one year after such date, each agency shall make 

such records available, including by computer telecommunications 

or, if computer telecommunications means have not been 

established by the agency, by other electronic means. To the 

extent required to prevent a clearly unwarranted invasion of 

personal privacy, an agency may delete identifying details when it 

makes available or publishes an opinion, statement of policy, 

interpretation, staff manual, instruction, or copies of records 

referred to in subparagraph (D). However, in each case the 

justification for the deletion shall be explained fully in writing, 

and the extent of such deletion shall be indicated on the portion of 

the record which is made available or published, unless including 

that indication would harm an interest protected by the exemption 

in subsection (b) under which the deletion is made. If technically 

feasible, the extent of the deletion shall be indicated at the place in 

the record where the deletion was made. Each agency shall also 

maintain and make available for public inspection and copying 

current indexes providing identifying information for the public as 

to any matter issued, adopted, or promulgated after July 4, 1967, 

and required by this paragraph to be made available or published. 

Each agency shall promptly publish, quarterly or more frequently, 

and distribute (by sale or otherwise) copies of each index or 

supplements thereto unless it determines by order published in the 

Federal Register that the publication would be unnecessary and 

impracticable, in which case the agency shall nonetheless provide 

copies of such index on request at a cost not to exceed the direct 

cost of duplication. Each agency shall make the index referred to 

in subparagraph (E) available by computer telecommunications by 

December 31, 1999. A final order, opinion, statement of policy, 

interpretation, or staff manual or instruction that affects a member 

of the public may be relied on, used, or cited as precedent by an 

agency against a party other than an agency only if–

(i) it has been indexed and either made available or 

published as provided by this paragraph; or
592 Administrative Procedures—5 U.S.C. 551–559

(ii) the party has actual and timely notice of the terms 

thereof.

(3)(A) Except with respect to the records made available under 

paragraphs (1) and (2) of this subsection, and except as provided in 

subparagraph (E),2 each agency, upon any request for records which (i) 

reasonably describes such records and (ii) is made in accordance with 

published rules stating the time, place, fees (if any), and procedures to be 

followed, shall make the records promptly available to any person.

(B) In making any record available to a person under this 

paragraph, an agency shall provide the record in any form or 

format requested by the person if the record is readily reproducible 

by the agency in that form or format. Each agency shall make 

reasonable efforts to maintain its records in forms or formats that 

are reproducible for purposes of this section.

(C) In responding under this paragraph to a request for 

records, an agency shall make reasonable efforts to search for the 

records in electronic form or format, except when such efforts 

would significantly interfere with the operation of the agency’s 

automated information system.

(D) For purposes of this paragraph, the term “search” means to 

review, manually or by automated means, agency records for the 

purpose of locating those records which are responsive to a 

request.

(E) An agency, or part of an agency, that is an element of the 

intelligence community (as that term is defined in section 3(4) of 

the National Security Act of 1947 (50 U.S.C. 401a(4))) shall not 

make any record available under this paragraph to—

(i) any government entity, other than a State, 

territory, commonwealth, or district of the United States, or 

any subdivision thereof; or

(ii) a representative of a government entity 

described in clause (i).3

(4)(A)(i) In order to carry out the provisions of this section, each 

agency shall promulgate regulations, pursuant to notice and receipt of 

public comment, specifying the schedule of fees applicable to the 

processing of requests under this section and establishing procedures and 

guidelines for determining when such fees should be waived or reduced. 

Such schedule shall conform to the guidelines which shall be 

promulgated, pursuant to notice and receipt of public comment, by the 

Director of the Office of Management and budget and which shall 

provide for a uniform schedule of fees for all agencies.

(ii) Such agency regulations shall provide that–

(I) fees shall be limited to reasonable standard 

charges for document search, duplication, and review, 

when records are requested for commercial use;

(II) fees shall be limited to reasonable standard 

charges for document duplication when records are not 

sought for commercial use and the request is made by 

an educational or noncommercial scientific institution, 

whose purpose is scholarly or scientific research; or a 

representative of the news media; and

––––––––

2 Amended by P.L. 107–306, § 312, 116 Stat. 2383 (2002). 3 Amended by P.L. 107–306, § 312, 116 Stat. 2383 (2002).
Administrative Procedures (5 U.S.C. 551–559) 593

(III) for any request not described in (I) or (II), fees 

shall be limited to reasonable standard charges for 

document search and duplication.

(iii) Documents shall be furnished without any charge or 

at a charge reduced below the fees established under clause (ii) 

if disclosure of the information is in the public interest because 

it is likely to contribute significantly to public understanding of 

the operations or activities of the government and is not 

primarily in the commercial interest of the requester.

In this clause, the term ‘a representative of the news media’ 

means any person or entity that gathers information of potential 

interest to a segment of the public, uses its editorial skills to turn 

the raw materials into a distinct work, and distributes that work 

to an audience. In this clause, the term ‘news’ means 

information that is about current events or that would be of 

current interest to the public. Examples of news–media entities 

are television or radio stations broadcasting to the public at large 

and publishers of periodicals (but only if such entities qualify as 

disseminators of ‘news’) who make their products available for 

purchase by or subscription by or free distribution to the general 

public. These examples are not all–inclusive. Moreover, as 

methods of news delivery evolve (for example, the adoption of 

the electronic dissemination of newspapers through 

telecommunications services), such alternative media shall be 

considered to be news–media entities. A freelance journalist 

shall be regarded as working for a news media entity if the 

journalist can demonstrate a solid basis for expecting 

publication through that entity, whether or not the journalist is 

actually employed by the entity. A publication contract would 

present a solid basis for such an expectation; the Government 

may also consider the past publication record of the requester in 

making such a determination.4

(iv) Fee schedules shall provide for the recovery of only 

the direct costs of search, duplication, or review. Review costs 

shall include only the direct costs incurred during the initial 

examination of a document for the purposes of determining 

whether the documents must be disclosed under this section and 

for the purposes of withholding any portions exempt from 

disclosure under this section. Review costs may not include any 

costs incurred in resolving issues of law or policy that may be 

raised in the course of processing a request under this section. 

No fee may be charged by any agency under this section–

(I) if the costs of routine collection and processing 

of the fee are likely to equal or exceed the amount of 

the fee; or;

(II) for any request described in clause (ii)(II) or 

(III) of this subparagraph for the first two hours of 

search time or for the first one hundred pages of 

duplication.

(v) No agency may require advance payment of any fee 

unless the requester has previously failed to pay fees in a timely 

fashion, or the agency has determined that the fee will exceed 

$250.

––––––––

4 Amended by P.L. 110–175, § 3, 121 Stat. 2524 (2007).
594 Administrative Procedures—5 U.S.C. 551–559

(vi) Nothing in this subparagraph shall supersede fees 

chargeable under a statute specifically providing for setting the 

level of fees for particular types of records.

(vii) In any action by a requester regarding the waiver of 

fees under this section, the court shall determine the matter de 

novo: Provided, That the court’s review of the matter shall be 

limited to the record before the agency.

(viii) An agency shall not assess search fees (or in the case 

of a requester described under clause (ii)(II), duplication fees) 

under this subparagraph if the agency fails to comply with any 

time limit under paragraph (6), if no unusual or exceptional 

circumstances (as those terms are defined for purposes of 

paragraphs (6)(B) and (C), respectively) apply to the processing 

of the request.5

(B) On complaint, the district court of the United States in the 

district in which the complainant resides, or has his principal place 

of business, or in which the agency records are situated, or in the 

District of Columbia, has jurisdiction to enjoin the agency from 

withholding agency records and to order the production of any 

agency records improperly withheld from the complainant. In such 

a case the court shall determine the matter de novo, and may 

examine the contents of such agency records in camera to 

determine whether such records or any part thereof shall be 

withheld under any of the exemptions set forth in subsection (b) of

this section, and the burden is on the agency to sustain its action. 

In addition to any other matters to which a court accords 

substantial weight, a court shall accord substantial weight to an 

affidavit of an agency concerning the agency’s determination as to 

technical feasibility under paragraph (2C) and subsection (b) and 

reproducibility under paragraph (3B).

(C) Notwithstanding any other provision of law, the defendant 

shall serve an answer or otherwise plead to any complaint made 

under this subsection within thirty days after service upon the 

defendant of the pleading in which such complaint is made, unless 

the court otherwise directs for good cause shown.

(D) Repealed. Public Law 98–620, title IV, section 402(2), 

Nov. 8, 1984, 98 Stat. 3357. 

(E)(i) The court may assess against the United States 

reasonable attorney fees and other litigation costs reasonably 

incurred in any case under this section in which the complainant 

has substantially prevailed.

(ii) For purposes of this subparagraph, a complainant has 

substantially prevailed if the complainant has obtained relief 

through either—

(I) a judicial order, or an enforceable written 

agreement

or consent decree; or

(II) a voluntary or unilateral change in position by

the agency, if the complainant’s claim is not 

insubstantial.6

(F)(i) Whenever the court orders the production of any agency 

records improperly withheld from the complainant and assesses 

––––––––

5 Amended by P.L. 110–175, § 6(b)(1)(A), 121 Stat. 2524 (2007), which became 

effective December 31, 2008. 6 Amended by P.L. 110–175, § 4(a), 121 Stat. 2524 (2007).
Administrative Procedures (5 U.S.C. 551–559) 595

against the United States reasonable attorney fees and other 

litigation costs, and the court additionally issues a written finding 

that the circumstances surrounding the withholding raise questions 

whether agency personnel acting arbitrarily or capriciously with 

respect to the withholding, the Special Counsel shall promptly 

initiate a proceeding to determine whether disciplinary action is 

warranted against the officer or employee who was primarily 

responsible for the withholding. The Special Counsel, after 

investigation and consideration of the evidence submitted, shall 

submit his findings and recommendations to the administrative 

authority of the agency concerned and shall send copies of the 

findings and recommendations to the officer or employee of his 

representative. The administrative authority shall take the 

corrective action that the Special Counsel recommends.

(ii) The Attorney General shall—

(I) notify the Special Counsel of each civil action 

described

under the first sentence of clause (i); and

(II) annually submit a report to Congress on the 

number of such civil actions in the preceding year.

(iii) The Special Counsel shall annually submit a report to 

Congress on the actions taken by the Special Counsel under 

clause (i).7

(G) In the event of noncompliance with the order of the court, 

the district court may punish for contempt the responsible 

employee, and in the case of a uniformed service, the responsible 

member.

(5) Each agency having more than one member shall maintain and 

make available for public inspection a record of the final votes of each 

member in every agency proceeding.

(6)(A) Each agency, upon any request for records made under 

paragraph (1), (2), or (3) of this subsection shall–

(i) determine within 20 days (excepting Saturdays, 

Sundays, and legal public holidays) after the receipt of any such 

request whether to comply with such request and shall 

immediately notify the person making such request of such 

determination and the reasons therefor, and of the right of such 

person to appeal to the head of the agency any adverse 

determination; and

(ii) make a determination with respect to any appeal within 

twenty days (excepting Saturdays, Sundays and legal public 

holidays) after the receipt of such appeal. If on appeal the denial 

of the request for records is in whole or in part upheld, the 

agency shall notify the person making such request of the 

provisions for judicial review of that determination under 

paragraph (4) of this subsection.

The 20–day period under clause (i) shall commence on the date 

on which the request is first received by the appropriate 

component of the agency, but in any event not later than ten 

days after the request is first received by any component of the 

agency that is designated in the agency’s regulations under this 

section to receive requests under this section. The 20–day period 

shall not be tolled by the agency except—

––––––––

7 Amended by P.L. 110–175, § 5, 121 Stat. 2524 (2007).
596 Administrative Procedures—5 U.S.C. 551–559

(I) that the agency may make one request to the 

requester for information and toll the 20–day period 

while it is awaiting such information that it has 

reasonably requested from the requester under this 

section; or 

(II) if necessary to clarify with the requester issues 

regarding fee assessment. In either case, the agency’s 

receipt of the requester’s response to the agency’s 

request for information or clarification ends the tolling 

period. 8

(B)(i) In unusual circumstances as specified in this 

subparagraph, the time limits prescribed in either clause (i) or 

clause(ii) of subparagraph (A) may be extended by written notice 

to the person making such request settling forth the unusual 

circumstances for such extension and the date on which a 

determination is expected to be dispatched. No such notice shall 

specify a date that would result in an extension for more than ten 

working days, except as provided in clause (ii) of this 

subparagraph.

(ii) With respect to a request for which a written notice 

under clause (i) extends the time limits prescribed under clause 

(i) of subparagraph (A), the agency shall notify the person 

making the request if the request cannot be processed within the 

time limit specified in that clause and shall provide the person 

an opportunity to limit the scope of the request so that it may be 

processed within that time limit or an opportunity to arrange 

with the agency an alternative time frame for processing the 

request or a modified request. To aid the requester, each agency 

shall make available its FOIA Public Liaison, who shall assist in 

the resolution of any disputes between the requester and the 

agency.9 Refusal by the person to reasonably modify the request 

or arrange such an alternative time frame shall be considered as 

a factor in determining whether exceptional circumstances exist 

for purposes of subparagraph (C).

(iii) As used in this subparagraph, “unusual circumstances”

means, but only to the extent reasonably necessary to the proper 

processing of the particular requests–

(I) the need to search for and collect the requested 

records from field facilities or other establishments that 

are separate from the Office processing the request;

(II) the need to search for, collect, and appropriately 

examine a voluminous amount of separate and distinct 

records which are demanded in a single request; or

(III) the need for consultation, which shall be 

conducted with all practicable speed, with another 

agency having a substantial interest in the 

determination of the request or among two or more 

components of the agency having substantial subject–

matter interest therein.

(iv) Each agency may promulgate regulations, pursuant to 

notice and receipt of public comment, providing for the 

––––––––

8 Amended by P.L. 110–175, § 6(a)(1), 121 Stat. 2524 (2007), which became effective 

December 31, 2008. 9 Amended by P.L. 110–175, § 6(b)(1)(B), 121 Stat. 2524 (2007), which became 

effective December 31, 2008.
Administrative Procedures (5 U.S.C. 551–559) 597

aggregation of certain requests by the same requestor, or by a 

group of requestors acting in concert, if the agency reasonably 

believes that such requests actually constitute a single request, 

which would otherwise satisfy the unusual circumstances 

specified in this subparagraph, and the requests involve clearly 

related matters. Multiple requests involving unrelated matters 

shall not be aggregated.

(C)(i) Any person making a request to any agency for records 

under paragraph (1), (2), or (3) of this subsection shall be deemed 

to have exhausted his administrative remedies with respect to such 

request if the agency fails to comply with the applicable time limit 

provisions of this paragraph. If the Government can show 

exceptional circumstances exist and that the agency is exercising 

due diligence in responding to the request, the court may retain 

jurisdiction and allow the agency additional time to complete its 

review of the records. Upon any determination by an agency to 

comply with a request for records, the records shall be made 

promptly available to such person making such request. Any 

notification of denial of any request for records under this 

subsection shall set forth the names and titles or positions of each 

person responsible for the denial of such request.

(ii) For purposes of this subparagraph, the term 

“exceptional circumstances” does not include a delay that 

results from a predictable agency workload of requests under 

this section, unless the agency demonstrates reasonable progress 

in reducing its backlog of pending requests.

(iii) Refusal by a person to reasonably modify the scope of 

a request or arrange an alternative time frame for processing a 

request (or a modified request) under clause (ii) after being 

given an opportunity to do so by the agency to whom the person 

made the request shall be considered as a factor in determining 

whether exceptional circumstances exist for purposes of this 

subparagraph.

(D)(i) Each agency may promulgate regulations, pursuant to 

notice and receipt of public comment, providing for multitrack 

processing of requests for records based on the amount of work or 

time (or both) involved in processing requests.

(ii) Regulations under this subparagraph may provide a 

person making a request that does not qualify for the fastest 

multitrack processing an opportunity to limit the scope of the 

request in order to qualify for faster processing.

(iii) This subparagraph shall not be considered to affect the 

requirement under subparagraph (C) to exercise due diligence.

(E)(i) Each agency shall promulgate regulations, pursuant to 

notice and receipt of public comment, providing for expedited 

processing of requests for records–

(I) in cases in which the person requesting the 

records demonstrates a compelling need; and

(II) in other cases determined by the agency. 

(ii) Notwithstanding clause (i), regulations under this 

subparagraph must ensure–

(I) that a determination of whether to provide 

expedited processing shall be made, and notice of the 

determination shall be provided to the person making 
598 Administrative Procedures—5 U.S.C. 551–559

the request, within 10 days after the date of the request; 

and

(II) expeditious consideration of administrative 

appeals of such determinations of whether to provide 

expedited processing.

(iii) An agency shall process as soon as practicable any 

request for records to which the agency has granted expedited 

processing under this subparagraph. Agency action to deny or 

affirm denial of a request for expedited processing pursuant to 

this subparagraph, and failure by an agency to respond in a 

timely manner to such a request shall be subject to judicial 

review under paragraph (4), except that the judicial review shall 

be based on the record before the agency at the time of the 

determination.

(iv) A district court of the United States shall not have 

jurisdiction to review an agency denial of expedited processing 

of a request for records after the agency has provided a complete 

response to the request.

(v) For purposes of this subparagraph, the term 

“compelling need” means–

(I) that a failure to obtain requested records on an 

expedited basis under this paragraph could reasonably 

be expected to pose an imminent threat to the life or 

physical safety of an individual; or 

(II) with respect to a request made by a person 

primarily engaged in disseminating information, 

urgency to inform the public concerning actual or 

alleged Federal Government activity.

(vi) A demonstration of a compelling need by a person 

making a request for expedited processing shall be made by a 

statement certified by such person to be true and correct to the 

best of such person’s knowledge and belief.

(F) In denying a request for records, in whole or in part, an 

agency shall make a reasonable effort to estimate the volume of 

any requested matter the provision of which is denied, and shall 

provide any such estimate to the person making the request, unless 

providing such estimate would harm an interest protected by the 

exemption in subsection (b) pursuant to which the denial is made.

(7) Each agency shall—

(A) establish a system to assign an individualized tracking 

number for each request received that will take longer than ten 

days to process and provide to each person making a request the 

tracking number assigned to the request; and 

(B) establish a telephone line or Internet service that provides 

information about the status of a request to the person making the 

request using the assigned tracking number, including—

(i) the date on which the agency originally received the 

request; and

(ii) an estimated date on which the agency will complete 

action on the request.10

(b) This section does not apply to matters that are–

––––––––

10 Amended by P.L. 110–175, § 7(a), 121 Stat. 2524 (2007), which became effective 

December 31, 2008.
Administrative Procedures (5 U.S.C. 551–559) 599

(1)(A) specifically authorized under criteria established by an 

Executive order to be kept secret in the interest of national defense or 

foreign policy and (B) are in fact properly classified pursuant to such 

Executive Order;

(2) related solely to the internal personnel rules and practices of an 

agency;

(3)11 specifically exempted from disclosure by statute (other than 

section 552b of this title), if that statute—

 (A) (i) requires that the matters be withheld from the public in 

such a manner as to leave no discretion on the issue; or

 (ii) establishes particular criteria for withholding or refers to 

particular types of matters to be withheld; and

 (B) if enacted after the date of enactment of the OPEN FOIA 

Act of 2009 [enacted Oct. 28, 2009], specifically cites to this paragraph.

(4) trade secrets and commercial or financial information obtained 

from a person and privileged or confidential;

(5) inter–agency or intra–agency memorandums or letters which 

would not be available by law to a party other than an agency in litigation 

with the agency;

(6) personnel and medical files and similar files the disclosure of 

which would constitute a clearly unwarranted invasion of personal 

privacy;

(7) records or information compiled for law enforcement purposes, 

but only to the extent that the production of such law enforcement 

records or information (A) could reasonably be expected to interfere with 

enforcement proceedings, (B) would deprive a person of a right to a fair 

trial or an impartial adjudication, (C) could reasonably be expected to 

constitute an unwarranted invasion of personal privacy, (D) could 

reasonably be expected to disclose the identity of a confidential source, 

including a State, local, or foreign agency or authority or any private 

institution which furnished information on a confidential basis, and, in a 

case of a record or information compiled by criminal law enforcement 

authority in the course of a criminal investigation or by an agency 

conducting a lawful national security intelligence investigation, 

information furnished by a confidential source, (E) would disclose 

techniques and procedures for law enforcement investigations or 

prosecutions, or would disclose guidelines for law enforcement 

investigations or prosecutions if such disclosure could reasonably be 

expected to risk circumvention of the law, or (F) could reasonably be 

expected to endanger the life or physical safety of any individual;

(8) contained in or related to examination, operating, or condition 

reports prepared by, on behalf of, or for the use of an agency responsible 

for the regulation or supervision of financial institutions; or

(9) geological and geophysical information and data, including maps, 

concerning wells. 

Any reasonably segregable portion of a record shall be provided 

to any person requesting such record after deletion of the portions which 

are exempt under this subsection. The amount of information deleted, 

and the exemption under which the deletion is made, shall be indicated 

on the released portion of the record, unless including that indication 

would harm an interest protected by the exemption in this subsection 

under which the deletion is made. If technically feasible, the amount of 

the information deleted, and the exemption under which the deletion is 

––––––––

11 Amended by P.L. 111–83, Title V, § 564(b), 123 Stat. 2184 (2009).
600 Administrative Procedures—5 U.S.C. 551–559

made,12 shall be indicated at the place in the record where such deletion 

is made.

(c)(1) Whenever a request is made which involves access to records 

described in subsection (b)(7)(A) and–

(A) the investigation or proceeding involves a possible 

violation of criminal law; and

(B) there is reason to believe that (i) the subject of the 

investigation or proceeding is not aware of its pendency, and (ii) 

disclosure of the existence of the records could reasonably be 

expected to interfere with enforcement proceedings, the agency may, 

during only such time as that circumstance continues, treat the 

records as not subject to the requirements of this section.

(2) Whenever informant records maintained by a criminal law 

enforcement agency under an informant’s name or personal identifier 

are requested by a third party according to the informant’s name or 

personal identifier, the agency may treat the records as not subject to 

the requirements of this section unless the informant’s status as an 

informant has been officially confirmed.

(3) Whenever a request is made which involves access to records 

maintained by the Federal Bureau of Investigation pertaining to 

foreign intelligence or counterintelligence, or international terrorism, 

and the existence of the records is classified information as provided 

in subsection (b)(1), the Bureau may, as long as the existence of the 

records remains classified information, treat the records as not subject 

to the requirements of this section.

(d) This section does not authorize withholding of information or limit 

the availability of records to the public, except as specifically stated in 

this section. This section is not authority to withhold information from 

Congress.

(e)(1) On or before February 1 of each year, each agency shall submit to 

the Attorney General of the United States a report which shall cover the 

preceding fiscal year and which shall include–

(A) the number of determinations made by the agency not to 

comply with requests for records made to such agency under 

subsection (a) and the reasons for each such determination;

(B)(i) the number of appeals made by persons under 

subsection (a)(6), the result of such appeals, and the reason for the 

action upon each appeal that results in a denial of information; and

(ii) a complete list of all statutes that the agency relies 

upon to authorize the agency to withhold information under 

subsection (b)(3), the number of occasions on which each 

statute was relied upon,13 a description of whether a court has 

upheld the decision of the agency to withhold information under 

each such statute, and a concise description of the scope of any 

information withheld;

(C) the number of requests for records pending before the 

agency as of September 30 of the preceding year, and the median 

and average14 number of days that such requests had been pending 

before the agency as of that date;

(D) the number of requests for records received by the 

agency and the number of requests which the agency processed;

––––––––

12 Amended by P.L. 110–175, § 12 , 121 Stat. 2524 (2007). 13 Amended by P.L. 110–175, § 8(a)(1), 121 Stat. 2524 (2007). 14 Amended by P.L. 110–175, § 8(a)(2), 121 Stat. 2524 (2007).
Administrative Procedures (5 U.S.C. 551–559) 601

(E) the median number of days taken by the agency to process 

different types of requests, based on the date on which the requests 

were received by the agency;

15

(F) the average number of days for the agency to respond to a 

request beginning on the date on which the request was received by 

the agency, the median number of days for the agency to respond to 

such requests, and the range in number of days for the agency to 

respond to such requests; 

(G) based on the number of business days that have elapsed 

since each request was originally received by the agency—

(i) the number of requests for records to which the agency 

has responded with a determination within a period up to and 

including 20 days, and in 20–day increments up to and including 

200 days; 

(ii) the number of requests for records to which the agency 

has responded with a determination within a period greater than 

200 days and less than 301 days; 

(iii) the number of requests for records to which the 

agency has responded with a determination within a period 

greater than 300 days and less than 401 days; and 

(iv) the number of requests for records to which the 

agency has responded with a determination within a period

greater than 400 days; 

(H) the average number of days for the agency to provide the 

granted information beginning on the date on which the request was 

originally filed, the median number of days for the agency to provide 

the granted information, and the range in number of days for the 

agency to provide the granted information; 

(I) the median and average number of days for the agency to 

respond to administrative appeals based on the date on which the 

appeals originally were received by the agency, the highest number 

of business days taken by the agency to respond to an administrative 

appeal, and the lowest number of business days taken by the agency 

to respond to an administrative appeal; 

(J) data on the 10 active requests with the earliest filing dates 

pending at each agency, including the amount of time that has 

elapsed since each request was originally received by the agency; 

(K) data on the 10 active administrative appeals with the 

earliest filing dates pending before the agency as of September 30 of 

the preceding year, including the number of business days that have 

elapsed since the requests were originally received by the agency; 

(L) the number of expedited review requests that are granted 

and denied, the average and median number of days for adjudicating 

expedited review requests, and the number adjudicated within the 

required 10 days; 

(M) the number of fee waiver requests that are granted and 

denied, and the average and median number of days for adjudicating 

fee waiver determinations;16

(N) the total amount of fees collected by the agency for 

processing requests; and

––––––––

15 Amended by P.L. 110–175, § 8(a)(3), 121 Stat. 2524 (2007). 16 Amended by P.L. 110–175, § 8(a), 121 Stat. 2524 (2007).
602 Administrative Procedures—5 U.S.C. 551–559

(O) the number of full–time staff of the agency devoted to 

processing requests for records under this section, and the total 

amount expended by the agency for processing such requests.

(2) Information in each report submitted under paragraph (1) shall 

be expressed in terms of each principal component of the agency and 

for the agency overall.17

(3) Each agency shall make each such report available to the 

public including by computer telecommunications, or if computer 

telecommunications means have not been established by the agency, 

by other electronic means. In addition, each agency shall make the 

raw statistical data used in its reports available electronically to the 

public upon request.18

(4) The Attorney General of the United States shall make each 

report which has been made available by electronic means available at 

a single electronic access point. The Attorney General of the United 

States shall notify the Chairman and ranking minority member of the 

Committee on Government Reform and Oversight of the House of 

Representatives and the Chairman and ranking minority member of 

the Committees on Governmental Affairs and the Judiciary of the 

Senate, no later than April 1 of the year in which each such report is 

issued, that such reports are available by electronic means.

(5) The Attorney General of the United States, in consultation 

with the Director of the Office of Management and Budget, shall 

develop reporting and performance guidelines in connection with 

reports required by this subsection by October 1, 1997, and may 

establish additional requirements for such reports as the Attorney 

General determines may be useful.

(6) The Attorney General of the United States shall submit an 

annual report on or before April 1 of each calendar year which shall 

include for the prior calendar year a listing of the number of cases

arising under this section, the exemption involved in each case, the 

disposition of such case, and the cost, fees, and penalties assessed 

under subparagraphs (E), (F), and (G) of subsection (a)(4). Such 

report shall also include a description of the efforts undertaken by the 

Department of Justice to encourage agency compliance with this 

section.

(f) For purposes of this section, the term–

(1) “agency” as defined in section 551(1) of this title includes 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; and

(2) ‘record’ and any other term used in this section in reference to 

information includes—

(A) any information that would be an agency record subject to 

the requirements of this section when maintained by an agency in 

any format, including an electronic format; and 

(B) any information described under subparagraph (A) that is 

maintained for an agency by an entity under Government contract, 

for the purposes of records management.19 (2) “record” and any 

other term used in this section in reference to information includes 

any information that would be an agency record subject to the 

––––––––

17 Amended by P.L. 110–175, § 8(b), 121 Stat. 2524 (2007). 18 Amended by P.L. 110–175, § 8(c), 121 Stat. 2524 (2007). 19 Amended by P.L. 110–175, § 9, 121 Stat. 2524 (2007).
Administrative Procedures (5 U.S.C. 551–559) 603

requirements of this section when maintained by an agency in any 

format, including an electronic format.

(g) The head of each agency shall prepare and make publicly available 

upon request, reference material or a guide for requesting records or 

information from the agency, subject to the exemptions in subsection (b), 

including–

(1) an index of all major information systems of the agency;

(2) a description of major information and record locator systems 

maintained by the agency; and

(3) a handbook for obtaining various types and categories of 

public information from the agency pursuant to chapter 35 of title 44, 

and under this section.20

(h)(1) There is established the Office of Government Information 

Services within the National Archives and Records Administration. 

(2) The Office of Government Information Services shall—

(A) review policies and procedures of administrative 

agencies under this section; 

(B) review compliance with this section by administrative 

agencies; and 

(C) recommend policy changes to Congress and the 

President to improve the administration of this section. 

(3) The Office of Government Information Services shall offer 

mediation services to resolve disputes between persons making 

requests under this section and administrative agencies as a 

nonexclusive alternative to litigation and, at the discretion of the 

Office, may issue advisory opinions if mediation has not resolved the 

dispute. 

(i) The Government Accountability Office shall conduct audits of 

administrative agencies on the implementation of this section and issue 

reports detailing the results of such audits. 

(j) Each agency shall designate a Chief FOIA officer who shall be a 

senior official of such agency (at the Assistant Secretary or equivalent 

level). 

(k) The Chief FOIA officer of each agency shall, subject to the authority 

of the head of the agency—

(1) have agency–wide responsibility for efficient and 

appropriate compliance with this section; 

(2) monitor implementation of this section throughout the 

agency and keep the head of the agency, the chief legal officer of the 

agency, and the Attorney General appropriately informed of the 

agency’s performance in implementing this section; 

(3) recommend to the head of the agency such adjustments to 

agency practices, policies, personnel, and funding as may be 

necessary to improve its implementation of this section; 

(4) review and report to the Attorney General, through the 

head of the agency, at such times and in such formats as the Attorney 

General may direct, on the agency’s performance in implementing 

this section; 

(5) facilitate public understanding of the purposes of the 

statutory exemptions of this section by including concise descriptions 

of the exemptions in both the agency’s handbook issued under 

subsection (g), and the agency’s annual report on this section, and by 

––––––––

20 Amended, P.L. 104–231, §§ 3–11, 110 Stat. 3049 to3054 (1996).
604 Administrative Procedures—5 U.S.C. 551–559

providing an overview, where appropriate, of certain general 

categories of agency records to which those exemptions apply; and 

(6) designate one or more FOIA Public Liaisons. 

(l) FOIA Public Liaisons shall report to the agency Chief FOIA officer 

and shall serve as supervisory officials to whom a requester under this 

section can raise concerns about the service the requester has received 

from the FOIA Requester Center, following an initial response from the 

FOIA Requester Center Staff. FOIA Public Liaisons shall be responsible 

for assisting in reducing delays, increasing transparency and 

understanding of the status of requests, and assisting in the resolution of 

disputes.21

Sec. 552a. Records Maintained on Individuals

(a) Definitions. For purposes of this section––

 (1) the term “agency” means agency as defined in section 552[(f)](e) of 

this title;

 (2) the term “individual” means a citizen of the United States or an 

alien lawfully admitted for permanent residence;

 (3) the term “maintain” includes maintain, collect, use, or disseminate;

 (4) the term “record” means any item, collection, or grouping of 

information about an individual that is maintained by an agency, 

including, but not limited to, his education, financial transactions, 

medical history, and criminal or employment history and that contains 

his name, or the identifying number, symbol, or other identifying 

particular assigned to the individual, such as a finger or voice print or a 

photograph;

 (5) the term “system of records” means a group of any records under 

the control of any agency from which information is retrieved by the 

name of the individual or by some identifying number, symbol, or other 

identifying particular assigned to the individual;

 (6) the term “statistical record” means a record in a system of records 

maintained for statistical research or reporting purposes only and not 

used in whole or in part in making any determination about an 

identifiable individual, except as provided by section 8 of title 13;

 (7) the term “routine use” means, with respect to the disclosure of a 

record, the use of such record for a purpose which is compatible with the 

purpose for which it was collected; and

 (8) the term “matching program”––

 (A) means any computerized comparison of––

 (i) two or more automated systems of records or a system of 

records with non–Federal records for the purpose of––

 (I) establishing or verifying the eligibility of, or continuing 

compliance with statutory and regulatory requirements by, applicants for, 

recipients or beneficiaries of, participants in, or providers of services 

with respect to, cash or in–kind assistance or payments under Federal 

benefit programs, or

 (II) recouping payments or delinquent debts under such Federal 

benefit programs, or

 (ii) two or more automated Federal personnel or payroll systems of 

records or a system of Federal personnel or payroll records with non–

Federal records,

 (B) but does not include––

 (i) matches performed to produce aggregate statistical data without 

any personal identifiers;

––––––––

21 Amended by P.L. 110–175, § 10(a), 121 Stat. 2524 (2007).

5 USC 552a.
Administrative Procedures (5 U.S.C. 551–559) 605

 (ii) matches performed to support any research or statistical project, 

the specific data of which may not be used to make decisions concerning 

the rights, benefits, or privileges of specific individuals;

 (iii) matches performed, by an agency (or component thereof) 

which performs as its principal function any activity pertaining to the 

enforcement of criminal laws, subsequent to the initiation of a specific 

criminal or civil law enforcement investigation of a named person or 

persons for the purpose of gathering evidence against such person or 

persons;

 (iv) matches of tax information (I) pursuant to section 6103(d) of 

the Internal Revenue Code of 1986 [26 USCS § 6103(d)], (II) for 

purposes of tax administration as defined in section 6103(b)(4) of such 

Code [26 USCS § 6103(b)(4)], (III) for the purpose of intercepting a tax 

refund due an individual under authority granted by section 404(e), 464, 

or 1137 of the Social Security Act [42 USCS § 604(e), 664, or 1337]; or 

(IV) for the purpose of intercepting a tax refund due an individual under 

any other tax refund intercept program authorized by statute which has 

been determined by the Director of the Office of Management and 

Budget to contain verification, notice, and hearing requirements that are 

substantially similar to the procedures in section 1137 of the Social 

Security Act [42 USCS § 1320b–7];

 (v) matches––

 (I) using records predominantly relating to Federal personnel, that 

are performed for routine administrative purposes (subject to guidance 

provided by the Director of the Office of Management and Budget 

pursuant to subsection (v)); or

 (II) conducted by an agency using only records from systems of 

records maintained by that agency;

 if the purpose of the match is not to take any adverse financial, 

personnel, disciplinary, or other adverse action against Federal personnel;

 (vi) matches performed for foreign counterintelligence purposes or 

to produce background checks for security clearances of Federal 

personnel or Federal contractor personnel;

 (vii) matches performed incident to a levy described in section 

6103(k)(8) of the Internal Revenue Code of 1986 [26 USCS § 

6103(k)(8)];

 (viii) matches performed pursuant to section 202(x)(3) or 

1611(e)(1) of the Social Security Act (42 U.S.C. 402(x)(3), 1382(e)(1)); 

or

 (ix) matches performed by the Secretary of Health and Human 

Services or the Inspector General of the Department of Health and 

Human Services with respect to potential fraud, waste, and abuse, 

including matches of a system of records with non–Federal records;

 (9) the term “recipient agency” means any agency, or contractor 

thereof, receiving records contained in a system of records from a source 

agency for use in a matching program;

 (10) the term “non–Federal agency” means any State or local 

government, or agency thereof, which receives records contained in a 

system of records from a source agency for use in a matching program;

 (11) the term “source agency” means any agency which discloses 

records contained in a system of records to be used in a matching 

program, or any State or local government, or agency thereof, which 

discloses records to be used in a matching program;

 (12) the term “Federal benefit program” means any program 

administered or funded by the Federal Government, or by any agent or 
606 Administrative Procedures—5 U.S.C. 551–559

State on behalf of the Federal Government, providing cash or in–kind 

assistance in the form of payments, grants, loans, or loan guarantees to 

individuals; and

 (13) the term “Federal personnel” means officers and employees of the 

Government of the United States, members of the uniformed services 

(including members of the Reserve Components), individuals entitled to 

receive immediate or deferred retirement benefits under any retirement 

program of the Government of the United States (including survivor 

benefits).

(b) Conditions of disclosure. No agency shall disclose any record which 

is contained in a system of records by any means of communication to 

any person, or to another agency, except pursuant to a written request by, 

or with the prior written consent of, the individual to whom the record 

pertains, unless disclosure of the record would be––

 (1) to those officers and employees of the agency which maintains the 

record who have a need for the record in the performance of their duties;

 (2) required under section 552 of this title [5 USCS § 552];

 (3) for a routine use as defined in subsection (a)(7) of this section and 

described under subsection (e)(4)(D) of this section;

 (4) to the Bureau of the Census for purposes of planning or carrying out 

a census or survey or related activity pursuant to the provisions of title 

13;

 (5) to a recipient who has provided the agency with advance adequate 

written assurance that the record will be used solely as a statistical 

research or reporting record, and the record is to be transferred in a form 

that is not individually identifiable;

 (6) to the National Archives and Records Administration as a record 

which has sufficient historical or other value to warrant its continued 

preservation by the United States Government, or for evaluation by the 

Archivist of the United States or the designee of the Archivist to 

determine whether the record has such value;

 (7) to another agency or to an instrumentality of any governmental 

jurisdiction within or under the control of the United States for a civil or 

criminal law enforcement activity if the activity is authorized by law, and 

if the head of the agency or instrumentality has made a written request to 

the agency which maintains the record specifying the particular portion 

desired and the law enforcement activity for which the record is sought;

 (8) to a person pursuant to a showing of compelling circumstances 

affecting the health or safety of an individual if upon such disclosure 

notification is transmitted to the last known address of such individual;

 (9) to either House of Congress, or, to the extent of matter within its 

jurisdiction, any committee or subcommittee thereof, any joint committee 

of Congress or subcommittee of any such joint committee;

 (10) to the Comptroller General, or any of his authorized 

representatives, in the course of the performance of the duties of the 

General Accounting Office [Government Accountability Office];

 (11) pursuant to the order of a court of competent jurisdiction; or

 (12) to a consumer reporting agency in accordance with section 3711(e) 

of title 31.

(c) Accounting of certain disclosures. Each agency, with respect to each 

system of records under its control, shall––

 (1) except for disclosures made under subsections (b)(1) or (b)(2) of 

this section, keep an accurate accounting of––
Administrative Procedures (5 U.S.C. 551–559) 607

 (A) the date, nature, and purpose of each disclosure of a record to any 

person or to another agency made under subsection (b) of this section; 

and

 (B) the name and address of the person or agency to whom the 

disclosure is made;

 (2) retain the accounting made under paragraph (1) of this subsection 

for at least five years or the life of the record, whichever is longer, after 

the disclosure for which the accounting is made;

 (3) except for disclosures made under subsection (b)(7) of this section, 

make the accounting made under paragraph (1) of this subsection 

available to the individual named in the record at his request; and

 (4) inform any person or other agency about any correction or notation 

of dispute made by the agency in accordance with subsection (d) of this 

section of any record that has been disclosed to the person or agency if an 

accounting of the disclosure was made.

(d) Access to records. Each agency that maintains a system of records 

shall––

 (1) upon request by any individual to gain access to his record or to any 

information pertaining to him which is contained in the system, permit 

him and upon his request, a person of his own choosing to accompany 

him, to review the record and have a copy made of all or any portion 

thereof in a form comprehensible to him, except that the agency may 

require the individual to furnish a written statement authorizing 

discussion of that individual's record in the accompanying person's 

presence;

 (2) permit the individual to request amendment of a record pertaining 

to him and––

 (A) not later than 10 days (excluding Saturdays, Sundays, and legal 

public holidays) after the date of receipt of such request, acknowledge in 

writing such receipt; and

 (B) promptly, either––

 (i) make any correction of any portion thereof which the individual 

believes is not accurate, relevant, timely, or complete; or

 (ii) inform the individual of its refusal to amend the record in 

accordance with his request, the reason for the refusal, the procedures 

established by the agency for the individual to request a review of that 

refusal by the head of the agency or an officer designated by the head of 

the agency, and the name and business address of that official;

 (3) permit the individual who disagrees with the refusal of the agency 

to amend his record to request a review of such refusal, and not later than 

30 days (excluding Saturdays, Sundays, and legal public holidays) from 

the date on which the individual requests such review, complete such 

review and make a final determination unless, for good cause shown, the 

head of the agency extends such 30–day period; and if, after his review, 

the reviewing official also refuses to amend the record in accordance 

with the request, permit the individual to file with the agency a concise 

statement setting forth the reasons for his disagreement with the refusal 

of the agency, and notify the individual of the provisions for judicial 

review of the reviewing official's determination under subsection 

(g)(1)(A) of this section;

 (4) in any disclosure, containing information about which the 

individual has filed a statement of disagreement, occurring after the filing 

of the statement under paragraph (3) of this subsection, clearly note any 

portion of the record which is disputed and provide copies of the 

statement and, if the agency deems it appropriate, copies of a concise 
608 Administrative Procedures—5 U.S.C. 551–559

statement of the reasons of the agency for not making the amendments 

requested, to persons or other agencies to whom the disputed record has 

been disclosed; and

 (5) nothing in this section shall allow an individual access to any 

information compiled in reasonable anticipation of a civil action or 

proceeding.

(e) Agency requirements. Each agency that maintains a system of records 

shall––

 (1) maintain in its records only such information about an individual as 

is relevant and necessary to accomplish a purpose of the agency required 

to be accomplished by statute or by executive order of the President;

 (2) collect information to the greatest extent practicable directly from 

the subject individual when the information may result in adverse 

determinations about an individual's rights, benefits, and privileges under 

Federal programs;

 (3) inform each individual whom it asks to supply information, on the 

form which it uses to collect the information or on a separate form that 

can be retained by the individual––

 (A) the authority (whether granted by statute, or by executive order of 

the President) which authorizes the solicitation of the information and 

whether disclosure of such information is mandatory or voluntary;

 (B) the principal purpose or purposes for which the information is 

intended to be used;

 (C) the routine uses which may be made of the information, as 

published pursuant to paragraph (4)(D) of this subsection; and

 (D) the effects on him, if any, of not providing all or any party of the 

requested information;

 (4) subject to the provisions of paragraph (11) of this subsection, 

publish in the Federal Register upon establishment or revision a notice of 

the existence and character of the system of records, which notice shall 

include––

 (A) the name and location of the system;

 (B) the categories of individuals on whom records are maintained in 

the system;

 (C) the categories of records maintained in the system;

 (D) each routine use of the records contained in the system, including 

the categories of users and the purpose of such use;

 (E) the policies and practices of the agency regarding storage, 

retrievability, access controls, retention, and disposal of the records;

 (F) the title and business address of the agency official who is 

responsible for the system of records;

 (G) the agency procedures whereby an individual can be notified at 

his request if the system of records contains a record pertaining to him;

 (H) the agency procedures whereby an individual can be notified at 

his request how he can gain access to any record pertaining to him 

contained in the system of records, and how he can contest its content; 

and

 (I) the categories of sources or records in the system;

 (5) maintain all records which are used by the agency in making any 

determination about any individual with such accuracy, relevance, 

timeliness, and completeness as is reasonably necessary to assure fairness 

to the individual in the determination;

 (6) prior to disseminating any record about an individual to any person 

other than an agency, unless the dissemination is made pursuant to 

subsection (b)(2) of this section, make reasonable efforts to assure that 
Administrative Procedures (5 U.S.C. 551–559) 609

such records are accurate, complete, timely, and relevant for agency 

purposes;

 (7) maintain no record describing how any individual exercises rights 

guaranteed by the First Amendment unless expressly authorized by 

statute or by the individual about whom the record is maintained or 

unless pertinent to and within the scope of an authorized law enforcement 

activity;

 (8) make reasonable efforts to serve notice on an individual when any 

record on such individual is made available to any person under 

compulsory legal process when such process becomes a matter of public 

record;

 (9) establish rules of conduct for persons involved in the design, 

development, operation, or maintenance of any system of records, or in 

maintaining any record, and instruct each such person with respect to 

such rules and the requirements of this section, including any other rules 

and procedures adopted pursuant to this section and the penalties for 

noncompliance;

 (10) establish appropriate administrative, technical, and physical 

safeguards to insure the security and confidentiality of records and to 

protect against any anticipated threats or hazards to their security or 

integrity which could result in substantial harm, embarrassment, 

inconvenience, or unfairness to any individual on whom information is 

maintained;

 (11) at least 30 days prior to publication of information under 

paragraph (4)(D) of this subsection, publish in the Federal Register 

notice of any new use or intended use of the information in the system, 

and provide an opportunity for interested persons to submit written data,

views, or arguments to the agency; and

 (12) [Caution: For effective date, see 1988 Amendment note] if such 

agency is a recipient agency or a source agency in a matching program 

with a non–Federal agency, with respect to any establishment or revision 

of a matching program, at least 30 days prior to conducting such 

program, publish in the Federal Register notice of such establishment or 

revision.

(f) Agency Rules. In order to carry out the provisions of this section, each 

agency that maintains a system of records shall promulgate rules, in 

accordance with the requirements (including general notice) of section 

553 of this title [5 USCS § 553], which shall––

 (1) establish procedures whereby an individual can be notified in 

response to his request if any system of records named by the individual 

contains a record pertaining to him;

 (2) define reasonable times, places, and requirements for identifying an 

individual who requests his record or information pertaining to him 

before the agency shall make the record or information available to the 

individual;

 (3) establish procedures for the disclosure to an individual upon his 

request of his record or information pertaining to him, including special 

procedure, if deemed necessary, for the disclosure to an individual of 

medical records, including psychological records, pertaining to him;

 (4) establish procedures for reviewing a request from an individual 

concerning the amendment of any record or information pertaining to the 

individual, for making a determination on the request, for an appeal 

within the agency of an initial adverse agency determination, and for 

whatever additional means may be necessary for each individual to be 

able to exercise fully his rights under this section; and
610 Administrative Procedures—5 U.S.C. 551–559

 (5) establish fees to be charged, if any, to any individual for making 

copies of his record, excluding the cost of any search for and review of 

the record.

The Office of the Federal Register shall biennially compile and 

publish the rules promulgated under this subsection and agency notices 

published under subsection (e)(4) of this section in a form available to 

the public at low cost.

(g) Civil remedies.

 (1) Whenever any agency––

 (A) makes a determination under subsection (d)(3) of this section not 

to amend an individual's record in accordance with his request, or fails to 

make such review in conformity with that subsection;

 (B) refuses to comply with an individual request under subsection 

(d)(1) of this section;

 (C) fails to maintain any record concerning any individual with such 

accuracy, relevance, timeliness, and completeness as is necessary to 

assure fairness in any determination relating to the qualifications, 

character, rights, or opportunities of, or benefits to the individual that 

may be made on the basis of such record, and consequently a 

determination is made which is adverse to the individual; or

 (D) fails to comply with any other provision of this section, or any 

rule promulgated thereunder, in such a way as to have an adverse effect 

on an individual,

 the individual may bring a civil action against the agency, and the 

district courts of the United States shall have jurisdiction in the matters 

under the provisions of this subsection.

 (2) (A) In any suit brought under the provisions of subsection (g)(1)(A) 

of this section, the court may order the agency to amend the individual's 

record in accordance with his request or in such other way as the court 

may direct. In such a case the court shall determine the matter de novo.

 (B) The court may assess against the United States reasonable 

attorney fees and other litigation costs reasonably incurred in any case 

under this paragraph in which the complainant has substantially 

prevailed.

 (3) (A) In any suit brought under the provisions of subsection (g)(1)(B) 

of this section, the court may enjoin the agency from withholding the 

records and order the production to the complainant of any agency 

records improperly withheld from him. In such a case the court shall 

determine the matter de novo, and may examine the contents of any 

agency records in camera to determine whether the records or any portion 

thereof may be withheld under any of the exemptions set forth in 

subsection (k) of this section, and the burden is on the agency to sustain 

its action.

 (B) The court may assess against the United States reasonable 

attorney fees and other litigation costs reasonably incurred in any case 

under this paragraph in which the complainant has substantially 

prevailed.

 (4) In any suit brought under the provisions of subsection (g)(1)(C) or 

(D) of this section in which the court determines that the agency acted in 

a manner which was intentional or willful, the United States shall be 

liable to the individual in an amount equal to the sum of––

 (A) actual damages sustained by the individual as a result of the 

refusal or failure, but in no case shall a person entitled to recovery 

receive less than the sum of $ 1,000; and
Administrative Procedures (5 U.S.C. 551–559) 611

 (B) the costs of the action together with reasonable attorney fees as 

determined by the court.

 (5) An action to enforce any liability created under this section may be 

brought in the district court of the United States in the district in which 

the complainant resides, or has his principal place of business, or in 

which the agency records are situated, or in the District of Columbia, 

without regard to the amount in controversy, within two years from the 

date on which the cause of action arises, except that where an agency has 

materially and willfully misrepresented any information required under 

this section to be disclosed to an individual and the information so 

misrepresented is material to establishment of the liability of the agency 

to the individual under this section, the action may be brought at any time 

within two years after discovery by the individual of the 

misrepresentation. Nothing in this section shall be construed to authorize 

any civil action by reason of any injury sustained as the result of a 

disclosure of a record prior to September 27, 1975.

(h) Rights of legal guardians. For the purposes of this section, the parent 

of any minor, or the legal guardian of any individual who has been 

declared to be incompetent due to physical or mental incapacity or age by 

a court of competent jurisdiction, may act on behalf of the individual.

(i) Criminal penalties.

 (1) Any officer or employee of an agency, who by virtue of his 

employment or official position, has possession of, or access to, agency 

records which contain individually identifiable information the disclosure 

of which is prohibited by this section or by rules or regulations 

established thereunder, and who knowing that disclosure of the specific 

material is so prohibited, willfully discloses the material in any manner to 

any person or agency not entitled to receive it, shall be guilty of a 

misdemeanor and fined not more than $ 5,000.

 (2) Any officer or employee of any agency who willfully maintains a 

system of records without meeting the notice requirements of subsection 

(e)(4) of this section shall be guilty of a misdemeanor and fined not more 

than $ 5,000.

 (3) Any person who knowingly and willfully requests or obtains any 

record concerning an individual from an agency under false pretenses 

shall be guilty of a misdemeanor and fined not more than $ 5,000.

(j) General exemptions. The head of any agency may promulgate rules, in 

accordance with the requirements (including general notice) of sections 

553(b)(1), (2), and (3), (c), and (e) of this title [5 USCS §§ 553(b)(1), (2), 

and (3), (c), and (e)], to exempt any system of records within the agency 

from any part of this section except subsections (b), (c)(1) and (2), 

(e)(4)(A) through (F), (e)(6), (7), (9), (10), and (11), and (i) if the system 

of records is––

 (1) maintained by the Central Intelligence Agency; or

 (2) maintained by an agency or component thereof which performs as 

its principal function any activity pertaining to the enforcement of 

criminal laws, including police efforts to prevent, control, or reduce 

crime or to apprehend criminals, and the activities of prosecutors, courts, 

correctional, probation, pardon, or parole authorities, and which consists 

of (A) information compiled for the purpose of identifying individual 

criminal offenders and alleged offenders and consisting only of 

identifying data and notations of arrests, the nature and disposition of 

criminal charges, sentencing, confinement, release, and parole and 

probation status; (B) information compiled for the purpose of a criminal 

investigation, including reports of informants and investigators, and 
612 Administrative Procedures—5 U.S.C. 551–559

associated with an identifiable individual; or (C) reports identifiable to an 

individual compiled at any stage of the process of enforcement of the 

criminal laws from arrest or indictment through release from supervision.

At the time rules are adopted under this subsection, the agency shall 

include in the statement required under section 553(c) of this title [5 

USCS § 553(c)], the reasons why the system of records is to be exempted 

from a provision of this section.

(k) Specific exemptions. The head of any agency may promulgate rules, 

in accordance with the requirements (including general notice) of 

sections 553(b)(1), (2), and (3), (c), and (e) of this title [5 USCS §§ 

553(b)(1), (2), and (3), (c), and (e)], to exempt any system of records 

within the agency from subsections (c)(3), (d), (e)(1), (e)(4)(G), (H), and 

(I) and (f) of this section if the system of records is––

 (1) subject to provisions of section 552(b)(1) of this title [5 USCS § 

552(b)(1)];

 (2) investigatory material compiled for law enforcement purposes, 

other than material within the scope of subsection (j)(2) of this section: 

Provided, however, That if any individual is denied any right, privilege, 

or benefit that he would otherwise be entitled by Federal law, or for 

which he would otherwise be eligible, as a result of the maintenance of 

such material, such material shall be provided to such individual, except 

to the extent that the disclosure of such material would reveal the identity 

of a source who furnished information to the Government under an 

express promise that the identity of the source would be held in 

confidence, or, prior to the effective date of this section, under an implied 

promise that the identity of the source would be held in confidence;

 (3) maintained in connection with providing protective services to the 

President of the United States or other individuals pursuant to section 

3056 of title 18;

 (4) required by statute to be maintained and used solely as statistical 

records;

 (5) investigatory material compiled solely for the purpose of 

determining suitability, eligibility, or qualifications for Federal civilian 

employment, military service, Federal contracts, or access to classified 

information, but only to the extent that the disclosure of such material 

would reveal the identity of a source who furnished information to the 

Government under an express promise that the identity of the source 

would be held in confidence, or, prior to the effective date of this section, 

under an implied promise that the identity of the source would be held in 

confidence;

 (6) testing or examination material used solely to determine individual 

qualifications for appointment or promotion in the Federal service the 

disclosure of which would compromise the objectivity or fairness of the 

testing or examination process; or

 (7) evaluation material used to determine potential for promotion in the 

armed services, but only to the extent that the disclosure of such material 

would reveal the identity of a source who furnished information to the 

Government under an express promise that the identity of the source 

would be held in confidence, or, prior to the effective date of this section, 

under an implied promise that the identity of the source would be held in 

confidence.

At the time rules are adopted under this subsection, the agency shall 

include in the statement required under section 553(c) of this title [5 

USCS § 553(c)], the reasons why the system of records is to be exempted 

from a provision of this section.
Administrative Procedures (5 U.S.C. 551–559) 613

(l) Archival records.

 (1) Each agency record which is accepted by the Archivist of the 

United States for storage, processing, and servicing in accordance with 

section 3103 of title 44 shall, for the purposes of this section, be 

considered to be maintained by the agency which deposited the record 

and shall be subject to the provisions of this section. The Archivist of the 

United States shall not disclose the record except to the agency which 

maintains the record, or under rules established by that agency which are 

not inconsistent with the provisions of this section.

 (2) Each agency record pertaining to an identifiable individual which 

was transferred to the National Archives of the United States as a record 

which has sufficient historical or other value to warrant its continued 

preservation by the United States Government, prior to the effective date 

of this section, shall, for the purposes of this section, be considered to be 

maintained by the National Archives and shall not be subject to the 

provisions of this section, except that a statement generally describing 

such records (modeled after the requirements relating to records subject 

to subsections (e)(4)(A) through (G) of this section) shall be published in 

the Federal Register.

 (3) Each agency record pertaining to an identifiable individual which is 

transferred to the National Archives of the United States as a record 

which has sufficient historical or other value to warrant its continued 

preservation by the United States Government, on or after the effective 

date of this section [effective 270 days following Dec. 31, 1974], shall, 

for the purposes of this section, be considered to be maintained by the 

National Archives and shall be exempt from the requirements of this 

section except subsections (e)(4)(A) through (G) and (e)(9) of this 

section.

(m) Government contractors.

 (1) When an agency provides by a contract for the operation by or on 

behalf of the agency of a system of records to accomplish an agency 

function, the agency shall, consistent with its authority, cause the 

requirements of this section to be applied to such system. For purposes of 

subsection (i) of this section any such contractor and any employee of 

such contractor, if such contract is agreed to on or after the effective date 

of this section, shall be considered to be an employee of an agency.

 (2) A consumer reporting agency to which a record is disclosed under 

section 3711(e) of title 31 shall not be considered a contractor for the 

purposes of this section.

(n) Mailing lists. An individual's name and address may not be sold or 

rented by an agency unless such action is specifically authorized by law. 

This provision shall not be construed to require the withholding of names 

and addresses otherwise permitted to be made public.

(o) Matching agreements.

 (1) No record which is contained in a system of records may be 

disclosed to a recipient agency or non–Federal agency for use in a 

computer matching program except pursuant to a written agreement 

between the source agency and the recipient agency or non–Federal 

agency specifying––

 (A) the purpose and legal authority for conducting the program;

 (B) the justification for the program and the anticipated results, 

including a specific estimate of any savings;

 (C) a description of the records that will be matched, including each 

data element that will be used, the approximate number of records that 
614 Administrative Procedures—5 U.S.C. 551–559

will be matched, and the projected starting and completion dates of the 

matching program;

 (D) procedures for providing individualized notice at the time of 

application, and notice periodically thereafter as directed by the Data 

Integrity Board of such agency (subject to guidance provided by the 

Director of the Office of Management and Budget pursuant to subsection 

(v)), to––

 (i) applicants for and recipients of financial assistance or payments 

under Federal benefit programs, and

 (ii) applicants for and holders of positions as Federal personnel, that 

any information provided by such applicants, recipients, holders and 

individuals may be subject to verification through matching programs;

 (E) procedures for verifying information produced in such matching 

program as required by subsection (p);

 (F) procedures for the retention and timely destruction of identifiable 

records created by a recipient agency or non–Federal agency in such 

matching program;

 (G) procedures for ensuring the administrative, technical, and 

physical security of the records matched and the results of such 

programs;

 (H) prohibitions on duplication and redisclosure of records provided 

by the source agency within or outside the recipient agency or the non–

Federal agency, except where required by law or essential to the conduct 

of the matching program;

 (I) procedures governing the use by a recipient agency or non–

Federal agency of records provided in a matching program by a source 

agency, including procedures governing return of the records to the 

source agency or destruction of records used in such program;

 (J) information on assessments that have been made on the accuracy 

of the records that will be used in such matching program; and

 (K) that the Comptroller General may have access to all records of a 

recipient agency or a non–Federal agency that the Comptroller General 

deems necessary in order to monitor or verify compliance with the 

agreement.

 (2) (A) A copy of each agreement entered into pursuant to paragraph 

(1) shall––

 (i) be transmitted to the Committee on Governmental Affairs of the 

Senate and the Committee on Government Operations of the House of 

Representatives; and

 (ii) be available upon request to the public.

 (B) No such agreement shall be effective until 30 days after the date 

on which such a copy is transmitted pursuant to subparagraph (A)(i).

 (C) Such an agreement shall remain in effect only for such period, not 

to exceed 18 months, as the Data Integrity Board of the agency 

determines is appropriate in light of the purposes, and length of time 

necessary for the conduct, of the matching program.

 (D) Within 3 months prior to the expiration of such an agreement 

pursuant to subparagraph (C), the Data Integrity Board of the agency 

may, without additional review, renew the matching agreement for a 

current, ongoing matching program for not more than one additional year 

if––

 (i) such program will be conducted without any change; and

 (ii) each party to the agreement certifies to the Board in writing that 

the program has been conducted in compliance with the agreement.

(p) Verification and opportunity to contest findings.
Administrative Procedures (5 U.S.C. 551–559) 615

 (1) In order to protect any individual whose records are used in a 

matching program, no recipient agency, non–Federal agency, or source 

agency may suspend, terminate, reduce, or make a final denial of any 

financial assistance or payment under a Federal benefit program to such 

individual, or take other adverse action against such individual, as a 

result of information produced by such matching program, until––

 (A) (i) the agency has independently verified the information; or

 (ii) the Date Integrity Board of the agency, or in the case of a non–

Federal agency the Data Integrity Board of the source agency, determines 

in accordance with guidance issued by the Director of the Office of 

Management and Budget that––

 (I) the information is limited to identification and amount of 

benefits paid by the source agency under a Federal benefit program; and

 (II) there is a high degree of confidence that the information 

provided to the recipient agency is accurate;

 (B) the individual receives a notice from the agency containing a 

statement of its findings and informing the individual of the opportunity 

to contest such findings; and

 (C) (i) the expiration of any time period established for the program 

by statute or regulation for the individual to respond to that notice; or

 (ii) in the case of a program for which no such period is established, 

the end of the 30–day period beginning on the date on which notice under 

subparagraph (B) is mailed or otherwise provided to the individual.

 (2) Independent verification referred to in paragraph (1) requires 

investigation and confirmation of specific information relating to an 

individual that is used as a basis for an adverse action against the 

individual, including where applicable investigation and confirmation of–

–

 (A) the amount of any asset or income involved;

 (B) whether such individual actually has or had access to such asset 

or income for such individual's own use; and

 (C) the period or periods when the individual actually had such asset 

or income.

 (3) Notwithstanding paragraph (1), an agency may take any appropriate 

action otherwise prohibited by such paragraph if the agency determines 

that the public health or public safety may be adversely affected or 

significantly threatened during any notice period required by such 

paragraph.

(q) Sanctions.

 (1) Notwithstanding any other provision of law, no source agency may 

disclose any record which is contained in a system of records to a 

recipient agency or non–Federal agency for a matching program if such 

source agency has reason to believe that the requirements of subsection 

(p), or any matching agreement entered into pursuant to subsection (o), or 

both, are not being met by such recipient agency.

 (2) No source agency may renew a matching agreement unless––

 (A) the recipient agency or non–Federal agency has certified that it 

has complied with the provisions of that agreement; and

 (B) the source agency has no reason to believe that the certification is 

inaccurate.

(r) Report on new systems and matching programs. Each agency that 

proposes to establish or make a significant change in a system of records 

or a matching program shall provide adequate advance notice of any such 

proposal (in duplicate) to the Committee on Government Operations of 

the House of Representatives, the Committee on Governmental Affairs of 
616 Administrative Procedures—5 U.S.C. 551–559

the Senate, and the Office of Management and Budget in order to permit 

an evaluation of the probable or potential effect of such proposal on the 

privacy or other rights of individuals.

(s) Biennial report. The President shall biennally submit to the Speaker of 

the House of Representatives and the President pro tempore of the Senate 

a report––

 (1) describing the actions of the Director of the Office of Management 

and Budget pursuant to section 6 of the Privacy Act of 1974 during the 

preceding 2 years;

 (2) describing the exercise of individual rights of access and 

amendment under this section during such years;

 (3) identifying changes in or additions to systems of records;

 (4) containing such other information concerning administration of this 

section as may be necessary or useful to the Congress in reviewing the 

effectiveness of this section in carrying out the purposes of the Privacy 

Act of 1974 [note to this section].

(t) Effect of other laws.

 (1) No agency shall rely on any exemption contained in section 552 of 

this title [5 USCS § 552] to withhold from an individual any record 

which is otherwise accessible to such individual under the provisions of 

this section.

 (2) No agency shall rely on any exemption in this section to withhold 

from an individual any record which is otherwise accessible to such 

individual under the provisions of section 552 of this title [5 USCS § 

552].

(u) Data Integrity Boards.

 (1) Every agency conducting or participating in a matching program 

shall establish a Data Integrity Board to oversee and coordinate among 

the various components of such agency the agency's implementation of 

this section.

 (2) Each Data Integrity Board shall consist of senior officials 

designated by the head of the agency, and shall include any senior 

official designated by the head of the agency as responsible for 

implementation of this section, and the inspector general of the agency, if 

any. The inspector general shall not serve as chairman of the Data 

Integrity Board.

 (3) Each Data Integrity Board––

 (A) shall review, approve, and maintain all written agreements for 

receipt or disclosure of agency records for matching programs to ensure 

compliance with subsection (o), and all relevant statutes, regulations, and 

guidelines;

 (B) shall review all matching programs in which the agency has 

participated during the year, either as a source agency or recipient 

agency, determine compliance with applicable laws, regulations, 

guidelines, and agency agreements, and assess the costs and benefits of 

such programs;

 (C) shall review all recurring matching programs in which the agency 

has participated during the year, either as a source agency or recipient 

agency, for continued justification for such disclosures;

 (D) shall compile an annual report, which shall be submitted to the 

head of the agency and the Office of Management and Budget and made 

available to the public on request, describing the matching activities of 

the agency, including––

 (i) matching programs in which the agency has participated as a 

source agency or recipient agency;
Administrative Procedures (5 U.S.C. 551–559) 617

 (ii) matching agreements proposed under subsection (o) that were 

disapproved by the Board;

 (iii) any changes in membership or structure of the Board in the 

preceding year;

 (iv) the reasons for any waiver of the requirement in paragraph (4) 

of this section for completion and submission of a cost–benefit analysis 

prior to the approval of a matching program;

 (v) any violations of matching agreements that have been alleged or 

identified and any corrective action taken; and

 (vi) any other information required by the Director of the Office of 

Management and Budget to be included in such report;

 (E) shall serve as a clearinghouse for receiving and providing 

information on the accuracy, completeness, and reliability of records 

used in matching programs;

 (F) shall provide interpretation and guidance to agency components 

and personnel on the requirements of this section for matching programs;

 (G) shall review agency recordkeeping and disposal policies and 

practices for matching programs to assure compliance with this section; 

and

 (H) may review and report on any agency matching activities that are 

not matching programs.

 (4) (A) Except as provided in subparagraphs (B) and (C), a Data 

Integrity Board shall not approve any written agreement for a matching 

program unless the agency has completed and submitted to such Board a 

cost–benefit analysis of the proposed program and such analysis 

demonstrates that the program is likely to be cost effective.

 (B) The Board may waive the requirements of subparagraph (A) of 

this paragraph if it determines in writing, in accordance with guidelines 

prescribed by the Director of the Office of Management and Budget, that 

a cost–benefit analysis is not required.

 (C) A cost–benefit analysis shall not be required under subparagraph 

(A) prior to the initial approval of a written agreement for a matching 

program that is specifically required by statute. Any subsequent written 

agreement for such a program shall not be approved by the Data Integrity 

Board unless the agency has submitted a cost–benefit analysis of the 

program as conducted under the preceding approval of such agreement.

 (5) (A) If a matching agreement is disapproved by a Data Integrity 

Board, any party to such agreement may appeal the disapproval to the 

Director of the Office of Management and Budget. Timely notice of the 

filing of such an appeal shall be provided by the Director of the Office of 

Management and Budget to the Committee on Governmental Affairs of 

the Senate and the Committee on Government Operations of the House 

of Representatives.

 (B) The Director of the Office of Management and Budget may 

approve a matching agreement notwithstanding the disapproval of a Data 

Integrity Board if the Director determines that––

 (i) the matching program will be consistent with all applicable 

legal, regulatory, and policy requirements;

 (ii) there is adequate evidence that the matching agreement will be 

cost–effective; and

 (iii) the matching program is in the public interest.

 (C) The decision of the Director to approve a matching agreement 

shall not take effect until 30 days after it is reported to committees 

described in subparagraph (A).
618 Administrative Procedures—5 U.S.C. 551–559

 (D) If the Data Integrity Board and the Director of the Office of 

Management and Budget disapprove a matching program proposed by 

the inspector general of an agency, the inspector general may report the 

disapproval to the head of the agency and to the Congress.

 (6) In the reports required by paragraph (3)(D), agency matching 

activities that are not matching programs may be reported on an 

aggregate basis, if and to the extent necessary to protect ongoing law 

enforcement or counterintelligence investigations.

(v) Office of Management and Budget responsibilities. The Director of 

the Office of Management and Budget shall––

 (1) develop and, after notice and opportunity for public comment, 

prescribe guidelines and regulations for the use of agencies in 

implementing the provisions of this section; and

 (2) provide continuing assistance to and oversight of the 

implementation of this section by agencies.

(w) Applicability to Bureau of Consumer Financial Protection. Except as 

provided in the Consumer Financial Protection Act of 2010, this section 

shall apply with respect to the Bureau of Consumer Financial 

Protection.22

Sec. 552b. Open Meetings

(a) For purposes of this section–

(1) the term “agency” means any agency, as defined in section 

552(e) of this title, headed by a collegial body composed of two or 

more individual members, a majority of whom are appointed to such 

position by the President with the advice and consent of the Senate, 

and any subdivision thereof authorized to act on behalf of the 

agency;

(2) the term “meeting” means the deliberations of at least the 

number of individual agency members required to take action on 

behalf of the agency where such deliberations determine or result in 

the joint conduct or disposition of official agency business, but does 

not include deliberation required or permitted by subsection (d) or 

(e); and

(3) the term “members” means an individual who belongs to a 

collegial body heading an agency.

(b) Members shall not jointly conduct or dispose of agency business 

other than in accordance with this section. Except as provided in 

subsection (c), every portion of every meeting of an agency shall be open 

to public observation.

(c) Except in a case where the agency finds that the public interest 

requires otherwise, the second sentence of subsection (b) shall not apply 

any portion of any agency meeting, and the requirements of subsections 

(d) and (e) shall not apply to any information pertaining to such meeting 

otherwise required by this section to be disclosed to the public, where the 

––––––––

22 Added by P.L. 93–579, § 3, 88 Stat. 1897 (1974); P.L. 94–183, § 2(2), 89 Stat 1057

(1975); P.L. 97–365, § 2, 96 Stat. 1749 (1982); P.L. 97–375, Title II, § 201(a), (b), 

96 Stat. 1821 (1982); P.L. 97–452, § 2(a)(1), 96 Stat. 2478 (1983); P.L. 98–477, § 2(c), 

98 Stat. 2211 (1984); P.L. 98–497, Title I, § 107(g), 98 Stat. 2292 (1984); P.L. 100–503, 

§§ 2–5, 6(a), 7, 8, 102 Stat. 2507–2514 (1988); P.L. 101–508, Title VII, Subtitle C, 

§ 7201(b)(1), 104 Stat. 1388–334 (1990); P.L. 103–66, Title XIII, Ch. 2, Subch. A, Part V, 

§ 13581(c), 107 Stat. 611 (1993); P.L. 104–193, Title I, § 110(w), 110 Stat. 2175 (1996); 

P.L. 104–226, § 1(b)(3), 110 Stat. 3033 (1996); P.L. 104–316, Title I, § 115(g)(2)(B), 

110 Stat. 3835 (1996); P.L. 105–34, Title IX, Subtitle C, § 1026(b)(2), 111 Stat. 925

(1997); P.L. 105–362, Title XIII, § 1301(d), 112 Stat. 3293 (1998); P.L. 106–170, Title IV, 

§ 402(a)(2), 113 Stat. 1908 (1999). Amended P.L. 111–148, Title VI, Subtitle E, 

§ 6402(b)(2), 124 Stat. 756 (2010); P.L. 111–203, Title X, Subtitle H, § 1082, 

124 Stat. 2080 (2010).

5 USC 552b.
Administrative Procedures (5 U.S.C. 551–559) 619

agency properly determines that such portion or portions of its meeting 

or the disclosure of such information is likely to–

(1) disclose matters that are (A) specifically authorized under 

criteria established by an Executive Order to be kept secret in the 

interest of national defense or foreign policy and (B) in fact properly 

classified pursuant to such Executive Order;

(2) relate solely to the internal personnel rules and practices of an 

agency;

(3) disclose matters specifically exempted from disclosure by 

statute (other than section 552, of this title), provided that such 

statute (A) requires that the matters be withheld from the public in 

such a manner as to leave no discretion on the issue, or

(B) establishes particular criteria for withholding or refers to 

particular types of matters to be withheld;

(4) disclose trade secrets and commercial or financial information 

obtained from a person and privileged or confidential;

(5) involve accusing any person of a crime, or formally censuring 

any person;

(6) disclose information of a personal nature where disclosure 

would constitute a clearly unwarranted invasion of personal privacy;

(7) disclose investigatory records compiled for law enforcement 

purposes, or information which if written would be contained in such 

records, but only to the extent that the production of such records or 

information would (A) interfere with enforcement proceedings, (B) 

deprive a person of a right to a fair trial or an impartial adjudication, 

(C) constitute an unwarranted invasion of personal privacy, (D) 

disclose the identity of a confidential source and, in the case of a 

record compiled by criminal law enforcement authority in the course 

of a criminal investigation, or by an agency conducting a lawful 

national security intelligence investigation, confidential information 

furnished only by the confidential source, (E) disclose investigative 

techniques and procedures, or (F) endanger the life or physical safety 

of law enforcement personnel;

(8) disclose information contained in or related to examination, 

operating, or condition reports prepared by, on behalf of, or for the 

use of an agency responsible for the regulation or supervision of 

financial institutions;

(9) disclose information the premature disclosure of which 

would–

(A) in the case of an agency which regulates currencies, 

securities, commodities, or financial institutions, be likely to (i) lead 

to significant financial speculation in currencies, securities, or 

commodities, or (ii) significantly endanger the stability of any 

financial institution; or

(B) in the case of any agency, be likely to significantly 

frustrate implementation of a proposed agency action,

except that subparagraph (B) shall not apply in any instance 

where the agency has already disclosed to the public the content or 

nature of its proposed action, or where the agency is required by law 

to make such disclosure on its own initiative prior to taking final 

agency action on such proposal; or

(10) specifically concern the agency’s issuance of a subpoena, or 

the agency’s participation in a civil action or proceeding, an action in 

a foreign court or internecine tribunal, or an arbitration, or the 

initiation, conduct, or disposition by the agency of a particular case 
620 Administrative Procedures—5 U.S.C. 551–559

of formal agency adjudication pursuant to the procedures in section 

554 of this title or otherwise involving a determination on the record 

after opportunity for a hearing.

(d)(1) Action under subsection (c) shall be taken only when a 

majority of the entire membership of the agency (as defined in 

subsection (a)(1)) votes to take such action. A separate vote of the 

agency members shall be taken with respect to each agency meeting 

a portion or portions of which are proposed to be closed to the public 

pursuant to subsection (c), or with respect to any information which 

is proposed to be withheld under subsection (c). A single vote may 

be taken with respect to a series of meetings, a portion or portions of 

which are proposed to be closed to the public, or with respect to any 

information concerning such series of meetings, so long as each 

meeting in such series involves the same particular matters and is 

scheduled to be held no more than thirty days after the initial 

meeting in such series. The vote of each agency member 

participating in such vote shall be recorded and no proxies shall be 

allowed.

(2) Whenever any person whose interests may be directly affected 

by a portion of a meeting requests that the agency close such portion 

to the public for any of the reasons referred to in paragraph (5), (6), 

or (7) of subsection (c), the agency, upon request of any one of its 

members, shall vote by recorded vote whether to close such meeting.

(3) Within one day of any vote taken pursuant to paragraph (1) or 

(2), the agency shall make publicly available a written copy of such 

vote reflecting the vote of each member on the question. If a portion 

of a meeting is to be closed to the public, the agency shall, within 

one day of the vote taken pursuant to paragraph (1) or (2) of this 

subsection, make publicly available a full written explanation of its 

action closing the portion together with a list of all persons expected 

to attend the meeting and their affiliation.

(4) Any agency, a majority of whose meetings may properly be 

closed to the public pursuant to paragraph (4), (8), (9)(A), or (10) of 

subsection (c), or any combination thereof, may provide by 

regulation for the closing of such meetings or portions thereof in the 

event that a majority of the members of the agency votes by recorded 

vote at the beginning of such meeting, or portion thereof, to close the 

exempt portion or portions of the meeting, and a copy of such vote, 

reflecting the vote of each member on the question, is made 

available to the public. The provisions of paragraphs (1), (2), and 

(3) of this subsection and subsections (e) shall not apply to any 

portion of a meeting to which such regulations apply: Provided, 

That the agency shall, except to the extent that such information is 

exempt from disclosure under the provisions of subsection (c), 

provide the public with public announcement of the time, place, and 

subject matter of the meeting and of each portion thereof at the 

earliest practicable time.

(e)(1) In the case of each meeting, the agency shall make public 

announcement, at least one week before the meeting, of the time, 

place, and subject matter of the meeting, whether it is to be open or 

closed to the public, and the name and phone number of the official 

designated by the agency to respond to requests for information 

about the meeting. Such announcement shall be made unless a 

majority of the members of the agency determines by a recorded 

vote that agency business requires that such meeting be called at an 
Administrative Procedures (5 U.S.C. 551–559) 621

earlier date, in which case the agency shall make public 

announcement of the time, place, and subject matter of such 

meeting, and whether open or closed to the public at the earliest 

practicable time.

(2) The time or place of a meeting may be changed following the 

public announcement required by paragraph (1) only if the agency 

publicly announces such change at the earliest practicable time. The 

subject matter of a meeting, or the determination of the agency to 

open or close a meeting, or portion of a meeting, to the public, may 

be changed following the public announcement required by this 

subsection only if (A) a majority of the entire membership of the 

agency determines by a recorded vote that agency business so 

requires and that no earlier announcement of the chance was 

possible, and (B) the agency publicly announces such change and the 

vote of each member upon such change at the earliest practicable 

time.

(3) Immediately following each public announcement required by 

this subsection, notice of the time, place, and subject matter of a 

meeting, whether the meeting is open or closed, any change in one of 

the preceding, and the name and phone number of the official 

designated by the agency to respond to requests for information 

about the meeting, shall also be submitted for publication in the 

Federal Register.

(f)(1) For every meeting closed pursuant to paragraphs (1) through 

(10) of subsection (c), the General Counsel or chief legal officer of 

the agency shall publicly certify that, in his or her opinion, the 

meeting may be closed to the public and shall state each relevant 

exemptive provision. A copy of such certification, together with a 

statement from the presiding officer of the meeting setting forth the 

time and place of the meeting, and the persons present, shall be 

retained by the agency. The agency shall maintain a complete 

transcript or electronic recording adequate to record fully the 

proceedings of each meeting, or portion of a meeting, closed to the 

public, except that in the case of a meeting, or portion of a meeting, 

closed to the public pursuant to paragraph (8), (9)(A), or (10) of 

subsection (c), the agency shall maintain either such a transcript or 

recording, or a set of minutes. Such minutes shall fully and clearly 

describe all matters discussed and shall provide a full and accurate 

summary of any actions taken, and the reasons therefor, including a 

description of each of the views expressed on any item and the 

record of any roll–call vote (reflecting the vote of each member on 

the question). All documents considered in connection with any 

action shall be identified in such minutes.

(2) The agency shall make promptly available to the public, in a 

place easily accessible to the public, the transcript, electronic 

recording, or minutes (as required by paragraph (1)) of the 

discussion of any item on the agenda, or of any item of the testimony

of any witness received at the meeting, except for such item or items 

of such discussion or testimony as the agency determines to contain 

information which may be withheld under subsection (c). Copies of 

such transcript, or minutes, or a transcription of such recording 

disclosing the identity of each speaker, shall be furnished to any 

person at the actual cost of duplication or transcription. The agency 

shall maintain a complete verbatim copy of the transcript, a complete 

copy of the minutes, or a complete electronic recording of each 
622 Administrative Procedures—5 U.S.C. 551–559

meeting, or portion of a meeting, closed to the public, for a period of 

at least two years after such meeting, or until one year after the 

conclusion of any agency proceeding with respect to which the 

meeting or portion was held, whichever occurs later.

(g) Each agency subject to the requirements of this section shall, within 

180 days after the date of enactment of this section, following 

consultation with the Office of the Chairman of the Administrative 

Conference of the United States and published notice in the Federal 

Register of at least thirty days and an opportunity for written comments 

by any person, promulgate regulations to implement the requirements of 

subsections (b) through (f) of this section. Any person may bring a

proceeding in the United States District Court for the District of 

Columbia to require an agency to promulgate such regulations if such 

agency has not promulgated such regulations within the time period 

specified herein. Subject to any limitations of time provided by law, any 

person may bring a proceeding in the United States Court of Appeals for 

the District of Columbia to set aside agency regulations issued pursuant 

to this subsection that are not in accord with the requirements of 

subsections (b) through (f) of this section and to require the promulgation 

of regulations that are in accord with such subsections.

(h)(1) The district courts of the United States shall have jurisdiction to 

enforce the requirements of subsections (b) through (f) of this 

section by declaratory judgment, injunctive relief, or other relief as 

may be appropriate. Such actions may be brought by any person 

against an agency prior to, or within sixty days after, the meeting out 

of which the violation of this section arises, except that if public 

announcement of such meeting is not initially provided by the 

agency in accordance with the requirements of this section, such 

action may be instituted pursuant to this section at any time prior to 

sixty days after any public announcement of such meeting. Such 

actions may be brought in the district court of the United States for 

the district in which the agency meeting is held or in which the 

agency in question has its headquarters, or in the District Court for 

the District of Columbia. In such actions a defendant shall serve his 

answer within thirty days after the service of the complaint. The 

burden is on the defendant to sustain his action. In deciding such 

cases the court may examine in camera any portion of the transcript, 

electronic recording, or minutes of a meeting closed to the public, 

and may take such additional evidence as it deems necessary. The 

court, having due regard for orderly administration and the public 

interest, as well as the interests of the parties, may grant such 

equitable relief as it deems appropriate, including granting an 

injunction against future violations of this section or ordering the 

agency to make available to the public such portion of the transcript, 

recording, or minutes of a meeting as is not authorized to be 

withheld under subsection (c) of this section.

(2) Any Federal court otherwise authorized by law to review 

agency action may, at the application of any person properly 

participating in the proceeding pursuant to other applicable law, 

inquire into violations by the agency of the requirements of this 

section and afford such relief as it deems appropriate. Nothing in this 

section authorizes any Federal court having jurisdiction solely on the 

basis of paragraph (1) to set aside, enjoin, or invalidate any agency 

action (other than an action to close a meeting or to withhold 
Administrative Procedures (5 U.S.C. 551–559) 623

information under this section) taken or discussed at any agency 

meeting out of which the violation of this section arose.

(i) The court may assess against any party reasonable attorney fees and 

other litigation costs reasonably incurred by any other party who 

substantially prevails in any action brought in accordance with the 

provisions of subsections (g) or (h) of this section, except that costs may 

be assessed against the plaintiff only where the court finds that the suit 

was initiated by the plaintiff primarily for frivolous or dilatory purposes. 

In the case of assessment of costs against an agency, the costs may be 

assessed by the court against the United States.

(j) Each agency subject to the requirements of this section shall annually 

report to the Congress regarding the following:

(1) The changes in the policies and procedures of the agency 

under this section that have occurred during the preceding 1–year 

period.

(2) A tabulation of the number of meetings held, the exemptions 

applied to close meetings, and the days of public notice provided to 

close meetings.

(3) A brief description of litigation or formal complaints 

concerning the implementation of this section by the agency.

(4) A brief explanation of any changes in law that have affected 

the responsibilities of the agency under this section.23

(k) Nothing herein expands or limits the present rights of any person 

under section 552 of this title, except that the exemptions set forth in 

subsection (c) of this section shall govern in the case of any request made 

pursuant to section 552 to copy or inspect the transcripts, recordings, or 

minutes described in subsection (f) of this section. The requirements of 

chapter 33 of title 44, United States Code, shall not apply to the 

transcripts, recordings, and minutes described in subsection (f) of this 

section.

(l) This section does not constitute authority to withhold any information 

from Congress, and does not authorize the closing of any agency meeting 

or portion thereof required by any other provision of law to be open.

(m) Nothing in this section authorizes any agency to withhold from any 

individual any record, including transcripts, recordings, or minutes 

required by this section, which is otherwise accessible to such individual 

under section 552a of this title. (P.L. 94–409, section 3(a), Sept. 13, 

1976, 90 Stat. 1241., and amended Public Law 104–66, title III, section 

3002 (109 Stat. 734), Dec. 21, 1995.)

Sec. 553. Rulemaking

(a) This section applies, according to the provisions thereof, except to the 

extent that there is involved–

(1) a military or foreign affairs function of the United States; or

(2) a matter relating to agency management or personnel or to 

public property, loans, grants, benefits, or contracts.

(b) General notice of proposed rule making shall be published in the 

Federal Register, unless persons subject thereto are named and either 

personally served or otherwise have actual notice thereof in accordance 

with law. The notice shall include–

(1) a statement of the time, place, and nature of public rule 

making proceedings;

(2) reference to the legal authority under which the rule is 

proposed; and

––––––––

23 Amended by P.L. 104–66, Title III, § 3002, 109 Stat. 734 (1995).

5 USC 553.
624 Administrative Procedures—5 U.S.C. 551–559

(3) either the terms or substance of the proposed rule or a 

description of the subjects and issues involved.

Except when notice or hearing is required by statute, this 

subsection does not apply–

(A) to interpretative rules, general statements of policy, or 

rules of agency organization, procedure, or practice; or

(B) when the agency for good cause finds (and incorporates 

the finding and a brief statement of reasons therefor in the rules 

issued) that notice and public procedure thereon are impracticable, 

unnecessary, or contrary to the public interest.

(c) After notice required by this section, the agency shall give interested 

persons an opportunity to participate in the rule making through 

submission of written data, views, or arguments with or without 

opportunity for oral presentation. After consideration of the relevant 

matter presented, the agency shall incorporate in the rules adopted a 

concise general statement of their basis and purpose. When rules are 

required by statute to be made on the record after opportunity for an 

agency hearing, sections 556 and 557 of this title apply instead of this 

subsection.

(d) The required publication or service of a substantive rule shall be 

made not less than 30 days before its effective date, except–

(1) a substantive rule which grants or recognizes an exemption or 

relieves a restriction;

(2) interpretative rules and statements of policy; or

(3) as otherwise provided by the agency for good cause found and 

published with the rule.

(e) Each agency shall give an interested person the right to petition for 

the issuance, amendment, or repeal of a rule. (P.L. 89–554, Sept. 6, 1966, 

80 Stat. 383.)

Sec. 554. Adjudications

(a) This section applies, according to the provisions thereof, in every case 

of adjudication required by statute to be determined on the record after 

opportunity for an agency hearing, except to the extent that there is 

involved–

(1) a matter subject to a subsequent trial of the law and the facts 

de novo in a court;

(2) the selection or tenure of an employee, except an 

administrative law judge appointed under section 3105 of this title;

(3) proceedings in which decisions rest solely on inspections, 

tests, or elections;

(4) the conduct of military or foreign affairs functions;

(5) cases in which an agency is acting as an agent for a court; or

(6) the certification of worker representatives.

(b) Persons entitled to notice of an agency hearing shall be timely 

informed of–

(1) the time, place, and nature of the hearing;

(2) the legal authority and jurisdiction under which the hearing is 

to be held; and

(3) the matters of fact and law asserted.

When private persons are the moving parties, other parties to the 

proceeding shall give prompt notice of issues controverted in fact or 

law; and in other instances agencies may by rule require responsive 

pleading. In fixing the time and place for hearings, due regard shall 

be had for the convenience and necessity of the parties or their 

representatives.

5 USC 554.
Administrative Procedures (5 U.S.C. 551–559) 625

(c) The agency shall give all interested parties opportunity for–

(1) the submission and consideration of facts, arguments, offers of 

settlement, or proposals of adjustment when time, the nature of the 

proceeding, and the public interest permit; and

(2) to the extent that the parties are unable so to determine a 

controversy by consent, hearing and decision on notice and in 

accordance with sections 556 and 557 of this title.

(d) The employee who presides at the reception of evidence pursuant to 

section 556 of this title shall make the recommended decision or initial

decision required by section 557 of this title, unless he becomes 

unavailable to the agency. Except to the extent required for the 

disposition of ex parte matters as authorized by law, such an employee 

may not–

(1) consult a person or party on a fact in issue, unless on notice 

and opportunity for all parties to participate; or

(2) be responsible to or subject to the supervision or direction of 

an employee or agent engaged in the performance of investigative or 

prosecuting functions for an agency.

An employee or agent engaged in the performance of 

investigative or prosecuting functions for an agency in a case may 

not, in that or a factually related case, participate or advise in the 

decision, recommended decision, or agency review pursuant to 

section 557 of this title, except as witness or counsel in public 

proceedings. This subsection does not apply–

(A) in determining applications for initial licenses;

(B) to proceedings involving the validity or application of 

rates, facilities, or practices of public utilities or carriers; or

(C) to the agency or a member or members of the body 

comprising the agency.

(e) The agency, with like effect as in the case of other orders, and in its 

sound discretion, may issue a declaratory order to terminate a 

controversy or remove uncertainty. (Public Law 89–554, Sept. 6, 1966, 

80 Stat. 384; amended Public Law 95–251, Mar. 27, 1978, 92 Stat. 183.)

Sec. 555. Ancillary Matters

(a) This section applies, according to the provisions thereof, except as 

otherwise provided by this Subchapter.

(b) A person compelled to appear in person before an agency or 

representative thereof is entitled to be accompanied, represented, and 

advised by counsel or, if permitted by the agency, by other qualified 

representative. A party is entitled to appear in person or by or with 

counsel or other duly qualified representative in an agency proceeding. 

So far as the orderly conduct of public business permits, an interested 

person may appear before an agency or its responsible employees for the 

presentation, adjustment, or determination of an issue, request, or 

controversy in a proceeding, whether interlocutory, summary, or 

otherwise, or in connection with an agency function. With due regard for 

the convenience and necessity of the parties or their representatives and 

within a reasonable time, each agency shall proceed to conclude a matter 

presented to it. This subsection does not grant or deny a person who is 

not a lawyer the right to appear for or represent others before an agency 

or in an agency proceeding.

(c) Process, requirement of a report, inspection, or other investigative act 

or demand may not be issued, made, or enforced except as authorized by 

law. A person compelled to submit data or evidence is entitled to retain 

or, on payment of lawfully prescribed costs, procure a copy or transcript 

5 USC 555.
626 Administrative Procedures—5 U.S.C. 551–559

thereof, except that in a nonpublic investigatory proceeding the witness 

may for good cause be limited to inspection of the official transcript of 

his testimony.

(d) Agency subpoenas authorized by law shall be issued to a party on 

request and, when required by rules of procedure on a statement or 

showing of general relevance and reasonable scope of the evidence 

sought. On contest, the court shall sustain the subpoena or similar 

process or demand to the extent that it is found to be in accordance with 

law. In a proceeding for enforcement, the court shall issue an order 

requiring the appearance of the witness or the production of the evidence 

or data within a reasonable time under penalty of punishment for 

contempt in case of contumacious failure to comply.

(e) Prompt notice shall be given of the denial in whole or in part of a 

written application, petition, or other request of an interested person 

made in connection with any agency proceedings. Except in affirming a 

prior denial or when the denial is self–explanatory, the notice shall be 

accompanied by a brief statement of the grounds for denial. (P.L. 89–

554, Sept. 6, 1966, 80 Stat. 385.)

Sec. 556. Hearings; Presiding Employees; Powers and Duties; 

Burden of Proof; Evidence; Record as Basis of Decision

(a) This section applies, according to the provisions thereof, to hearings 

required by section 553 or 554 of this title to be conducted in accordance 

with this section.

(b) There shall preside at the taking of evidence–

(1) the agency;

(2) one or more members of the body which comprises the 

agency; or

(3) one or more administrative law judges appointed under section 

3105 of this title.

This Subchapter does not supersede the conduct of specified 

classes of proceedings, in whole or in part, by or before boards or 

other employees specially provided for by or designated under 

statute. The functions of presiding employees and of employees 

participating in decisions in accordance with section 557 of this title 

shall be conducted in an impartial manner. A presiding or 

participating employee may at any time disqualify himself. On the 

filing in good faith of a timely and sufficient affidavit of personal 

bias or other disqualification of a presiding or participating 

employee, the agency shall determine the matter as a part of the 

record and decision in the case.

(c) Subject to published rules of the agency and within its powers, 

employees presiding at hearings may–

(1) administer oaths and affirmations;

(2) issue subpoenas authorized by law;

(3) rule on offers of proof and receive relevant evidence;

(4) take depositions or have depositions taken when the ends of 

justice would be served;

(5) regulate the course of the hearing;

(6) hold conferences for the settlement of simplification of the 

issues by consent of the parties; or by the use of alternative means of 

dispute resolution as provided in Subchapter IV of this chapter;

(7) inform the parties as to the availability of one or more 

alternative means of dispute resolution, and encourage use of such 

methods;

5 USC 556.
Administrative Procedures (5 U.S.C. 551–559) 627

(8) require the attendance at any conference held pursuant to 

paragraph (6) of at least one representative of each party who has 

authority to negotiate concerning resolution of issues in 

controversy.24

(9) dispose of procedural requests or similar matters;

(10) make or recommend decisions in accordance with section 

557 of this title; and

(11) take other action authorized by agency rule consistent with 

this Subchapter.

(d) Except as otherwise provided by statute, the proponents of a rule or

order has the burden of proof. Any oral or documentary evidence may be 

received, but the agency as a matter of policy shall provide for the 

exclusion of irrelevant, immaterial, or unduly repetitious evidence. A 

sanction may not be imposed or rule or order issued except on 

consideration of the whole record or those parts thereof cited by a party 

and supported by and in accordance with the reliable, probative, and 

substantial evidence. The agency may, to the extent consistent with the 

interests of justice and the policy of the underlying statutes administered 

by the agency, consider a violation of section 557(d) of this title 

sufficient grounds for a decision adverse to a party who has knowingly 

committed such violation or knowingly caused such violation to occur. A 

party is entitled to present his case or defense by oral or documentary 

evidence, to submit rebuttal evidence, and to conduct such cross–

examination as may be required for a full and true disclosure of the facts. 

In rule making or determining claims for money or benefits or 

applications for initial licenses an agency may, when a party will not be 

prejudiced thereby, adopt procedures for the submission of all or part of 

the evidence in written form.

(e) The transcript of testimony and exhibits, together with all papers and 

requests filed in the proceedings, constitutes the exclusive record for 

decision in accordance with section 557 of this title and, on payment of 

lawfully prescribed costs, shall be made available to the parties. When an 

agency decision rests on official notice of a material fact not appearing in 

the evidence in the record, a party is entitled, on timely request, to an 

opportunity to show the contrary. (P.L. 89–554, Sept. 6, 1966, 80 Stat. 

386; amended P.L. 94–409, Sept. 13, 1976, 90 Stat. 1247; P.L. 95–251, 

Mar. 27, 1978, 92 Stat. 183; Public Law 101–552 (104 Stat. 2736) 

section 4(a), November 15, 1990.)

Sec. 557. Initial Decisions; Conclusiveness; Review by Agency; 

Submissions by Parties; Contents of Decisions; Record

(a) This section applies, according to the provisions thereof, when a 

hearing is required to be conducted in accordance with section 556 of this 

title.

(b) When the agency did not preside at the reception of the evidence, the 

presiding employee or, in cases not subject to section 554(d) of this title, 

an employee qualified to preside at hearings pursuant to section 556 of 

this title, shall initially decide the case unless the agency requires, either 

in specific cases or by general rule, the entire record to be certified to it 

for decision. When the presiding employee makes an initial decision, that 

decision then becomes the decision of the agency without further 

proceedings unless there is an appeal to, or review on motion of, the 

agency within time provided by rule. On appeal from or review of the 

initial decision, the agency has all the powers which it would have in 

––––––––

24 Amended by P.L. 101–552, 104 Stat. 2736 (1990).

5 USC 557.
628 Administrative Procedures—5 U.S.C. 551–559

making the initial decision except as it may limit the issues on notice or 

by rule. When the agency makes the decision without having presided at 

the reception of the evidence, the presiding employee or an employee 

qualified to preside at hearings pursuant to section 556 of this title shall 

first recommend a decision, except that in rule making or determining 

applications for initial licenses–

(1) instead thereof the agency may issue a tentative decision or 

one of its responsible employees may recommend a decision; or

(2) this procedure may be omitted in a case in which the agency 

finds on the record that due and timely execution of its functions 

imperatively and unavoidably so requires.

(c) Before a recommended, initial, or tentative decision, or a decision on 

agency review of the decision of subordinate employees, the parties are 

entitled to a reasonable opportunity to submit for the consideration of the 

employees participating in the decisions–

(1) proposed findings and conclusions; or

(2) exceptions to the decisions or recommended decisions of 

subordinate employees or to tentative agency decisions; and

(3) supporting reasons for the exception of proposed findings or 

conclusions. 

The record shall show the ruling on each finding, conclusion, or 

exception presented. All decisions, including initial, recommended, 

and tentative decisions, are a part of the record and shall include a 

statement of–

(A) findings and conclusions and the reasons or basis therefor, 

on all the material issues of fact, law, or discretion presented on the 

record; and

(B) the appropriate rule, order, sanction, relief, or denial 

thereof.

(d)(1) In an agency proceeding which is subject to subsection (a) of this 

section, except to the extent required for the disposition of ex parte 

matters as authorized by law–

(A) no interested person outside the agency shall make or 

knowingly cause to be made to any member of the body comprising 

the agency, administrative law judge, or other employee who is or 

may reasonably be expected to be involved in the decisional process 

of the proceeding, an ex parte communication relevant to the merits 

of the proceeding;

(B) no member of the body comprising the agency, 

administrative law judge, or other employee who is or may 

reasonably be expected to be involved in the decisional process of 

the proceeding, shall make or knowingly cause to be made to any 

interested person outside the agency an ex parte communication 

relevant to the merits of the proceeding;

(C) a member of the body comprising the agency, 

administrative law judge, or other employee who is or may 

reasonably be expected to be involved in the decisional process of 

such proceeding who receives, or who makes or knowingly causes to 

be made, a communication prohibited by this subsection shall place 

on the public record of the proceeding:

(i) all such written communications;

(ii) memoranda stating the substance of all such oral 

communications; and
Administrative Procedures (5 U.S.C. 551–559) 629

(iii) all written responses, and memoranda stating the 

substance of all oral responses, to the materials described in clauses 

(i) and (ii) of this subparagraph;

(D) upon receipt of a communication knowingly made or 

knowingly caused to be made by a party in violation of this 

subsection, the agency, administrative law judge, or other employee 

presiding at the hearing may, to the extent consistent with the 

interests of justice and the policy of the underlying statutes, require 

the party to show cause why his claim or interest in the proceedings 

should not be dismissed, denied, disregarded, or otherwise adversely 

affected on account of such violation; and

(E) the prohibitions of this subsection shall apply beginning at 

such time as the agency may designate, but in no case shall they 

begin to apply later than the time at which a proceeding is noticed 

for hearing unless the person responsible for the communication has 

knowledge that is will be noticed, in which case the prohibitions 

shall apply beginning at the time of his acquisition of such 

knowledge.

(2) This subsection does not constitute authority to withhold 

information from Congress. (P.L. 89–554, Sept. 6, 1966, 80 Stat. 

837; amended P.L. 94–409, Sept. 13, 1976, 90 Stat. 1246.)

Sec. 558. Imposition of Sanctions; Determination of Applications for 

Licenses; Suspension, Revocation, and Expiration of Licenses

(a) This section applies, according to the provisions thereof, to the 

exercise of a power or authority.

(b) A sanction may not be imposed or a substantive rule or order issued 

except within jurisdiction delegated to the agency and as authorized by 

law.

(c) When application is made for a license required by law, the agency, 

with due regard for the rights and privileges of all the interested parties or 

adversely affected persons and within a reasonable time, shall set and 

complete proceedings required to be conducted in accordance with 

sections 556 and 557 of this title or other proceedings required by law 

and shall make its decision. Except in cases of willfulness or those in 

which public health, interest, or safety requires otherwise, the 

withdrawal, suspension, revocation, or annulment of a license is lawful 

only if, before the institution of agency proceedings therefor, the licensee 

has been given–

(1) notice by the agency in writing of the facts or conduct which 

may warrant the action; and

(2) opportunity to demonstrate or achieve compliance with all 

lawful requirements.

When the licensee has made timely and sufficient application for 

a renewal or a new license in accordance with agency rules, a license 

with reference to an activity of a continuing nature does not expire 

until the application has been finally determined by the agency. (P.L.

89–554, Sept. 6, 1966, 80 Stat. 388.)

Sec. 559. Effect on Other Laws; Effect of Subsequent Statute

This Subchapter, chapter 7, and sections 1305, 3105, 3344, 

4301(2)(E), 5372, and 7521 of this title, and the provisions of section 

5335(a)(B) of this title that relate to administrative law judges, do not 

limit or repeal additional requirements imposed by statute or otherwise 

recognized by law. Except as otherwise required by law, requirements or 

privileges relating to evidence or procedure apply equally to agencies and 

persons. Each agency is granted the authority necessary to comply with 

5 USC 558.

5 USC 559.
630 Administrative Procedures—5 U.S.C. 551–559

the requirements of this Subchapter through the issuance of rules or 

otherwise. Subsequent statute may not be held to supersede or modify 

this Subchapter, chapter 7, sections 1305, 3105, 3344, 4301(2)(E), 5372, 

or 7521 of this title, or the provisions of section 5335(a)(B) of this title 

that relate to administrative law judges, except to the extent that it does 

so expressly. (Public Law 89–554, Sept. 6, 1966, 80 Stat. 388; amended 

Public Law 90–623, section 1(1), Oct 22, 1968, 82 Stat. 1312; Public 

Law 95–251, Mar. 27, 1978, 92 Stat. 183; Public Law 95–454, Oct. 13, 

1978, 92 Stat. 1221.)
Negotiated Rulemaking Act of 1990 (5 U.S.C. 561–570) 631

B. NEGOTIATED RULEMAKING ACT OF 1990 (5 U.S.C. 561–

570)

Public Law 101–648 104 Stat. 4976

November 29, 1990

An Act

To establish a framework for the conduct of negotiated rulemaking by 

Federal agencies.

Be it enacted by the Senate and House of Representatives of the 

United States of America in Congress assembled,

Sec. 1. Short Title

This Act may be cited as the “Negotiated Rulemaking Act of 1990.”

Sec. 2. Findings

The Congress makes the following findings:

(1) Government regulation has increased substantially since the 

enactment of the Administrative Procedure Act.

(2) Agencies currently use rulemaking procedures that may 

discourage the affected parties from meeting and communicating with 

each other, and may cause parties with different interests to assume 

conflicting and antagonistic positions and to engage in expensive and 

time–consuming litigation over agency rules.

(3) Adversarial rulemaking deprives the affected parties and the 

public of the benefits of face–to–face negotiations and co–operation 

in developing and reaching agreement on a rule. It also deprives them 

of the benefits of shared information, knowledge, expertise, and 

technical abilities possessed by the affected parties.

(4) Negotiated rulemaking, in which the parties who will be 

significantly affected by a rule participate in the development of the 

rule, can provide significant advantages over adversarial rulemaking.

(5) Negotiated rulemaking can increase the acceptability and 

improve the substance of rules, making it less likely that the affected 

parties will resist enforcement or challenge such rules in court. It may 

also shorten the amount of time needed to issue final rules.

(6) Agencies have the authority to establish negotiated rule 

making committees under the laws establishing such agencies and 

their activities and under the Federal Advisory Committee Act (5 

USC App.). Several agencies have successfully used negotiated 

rulemaking. The process has not been widely used by other agencies, 

however, in part because such agencies are unfamiliar with the 

process or uncertain as to the authority for such rulemaking.

Sec. 3. Negotiated Rulemaking Procedure

(a) IN GENERAL.–Chapter 5 of title 5, United States Code, is 

amended by adding at the end the following new Subchapter:

Sec. 561. Purpose

The purpose of this Subchapter is to establish a framework for the 

conduct of negotiated rulemaking, consistent with section 553 of this 

title, to encourage agencies to use the process when it enhances the 

informal rulemaking process. Nothing in this Subchapter should be 

construed as an attempt to limit innovation and experimentation with the 

negotiated rulemaking process or with other innovative rulemaking 

procedures otherwise authorized by law.

Negotiated 

Rulemaking

Act of 1990.

5 USC 561.

5 USC 561.

5 USC 561.
632 Negotiated Rulemaking Act of 1990—5 U.S.C. 561–570

Sec. 562. Definitions

For the purposes of this Subchapter, the term–

(1) “agency” has the same meaning as in section 551(1) of this 

title;

(2) “consensus” means unanimous concurrence among the 

interests represented on a negotiated rulemaking committee 

established under this Subchapter, unless such committee–

(A) agrees to define such term to mean a general but not 

unanimous concurrence; or

(B) agrees upon another specified definition;

(3) “convener” means a person who impartially assists an agency 

in determining whether establishment of a negotiated rulemaking 

committee is feasible and appropriate in a particular rulemaking;

(4) “facilitator” means a person who impartially aids in the 

discussions and negotiations among the members of a negotiated 

rulemaking committee to develop a proposed rule;

(5) “interest” means, with respect to an issue or matter, multiple 

parties which have a similar point of view or which are likely to be 

affected in a similar manner;

(6) “negotiated rulemaking” means rulemaking through the use of 

a negotiated rulemaking committee;

(7) “negotiated rulemaking committee” or “committee” means an 

advisory committee established by an agency in accordance with this 

Subchapter and the Federal Advisory Committee Act to consider and 

discuss issues for the purpose of reaching a consensus in the 

development of a proposed rule;

(8) “party” has the same meaning as in section 551(3) of this title;

(9) “person” has the same meaning as in section 551(2) of this 

title;

(10) “rule” has the same meaning as in section 551(4) of this title; 

and

(11) “rulemaking” means “rulemaking” as that term is defined in 

section 551(5) of this title.

Sec. 563. Determination of Need for Negotiated Rulemaking 

Committee

(a) DETERMINATION OF NEED BY THE AGENCY.–An agency 

may establish a negotiated rulemaking committee to negotiate and 

develop a proposed rule, if the head of the agency determines that the use 

of the negotiated rulemaking procedure is in the public interest. In 

making such a determination, the head of the agency shall consider 

whether–

(1) there is a need for a rule;

(2) there are a limited number of identifiable interests that will be 

significantly affected by the rule;

(3) there is a reasonable likelihood that a committee can be 

convened with a balanced representation of persons who–

(A) can adequately represent the interests identified under 

paragraph (2); and

(B) are willing to negotiate in good faith to reach a consensus 

on the proposed rule;

(4) there is a reasonable likelihood that a committee will reach a 

consensus on the proposed rule within a fixed period of time;

(5) the negotiated rulemaking procedure will not unreasonably 

delay the notice of proposed rulemaking and the issuance of the final 

rule;

5 USC 562.

5 USC 563.
Negotiated Rulemaking Act of 1990 (5 U.S.C. 561–570) 633

(6) the agency has adequate resources and is willing to commit 

such resources, including technical assistance, to the committee; and

(7) the agency, to the maximum extent possible consistent with 

the legal obligations of the agency, will use the consensus of the 

committee with respect to the proposed rule as the basis for the rule 

proposed by the agency for notice and comment.

(b) USE OF CONVENERS.–

(1) PURPOSES OF CONVENERS.–An agency may use the 

services of a convener to assist the agency in–

(A) identifying person who will be significantly affected by a 

proposed rule, including residents of rural areas; and

(B) conducting discussions with such persons to identify the 

issues of concern to such persons, and to ascertain whether the 

establishment of a negotiated rulemaking committee is feasible 

and appropriate in the particular rulemaking.

(2) DUTIES OF CONVENERS.–The convener shall report 

findings and may make recommendations to the agency. Upon 

request of the agency, the convener shall ascertain the names of 

persons who are willing and qualified to represent interests that will 

be significantly affected by the proposed rule, including residents of 

rural areas. The report and any recommendations of the convener 

shall be made available to the public upon request.

Sec. 564. Publication of Notice; Applications for Membership on 

Committees

(a) PUBLICATION OF NOTICE.–If, after considering the report of a 

convener or conducting its own assessment, an agency decides to 

establish a negotiated rulemaking committee, the agency shall publish in 

the Federal Register and, as appropriate, in trade or other specialized 

publications, a notice which shall include–

(1) an announcement that the agency intends to establish a 

negotiated rulemaking committee to negotiate and develop a 

proposed rule;

(2) a description of the subject and scope of the rule to be 

developed, and the issues to be considered;

(3) a list of the interests which are likely to be significantly 

affected by the rule;

(4) a list of the persons proposed to represent such interests and 

the person or persons proposed to represent the agency;

(5) a proposed agenda and schedule for completing the work of 

the committee, including a target date for publication by the agency 

of a proposed rule for notice and comment;

(6) a description of administrative support for the committee to be 

provided by the agency, including technical assistance;

(7) a solicitation for comments on the proposal to establish the 

committee, and the proposed membership of the negotiated 

rulemaking committee; and

(8) an explanation of how a person may apply or nominate 

another person for membership on the committee, as provided under 

subsection (b).

(b) APPLICATIONS FOR MEMBERSHIP OR COMMITTEE.–

Persons who will be significantly affected by a proposed rule and who 

believe that their interests will not be adequately represented by any 

person specified in a notice under subsection (a)(4) may apply for, or 

nominate another person for, membership on the negotiated rulemaking 

Reports.

5 USC 564.
634 Negotiated Rulemaking Act of 1990—5 U.S.C. 561–570

committee to represent such interests with respect to the proposed rule. 

Each application or nomination shall include–

(1) the name of the applicant or nominee and a description of the 

interests such person shall represent;

(2) evidence that the applicant or nominee is authorized to 

represent parties related to the interests the person proposes to 

represent;

(3) a written commitment that the applicant or nominee shall 

actively participate in good faith in the development of the rule under 

consideration; and

(4) the reasons that the persons specified in the notice under 

subsection (a)(4) do not adequately represent the interests of the 

person submitting the application or nomination.

(c) PERIOD FOR SUBMISSION OF COMMENTS AND 

APPLICATIONS.–The agency shall provide for a period of at least 30 

calendar days for the submission of comments and applications under 

this section.

Sec. 565. Establishment of Committee

(a) ESTABLISHMENT.–

(1) DETERMINATION TO ESTABLISH COMMITTEE.–If after 

considering comments and applications submitted under section 564, 

the agency determines that a negotiated rulemaking committee can 

adequately represent the interests that will be significantly affected by 

a proposed rule and that it is feasible and appropriate in the particular 

rulemaking, the agency may establish a negotiated rulemaking 

committee. In establishing and administering such a committee, the 

agency shall comply with the Federal Advisory Committee Act with 

respect to such committee, except as otherwise provided in this 

Subchapter.

(2) DETERMINATION NOT TO ESTABLISH COMMITTEE.–

If after considering such comments and applications, the agency 

decides not to establish a negotiated rulemaking committee, the 

agency shall promptly publish notice of such decision and the reasons 

therefor in the Federal Register and, as appropriate, in trade or other 

specialized publications, a copy of which shall be sent to any person 

who applied for, or nominated another person for membership on the 

negotiating rulemaking committee to represent such interests with 

respect to the proposed rule.

(b) MEMBERSHIP.–The agency shall limit membership on a 

negotiated rulemaking committee to 25 members, unless the agency 

head determines that a greater number of members is necessary for the 

functioning of the committee or to achieve balanced membership. Each 

committee shall include at least one person representing the agency.

(c) ADMINISTRATIVE SUPPORT.–The agency shall provide 

appropriate administrative support to the negotiated rulemaking 

committee, including technical assistance.

Sec. 566. Conduct of Committee Activity

(a) DUTIES OF COMMITTEE.–Each negotiated rulemaking 

committee established under this Subchapter shall consider the matter 

proposed by the agency for consideration and shall attempt to reach a 

consensus concerning a proposed rule with respect to such matter and 

any other matter the committee determines is relevant to the proposed 

rule.

(b) REPRESENTATIVES OF AGENCY ON COMMITTEE.–The 

person or persons representing the agency on a negotiated rulemaking 

5 USC 565.

5 USC 566.
Negotiated Rulemaking Act of 1990 (5 U.S.C. 561–570) 635

committee shall participate in the deliberations and activities of the 

committee with the same rights and responsibilities as other members of 

the committee, and shall be authorized to fully represent the agency in 

the discussions and negotiations of the committee.

(c) SELECTING FACILITATOR.–Notwithstanding section 10(e) of 

the Federal Advisory Committee Act, an agency may nominate either a 

person from the Federal Government or a person from outside the 

Federal Government to serve as a facilitator for the negotiations of the 

committee, subject to the approval of the committee by consensus. If the 

committee does not approve the nominee of the agency for facilitator, the 

agency shall submit a substitute nomination. If a committee does not 

approve any nominee of the agency for facilitator, the committee shall 

select by consensus a person to serve as facilitator. A person designated 

to represent the agency in substantive issues may not serve as facilitator 

or otherwise chair the committee.

(d) DUTIES OF FACILITATOR.–A facilitator approved or selected 

by a negotiated rulemaking committee shall–

(1) chair the meetings of the committee in an impartial manner;

(2) impartially assist the members of the committee in conducting 

discussions and negotiations; and

(3) manage the keeping of minutes and records as required under 

section 10 (b) and (c) of the Federal Advisory Committee Act, except 

that any personal notes and materials of the facilitator or of the 

members of a committee shall not be subject to section 552 of this 

title.

(e) COMMITTEE PROCEDURES.–A negotiated rulemaking 

committee established under this Subchapter may adopt procedures for 

the operation of the committee. No provision of section 553 of this title 

shall apply to the procedures of a negotiated rulemaking committee.

(f) REPORT OF COMMITTEE.–If a committee reaches a consensus 

on a proposed rule, at the conclusion of negotiations the committee shall 

transmit to the agency that established the committee a report containing 

the proposed rule. If the committee does not reach a consensus on a 

proposed rule, the committee may transmit to the agency a report 

specifying any areas in which the committee reached a consensus. The 

committee may include in a report any other information, 

recommendations, or materials that the committee considers appropriate. 

Any committee member may include as an addendum to the report 

additional information, recommendations, or materials.

(g) RECORDS OF COMMITTEE.–In addition to the report required 

by subsection (f), a committee shall submit to the agency the records 

required under section 10 (b) and (c) of the Federal Advisory Committee 

Act.

Sec. 567. Termination of Committee

A negotiated rulemaking committee shall terminate upon 

promulgation of the final rule under consideration, unless the 

committee’s charter contains an earlier termination date or the agency, 

after consulting the committee, or the committee itself specifies an earlier 

termination date.

Sec. 568. Services, Facilities, and Payment of Committee Member 

Expenses

(a) SERVICES OF CONVENERS AND FACILITATORS.–

(1) IN GENERAL.–An agency may employ or enter into 

contracts for the services of an individual or organization to serve as a 

convener or facilitator for a negotiated rulemaking committee under 

5 USC 567.

5 USC 568.
636 Negotiated Rulemaking Act of 1990—5 U.S.C. 561–570

this Subchapter, or may use the services of a Government employee 

to act as a convener or a facilitator for such a committee.

(2) DETERMINATION OF CONFLICTING INTERESTS.– An 

agency shall determine whether a person under consideration to serve 

as a convener or facilitator of a committee under paragraph (1) has 

any financial or other interest that would preclude such person from 

serving in an impartial and independent manner.

(b) SERVICES AND FACILITIES OF OTHER ENTITIES.– For 

purposes of this Subchapter, an agency may use the services and facilities 

of other Federal agencies and public and private agencies and 

instrumentalities with the consent of such agencies and instrumentalities, 

and with or without reimbursement to such agencies and 

instrumentalities, and may accept voluntary and uncompensated services 

without regard to the pro visions of section 1342 of title 31. The Federal 

Mediation and Conciliation Service may provide services and facilities, 

with or without reimbursement, to assist agencies under this Subchapter, 

including furnishing conveners, facilitators, and training in negotiated 

rulemaking.

(c) EXPENSES OF COMMITTEE MEMBERS.–Members of a 

negotiated rulemaking committee shall be responsible for their own 

expenses of participation in such committee, except that an agency may, 

in accordance with section 7(d) of the Federal Advisory Committee Act, 

pay for a member’s reasonable travel and per diem expenses, expenses to 

obtain technical assistance, and a reasonable rate of compensation, if–

(1) such member certifies a lack of adequate financial resources to 

participate in the committee; and

(2) the agency determines that such member’s participation in the 

committee is necessary to assure an adequate representation of the 

member’s interest.

(d) STATUS OF MEMBER AS FEDERAL EMPLOYEE.–A 

member’s receipt of funds under this section or section 569 shall not 

conclusively deter mine for purposes of sections 202 through 209 of title 

18 whether that member is an employee of the United States 

Government.

Sec. 569. Encouraging Negotiated Rulemaking

(a) The President shall designate an agency or designate or establish 

an interagency committee to facilitate and encourage agency use of 

negotiated rulemaking. An agency that is considering, planning, or 

conducting a negotiated rulemaking may consult with such agency or 

committee for information and assistance.

(b) To carry out the purposes of this Subchapter, an agency planning 

or conducting a negotiated rulemaking may accept, hold, administer, and 

utilize gifts, devises, and bequests of property, both real and personal if 

that agency’s acceptance and use of such gifts, devises, or bequests do 

not create a conflict of interest. Gifts and bequests of money and 

proceeds from sales of other property received as gifts, devises, or 

bequests shall be deposited in the Treasury and shall be disbursed upon 

the order of the head of such agency. Property accepted pursuant to this 

section, and the proceeds thereof, shall be used as nearly as possible in 

accordance with the terms of the gifts, devises, or bequests.1

––––––––

1 Amended by P.L. 101–648, § 3(a), 104 Stat. 4975 (1990); P.L. 102–354, 

§§ 3(a)(2), (5), 106 Stat. 944 (1992); P.L. 104–320, § 11(b), 110 Stat. 3873 (1996).

5 USC 569.
Negotiated Rulemaking Act of 1990 (5 U.S.C. 561–570) 637

Sec. 570. Judicial Review

Any agency action relating to establishing, assisting, or terminating a 

negotiated rulemaking committee under this Subchapter shall not be 

subject to judicial review. Nothing in this section shall bar judicial 

review of a rule if such judicial review is otherwise provided by law. A 

rule which is the product of negotiated rulemaking and is subject to 

judicial review shall not be accorded any greater deference by a court 

than a rule which is the product of other rulemaking procedures.

Sec. 570a. Authorization of Appropriations.

There are authorized to be appropriated such sums as may be 

necessary to carry out the purposes of this Subchapter.2

Sec. 4. Authorization of Appropriations

In order to carry out this Act and the amendments made by this Act, 

there are authorized to be appropriated to the Administrative Conference 

of the United States, in addition to amounts authorized by section 596 of 

title 5, United States Code, not in excess of $500,000 for each of the 

fiscal years 1991, 1992, and 1993.

Sec. 5. Sunset and Savings Provisions

Subchapter III of chapter 5, United States Code, (enacted as 

Subchapter IV of chapter 5 of title 5, United States Code, by section 3 of 

this Act and redesignated as Subchapter II of chapter 5 by section (3)(a) 

of the Administrative Procedure Technical Amendments Act of 1991); 

and that portion of the table of sections at the beginning of chapter 5 of 

title 5, United States Code, relating to Subchapter III, are repealed, 

effective 6 years after the date of the enactment of this Act, except that 

the provisions of such Subchapter shall continue to apply after the date of 

the repeal with respect to then pending negotiated rulemaking 

proceedings initiated before the date of repeal which, in the judgment of 

the agencies which are convening or have convened such proceedings, 

require such continuation, until such negotiated rulemaking proceedings 

terminate pursuant to such Subchapter.

––––––––

2 Added by P.L. 104–320, § 11(d)(1), 110 Stat. 3874 (1996).

5 USC 570.

5 USC 561 

note.

5 USC 561 

note.
638 Administrative Dispute Resolution Act (P.L. 101–552)

C. ADMINISTRATIVE DISPUTE RESOLUTION ACT, AS 

AMENDED

Public Law 101–552 104 Stat. 2736

November 15, 1990

An Act

To authorize and encourage Federal agencies to use mediation, 

conciliation, arbitration, and other techniques for the prompt and 

informal resolution of disputes, and for other purposes.

Be it enacted by the Senate and House of Representatives of the 

United States of America in Congress assembled,

Sec. 1. Short Title

This Act may be cited as the “Administrative Dispute Resolution 

Act.”1

Sec. 2. Findings

The Congress finds that–

(1) administrative procedure, as embodied in chapter 5 of title 5, 

United States Code, and other statutes, is intended to offer a prompt, 

expert, and inexpensive means of resolving disputes as an alternative 

to litigation in the Federal courts;

(2) administrative proceedings have become increasingly formal, 

costly, and lengthy resulting in unnecessary expenditures of time and 

in a decreased likelihood of achieving consensual resolution of 

disputes;

(3) alternative means of dispute resolution have been used in the 

private sector for many years and, in appropriate circumstances, have 

yielded decisions that are faster, less expensive, and less contentious;

(4) such alternative means can lead to more creative, efficient, and 

sensible outcomes;

(5) such alternative means may be used advantageously in a wide 

variety of administrative programs;

(6) explicit authorization of the use of well–tested dispute 

resolution techniques will eliminate ambiguity of agency authority 

under existing law;

(7) Federal agencies may not only receive the benefit of 

techniques that were developed in the private sector, but may also 

take the lead in the further development and refinement of such 

techniques; and

(8) the availability of a wide range of dispute resolution 

procedures, and an increased understanding of the most effective use 

of such procedures, will enhance the operation of the Government 

and better serve the public.

Sec. 3. Promotion of Alternative Means of Dispute Resolution

(a) PROMULGATION OF AGENCY POLICY.–Each agency shall 

adopt a policy that addresses the use of alternative means of dispute 

resolution and case management. In developing such a policy, each 

agency shall–

––––––––

1 When originally enacted, this law was codified at 5 U.S.C. 581 note. P.L. 102–354, 

106 Stat. 943, redesignated section numbers and U.S. Code cites and made minor 

amendments to the act.

5 USC 571 

note.
Administrative Dispute Resolution Act (P.L. 101–552) 639

(1) consult with the Administrative Conference of the United 

States and the Federal Mediation and Conciliation Service; and

(2) examine alternative means of resolving disputes in connection 

with–

(A) formal and informal adjudications;

(B) rulemakings;

(C) enforcement actions;

(D) issuing and revoking licenses or permits;

(E) contract administration;

(F) litigation brought by or against the agency; and

(G) other agency actions.

(b) DISPUTE RESOLUTION SPECIALISTS.–The head of each 

agency shall designate a senior official to be the dispute resolution 

specialist of the agency. Such official shall be responsible for the 

implementation of–

(1) the provisions of this Act and the amendments made by this 

Act; and

(2) the agency policy developed under subsection (a).

(c) TRAINING.–Each agency shall provide for training on a regular 

basis for the dispute resolution specialist of the agency and other 

employees involved in implementing the policy of the agency developed 

under subsection (a). Such training should encompass the theory and 

practice of negotiation, mediation, arbitration, or related techniques. The 

dispute resolution specialist shall periodically recommend to the agency 

head agency employees who would benefit from similar training.

(d) PROCEDURES FOR GRANTS AND CONTRACTS.–

(1) Each agency shall review each of its standard agreements for 

contracts, grants, and other assistance and shall determine whether to 

amend any such standard agreements to authorize and encourage the 

use of alternative means of dispute resolution.

(2)(A) Within 1 year after the date of the enactment of this Act, 

the Federal Acquisition Regulation shall be amended, as necessary, to 

carry out this Act and the amendments made by this Act.

(B) For purposes of this section, the term “Federal Acquisition 

Regulation” means the single system of Government–wide 

procurement regulation referred to in section 6(a) of the Office of 

Federal Procurement Policy Act (41 USC 405(a)).

Sec. 4. Administrative Procedures

(a) ADMINISTRATIVE HEARINGS.–Section 556(c) of title 5, 

United States Code, is amended–

(1) in paragraph (6) by inserting before the semicolon at the end 

thereof the following: “or by the use of alternative means of dispute 

resolution as provided in Subchapter IV of this Chapter”; and

(2) by redesignating paragraphs (7) through (9) as paragraphs (9) 

through (11), respectively, and inserting after paragraph (6) the 

following new paragraphs:

(7) inform the parties as to the availability of one or more 

alternative means of dispute resolution, and encourage use of such 

methods;

(8) require the attendance at any conference held pursuant to 

paragraph (6) of at least one representative of each party who has 

authority to negotiate concerning resolution of issues in controversy;

(b) ALTERNATIVE MEANS OF DISPUTE RESOLUTION.–

Chapter 5 of title 5, United States Code, is amended by adding at the end 

the following new Subchapter:
640 Administrative Dispute Resolution Act (P.L. 101–552)

Subchapter IV–Alternative Means of Dispute Resolution in the 

Administrative Process

Sec. 571. Definitions

For the purposes of this Subchapter, the term–2

(1) “agency” has the same meaning as in section 551(1) of this 

title;

(2) “administrative program” includes a Federal function which 

involves protection of the public interest and the determination of 

rights, privileges, and obligations of private persons through rule 

making, adjudication, licensing, or investigation, as those terms are 

used in Subchapter II of this chapter;

(3) “alternative means of dispute resolution” means any procedure 

that is used to resolve issues in controversy, including, but not limited 

to, conciliation, facilitation, mediation, fact–finding, minitrials, 

arbitration, and use of ombuds, or any combination thereof;

(4) “award” means any decision by an arbitrator resolving the 

issues in controversy;

(5) “dispute resolution communication” means any oral or written 

communication prepared for the purposes of a dispute resolution 

proceeding, including any memoranda, notes or work product of the 

neutral, parties or nonparty participant; except that a written 

agreement to enter into a dispute resolution proceeding, or final 

written agreement or arbitral award reached as a result of a dispute 

resolution proceeding, is not a dispute resolution communication;

(6) “dispute resolution proceeding” means any process in which 

an alternative means of dispute resolution is used to resolve an issue 

in controversy in which a neutral is appointed and specified parties 

participate;

(7) “in confidence” means, with respect to information, that the 

information is provided–

(A) with the expressed intent of the source that it not be 

disclosed; or

(B) under circumstances that would create the reasonable 

expectation on behalf of the source that the information will not 

be disclosed;

(8) “issue in controversy” means an issue which is material to a 

decision concerning an administrative program of an agency, and 

with which there is disagreement–

(A) between an agency and persons who would be 

substantially affected by the decision; or

(B) between persons who would be substantially affected by 

the decision;

(9) “neutral” means an individual who, with respect to an issue in 

controversy, functions specifically to aid the parties in resolving the 

controversy;

(10) “party” means–

(A) for a proceeding with named parties, the same as in 

section 551(3) of this title; and

––––––––

2 Amended by P.L.102–354, § 3(b)(1), 106 Stat. 944 (1992). Further amended by 

P.L. 104–320, § 2, 110 Stat. 3870, (1996).

5 USC 571.
Administrative Dispute Resolution Act (P.L. 101–552) 641

(B) for a proceeding without named parties, a person who will 

be significantly affected by the decision in the proceeding and 

who participates in the proceeding;

(11) “person” has the same meaning as in section 551(2) of this 

title; and

(12) “roster” means a list of persons qualified to provide services 

as neutrals.3

Sec. 572. General Authority

(a) An agency may use a dispute resolution proceeding for the 

resolution of an issue in controversy that relates to an administrative 

program, if the parties agree to such proceeding.

(b) An agency shall consider not using a dispute resolution 

proceeding if–

(1) a definitive or authoritative resolution of the matter is required 

for precedential value, and such a proceeding is not likely to be 

accepted generally as an authoritative precedent;

(2) the matter involves or may bear upon significant questions of 

Government policy that require additional procedures before a final 

resolution may be made, and such a proceeding would not likely 

serve to develop a recommended policy for the agency;

(3) maintaining established policies is of special importance, so 

that variations among individual decision are not increased and such a 

proceeding would not likely reach consistent results among individual 

decisions;

(4) the matter significantly affects persons or organizations who 

are not parties to the proceeding;

(5) a full public record of the proceeding is important, and a 

dispute resolution proceeding cannot provide such a record; and

(6) the agency must maintain continuing jurisdiction over the 

matter with authority to alter the disposition of the matter in the light 

of changed circumstances, and a dispute resolution proceeding would 

interfere with the agency’s fulfilling that requirement.

(c) Alternative means of dispute resolution authorized under this 

Subchapter are voluntary procedures which supplement rather than limit 

other available agency dispute resolution techniques.

Sec. 573. Neutrals

(a) A neutral may be a permanent or temporary officer or employee 

of the Federal Government or any other individual who is acceptable to 

the parties to a dispute resolution proceeding. A neutral shall have no 

official, financial, or personal conflict of interest with respect to the 

issues in controversy, unless such interest is fully disclosed in writing to 

all parties and all parties agree that the neutral may serve.

(b) A neutral who serves as a conciliator, facilitator, or mediator 

serves at the will of the parties.

(c) The President shall designate an agency or designate or establish 

an interagency committee to facilitate and encourage agency use of 

dispute resolution under this Subchapter. Such agency or interagency 

committee, in consultation with other appropriate Federal agencies and 

professional organizations experienced in matters concerning dispute 

resolution, shall–

(1) encourage and facilitate agency use of alternative means of 

dispute resolution; and

––––––––

3 Amended by P.L. 101–552, § 4(b), 104 Stat. 2738 (1990); P.L. 102–354, §§ 3(b)(2), 

5(b)(1), (2), 106 Stat. 944, 946 (1992); P.L. 104–320, § 2, 110 Stat. 3870 (1996).

5 USC 572.

5 USC 573.
642 Administrative Dispute Resolution Act (P.L. 101–552)

(2) develop procedures that permit agencies to obtain the services 

of neutrals on an expedited basis.

(d) An agency may use the services or one or more employees of 

other agencies to serve as neutrals in dispute resolution proceedings. The 

agencies may enter into an interagency agreement that provides for the 

reimbursement by the user agency or the parties of the full or partial cost 

of the services of such an employee.

(e) Any agency may enter into a contract with any person for services 

as a neutral, or for training in connection with alternative means of 

dispute resolution. The parties in a dispute resolution proceeding shall 

agree on compensation for the neutral that is fair and reasonable to the 

Government.4

Sec. 574. Confidentiality

(a) Except as provided in subsections (d) and (e), a neutral in a 

dispute resolution proceeding shall not voluntarily disclose or through 

discovery or compulsory process be required to disclose any dispute 

resolution communication or any communication provided in confidence 

to the neutral, unless–

(1) all parties to the dispute resolution proceeding and the neutral 

consent in writing, and, if the dispute resolution communication was 

provided by a nonparty participant, that participant also consents in 

writing;

(2) the dispute resolution communication has already been made 

public;

(3) the dispute resolution communication is required by statute to 

be made public, but a neutral should make such communication 

public only if no other person is reasonably available to disclose the 

communication; or

(4) a court determines that such testimony or disclosure is 

necessary to–

(A) prevent a manifest injustice;

(B) help establish a violation of law; or

(C) prevent harm to the public health or safety, of sufficient 

magnitude in the particular case to outweigh the integrity of 

dispute resolution proceedings in general by reducing the 

confidence of parties in future cases that their communications 

will remain confidential.

(b) A party to a dispute resolution proceeding shall not voluntarily 

disclose or through discovery or compulsory process be required to 

disclose any dispute resolution communications unless–

(1) the communication was prepared by the party seeking 

disclosure;

(2) all parties to the dispute resolution proceeding consent in 

writing;

(3) the dispute resolution communication has already been made 

public;

(4) the dispute resolution communication is required by statute to 

be made public;

(5) a court determines that such testimony or disclosure is 

necessary to–

(A) prevent a manifest injustice;

(B) help establish a violation of law; or

––––––––

4 Amended by P.L. 101–552, § 4(b), 104 Stat. 2739 (1990); P.L. 102–354, § 3(b)(2), 

106 Stat. 944 (1992); P.L. 104–320, § 7(b), 110 Stat. 3872 (1996).

5 USC 574.
Administrative Dispute Resolution Act (P.L. 101–552) 643

(C) prevent harm to the public health and safety, of sufficient 

magnitude in the particular case to outweigh the integrity of 

dispute resolution proceedings in general by reducing the 

confidence of parties in future cases that their communications 

will remain confidential;

(6) the dispute resolution communication is relevant to 

determining the existence or meaning of an agreement or award that 

resulted from the dispute resolution communication or to the 

enforcement of such an agreement or award; or

(7) except for dispute resolution communications generated by the 

neutral, the dispute resolution communication was provided to or was 

available to all parties to the dispute resolution proceeding.

(c) Any dispute resolution communication that is disclosed in 

violation of sub–section (a) or (b),5 shall not be admissible in any 

proceeding relating to the issues in controversy with respect to which the 

communication was made.

(d)(1) The parties may agree to alternative confidential procedures for 

disclosures by a neutral. Upon such agreement the parties shall inform 

the neutral before the commencement of the dispute resolution 

proceeding of any modifications to the provisions of subsection (a) that 

will govern the confidentiality of the dispute resolution proceeding. If the 

parties do not so inform the neutral, subsection (a) shall apply.

(2) To qualify for the exemption established under subsection (j), 

an alternative confidential procedure under this subsection may not 

provide for less disclosure than the confidential procedures otherwise 

provided under this section.

(e) If a demand of disclosure, by way of discovery request or other 

legal process is made upon a neutral regarding a dispute resolution 

communication, the neutral shall make reasonable efforts to notify the 

parties and any affected nonparty participants of the demand. Any party 

or affected nonparty participant who receives such notice and within 15 

calendar days does not offer to defend a refusal of the neutral to disclose 

the requested information shall have waived any objection to such 

disclosure.

(f) Nothing in this section shall prevent the discovery or admissibility 

of any evidence that is otherwise discoverable, merely because the 

evidence was presented in the course of a dispute resolution proceeding.

(g) Subsections (a) and (b) shall have no effect on the information 

and data that are necessary to document an agreement reached or order 

issued pursuant to a dispute resolution proceeding.

(h) Subsections (a) and (b) shall not prevent the gathering of 

information for research or educational purposes, in cooperation with 

other agencies, governmental entities, or dispute resolution programs, so 

long as the parties and the specific issues in controversy are not 

identifiable.

(i) Subsections (a) and (b) shall not prevent use of a dispute 

resolution communication to resolve a dispute between the neutral in a 

dispute resolution proceeding and a party to or participant in such 

proceeding so long as such dispute resolution communication is 

disclosed only to the extent necessary to resolve such dispute.

––––––––

5 The comma probably is unnecessary. The error is in the original law.
644 Administrative Dispute Resolution Act (P.L. 101–552)

(j) A dispute resolution communication which is between a neutral 

and a party and which may not be disclosed under this section shall also 

be exempt from disclosure under section 552(b)(3).6

Sec. 575. Authorization of Arbitration

(a)(1) Arbitration may be used as an alternative means of dispute 

resolution whenever all parties consent. Consent may be obtained either 

before or after an issue in controversy has arisen. A party may agree to–

(A) submit only certain issues in controversy to arbitration; or

(B) arbitration on the condition that the award must be within 

a range of possible outcomes.

(2) The arbitration agreement that sets forth the subject matter 

submitting to the arbitration shall be in writing. Each such arbitration 

agreement shall specify a maximum award that may be issued by the 

arbitrator and may specify other conditions limiting the range of 

possible outcomes.

(3) An agency may not require any person to consent to 

arbitration as a condition of entering into a contract or obtaining a 

benefit.

(b) An officer or employee of an agency shall not offer to use 

arbitration for the resolution of issues in controversy unless such officer 

or employee–

(1) would otherwise have authority to enter into a settlement 

concerning the matter; or

(2) is otherwise specifically authorized by the agency to consent 

to the use of arbitration.

(c) Prior to using binding arbitration under this Subchapter, the head 

of an agency, in consultation with the Attorney General and after taking 

into account the factors in section 572(b), shall issue guidance on the 

appropriate use of binding arbitration and when an officer or employee of 

the agency has authority to settle an issue in controversy through binding 

arbitration.7

Sec. 576. Enforcement of Arbitration Agreements

An agreement to arbitrate a matter to which this Subchapter applies is 

enforcement pursuant to section 4 of title 9, and no action brought to 

enforce such an agreement shall be dismissed nor shall relief therein be 

denied on the grounds that it is against the United States or that the 

United States is an indispensable party.

Sec. 577. Arbitrators

(a) The parties to an arbitration proceeding shall be entitled to 

participate in the selection of the arbitrator.

(b) The arbitrator shall be a neutral who meets the criteria of section 

573 of this title.

Sec. 578. Authority of the Arbitrator

An arbitrator to whom a dispute is referred under this Subchapter 

may–

(1) regulate the course of and conduct arbitral hearings;

(2) administer oaths and affirmations;

(3) compel the attendance of witnesses and production of 

evidence at the hearing under the provisions of section 7 of title 9 

only to the extent the agency involved is otherwise authorized by law 

to do so; and

––––––––

6 Amended by P.L. 101–552, § 4(b), 104 Stat. 2740 (1990); P.L. 102–354, § 3(b)(2), 

106 Stat. 944 (1992); P.L. 104–320, § 3, 110 Stat. 3870 (1996). 7 Amended by P.L. 101–552, § 4(b), 104 Stat. 2742 (1990); P.L. 102–354, § 3(b)(2), 

106 Stat. 944 (1992); P.L. 104–320, § 8(c), 110 Stat. 3872 (1996).

5 USC 575.

5 USC 576.

5 USC 577.

5 USC 578.
Administrative Dispute Resolution Act (P.L. 101–552) 645

(4) make awards.

Sec. 579. Arbitration Proceedings

(a) The arbitrator shall set a time and place for the hearing on the 

dispute and shall notify the parties not less than 5 days before the 

hearing.

(b) Any party wishing a record of the hearing shall–

(1) be responsible for the preparation of such record;

(2) notify the other parties and the arbitrator of the preparation of 

such record;

(3) furnish copies to all identified parties and the arbitrator; and

(4) pay all costs for such record, unless the parties agree otherwise 

or the arbitrator determines that the costs should be apportioned.

(c)(1) The parties to the arbitration are entitled to be heard, to present 

evidence material to the controversy, and to cross–examine witnesses 

appearing at the hearing.

(2) The arbitrator may, with the consent of the parties, conduct all 

or part of the hearing by telephone, television, computer, or other 

electronic means, if each party has an opportunity to participate.

(3) The hearing shall be conducted expeditiously and in an 

informal manner.

(4) The arbitrator may receive any oral or documentary evidence, 

except that irrelevant, immaterial, unduly repetitious, or privileged 

evidence may be excluded by the arbitrator.

(5) The arbitrator shall interpret and apply relevant statutory and 

regulatory requirements, legal precedents, and policy directives.

(d) No interested person shall make or knowingly cause to be made to 

the arbitrator an unauthorized ex parte communication relevant to the 

merits of the proceeding, unless the parties agree otherwise. If a 

communication is made in violation of this subsection, the arbitrator shall 

ensure that a memorandum of the communication is prepared and made a 

part of the record, and that an opportunity for rebuttal is allowed. Upon 

receipt of a communication made in violation of this subsection, the 

arbitrator may, to the extent consistent with the interests of justice and 

the policies underlying this subchapter, require the offending party to 

show cause why the claim of such party should not be resolved against 

such party as a result of the improper conduct.

(e) The arbitrator shall make the award within 30 days after the close 

of the hearing, or the date of the filing of any briefs authorized by the 

arbitrator, whichever date is later, unless–

(1) the parties agree to some other time limit; or

(2) the agency provides by rule for some other time limit.

Sec. 580. Arbitration Awards

(a)(1) Unless the agency provides otherwise by rule, the award in an 

arbitration proceeding under this subchapter shall include a brief, 

informal discussion of the factual and legal basis for the award, but 

formal findings of fact or conclusions of law shall not be required.

(2) The prevailing parties shall file the award with all relevant 

agencies, along with proof of service on all parties.

(b) The award in an arbitration proceeding shall become final 30 days 

after it is served on all parties. Any agency that is a party to the 

proceeding may extend this 30–day period for an additional 30–day 

period by serving a notice of such extension on all other parties before 

the end of the first 30–day period.

(c) A final award is binding on the parties to the arbitration 

proceeding, and may be enforced pursuant to sections 9 through 13 of 

5 USC 579.

5 USC 580.
646 Administrative Dispute Resolution Act (P.L. 101–552)

title 9. No action brought to enforce such an award shall be dismissed nor 

shall relief therein be denied on the grounds that it is against the United 

States or that the United States is an indispensable party.

(d) An award entered under this subchapter in an arbitration 

proceeding may not serve as an estoppel in any other proceeding for any 

issue that was resolved in the proceeding. Such an award also may not be 

used as precedent or otherwise be considered in any factually unrelated 

proceeding, whether conducted under this subchapter, by an agency, or in 

a court, or in any other arbitration proceeding.8

Sec. 581. Judicial Review

(a) Notwithstanding any other provision of law, any person adversely 

affected or aggrieved by an award made in an arbitration proceeding 

conducted under this subchapter may bring an action for review of such 

award only pursuant to the provisions of sections 9 through 13 of title 9.

(b)(1) A decision by an agency to use or not to use a dispute 

resolution proceeding under this subchapter shall be committed to the 

discretion of the agency and shall not be subject to judicial review, 

except that arbitration shall be subject to judicial review under section 

10(b) of title 9.

(2) A decision by the head of an agency under section 580 to 

terminate an arbitration proceeding or vacate an arbitral award shall 

be committed to the discretion of the agency and shall not be subject 

to judicial review.9

Sec. 582. Repealed10

Sec. 583. Support Services

For the purposes of this subchapter, an agency may use (with or 

without reimbursement) the services and facilities of other Federal 

agencies, state, local, and tribal governments,11 public and private 

organizations and agencies, and individuals with the consent of such 

agencies, organizations, and individuals. An agency may accept 

voluntary and uncompensated services for purposes of this subchapter 

without regard to the provisions of section 1342 of title 31.

Sec. 584. Authorization of Appropriations

There are authorized to be appropriated such sums as may be 

necessary to carry out the purposes of this Subchapter.

Sec. 5. Judicial Review of Arbitration Awards.

Section 10 of title 9, United States Code, is amended–

(1) by redesignating subsections (a) through (e) as paragraphs (1) 

through (5), respectively;

(2) by striking out “In either” and inserting in lieu thereof “(a) In 

any”; and

(3) by adding at the end thereof the following:

(b) The United States district court for the district wherein an award 

was made that was issued pursuant to section 590 of title 5 may make an 

order vacating the award upon the application of a person, other than a 

party to the arbitration, who is adversely affected or aggrieved by the 

award, if the use of arbitration or the award is clearly inconsistent with 

the factors set forth in section 582 of title 5.

––––––––

8 Amended by P.L. 101–552, § 4(b), 104 Stat. 2743 (1990); P.L. 102–354, §§ 3(b)(2), 

5(b)(3), 106 Stat. 944, 946 (1992); P.L. 104–320, § 8(a), 110 Stat. 3872 (1996). 9 Amended by P.L. 101–552, § 4(b), 104 Stat. 2744 (1990); P.L. 102–354, 

§ 3(b)(2), (4), 106 Stat. 944 (1992); P.L. 104–320, § 8(b), 110 Stat. 3872 (1996). 10 Amended by P.L. 104–320, § 4(b)(1), 110 Stat. 3871 (1996). 11 Amended by P.L. 104–320, § 5, 110 Stat. 3871 (1996).

5 USC 581.

5 USC 582.

5 USC 583.

5 USC 584.
Administrative Dispute Resolution Act (P.L. 101–552) 647

Sec. 6. Government Contract Claims

(a) ALTERNATIVE MEANS OF DISPUTE RESOLUTION.–

Section 6 of the Contract Disputes Act of 1978 (41 USC 606) is amended 

by adding at the end the following new subsections:

(d) Notwithstanding any other provision of this Act, a contractor and 

a contracting officer may use any alternative means of dispute resolution 

under Subchapter IV of chapter 5 of title 5, United States Code, or other 

mutually agreeable procedures, for resolving claims. In a case in which 

such alternative means of dispute resolution or other mutually agreeable 

procedures are used, the contractor shall certify that the claim is made in 

good faith, that the supporting data are accurate and complete to the best 

of his or her knowledge and belief, and that the amount requested 

accurately reflects the contract adjustment for which the contractor 

believes the Government is liable. All provisions of Subchapter IV of 

chapter 5 of title 5, United States Code, shall apply to such alternative 

means of dispute resolution.

(e) The authority of agencies to engage in alternative means of 

dispute resolution proceedings under subsection (d) shall cease to be 

effective on October 1, 1995, except that such authority shall continue in 

effect with respect to then pending dispute resolution proceedings which, 

in the judgment of the agencies that are parties to such proceedings, 

require such continuation, until such proceedings terminate.

(b) JUDICIAL REVIEW OF ARBITRAL AWARDS.–Section 8(g) 

of the Contract Disputes Act of 1978 (41 USC 607(g)) is amended by 

adding at the end the following new paragraph:

(3) An award by an arbitrator under this Act shall be reviewed 

pursuant to sections 9 through 13 of title 9, United States Code, 

except that the court may set aside or limit any award that is found to 

violate limitations imposed by Federal statue.

Sec. 7. Federal Mediation and Conciliation Service

Section 203 of the Labor Management Relations Act, 1947 (29 USC 

173) is amended by adding at the end the following new subsection:

(f) The Service may make its services available to Federal agencies to 

aid in the resolution of disputes under the provisions of Subchapter IV of 

chapter 5 of title 5, United States Code. Functions performed by the 

Service may include assisting parties to disputes related to administrative 

programs, training persons in skills and procedures employed in 

alternative means of dispute resolution, and furnishing officers and 

employees of the Service to act as neutrals. Only officers and employees 

who are qualified in accordance with section 583 of title 5, United States 

Code, may be assigned to act as neutrals. The Service shall consult with 

the Administrative Conference of the United States and other agencies in 

maintaining rosters of neutrals and arbitrators, and to adopt such 

procedures and rules as are necessary to carry out the services authorized 

in this subsection.

Sec. 8. Government Tort and Other Claims

(a) FEDERAL TORT CLAIMS.–Section 2672 of title 28, United 

States Code, is amended by adding at the end of the first paragraph the 

following:

Notwithstanding the proviso contained in the preceding sentence, any 

award, compromise, or settlement may be effected without the prior 

written approval of the Attorney General or his or her designee, to the 

extent that the Attorney General delegates to the head of the agency 

the authority to make such award, compromise, or settlement. Such 

delegations may not exceed the authority delegated by the Attorney 

41 USC 605.
648 Administrative Dispute Resolution Act (P.L. 101–552)

General to the United States attorneys to settle claims for money 

damages against the United States. Each Federal agency may use 

arbitration, or other alternative means of dispute resolution under the 

provisions of Subchapter IV of chapter 5 of title 5, to settle any tort 

claim against the United States, to the extent of the agency’s authority 

to award, compromise, or settle such claim without the prior written 

approval of the Attorney General or his or her designee.

(b) CLAIMS OF THE GOVERNMENT.–Section 3711(a)(2) of title 

31, United States Code, is amended by striking out “$20,000 (excluding 

interest)” and inserting in lieu thereof “$100,000 (excluding interest) or 

such higher amount as the Attorney General may from time to time 

prescribe.”

Sec. 9. Use of Non–Attorneys

(a) REPRESENTATION OF PARTIES.–Each agency, in developing 

a policy on the use of alternative means of dispute resolution under this 

Act, shall develop a policy with regard to the representation by persons 

other than attorneys of parties in alternative dispute resolution 

proceedings and shall identify any of its administrative programs with 

numerous claims or disputes before the agency and determine–

(1) the extent to which individuals are represented or assisted by 

attorneys or by persons who are not attorneys; and

(2) whether the subject areas of the applicable proceedings or the 

procedures are so complex or specialized that only attorneys may 

adequately provide such representation or assistance.

(b) REPRESENTATION AND ASSISTANCE BY NON–

ATTORNEYS.–A person who is not an attorney may provide 

representation or assistance to any individual in a claim or dispute with 

an agency, if–

(1) such claim or dispute concerns an administrative program 

identified under subsection (a);

(2) such agency determines that the proceeding or procedure does 

not necessitate representation or assistance by an attorney under 

subsection (a)(2); and

(3) such person meets any requirement of the agency to provide 

representation or assistance in such a claim or dispute.

(c) DISQUALIFICATION OF REPRESENTATION OR 

ASSISTANCE.–Any agency that adopts regulations under Subchapter IV 

of chapter 5 of title 5, United States Code, to permit representation or 

assistance by persons who are not attorneys shall review the rules of 

practice before such agency to–

(1) ensure that any rules pertaining to disqualification of attorneys 

from practicing before the agency shall also apply, as appropriate, to 

other persons who provide representation or assistance; and

(2) establish effective agency procedures for enforcing such rules 

of practice and for receiving complaints from affected persons.

Sec. 10. Definitions

As used in this Act, the terms “agency”, “administrative program”, 

and “alternative means of dispute resolution” have the meanings given 

such terms in section 581 of title 5, United States Code, as added by 

section 4(b) of this Act.

Sec. 11. Sunset Provision

The authority of agencies to use dispute resolution proceedings under 

this Act and the amendments made by this Act shall terminate on 

October 1, 1995, except that such authority shall continue in effect with 

respect to then pending proceedings which, in the judgment of the 

5 USC 581 

note.

5 USC 581 

note.

5 USC 581 

note.
Administrative Dispute Resolution Act (P.L. 101–552) 649

agencies that are parties to the dispute resolution proceedings, require 

such continuation, until such proceedings terminate.
650 Regulatory Flexibility Act (P.L. 96–354)—5 U.S.C. 601–612

D. REGULATORY FLEXIBILITY ACT, AS AMENDED

(5 U.S.C. 601–612)

Public Law 96–354 94 Stat. 1164

September 19, 1980

Chapter 6–The Analysis of Regulatory Functions

5 USC 601–612

Sec. 601. Definitions

For purposes of this Chapter–

(1) the term “agency” means an agency as defined in section 551 

of this title;

(2) The term “rule” means any rule for which the agency 

publishes a general notice of proposed rulemaking pursuant to section 

553(b) of this title, or any other law, including any rule of general 

applicability governing Federal grants to State and local governments 

for which the agency provides an opportunity for notice and public 

comment, except that the term “rule” does not include a rule of 

particular applicability relating to rates, wages, corporate or financial 

structures or reorganizations thereof, prices, facilities, appliances, 

services, or allowances therefor or to valuations, costs or accounting, 

or practices relating to such rates, wages, structures, prices, 

appliances, services, or allowances;

(3) the term “small business” has the same meaning as the term 

“small business concern” under section 3 of the Small Business Act, 

unless an agency, after consultation with the Office of Advocacy of 

the Small Business Administration and after opportunity for public 

comment, establishes one or more definitions of such term which are 

appropriate to the activities of the agency and publishes such 

definitions(s) in the Federal Register;

(4) the term “small organization” means any not–for–profit 

enterprise which is independently owned and operated and is not 

dominant in its field, unless an agency establishes, after opportunity 

for public comment, one or more definitions of such term which are 

appropriate to the activities of the agency and publishes such 

definition(s) in the Federal Register;

(5) the term “small governmental jurisdiction” means 

governments of cities, counties, towns, townships, villages, school 

districts, or special districts, with a population of less than fifty 

thousand, unless an agency establishes, after opportunity for public 

comment, one or more definitions of such term which are appropriate 

to the activities of the agency and which are based on such factors as 

location in rural or sparsely populated areas or limited revenues due 

to the population of such jurisdiction, and publishes definition(s) in 

the Federal Register; and

(6) the term “small entity” shall have the same meaning as the 

terms “small business,” “small organization” and “small 

governmental jurisdiction” defined in paragraphs (3), (4) and (5) of 

this section.

(7) 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 

5 USC 601.
Regulatory Flexibility Act (5 U.S.C. 601–612) 651

opinions by or for an agency, regardless of form or format, calling 

for either–

(i) answers to identical questions posed to, or identical 

reporting or recordkeeping requirements imposed on, 10 or 

more persons, other than agencies, instrumentalities, or 

employees of the United States; or

(ii) answers to questions posed to agencies, 

instrumentalities, or employees of the United States which are 

to be used for general statistical purposes; and

(B) shall not include a collection of information described 

under section 3518(c)(1) of title 44, United States Code.

(8) Recordkeeping Requirement.–The term “recordkeeping 

requirement” means a requirement imposed by an agency on persons 

to maintain specified records.1

Sec. 602. Regulatory Agenda

(a) During the months of October and April of each year, each agency 

shall publish in the Federal Register a regulatory flexibility agenda which 

shall contain–

(1) a brief description of the subject area of any rule which the 

agency expects to proposed or promulgate which is likely to have a 

significant economic impact on a substantial number of small entities;

(2) a summary of the nature of any such rule under consideration 

for each subject area listed in the agenda pursuant to paragraph (1), 

the objectives and legal basis for the issuance of the rule, and an 

approximate schedule for completing action on any rule for which the 

agency has issued a general notice of proposed rulemaking, and

(3) the name and telephone number of an agency official 

knowledgeable concerning the items listed in paragraph (1).

(b) Each regulatory flexibility agenda shall be transmitted to the 

Chief Counsel for Advocacy of the Small Business Administration for 

comment, if any.

(c) Each agency shall endeavor to provide notice of each regulatory 

flexibility agenda to small entities or their representatives through direct 

notification or publication of the agenda in publications likely to be 

obtained by such small entities and shall invite comments upon each 

subject area on the agenda.

(d) Nothing in this section precludes an agency from considering or 

acting on any matter not included in a regulatory flexibility agenda, or 

requires an agency to consider or act on any matter listed in such agenda. 

(Added P.L. 96–354, Sept. 19, 1980, 94 Stat. 1166.)

Sec. 603. Initial Regulatory Flexibility Analysis

(a) Whenever an agency is required by section 553 of this title, or any 

other law, to publish general notice of proposed rulemaking for any 

proposed rule, or publishes a notice of proposed rulemaking for an 

interpretative rule involving the internal revenue laws of the United 

States, the agency shall prepare and make available for public comment 

an initial regulatory flexibility analysis. Such analysis shall describe the 

impact of the proposed rule on small entities. The initial regulatory 

flexibility analysis or a summary shall be published in the Federal 

Register at the time of the publication of general notice of proposed 

rulemaking for the rule. The agency shall transmit a copy of the initial 

regulatory flexibility analysis to the Chief Counsel for Advocacy of the 

Small Business Administration. In the case of an interpretative rule 

––––––––

1 Amended by P.L. 104–121, Title II, Subtitle D, § 241(a)(2), 110 Stat. 864 (1996).

5 USC 602.

5 USC 603.
652 Regulatory Flexibility Act (P.L. 96–354)—5 U.S.C. 601–612

involving the internal revenue laws of the United States, this chapter 

applies to interpretative rules published in the Federal Register for 

codification in the Code of Federal Regulations, but only to the extent 

that such interpretative rules impose on small entities a collection of 

information requirement.

(b) Each initial regulatory flexibility analysis required under this 

section shall contain–

(1) a description of the reasons why action by the agency is being 

considered;

(2) a succinct statement of the objectives of, and legal basis for, 

the proposed rule;

(3) a description of and, where feasible, an estimate of the number 

of small entities to which the proposed rule will apply;

(4) a description of the projected reporting, recordkeeping and 

other compliance requirements of the proposed rule, including an 

estimate of the classes of small entities which will be subject to the 

requirement and the type of professional skills necessary for 

preparation of the report or record;

(5) an identification, to the extent practicable, of all relevant 

Federal rules which may duplicate, overlap or conflict with the 

proposed rule.

(c) Each initial regulatory flexibility analysis shall also contain a 

description of any significant alternatives to the proposed rule which 

accomplish the stated objectives of applicable statutes and which 

minimize any significant economic impact of the proposed rule on small 

entities. Consistent with the stated objectives of applicable statutes, the 

analysis shall discuss significant alternatives such as–

(1) the establishment of differing compliance or reporting 

requirements or timetables that take into account the resources 

available to small entities;

(2) the clarification, consolidation, or simplification of 

compliance and reporting requirements under the rule for such small 

entities;

(3) the use of performance rather than design standards; and

(4) an exemption from coverage of the rule, or any part thereof, 

for such small entities.2

Sec. 604. Final Regulatory Flexibility Analysis

a) When an agency promulgates a final rule under section 553 of this 

title, after being required by that section or any other law to publish a 

general notice of proposed rulemaking, or promulgates a final 

interpretative rule involving the internal revenue laws of the United 

States as described in section 603(a), the agency shall prepare a final 

regulatory flexibility analysis. Each final regulatory flexibility analysis 

shall contain–

(1) a statement of the need for, and objectives of, the rule;

(2) a statement of the significant issues raised by the public 

comments in response to the initial regulatory flexibility analysis, a 

statement of the assessment of the agency of such issues, and a 

statement of any changes made in the proposed rule as a result of 

such comments;

(3) the response of the agency to any comments filed by the Chief 

Counsel for Advocacy of the Small Business Administration in 

response to the proposed rule, and a detailed statement of any change 

––––––––

2 Amended by P.L. 104–121, Title II, Subtitle D, § 241(a)(1), 110 Stat. 864 (1996).

5 USC 604.
Regulatory Flexibility Act (5 U.S.C. 601–612) 653

made to the proposed rule in the final rule as a result of the 

comments;3

(4) a description of and an estimate of the number of small 

entities to which the rule will apply or an explanation of why no such 

estimate is available;

(5) a description of the projected reporting, recordkeeping and 

other compliance requirements of the rule, including an estimate of 

the classes of small entities which will be subject to the requirement 

and the type of professional skills necessary for preparation of the 

report or record; and

6) a description of the steps the agency has taken to minimize the 

significant economic impact on small entities consistent with the 

stated objectives of applicable statutes, including a statement of the 

factual, policy, and legal reasons for selecting the alternative adopted 

in the final rule and why each one of the other significant alternatives 

to the rule considered by the agency which affect the impact on small 

entities was rejected.

(b) The agency shall make copies of the final regulatory flexibility 

analysis available to members of the public and shall publish in the 

Federal Register such analysis or a summary thereof.4

Sec. 605. Avoidance of Duplicative or Unnecessary Analyses

(a) Any Federal agency may perform the analyses required by 

sections 602, 603, and 604 of this title in conjunction with or as a part of 

any other agenda or analysis required by any other law if such other 

analysis satisfies the provisions of such sections.

(b) Sections 603 and 604 of this title shall not apply to any proposed 

or final rule if the head of the agency certifies that the rule will not, if 

promulgated, have a significant economic impact on a substantial number 

of small entities. If the head of the agency makes a certification under the 

preceding sentence, the agency shall publish such certification in the 

Federal Register at the time of publication of general notice of proposed 

rulemaking for the rule or at the time of publication of the final rule, 

along with a statement providing the factual basis for such certification. 

The agency shall provide such certification and statement to the Chief 

Counsel for Advocacy of the Small Business Administration.

(c) In order to avoid duplicative action, an agency may consider a 

series of closely related rules as one rule for the purposes of sections 602, 

603, 604 and 610 of this title.5

Sec. 606. Effect on Other Law

The requirements of sections 603 and 604 of this title do not alter in 

any manner standards otherwise applicable by law to agency action.

Sec. 607. Preparation of Analyses

In complying with the provisions of sections 603 and 604 of this title, 

an agency may provide either a quantifiable or numerical description of 

the effects of a proposed rule or alternatives to the proposed rule, or more 

general descriptive statements if quantification is not practicable or 

reliable.

Sec. 608. Procedure for Waiver or Delay of Completion

(a) An agency head may waive or delay the completion of some or all 

of the requirements of section 603 of this title by publishing in the 

Federal Register, not later than the date of publication of the final rule, a 

––––––––

3 Amended by P.L. 111–240, 124 Stat. 2551, Amended § 204 and added 

subparagraph (3). 4 Amended by P.L. 104–121, Title II, Subtitle D, § 241(b), 110 Stat. 864 (1996). 5 Amended by P.L. 104–121, Title II, Subtitle D, § 243(a), 110 Stat. 866 (1996).

5 USC 605.

5 USC 606.

5 USC 607.

5 USC 608.
654 Regulatory Flexibility Act (P.L. 96–354)—5 U.S.C. 601–612

written finding, with reasons therefor, that the final rule is being 

promulgated in response to an emergency that makes compliance or 

timely compliance with the provisions of section 603 of this title 

impracticable.

(b) Except as provided in section 605(b), an agency head may not 

waive the requirements of section 604 of this title. An agency head may 

delay the completion of the requirements of section 604 of this title for a 

period of not more than one hundred and eighty days after the date of 

publication in the Federal Register of a final rule by publishing in the 

Federal Register, not later than such date of publication, a written 

finding, with reasons therefor, that the final rule is being promulgated to 

response to an emergency that makes timely compliance with the 

provisions of section 604 of this title impracticable. If the agency has not 

prepared a final regulatory analysis pursuant to section 604 of this title 

within one hundred and eighty days from the date of publication of the 

final rule, such rule shall lapse and have no effect. Such rule shall not be 

repromulgated until a final regulatory flexibility analysis has been 

completed by the agency. (Added Public Law 96–354, Sept. 19, 1980, 94 

Stat. 1168.)

Sec. 609. Procedures for Gathering Comments

(a) When any rule is promulgated which will have a significant 

economic impact on a substantial number of small entities, the head of 

the agency promulgating the rule or the official of the agency with 

statutory responsibility for the promulgation of the rule shall assure that 

small entities have been given an opportunity to participate in the 

rulemaking for the rule through the reasonable use of techniques2 such 

as–

(1) the inclusion in an advanced notice of proposed rulemaking, if 

issued, of a statement that the proposed rule may have a significant 

economic effect on a substantial number of small entities;

(2) the publication of general notice of proposed rulemaking in 

publications likely to be obtained by small entities;

(3) the direct notification of interested small entities;

(4) the conduct of open conferences or public hearings concerning 

the rule for small entities including soliciting and receiving comments 

over computer networks; and

(5) the adoption or modification of agency procedural rules to 

reduce the cost or complexity of participation in the rulemaking by 

small entities.

(b) Prior to publication of an initial regulatory flexibility analysis 

which a covered agency is required to conduct by this Chapter–

(1) a covered agency shall notify the Chief Counsel for Advocacy 

of the Small Business Administration and provide the Chief Counsel 

with information on the potential impacts of the proposed rule on 

small entities and the type of small entities that might be affected;

(2) not later than 15 days after the date of receipt of the materials 

described in paragraph (1), the Chief Counsel shall identify 

individuals representative of affected small entities for the purpose of 

obtaining advice and recommendations from those individuals about 

the potential impacts of the proposed rule;

(3) the agency shall convene a review panel for such rule 

consisting wholly of full time Federal employees of the Office within 

the agency responsible for carrying out the proposed rule, the Office

of Information and Regulatory Affairs within the Office of 

Management and Budget, and the Chief Counsel;

5 USC 609.
Regulatory Flexibility Act (5 U.S.C. 601–612) 655

(4) the panel shall review any material the agency has prepared in 

connection with this chapter, including any draft proposed rule, 

collect advice and recommendations of each individual small entity 

representative identified by the agency after consultation with the 

Chief Counsel, on issues related to subsections 603(b), paragraphs 

(3), (4) and (5) and 603(c);3

(5) not later than 60 days after the date a covered agency 

convenes a review panel pursuant to paragraph (3), the review panel 

shall report on the comments of the small entity representatives and 

its findings as to issues related to subsections 603(b), paragraphs (3), 

(4) and (5) and 603(c),4 provided that such report shall be made 

public as part of the rulemaking record; and

(6) where appropriate, the agency shall modify the proposed rule, 

the initial regulatory flexibility analysis or the decision on whether an 

initial regulatory flexibility analysis is required.

(c) An agency may in its discretion apply subsection (b) to rules that 

the agency intends to certify under subsection 605(b), but the agency 

believes may have a greater than de minimis impact on a substantial 

number of small entities.

(d) For purposes of this section, the term “covered agency” means the 

Environmental Protection Agency and the Occupational Safety and 

Health Administration of the Department of Labor.

(e) The Chief Counsel of Advocacy, in consultation with the 

individuals identified in subsection (b)(2), and with the Administrator of 

the Office of Information and Regulatory Affairs within the Office of 

Management and Budget, may waive the requirements of subsections 

(b)(3), (b)(4), and (b)(5) by including in the rulemaking record a written 

finding, with reasons therefor, that those requirements would not advance 

the effective participation of small entities in the rulemaking process. For 

purposes of this subsection, the factors to be considered in making such a 

finding are as follows:

(1) In developing a proposed rule, the extent to which the covered 

agency consulted with individuals representative of affected small 

entities with respect to the potential impacts of the rule and took such 

concerns into consideration.

(2) Special circumstances requiring prompt issuance of the rule.

(3) Whether the requirements of subsection (b) would provide the 

individuals identified in subsection (b)(2) with a competitive 

advantage relative to other small entities.

6

Sec. 610. Periodic Review of Rules

(a) Within one hundred and eighty days after the effective date of this 

chapter, each agency shall publish in the Federal Register a plan for the 

periodic review of the rules issued by the agency which have or will have 

a significant economic impact upon a substantial number of small 

entities. Such plan may be amended by the agency at any time by 

publishing the revision in the Federal Register. The purpose of the review 

shall be to determine whether such rules should be continued without 

change, or should be amended or rescinded, consistent with the stated 

objectives of applicable statutes, to minimize any significant economic 

impact of the rules upon a substantial number of such small entities. The 

plan shall provide for the review of all such agency rules existing on the 

effective date of this chapter within ten years of that date and for the 

review of such rules adopted after the effective date of this chapter within 

––––––––

6 Amended by P.L. 104–121, Title II, Subtitle D, § 244(a), 110 Stat. 867 (1996).

5 USC 610.
656 Regulatory Flexibility Act (P.L. 96–354)—5 U.S.C. 601–612

ten years of the publication of such rules as the final rule. If the head of 

the agency determines that completion of the review of existing rules is 

not feasible by the established date, he shall so certify in a statement 

published in the Federal Register and may extend the completion date by 

one year at a time for a total of not more than five years.

(b) In reviewing rules to minimize any significant economic impact 

of the rule on a substantial number of small entities in a manner 

consistent with the stated objectives of applicable statutes, the agency 

shall consider the following factors–

(1) the continued need for the rule;

(2) the nature of complaints or comments received concerning the 

rule from the public;

(3) the complexity of the rule;

(4) the extent to which the rule overlaps, duplicates or conflicts 

with other federal rules, and, to the extent feasible, with State and 

local governmental rules; and

(5) the length of time since the rule has been evaluated or the 

degree to which technology, economic conditions, or other factors 

have changed in the area affected by the rule.

(c) Each year, each agency shall publish in the Federal Register a list 

of the rules which have a significant economic impact on a substantial 

number of small entities, which are to be reviewed pursuant to this 

section during the succeeding twelve months. The list shall include a 

brief description of each rule and the need for and legal basis of such rule 

and shall invite public comment upon the rule. (Added P.L. 96–354, 

Sept. 19, 1980, 94 Stat. 1168.)

Sec. 611. Judicial Review

(a)(1) For any rule subject to this chapter, a small entity that is 

adversely affected or aggrieved by final agency action is entitled to 

judicial review of agency compliance with the requirements of sections 

601, 604, 605(b), 608(b), and 610 in accordance with chapter 7. Agency 

compliance with sections 607 and 609(a) shall be judicially reviewable in 

connection with judicial review of section 604.

(2) Each court having jurisdiction to review such rule for 

compliance with section 553, or under any other provision of law, 

shall have jurisdiction to review any claims of noncompliance with 

sections 601, 604, 605(b), 608(b), and 610 in accordance with chapter 

7. Agency compliance with section 607 and 609(a) shall be judicially 

reviewable in connection with judicial review of section 604.

(3)(A) A small entity may seek such review during the period 

beginning on the date of final agency action and ending one year 

later, except that where a provision of law requires that an action 

challenging a final agency action be commenced before the expiration 

of one year, such lesser period shall apply to an action for judicial 

review under this section.

(B) In the case where an agency delays the issuance of a final 

regulatory flexibility analysis pursuant to section 608(b) of this 

chapter, an action for judicial review under this section shall be 

filed not later than–

(i) one year after the date the analysis is made available to 

the public, or

(ii) where a provision of law requires that an action 

challenging a final agency regulation be commenced before 

the expiration of the 1–year period, the number of days 

5 USC 611.
Regulatory Flexibility Act (5 U.S.C. 601–612) 657

specified in such provision of law that is after the date the 

analysis is made available to the public.

(4) In granting any relief in an action under this section, the court 

shall order the agency to take corrective action consistent with this 

chapter and chapter 7, including, but not limited to–

(A) remanding the rule to the agency, and

(B) deferring the enforcement of the rule against small entities 

unless the court finds that continued enforcement of the rule is in 

the public interest.

(5) Nothing in this subsection shall be construed to limit the 

authority of any court to stay the effective date of any rule or 

provision thereof under any other provision of law or to grant any 

other relief in addition to the requirements of this section.

(b) In an action for the judicial review of a rule, the regulatory 

flexibility analysis for such rule, including an analysis prepared or 

corrected pursuant to paragraph (a)(4), shall constitute part of the entire 

record of agency action in connection with such review.

(c) Compliance or noncompliance by an agency with the provisions 

of this chapter shall be subject to judicial review only in accordance with 

this section.

(d) Nothing in this section bars judicial review of any other impact 

statement or similar analysis required by any other law if judicial review 

of such statement or analysis is otherwise permitted by law.7

Sec. 612. Reports and Intervention Rights

(a) The Chief Counsel for Advocacy of the Small Business 

Administration shall monitor agency compliance with this chapter and 

shall report at least annually thereon to the President and to the 

Committees on the Judiciary and Small Business of the Senate and 

House of Representatives.

(b) The Chief Counsel for Advocacy of the Small Business 

Administration is authorized to appear as amicus curiae in any action 

brought in a court of the United States to review a rule. In any such 

action, the Chief counsel is authorized to present his or her views with 

respect to compliance of this chapter, the adequacy of the rulemaking 

record with respect to small entities.8

(c) A court of the United States shall grant the application of the 

Chief Counsel for Advocacy of the Small Business Administration to 

appear in any such action for the purposes described in subsection (b).

(Added P.L. 96–354, Sept. 19, 1980, 94 Stat. 1170.)

––––––––

7 Amended by P.L. 104–121, Title II, Subtitle D, § 242, 110 Stat. 865 (1996). 8 Amended by P.L. 104–121, Title II, Subtitle D, § 243(b), 110 Stat. 866 (1996).

5 USC 612.
658 Judicial Review—5 U.S.C. 701–706

E. JUDICIAL REVIEW (5 U.S.C. 701–706)

Chapter 7–Judicial Review

Sec. 701. Application; Definitions

(a) This chapter applies, according to the provisions thereof, except to 

the extent that–

(1) statutes preclude judicial review; or

(2) agency action is committed to agency discretion by law.

(b) For the purpose of this Chapter–

(1) “agency” means each authority of the Government of the 

United States, whether or not it is within or subject to review by 

another agency, but does not include–

(A) the Congress;

(B) the courts of the United States:

(C) the governments of the territories or possessions of the 

United States;

(D) the government of the District of Columbia;

(E) agencies composed of representatives of the parties or of 

representatives of organizations of the parties to the disputes 

determined by them;

(F) courts martial and military commissions;

(G) military authority exercised in the field in time of war or 

in occupied territory; or

(H) functions conferred by sections 1738, 1739, 1743, and 

1744 of title 12; chapter 2 of title 41; Subchapter II of chapter 471 

of title 49; or sections 1884, 1891–1902, and former section 

1641(b)(2), of title 50, appendix; and

(2) “person”, “rule”, “order”, “license”, “sanction”, “relief”, and 

“agency action” have the meanings given them by section 551 of this 

title.1

Sec. 702. Right of Review

A person suffering legal wrong because of agency action, or 

adversely affected or aggrieved by agency action within the meaning of a 

relevant statute, is entitled to judicial review thereof. An action in a court 

of the United States seeking relief other than money damages and stating 

a claim that an agency or an officer or employee thereof acted or failed to 

act in an official capacity or under color of legal authority shall not be 

dismissed nor relief therein be denied on the ground that it is against the 

United States or that the United States is an indispensable party. The 

United States may be named as a defendant in any such action, and a 

judgment or decree may be entered against the United States: Provided, 

That any mandatory or injunctive decree shall specify the Federal officer 

or officers (by name or by title), and their successors in Office, 

personally responsible for compliance. Nothing herein (1) affects other 

limitations on judicial review or the power or duty of the court to dismiss 

any action or deny relief on any other appropriate legal or equitable 

ground; or (2) confers authority to grant relief if any other statute that 

grants consent to suit expressly or impliedly forbids the relief which is 

sought.2

––––––––

1 Amended by P.L. 103–272, § 5(a), 108 Stat. 1373 (1994). 2 Amended by P.L. 94–574, § 1, 90 Stat. 2721 (1976).

5 USC 701.

5 USC 702.
Judicial Review (5 USC 701–706) 659

Sec. 703. Form and Venue of Proceeding

The form of proceeding for judicial review is the special statutory review 

proceeding relevant to the subject matter in a court specified by statute 

or, in the absence or inadequacy thereof, any applicable form of legal 

action, including actions for declaratory judgments or writs of 

prohibitory or mandatory injunction or habeas corpus, in a court of 

competent jurisdiction. If no special statutory review proceeding is 

applicable, the action for judicial review may be brought against the 

United States, the agency by its official title, or the appropriate officer. 

Except to the extent that prior, adequate, and exclusive opportunity for 

judicial review is provided by law, agency action is subject to judicial 

review in civil or criminal proceedings for judicial enforcement.3

Sec. 704. Actions Reviewable

Agency action made reviewable by statute and final agency action for 

which there is no other adequate remedy in a court are subject to judicial 

review. A preliminary, procedural, or intermediate agency action or 

ruling not directly reviewable is subject to review on the review of the 

final agency action. Except as otherwise expressly required by statute, 

agency action otherwise final is final for the purposes of this section 

whether or not there has been presented or determined an application for 

a declaratory order, for any form of reconsideration, or, unless the agency 

otherwise requires by rule and provides that the action meanwhile is 

inoperative, for an appeal to superior agency authority.

Sec. 705. Relief Pending Review

When an agency finds that justice so requires, it may postpone the 

effective date of action taken by it, pending judicial review. On such 

conditions as may be required and to the extent necessary to prevent 

irreparable injury, the reviewing court, including the court to which a 

case may be taken on appeal from or on application for certiorari or other 

writ to a reviewing court, may issue all necessary and appropriate process 

to postpone the effective date of an agency action or to preserve status or 

rights pending conclusion of the review proceedings.

Sec. 706. Scope of Review

To the extent necessary to decision and when presented, the 

reviewing court shall decide all relevant questions of law, interpret 

constitutional and statutory provisions, and determine the meaning or 

applicability of the terms of an agency action. The reviewing court shall–

(1) compel agency action unlawfully withheld or unreasonably 

delayed; and

(2) hold unlawful and set aside agency action, findings, and 

conclusions found to be–

(A) arbitrary, capricious, an abuse of discretion, or otherwise 

not in accordance with law;

(B) contrary to constitutional right, power, privilege, or 

immunity;

(C) in excess of statutory jurisdiction, authority, or limitations, 

or short of statutory right;

(D) without observance of procedure required by law;

(E) unsupported by substantial evidence in a case subject to 

sections 556 and 557 of this title or otherwise reviewed on the 

record of an agency hearing provided by statute; or

(F) unwarranted by the facts to the extent that the facts are 

subject to trial de novo by the reviewing court.

––––––––

3 Amended by P.L. 94–574, § 1, 90 Stat. 2721 (1976).

5 USC 703.

5 USC 704.

5 USC 705.

5 USC 706.
660 Judicial Review—5 U.S.C. 701–706

In making the foregoing determinations, the court shall review the 

whole record or those parts of it cited by a party, and due account shall 

be taken of the rule of prejudicial error.
Congressional Review (5 U.S.C. 801–808) 661

F. CONGRESSIONAL REVIEW (5 U.S.C. 801–808)

Chapter 8–Congressional Review of Agency Rulemaking1

Sec. 801. Congressional Review

(a)(1)(A) Before a rule can take effect, the Federal agency 

promulgating such rule shall submit to each House of the Congress and 

to the Comptroller General a report containing–

(i) a copy of the rule;

(ii) a concise general statement relating to the rule, 

including whether it is a major rule; and

(iii) the proposed effective date of the rule.

(B) On the date of the submission of the report under 

subparagraph (A), the Federal agency promulgating the rule shall 

submit to the Comptroller General and make available to each 

House of Congress–

(i) a complete copy of the cost–benefit analysis of the rule, 

if any;

(ii) the agency’s actions relevant to sections 603, 604, 605, 

607, and 609;

(iii) the agency’s actions relevant to sections 202, 203, 

204, and 205 of the Unfunded Mandates Reform Act of 1995; 

and

(iv) any other relevant information or requirements under 

any other Act and any relevant Executive orders.

(C) Upon receipt of a report submitted under subparagraph 

(A), each House shall provide copies of the report to the chairman 

and ranking member of each standing committee with jurisdiction 

under the rules of the House of Representatives or the Senate to 

report a bill to amend the provision of law under which the rule is 

issued.

(2)(A) The Comptroller General shall provide a report on each 

major rule to the committees of jurisdiction in each House of the 

Congress by the end of 15 calendar days after the submission or 

publication date as provided in section 802(b)(2). The report of the 

Comptroller General shall include an assessment of the agency’s 

compliance with procedural steps required by paragraph (1)(B).

(B) Federal agencies shall cooperate with the Comptroller 

General by providing information relevant to the Comptroller 

General’s report under subparagraph (A).

(3) A major rule relating to a report submitted under paragraph (1) 

shall take effect on the latest of–

(A) the later of the date occurring 60 days after the date on 

which–

(i) the Congress receives the report submitted under 

paragraph (1); or

(ii) the rule is published in the Federal Register, if so 

published;

(B) if the Congress passes a joint resolution of disapproval 

described in section 802 relating to the rule, and the President 

signs a veto of such resolution, the earlier date–

––––––––

1 Amended by P.L. 104–121, Title II, Subtitle E, § 251, 110 Stat. 868, (1996), (effective 

on enactment, as provided by § 252 of such Act, which appears as 5 U.S.C.S. § 801 note).

5 USC 801.
662 Congressional Review—5 U.S.C. 801–808

(i) on which either House of Congress votes and fails to 

override the veto of the President; or

(ii) occurring 30 session days after the date on which the 

Congress received the veto and objections of the President; or

(C) the date the rule would have otherwise taken effect, not for 

this section (unless a joint resolution of disapproval under section 

802 is enacted.

(4) Except for a major rule, a rule shall take effect as otherwise 

provided by law after submission to Congress under paragraph (1).

(5) Notwithstanding paragraph (3), the effective date of a rule 

shall not be delayed by operation of this chapter beyond the date on 

which either House of Congress votes to reject a joint resolution of 

disapproval under section 802.

(b)(1) A rule shall not take effect (or continue), if the Congress enacts 

a joint resolution of disapproval, described under section 802, of the rule.

(2) A rule that does not take effect (or does not continue) under 

paragraph (1) may not be reissued in substantially the same form, and 

a new rule that is substantially the same as such a rule may not be 

issued, unless the reissued or new rule is specifically authorized by a 

law enacted after the date of the joint resolution disapproving the 

original rule.

(c)(1) Notwithstanding any other provision of this section (except 

subject to paragraph (3)), a rule that would not take effect by reason of 

subsection (a)(3) may take effect, if the President makes a determination 

under paragraph (2) and submits written notice of such determination to 

the Congress.

(2) Paragraph (1) applies to a determination made by the President 

by Executive order that the rule should take effect because such rule 

is–

(A) necessary because of an imminent threat to health or 

safety or other emergency;

(B) necessary for the enforcement of criminal laws;

(C) necessary for national security; or

(D) issued pursuant to any statute implementing an 

international trade agreement.

(3) An exercise by the President of the authority under this 

subsection shall have no effect on the procedures under section 802 or 

the effect of a joint resolution of disapproval under this section.

(d)(1) In addition to the opportunity for review otherwise provided 

under this chapter, in the case of any rule for which a report was 

submitted in accordance with sub–section (a)(1)(A) during the period 

beginning on the date occurring–

(A) in the case of the Senate, 60 sessions days, or

(B) in the case of the House of Representatives, 60 legislative 

days, before the date the Congress adjourns a session of Congress

through the date on which the same or succeeding Congress first 

convenes its next session, section 802 shall apply to such rule in 

the succeeding session of Congress.

(2)(A) In applying section 802 for purposes of such additional 

review, a rule described under paragraph (1) shall be treated as 

though–

(i) such rule were published in the Federal Register (as a 

rule that shall take effect) on–

(I) in the case of the Senate, the 15th session day, or
Congressional Review (5 U.S.C. 801–808) 663

(II) in the case of the House of Representatives, the 

15th legislative day, after the succeeding session of 

Congress first convenes; and

(ii) a report on such rule were submitted to Congress under 

subsection (a)(1) on such date.

(B) Nothing in this paragraph shall be construed to affect the 

requirement under subsection (a)(1) that a report shall be 

submitted to Congress before a rule can take effect.

(3) A rule described under paragraph (1) shall take effect as 

otherwise provided by law (including other subsections of this 

section).

(e)(1) For purposes of this subsection, section 802 shall also apply to 

any major rule promulgated between March 1, 1996, and the date of the 

enactment of this chapter.

(2) In applying section 802 for purposes of Congressional review, 

a rule described under paragraph (1) shall be treated as though–

(A) such rule were published in the Federal Register on the 

date of enactment of this chapter; and

(B) a report on such rule were submitted to Congress under 

subsection (a)(1) on such date.

(3) The effectiveness of a rule described under paragraph (1) shall 

be as otherwise provided by law, unless the rule is made of no force 

or effect under section 802.

(f) Any rule that takes effect and later is made of no force or effect by 

enactment of a joint resolution under section 802 shall be treated as 

though such rule had never taken effect.

(g) If the Congress does not enact a joint resolution of disapproval 

under section 802 respecting a rule, no court or agency may infer any 

intent of the Congress from any action or inaction of the Congress with 

regard to such rule, related statute, or joint resolution of disapproval.

Sec. 802. Congressional Disapproval Procedure

(a) For purposes of this section, the term “joint resolution” means 

only a joint resolution introduced in the period beginning on the date on 

which the report referred to in section 801(a)(1)(A) is received by 

Congress and ending 60 days thereafter (excluding days either House of 

Congress is adjourned for more than 3 days during a session of 

Congress), the matter after the resolving clause of which is as follows: 

“That Congress disapproves the rule submitted by the _____ relating to 

_____, and such rule shall have no force or effect.” (The blank spaces 

being appropriately filled in.)

(b)(1) A joint resolution described in subsection (a) shall be referred 

to the committees in each House of Congress with jurisdiction.

(2) For purposes of this section, the term “submission or 

publication date” means the later of the date on which–

(A) the Congress receives the report submitted under section 

801(a)(1); or

(B) the rule is published in the Federal Register, if so 

published.

(c) In the Senate, if the committee to which is referred a joint 

resolution described in subsection (a) have not reported such joint 

resolution (or an identical joint resolution) at the end of 20 calendar days 

after the submission or publication date defined under subsection (b)(2), 

such committee may be discharged from further consideration of such 

joint resolution upon a petition supported in writing by 30 Members of 

the Senate, and such joint resolution shall be placed on the calendar.

5 USC 802.
664 Congressional Review—5 U.S.C. 801–808

(d)(1) In the Senate, when the committee to which a joint resolution is 

referred has reported, or when a committee is discharged (under 

subsection (c)) from further consideration of a joint resolution described 

in subsection (a), it is at any time thereafter in order (even though a 

previous motion to the same effect has been disagreed to) for a motion to 

proceed to the consideration of the joint resolution, and all points of 

order against the joint resolution (and against consideration of the joint 

resolution) are waived. The motion is not 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 is 

agreed to or disagreed to shall not be in order. If a motion to proceed to 

the consideration of the joint resolution is agreed to, the joint resolution 

shall remain the unfinished business of the Senate until disposed of.

(2) In the Senate, debate on the joint 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 those favoring and those opposing the joint resolution. A 

motion further to limit debate is in order and not debatable. An 

amendment to, or a motion to postpone, or a motion to proceed to the 

consideration of other business, or a motion to recommit the joint 

resolution is not in order.

(3) In the Senate, immediately following the conclusion of the 

debate on a joint resolution described in subsection (a), and a single 

quorum call at the conclusion of the debate if requested in accordance 

with the rules of the Senate, the vote on final passage of the joint 

resolution shall occur.

(4) Appeals from the decisions of the Chair relating to the 

application of the rules of the Senate to the procedure relating to a 

joint resolution described in subsection (a) shall be decided without 

debate.

(e) In the Senate the procedure specified in subsection (c) or (d) shall 

not apply to the consideration of a joint resolution respecting a rule–

(1) after the expiration of the 60 session days beginning with the 

applicable submission or publication date, or

(2) if the report under section 801(a)(1)(A) was submitted during 

the period referred to in section 801(d)(1), after the expiration of the 

60 session days beginning on the 15th session day after the 

succeeding session of Congress first convenes.

(f) If, before the passage by one House of a joint resolution of that 

House described in subsection (a), that House receives from the other 

House a joint resolution described in subsection (a), then the following 

procedures shall apply:

(1) The joint resolution of the other House shall not be referred to 

a committee.

(2) With respect to a joint resolution described in subsection (a) of 

the House receiving the joint resolution–

(A) the procedure in that House shall be the same as if no joint 

resolution had been received from the other House; but

(B) the vote on final passage shall be on the joint resolution of 

the other House.

(g) This section is enacted by Congress–

(1) as an exercise of the rulemaking power of the Senate and 

House of Representatives, respectively, and as such it is deemed a 

part of the rules of each House, respectively, but applicable only with 

respect to the procedure to be followed in that House in the case of a 
Congressional Review (5 U.S.C. 801–808) 665

joint resolution described in subsection (a), and it supersedes other 

rules only to the extent that it is inconsistent with such rules; and

(2) with full recognition of the constitutional right of either House 

to change the rules (so far as relating to the procedure of that House) 

at any time, in the same manner, and to the same extent as in the case 

of any other rule of that House.

Sec. 803. Special Rule on Statutory, Regulatory, and Judicial 

Deadlines

(a) In the case of any deadline for, relating to, or involving any rule 

which does not take effect (or the effectiveness of which is terminated) 

because of enactment of a joint resolution under section 802, that 

deadline is extended until the date 1 year after the date of enactment of 

the joint resolution. Nothing in this subsection shall be construed to 

affect a deadline merely by reason of the postponement of a rule’s 

effective date under section 801(a).

(b) The term “deadline” means any date certain for fulfilling any 

obligation or exercising any authority established by or under any 

Federal statute or regulation, or by or under any court order 

implementing any Federal statute or regulation.

Sec. 804. Definitions

For purposes of this Chapter–

(1) The term “Federal agency” means any agency as that term is 

defined in section 551(1).

(2) The term “major rule” means any rule that the Administrator 

of the Office of Information and Regulatory Affairs of the Office of 

Management and Budget finds has resulted in or is likely to result in–

(A) an annual effect on the economy of $100,000,000 or more;

(B) a major increase in costs or prices for consumers, 

individual industries, Federal, State, or local government 

agencies, or geographic regions; or

(C) significant adverse effects on competition, employment, 

investment, productivity, innovation, or on the ability of United 

States–based enterprises to compete with foreign–based 

enterprises in domestic and export markets. The term does not 

include any rule promulgated under the Telecommunications Act 

of 1996 and the amendments made by that Act.

(3) The term “rule” has the meaning given such term in section 

551, except that such term does not include–

(A) any rule of particular applicability, including a rule that 

approves or prescribes for the future rates, wages, prices, services, 

or allowances therefor, corporate or financial structures, 

reorganizations, mergers, or acquisitions thereof, or accounting 

practices or disclosures bearing on any of the foregoing;

(B) any rule relating to agency management or personnel; or

(C) any rule of agency organization, procedure, or practice 

that does not substantially affect the rights or obligations of non–

agency parties.

Sec. 805. Judicial Review

No determination, finding, action, or omission under this chapter 

shall be subject to judicial review.

Sec. 806. Applicability; Severability

(a) This chapter shall apply notwithstanding any other provision of 

law.

(b) If any provision of this chapter or the application of any provision 

of this chapter to any person or circumstance, is held invalid, the 

5 USC 803.

5 USC 804.

5 USC 805.

5 USC 806.
666 Congressional Review—5 U.S.C. 801–808

application of such provision to other persons or circumstances, and the 

remainder of this chapter, shall not be affected thereby.

Sec. 807. Exemption for Monetary Policy

Nothing in this chapter shall apply to rules that concern monetary 

policy proposed or implemented by the Board of Governors of the 

Federal Reserve System or the Federal Open Market Committee.

Sec. 808. Effective Date of Certain Rule

Notwithstanding section 801–

(1) any rule that establishes, modifies, opens, closes, or conducts a 

regulatory program for a commercial, recreational, or subsistence 

activity related to hunting, fishing, or camping, or

(2) any rule which an agency for good cause finds (and 

incorporates the finding and a brief statement of reasons therefor in 

the rule issued) that notice and public procedure thereon are 

impracticable, unnecessary, or contrary to the public interest, shall 

take effect at such time as the Federal agency promulgating the rule 

determines.

5 USC 807.

5 USC 808.
Federal Advisory Committee Act (P.L. 92–463) 667

G. FEDERAL ADVISORY COMMITTEE ACT, AS AMENDED

Public Law 92–463 86 Stat. 770

October 6, 1972

5 USC APPENDIX 2

Sec. 1. Short Title

This Act may be cited as the “Federal Advisory Committee Act.”

Sec. 2. Findings and Purpose

(a) The Congress finds that there are numerous committees, boards, 

commissions, councils, and similar groups which have been established 

to advise officers and agencies in the executive branch of the Federal 

Government and that they are frequently a useful and beneficial means of 

furnishing expert advice, ideas, and diverse opinions to the Federal 

Government.

(b) The Congress further finds and declares that–

(1) the need for many existing advisory committees has not been 

adequately reviewed;

(2) new advisory committees should be established only when 

they are determined to be essential and their number should be kept to 

the minimum necessary;

(3) advisory committees should be terminated when they are no 

longer carrying out the purposes for which they were established;

(4) standards and uniform procedures should govern the 

establishment, operation, administration, and duration of advisory 

committees;

(5) the Congress and the public should be kept informed with 

respect to the number, purpose, membership, activities, and cost of 

advisory committees; and

(6) the function of advisory committees should be advisory only, 

and that all matters under their consideration should be determined, in 

accordance with law, by the official, agency, or officer involved.

Sec. 3. Definitions

For the purpose of this Act–

(1) The term “Administrator” means the Administrator of General 

Services.

(2) The term “advisory committee” means any committee, board, 

commission, council, conference, panel, task force, or other similar 

group, or any subcommittee or other subgroup thereof (hereafter in 

this paragraph referred to as “committee”), which is–

(A) established by statute or reorganization plan, or

(B) established or utilized by the President, or

(C) established or utilized by one or more agencies, in the 

interest of obtaining advice or recommendations for the President 

or one or more agencies or officers of the Federal Government.

(3) The term “agency” has the same meaning as in section 551 (1) 

of title 5, United States Code.

(4) The term “Presidential advisory committee” means an 

advisory committee which advises the President.

Sec. 4. Applicability; Restrictions

(a) The provisions of this Act or of any rule, order, or regulation 

promulgated under this Act shall apply to each advisory committee 

except to the extent that any Act of Congress establishing any such 

advisory committee specifically provides otherwise.
668 Federal Advisory Committee Act (P.L. 92–463)

(b) Nothing in this Act shall be construed to apply to any advisory 

committee established or utilized by–

(1) the Central Intelligence Agency; or

(2) The Federal Reserve System.

(c) Nothing in this Act shall be construed to apply to any local civic 

group whose primary function is that of rendering a public service with 

respect to a Federal program, or any State or local committee, council, 

board, commission, or similar group established to advise or make 

recommendations to State or local officials or agencies.

Sec. 5. Responsibilities of Congressional Committees; Review; 

Guidelines

(a) In the exercise of its legislative review function, each standing 

committee of the Senate and the House of Representatives shall make a 

continuing review of the activities of each advisory committee under its 

jurisdiction to determine whether such advisory committee should be 

abolished or merged with any other advisory committee, whether the 

responsibilities of such advisory committee should be revised, and 

whether such advisory committee performs a necessary function not 

already being performed. Each such standing committee shall take 

appropriate action to obtain the enactment of legislation necessary to 

carry out the purpose of this subsection.

(b) In considering legislation establishing, or authorizing the 

establishment of any advisory committee, each standing committee of the 

Senate and of the House of Representatives shall determine, and report 

such determination to the Senate or to the House of Representatives, as 

the case may be, whether the functions of the proposed advisory 

committee are being or could be performed by one or more agencies or 

by an advisory committee already in existence, or by enlarging the 

mandate of an existing advisory committee. Any such legislation shall–

(1) contain a clearly defined purpose for the advisory committee;

(2) require the membership of the advisory committee to be fairly 

balanced in terms of the points of view represented and the functions 

to be performed by the advisory committee;

(3) contain appropriate provisions to assure that the advice and 

recommendations of the advisory committee will not be 

inappropriately influenced by the appointing authority or by any 

special interest, but will instead be the result of the advisory 

committee’s independent judgment;

(4) contain provisions dealing with authorization of 

appropriations, the date for submission of reports (if any), the 

duration of the advisory committee, and the publication of reports and 

other materials, to the extent that the standing committee determines 

the provisions of section 10 of this Act to be inadequate; and

(5) contain provisions which will assure that the advisory 

committee will have adequate staff (either supplied by an agency or 

employed by it), will be provided adequate quarters, and will have 

funds available to meet its other necessary expenses.

(c) To the extent they are applicable, the guidelines set out in 

subsection (b) of this section shall be followed by the President, agency 

heads, or other Federal officials in creating an advisory committee. 

Sec. 6. Responsibilities of the President; Report to Congress; Annual 

Report to Congress; Exclusion

(a) The President may delegate responsibility for evaluating and 

taking action, where appropriate, with respect to all public 

recommendations made to him by Presidential advisory committees.
Federal Advisory Committee Act (P.L. 92–463) 669

(b) Within one year after a Presidential advisory committee has 

submitted a public report to the President, the President or his delegate 

shall make a report to the Congress stating either his proposals for action 

or his reasons for inaction, with respect to the recommendations 

contained in the public report.

(c) The President shall, not later than December 31 of each year, 

make an annual report to the Congress on the activities, status, and 

changes in the composition of advisory committees in existence during 

the preceding fiscal year. The report shall contain the name of every 

advisory committee, the date of and authority for its creation, its 

termination date or the date it is to make a report, its functions, a 

reference to the reports it has submitted, a statement of whether it is an ad 

hoc or continuing body, the dates of its meetings, the names and 

occupations of its current members, and the total estimated annual cost to 

the United States to fund, service, supply, and maintain such committee. 

Such report shall include a list of those advisory committees abolished by 

the President, and in the case of advisory committees established by 

statute, a list of those advisory committees which the President 

recommends be abolished together with his reasons therefor. The 

President shall exclude from this report any information which, in his 

judgment, should be withheld for reasons of national security, and he 

shall include in such report a statement that such information is excluded.

Sec. 7. Responsibilities of the Administrator of General Services; 

Committee Management Secretariat, Establishment; Review; 

Recommendations to President and Congress; Agency Cooperation; 

Performance Guidelines; Uniform Pay Guidelines; Travel Expenses; 

Expense Recommendations

(a) The Administrator shall establish and maintain within the General 

Services Administration a Committee Management Secretariat, which 

shall be responsible for all matters relating to advisory committees.

(b) The Administrator shall, immediately after October 6, 1972, 

institute a comprehensive review of the activities and responsibilities of 

each advisory committee to determine–

(1) whether such committee is carrying out its purpose;

(2) whether, consistent with the provisions of applicable statutes, 

the responsibilities assigned to it should be revised;

(3) whether it should be merged with other advisory committees; 

or

(4) whether is1 should be abolished.

The Administrator may from time to time request such information as 

he deems necessary to carry out his functions under this subsection. 

Upon the completion of the Administrator’s review he shall make 

recommendations to the President and to either the agency head or the 

Congress with respect to action he believes should be taken. Thereafter, 

the Administrator shall carry out a similar review annually. Agency 

heads shall cooperate with the Administrator in making the reviews 

required by this subsection.

(c) The Administrator shall prescribe administrative guidelines and 

management controls applicable to advisory committees, and to the 

maximum extent feasible, provide advice, assistance, and guidance to 

advisory committees to improve their performance. In carrying out his 

functions under this subsection, the Administrator shall consider the 

recommendations of each agency head with respect to means of 

––––––––

1 Error appears in the original.
670 Federal Advisory Committee Act (P.L. 92–463)

improving the performance of advisory committees whose duties are 

related to such agency.

(d)(1) The Administrator, after study and consultation with the 

Director of the Office of Personnel Management, shall establish 

guidelines with respect to uniform fair rates of pay for comparable 

services of members, staffs, and consultants of advisory committees in a 

manner which gives appropriate recognition to the responsibilities and 

qualifications required and other relevant factors. Such regulations shall 

provide that –

(A) no member of any advisory committee or of the staff of 

any advisory committee shall receive compensation at a rate in 

excess of the rate specified for GS–18 of the General Schedule 

under section 5332 of title 5, United States Code;

(B) such members, while engaged in the performance of their 

duties away from their homes or regular places of business, may 

be allowed travel expenses, including per diem in lieu of 

subsistence, as authorized by section 5703 of title 5, United States 

Code, for persons employed intermittently in the Government 

service; and

(C) such members–

(i) who are blind or deaf or who otherwise qualify as 

handicapped individuals (within the meaning of section 501 of 

the Rehabilitation Act of 1973 (29 USC 794)), and

(ii) who do not otherwise qualify for assistance under 

section 3102 of title 5, United States Code, by reason of being 

an employee of an agency (within the meaning of section 3102 

(a)(1) of such title 5), may be provided services pursuant to 

section 3102 of such title 5 while in performance of their 

advisory committee duties.

(2) Nothing in this subsection shall prevent–

(A) an individual who (without regard to his service with an 

advisory committee) is a full–time employee of the United States; 

or

(B) an individual who immediately before his service with an 

advisory committee was such an employee, from receiving 

compensation at the rate at which he otherwise would be 

compensated (or was compensated) as a full–time employee of the 

United States.

(e) The Administrator shall include in budget recommendations a 

summary of the amounts he deems necessary for the expenses of 

advisory committees, including the expenses for publication of reports 

where appropriate.

Sec. 8. Responsibilities of Agency Heads; Advisory Committee 

Management Officer, Designation

(a) Each agency head shall establish uniform administrative 

guidelines and management controls for advisory committees established 

by that agency, which shall be consistent with directives of the 

Administrator under sections 7 and 10. Each agency shall maintain 

systematic information on the nature, functions, and operations of each 

advisory committee within its jurisdiction.

(b) The head of each agency which has an advisory committee shall 

designate an Advisory Committee Management officer who shall–

(1) exercise control and supervision over the establishment, 

procedures, and accomplishments of advisory committees established 

by that agency;
Federal Advisory Committee Act (P.L. 92–463) 671

(2) assemble and maintain the reports, records, and other papers 

of any such committee during its existence; and

(3) carry out, on behalf of that agency, the provisions of section 

52 of title 5, United States Code, with respect to such reports, records, 

and other papers.

Sec. 9. Establishment and Purpose of Advisory Committees; 

Publication in Federal Register; Charter; Filing; Contents; Copy

(a) No advisory committee shall be established unless such 

establishment is–

(1) specifically authorized by statute or by the President; or

(2) determined as a matter of formal record, by the head of the 

agency involved after consultation with the Administrator with timely 

notice published in the Federal Register, to be in the public interest in 

connection with the performance of duties imposed on that agency by 

law.

(b) Unless otherwise specifically provided by statute or Presidential 

directive, advisory committees shall be utilized solely for advisory 

functions. Determinations of action to be taken and policy to be 

expressed with respect to matters upon which an advisory committee 

reports or makes recommendations shall be made solely by the President 

or an officer of the Federal Government.

(c) No advisory committee shall meet or take any action until an 

advisory committee charter has been filed with (1) the Administrator, in 

the case of Presidential advisory committees, or (2) with the head of the 

agency to whom any advisory committee reports and with the standing 

committees of the Senate and of the House of Representatives having 

legislative jurisdiction of such agency. Such charter shall contain the 

following information:

(A) the committee’s official designation;

(B) the committee’s objectives and the scope of its activity;

(C) the period of time necessary for the committee to carry out 

its purposes;

(D) the agency or official to whom the committee reports;

(E) the agency responsible for providing the necessary support 

for the committee;

(F) a description of the duties for which the committee is 

responsible, and, if such duties are not solely advisory, a 

specification of the authority for such functions;

(G) the estimated annual operating costs in dollars and man–

years for such committee;

(H) the estimated number and frequency of committee 

meetings;

(I) the committee’s termination date, if less than two years 

from the date of the committee’s establishment; and

(J) the date the charter is filed.

A copy of any such charter shall also be furnished to the Library of 

Congress.

Sec. 10. Advisory Committee Procedures; Meetings; Notice, 

Publication in Federal Register; Regulations; Minutes; Certification; 

Annual Report; Federal Officer or Employee; Attendance

(a)(1) Each advisory committee meeting shall be open to the public.

(2) Except when the President determines otherwise for reasons of 

national security, timely notice of each such meeting shall be 

published in the Federal Register, and the Administrator shall 

prescribe regulations to provide for other types of public notice to 
672 Federal Advisory Committee Act (P.L. 92–463)

insure that all interested persons are notified of such meeting prior 

thereto.

(3) Interested persons shall be permitted to attend, appear before, 

or file statements with any advisory committee, subject to such 

reasonable rules or regulations as the Administrator may prescribe.

(b) Subject to section 552 of title 5 United States Code, the records, 

reports, transcripts, minutes, appendixes, working papers, drafts, studies, 

agenda, or other documents which were made available to or prepared for 

or by each advisory committee shall be available for public inspection 

and copying at a single location in the offices of the advisory committee 

or the agency to which the advisory committee reports until the advisory 

committee ceases to exist.

(c) Detailed minutes of each meeting of each advisory committee 

shall be kept and shall contain a record of the persons present, a complete 

and accurate description of matters discussed and conclusions reached, 

and copies of all reports received, issued, or approved by the advisory 

committee. The accuracy of all minutes shall be certified to by the 

chairman of the advisory committee.

(d) Subsections (a)(1) and (a)(3) of this section shall not apply to any 

portion of an advisory committee meeting where the President, or the 

head of the agency to which the advisory committee reports, determines 

that such portion of such meeting may be closed to the public in 

accordance with subsection (c) of section 552b of title 5, United States 

Code. Any such determination shall be in writing and shall contain the 

reasons for such determination. If such a determination is made, the 

advisory committee shall issue a report at least annually setting forth a 

summary of its activities and such related matters as would be 

informative to the public consistent with the policy of section 552(b) of 

title 5 United States Code.

(e) There shall be designated an officer or employee of the Federal 

Government to chair or attend each meeting of each advisory committee. 

The officer or employee of designated is authorized, whenever he 

determines it to be in the public interest, to adjourn any such meeting. No 

advisory committee shall conduct any meeting in the absence of that 

officer or employee.

(f) Advisory committees shall not hold any meetings except at the call 

of, or with the advance approval of, a designated officer or employee of 

the Federal Government, and in the case of advisory committees (other 

than Presidential advisory committees) with an agenda approved by such 

officer or employee.

Sec. 11. Availability of Transcripts; Agency Proceeding

(a) Except where prohibited by contractual agreements entered into 

prior to the effective date of this Act, agencies and advisory committees 

shall make available to any person, at actual cost of duplication, copies of 

transcripts of agency proceedings or advisory committee meetings.

(b) As used in this section “agency proceeding” means any 

proceeding as defined in section 551(12) of title 5, United States Code.

Sec. 12. Fiscal and Administrative Provisions; Recordkeeping; 

Audit; Agency Support Services

(a) Each agency shall keep records as will fully disclose the 

disposition of any funds which may be at the disposal of its advisory 

committees and the nature and extent of their activities. The General 

Services Administration, or such other agency as the President may 

designate, shall maintain financial records with respect to Presidential 

advisory committees. The Comptroller General of the United States, or 
Federal Advisory Committee Act (P.L. 92–463) 673

any of his authorized representatives, shall have access, for the purpose 

of audit and examination, to any such records.

(b) Each agency shall be responsible for providing support services 

for each advisory committee established by or reporting to it unless the 

establishing authority provides otherwise. Where any such advisory 

committee reports to more than one agency, only one agency shall be 

responsible for support services at any one time. In the case of 

Presidential advisory committees, such services may be provided by the 

General Services Administration.

Sec. 13. Responsibilities of Library of Congress; Reports and

Background Papers; Depository

Subject to section 552 of title 5, United States Code, the 

Administrator shall provide for the filing with the Library of Congress of 

at least eight copies of each report made by every advisory committee 

and, where appropriate, background papers prepared by consultants. The 

Librarian of Congress shall establish a depository for such reports and 

papers where they shall be available to public inspection and use.

Sec. 14. Termination of Advisory Committees; Renewal; 

Continuation

(a)(1) Each advisory committee which is in existence on the effective 

date of this Act shall terminate not later than the expiration of the two–

year period following such effective date unless–

(A) in the case of an advisory committee established by the 

President or an officer of the Federal Government, such advisory 

committee is renewed by the President or that officer by 

appropriate action prior to the expiration of such two–year period; 

or

(B) in the case of an advisory committee established by an Act 

of Congress, its duration is otherwise provided for by law.

(2) Each advisory committee established after such effective date 

shall terminate not later than the expiration of the two–year period 

beginning on the date of its establishment unless–

(A) in the case of an advisory committee established by the 

President or an officer of the Federal Government such advisory 

committee is renewed by the President or such officer by 

appropriate action prior to the end of such period; or

(B) in the case of an advisory committee established by an Act 

of Congress, its duration is otherwise provided for by law.

(b)(1) Upon the renewal of any advisory committee, such advisory 

committee shall file a charter in accordance with section 9(c).

(2) Any advisory committee established by an Act of Congress 

shall file a charter in accordance with such section upon the 

expiration of each successive two–year period following the date of 

enactment of the Act establishing such advisory committee.

(3) No advisory committee required under this subsection to file a 

charter shall take any action (other than preparation and filing of such 

charter) prior to the date on which such charter is filed.

(c) Any advisory committee which is renewed by the President or any 

officer of the Federal Government may be continued only for successive 

two–year periods by appropriate action taken by the President or such 

officer prior to the date on which such advisory committee would 

otherwise terminate.

Sec. 15. Requirements

(a) In General–An agency may not use any advice or 

recommendation provided by the National Academy of Sciences or 
674 Federal Advisory Committee Act (P.L. 92–463)

National Academy of Public Administration that was developed by use 

of a committee created by that academy under an agreement with an 

agency, unless–

(1) the committee was not subject to any actual management or 

control by an agency or an officer of the Federal Government;

(2) in the case of a committee created after the date of the 

enactment of the Federal Advisory Committee Act Amendments of 

1997, the membership of the committee was appointed in accordance 

with the requirements described in subsection (b)(1); and

(3) in developing the advice or recommendation, the academy 

complied with–

(A) subsection (b)(2) through (6), in the case of any 

advice or recommendation provided by the National 

Academy of Sciences; or

(B) subsection (b)(2) and (5), in the case of any advice 

or recommendation provided by the National Academy of 

Public Administration.

(b) Requirements–The requirements referred to in subsection (a) are 

as follows:

(1) The Academy shall determine and provide public notice of the 

names and brief biographies of individuals that the Academy appoints 

or intends to appoint to serve on the committee. The Academy shall 

determine and provide a reasonable opportunity for the public to 

comment on such appointments before they are made or, if the 

Academy determines such prior comment is not practicable, in the 

period immediately following the appointments. The Academy shall 

make its best efforts to ensure that (A) no individual appointed to 

serve on the committee has a conflict of interest that is relevant to the 

functions to be performed, unless such conflict is promptly and 

publicly disclosed and the Academy determines that the conflict is 

unavoidable, (B) the committee membership is fairly balanced as 

determined by the Academy to be appropriate for the functions to be 

performed, and (C) the final report of the Academy will be the result 

of the Academy's independent judgment. The Academy shall require 

that individuals that the Academy appoints or intends to appoint to 

serve on the committee inform the Academy of the individual's 

conflicts of interest that are relevant to the functions to be performed.

(2) The Academy shall determine and provide public notice of 

committee meetings that will be open to the public.

(3) The Academy shall ensure that meetings of the committee to 

gather data from individuals who are not officials, agents, or 

employees of the Academy are open to the public, unless the 

Academy determines that a meeting would disclose matters described 

in section 552(b) of title 5, United States Code. The Academy shall 

make available to the public, at reasonable charge if appropriate, 

written materials presented to the committee by individuals who are 

not officials, agents, or employees of the Academy, unless the 

Academy determines that making material available would disclose 

matters described in that section.

(4) The Academy shall make available to the public as soon as 

practicable, at reasonable charge if appropriate, a brief summary of 

any committee meeting that is not a data gathering meeting, unless 

the Academy determines that the summary would disclose matters 

described in section 552(b) of title 5, United States Code. The 

summary shall identify the committee members present, the topics 
Federal Advisory Committee Act (P.L. 92–463) 675

discussed, materials made available to the committee, and such other 

matters that the Academy determines should be included.

(5) The Academy shall make available to the public its final 

report, at reasonable charge if appropriate, unless the Academy 

determines that the report would disclose matters described in section 

552(b) of title 5, United States Code. If the Academy determines that 

the report would disclose matters described in that section, the 

Academy shall make public an abbreviated version of the report that 

does not disclose those matters.

(6) After publication of the final report, the Academy shall make 

publicly available the names of the principal reviewers who reviewed 

the report in draft form and who are not officials, agents, or 

employees of the Academy.

(c) REGULATIONS–The Administrator of General Services may 

issue regulations implementing this section.

(d) EFFECTIVE DATE AND APPLICATION

(1) In General–Except as provided in paragraph (2), this section 

and the amendments made by this section shall take effect on the date 

of the enactment of this Act.

(2) Retroactive Effect–Subsection (a) and the amendments made 

by subsection (a) shall be effective as of October 6, 1972, except that 

they shall not apply with respect to or otherwise affect any particular 

advice or recommendations that are subject to any judicial action 

filed before the date of the enactment of this Act.2

Sec. 16. Effective Date

Except as provided in section 7(b), this Act shall become effective 

upon the expiration of ninety days following October 6, 1972.

––––––––

2 Amended by P.L. 105–153, 111 Stat. 2689 (1997).
676 Alternative Dispute Resolution Act (P.L. 105–315)

H. ALTERNATIVE DISPUTE RESOLUTION ACT OF 

1998

Public Law 105–315 112 Stat. 2993

October 30, 1998

Be it enacted by the Senate and House of Representatives of the 

United States of America in Congress assembled,

Sec. 1. Short Title

This Act may be cited as the “Alternative Dispute Resolution Act of 

1998.”

Sec. 2. Findings and Declaration of Policy

Congress finds that–

(1) alternative dispute resolution, when supported by the bench 

and bar, and utilizing properly trained neutrals in a program 

adequately administered by the court, has the potential to provide a 

variety of benefits, including greater satisfaction of the parties, 

innovative methods of resolving disputes, and greater efficiency in 

achieving settlements;

(2) certain forms of alternative dispute resolution, including 

mediation, early neutral evaluation, minitrials, and voluntary 

arbitration, may have potential to reduce the large backlog of cases 

now pending in some Federal courts throughout the United States, 

thereby allowing the courts to process their remaining cases more 

efficiently; and

(3) the continued growth of Federal appellate court–annexed 

mediation programs suggests that this form of alternative dispute 

resolution can be equally effective in resolving disputes in the Federal 

trial courts; therefore, the district courts should consider including 

mediation in their local alternative dispute resolution programs.

Sec. 3. Alternative Dispute Resolution Process to be Authorized in 

All District Courts

Section 651 of title 28, United States Code is amended to read as 

follows:

Sec. 651. Authorization of alternative dispute resolution

(a) DEFINITION–For purposes of this chapter, an alternative dispute 

resolution process includes any process or procedure, other than 

adjudication by a presiding judge, in which a neutral third party 

participates to assist in the resolution of issues in controversy, through 

processes such as early neutral evaluation, mediation, minitrial, and 

arbitration as provided in section 654 through 658.

(b) AUTHORITY– Each United States district court shall authorize, 

by local rule adopted under section 2071(a), the use of alternative dispute 

resolution processes in all civil actions, including adversary proceedings 

in bankruptcy, in accordance with this chapter, except that the use of 

arbitration may be authorized only as provided in section 654. Each 

United States district court shall devise and implement its own alternative 

dispute resolution program, by local rule adopted under section 2071(a), 

to encourage and promote the use of alternative dispute resolution in its 

district.

(c) EXISTING ALTERNATIVE DISPUTE RESOLUTION 

PROGRAMS– In those courts where an alternative dispute resolution 

program is in place on the date of the enactment of the Alternative 

Dispute Resolution Act of 1998, the court shall examine the effectiveness 

28 USC 1 note.

Alternative 

Resolution Act 

of 1998.

28 USC 651 

note.
Alternative Dispute Resolution Act (P.L. 105–315) 677

of that program and adopt such improvements to the program as are 

consistent with the provisions and purposes of this chapter.

(d) ADMINISTRATION OF ALTERNATIVE DISPUTE 

RESOLUTION PROGRAMS–Each United States district court shall 

designate an employee, or a judicial officer, who is knowledgeable in 

alternative dispute resolution practices and processes to implement, 

administer, oversee, and evaluate the court’s alternative dispute 

resolution program. Such person may also be responsible for recruiting, 

screening, and training attorneys to serve as neutrals and arbitrators in the 

court’s alternative dispute resolution program.

(e) TITLE 9 NOT AFFECTED– This chapter shall not affect title 9, 

United States Code.

(f) PROGRAM SUPPORT– The Federal Judicial Center and the 

Administrative Office of the United States Courts are authorized to assist 

the district courts in the establishment and improvement of alternative 

dispute resolution programs by identifying particular practices employed 

in successful programs and providing additional assistance as needed and 

appropriate.

Sec. 4. Jurisdiction

Section 652 of title 28, United States Code, is amended to read as 

follows:

Sec. 652. Jurisdiction

(a) CONSIDERATION OF ALTERNATIVE DISPUTE 

RESOLUTION IN APPROPRIATE CASES–Notwithstanding any 

provision of law to the contrary and except as provided in subsections (b) 

and (c), each district court shall, by local rule adopted under section 

2071(a), require that litigants in all civil cases consider the use of an 

alternative dispute resolution process at an appropriate stage in the 

litigation. Each district court shall provide litigants in all civil cases with 

at least one alternative dispute resolution process, including, but not 

limited to, mediation, early neutral evaluation, minitrial, and arbitration 

as authorized in sections 654 through 658. Any district court that elects 

to require the use of alternative dispute resolution in certain cases may do 

so only with respect to mediation, early neutral evaluation, and, if the 

parties consent, arbitration.

(b) ACTIONS EXEMPTED FROM CONSIDERATION OF 

ALTERNATIVE DISPUTE RESOLUTION–Each district court may 

exempt from the requirements of this section specific cases or categories 

of cases in which use of alternative dispute resolution would not be 

appropriate. In defining these exemptions, each district court shall 

consult with members of the bar, including the United States Attorney for 

that district.

(c) AUTHORITY OF THE ATTORNEY GENERAL–Nothing in this 

section shall alter or conflict with the authority of the Attorney General 

to conduct litigation on behalf of the United States, with the authority of 

any Federal agency authorized to conduct litigation in the United States 

courts, or with any delegation of litigation authority by the Attorney 

General.

(d) CONFIDENTIALITY PROVISIONS–Until such time as rules are 

adopted under chapter 131 of this title providing for the confidentiality of 

alternative dispute resolution processes under this chapter, each district 

court shall, by local rule adopted under section 2071(a), provide for the 

confidentiality of the alternative dispute resolution processes and to 

prohibit disclosure of confidential dispute resolution communications.
678 Alternative Dispute Resolution Act (P.L. 105–315)

Sec. 5. Mediators and Neutral Evaluators

Section 653 of title 28, United States Code, is amended to read as 

follows:

Sec. 653. Neutrals

(a) PANEL OF NEUTRALS–Each district court that authorizes the 

use of alternative dispute resolution processes shall adopt appropriate 

processes for making neutrals available for use by the parties for each 

category of process offered. Each district court shall promulgate its own 

procedures and criteria for the selection of neutrals on its panels.

(b) QUALIFICATIONS AND TRAINING–Each person serving as a 

neutral in an alternative dispute resolution process should be qualified 

and trained to serve as a neutral in the appropriate alternative dispute 

resolution process. For this purpose, the district court may use, among 

others, magistrate judges who have been trained to serve as neutrals in 

alternative dispute resolution processes, professional neutrals from the 

private sector, and persons who have been trained to serve as neutrals in 

alternative dispute resolution processes. Until such time as rules are 

adopted under chapter 131 of this title relating to the disqualification of 

neutrals, each district court shall issue rules under section 2071(a) 

relating to the disqualification of neutrals (including, where appropriate, 

disqualification under section 455 of this title, other applicable law, and 

professional responsibility standards).

Sec. 6. Actions Referred to Arbitration

Section 654 of title 28, United States Code, is amended to read as 

follows:

Sec. 654. Arbitration

(a) REFERRAL OF ACTIONS TO ARBITRATION–

Notwithstanding any provision of law to the contrary and except as 

provided in subsections (a), (b), and (c) of section 652 and subsection (d) 

of this section, a district court may allow the referral to arbitration of any 

civil action (including any adversary proceeding in bankruptcy) pending 

before it when the parties consent, except that referral to arbitration may 

not be made where–

(1) the action is based on an alleged violation of a right secured by 

the Constitution of the United States;

(2) jurisdiction is based in whole or in part on section 1343 of this 

title; or

(3) the relief sought consists of money damages in an amount 

greater than $150,000.

(b) SAFEGUARDS IN CONSENT CASES–Until such time as rules 

are adopted under chapter 131 of this title relating to procedures 

described in this subsection, the district court shall, by local rule adopted 

under section 2071(a), establish procedures to ensure that any civil action 

in which arbitration by consent is allowed under subsection (a)–

(1) consent to arbitration is freely and knowingly obtained; and

(2) no party or attorney is prejudiced for refusing to participate in 

arbitration.

(c) PRESUMPTIONS–For purposes of subsection (a)(3), a district 

court may presume damages are not in excess of $150,000 unless counsel 

certifies that damages exceed such amount.

(d) EXISTING PROGRAMS–Nothing in this chapter is deemed to 

affect any program in which arbitration is conducted pursuant to section 

IX of the Judicial Improvements and Access to Justice Act (Public Law 

100–702), as amended by section 1 of Public Law 105–53.
Alternative Dispute Resolution Act (P.L. 105–315) 679

Sec. 7. Arbitrators

Section 655 of title 28, United States Code, is amended to read as 

follows:

Sec. 655. Arbitrators

(a) POWERS OF ARBITRATORS–An arbitrator to whom an action 

is referred under section 654 shall have the power, within the judicial 

district of the district court which referred the action to arbitration–

(1) to conduct arbitration hearings;

(2) to administer oaths and affirmations; and

(3) to make awards.

(b) STANDARDS FOR CERTIFICATION–Each district court that 

authorizes arbitration shall establish standards for the certification of 

arbitrators and shall certify arbitrators to perform services in accordance 

with such standards and this chapter. The standards shall include 

provisions requiring that any arbitrator–

(1) shall take the oath or affirmation described in section 453; and

(2) shall be subject to the disqualification rules under section 455.

(c) IMMUNITY–All individuals serving as arbitrators in an 

alternative dispute resolution program under this chapter are performing 

quasi–judicial functions and are entitled to the immunities and 

protections that the law accords to persons serving in such capacity.

Sec. 8. Subpoenas

Section 656 of title 28, United States Code, is amended to read as 

follows:

Sec. 656. Subpoenas

Rule 45 of the Federal Rules of Civil Procedure (relating to 

subpoenas) applies to subpoenas for the attendance of witnesses and the 

production of documentary evidence at an arbitration hearing under this 

chapter.

Sec. 9. Arbitration Award and Judgment

Section 657 of title 28, United States Code, is amended to read as 

follows:

Sec. 654. Arbitration award and judgment

(a) FILING AND EFFECT OF ARBITRATION AWARD–An 

arbitration award made by an arbitrator under this chapter, along with 

proof of service of such award on the other party by the prevailing party 

or by the plaintiff, shall be filed promptly after the arbitration hearing is 

concluded with the clerk of the district court that referred the case to 

arbitration. Such award shall be entered as the judgment of the court after 

the time has expired for requesting a trial de novo. The judgment so 

entered shall be subject to the same provisions of law and shall have the 

same force and effect as a judgment of the court in a civil action, expect 

that the judgment shall not be subject to review in any other court by 

appeal or otherwise.

(b) SEALING OF ARBITRATION AWARD–The district court shall 

provide, by local rule adopted under section 2071(a), that the contents of 

any arbitration award made under this chapter shall not be made known 

to any judge who might be assigned to the case until the district court has 

entered final judgment in the action or the action has otherwise 

terminated.

(c) TRIAL DE NOVO OF ARBITRATION AWARDS–

(1) TIME FOR FILING DEMAND–Within 30 days after he filing 

of an arbitration award with a district court under subsection (a), any 

party may file a written demand for a trial de novo in the district 

court.
680 Alternative Dispute Resolution Act (P.L. 105–315)

(2) ACTION RESTORED TO COURT DOCKET–Upon a 

demand for a trial de novo, the action shall be restored to the docket 

of the court and treated for all purposes as if it had not been referred 

to arbitration.

(3) EXCLUSION OF EVIDENCE OF ARBITRATION–The 

court shall not admit at the trial de novo any evidence that there has 

been an arbitration proceeding, the nature or amount of any award, or 

any other matter concerning the conduct of the arbitration proceeding, 

unless–

(A) the evidence would otherwise be admissible in the court 

under the Federal Rules of Evidence; or

(B) the parties have otherwise stipulated.

Sec. 10. Compensation of Arbitrators and Neutrals

Section 658 of title 28, United States Code, is amended to read as 

follows:

Sec. 658. Compensation of arbitrators and neutrals

(a) COMPENSATION–The district court shall, subject to regulations 

approved by the Judicial Conference of the United States, establish the 

amount of compensation, if any, that each arbitrator or neutral shall 

receive for services rendered in each case under this chapter.

(b) TRANSPORTATION ALLOWANCES–Under regulations 

prescribed by the Director of the Administrative Office of the United 

States Courts, a district court may reimburse arbitrators and other 

neutrals for actual transportation expenses necessarily incurred in the 

performance of duties under this chapter.

Sec. 11. Authorization of Appropriations

There are authorized to be appropriated for each fiscal year such sums 

as may be necessary to carry out chapter 44 of title 28, United States 

Code, as amended by this Act.

Sec. 12. Conforming Amendments

(a) LIMITATION ON MONEY DAMAGES–Section 901 of the 

Judicial Improvements and Access to Justice Act (28 USC 652 note), is 

amended by striking subsection (c).

(b) OTHER CONFORMING AMENDMENTS–

(1) The chapter heading for chapter 44 of title 28, United 

States Code, is amended to read as follows:

“Chapter 44–ALTERNATIVE DISPUTE RESOLUTION”

(2) The table of contents for chapter 44 of title 28, United States 

Code, is amended to read as follows:

Sec.

651. Authorization of alternative dispute resolution.

652. Jurisdiction.

653. Neutrals.

654. Arbitration.

655. Arbitrators.

656. Subpoenas.

657. Arbitration award and judgment.

658. Compensation of arbitrators and neutrals.

(3) The item relating to chapter 44 in the table of chapters for Part III 

of title 28, United States Code, is amended to read as follows:

44. Alternative Dispute Resolution.................................................. 651.

Regulations.

28 USC 651 

note.
Fed. Civ. Penalties Inflation Adj. Act (P.L. 101–410) 681

I. FEDERAL CIVIL PENALTIES INFLATION ADJUSTMENT 

ACT OF 1990, AS AMENDED

Public Law 101–410 104 Stat. 890

October 5, 1990

Title III, Chapter 10

Be it enacted by the Senate and House of Representatives of the 

United States of America in Congress assembled,

Sec. 1. Short Title

This Act may be cited as the “Federal Civil Penalties Inflation 

Adjustment Act of 1990.”

Sec. 2. Findings and Purpose

(a) FINDINGS.

The Congress finds that–

(1) the power of Federal agencies to impose civil monetary 

penalties for violations of Federal law and regulations plays an 

important role in deterring violations and furthering the policy goals 

embodied in such laws and regulations;

(2) the impact of many civil monetary penalties has been and is 

diminished due to the effect of inflation;

(3) by reducing the impact of civil monetary penalties, 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 penalties.

(b) PURPOSE.–The purpose of this Act is to establish a mechanism 

that shall–

(1) allow for regular adjustment for inflation of civil monetary 

penalties;

(2) maintain the deterrent effect of civil monetary penalties and 

promote compliance with the law; and

(3) improve the collection by the Federal Government of civil 

monetary penalties.

Sec. 3. Definitions

For purposes of this Act, the term–

(1) “agency” means an Executive agency as defined under section 

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 

Federal law; or

(ii) has a maximum amount provided for by Federal law; 

and

(B) is assessed or enforced by an agency pursuant to Federal 

law; and

(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.

Federal Civil 

Penalties 

Inflation 

Adjustment Act 

of 1990.

28 USC 2461

note.

28 USC 2461

note.

28 USC 2461 

note.
682 Fed. Civ. Penalties Inflation Adj. Act (P.L. 101–410)

Sec. 4. Civil Monetary Penalty Inflation Adjustment Reports

The head of each agency shall, not later than 180 days after the date 

of enactment of the Debt Collection Improvement Act of 1996, and at 

least once every 4 years thereafter–

(1) by regulation adjust each civil monetary penalty provided by 

law within the jurisdiction of the Federal agency, except for any 

penalty (including any addition to tax and additional amount) under 

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

(2) publish each such regulation in the Federal Register.

Sec. 5. Cost–of–Living Adjustments of Civil Monetary Penalties

(a) ADJUSTMENT.–The inflation adjustment described under 

section 4 shall be determined by increasing the maximum civil monetary 

penalty or the range of minimum and maximum civil monetary penalties, 

as applicable, for each civil monetary penalty by the cost–of–living 

adjustment. 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 $100 in 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 

$10,000 but less than or equal to $100,000;

(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 term “cost–of–

living adjustment” means the percentage (if any) for each civil monetary 

penalty by which–

(1) the Consumer Price Index for the month of June of the 

calendar year preceding the adjustment, exceeds

(2) the Consumer Price Index for the month of June of the 

calendar year in which the amount of such civil monetary penalty was 

last set or adjusted pursuant to law.

28 USC 2461 

note.

Regulations.

Federal Register, 

Publication.

28 USC 2461

note.
Fed. Civ. Penalties Inflation Adj. Act (P.L. 101–410) 683

Sec. 6. Annual Report

Any increase under this Act in a civil monetary penalty shall 

apply only to violations which occur after the date the increase takes 

effect.1

––––––––

1 Amended by P.L. 104–134, Title III, Ch. 10, § 31001(s)(2), 110 Stat. 1321–373, 

(1996), (effective on enactment as provided by § 31001(a)(2)(A) of such Act, which 

appears as 31 U.S.C.S. § 3322 note), provides the following:

The first adjustment of a civil monetary penalty made pursuant to the 

amendment made by paragraph (1) [amending §§ 4 and 5(a) and adding § 7 of 

Act Oct. 5, 1990, P.L. 101–410, which appears as a note to this section] may 

not exceed 10 percent of such penalty.

NRC Appropriations 685

4. NRC Appropriation Acts

NRC Appropriations 687

4. NRC Appropriation Acts

Contents

CONSOLIDATED APPROPRIATIONS ACT, 2012 ........................................ 691

Title IV–Independent Agencies........................................................................ 691

Nuclear Regulatory Commission .................................................................. 691

Office of Inspector General........................................................................... 691

General Provisions–Independent Agencies.................................................. 692

DEPARTMENT OF DEFENSE AND FULL–YEAR CONTINUING 

APPROPRIATIONS ACT, 2011...................................................................... 692

Title I–General Provisions................................................................................ 692

NRC FISCAL YEAR 2010 RESCISSION .......................................................... 694

Title III– Rescissions ......................................................................................... 694

ENERGY AND WATER DEVELOPMENT AND RELATED AGENCIES 

APPROPRIATIONS ACT, 2010...................................................................... 694

Title IV–Independent Agencies........................................................................ 694

Nuclear Regulatory Commission .................................................................. 694

Office of Inspector General........................................................................... 695

OMNIBUS APPROPRIATIONS ACT, 2009...................................................... 695

Title IV–Independent Agencies........................................................................ 695

Nuclear Regulatory Commission .................................................................. 695

Office of Inspector General........................................................................... 696

CONSOLIDATED APPROPRIATIONS ACT, 2008 ........................................ 696

Title IV–Independent Agencies........................................................................ 696

Nuclear Regulatory Commission .................................................................. 696

Office of Inspector General........................................................................... 697

REVISED CONTINUING APPROPRIATIONS RESOLUTION, 2007......... 698

ENERGY AND WATER DEVELOPMENT APPROPRIATIONS ACT, 

2006..................................................................................................................... 699

Title IV–Independent Agencies........................................................................ 699

Nuclear Regulatory Commission .................................................................. 699

Office of Inspector General........................................................................... 700

CONSOLIDATED APPROPRIATIONS ACT, 2005 ........................................ 700

Nuclear Regulatory Commission .................................................................. 700

Office of Inspector General........................................................................... 700

ENERGY AND WATER DEVELOPMENT APPROPRIATIONS ACT, 

2004..................................................................................................................... 701

Title IV–Independent Agencies........................................................................ 701

Nuclear Regulatory Commission .................................................................. 701

Office of Inspector General........................................................................... 701

CONSOLIDATION APPROPRIATIONS RESOLUTION, 2003 .................... 702

Nuclear Regulatory Commission .................................................................. 702

Office of Inspector General........................................................................... 703

ENERGY AND WATER DEVELOPMENT APPROPRIATIONS ACT, 

2002..................................................................................................................... 703

Nuclear Regulatory Commission .................................................................. 703

Office of Inspector General........................................................................... 704

DEPARTMENTS OF VETERANS AFFAIRS AND HOUSING AND 

URBAN DEVELOPMENT– APPROPRIATIONS........................................ 704
688 NRC Appropriations

Title IV ............................................................................................................... 705

Nuclear Regulatory Commission .................................................................. 705

Office of Inspector General........................................................................... 705

MILITARY CONSTRUCTION APPROPRIATIONS ACT, 2001 .................. 706

ENERGY AND WATER DEVELOPMENT APPROPRIATIONS ACT, 

2000..................................................................................................................... 706

Nuclear Regulatory Commission .................................................................. 706

Office of Inspector General........................................................................... 707

ENERGY AND WATER DEVELOPMENT APPROPRIATIONS ACT, 

1999..................................................................................................................... 707

Nuclear Regulatory Commission .................................................................. 707

Office of Inspector General........................................................................... 707

Formerly Utilized Sites Remedial Action Program..................................... 708

ENERGY AND WATER DEVELOPMENT APPROPRIATIONS ACT, 

1998..................................................................................................................... 709

Nuclear Regulatory Commission .................................................................. 709

Office of Inspector General........................................................................... 710

ENERGY AND WATER DEVELOPMENT APPROPRIATIONS ACT, 

1997..................................................................................................................... 711

Nuclear Regulatory Commission .................................................................. 711

Office of Inspector General........................................................................... 711

ENERGY AND WATER DEVELOPMENT APPROPRIATIONS ACT, 

1996..................................................................................................................... 712

Nuclear Regulatory Commission .................................................................. 712

Office of Inspector General........................................................................... 713

ENERGY AND WATER DEVELOPMENT APPROPRIATIONS ACT, 

1995..................................................................................................................... 713

Nuclear Regulatory Commission .................................................................. 713

Office of Inspector General........................................................................... 714

ENERGY AND WATER DEVELOPMENT APPROPRIATIONS ACT, 

1994..................................................................................................................... 715

Nuclear Regulatory Commission .................................................................. 715

Office of Inspector General........................................................................... 715

ENERGY AND WATER DEVELOPMENT APPROPRIATIONS ACT, 

1993..................................................................................................................... 716

Nuclear Regulatory Commission .................................................................. 716

Office of Inspector General........................................................................... 717

ENERGY AND WATER DEVELOPMENT APPROPRIATIONS ACT, 

1992..................................................................................................................... 718

Nuclear Regulatory Commission .................................................................. 718

Office of Inspector General........................................................................... 718

ENERGY AND WATER DEVELOPMENT APPROPRIATIONS ACT, 

1991..................................................................................................................... 719

Nuclear Regulatory Commission .................................................................. 719

Office of Inspector General........................................................................... 720

ENERGY AND WATER DEVELOPMENT APPROPRIATIONS ACT, 

1990..................................................................................................................... 720

Nuclear Regulatory Commission .................................................................. 720

Office of Inspector General........................................................................... 721

ENERGY AND WATER DEVELOPMENT APPROPRIATIONS ACT, 

1989..................................................................................................................... 722
NRC Appropriations 689

Title IV–Independent Agencies........................................................................ 722

Nuclear Regulatory Commission .................................................................. 722

Title V–General Provisions............................................................................... 723

ENERGY AND WATER DEVELOPMENT APPROPRIATION ACT, 

1988..................................................................................................................... 723

Title IV–Independent Agencies........................................................................ 724

Nuclear Regulatory Commission .................................................................. 724

Title V–General Provisions............................................................................... 725

ENERGY AND WATER DEVELOPMENT APPROPRIATIONS ACT, 

1987..................................................................................................................... 726

Title IV–Independent Agencies........................................................................ 727

Nuclear Regulatory Commission .................................................................. 727

Title V–General Provisions............................................................................... 727

ENERGY AND WATER DEVELOPMENT APPROPRIATIONS ACT, 

1987..................................................................................................................... 729

Title IV–Independent Agencies........................................................................ 729

Nuclear Regulatory Commission .................................................................. 729

Title V–General Provisions............................................................................... 730

APPROPRIATIONS ACT, 1986 ......................................................................... 732

Title IV–Independent Agencies........................................................................ 732

Nuclear Regulatory Commission .................................................................. 732

ENERGY AND WATER DEVELOPMENT APPROPRIATIONS ACT, 

1985..................................................................................................................... 733

Title IV–Independent Agencies........................................................................ 733

Nuclear Regulatory Commission .................................................................. 733

ENERGY AND WATER DEVELOPMENT APPROPRIATIONS ACT, 

1984..................................................................................................................... 734

Nuclear Regulatory Commission .................................................................. 734

CONTINUING APPROPRIATIONS FOR FISCAL YEAR 1983.................... 735

Title V–General Provisions............................................................................... 735

ENERGY AND WATER DEVELOPMENT APPROPRIATIONS ACT, 

1982..................................................................................................................... 736

Title IV–Independent Agencies........................................................................ 736

Nuclear Regulatory Commission .................................................................. 736

Title V–General Provisions............................................................................... 737

ENERGY AND WATER DEVELOPMENT APPROPRIATIONS ACT, 

1981..................................................................................................................... 738

Title IV–Independent Agencies........................................................................ 738

Nuclear Regulatory Commission .................................................................. 738

Title V–General Provisions............................................................................... 739

SUPPLEMENTAL APPROPRIATIONS AND RESCISSION ACT, 1980 ..... 739

Title I–Independent Agencies........................................................................... 739

Nuclear Regulatory Commission .................................................................. 739

TITLE II–INCREASED PAY COSTS FOR THE FISCAL YEAR 1980.... 740

Nuclear Regulatory Commission .................................................................. 740

Title III–General Provisions............................................................................. 740

ENERGY AND WATER DEVELOPMENT APPROPRIATION ACT, 

1980..................................................................................................................... 741

Title IV–Independent Agencies........................................................................ 741

Nuclear Regulatory Commission .................................................................. 741
690 NRC Appropriations

Title V–General Provision ................................................................................ 742

APPROPRIATIONS ACT, 1979 ......................................................................... 742

SECOND SUPPLEMENTAL APPROPRIATIONS ACT, 1978 ...................... 743

Title I–Independent Agencies........................................................................... 743

Nuclear Regulatory Commission .................................................................. 743

Title II–Increased Pay Costs For The Fiscal Year 1978................................. 743

Nuclear Regulatory Commission .................................................................. 743

Title III–General Provisions............................................................................. 743

PUBLIC WORKS FOR WATER AND POWER DEVELOPMENT AND 

ENERGY RESEARCH APPROPRIATION ACT, 1978............................... 744

Nuclear Regulatory Commission .................................................................. 744

Title V–General Provisions............................................................................... 744

SUPPLEMENTAL APPROPRIATIONS ACT, 1977........................................ 745

Title II–Increased Pay Costs For The Fiscal Year 1977................................. 745

Nuclear Regulatory Commission .................................................................. 745

PUBLIC WORKS FOR WATER AND POWER DEVELOPMENT AND 

ENERGY RESEARCH APPROPRIATION ACT, 1977............................... 745

Title IV–Independent offices ............................................................................ 746

Nuclear Regulatory Commission .................................................................. 746

PUBLIC WORKS FOR WATER AND POWER DEVELOPMENT AND 

ENERGY RESEARCH APPROPRIATION ACT, 1976............................... 746

Title IV–Independent offices ............................................................................ 747

Nuclear Regulatory Commission .................................................................. 747

Title V–General Provisions............................................................................... 747

SECOND SUPPLEMENTAL APPROPRIATIONS ACT, 1975 ...................... 747

Title I–Chapter VIII.......................................................................................... 748

Nuclear Regulatory Commission .................................................................. 748

Title II–Increased Pay Costs............................................................................. 748

Energy Research and Development Administration................................... 748

Nuclear Regulatory Commission .................................................................. 748

Title III–General Provisions............................................................................. 748

TABLE: ANNUAL NRC APPROPRIATION ACTS THROUGH 

FISCAL YEAR 2012................................................................................. 750
NRC Appropriations 691

CONSOLIDATED APPROPRIATIONS ACT, 2012

Public Law 112–74 125 Stat. 786 

December 23, 2011

Title IV–Independent Agencies

Nuclear Regulatory Commission

SALARIES AND EXPENSES

For necessary expenses of the Commission in carrying out the purposes 

of the Energy Reorganization Act of 1974, as amended, and the Atomic 

Energy Act of 1954, as amended, including official representation 

expenses (not to exceed $25,000), $1,027,240,000, to remain available 

until expended: Provided, That of the amount appropriated herein, not 

more than $9,000,000 may be made available for salaries and other 

support costs for the Office of the Commission: Provided further, That 

revenues from licensing fees, inspection services, and other services and 

collections estimated at $899,726,000 in fiscal year 2012 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: Provided further, That the sum herein appropriated shall be 

reduced by the amount of revenues received during fiscal year 2012 so as 

to result in a final fiscal year 2012 appropriation estimated at not more 

than $127,514,000: Provided further, That of the amounts appropriated 

under this heading, $10,000,000 shall be for university research and 

development in areas relevant to their respective organization's mission, 

and $5,000,000 shall be for a Nuclear Science and Engineering Grant 

Program that will support multiyear projects that do not align with 

programmatic missions but are critical to maintaining the discipline of 

nuclear science and engineering.

Office of Inspector General

For necessary expenses of the Office of Inspector General in carrying out 

the provisions of the Inspector General Act of 1978, $10,860,000, to 

remain available until September 30, 2013: Provided, That revenues from 

licensing fees, inspection services, and other services and collections 

estimated at $9,774,000 in fiscal year 2012 shall be retained and be 

available until expended, for necessary salaries and expenses in this 

account, notwithstanding section 3302 of title 31, United States Code: 

Provided further, That the sum herein appropriated shall be reduced by 

the amount of revenues received during fiscal year 2012 so as to result in 

a final fiscal year 2012 appropriation estimated at not more than 

$1,086,000.

* * * * *
692 NRC Appropriations

General Provisions–Independent Agencies

SEC. 401. (a) None of the funds provided in this title for “Nuclear 

Regulatory Commission--Salaries and Expenses” shall be available for 

obligation or expenditure through a reprogramming of funds that--

(1) increases funds or personnel for any program, project, or activity 

for which funds are denied or restricted by this Act; or

(2) reduces funds that are directed to be used for a specific program, 

project, or activity by this Act.

(b) The Chairman of the Nuclear Regulatory Commission may not 

terminate any program, project, or activity without the approval of a 

majority vote of the Commissioners of the Nuclear Regulatory 

Commission approving such action.

(c) The Nuclear Regulatory Commission may waive the restriction on 

reprogramming under subsection (a) on a case-by-case basis by certifying 

to the Committees on Appropriations of the House of Representatives 

and the Senate that such action is required to address national security or 

imminent risks to public safety. Each such waiver certification shall 

include a letter from the Chairman of the Commission that a majority of 

Commissioners of the Nuclear Regulatory Commission have voted and 

approved the reprogramming waiver certification.

SEC. 402. The Nuclear Regulatory Commission shall require reactor 

licensees to re-evaluate the seismic, tsunami, flooding, and other external 

hazards at their sites against current applicable Commission requirements 

and guidance for such licenses as expeditiously as possible, and thereafter 

when appropriate, as determined by the Commission, and require each 

licensee to respond to the Commission that the design basis for each 

reactor meets the requirements of its license, current applicable 

Commission requirements and guidance for such license. Based upon the 

evaluations conducted pursuant to this section and other information it 

deems relevant, the Commission shall require licensees to update the 

design basis for each reactor, if necessary.

✧ ✧ ✧

DEPARTMENT OF DEFENSE AND FULL–YEAR CONTINUING 

APPROPRIATIONS ACT, 2011

Public Law 112–10 125 Stat. 38 

April 15, 2011

Title I–General Provisions

SEC. 1101. (a) Such amounts as may be necessary, at the level specified 

in subsection (c) and under the authority and conditions provided in 

applicable appropriations Acts for fiscal year 2010, for projects or 

activities (including the costs of direct loans and loan guarantees) that are 

not otherwise specifically provided for, and for which appropriations, 

funds, or other authority were made available in the following 

appropriations Acts:

(1) The Agriculture, Rural Development, Food and Drug 

Administration, and Related Agencies Appropriations Act, 2010 (Public 

Law 111–80).
NRC Appropriations 693

(2) The Energy and Water Development and Related Agencies 

Appropriations Act, 2010 (Public Law 111–85).

(3) The Department of Homeland Security Appropriations Act, 2010 

(Public Law 111–83).

(4) The Department of the Interior, Environment, and Related 

Agencies Appropriations Act, 2010 (division A of Public Law 111–88).

(5) The Legislative Branch Appropriations Act, 2010 (division A of 

Public Law 111–68).

(6) The Consolidated Appropriations Act, 2010 (Public Law 111–

117).

(7) Section 102(c) (except the last proviso relating to waiver of fees) 

of chapter 1 of title I of the Supplemental Appropriations Act, 2010 

(Public Law 111–212) that addresses guaranteed loans in the rural 

housing insurance fund.

(b) For purposes of this division, the term “level” means an amount.

(c) The level referred to in subsection (a) shall be the amounts 

appropriated in the appropriations Acts referred to in such subsection, 

including transfers and obligation limitations, except that--

(1) such level shall not include any amount previously designated as 

an emergency requirement and necessary to meet emergency needs 

pursuant to sections 403(a) and 423(b) of S. Con. Res. 13 (111th 

Congress), the concurrent resolution on the budget for fiscal year 2010; 

and

(2) such level shall be calculated without regard to any rescission or 

cancellation of funds or contract authority.

* * * * *

SEC. 1423. Notwithstanding section 1101, for the “Nuclear Regulatory 

Commission, Salaries and Expenses”, for necessary expenses in carrying 

out the purposes of the Energy Reorganization Act of 1974, as amended, 

and the Atomic Energy Act of 1954, as amended, including official 

representation expenses (not to exceed $25,000), $1,043,483,000, to 

remain available until expended: Provided, That of the amount 

appropriated herein, $10,000,000 shall be derived from the Nuclear 

Waste Fund: Provided further, That revenues from licensing fees, 

inspection services, and other services and collections estimated at 

$906,220,000 in fiscal year 2011 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: Provided further, That the sum 

herein appropriated shall be reduced by the amount of revenues received 

during fiscal year 2011 so as to result in a final fiscal year 2011 

appropriation estimated at not more than $137,263,000: Provided further, 

That the last proviso under such heading in title IV of Public Law 111–85 

shall not apply to funds appropriated by this division.

✧ ✧ ✧
694 NRC Appropriations

NRC FISCAL YEAR 2010 RESCISSION

Public Law 111–226 124 Stat. 2389

August 10, 2010

An Act

 To modernize the air traffic control system, improve the safety, 

reliability, and availability of transportation by air in the United States, 

provide for modernization of the air traffic control system, reauthorize 

the Federal Aviation Administration, and for other purposes. 

 Be it enacted by the Senate and House of Representatives of the United 

States of America in Congress assembled,

Sec. 1. This Act may be cited as the ``______Act of____''.

* * * * *

Title III– Rescissions

SEC. 307. of the unobligated balances of funds provided under the 

heading ‘‘Nuclear Regulatory Commission’’ in prior appropriations Acts, 

$18,000,000 is permanently rescinded.

✧ ✧ ✧

ENERGY AND WATER DEVELOPMENT AND RELATED 

AGENCIES APPROPRIATIONS ACT, 2010

Public Law 111–85 123 Stat. 2845

October 28, 2009

Title IV–Independent Agencies

Nuclear Regulatory Commission

SALARIES AND EXPENSES

For necessary expenses of the Commission in carrying out the purposes 

of the Energy Reorganization Act of 1974, as amended, and the Atomic 

Energy Act of 1954, as amended, including official representation 

expenses (not to exceed $25,000), $1,056,000,000, to remain available 

until expended: Provided, That of the amount appropriated herein, 

$29,000,000 shall be derived from the Nuclear Waste Fund: Provided 

further, That revenues from licensing fees, inspection services, and other 

services and collections estimated at $902,402,000 in fiscal year 2010 

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: Provided further, That the sum herein appropriated shall be

reduced by the amount of revenues received during fiscal year 2010 so as 

to result in a final fiscal year 2010 appropriation estimated at not more 
NRC Appropriations 695

than $153,598,000: Provided further, That of the amounts appropriated, 

$10,000,000 is provided to support university research and development 

in areas relevant to their respective organization’s mission, and 

$5,000,000 is to support a Nuclear Science and Engineering Grant 

Program that will support multiyear projects that do not align with 

programmatic missions but are critical to maintaining the discipline of 

nuclear science and engineering. 

Office of Inspector General

For necessary expenses of the Office of Inspector General in carrying out 

the provisions of the Inspector General Act of 1978, as amended, 

$10,860,000, to remain available until expended: Provided, That 

revenues from licensing fees, inspection services, and other services and 

collections estimated at $9,774,000 in fiscal year 2010 shall be retained 

and be available until expended, for necessary salaries and expenses in 

this account, notwithstanding 31 U.S.C. 3302: Provided further, That the 

sum herein appropriated shall be reduced by the amount of revenues 

received during fiscal year 2010 so as to result in a final fiscal year 2010 

appropriation estimated at not more than $1,086,000.

✧ ✧ ✧

OMNIBUS APPROPRIATIONS ACT, 20091

Public Law 111–8 123 Stat. 524

March 11, 2009

Division C—Energy and Water Development and Related Agencies 

Appropriations Act, 2009

Title IV–Independent Agencies

Nuclear Regulatory Commission

SALARIES AND EXPENSES

For necessary expenses of the Commission in carrying out the purposes 

of the Energy Reorganization Act of 1974, as amended, and the Atomic 

Energy Act of 1954, as amended, including official representation 

expenses (not to exceed $25,000), $1,034,656,000, to remain available 

until expended: Provided, That of the amount appropriated herein, 

$49,000,000 shall be derived from the Nuclear Waste Fund: Provided 

further, That revenues from licensing fees, inspection services, and other 

services and collections estimated at $860,857,000 in fiscal year 2009 

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: Provided further, That the sum herein appropriated shall be

reduced by the amount of revenues received during fiscal year 2009 so as 

to result in a final fiscal year 2009 appropriation estimated at not more 

than $173,799,000: Provided further, That such funds as are made 

––––––––

1 Between September 30, 2008, and March 11, 2009, the budget was funded by 

Continuing Resolutions, P.L. 110–329 and P.L. 111–6. 
696 NRC Appropriations

available for necessary expenses of the Commission by this Act or any 

other Act may be used for the acquisition and lease of additional Office

space provided by the General Services Administration for personnel of 

the U.S. Nuclear Regulatory Commission as close as reasonably possible 

to the Commission’s headquarters location in Rockville, Maryland, and 

of such square footage and for such lease term, as are determined by the 

Commission to be necessary to maintain the agency’s regulatory 

effectiveness, efficiency, and emergency response capability: Provided 

further, That notwithstanding any other provision of law or any 

prevailing practice, the acquisition and lease of space for such purpose 

shall, to the extent necessary to obtain the space, be based on the 

prevailing rates in the immediate vicinity of the Commission’s 

headquarters. 

Office of Inspector General

For necessary expenses of the Office of Inspector General in carrying out 

the provisions of the Inspector General Act of 1978, $10,860,000, to 

remain available until expended: Provided, That revenues from licensing 

fees, inspection services, and other services and collections estimated at 

$9,774,000 in fiscal year 2009 shall be retained and be available until 

expended, for necessary salaries and expenses in this account, 

notwithstanding 31 U.S.C. 3302: Provided further, That the sum herein 

appropriated shall be reduced by the amount of revenues received during 

fiscal year 2009 so as to result in a final fiscal year 2009 appropriation 

estimated at not more than $1,086,000. 

✧ ✧ ✧

CONSOLIDATED APPROPRIATIONS

ACT, 2008

Public Law 110–161 121 Stat. 1844

December 26, 2007

Division C—Energy and Water Development and Related Agencies 

Appropriations Act, 2008

* * * * *

Title IV–Independent Agencies

* * * * 

Nuclear Regulatory Commission

SALARIES AND EXPENSES

For necessary expenses of the Commission in carrying out the 

purposes of the Energy Reorganization Act of 1974 and the Atomic 

Energy Act of 1954, including official representation expenses (not to 

exceed $25,000), $917,334,000, to remain available until expended: 

Provided, That of the amount appropriated herein, $29,025,000 shall be 

derived from the Nuclear Waste Fund: Provided further, That revenues 

Energy and 

Water 

Development 

and Related 

Agencies 

Appropriations 

Act, 2008.
NRC Appropriations 697

from licensing fees, inspection services, and other services and 

collections estimated at $771,220,000 in fiscal year 2008 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: Provided further, That the sum herein appropriated shall be 

reduced by the amount of revenues received during fiscal year 2008 so 

as to result in a final fiscal year 2008 appropriation estimated at not more 

than $146,114,000: Provided further, That such funds as are made 

available for necessary expenses of the Commission by this Act or any

other Act may be used for lease payments for additional Office space 

provided by the General Services Administration for personnel of the 

U.S. Nuclear Regulatory Commission as close as reasonably possible to 

the Commission’s headquarters location in Rockville, Maryland, and of 

such square footage and for such lease term, as are determined by the 

Commission to be necessary to maintain the agency’s regulatory 

effectiveness, efficiency, and emergency response capability: Provided 

further, That notwithstanding any other provision of law or any 

prevailing practice, the rental square foot rate paid for the lease of space 

for such purpose shall, to the extent necessary to obtain the space, be 

based on the prevailing lease rates in the immediate vicinity of the 

Commission’s headquarters. 

Office of Inspector General

For necessary expenses of the Office of Inspector General in 

carrying out the provisions of the Inspector General Act of 1978, as 

amended, $8,744,000, to remain available until expended: Provided, That 

revenues from licensing fees, inspection services, and other services and 

collections estimated at $7,870,000 in fiscal year 2008 shall be retained 

and be available until expended, for necessary salaries and expenses in 

this account, notwithstanding 31 U.S.C. 3302: Provided further, That the 

sum herein appropriated shall be reduced by the amount of revenues 

received during fiscal year 2008 so as to result in a final fiscal year 2008 

appropriation estimated at not more than $874,000. 

✧ ✧ ✧
698 NRC Appropriations

REVISED CONTINUING APPROPRIATIONS RESOLUTION, 

20072

Public Law 110–5 121 Stat. 8

February 15, 2007

Joint Resolution 

Making further continuing appropriations for the fiscal year 2007, and for 

other purposes

Resolved by the Senate and House of Representatives of the United 

States of America in Congress assembled, That this joint resolution may 

be cited as the ‘‘Revised Continuing Appropriations Resolution, 2007’’.

SEC. 2. The Continuing Appropriations Resolution, 2007 (Public Law 

109–289, division B), as amended by Public Laws 109–369 and 109–383, 

is amended to read as follows: 

‘‘Division B—Continuing Appropriations Resolution, 2007

‘‘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 

Government for fiscal year 2007, and for other purposes, namely:

‘‘SEC. 20317. Notwithstanding section 101, the level for necessary 

expenses of the Nuclear Regulatory Commission in carrying out the 

purposes of the Energy Reorganization Act of 1974 and the Atomic 

Energy Act of 1954, including official representation expenses (not to 

exceed $15,000), and including purchase of promotional items for use in 

the recruitment of individuals for employment, shall be $813,300,000, to 

remain available until expended: Provided, That of the amount 

appropriated herein, $45,700,000 shall be derived from the Nuclear 

Waste Fund: Provided further, That revenues from licensing fees, 

inspection services, and other services and collections estimated at 

$659,055,000 in fiscal year 2007 shall be retained and used for necessary 

salaries and expenses in this account, notwithstanding section 3302 of 

title 31, United States Code, and shall remain available until expended: 

Provided further, That the sum herein appropriated shall be reduced by 

––––––––

2 Total appropriations for fiscal year (FY 2007) were $824.9 million. P.L. 110–5, 121 

Stat. 8, (2007), extended the Continuing Resolution enacted in P.L. 109–289, 120 Stat. 

1257, (2006), for the entire year, with some amendments. § 101(a)(2), as Amended, 

extended FY 2006 energy and water appropriations for the entirety of FY 2007. § 101(c), as 

Amended, indicates that FY 2006 appropriations used for FY 2007 should be reduced by 

FY 2006 rescission. No specific exception was made for the NRC’s Office of the Inspector 

General (OIG), so the OIG appropriation for FY 2007 was $8,307,690 after subtracting FY 

2006 rescission ($8,310) from FY 2006 appropriation ($8,316,000). § 20317, as Amended, 

provided an exception from the funding in § 101 for the NRC’s salaries and expenses, 

which amounted to $813,300,000. § 111, as Amended, provides that in addition to OIG 

appropriations in § 101 and salary and expenses appropriations in § 20317, both 

appropriations should receive additional amounts for pay raise costs. OMB Bulletin 07–03, 

February 26, 2007, provided guidance for determining pay raise costs. The NRC received 

approval of pay raise costs from OMB in the amounts of $51,928 for OIG and $3,228,889 

for salary and expenses. Final appropriations for OIG were $8, 359,618, and final 

appropriations for salary and expenses were $816,528,889, for a total FY 2007 

appropriation of $824.9 million (rounded up).

Revised 

Continuing 

Appropriations 

Resolution, 

2007.
NRC Appropriations 699

the amount of revenues received during fiscal year 2007 so as to result in 

a final fiscal year 2007 appropriation estimated at not more than 

$154,245,000.

✧ ✧ ✧

ENERGY AND WATER DEVELOPMENT

APPROPRIATIONS ACT, 2006

Public Law 109–103 119 Stat. 2247

November 19, 2005

An Act

Making appropriations for energy and water development for the fiscal 

year ending September 30, 2006, and for other purposes

Be it enacted by the Senate and House of Representatives of the 

United States of America in Congress assembled,

That the following sums are appropriated, out of any money in the 

Treasury not otherwise appropriated, for the fiscal year ending 

September 30, 2006, for energy and water development, and for other 

purposes, namely:

* * * * *

Title IV–Independent Agencies

* * * * *

Nuclear Regulatory Commission

SALARIES AND EXPENSES

For necessary expenses of the Commission in carrying out the 

purposes of the Energy Reorganization Act of 1974, as amended, and the 

Atomic Energy Act of 1954, as amended, including official 

representation expenses (not to exceed $15,000), purchase of promotional 

items for use in the recruitment of individuals for employment, 

$734,376,000, to remain available until expended: Provided, That of the 

amount appropriated herein, $46,118,000 shall be derived from the 

Nuclear Waste Fund: Provided further, That revenues from licensing 

fees, inspection services, and other services and collections estimated at 

$617,182,000 in fiscal year 2006 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: Provided further, That the sum 

herein appropriated shall be reduced by the amount of revenues received 

during fiscal year 2006 so as to result in a final fiscal year 2006 

appropriation estimated at not more than $117,194,000: Provided further, 

That section 6101 of the Omnibus Budget Reconciliation Act of 1990 is 

amended by inserting before the period in subsection (c)(2)(B)(v) the 

words ‘‘and fiscal year 2006’’.

Energy and 

Water 

Development 

Appropriation 

Act, 2006.
700 NRC Appropriations

Office of Inspector General

For necessary expenses of the Office of Inspector General in 

carrying out the provisions of the Inspector General Act of 1978, as 

amended, $8,316,000, to remain available until expended: Provided, That 

revenues from licensing fees, inspection services, and other services and 

collections estimated at $7,485,000 in fiscal year 2006 shall be retained 

and be available until expended, for necessary salaries and expenses in 

this account, notwithstanding 31 U.S.C. 3302: Provided further, That the 

sum herein appropriated shall be reduced by the amount of revenues 

received during fiscal year 2006 so as to result in a final fiscal year 2006 

appropriation estimated at not more than $831,000. 

✧ ✧ ✧

CONSOLIDATED APPROPRIATIONS

ACT, 2005

Public Law 108–447 118 Stat. 2961

December 8, 2004

An Act

Nuclear Regulatory Commission

SALARIES AND EXPENSES

For necessary expenses of the Commission in carrying out the 

purposes of the Energy Reorganization Act of 1974, as amended, and the 

Atomic Energy Act of 1954, as amended, including official 

representation expenses (not to exceed $15,000), and purchase of 

promotional items for use in the recruitment of individuals for 

employment, $662,777,000, to remain available until expended: 

Provided, That of the amount appropriated herein, $69,050,000 shall be 

derived from the Nuclear Waste Fund: Provided further, That revenues 

from licensing fees, inspection services, and other services and 

collections estimated at $534,354,000 in fiscal year 2005 shall be 

retained and used for necessary salaries and expenses in this account, 

notwithstanding 31 USC 3302, and shall remain available until expended: 

Provided further, That the sum herein appropriated shall be reduced by 

the amount of revenues received during fiscal year 2005 so as to result in 

a final fiscal year 2005 appropriation estimated at not more than 

$128,423,000.

* * * *

Office of Inspector General

For necessary expenses of the Office of Inspector General in carrying 

out the provisions of the Inspector General Act of 1978, as amended, 

$7,518,000, to remain available until expended: Provided, That revenues 

from licensing fees, inspection services, and other services and 

collections estimated at $6,766,200 in fiscal year 2005 shall be retained 

and be available until expended, for necessary salaries and expenses in 

this account notwithstanding 31 USC 3302: Provided further, That the 

sum herein appropriated shall be reduced by the amount of revenues 
NRC Appropriations 701

received during fiscal year 2005 so as to result in a final fiscal year 2005 

appropriation estimated at not more than $751,800.

✧ ✧ ✧

ENERGY AND WATER DEVELOPMENT

APPROPRIATIONS ACT, 2004

Public Law 108–137 117 Stat. 1867

December 1, 2003

An Act

Making appropriations for energy and water development for the fiscal 

year ending September 30, 2004, and for other purposes.

Be it enacted by the Senate and House of Representatives of the 

United States of America in Congress assembled,

That the following sums are appropriated, out of any money in the 

Treasury not otherwise appropriated, for the fiscal year ending September 

30, 2004, for energy and water development, and for other purposes, 

namely:

* * * * *

Title IV–Independent Agencies

* * * * *

Nuclear Regulatory Commission

SALARIES AND EXPENSES

For necessary expenses of the Commission in carrying out the 

purposes of the Energy Reorganization Act of 1974, as amended, and the 

Atomic Energy Act of 1954, as amended, including official 

representation expenses (not to exceed $15,000), and purchase of 

promotional items for use in the recruitment of individuals for 

employment, $618,800,000, to remain available until expended: 

Provided, That of the amount appropriated herein, $33,100,000 shall be 

derived from the Nuclear Waste Fund: Provided further, That revenues 

from licensing fees, inspection services, and other services and 

collections estimated at $538,844,000 in fiscal year 2004 shall be 

retained and used for necessary salaries and expenses in this account, 

notwithstanding 31 USC 3302, and shall remain available until expended: 

Provided further, That the sum herein appropriated shall be reduced by 

the amount of revenues received during fiscal year 2004 so as to result in 

a final fiscal year 2004 appropriation estimated at not more than 

$79,956,000.

Office of Inspector General

For necessary expenses of the Office of Inspector General in carrying 

out the provisions of the Inspector General Act of 1978, as amended, 

Energy and 

Water 

Development 

Appropriation 

Act, 2004.
702 NRC Appropriations

$7,300,000, to remain available until expended: Provided, That revenues 

from licensing fees, inspection services, and other services and 

collections estimated at $6,716,000 in fiscal year 2004 shall be retained 

and be available until expended, for necessary salaries and expenses in 

this account notwithstanding 31 USC 3302: Provided further, That the 

sum herein appropriated shall be reduced by the amount of revenues 

received during fiscal year 2004 so as to result in a final fiscal year 2004 

appropriation estimated at not more than $584,000.

✧ ✧ ✧

CONSOLIDATION APPROPRIATIONS RESOLUTION, 2003

Public Law 108–7 117 Stat. 157

February 20, 2003

* * * * *

DIVISION D – ENERGY AND WATER DEVELOPMENT 

APPROPRIATIONS, 2003

* * * * *

Joint Resolution

Making appropriations for energy and water development for the fiscal 

year ending September 30, 2003, and for other purposes.

That the following sums are appropriated, out of any money in the 

Treasury not otherwise appropriated, for the fiscal year ending September 

30, 2003, for energy and water development, and for other purposes, 

namely:

* * * * *

Nuclear Regulatory Commission

SALARIES AND EXPENSES

For necessary expenses of the Commission in carrying out the 

purposes of the Energy Reorganization Act of 1974, as amended, and the 

Atomic Energy Act of 1954, as amended, including official 

representation expenses (not to exceed $15,000), and purchase of 

promotional items for use in the recruitment of individuals for 

employment, $578,184,000, to remain available until expended: 

Provided, That of the amount appropriated herein, $24,900,000 shall be 

derived from the Nuclear Waste Fund: Provided further, That revenues 

from licensing fees, inspection services, and other services and 

collections estimated at $520,087,000 in fiscal year 2003 shall be 

retained and used for necessary salaries and expenses in this account, 

notwithstanding 31 USC 3302, and shall remain available until expended: 

Provided further, That the sum herein appropriated shall be reduced by 

the amount of revenues received during fiscal year 2003 so as to result in 

Energy and 

Water 

Development 

Appropriation 

Act, 2004.
NRC Appropriations 703

a final fiscal year 2003 appropriation estimated at not more than 

$58,097,000.

Office of Inspector General

For necessary expenses of the Office of Inspector General in carrying 

out the provisions of the Inspector General Act of 1978, as amended, 

$6,800,000, to remain available until expended: Provided, That revenues 

from licensing fees, inspection services, and other services and 

collections estimated at $6,392,000 in fiscal year 2003 shall be retained 

and be available until expended, for necessary salaries and expenses in 

this account notwithstanding 31 USC 3302: Provided further, That the 

sum herein appropriated shall be reduced by the amount of revenues 

received during fiscal year 2003 so as to result in a final fiscal year 2003 

appropriation estimated at not more than $408,000.

✧ ✧ ✧

ENERGY AND WATER DEVELOPMENT

APPROPRIATIONS ACT, 2002

Public Law 107–66 115 Stat. 486

November 12, 2001

An Act

Nuclear Regulatory Commission

SALARIES AND EXPENSES

For necessary expenses of the Commission in carrying out the 

purposes of the Energy Reorganization Act of 1974, as amended, and the 

Atomic Energy Act of 1954, as amended, including official representation 

expenses (not to exceed $15,000), and purchase of promotional items for 

use in the recruitment of individuals for employment, $516,900,000, to 

remain available until expended: Provided, That of the amount 

appropriated herein, $23,650,000 shall be derived from the Nuclear Waste 

Fund: Provided further, That revenues from licensing fees, inspection 

services, and other services and collections estimated at $473,520,000 in 

fiscal year 2002 shall be retained and used for necessary salaries and 

expenses in this account, notwithstanding 31 USC 3302, and shall remain 

available until expended: Provided further, That the sum herein 

appropriated shall be reduced by the amount of revenues received during 

fiscal year 2002 so as to result in a final fiscal year 2002 appropriation 

estimated at not more than $43,380,000: Provided further, That, 

notwithstanding any other provision of law, no funds made available 

under this or any other Act may be expended by the Commission to 

implement or enforce any part of 10 CFR Part 35, as adopted by the 

Commission on October 23, 2000, with respect to diagnostic nuclear 

medicine, except those parts which establish training and experience 

requirements for persons seeking licensing as authorized users, until such 

time as the Commission has reexamined 10 CFR Part 35 and provided a 

report to the Congress which explains why the burden imposed by 10 

CFR Part 35 could not be further reduced.
704 NRC Appropriations

* * * *

Office of Inspector General

For necessary expenses of the Office of Inspector General in carrying 

out the provisions of the Inspector General Act of 1978, as amended, 

$6,180,000, to remain available until expended: Provided, That revenues 

from licensing fees, inspection services, and other services and 

collections estimated at $5,933,000 in fiscal year 2002 shall be retained 

and be available until expended, for necessary salaries and expenses in 

this account notwithstanding 31 USC 3302: Provided further, That the 

sum herein appropriated shall be reduced by the amount of revenues 

received during fiscal year 2002 so as to result in a final fiscal year 2002 

appropriation estimated at not more than $247,000.

✧ ✧ ✧

DEPARTMENTS OF VETERANS AFFAIRS AND

HOUSING AND URBAN DEVELOPMENT–

APPROPRIATIONS

Public Law 106–377 114 Stat. 1441

October 27, 2000

An Act

Making appropriations for the Department of Veterans Affairs and 

Housing and Urban Development, and for sundry independent 

agencies, boards, commissions, corporations, and offices for the fiscal 

year ending September 30, 2001, and for other purposes.

Be it enacted by the Senate and House of Representatives of the 

United States of America in Congress assembled, 

SECTION 1. (a) The provisions of the following bills of the 106th 

Congress are hereby enacted into law: 

(1) H.R. 5482, as introduced on October 18, 2000. 

(2) H.R. 5483, as introduced on October 18, 2000. 

(b) In publishing this Act in slip form and in the United States 

Statutes at Large pursuant to section 112 of title 1, United States Code, 

the Archivist of the United States shall include after the date of approval 

at the end appendixes setting forth the texts of the bills referred to in 

subsection (a) of this section. 

* * * *
NRC Appropriations 705

H. R. 5483

Making appropriations for energy and water development for the fiscal 

year ending September 30, 2001, and for other purposes.

Title IV

INDEPENDENT AGENCIES

Nuclear Regulatory Commission

SALARIES AND EXPENSES

For necessary expenses of the Commission in carrying out the 

purposes of the Energy Reorganization Act of 1974, as amended, and the 

Atomic Energy Act of 1954, as amended, including official 

representation expenses (not to exceed $15,000), $481,900,000, to remain 

available until expended: Provided, That of the amount appropriated 

herein, $21,600,000 shall be derived from the Nuclear Waste Fund: 

Provided further, That revenues from licensing fees, inspection services, 

and other services and collections estimated at $447,958,000 in fiscal 

year 2001 shall be retained and used for necessary salaries and expenses 

in this account, notwithstanding 31 USC 3302, and shall remain available 

until expended: Provided further, That $3,200,000 of the funds herein 

appropriated for regulatory reviews and assistance to other Federal 

agencies and States shall be excluded from license fee revenues, 

notwithstanding 42 USC 2214: Provided further, That the sum herein 

appropriated shall be reduced by the amount of revenues received during 

fiscal year 2001 so as to result in a final fiscal year 2001 appropriation 

estimated at not more than $33,942,000.

Office of Inspector 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, 

$5,500,000, to remain available until expended: Provided, That revenues 

from licensing fees, inspection services, and other services and 

collections estimated at $5,390,000 in fiscal year 2001 shall be retained 

and be available until expended, for necessary salaries and expenses in 

this account notwithstanding 31 USC 3302: Provided further, That the 

sum herein appropriated shall be reduced by the amount of revenues 

received during fiscal year 2001 so as to result in a final fiscal year 2001 

appropriation estimated at not more than $110,000.

✧ ✧ ✧
706 NRC Appropriations

MILITARY CONSTRUCTION APPROPRIATIONS ACT, 2001

Public Law 106–246 114 Stat. 511

July 13, 2000

An Act

Making appropriations for military construction, family housing, and 

base realignment and closure for the Department of Defense for the 

fiscal year ending September 30, 2001, and for other purposes.

* * * *

Sec. 211. No funds appropriated to the Nuclear Regulatory Commission 

for fiscal years 2000 and 2001 may be used to relocate, or to plan or 

prepare for the relocation of, the functions or personnel of the Technical 

Training Center from its location at Chattanooga, Tennessee. 

✧ ✧ ✧

ENERGY AND WATER DEVELOPMENT APPROPRIATIONS 

ACT, 2000

Public Law 106–60 113 Stat. 483

September 29, 1999

Nuclear Regulatory Commission

SALARIES AND EXPENSES

(INCLUDING TRANSFER OF FUNDS)

For necessary expenses of the Commission in carrying out the 

purposes of the Energy Reorganization Act of 1974, as amended, and the 

Atomic Energy Act of 1954, as amended, including official 

representation expenses (not to exceed $15,000), $465,000,000, to remain 

available until expended: Provided, That of the amount appropriated 

herein, $19,150,000 shall be derived from the Nuclear Waste Fund: 

Provided further, That revenues from licensing fees, inspection services, 

and other services and collections estimated at $442,000,000 in fiscal 

year 2000 shall be retained and used for necessary salaries and expenses 

in this account, notwithstanding 31 USC 3302, and shall remain available 

until expended: Provided further, That $3,850,000 of the funds herein 

appropriated for regulatory reviews and other assistance provided to the 

Department of Energy and other Federal agencies shall be excluded from 

license fee revenues, notwithstanding 42 USC 2214: Provided further, 

That the sum herein appropriated shall be reduced by the amount of 

revenues received during fiscal year 2000 so as to result in a final fiscal 

year 2000 appropriation estimated at not more than $23,000,000.
NRC Appropriations 707

Office of Inspector 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, 

$5,000,000, to remain available until expended: Provided, That the sum 

herein appropriated shall be reduced by the amount of revenues received 

during fiscal year 2000 so as to result in a final fiscal year 2000 

appropriation estimated at not more than $0.

✧ ✧ ✧

ENERGY AND WATER DEVELOPMENT APPROPRIATIONS 

ACT, 1999

Public Law 105–245 112 Stat. 1855

October 7, 1998

Nuclear Regulatory Commission

SALARIES AND EXPENSES

(INCLUDING TRANSFER OF FUNDS)

For necessary expenses of the Commission in carrying out the 

purposes of the Energy Reorganization Act of 1974, as amended, and the 

Atomic Energy Act of 1954, as amended, including official 

representation expenses (not to exceed $15,000), $465,000,000, to remain 

available until expended: Provided, That of the amount appropriated 

herein, $17,000,000 shall be derived from the Nuclear Waste Fund: 

Provided further, That revenues from licensing fees, inspection services, 

and other services and collections estimated at $444,800,000 in fiscal 

year 1999 shall be retained and used for necessary salaries and expenses 

in this account, notwithstanding 31 USC 3302, and shall remain available 

until expended: Provided further, That $3,200,000 of the funds herein 

appropriated for regulatory reviews and other assistance provided to the 

Department of Energy and other Federal agencies shall be excluded from 

license fee revenues, notwithstanding 42 USC 2214: Provided further, 

That the sum herein appropriated shall be reduced by the amount of 

revenues received during fiscal year 1999 so as to result in a final fiscal 

year 1999 appropriation estimated at no more than $20,200.00.

Office of Inspector 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, 

$4,800,000, to remain available until expended: Provided, That the sum 

herein appropriated shall be reduced by the amount of revenues received 

during fiscal year 1999 so as to result in a final fiscal year 1999 

appropriation estimated at not more than $0.

Sec. 506. (a) Funds appropriated for “Nuclear Regulatory 

Commission–Salaries and Expenses” shall be available to the 

Commission for the following additional purposes:

(1) Employment of aliens.

42 USC 5852.
708 NRC Appropriations

(2) Services authorized by section 3109 of Title 5, United States 

Code.

(3) Publication and dissemination of atomic information.

(4) Purchase, repair, and cleaning of uniforms.

(5) Reimbursements to the General Services Administration for 

security guard services.

(6) Hire of passenger motor vehicles and aircraft.

(7) Transfers of funds to other agencies of the Federal 

Government for the performance of the work for which such funds 

are appropriated, and such transferred funds may be merged with the 

appropriations to which they are transferred.

(8) Transfers to the Office of Inspector General of the 

Commission, not to exceed an additional amount equal to 5 percent of 

the amount otherwise appropriated to the Office for the fiscal year. 

Notice of such transfers shall be submitted to the Committees on 

Appropriations.

(b) Funds appropriated for “Nuclear Regulatory Commission–Office

of Inspector General” shall be available to the Office for the additional 

purposes described in paragraphs (2) and (7) of subsection (a).

(c) Moneys received by the Commission for the cooperative nuclear 

research program, services rendered to State governments, 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 of 1954 (42 USC 

2169) may be retained and used for salaries and expenses associated with 

those activities, notwithstanding 31 USC 3302, and shall remain available 

until expended.

(d) Notwithstanding section 663(c)(2)(D) of Public Law 104–208, 

and to facilitate targeted workforce downsizing and restructuring, the 

chairman of the Nuclear Regulatory Commission may use funds 

appropriated in this Act to exercise the authority provided by section 663 

of that Act with respect to employees who voluntarily separate from the 

date of enactment of this Act through December 31, 2000. All of the 

requirements in section 663 of Public Law 104–208, except for section 

663(c)(2)(D), apply to the exercise of authority under this section.

(e) Subsections (a), (b), and (c) of this section shall apply to fiscal 

year 1999 and each succeeding fiscal year.

* * * *

Formerly Utilized Sites Remedial Action Program

(INCLUDING TRANSFER OF FUNDS)

For expenses necessary to clean up contaminated sites throughout the 

United States where work was performed as part of the Nation's early 

atomic energy program, $140,000,000, to remain available until 

expended: Provided, That the response actions by the United States Army 

Corps of Engineers under this program shall consist of the following 

functions and activities to be performed at eligible sites where 

remediation has not been completed: sampling and assessment of 

contaminated areas, characterization of site conditions, determination of 

the nature and extent of contamination, selection of the necessary and 

appropriate response actions as the lead Federal agency, preparation of 

designation reports, cleanup and closeout of sites, and any other functions 

determined by the Chief of Engineers as necessary for remediation: 

Applicability.
NRC Appropriations 709

Provided further, That response actions by the United States Army 

Corps of Engineers under this program shall be subject to the 

administrative, procedural, and regulatory provisions of the 

Comprehensive Environmental Response, Compensation and Liability 

Act (42 USC 9601 et seq.), and the National Oil and hazardous 

Substances pollution Contingency Plan, 40 CFR, Chapter 1, Part 300: 

Provided further, That, except as stated herein, these provisions do not 

alter, curtail or limit the authorities, functions or responsibilities of other 

agencies under the Atomic Energy Act (42 USC 2011 et seq.): Provided 

further, That any sums recovered under CERCLA for the response 

actions, or recovered from a contractor, insurer, surety, or other person to 

reimburse the United States Army Corps of Engineers for any 

expenditures for response actions, shall be credited to the account used to 

fund response actions on eligible sites, and will be available for the 

response action costs for any eligible site: Provided further, That the 

Secretary of Energy may exercise the authority of 42 USC 2208 to make 

payments in lieu of taxes for federally–owned property where Formerly 

Utilized Sites Remedial Action Program activities are conducted, 

regardless of which Federal agency has acquired the property and 

notwithstanding references to the “the activities of the Commission” in 

42 USC 2208: Provided further, That the unexpended balances of prior 

appropriations provided for these activities in this Act or any previous 

Energy and Water Development Appropriations Act may be transferred 

to and merged with this appropriation account, and thereafter, may be 

accounted for as one fund for the same time period as originally enacted.

✧ ✧ ✧

ENERGY AND WATER DEVELOPMENT APPROPRIATIONS 

ACT, 1998

Public Law 105–62 111 Stat. 1337

October 13, 1997

Nuclear Regulatory Commission

SALARIES AND EXPENSES

(INCLUDING TRANSFER OF FUNDS)

For necessary expenses of the Commission in carrying out the 

purposes 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 USC 3109; 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 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 appropriated 

herein, $15,000,000 shall be derived from the Nuclear Waste Fund: 

Provided further, 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: 

Provided further, That moneys received by the Commission for the 
710 NRC Appropriations

cooperative nuclear safety research program, services rendered to State 

governments, 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 may 

be retained and used for salaries and expenses associated with those 

activities, notwithstanding 31 USC 3302, and shall remain available until 

expended: Provided further, That revenues from licensing fees, 

inspection services, and other services and collections estimated at 

$450,000,000 in fiscal year 1998 shall be retained and used for necessary 

salaries and expenses in this account, notwithstanding 31 USC 3302, and 

shall remain available until expended: Provided further, That $3,000,000 

of the funds herein appropriated for regulatory reviews and other 

assistance provided to the Department of Energy and other Federal 

agencies shall be excluded from license fee revenues, notwithstanding 42 

USC 2214: Provided further, 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 nuclear 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.

Office of Inspector 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 services authorized by 5 USC 3109, $4,800,000, 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 House of 

Representatives and Senate: Provided further, 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: Provided further, 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 USC 3302, and shall remain available 

until expended: Provided further, 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 than $0.

✧ ✧ ✧
NRC Appropriations 711

ENERGY AND WATER DEVELOPMENT APPROPRIATIONS 

ACT, 1997

Public Law 104–206 110 Stat. 3000

September 30, 1996

Nuclear Regulatory Commission

SALARIES AND EXPENSES

(INCLUDING TRANSFER OF FUNDS)

For necessary expenses of the Commission in carrying out the 

purposes 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 USC 3109; 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 Administration for security guard services; hire 

of passenger motor vehicles and aircraft, $471,800,000, to remain 

available until expended: Provided, That of the amount appropriated 

herein, $11,000,000 shall be derived from the Nuclear Waste Fund: 

Provided further, 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 

governments and international organizations, and the material and 

information access authorization programs, including criminal history 

checks under section 149 of the Atomic Energy Act may be retained and 

used for salaries and expenses associated with those activities, 

notwithstanding 31 USC 3302, and shall remain available until expended: 

Provided further, That revenues from licensing fees, inspection services, 

and other services and collections estimated at $457,300,000 in fiscal 

year 1997 shall be retained and used for necessary salaries and expenses 

in this account, notwithstanding 31 USC 3302, and shall remain available 

until expended: Provided further, That the funds 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 USC 2214: Provided further, That the sum herein 

appropriated shall be reduced by the amount of revenues received during 

fiscal year 1997 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 1997 appropriation estimated at not more than $14,500,000.

Office of Inspector 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 services authorized by 5 USC 3109, $5,000,000, to remain 

Notice.
712 NRC Appropriations

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 House and 

Senate: Provided further, 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: Provided further, 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 USC 3302, and shall remain available until expended: 

Provided further, That the sum herein appropriated shall be reduced by 

the amount of revenues received during fiscal year 1997 from licensing 

fees, inspection services, and other services and collections, so as to 

result in a final fiscal year 1997 appropriation estimated at not more than 

$0.

✧ ✧ ✧

ENERGY AND WATER DEVELOPMENT APPROPRIATIONS 

ACT, 1996

Public Law 104–46 109 Stat. 417

November 13, 1995

Nuclear Regulatory Commission

SALARIES AND EXPENSES

(INCLUDING TRANSFER OF FUNDS)

For necessary expenses of the Commission in carrying out the 

purposes 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 Administration 

for security guard services; hire of passenger motor vehicles and aircraft, 

$468,300,000, to remain available until expended, of which $11,000,000 

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 governments and international 

organizations, and the material and information 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 

USC 3302, and shall remain available until expended: Provided further,

That revenues from licensing fees, inspection services, and other services 

and collections estimated at $457,300,000 in fiscal year 1996 shall be 
NRC Appropriations 713

retained and used for necessary salaries and expenses in this account, 

notwithstanding 31 USC 3302, and shall remain available until expended: 

Provided further, 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 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 1996 appropriation 

estimated at not more than $11,000,000.

Office of Inspector 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 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,

That notice of such transfers shall be given to the Committees on 

Appropriations of the House and Senate: Provided further, 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: Provided further, 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 USC 3302, and shall remain available 

until expended: Provided further, 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, so as to result in a final fiscal year 1996 appropriation 

estimated at not more than $0.

✧ ✧ ✧

ENERGY AND WATER DEVELOPMENT APPROPRIATIONS 

ACT, 1995

Public Law 103–316 108 Stat. 1721

August 26, 1994

Nuclear Regulatory Commission

SALARIES AND EXPENSES

(INCLUDING TRANSFER OF FUNDS)

For necessary expenses of the Commission in carrying out the 

purposes 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 

Notice.
714 NRC Appropriations

exceed $20,000); reimbursements to the General Services Administration 

for security guard services; hire of passenger motor vehicles and aircraft, 

$520,501,000, 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 governments and international 

organizations, and the material and information 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: Provided further, That revenues from 

licensing fees, inspection services, and other services and collections 

estimated at $498,501,000 in fiscal year 1995 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: Provided further, 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 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 1995 appropriation estimated at not more than $22,000,000.

Office of Inspector 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 services 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: Provided, That 

notice of such transfers shall be given to the Committees on 

Appropriations of the House and Senate: Provided further, 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: Provided further, 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 the provisions of section 3302 of Title 

31, United States Code, and shall remain available until expended: 

Provided further, 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, so as to 

result in a final fiscal year 1995 appropriation estimated at not more than 

$0.

✧ ✧ ✧
NRC Appropriations 715

ENERGY AND WATER DEVELOPMENT APPROPRIATIONS 

ACT, 1994

Public Law 103–126 107 Stat. 1332

October 28, 1993 

Nuclear Regulatory Commission

SALARIES AND EXPENSES

(Including Transfer of Funds)

For necessary expenses of the Commission in carrying out the 

purposes 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 Administration 

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 governments and international 

organizations, and the material and information 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: Provided further, That revenues from 

licensing fees, inspection services, and other services and collections 

estimated at $520,900,000 in fiscal year 1994 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: Provided further, 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 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 1994 appropriation estimated at not more than $22,000,000.

Office of Inspector 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 services authorized by section 3109 of Title 5, United States 

Code, $4,800,000 to remain available until expended; and in addition, an 
716 NRC Appropriations

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 House and Senate: Provided further, 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: Provided further, 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 the provisions of section 3302 of Title 

31, United States Code, and shall remain available until expended: 

Provided further, 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 collections, so as to 

result in a final fiscal year 1994 appropriation estimated at not more than 

$0.

✧ ✧ ✧

ENERGY AND WATER DEVELOPMENT APPROPRIATIONS 

ACT, 1993

Public Law 102–37 106 Stat. 1340

October 2, 1992

Nuclear Regulatory Commission

SALARIES AND EXPENSES (1993)

(INCLUDING TRANSFER OF FUNDS)

For necessary expenses of the Commission in carrying out the 

purposes 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 Administration 

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 further, 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 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: Provided further, That revenues from 

licensing fees, inspection services, and other services and collections 
NRC Appropriations 717

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: Provided further, That the sum herein 

appropriated shall be reduced by the amount of revenues received during 

fiscal year 1993 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 1993 appropriation estimated at not more than $21,100.000.

Office of Inspector 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 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: Provided, That 

notice of such transfers shall be given to the Committees on 

Appropriations of the House and Senate: Provided further, 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: Provided further, 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 the provisions of section 3302 of Title 

31, United States Code, and shall remain available until expended: 

Provided further, That the sum herein appropriated shall be reduced by 

the amount of revenues received during fiscal year 1993 from licensing 

fees, inspection services, and other services and collections, so as to 

result in a final fiscal year 1993 appropriation estimated at not more than 

$0.

Sec. 502 None of the funds in this Act or subsequent Energy and 

Water Development Appropriations Acts shall be used to pay the 

expenses of, or otherwise compensate, parties intervening in regulatory or 

adjudicatory proceedings funded in such Acts.

✧ ✧ ✧

5 USC 504 

note.
718 NRC Appropriations

ENERGY AND WATER DEVELOPMENT APPROPRIATIONS 

ACT, 1992

Public Law 102–104 105 Stat. 534

August 17, 1991

Nuclear Regulatory Commission 

SALARIES AND EXPENSES

(INCLUDING TRANSFER OF FUNDS)

For necessary expenses of the Commission in carrying out the 

purposes 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 Administration 

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 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 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: Provided further, That revenues from 

licensing fees, inspection services, and other services and collections 

estimated at $488,848,000 in fiscal year 1992 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: Provided further, 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 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 1992 appropriation estimated at not more than $19,962,000.

Office of Inspector 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 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 
NRC Appropriations 719

Salaries and Expenses, Nuclear Regulatory Commission: Provided, That 

notice of such transfers shall be given to the Committees on 

Appropriations of the House and Senate: Provided further, 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: Provided further, 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 the provisions of section 3302 of Title 

31, United States Code, and shall remain available until expended: 

Provided further, 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 collections, so as to 

result in a final fiscal year 1992 appropriation estimated at not more than 

$0.

✧ ✧ ✧

ENERGY AND WATER DEVELOPMENT APPROPRIATIONS 

ACT, 1991

Public Law 101–514 104 Stat. 2074

November 5, 1990

Nuclear Regulatory Commission

SALARIES AND EXPENSES

(INCLUDING TRANSFER OF FUNDS)

For necessary expenses of the Commission in carrying out the 

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 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 Administration for 

security guard services; hire of passenger motor vehicles and aircraft, 

$461,320,000, to remain available until expended, of which $19,650,000 

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 governments and international 

organizations, and the material and information 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: Provided further, That revenues from 

licensing fees, inspection services, and other services and collections 

estimated at $153,450,000 in fiscal year 1991 shall be retained and used 
720 NRC Appropriations

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: Provided further, That the sum herein 

appropriated shall be reduced by 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 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 1991 appropriation 

estimated at not more than $307,870,000.

Office of Inspector 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 services authorized by 5 USC 3109, $3,680,000, to remain 

available until expended; and in addition, not to exceed 5 percent of this 

sum may be transferred from Salaries and Expenses, Nuclear Regulatory 

Commission: Provided, That notice of such transfers shall be given to the 

Committees on Appropriations of the House and Senate: Provided 

further, 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.

✧ ✧ ✧

ENERGY AND WATER DEVELOPMENT APPROPRIATIONS 

ACT, 1990

Public Law 101–101 103 Stat. 641

September 29, 1989

Nuclear Regulatory Commission

SALARIES AND EXPENSES

For necessary expenses of the Commission in carrying out the 

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 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 Administration for 

security guard services; hire of passenger motor vehicles and aircraft, 

$442,100,000, to remain available until expended, of which $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: Provided further, That moneys 

received by the Commission for the cooperative nuclear safety research 

program, services rendered to foreign governments and international 
NRC Appropriations 721

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, notwithstanding the 

provisions of section 3302 of Title 31, United States Code, and shall 

remain available until expended: Provided further, 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: Provided further, 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 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 1990 appropriation 

estimated at not more than $295,250,000.

Office of Inspector General

For necessary expenses of the Office of Inspector General in carrying 

out the provisions of the Inspector General Act of 1978, as amended, 

including services authorized by 5 USC 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 Regulatory 

Commission: Provided, That notice of such transfers shall be given to the 

Committees on Appropriations of the House and Senate: Provided 

further, 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.

✧ ✧ ✧
722 NRC Appropriations

ENERGY AND WATER DEVELOPMENT APPROPRIATIONS 

ACT, 1989

Public Law 100–371 102 Stat. 857

July 19, 1988

An Act

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 States of America in Congress assembled,

That the following sums are appropriated, out of any money in the 

Treasury not otherwise appropriated, for the fiscal year ending September 

30, 1989, for energy and water development, and for other purposes, 

namely:

Title IV–Independent Agencies

Nuclear Regulatory Commission

SALARIES AND EXPENSES

For necessary expenses of the Commission in carrying out the 

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 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 Administration for 

security guard services; hire of passenger motor vehicles and aircraft, 

$420,000,000, 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 

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, notwithstanding the 

provisions of section 3302 of Title 31, United States Code, and shall 

remain available until expended: Provided further, That revenues from 

licensing fees, inspection services, and other services and collections 

estimated at $189,000,000 in fiscal year 1989 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: Provided further, That the sum herein 

appropriated shall be reduced by the amount of revenues received during 

fiscal year 1989 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 

Energy and 

Water 

Development 

Appropriation 

Act, 1989.
NRC Appropriations 723

information access authorization programs, so as to result in a final fiscal 

year 1989 appropriation estimated at not more than $231,000,000.

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 

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 

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 

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.

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.

This Act may be cited as the “Energy and Water Development 

Appropriations Act, 1989.”

✧ ✧ ✧

ENERGY AND WATER DEVELOPMENT APPROPRIATION 

ACT, 1988

Public Law 100–202 101 Stat. 1329

December 22, 1987

JOINT RESOLUTION

Making further continuing appropriations for the fiscal year 1988, and 

for other purposes.

Resolved by the Senate and House of Representatives of the United 

States of America in Congress assembled,

Sec. 1. Because the spending levels included in this Resolution achieve 

the deficit reduction targets of the Economic Summit, 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.

2 USC 902 

note.
724 NRC Appropriations

(b) Any action taken to implement the orders referred to in subsection 

(a) shall be reversed, and any sequester able 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 Government 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 Development 

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 effective as if it 

had been enacted into law as the regular appropriations Act, as follows:

An Act

Making appropriations for energy and water development for the fiscal 

year ending September 30, 1988, and for other purposes.

Title IV–Independent Agencies

Nuclear Regulatory Commission

SALARIES AND EXPENSES

For necessary expenses of the Commission in carrying out the 

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 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 Administration for 

security guard services; hire of passenger motor vehicles and aircraft, 

$392,800,000, 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 

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, notwithstanding the 

provisions of section 3302 of Title 31, United States Code, and shall 

remain available until expended: Provided further, That revenues from 

licensing fees, inspection services, and other services and collections 

estimated at $196,400,000 in fiscal year 1988 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: Provided further, That the sum herein 

appropriated shall be reduced by the amount of revenues received during 

fiscal year 1988 from licensing fees, inspection services and other 

Energy and 

Water 

Development 

Appropriation 

Act, 1988.
NRC Appropriations 725

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 

adjudicatory 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 eliminated 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 

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.

Sec. 506. Notwithstanding any other provision of this Act or any other 

provision of law, 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 method 

for the pricing of hydroelectric power by the six Federal public power 

authorities, or other agencies or authorities of the Federal Government, 

except as may be specifically authorized by Act of Congress hereafter 

enacted.

Sec. 507. None of the funds appropriated in this Act for Power Marketing 

Administrations or the Tennessee Valley Authority, and none of the 

funds authorized to be expended by this or any previous Act from the 

Bonneville Power Administration Fund or the Tennessee Valley

Authority Fund, may be used to pay the costs of procuring extra high 

voltage (EHV) power equipment unless contract awards are made for 

EHV equipment 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 competitive foreign bidder: 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: 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 equipment 
726 NRC Appropriations

necessary for the efficient operation and maintenance of existing 

equipment and available only from the manufacturer of the original 

equipment: Provided further, That this section shall not apply to 

procurement of domestic end product as defined in 48 CFR section 

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 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.

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”, Provided 

further, 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 

Tennessee–Tombigbee Waterway, shall hereafter be known and 

designated as the “Tom Bevill Lock and Dam” and the “Tom Bevill 

Resource Management and Visitor Center at Aliceville Lake on the 

Tennessee–Tombigbee Waterway”, respectively. Any reference in a law, 

map, regulation, 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 

the Tennessee–Tombigbee Waterway”, respectively.

This Act may be cited as the “Energy and Water Development 

Appropriation Act, 1988.”

✧ ✧ ✧

ENERGY AND WATER DEVELOPMENT APPROPRIATIONS 

ACT, 1987

Public Law 99–591 100 Stat. 3341

October 30, 1986

JOINT RESOLUTION

Making continuing appropriations for the fiscal year 1987, and for 

other purposes.

Resolved by the Senate and House of Representatives of the United 

States of America in Congress assembled,

That 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 organization units of the Government 

for the fiscal year 1987, and for other purposes, namely:
NRC Appropriations 727

Sec. 101.(e) Such amounts as may be necessary for programs, 

projects 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 EXPENSES

For necessary expenses of the Commission in carrying out the 

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 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 

$8,000); reimbursements to the General Services Administration for 

security guard services; hire of passenger motor vehicles and aircraft, 

$401,000,000, 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 

received by the Commission for the cooperative nuclear safety research 

program 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 programs, notwithstanding 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 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 limited to those contracts 

where such expenditures are a matter of public record and available for 
728 NRC Appropriations

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 any other provision of this Act or any other 

provision of law, 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 method 

for the pricing of hydroelectric power by the six Federal public power 

authorities, or other agencies or authorities of the Federal Government, 

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 salary 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 Administration Fund, established pursuant to Public 

Law 93–454, may be used to pay the salary of the Administrator of the 

Bonneville Power Administration, unless such Administrators or 

Directors award contracts for the procurement of extra high voltage 

(EHV) power equipment 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 competitive foreign bidder: 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: 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 equipment 

necessary for the efficient operation and maintenance of existing 

equipment and available only from the manufacturer of the original 

equipment: Provided further, That this section shall not apply to 

procurement of domestic end product as defined in 48 CFR section 

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 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 

Appropriations Act, 1987.”

✧ ✧ ✧
NRC Appropriations 729

ENERGY AND WATER DEVELOPMENT APPROPRIATIONS 

ACT, 1987

Public Law 99–500 100 Stat. 1783

October 18, 1986

JOINT RESOLUTION

Making continuing appropriations for the fiscal year 1987, and for other 

purposes.

Resolved by the Senate and House of Representatives of the United 

States of America in Congress assembled,

That 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 Government 

for the fiscal year 1987, and for other purposes, namely:

Sec. 101. (e) Such amounts as may be necessary for programs, 

projects 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 EXPENSES

For necessary expenses of the Commission in carrying out the 

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 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 

$8,000); reimbursements to the General Services Administration for 

security guard services; hire of passenger motor vehicles and aircraft, 

$401,000,000, 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 

received by the Commission for the cooperative nuclear safety research 

program 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 programs, notwithstanding the provisions 
730 NRC Appropriations

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 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 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 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 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.

Sec. 506. Notwithstanding any other provision of this Act or any other 

provision of law, 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 method 

for the pricing of hydroelectric power by the six Federal public power 

authorities, or other agencies or authorities of the Federal Government, 

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 salary 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 Administration Fund, established pursuant to Public 

Law 93–454, may be used to pay the salary of the Administrator of the 

Bonneville Power Administration, unless such Administrators or 

Directors award contracts for the procurement of extra high voltage 

(EHV) power equipment 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 competitive foreign bidder: 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: 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 equipment 

necessary for the efficient operation and maintenance of existing 

equipment and available only from the manufacturer of the original 

equipment: Provided further, That this section shall not apply to 

procurements of domestic end product as defined in 48 CFR section 
NRC Appropriations 731

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 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 

Appropriations Act, 1987.”

_______________

Note: When the President signed H.J. Res. 738 on October 18, 1986, 

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:

On October 17, 1986, I was presented by the Congress with an 

enrolled resolution designated H.J. Res. 738, a joint resolution making 

continuing appropriations for the fiscal year 1987, and for other purposes. 

I signed this measure into law on October 18, 1986. I have since learned 

that H.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 Supreme Court has held that transmission errors of this sort do 

not in any way vitiate the legal effect of a President’s signature. 

Accordingly, that which was signed became law.

H. J. Res. 738 has since been properly enrolled and has been 

presented to me for signature. My signing of H.J. Res. 738 today will 

enable the provisions previously omitted to become law as well.

✧ ✧ ✧
732 NRC Appropriations

APPROPRIATIONS ACT, 1986

Public Law 99–141 99 Stat. 564

November 1, 1985

An Act

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 House of Representatives of the 

United States of America in Congress assembled,

That the following sums are appropriated, out of any money in the 

Treasury not otherwise appropriated, for the fiscal year ending September 

30, 1986, for energy and water development, and for other purposes, 

namely:

Title IV–Independent Agencies

Nuclear Regulatory Commission

SALARIES AND EXPENSES

For necessary expenses of the Commission in carrying out the 

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 USC 3109; publication and dissemination of 

atomic information; purchase, repair, and cleaning of uniforms; official 

representation expenses (not to exceed $3,000); reimbursements to the 

General Services Administration for security guard services; hire of 

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 received by the Commission 

for the cooperative nuclear safety research program and the material 

access authorization program may be retained and used for salaries and 

expenses associated with those programs, notwithstanding the provisions 

of section 3302 of Title 31, United States Code, and shall remain 

available until expended.

✧ ✧ ✧

42 USC 5801 

note.
NRC Appropriations 733

ENERGY AND WATER DEVELOPMENT APPROPRIATIONS 

ACT, 1985

Public Law 98–360 98 Stat. 403

July 16, 1984

An Act

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 of America in Congress assembled,

That the following sums are appropriated, out of any money in the 

Treasury not otherwise appropriated, for the fiscal year ending September 

30, 1985, for energy and water development, and for other purposes, 

namely:

Title IV–Independent Agencies

Nuclear Regulatory Commission

SALARIES AND EXPENSES

For necessary expenses of the Commission in carrying out the 

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 USC 3109; publication and dissemination of 

atomic information; purchase, repair, and cleaning of uniforms; official 

representation expenses (not to exceed $3,000); reimbursements to the 

General Services Administration for security guard services; hire of 

passenger motor vehicles and aircraft, $448,200,000, 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 received by Commission for 

the cooperative nuclear safety research program and the material access 

authorization program may be retained and used for salaries and expenses 

associated with those programs, notwithstanding the provisions of section 

3302 of Title 31, United States Code, and shall remain available until 

expended.

✧ ✧ ✧

42 USC 2011 

note.

42 USC 5801 

note.
734 NRC Appropriations

ENERGY AND WATER DEVELOPMENT APPROPRIATIONS 

ACT, 1984

Public Law 98–50 97 Stat. 247

July 14, 1983

An Act

Making appropriations for energy and water development for the fiscal 

year ending September 30, 1984, and for other purposes.

Be it enacted by the Senate and House of Representatives of the 

United States of America in Congress assembled,

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:

Nuclear Regulatory Commission

SALARIES AND EXPENSES

For necessary expenses of the Commission in carrying out the 

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 USC 3109; publication and dissemination of 

atomic information; purchase, repair, and cleaning of uniforms; official 

representation expenses (not to exceed $3,000); reimbursements to the 

General Services Administration for security guard services; hire of 

passenger motor vehicles and aircraft, $465,800,000 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 received by the Commission 

for the cooperative nuclear safety research program and the material 

access authorization program may be retained and used for salaries and 

expenses associated with those programs, notwithstanding the provisions 

of 31 USC 484, and shall remain available until expended.

✧ ✧ ✧

Energy and 

Water 

Development 

Appropriation 

Act, 1984.

31 USC 3302.

42 USC 5801 

note.
NRC Appropriations 735

CONTINUING APPROPRIATIONS FOR FISCAL YEAR 1983

Public Law 97–377 96 Stat. 1830

December 21, 1982

JOINT RESOLUTION

Making further continuing appropriations and providing for 

productive employment for the fiscal year 1983, and for other purposes.

Resolved by the Senate and House of Representatives of the United 

States of America 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 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 

Energy and Water Development Act, 1982, at the current rate of 

operations: Provided, 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: Provided further, That no appropriation, 

fund or authority made available by this joint resolution or any other Act 

may be used directly or indirectly to significantly alter, 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 Engineers–Civil, Operation and 

Maintenance, General, and the operation and maintenance activities 

funded in Flood Control, Mississippi River and Tributaries: Provided 

further, That of such amount, $1,000,000 shall be available only to 

provide a wider navigation opening at the Franklin Ferry Bridge, 

Jefferson County, Alabama: Provided further, That no appropriation 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 during the 

fiscal year 1982 without prior approval of the Committees on 

Appropriations: Provided further, 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 than 

$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 equipment, 

except that no funds shall be available for Project 82D109; Provided 

further, That no appropriation, fund or authority made available to the 

Department of Energy by this joint 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 employment 

levels in effect on September 30, 1982:

Continuing 

appropriations 

for fiscal year 

1983.
736 NRC Appropriations

(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 unless the Board of 

Governors of the International Atomic Energy Agency certifies to the 

United States Government that the State of Israel is allowed to participate 

fully as a member nation in the activities of that Agency, and the 

Secretary of State transmits such certification to the Speaker of the House 

of Representatives and the President of the United States Senate.

✧ ✧ ✧

ENERGY AND WATER DEVELOPMENT APPROPRIATIONS 

ACT, 1982

Public Law 97–88 95 Stat. 1135

December 4, 1981

An Act

Making appropriations for energy and water development for the fiscal 

year ending September 30, 1982, and for other purposes.

Be it enacted by the Senate and House of Representatives of the 

United States of America in Congress assembled,

That the following sums are appropriated, out of any money in the 

Treasury not otherwise appropriated, for the fiscal year ending September 

30, 1982, for energy and water development, and for other purposes, 

namely:

Title IV–Independent Agencies

Nuclear Regulatory Commission

SALARIES AND EXPENSES

For necessary expenses of the Commission in carrying out the 

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 USC 3109; publication and dissemination of 

atomic information; purchase, repair, and cleaning of uniforms; official 

entertainment expenses (not to exceed $1,500); reimbursements to the 

General Services Administration for security guard services; hire of 

passenger motor vehicles and aircraft; $465,700,000 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 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 USC 484, and shall remain available 

until expended: Provided further, That transfers between accounts may 

42 USC 2014.

42 USC 5801 

note.
NRC Appropriations 737

be made only with the approval of the Committees on Appropriations of 

the House of Representatives and the Senate: Provided further, That no 

part of the funds appropriated in this Act be used to implement section 

110 of Public Law 96–295: Provided further, That no funds appropriated 

to the Nuclear Regulatory Commission in this Act may be used to 

implement 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, That the Commission may use such funds to continue to 

regulate byproduct material, as defined in section 11 e.(2) of the Atomic 

Energy Act of 1954, as amended, in the manner and to the extent 

permitted prior to October 3, 1980.

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. The expenditure of any appropriation under this Act for any 

consulting service through procurement contract, pursuant to 5 USC 

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 Executive 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 

pursuant 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 provided in this Act to any department or 

agency shall be obligated in 15 USC 2001 with an EPA estimated miles 

per gallon average of less than 22 miles per gallon.

Sec. 507. 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. 508. The Senate hereby expresses its intention not to appropriate 

funds for improvements on the portion of the Black Warrior–Tombigbee 

Waterway south of Demopolis, Alabama.

This Act may be cited as the “Energy and Water Development 

Appropriation Act, 1982.”

✧ ✧ ✧

Short Title.
738 NRC Appropriations

ENERGY AND WATER DEVELOPMENT APPROPRIATIONS 

ACT, 1981

Public Law 96–367 94 Stat. 1344

October 1, 1980

An Act

Making appropriations for energy and water development for the fiscal 

year ending September 30, 1981, and for other purposes.

Be it enacted by the Senate and House of Representatives of the 

United States of America in Congress assembled,

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:

Title IV–Independent Agencies

Nuclear Regulatory Commission

SALARIES AND EXPENSES

For necessary expenses of the Commission in carrying out the 

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 USC 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 common defense 

and security and to the objective of protecting the health and safety of the 

public, including the employment of aliens; service authorized by 5 USC 

3109; publication and dissemination of atomic information; purchase, 

repair, and cleaning of uniforms; official entertainment expenses (not to 

exceed $3,000); reimbursement of the 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, 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 

programs may be retained and used for salaries and expenses associated 

with those programs, notwithstanding the provisions of 31 USC 484, and 

shall remain available until expended.

Energy and 

Water 

Development.

Appropriation 

Act, 1981.

42 USC 5801 

note.
NRC Appropriations 739

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. The expenditure of any appropriation under this Act for any 

consulting service through procurement contract, pursuant to 5 USC 

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 Executive Order 

issued pursuant to existing law.

This Act may be cited as the “Energy and Water Development 

Appropriation Act, 1981.”

✧ ✧ ✧

SUPPLEMENTAL APPROPRIATIONS AND RESCISSION ACT, 

1980

Public Law 96–304 94 Stat. 872

July 8, 1980

An Act

Making supplemental appropriations for the fiscal year ending September 

30, 1980, rescinding certain budget authority, and for other purposes.

Be it enacted by the Senate and House of Representatives of the 

United States of America in Congress assembled,

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:

Title I–Independent Agencies

Nuclear Regulatory Commission

SALARIES AND EXPENSES

For an additional amount for “Salaries and expenses”, $31,950,000, to 

remain available until expended.

Short Title.

Supplemental 

Appropriations 

and Rescission 

Act, 1980.
740 NRC Appropriations

TITLE II–INCREASED PAY COSTS FOR THE FISCAL YEAR 

1980

Nuclear Regulatory Commission

“Salaries and expenses”, $4,810,000.

Title III–General Provisions

(INCLUDING TRANSFER OF FUNDS)

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 provisions 

affecting appropriations or other funds, available during the fiscal year 

1980, limiting the amounts which may be expended for personal 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 necessary to 

meet increased pay costs authorized by or pursuant to law.

Sec. 303. Notwithstanding any other provision of law, the number of 

career appointees in any agency paid performance awards during fiscal 

year 1980 under 5 USC 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.

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 furniture 

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: Provided, That such items are fully 

justified by agency needs. The Director of the Office of Management and 

Budget is directed to allocate this rescission total among the departments 

and agencies of the Federal Government and report back to the House 

and the Senate Committees on Appropriations within 30 days following 

the date of the enactment of this Act as to the allocation made: Provided 

further, That no allocation shall exceed 25 percent of said amount.

(b) With respect to the provisions of the Treasury, Postal Service and 

General Government Appropriations Act, 1980, under the heading 

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 USC 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.

Sec. 305. All unresolved audits currently pending within agencies and 

departments, for which appropriations are made under this Act, shall be 

resolved not later than September 30, 1981. Any new audits, involving 

Career 

appointees.

41 USC 46–

48b.

Unresolved and 

new audits.
NRC Appropriations 741

questioned costs, arising after the enactment of this Act shall be resolved 

within 6 months.

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.

Sec. 307. (a) Effective October 1, 1981, for application in fiscal year 

1982, a department, agency, or establishment, as defined by section 2, 

subchapter I, Chapter 1, Title 31, United States Code, shall submit 

annually to the House and Senate Appropriations Committees, as part of 

its budget justification, the estimated amount of funds requested for 

consulting services; the appropriation accounts in which these funds are 

located; and a brief description of the need for these services, including a 

list of those major programs that require consulting services.

(b) Effective October 1, 1981, for application in fiscal year 1982, the 

Inspector General of such department, agency, or establishment, or 

comparable official, or if the agency has no Inspector General or 

comparable official, the agency head or the agency head’s designee, shall 

submit to the Congress along with the agency’s budget justification, an 

evaluation of the agency’s progress to institute effective management 

controls and improve the accuracy and completeness of the data provided 

to the Federal Procurement Data System regarding consultant service 

contractual arrangements.

✧ ✧ ✧

ENERGY AND WATER DEVELOPMENT APPROPRIATION 

ACT, 1980

Public Law 96–69 93 Stat. 449

September 25, 1979

Making appropriations for energy and water development for the fiscal 

year ending September 30, 1980, and for other purposes.

Be it enacted by the Senate and House of Representatives of the

United States of America in Congress assembled,

That 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

Nuclear Regulatory Commission

SALARIES AND EXPENSES

For necessary expenses of the Commission in carrying out the 

purposes of the Energy Reorganization Act of 1974, as amended, 

including the employment of aliens; services authorized by 5 USC 3100; 

Delinquent 

debts.

Funds for 

consulting 

services and 

information 

submittal to 

congressional 

committees.

Agency budget 

controls and 

progress, 

submittal to 

Congress.

Energy and 

Water 

Development 

Appropriation 

Act, 1980.

42 USC 5801 

note.
742 NRC Appropriations

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 Administration 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 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 

programs may be retained and used for salaries and expenses associated 

with those programs, notwithstanding the provisions of 31 USC 484, and 

shall remain available until expended: Provided further, 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.

✧ ✧ ✧

APPROPRIATIONS ACT, 1979

Public Law 95–482 92 Stat. 1603

October 18, 1978

Making continuing appropriations for the fiscal year 1979, and for other 

purposes.

Resolved by the Senate and House of Representatives of the United 

States of America 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 departments, agencies, 

corporations, and other organizational units of the Government 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 

September 30, 1979, for programs, projects, and activities 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.3

––––––––

3 The NRC’s appropriation (provided for in H.R. 12928) as enacted by Congress is as 

follows:

Nuclear Regulatory Commission

SALARIES AND EXPENSES–For necessary expenses of the Commission in 

carrying out the purposes of the Energy Reorganization Act of 1974, as Amended, 

including the employment of aliens; services authorized by 5 U.S.C. 2109; 

publication and dissemination of atomic information; purchase, repair, and 

cleaning of uniforms; official entertainment expenses (not to exceed $15,000); 

reimbursement of the General Services Administration for security guard services; 

hire of passenger motor vehicles and aircraft; $322,301,000, to remain available 
NRC Appropriations 743

✧ ✧ ✧

SECOND SUPPLEMENTAL APPROPRIATIONS ACT, 1978

Public Law 95–355 92 Stat. 538

September 8, 1978

An Act

Making supplemental appropriations for the fiscal year ending September 

30, 1978, and for other purposes.

Be it enacted by the Senate and House of Representatives of the 

United States of America in Congress assembled,

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 “Second Supplemental 

Appropriations Act, 1978”) for the fiscal year ending September 30, 

1978, and for other purposes, namely:

Title I–Independent Agencies

Nuclear Regulatory Commission

SALARIES AND EXPENSES

For an additional amount for “salaries and expenses”, $3,600,000, to 

remain available until expended.

Title II–Increased Pay Costs For The Fiscal Year 1978

Nuclear Regulatory Commission

“Salaries and expenses”; $5,000,000, to remain available until expended.

Title III–General Provisions

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 provisions 

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 services, or amounts which may be 

–––––––– 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 

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 § 3617 of the Revised Statutes (31 

U.S.C. 484), and shall remain available until expended.

Second 

Supplemental 

Appropriations 

Act, 1978.

Fiscal year 

limitation.
744 NRC Appropriations

transferred between appropriations or authorizations available for or 

involving such services, are hereby increased to the extent necessary to 

meet increased pay costs authorized by or pursuant to law.

✧ ✧ ✧

PUBLIC WORKS FOR WATER AND POWER DEVELOPMENT 

AND ENERGY RESEARCH APPROPRIATION ACT, 1978

Public Law 95–96 91 Stat. 807

August 7, 1977

An Act

Making appropriations for public works for water and power 

development and energy research for the fiscal year ending 

September 30, 1978, and for other purposes.

Nuclear Regulatory Commission

SALARIES AND EXPENSES

For necessary expenses of the Commission in carrying out the 

purposes of the Energy Reorganization Act of 1974, including the 

employment of aliens; services authorized by 5 USC 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 

services; 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: Provided further, 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 USC 484), 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.

This Act may be cited as the “Public Works for Water and Power 

Development and Energy Research Appropriation Act, 1978.”

✧ ✧ ✧

42 USC 5801 

note.

Fiscal year 

limitation.

Short Title.
NRC Appropriations 745

SUPPLEMENTAL APPROPRIATIONS ACT, 1977

Public Law 95–26 91 Stat. 112

May 4, 1977

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

For additional amounts 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 expended.

✧ ✧ ✧

PUBLIC WORKS FOR WATER AND POWER DEVELOPMENT 

AND ENERGY RESEARCH APPROPRIATION ACT, 1977

Public Law 94–355 90 Stat. 889

July 12, 1976

An Act

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 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 September 30, 1977, and for 

other purposes.

Be it enacted by the Senate and House of Representatives of the 

United States of America in Congress assembled,

That the following sums are appropriated, out of any money in the 

Treasury not otherwise appropriated, for the fiscal year ending 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 of 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, and for other purposes, 

namely:

Public Works 

for Water and 

Power 

Development 

and Energy 

Research 

Appropriation 

Act, 1977.
746 NRC Appropriations

Title IV–Independent offices

Nuclear Regulatory Commission

SALARIES AND EXPENSES

For necessary expenses of the Commission in carrying out the 

purposes of the Energy Reorganization Act of 1974, including the 

employment of aliens; services authorized by 5 USC 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 

services; hire of passenger motor vehicles and aircraft; $244,430,000, 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, 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 USC 484), and shall remain available until expended.

✧ ✧ ✧

PUBLIC WORKS FOR WATER AND POWER DEVELOPMENT 

AND ENERGY RESEARCH APPROPRIATION ACT, 1976

Public Law 94–180 89 Stat. 1035

December 26, 1975

An Act

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 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.

Be it enacted by the Senate and House of Representatives of the

United States of America in Congress assembled,

That the following sums are appropriated, out of any money in the 

Treasury not otherwise appropriated, for the fiscal year ending June 30, 

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 development 

programs, the Federal Power Commission, the Tennessee Valley 

Authority, the Nuclear Regulatory Commission, the Energy Research and 

42 USC 5801 

note.

Public Works 

for Water and 

Power 

Development 

and Energy 

Research 

Appropriation 

Act, 1976.
NRC Appropriations 747

Development Administration, and related independent agencies and 

commissions, and for other purposes, namely:

Title IV–Independent offices

Nuclear Regulatory Commission

SALARIES AND EXPENSES

For necessary expenses of the Commission in carrying out the 

purposes of the Energy Reorganization Act of 1974, including the 

employment of aliens; services authorized by 5 USC 3109; publication 

and dissemination of atomic information; purchase, repair, and cleaning 

of uniforms; official entertainment expenses (not to exceed $7,000); 

reimbursement 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 transferred.

For “Salaries and expenses” in accordance with the above provisions 

for the period July 1, 1976, through September 30, 1976, $51,425,000.

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, except as provided by section 204 of Public Law 93–

554.

Sec. 502. No part of any appropriation contained in this Act shall be 

available for paying to the Administrator of the General Services 

Administration in excess of 90 percentum 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.

This Act may be cited as the “Public Works for Water and Power 

Development and Energy Research Appropriation Act, 1976.”

✧ ✧ ✧

SECOND SUPPLEMENTAL APPROPRIATIONS ACT, 1975

Public Law 94–32 89 Stat. 173

June 12, 1975

An Act

Making supplemental appropriations for the fiscal year ending June 30, 

1975, and for other purposes

Be it enacted by the Senate and House of Representatives of the 

United States of America in Congress assembled,

That the following sums are appropriated, out of any money in the 

Treasury not otherwise appropriated, to supply supplemental 

42 USC 5801 

note.

Fiscal year 

limitation.

40 USC 581.

Space and 

service charges.

Short Title.

Second 

Supplemental 

Appropriations 

Act, 1975.
748 NRC Appropriations

appropriations (this Act may be cited as the “Second Supplemental 

Appropriations Act, 1975”) for fiscal year ending June 30, 1975, and for 

the other purposes, namely:

Title I–Chapter VIII

Nuclear Regulatory Commission

SALARIES AND EXPENSES

For necessary expenses of the Nuclear Regulatory Commission as 

authorized by law, including services as authorized by 5 USC 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 expended;

Nuclear Regulatory Commission

“Salaries and expenses”, $1,540,000, to remain available until expended;

Title III–General Provisions

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 provisions 

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 may be 

transferred between appropriations or authorizations available for or 

involving such services, are hereby increased to the extent necessary to 

meet increased pay costs authorized by or pursuant to law.

Sec. 303. No part of any appropriation, funds, or other authority 

contained in this Act shall be available for paying to the Administrator of 

the General Services Administration in excess of 90 percentum 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.

Sec. 304. No part of the funds contained in this Act may be used to force 

any school or school district which is desegregated as that term is 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 force on account of race, 

creed, or color the 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.

Fiscal year 

limitation.

GSA, space 

and services.

40 USC 581.

42 USC 2000c.

Busing.
NRC Appropriations 749

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 

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.

(b) No funds appropriated in this Act may be used for the 

transportation 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.

Sec. 306. Unobligated balances of operation and maintenance 

appropriations available to the Department of Defense–Military, in an 

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.

42 USC 2000c.

Busing.

School 

transportation 

funds.

U.S. Postal 

Service, 

reimbursement.
TABLE: ANNUAL NRC APPROPRIATION ACTS THROUGH FISCAL YEAR 2012

Appropriation

Amount 

Requested 

($Million)

Date of 

Request

Amount 

Allowed by 

House 

($Million)

Amount 

Allowed by 

Senate 

($Million)

Amount 

Appropriated 

($Million)

Difference 

Between 

Request and 

Appropriation 

(Percent)

Date 

Enacted

Fiscal Year 1976: Regular..................................... $219,935 Feb. 3, 1975 $202,500 $215,423 $215,423 –2.1 Dec. 26, 197

Fiscal Year 1977: Regular..................................... 249,430 Jan. 21, 1976 244,430 244,430 244,430 –2 July 12, 197

292,250 Jan. 17, 1977 277,696 285,150 281,423 –3.7 Aug. 7, 197

330,670 Jan. 23, 1978 321,487 328,287 322,301 –2.5 Oct. 18, 197

Fiscal Year 1978: Supplemental............................ 5,350 Jan. 23, 1978 3,600 3,000v 3,600 –33 Sept. 8, 197

Fiscal Year 1979: Regular..................................... 330,670 Jan. 23, 1978 321,487 328,287 322,301 –2.5 Oct. 18, 197

Fiscal Year 1978: Regular..................................... 373,000 Jan. 22, 1979 358,340 363,340 363,340 –2.6 Sept. 25, 19

Fiscal Year 1979: Regular..................................... 49,200 Dec. 10, 1979 31,950 31,950 31,950 –35 July 8, 1980 

Fiscal Year 1981: Regular..................................... 468,490 Jan. 28, 1980 437,220 452,520 447,520 –4.5 Oct. 1, 1980 

Fiscal Year 1982: Regular..................................... 500,700 Jan. 19, 1981 477,534 465,700 465,700 –7 Dec. 4, 1981 

Fiscal Year 1983: Regular..................................... 479,500 Feb. 8, 1982 462,504 462,504 462,504 –3.5 Dec. 21, 198

Fiscal Year 1984: Regular..................................... 466,800 Jan. 31, 1983 465,800 466,800 465,800 –0.2 July 14, 198

Fiscal Year 1985: Regular..................................... 468,200 Jan. 1984 438,200 458,200 448,200 –4.3 July 16, 198

Fiscal Year 1986: Regular..................................... 429,000 Feb. 4, 1985 403,671 429,000 418,000 –2.6 Nov. 1, 198

Fiscal Year 1987: Regular..................................... 405,000 Feb. 5, 1985 405,000 391,000 401,000 –1 Oct. 30, 198

Fiscal Year 1988: Regular..................................... 428,000 Jan. 5, 1987 417,800 417,800 392,800 –8.2 Dec. 22, 198

Fiscal Year 1989: Regular..................................... 450,000 Feb. 18, 1988 420,000 430,000 420,000 –6.7 July 19, 198

Fiscal Year 1990; Regular..................................... 472,100 Jan. 9, 1989 442,100 442,100 442,100 –6.4 Sept. 29, 19

Fiscal Year 1991, Regular..................................... 471,320 Jan. 29, 1990 471,320 471,320 461,320 –2.1 Nov. 5, 199

Fiscal Year 1992: Regular..................................... 508,810 July 30, 1991 508,810 508,810 508,810 0 Aug. 17, 19

Fiscal Year 1993: Regular..................................... 545,415 June 11, 1992 535,415 535,415 535,415 –1.8 Oct. 2, 1992 

Fiscal Year 1994: Regular..................................... 542,900 June 17, 1993 542,490 535,415 535,415 –1.4 Oct. 28, 199

Fiscal Year 1995 Regular...................................... 540,501 May 26, 1994 540,501 540,501 540,501 0 Aug. 26, 19

Fiscal Year 1996; Regular..................................... 520,501 June 20, 1995 468,300 474,300 468,300 –10 Nov. 13, 19
Fiscal Year 1997; Regular..................................... 475,300 July 16, 1996 471,800 471,800 471,800 –0.7 Sept. 30, 19

Fiscal Year 1998; Regular..................................... 468,000 July 21, 1997 462,700 476,500 468,000 0 Oct. 13, 199

Fiscal Year 1999; Regular..................................... 488,640 462,700 466,000 465,000 –4.8 Oct. 7, 1998 

Fiscal Year 2000; Regular..................................... 465,400 May 4, 1999 455,400 465,400 465,000 –0.1 Sept. 29, 19

Fiscal Year 2001; Regular..................................... 481,900 June 23, 2000 481,900 481,900 481,900 0 Oct. 27, 200

Fiscal Year 2002; Regular..................................... 516,900 June 26, 2001 516,900 506,900 516,900 0 Nov. 12, 20

Fiscal Year 2003 ................................................... 578,184 578,184 578,184,000 578,184 0 Feb. 20, 200

Fiscal Year 2004 ................................................... 618,800 618,800 618,800,000 618,800 0 Dec. 01, 200

Fiscal Year 2005 ................................................... 662,777 662,777 662,777,000 662,777 0 Dec. 08, 200

Fiscal Year 2006........................................ 693,376 714,376 734,376 734,376 +5.9 Nov. 09, 20

Fiscal Year 2007 (See Footnote 1 for explanation). 768,410 808,410 816,529 +6.26 Feb. 15, 200

Fiscal Year 2008........................................ 908,409 925,559 910,559 917,334 +.97 Dec. 26, 200

Fiscal Year 2009........................................ 1,008,000 1,058,956 1,022,956 1,034,656 +2.6 Mar. 11, 200

Fiscal Year 2010........................................ 1,061,000 1,061,000 1,061,000 1,056,000 –.47 Oct. 28, 200

Fiscal Year 2010 (Rescission)........................ –18 –––– Aug. 10, 20

Fiscal Year 2011........................................ 1,043,483 1,053,483 1,043,483 0 Apr. 15, 201

Fiscal Year 2012........................................ 1,027,240 1,027,240 1,027,240 1,027,240 0 Dec. 23, 20

Fiscal Year 2013........................................ 1,042,200

____________________

*Office of Inspector General

Fiscal Year 1990 ................................................... 2,900 2,900 2,900 0 Sept. 29, 19

Fiscal Year 1991 ................................................... 3,680 3,680 3,680 3,680 0 Nov. 5, 199

Fiscal Year 1992 ................................................... 3,690 3,690 3,690 3,690 0 Aug. 17, 19

Fiscal Year 1993 ................................................... 4,585 4,585 4,585 4,585 0 Oct. 2, 1992 

Fiscal Year 1994 ................................................... 4,800 4,800 4,800 4,800 0 Oct. 28, 199

Fiscal Year 1995 ................................................... 5,080 5,080 5,080 5,080 0 Aug. 26, 19

Fiscal Year 1996 ................................................... 5,000 5,000 5,000 5,000 0 Nov. 13, 19

Fiscal Year 1997 ................................................... 5,000 5,000 5,000 5,000 0 Sept. 30, 19

Fiscal Year 1998 ................................................... 4,800 4,800 4,800 4,800 0 Oct. 13, 199

Fiscal Year 1999 ................................................... 4,800 4,800 4,800 –– Oct. 7, 1998 

Fiscal Year 2000 ................................................... 6,000 5,000 5,000 –– Sept. 29, 19

Fiscal Year 2001 ................................................... 5,500 5,500 5,500 5,500 0 Oct. 27, 200

Fiscal Year 2002 ................................................... 6,180 6,180 5,500 6,180 0 Nov. 12, 20

Fiscal Year 2003 ................................................... 6,800 6,800 6,800 6,800 0 Feb. 20, 200
* This table is compiled by the staff at the U.S. Nuclear Regulatory Commission.

Fiscal Year 2004 ................................................... 7,300 7,300 7,300 7,300 0 Dec. 01, 200

Fiscal Year 2005 ................................................... 7,518 7,518 7,518 7,518 0 Dec. 08, 200

Fiscal Year 2006........................................ 8,316 8,316 8,316 8,316 0 Nov. 09, 20

Fiscal Year 2007 (See Footnote 1 for explanation). 8,144 8,144 8,360 +2.65 Feb. 12, 200

Fiscal Year 2008........................................ 8,144 8,144 8,744 8,744 +7.4 Dec. 26, 200

Fiscal Year 2009........................................ 9,000 10,860 9,344 10,860 +20.6 Mar. 11, 200

Fiscal Year 2010........................................ 10,001 10,102 10,860 10,860 +8.58 Oct. 28, 200

Fiscal Year 2011........................................ 10,102 10,860 10,860 +7.50 Apr. 15, 201

Fiscal Year 2012........................................ 10,860 10,860 10,860 10,860 0 Dec. 23, 20

Fiscal Year 2013........................................ 11,020
NRC Authorization Acts 753

5. NRC Authorization Acts

NRC Authorization Acts 755

5. NRC Authorization Acts

Contents

A. NRC AUTHORIZATION ACT FOR FISCAL YEAR, 1984–1985.... 757

Title I–Authorization of Appropriations for Fiscal Years 1984 and 1985.... 757

B. NRC AUTHORIZATION ACT FOR FISCAL YEAR, 1982–1983 .... 761

Sec. 1. Authorization of Appropriations ...................................................... 761

Sec. 2. Authority to Retain Certain Amounts Received.............................. 762

Sec. 3. Authority to Transfer Certain Amounts to Other Agencies........... 762

Sec. 4. Limitation on Spending Authority.................................................... 763

Sec. 5. Authority to Issue Licenses in Absence of Emergency 

Preparedness Plans .................................................................................... 763

Sec. 6. Nuclear Safety Goals.......................................................................... 763

Sec. 7. Loss–of–Fluid Test Facility................................................................ 763

Sec. 8. Nuclear Data Link.............................................................................. 763

Sec. 9. Interim Consolidation of Offices....................................................... 764

Sec. 10. Three Mile Island ............................................................................. 764

Sec. 11. Temporary Operating Licenses....................................................... 765

Sec. 12. Operating License Amendment Hearings...................................... 766

Sec. 13. Quality Assurance ............................................................................ 767

Sec. 14. Limitation on Use of Special Nuclear Material.............................. 769

Sec. 15. Resident Inspectors .......................................................................... 769

Sec. 16. Sabotage of Nuclear Facilities or Fuel ............................................ 769

Sec. 17. Department of Energy Information................................................ 769

Sec. 18. Standards and Requirements Under Section 275 .......................... 770

Sec. 19. Agreement States.............................................................................. 772

Sec. 20. Amendment to Section 84 ................................................................ 772

Sec. 21. Edgemont .......................................................................................... 772

Sec. 22. Additional Amendments to Sections 84 and 275............................ 773

Sec. 23. Uranium Supply ............................................................................... 773

Sec. 170B. Uranium Supply........................................................................... 774

C. NRC AUTHORIZATION ACT FOR FISCAL YEAR 1980............... 776

Title I–Authorization of Appropriations for Fiscal Year 1980...................... 776

Title II–Amendments to the Atomic Energy Act of 1954............................... 782

Title III–Other Provisions ................................................................................ 786

D. NRC AUTHORIZATION ACT FOR FISCAL YEAR 1979............... 789

Employee Protection ......................................................................................... 793

E. NRC AUTHORIZATION ACT FOR FISCAL YEAR 1978 ............... 797

Sec. 1. Authorization...................................................................................... 797

Sec. 2. Commission Personnel....................................................................... 798

Sec. 3. Unresolved Safety Issues.................................................................... 798

Sec. 4. Improved Safety Systems Research .................................................. 798

Sec. 5. Reactor Safety Research Study ......................................................... 799

Sec. 6. ACRS Fellowship Program ............................................................... 799

Sec. 7. Organizational Conflicts of Interest ................................................. 799

Sec. 8. Cooperative Research Funding ......................................................... 799
756 NRC Authorization Acts

Sec. 9. Transfer of Funds............................................................................... 799

Sec. 10. Appropriations ................................................................................. 799

F. NRC AUTHORIZATION ACT FOR FISCAL YEAR 1977 ............... 800

Amendments to Prior Year Act........................................................................ 800

G. NRC AUTHORIZATION ACT FOR FISCAL YEAR 1976............... 801

Title I .................................................................................................................. 801

Title II................................................................................................................. 801

H. NRC FISCAL YEAR 1975 SUPPLEMENTAL 

AUTHORIZATION ACT ........................................................................ 803

I. AEC FISCAL YEAR 1975 SUPPLEMENTAL AUTHORIZATION 

ACT............................................................................................................ 804

J. AEC AUTHORIZATION ACT FOR FISCAL YEAR 1975................ 805

Title II................................................................................................................. 809

K. AEC AUTHORIZATION ACT FOR FISCAL YEAR 1974............... 810
NRC Authorizations Act, FY 1984–1985 (P.L. 98–553) 757

A. NRC AUTHORIZATION ACT FOR FISCAL YEAR, 1984–1985

Public Law 98–553 98 Stat. 2825

October 30, 1984

An Act 

To authorize appropriations to the Nuclear Regulatory Commission in 

accordance with section 261 of the Atomic Energy Act of 1954, and 

section 305 of the Energy Reorganization Act of 1974.

Be it enacted by the Senate and House of Representatives of the 

United States of America in Congress assembled,

Title I–Authorization of Appropriations for Fiscal Years 1984 and

1985

Sec. 101. There are hereby authorized to be appropriated to the 

Nuclear Regulatory Commission in accordance with the provisions of 

section 261 of the Atomic Energy Act of 1954 and section 305 of the 

Energy Reorganization Act of 1974, for the fiscal years 1984 and 1985 to 

remain available until expended, $466,800,000 for fiscal year 1984 and 

$460,000,000 for fiscal year 1985.

Sec. 102. (a) The sums authorized to be appropriated in this Act for 

fiscal years 1984 and 1985 shall be allocated as follows:

(1) not more than $91,490,000 for fiscal year 1984 and 

$87,140,000 for fiscal year 1985, may be used for “Nuclear Reactor 

Regulation”, of which an amount not be exceed $1,000,000 is 

authorized each such fiscal year to be used to accelerate the effort in 

gas–cooled thermal reactor pre–application review;

(2) not more than $70,910,000 for fiscal year 1984 and $74,770,000 

for fiscal year 1985, may be used for “Inspection and Enforcement”;

(3) not more than $36,280,000 for fiscal year 1984 and $35,710,000 

for fiscal year 1985, may be used for “Nuclear Material Safety and 

Safeguards”;

(4) not more than $199,740,000 for fiscal year 1984 and 

$193,290,000 for fiscal year 1985, may be used for “Nuclear Regulatory 

Research”, of which an amount not to exceed $2,600,000 is authorized 

each such fiscal year to be used to accelerate the effort in gas–cooled 

thermal reactor safety research;

(5) not more than $27,520,000 for fiscal year 1984 and $27,470,000 

for fiscal year 1985, may be used for “Program Technical Support”;

(6) not more than $40,860,000 for fiscal year 1984 and $41,620,000 

for fiscal year 1985, may be used for “Program Direction and 

Administration.”

(b) The Nuclear Regulatory Commission may use not more than 1 per 

centum of the amounts authorized to be appropriated under paragraph 

102(a)(4) to exercise its authority under section 31a. of the Atomic 

Energy Act of 1954 (42 USC 2051(a)) to enter into grants and 

cooperative agreements with universities pursuant to such paragraph. 

Grants made by the Commission shall be made in accordance with the 

Federal Grant and Cooperative Agreement Act of 1977 (41 USC 501 et 

seq.) and other applicable law.

42 USC 2017.

42 USC 5875.

Grants.
758 NRC Authorizations Act, FY 1984–1985 (P.L. 98–553)

(c) Any amount appropriated for a fiscal year to the Nuclear 

Regulatory Commission pursuant to any paragraph of subsection 102(a) 

for purposes of the program referred to in such paragraph, may be 

reallocated by the Commission for use in a program referred to in any 

other paragraph of such subsection, or for use in any other activity within 

a program, except that the amount available from appropriations for such 

fiscal year for use in any program or specified activity may not, as a

result of reallocations made under this subsection, be increased or 

reduced by more than $500,000 unless–

(1) a period of thirty calendar days (excluding any day in which 

either House of Congress is not in session because of an adjournment 

of more than three calendar days to a day certain or an adjournment 

sine die) passes after the receipt, by the Committee on Energy and 

Commerce and the Committee on Interior and Insular Affairs of the 

House of Representatives and the Committee on Environment and 

Public Works of the Senate, of notice submitted by the Commission 

containing a full and complete statement of the reallocation proposed 

to be made and the facts and circumstances relied upon in support of 

such proposed reallocation; or

(2) each such committee, before the expiration of such period, 

transmits to the Commission a written notification that such 

committee does not object to such proposed reallocation.

Sec. 103. Moneys received by the Nuclear Regulatory Commission 

for the cooperative nuclear research program and the material access 

authorization program may be retained and used for salaries and 

expenses associated with such programs, notwithstanding the provisions 

of section 3617 of the Revised Statutes (31 USC 484), and shall remain 

available until expended.

Sec 104. From amounts appropriated to the Nuclear Regulatory 

Commission pursuant to this Title, the Commission may transfer to other 

agencies of the Federal Government sums for salaries and expenses for 

the performance by such agencies of activities for which such 

appropriations of the Commission are made. Any sums so transferred 

may be merged with the appropriation of the agency to which such sums 

are transferred.

Sec. 105. Notwithstanding any other provisions of this Act, no 

authority to make payments under this Act shall be effective except to 

such extent or in such amounts as are provided in advance in 

appropriation Acts.

Sec 106. (a) No funds authorized to be appropriated under this Act 

may be used to carry out any policy or program for the decentralization 

or regionalization of any Nuclear Regulatory Commission authorities 

regarding commercial nuclear power plant licensing until sixty legislative 

days after the date on which the Commission submits to the Congress a 

report evaluating the effect of such policy or program on nuclear reactor 

safety: Provided, however, That the prohibition contained in this 

subsection shall not apply to any personnel assigned to the field, or to 

activities in which they were engaged, on or before September 22, 1983. 

The report shall include–

(1) a detailed description of the authorities to be transferred, the 

reason for such transfer, and an assessment of the effect of such 

transfer on nuclear reactor safety;

(2) an analysis of all comments submitted to the Commission 

regarding the effect on nuclear reactor safety which would result from 

carrying out the policy or program proposed by the Commission; and

31 USC 3302.

Report.

Prohibition.
NRC Authorizations Act, FY 1984–1985 (P.L. 98–553) 759

(3) an evaluation of the results, including the advantages and 

disadvantages, of the pilot program conducted under subsection (b).

(b) Notwithstanding the prohibition contained in subsection (a), the 

Commission is authorized to conduct a pilot program for the purpose of 

evaluating the concept of delegating authority to regional offices for 

issuance of specific types of operating reactor licensing actions and for 

the purpose of addressing the issues identified in paragraphs (a)(1)–(3) of 

this section. 

Sec. 107. (a) of the amounts authorized to be appropriated under this 

Act for the fiscal years 1984 and 1985, such sums as may be necessary 

are authorized to be used by the Nuclear Regulatory Commission for–

(1) the acquisition (by purchase, lease, or otherwise) and 

installation of equipment to be used for the small test prototype 

nuclear data link program or for any other program for the collection 

and transmission to the Commission of data from licensed nuclear 

reactors during abnormal conditions at such reactors; and 

(2) a full and complete analysis of–

(A) the appropriate role of the Commission during abnormal 

conditions at a nuclear reactor licensed by the Commission;

(B) the information which should be available to the 

Commission to enable the Commission to fulfill such role and to 

carry out other related functions;

(C) various alternative means of assuring that such 

information is available to the Commission in a timely manner; 

and

(D) any changes in existing Commission authority necessary 

to enhance the Commission response to abnormal conditions at a 

nuclear reactor licensed by the Commission: 

Provided, however, That no funds shall be available under this Act for 

the acquisition and installation of any equipment for the collection and 

transmission to the Commission of data from licensed nuclear reactors 

during abnormal conditions at such reactors, or for the analysis of such 

equipment, unless such acquisition and analysis includes, as one of the 

alternatives considered, a fully automated electronic nuclear data link. 

The small test prototype referred to in paragraph (1) may be used by the 

Commission in carrying out the study and analysis under paragraph (2). 

Such analysis shall include a cost–benefit analysis of each alternative 

examined under subparagraph (C).

Sec. 108. of the amounts authorized to be appropriated under this Act, 

the Nuclear Regulatory Commission may use such sums as may be 

necessary, in the absence of a State or local emergency preparedness plan 

which has been approved by the Federal Emergency Management 

Agency, to issue an operating license (including a temporary operating 

license under section 192 of the Atomic Energy Act of 1954, as 

amended) for a nuclear power reactor, if it determines that there exists a 

State, local, or utility plan which provides reasonable assurance that 

public health and safety is not endangered by operation of the facility 

concerned.

Sec 109. Notwithstanding the second sentence of section 103d. and 

the second sentence of section 104d. of the Atomic Energy Act of 1954, 

as amended, the Nuclear Regulatory Commission is hereby authorized to 

transfer Facility Operating License numbered R–81 to a United States 

entity or corporation owned or controlled by a foreign corporation if the 

Commission–

42 USC 2133.

42 USC 2134.
760 NRC Authorizations Act, FY 1984–1985 (P.L. 98–553)

(1) finds that such transfer would not be inimical to the common 

defense and security or to the health and safety of the public; and

(2) includes in such license, as transferred, such conditions as the 

Commission deems necessary to ensure that such foreign corporation 

cannot direct the actions of the licensee in ways that would be inimical to 

the common defense and security or the health and safety of the public.
NRC Authorizations Act, FY 1982–1983 (P.L. 97–415) 761

B. NRC AUTHORIZATION ACT FOR FISCAL YEAR, 1982–1983

Public Law 97–415 96 Stat. 2067

Jan. 4, 1983

An Act

To authorize appropriations to the Nuclear Regulatory Commission in 

accordance with section 261 of the Atomic Energy Act of 1954, as 

amended, and section 305 of the Energy Reorganization Act of 1974, as 

amended, and for other purposes.

Be it enacted by the Senate and House of Representatives of the 

United States of America in Congress assembled,

Sec. 1. Authorization of Appropriations

(a) There are hereby authorized to be appropriated to the Nuclear 

Regulatory Commission in accordance with the provisions of section 261 

of the Atomic Energy Act of 1954 (42 USC 2017) and section 305 of the 

Energy Reorganization Act of 1974 (42 USC 5875), for the fiscal years 

1982 and 1983 to remain available until expended, $485,200,000 for 

fiscal year 1982 and $513,100,000 for fiscal year 1983 to be allocated as 

follows:

(1) Not more than $80,700,000 for fiscal year 1982 and 

$77,000,000 for fiscal year 1983 may be used for “Nuclear Reactor 

Regulation”, of which an amount not to exceed $1,000,000 is 

authorized each such fiscal year to be used to accelerate the effort in 

gas–cooled thermal reactor preapplication review, and an amount not

to exceed $6,000,000 is authorized each such fiscal year to be used 

for licensing review work for a fast breeder reactor plant project. In 

the event of a termination of such breeder reactor project, any unused 

amount appropriated pursuant to this paragraph for licensing review 

work for such project may be used only for safety technology 

activities.

(2) Not more than $62,900,000 for fiscal year 1982 and 

$69,850,000 for fiscal year 1983 may be used for “Inspection and 

Enforcement.

(3) Not more than $42,000,000 for fiscal year 1982 and 

$47,059,600 for fiscal year 1983 may be used for “Nuclear Material 

Safety and Safeguards.

(4) Not more than $240,300,000 for fiscal year 1982 and 

$257,195,600 for fiscal year 1983 may be used for “Nuclear 

Regulatory Research”, of which–

(A) an amount not to exceed $3,500,000 for fiscal year 1982 

and $4,500,000 for fiscal year 1983 is authorized to be used to 

accelerate the effort in gas–cooled thermal reactor safety research;

(B) an amount not to exceed $18,000,000 is authorized each 

such fiscal year to be used for fast breeder reactor safety research; 

and

(C) an amount not to exceed $57,000,000 is authorized for 

such two fiscal year period to be used for the Loss–of–Fluid Test 

Facility research program.

In the event of a termination of the fast breeder reactor plant project, 

any unused amount appropriated pursuant to this paragraph for fast 

Nuclear 

Regulatory 

Commission.

Appropriations.
762 NRC Authorizations Act, FY 1982–1983 (P.L. 97–415)

breeder reactor safety research may be used generally for “Nuclear 

Regulatory Research”.

(5) Not more than $21,900,000 for fiscal year 1982 and 

$20,197,800 for fiscal year 1983 may be used for “Program Technical 

Support”.

(6) Not more than $37,400,000 for fiscal year 1982 and 

$41,797,000 for fiscal year 1983 may be used for “Program Direction

and Administration.”

(b) The Nuclear Regulatory Commission may use not more than 1 

percent of the amounts authorized to be appropriated under subsection 

(a)(4) to exercise its authority under section 31a. of the Atomic Energy 

Act of 1954 (42 USC 2051(a)) to enter into grants and cooperative 

agreements with universities pursuant to such section. Grants made by 

the Commission shall be made in accordance with the Federal Grant and 

Cooperative Agreement Act of 1977 (41 USC 501 et seq.) and other 

applicable law. In making such grants and entering into such cooperative 

agreements, the Commission shall endeavor to provide appropriate 

opportunities for universities in which the student body has historically 

been predominantly comprised of minority groups.

(c) Any amount appropriated for a fiscal year to the Nuclear 

Regulatory Commission pursuant to any paragraph of subsection (a) for 

purposes of the program Office referred to in such paragraph, or any 

activity that is within such program Office and is specified in such 

paragraph, may be reallocated by the Commission for use in a program 

Office, except that the amount available from appropriations for such 

fiscal year for use in any program Office or specified activity may not, as 

a result of reallocations made under this subsection, be increased or 

reduced by more than $500,000 unless–

(1) a period of 30 calendar days (excluding any day in which 

either House of Congress is not in session because of an adjournment 

of more than 3 calendar days to a day certain or an adjournment sine 

die) passes after the receipt, by the Committee on Energy and 

Commerce and the Committee on Interior and Insular Affairs of the 

House of Representatives and the Committee on Environment and 

Public Works of the Senate, of notice submitted by the Commission 

containing a full and complete statement of the reallocation proposed 

to be made and the facts and circumstances relied upon in support of 

such proposed reallocation; or

(2) each such committee, before the expiration of such period, 

transmits to the Commission a written notification that such 

committee does not object to such proposed reallocation.

Sec. 2. Authority to Retain Certain Amounts Received

Moneys received by the Nuclear Regulatory Commission for the 

cooperative nuclear research program and the material access 

authorization program may be retained and used for salaries and 

expenses associated with such programs, notwithstanding the provisions 

of section 3617 of the Revised Statutes (31 USC 484), and shall remain 

available until expended.

Sec. 3. Authority to Transfer Certain Amounts to Other Agencies

From amounts appropriated to the Nuclear Regulatory Commission 

pursuant to section 1(a), the Commission may transfer to other agencies 

of the Federal Government sums for salaries and expenses for the 

performance by such agencies of activities for which such appropriations 

Grants and 

cooperative 

agreements.

Reallocated 

funds.

Notification of 

congressional 

committees.

31 USC 3302.
NRC Authorizations Act, FY 1982–1983 (P.L. 97–415) 763

of the Commission are made. Any sums so transferred may be merged 

with the appropriation of the agency to which such sums are transferred.

Sec. 4. Limitation on Spending Authority

Notwithstanding any other provision of this Act, no authority to make 

payments under this Act shall be effective except to such extent or in 

such amounts as are provided in advance in appropriation Acts.

Sec. 5. Authority to Issue Licenses in Absence of Emergency 

Preparedness Plans

of the amounts authorized to be appropriated under section 1, the 

Nuclear Regulatory Commission may use such sums as may be 

necessary, in the absence of a State or local emergency preparedness plan 

which has been approved by the Federal Emergency Management 

Agency, to issue an operating license (including a temporary operating 

license under section 192 of the Atomic Energy Act of 1954, as amended 

by section 11 of this Act) for a nuclear power reactor, if it determines that 

there exists a State, local, or utility plan which provides reasonable 

assurance that public health and safety is not endangered by operation of 

the facility concerned.

Sec. 6. Nuclear Safety Goals

Funds authorized to be appropriated under this Act shall be used by 

the Nuclear Regulatory Commission to expedite the establishment of 

safety goals for nuclear reactor regulation. The development of such 

safety goals, and any accompanying methodologies for the application of 

such safety goals, should be expedited to the maximum extent practicable 

to permit establishment of a safety goal by the Commission not later than 

December 31, 1982.

Sec. 7. Loss–of–Fluid Test Facility

of the amounts authorized to be used for the Loss–of–Fluid Test 

Facility in accordance with section 1(a)(4) for fiscal years 1982 and 

1983, the Commission shall provide funding through contract with the 

organization responsible for the Loss–of–Fluid Test operations for a 

detailed technical review and analysis of research results obtained from 

the Loss–of–Fluid Test Facility research program. The contract shall 

provide funding for not more than twenty man–years in each of fiscal 

years 1982 and 1983 to conduct the technical review and analysis.

Sec. 8. Nuclear Data Link

(a) of the amounts authorized to be appropriated under this Act for 

the fiscal years 1982 and 1983, not more than $200,000 is authorized to 

be used by the Nuclear Regulatory Commission for–

(1) the acquisition (by purchase, lease, or otherwise) and 

installation of equipment to be used for the “small test prototype 

nuclear data link” program or for any other program for the collection 

and transmission to the Commission of data from licensed nuclear 

reactors during abnormal conditions at such reactors; and

(2) the conduct of a full and complete study and analysis of–

(A) the appropriate role of the Commission during abnormal 

conditions at a nuclear reactor licensed by the Commission;

(B) the information which should be available to the 

Commission to enable the Commission to fulfill such role and to 

carry out other related functions;

(C) various alternative means of assuring that such 

information is available to the Commission in a timely manner; 

and

Study and 

analysis.
764 NRC Authorizations Act, FY 1982–1983 (P.L. 97–415)

(D) any changes in existing Commission authority necessary 

to enhance the Commission response to abnormal conditions at a 

nuclear reactor licensed by the Commission.

The small test prototype referred to in paragraph (1) may be used by 

the Commission in carrying out the study and analysis under paragraph 

(2). Such analysis shall include a cost–benefit analysis of each alternative 

examined under subparagraph (C).

(b)(1) Upon completion of the study and analysis required under 

subsection (a)(2), the Commission shall submit to Congress a detailed 

report setting forth the results of such study and analysis.

(2) The Commission may not take any action with respect to any 

alternative described in subsection (a)(2)(C), unless a period of 60 

calendar days (excluding any day in which either House of Congress 

is not in session because of an adjournment of more than 3 calendar 

days to a day certain or an adjournment sine die) passes after the 

receipt, by the Committee on Energy and Commerce and the 

Committee on Interior and Insular Affairs of the House of 

Representatives and the Committee on Environment and Public 

Works of the Senate, of notice submitted by the Commission 

containing a full and complete statement of the action proposed to be 

taken and the facts and circumstances relied upon in support of such 

proposed action.

Sec. 9. Interim Consolidation of Offices

(a) of the amounts authorized to be appropriated pursuant to 

paragraph 6 of section 1(a), such sums as may be necessary shall be 

available for interim consolidation of Nuclear Regulatory Commission 

headquarters staff offices.

(b) No amount authorized to be appropriated under this Act may be 

used, in connection with the interim consolidation of Nuclear Regulatory 

Commission offices, to relocate the offices of members of the 

Commission outside the District of Columbia.

Sec. 10. Three Mile Island

(a) No part of the funds authorized to be appropriated under this Act 

may be used to provide assistance to the General Public Utilities 

Corporation for purposes of the decontamination, cleanup, repair, or 

rehabilitation of facilities at Three Mile Island Unit 2.

(b) The prohibition contained in subsection (a) shall not relate to the 

responsibilities of the Nuclear Regulatory Commission for monitoring or 

inspection of the decontamination, cleanup, repair, or rehabilitation 

activities at Three Mile Island and such prohibition shall not apply to –

the use of funds by the Nuclear Regulatory Commission to carry out 

regulatory functions of the Commission under the Atomic Energy Act of 

1954 with respect to the facilities at Three Mile Island.

(c) The Nuclear Regulatory Commission shall include in its annual 

report to the Congress under section 307(c) of the Energy Reorganization 

Act of 1974 (42 USC 5877(c)) as a separate chapter a description of the 

collaborative efforts undertaken, or proposed to be undertaken, by the 

Commission and the Department of Energy with respect to the 

decontamination, cleanup, repair, or rehabilitation of facilities at Three 

Mile Island Unit 2.

(d) No funds authorized to be appropriated under this Act may be 

used by the Commission to approve any willful release of “accident–

generated water”, as defined by the Commission in NUREG–0683 

(“Final Programmatic Environmental Impact Statement” pg.1–23), from 

Three Mile Island Unit 2 into the Susquehanna River or its watershed.

Report to 

Congress.

Commission 

action; 

notification of 

congressional 

committees.

42 USC 2011 

note.

42 USC 5877 

note.
NRC Authorizations Act, FY 1982–1983 (P.L. 97–415) 765

Sec. 11. Temporary Operating Licenses

Section 192 of the Atomic Energy Act of 1954 (42 USC 2242) is 

amended to read as follows:

Sec. 192. TEMPORARY OPERATING LICENSE.–

a. In any proceeding upon an application for an operating license for a 

utilization facility required to be licensed under section 103 or 104 b. of 

this Act, in which a hearing is otherwise required pursuant to section 

189a., the applicant may petition the Commission for a temporary 

operating license for such facility authorizing fuel loading, testing, and 

operation at a specific power level to be determined by the Commission, 

pending final action by the Commission on the application. The initial 

petition for a temporary operating license for each such facility, and any 

temporary operating license issued for such facility based upon the initial 

petition, shall be limited to power levels not to exceed 5 percent of rated 

full thermal power. Following issuance by the Commission of the 

temporary operating license for each such facility, the licensee may file 

petitions with the Commission to amend the license to allow facility 

operation in staged increases at specific power levels, to be determined 

by the Commission, exceeding 5 percent of rated full thermal power. The 

initial petition for a temporary operating license for each such facility 

may be filed at any time after the filing of: (1) the report of the Advisory 

Committee on Reactor Safeguards required by section 192b.; (2) the 

filing of the initial Safety Evaluation Report by the Nuclear Regulatory 

Commission staff and the Nuclear Regulatory Commission staff's first 

supplement to the report prepared in response to the report of the 

Advisory Committee on Reactor Safeguards for the facility; (3) the 

Nuclear Regulatory Commission staff's final detailed statement on the 

environmental impact of the facility prepared pursuant to section 

102(2)(C) of the National Environmental Policy Act of 1969 (42 USC 

4332(2)(C)); and (4) a State, local, or utility emergency preparedness 

plan for the facility. Petitions for the issuance of a license, or for an 

amendment to such a license allowing operation at a specific power level 

greater than that authorized in the initial temporary operating license, 

shall be accompanied by an affidavit or affidavits setting forth the 

specific facts upon which the petitioner relies to justify issuance of the 

temporary operating license or the amendment thereto. The Commission 

shall publish notice of each such petition in the Federal Register and in 

such trade or news publications as the Commission deems appropriate to 

give reasonable notice to persons who might have a potential interest in 

the grant of such temporary operating license or amendment thereto. Any 

person may file affidavits or statements in support of, or in opposition to, 

the petition within thirty days after the publication of such notice in the 

Federal Register.

b. With respect to any petition filed pursuant to subsection a. of this 

section, the Commission may issue a temporary operating license, or 

amend the license to authorize temporary operation at each specific 

power level greater than that authorized in the initial temporary operating 

license, as determined by the Commission, upon finding that–

(1) in all respects other than the conduct or completion of any 

required hearing, the requirements of law are met;

(2) in accordance with such requirements, there is reasonable 

assurance that operation of the facility during the period of the 

temporary operating license in accordance with its terms and 

conditions will provide adequate protection to the public health and 

42 USC 2133.

42 USC 2134.

Initial petition.

Affidavits.

Publication in 

Federal 

Register.
766 NRC Authorizations Act, FY 1982–1983 (P.L. 97–415)

safety and the environment during the period of temporary operation; 

and

(3) denial of such temporary operating license will result in delay 

between the date on which construction of the facility is sufficiently 

completed, in the judgment of the Commission, to permit issuance of 

the temporary operating license, and the date when such facility 

would otherwise receive a final operating license pursuant to this Act.

The temporary operating license shall become effective upon issuance 

and shall contain such terms and conditions as the Commission may 

deem necessary, including the duration of the license and any provision 

for the extension thereof. Any final order authorizing the issuance or 

amendment of any temporary operating license pursuant to this section 

shall recite with specificity the facts and reasons justifying the findings 

under this subsection, and shall be transmitted upon such issuance to the 

Committees on Interior and Insular Affairs and Energy and commerce of 

the House of Representatives and the Committee on Environment and 

Public Works of the Senate. The final order of the Commission with

respect to the issuance or amendment of a temporary operating license 

shall be subject to judicial review pursuant to Chapter 158 of Title 28, 

United States Code. The requirements of section 189a. of this Act with 

respect to the issuance or amendment of facility licenses shall not apply 

to the issuance or amendment of a temporary operating license under this 

section.

c. Any hearing on the application for the final operating license for a 

facility required pursuant to section 189a. shall be concluded as promptly 

as practicable. The Commission shall suspend the temporary operating 

license if it finds that the applicant is not prosecuting the application for 

the final operating license with due diligence. Issuance of a temporary 

operating license under subsection b. of this section shall be without 

prejudice to the right of any party to raise any issue in a hearing required 

pursuant to section 189a.; and failure to assert any ground for denial or 

limitation of a temporary operating license shall not bar the assertion of 

such ground in connection with the issuance of a subsequent final 

operating license. Any party to a hearing required pursuant to section 

189a. on the final operating license for a facility for which a temporary 

operating license has been issued under subsection b., and any member of 

the Atomic Safety and Licensing Board conducting such hearing, shall 

promptly notify the Commission of any information indicating that the 

terms and conditions of the temporary operating license are not being 

met, or that such terms and conditions are not sufficient to comply with 

the provisions of paragraph (2) of subsection b.

d. The Commission is authorized and directed to adopt such 

administrative remedies as the Commission deems appropriate to 

minimize the need for issuance of temporary operating licenses pursuant 

to this section.

e. The authority to issue new temporary operating licenses under this 

section shall expire on December 31, 1983.

Sec. 12. Operating License Amendment Hearings

(a) Section 189a. of the Atomic Energy Act of 1954 (42 USC 

2239(a)) is amended–

(1) by inserting “(1)” after the subsection designation; and

(2) by adding at the end thereof the following new paragraph:

(2)(A) The Commission may issue and make immediately 

effective any amendment to an operating license, upon a 

determination by the Commission that such amendment involves no 

Final order, 

transmittal to 

congressional 

committees.

Judicial review.

28 USC 2341 

et seq.

Hearing.

Expiration date.
NRC Authorizations Act, FY 1982–1983 (P.L. 97–415) 767

significant hazards consideration, notwithstanding the pendency 

before the Commission of a request for a hearing from any person. 

Such amendment may be issued and made immediately effective in 

advance of the holding and completion of any required hearing. In 

determining under this section whether such amendment involves no 

significant hazards consideration, the Commission shall consult with 

the State in which the facility involved is located. In all other respects 

such amendment shall meet the requirements of this Act.

(B) The Commission shall periodically (but not less frequently 

than once every thirty days) publish notice of any amendments 

issued, or proposed to be issued, as provided in subparagraph (A). 

Each such notice shall include all amendments issued, or 

proposed to be issued, since the date of publication of the last 

such periodic notice. Such notice shall, with respect to each 

amendment or proposed amendment (i) identify the facility 

involved; and (ii) provide a brief description of such amendment. 

Nothing in this subsection shall be construed to delay the effective 

date of any amendment.

(C) The Commission shall, during the ninety–day period 

following the effective date of this paragraph, promulgate 

regulations establishing (i) standards for determining whether any 

amendment to an operating license involves no significant hazards 

consideration; (ii) criteria for providing or, in emergency 

situations, dispensing with prior notice and reasonable 

opportunity for public comment on any such determination, which 

criteria shall take into account the exigency of the need for the 

amendment involved; and (iii) procedures for consultation on any 

such determination with the State in which the facility involved is 

located.

(b) The authority of the Nuclear Regulatory Commission, under the 

provisions of the amendment made by subsection (a), to issue and to 

make immediately effective any amendment to an operating license shall 

take effect upon the promulgation by the Commission of the regulations 

required in such provisions.

Sec. 13. Quality Assurance

(a) The Nuclear Regulatory Commission is authorized and directed to 

implement and accelerate the resident inspector program so as to assure 

the assignment of at least one resident inspector by the end of fiscal year 

1982 at each site at which a commercial nuclear power plant is under 

construction and construction is more than 15 percent complete. At each 

such site at which construction is not more than 15 percent complete, the 

Commission shall provide that such inspection personnel as the 

Commission deems appropriate shall be physically present at the site at 

such times following issuance of the construction permit as may be 

necessary in the judgment of the Commission.

(b) The Commission shall conduct a study of existing and alternative 

programs for improving quality assurance and quality control in the 

construction of commercial nuclear powerplants. In conducting the study, 

the Commission shall obtain the comments of the public, licensees of 

nuclear powerplants, the Advisory Committee on Reactor Safeguards, 

and organizations comprised of professionals having expertise in 

appropriate fields. The study shall include an analysis of the following:

(1) providing a basis for quality assurance and quality control, 

inspection, and enforcement actions through the adoption of an 

approach which is more prescriptive than that currently in practice for 

Notice of 

publication.

Regulations 

establishing 

standards, 

criteria, and 

procedures.

42 USC 2239 

note.

42 USC 5841 

note.

Resident 

inspector 

program.

Commercial 

nuclear power 

plant 

construction, 

study.
768 NRC Authorizations Act, FY 1982–1983 (P.L. 97–415)

defining principal architectural and engineering criteria for the 

construction of commercial nuclear powerplants;

(2) conditioning the issuance of construction permits for 

commercial nuclear powerplants on a demonstration by the licensee 

that the licensee is capable of independently managing the effective 

performance of all quality assurance and quality control 

responsibilities for the power plant;

(3) evaluations, inspections, or audits of commercial nuclear 

power plant construction by organizations comprised of professionals 

having expertise in appropriate fields which evaluations, inspections, 

or audits are more effective than those under current practice;

(4) improvement of the Commission's organization, methods, and 

programs for quality assurance development, review, and inspection; 

and

(5) conditioning the issuance of construction permits for 

commercial nuclear power plants on the permittee entering into 

contracts or other arrangements with an independent inspector to 

audit the quality assurance program to verify quality assurance 

performance.

For purposes of paragraph (5), the term “independent inspector” means a 

person or other entity having no responsibility for the design or 

construction of the plant involved. The study shall also include an 

analysis of quality assurance and quality control programs at 

representative sites at which such programs are operating satisfactorily 

and an assessment of the reasons therefor.

(c) For purposes of–

(1) determining the best means of assuring that commercial 

nuclear powerplants are constructed in accordance with the applicable 

safety requirements in effect pursuant to the Atomic Energy Act of 

1954; and

(2) assessing the feasibility and benefits of the various means 

listed in subsection (b); 

the Commission shall undertake a pilot program to review and evaluate 

programs that include one or more of the alternative concepts identified 

in subsection (b) for the purposes of assessing the feasibility and benefits 

of their implementation. The pilot program shall include programs that 

use independent inspectors for auditing quality assurance responsibilities 

of the licensee for the construction of commercial nuclear powerplants, 

as described in paragraph (5) of subsection (b). The pilot program shall 

include at least three sites at which commercial nuclear powerplants are 

under construction. The Commission shall select at least one site at 

which quality assurance and quality control programs have operated 

satisfactorily, and at least two sites with remedial programs underway at 

which major construction, quality assurance, or quality control 

deficiencies (or any combination thereof) have been identified in the past. 

The Commission may require any changes in existing quality assurance 

and quality control organizations and relationships that may be necessary 

at the selected sites to implement the pilot program.

(d) Not later than fifteen months after the date of the enactment of 

this Act, the Commission shall complete the study required under 

subsection (b) and submit to the United States Senate and House of 

representatives a report setting forth the results of the study. The report 

shall include a brief summary of the information received from the public

and from other persons referred to in subsection (b) and a statement of 

the Commission's response to the significant comments received. The 

Independent 

inspector.

42 USC 2011 

note.

Pilot program.

Study results, 

submittal to 

Congress.
NRC Authorizations Act, FY 1982–1983 (P.L. 97–415) 769

report shall also set forth in analysis of the results of the pilot program 

required under subsection (c). The report shall be accompanied by the 

recommendations of the Commission, including any legislative 

recommendations, and a description of any administrative actions that the 

Commission has undertaken or intends to undertake, for improving 

quality assurance and quality control programs that are applicable during 

the construction of nuclear power plants.

Sec. 14. Limitation on Use of Special Nuclear Material

Section 57 of the Atomic Energy Act of 1954 (42 USC 2077) is 

amended by adding at the end thereof the following new subsection:

e. Special nuclear material, as defined in section 11, produced in 

facilities licensed under section 103 or 104 may not be transferred, 

reprocessed, used, or otherwise made available by any instrumentality of 

the United States or any other person for nuclear explosive purposes.

Sec. 15. Resident Inspectors

of the amounts authorized to be appropriated under section 1, the 

Nuclear Regulatory Commission shall use such sums as may be 

necessary to conduct a study of the financial hardships incurred by 

resident inspectors as a result of (1) regulations of the Commission 

requiring resident inspectors to relocate periodically from one duty 

station to another; and (2) the requirements of the Commission respecting 

the domicile of resident inspectors and respecting travel between their 

domicile and duty station in such manner as to avoid the appearance of a 

conflict of interest. Not later than 90 days after the date of the enactment 

of this Act, the Commission shall submit to the Congress a report setting 

forth the findings of the Commission as a result of such study, together 

with a legislative proposal (including any supporting data or information) 

relating to any assistance for resident inspectors determined by the 

Commission to be appropriate.

Sec. 16. Sabotage of Nuclear Facilities or Fuel

Section 236 of the Atomic Energy Act of 1954 (42 USC 2284) is 

amended to read as follows:

Sec. 236. SABOTAGE OF NUCLEAR FACILITIES OR FUEL.–

a. Any person who intentionally and willfully destroys or causes 

physical damage to, or who intentionally and willfully attempts to 

destroy or cause physical damage to–

(1) any production facility or utilization facility licensed under 

this Act;

(2) any nuclear waste storage facility licensed under this Act; or

(3) any nuclear fuel for such a utilization facility, or any spent 

nuclear fuel from such a facility;

shall be fined not more than $10,000 or imprisoned for not more than 

ten years, or both.

b. Any person who intentionally and willfully causes or attempts to 

cause an interruption of normal operation of any such facility through the 

unauthorized use of or tampering with the machinery, components, or 

controls of any such facility, shall be fined not more than $10,000 or 

imprisoned for not more than ten years, or both.

Sec. 17. Department of Energy Information

(a) Section 148a.(1) of the Atomic Energy Act of 1954 (42 USC 

2168(a)(1)) is amended by inserting after “`Secretary')” the following: “, 

with respect to atomic energy defense programs,”

(b) Section 148 of the Atomic Energy Act of 1954 (42 USC 2168) is 

amended by adding at the end thereof the following new subsections:

42 USC 2014.

42 USC 2133.

42 USC 2134.

Report to 

Congress.

Penalties.
770 NRC Authorizations Act, FY 1982–1983 (P.L. 97–415)

d. Any determination by the Secretary concerning the applicability of 

this section shall be subject to judicial review pursuant to section 

552(a)(4)(B) of Title 5, United States Code.

e. The Secretary shall prepare on a quarterly basis a report to be made 

available upon the request of any interested person, detailing the 

Secretary's application during that period of each regulation or order 

prescribed or issued under this section. In particular, such report shall–

(1) identify any information protected from disclosure pursuant to 

such regulation or order;

(2) specifically state the Secretary's justification for determining 

that unauthorized dissemination of the information protected from 

disclosure under such regulation or order could reasonably be 

expected to have a significant adverse effect on the health and safety 

of the public or the common defense and security by significantly 

increasing the likelihood of illegal production of nuclear weapons, or 

theft, diversion, or sabotage of nuclear materials, equipment, or 

facilities, as specified under subsection a.; and

(3) provide justification that the Secretary has applied such 

regulation or order so as to protect from disclosure only the minimum 

amount of information necessary to protect the health and safety of 

the public or the common defense and security.

Sec. 18. Standards and Requirements Under Section 275

(a) Section 275 of the Atomic Energy Act of 1954 is amended–

(1) by striking in subsection a. “one year after the date of 

enactment of this section” and substituting “October 1, 1982” and by 

adding the following at the end thereof:

“After October 1, 1982, if the Administrator has not promulgated 

standards in final form under this subsection, any action of the 

Secretary of Energy under Title I of the Uranium Mill tailings 

Radiation Control Act of 1978 which is required to comply with, or 

be taken in accordance with, the standards proposed by the 

Administrator under this subsection until such time as the 

Administrator promulgates such standards in final form.;

(2) by striking in subsection b. (1) “eighteen months after the 

enactment of this section, the Administrator shall, by rule, 

promulgate” and inserting in lieu thereof the following: October 31, 

1982, the Administrator shall, by rule, propose, and within 11 months 

thereafter promulgate in final form,;

(3) by adding the following at the end of subsection b.(1): “If the 

Administrator fails to promulgate standards in final form under this 

subsection by October 1, 1983, the authority of the Administrator to 

promulgate such standards shall terminate, and the Commission may 

take actions under this Act without regard to any provision of this Act 

requiring such actions to comply with, or be taken in accordance with, 

standards promulgated by the Administrator. In any such case, the 

Commission shall promulgate, and from time to time revise, any such 

standards of general application which the Commission deems 

necessary to carry out its responsibilities in the conduct of its 

licensing activities under this Act. Requirements established by the 

Commission under this Act with respect to byproduct material as 

defined in section 11e.(2) shall conform to such standards. Any 

requirements adopted by the Commission respecting such byproduct 

material before promulgation by the Commission of such standards 

shall b amended as the Commission deems necessary to conform to 

such standards in the same manner as provided in subsection f.(3). 

Judicial review.

Quarterly 

report.

42 USC 2022.

42 USC 7911

Promulgation 

authority.
NRC Authorizations Act, FY 1982–1983 (P.L. 97–415) 771

Nothing in this subsection shall be construed to prohibit or suspend 

the implementation or enforcement by the Commission of any 

requirement of the Commission respecting byproduct material as 

defined in section 11e.(2) pending promulgation by the Commission 

of any such standard of general application.; 

(4) by adding the following new subsection at the end thereof:

f. (1) Prior to January 1, 1983, the Commission shall not implement 

or enforce the provisions of the Uranium Mill Licensing Requirements 

published as final rules at 45 Federal Register 65521 to 65538 on 

October 3, 1980 (hereinafter referred to as the “October 3 regulations”). 

After December 31, 1982, the Commission is authorized to implement 

and enforce the provisions of such October 3 regulations (and any 

subsequent modifications or additions to such regulations which may be 

adopted by the Commission), except as otherwise provided in paragraphs 

(2) and (3) of this subsection.

(2) Following the proposal by the Administrator of standards 

under subsection b., the Commission shall review the October 3 

regulations, and, not later than 90 days after the date of such proposal, 

suspend implementation and enforcement of any provision of such 

regulations which the Commission determines after notice and 

opportunity for public comment to require a major action or major 

commitment by licensees which would be unnecessary if–

(A) the standards proposed by the Administrator are 

promulgated in final form without modification, and

(B) the Commission's requirements are modified to conform to 

such standards.

Such suspension shall terminate on the earlier of April 1, 1984 or the 

date on which the Commission amends the October 3 regulations to 

conform to final standards promulgated by the Administrator under 

subsection b. During the period of such suspension, the Commission 

shall continue to regulate byproduct material (as defined in section 

11e.(2)) under this Act on a licensee–by–licensee basis as the 

Commission deems necessary to protect public health, safety, and the 

environment.

(3) Not later than 6 months after the date on which the 

Administrator promulgates final standards pursuant to subsection b. 

of this section, the Commission shall, after notice and opportunity for 

public comment, amend the October 3 regulations, and adopt such 

modifications, as the Commission deems necessary to conform to 

such final standards of the Administrator.

(4) Nothing in this subsection may be construed as affecting the 

authority or responsibility of the Commission under section 84 to 

promulgate regulations to protect the public health and safety and the 

environment.

(b)(1) Section 108(a) of the Uranium Mill Tailings Radiation Control 

Act of 1978 is amended by adding the following new paragraph at the

end thereof:

(3) Notwithstanding paragraphs (1) and (2) of this subsection, 

after October 31, 1982, if the Administrator has not promulgated 

standards under section 275 a. of the Atomic Energy Act of 1954 in 

final form by such date, remedial action taken by the Secretary under 

this Title shall comply with the standards proposed by the 

Administrator under such section 275 a. until such time as the 

Administrator promulgates the standards in final form.

Uranium mill 

licensing 

requirement 

regulations.

Implementati

on and 

enforcement.

42 USC 2014.

Review, public 

comment, and 

suspension.

42 USC 2114.

Remedial 

action.

42 USC 7918.
772 NRC Authorizations Act, FY 1982–1983 (P.L. 97–415)

(2) The second sentence of section 108(a)(2) of the Uranium Mill 

tailings Radiation Control Act of 1978 is repealed.

Sec. 19. Agreement States

(a) Section 274o. of the Atomic Energy Act of 1954 is amended by 

adding the following at the end thereof: “In adopting requirements 

pursuant to paragraph (2) of this subsection with respect to sites at which 

ores are processed primarily for their source material content or which 

are used for the disposal of byproduct material as defined in section 

11e.(2), the State may adopt alternatives (including, where appropriate, 

site–specific alternatives) to the requirements adopted and enforced by 

the Commission for the same purpose if, after notice and opportunity for 

public hearing, the Commission determines that such alternatives will 

achieve a level of stabilization and containment of the sites concerned, 

and a level of protection for public health, safety, and the environment 

from radiological and nonradiological hazards associated with such sites, 

which is equivalent to, to the extent practicable, or more stringent than 

the level which would be achieved by standards and requirements 

adopted and enforced by the Commission for the same purpose and any 

final standards promulgated by the Administrator of the Environmental 

Protection Agency in accordance with section 275. Such alternative State 

requirements may take into account local or regional conditions, 

including geology, topography, hydrology and meteorology.

(b) Section 204(h)(3) of the Uranium Mill Tailings Radiation Control 

Act of 1978 is amended by inserting the following before the period at 

the end thereof: Provided, however, That, in the case of a State which has 

exercised any authority under State law pursuant to an agreement entered 

into under section 274 of the Atomic Energy Act of 1954, the State 

authority over such byproduct material may be terminated, and the 

Commission authority over such material may be exercised, only after 

compliance by the Commission with the same procedures as are 

applicable in the case of termination of agreements under section 274j. of 

the Atomic Energy Act of 1954.

Sec. 20. Amendment to Section 84

Section 84 of the Atomic Energy Act of 1954 is amended by adding 

the following at the end thereof:

c. In the case of sites at which ores are processed primarily for their 

source material content or which are used for the disposal of byproduct 

material as defined in section 11e.(2), a licensee may propose alternatives 

to specific requirements adopted and enforced by the Commission under 

this Act. Such alternative proposals may take into account local or 

regional conditions, including geology, topography, hydrology and 

meteorology. The Commission may treat such alternatives as satisfying 

Commission requirements if the Commission determines that such 

alternatives will achieve a level of stabilization and containment of the 

sites concerned, and a level of protection for public health, safety, and the 

environment from radiological and nonradiological hazards associated 

with such sites, which is equivalent to, to the extent practicable, or more 

stringent than the level which would be achieved by standards and 

requirements adopted and enforced by the Commission for the same 

purpose and any final standards promulgated by the Administrator of the 

Environmental Protection Agency in accordance with section 275.

Sec. 21. Edgemont

Section 102(e) of the Uranium Mill Tailings Radiation Control Act of 

1978 is amended by adding the following at the end thereof:

42 USC 2014.

42 USC 2021.

42 USC 2021 

42 USC 2021 

note.

42 USC 2014.

42 USC 2114.

Alternative 

proposals by 

42 USC 2022.

42 USC 7912.
NRC Authorizations Act, FY 1982–1983 (P.L. 97–415) 773

(3) the Secretary shall designate as a processing site within the 

meaning of section 101(6) any real property, or improvements 

thereon, in Edgemont, South Dakota, that–

(A) is in the vicinity of the Tennessee Valley Authority 

uranium mill site at Edgemont (but not including such site), and

(B) is determined by the Secretary to be contaminated with 

residual radioactive materials.

In making the designation under this paragraph, the Secretary shall 

consult with the Administrator, the Commission and the State of South 

Dakota. The provisions of this Title shall apply to the site so designated 

in the same manner and to the same extent as to the sites designated 

under subsection (a) except that, in applying such provisions to such site, 

any reference in this Title to the date of the enactment of this Act shall be 

treated as a reference to the date of the enactment of this paragraph and 

in determining the State share under section 107 of the costs of remedial 

action, there shall be credited to the State, expenditures made by the State 

prior to the date of the enactment of this paragraph which the Secretary 

determines would have been made by the State or the United States in 

carrying out the requirements of this Title.

Sec. 22. Additional Amendments to Sections 84 and 275

(a) Section 84a.(1) of the Atomic Energy Act of 1954 is amended by 

inserting before the comma at the end thereof the following: “, taking 

into account the risk to the public health, safety, and the environment, 

with due consideration of the economic costs and such other factors as 

the Commission determines to be appropriate,”.

(b) Section 275 of the Atomic Energy Act of 1954 is amended–

(1) in subsection a., by inserting after the second sentence thereof 

the following new sentence: “In establishing such standards, the 

Administrator shall consider the risk to the public health, safety, and 

the environment, the environmental and economic costs of applying 

such standards, and such other factors as the Administrator 

determines to be appropriate.”; and

(2) by adding at the end of subsection b. (1) the following new 

sentence: “In establishing such standards, the Administrator shall 

consider the risk to the public health, safety, and the environment, the 

environmental and economic costs of applying such standards, and 

such other factors as the Administrator determines to be appropriate.”

Sec. 23. Uranium Supply

(a)(1) Not later than 12 months after the date of enactment of this 

section, the President shall prepare and submit to the Congress a 

comprehensive review of the status of the domestic uranium mining and 

milling industry. This review shall be made available to the appropriate 

committees of the United States Senate and the House of 

Representatives.

(2) The Comprehensive review prepared for submission under 

paragraph (1) shall include–

(A) projections of uranium requirements and inventories of 

domestic utilities;

(B) present and future projected uranium production by the 

domestic mining and milling industry;

(C) the present and future probable penetration of the domestic 

market by foreign imports;

(D) the size of domestic and foreign ore reserves;

(E) present and projected domestic uranium exploration 

expenditures and plans;

42 USC 7911.

42 USC 7917.

42 USC 2114.

42 USC 2210b 

note.

Comprehensive 

industry 

review, 

submittal to 

Congress.
774 NRC Authorizations Act, FY 1982–1983 (P.L. 97–415)

(F) present and projected employment and capital investment 

in the uranium industry;

(G) an estimate of the level of domestic uranium production 

necessary to ensure the viable existence of a domestic uranium 

industry and protection of national security interests'

(H) an estimate of the percentage of domestic uranium 

demand which must be met by domestic uranium production 

through the year 2000 in order to ensure the level of domestic 

production estimated to be necessary under subparagraph (G);

(I) a projection of domestic uranium production and uranium 

price levels which will be in effect both under current policy and 

in the event that foreign import restrictions were enacted by 

Congress in order to guarantee domestic production at the level 

estimated to be necessary under subparagraph (G);

(J) the anticipated effect of spent nuclear fuel reprocessing on 

the demand for uranium; and

(K) other information relevant to the consideration of 

restrictions on the importation of source material and special 

nuclear material from foreign sources.

(b)(1) Chapter 14 of the Atomic Energy Act of 1954 is amended by 

adding the following new section at the end thereof:

Sec. 170B. Uranium Supply

a. The Secretary of Energy shall monitor and for the years 1983 to 

1992 report annually to the Congress and to the President a determination 

of the viability of the domestic uranium mining and milling industry and 

shall establish by rule, after public notice and in accordance with the 

requirements of section181 of this Act, within 9 months of enactment of 

this section, specific criteria which shall be assessed in the annual reports 

on the domestic uranium industry’s viability. The Secretary of Energy is 

authorized to issue regulations providing for the collection of such 

information as the Secretary of Energy deems necessary to carry out the 

monitoring and reporting requirements of this section.

b. Upon a satisfactory showing to the Secretary of Energy by any 

person that any information, or portion thereof obtained under this 

section, would, if made public, divulge proprietary information of such 

person, the Secretary shall not disclose such information and disclosure 

thereof shall be punishable under section 1905 of Title 18, United States 

Code.

c. The criteria referred to in subsection a. shall also include, but not 

be limited to–

(1) an assessment of whether executed contracts or options for 

source material or special nuclear material will result in greater than 

371 2 percent of actual or projected domestic uranium requirements 

for any two–consecutive–year period being supplied by source 

material or special nuclear material from foreign sources;

(2) projections of uranium requirements and inventories of 

domestic utilities for a 10 year period;

(3) present and probable future use of the domestic market by 

foreign imports;

(4) whether domestic economic reserves can supply all future 

needs for a future 10 year period;

(5) present and projected domestic uranium exploration 

expenditures and plans;

(6) present and projected employment and capital investment in 

the uranium industry;

42 USC 2210b.

42 USC 2231.

Report to 

Congress and 

President.

Regulations.

Proprietary 

information, 

disclosure.

Criteria.
NRC Authorizations Act, FY 1982–1983 (P.L. 97–415) 775

(7) the level of domestic uranium production capacity sufficient to 

meet projected domestic nuclear power needs for a 10 year period; 

and

(8) a projection of domestic uranium production and uranium 

price levels which will be in effect under various assumptions with 

respect to imports.

d. The Secretary of Energy, at any time, may determine on the basis 

of the monitoring and annual reports required under this section that 

source material or special nuclear material from foreign sources is being 

imported in such increased quantities as to be a substantial cause of 

serious injury, or threat thereof, to the United States uranium mining and 

milling industry. Based on that determination, the United States Trade 

Representative shall request that the United States International Trade 

Commission initiate an investigation under section 201 of the Trade Act 

of 1974 (19 USC 2251).

e. (1) If, during the period 1982 to 1992, the Secretary of Energy 

determines that executed contracts or options for source material or 

special nuclear material from foreign sources for use in utilization 

facilities within or under the jurisdiction of the United States represent 

greater than 37–1/2 percent of actual or projected domestic uranium 

requirements for any two–consecutive–year period, or if the Secretary of 

Energy shall request the Secretary of Commerce to initiate under section 

232 of the Trade Expansion Act of 1962 (19 USC 1862) an investigation 

to determine the effects on the national security of imports of source 

material and special nuclear material. The Secretary of Energy shall 

cooperate fully with the Secretary of Commerce in carrying out such an 

investigation and shall make available to the Secretary of Commerce he 

findings that lead to this request an such other information that will assist 

the Secretary of Commerce in the conduct of the investigation.

(2) The Secretary of Commerce shall, in the conduct of any 

investigation requested by the Secretary of Energy pursuant to this 

section, take into account any information made available by the 

Secretary of Energy, including information regarding the impact on 

national security of projected or executed contracts or options for 

source material or special nuclear material from foreign sources or 

whether domestic production capacity is sufficient to supply 

projected national security requirements.

(3) No sooner than 3 years following completion of any investigation 

by the Secretary of Commerce under paragraph (1), if no 

recommendation has been made pursuant to such study for trade 

adjustments to assist or protect domestic uranium production, the 

Secretary of Energy may initiate a request for another such investigation 

by the Secretary of Commerce.

Imported 

material, 

impact on 

domestic 

industry and 

national 

security.

Investigations.
776 NRC Authorizations Act, FY 1980 (P.L. 96–295)

C. NRC AUTHORIZATION ACT FOR FISCAL YEAR 1980

Public Law 96–295 94 Stat. 780

June 30, 1980

An Act

To authorize appropriations to the Nuclear Regulatory Commission in 

accordance with section 261 of the Atomic Energy Act of 1954, as 

amended, and section 305 of the Energy Reorganization Act of 1974, 

as amended, and for other purposes.

Be it enacted by the Senate and House of Representatives of the 

United States of America in Congress assembled,

Title I–Authorization of Appropriations for Fiscal Year 1980

Sec. 101. (a) There is hereby authorized to be appropriated to the 

Nuclear Regulatory Commission in accordance with the provisions of 

section 261 of the Atomic Energy Act of 1954 (42 USC 2017) and 

section 305 of the Energy Reorganization Act of 1974 (42 USC 5875), 

for the fiscal year 1980, the sum of $426,821,000, to remain available 

until expended. of such total amount authorized to be appropriated:

(1) not more than $66,510,000, may be used for “Nuclear Reactor 

Regulation”, of which an amount not to exceed $1,000,000 is 

authorized to accelerate the effort in gas–cooled thermal reactor 

preapplication review;

(2) not more than $42,440,000, may be used for “Inspection and 

Enforcement”; of the total amount appropriated for this purpose 

$4,684,000 shall be available for support for 146 additional inspectors 

for the Resident Inspector program;

(3) not more than $15,953,000, may be used for “Standards 

Development”;

(4) not more than $32,380,000, may be used for “Nuclear Material

Safety and Safeguards”; of the total amount appropriated for this 

purpose–

(A) not less than $60,000 shall be available only for the 

employment by the Commission of two qualified individuals to be 

assigned by the Commission for implementation of the United 

States International Atomic Energy Agency Safeguards Treaty, 

following ratification of such treaty by the United States Senate;

(B) not less than $180,000 and six additional positions shall be 

included in the Division of Safeguards for the regulatory 

improvements of material control and accounting safeguards and 

the development of improved regulatory requirements for 

safeguarding the transportation of spent fuel; and

(C) not less than $9,675,000 shall be available for Nuclear 

Waste Disposal and Management activities, including support for 

five additional positions in the Division of Waste Management for 

implementation of the Uranium Mill Tailings Radiation Control 

Act of 1978 (Public Law 95–604; 42 USC 7901 and following);

(5) not more than $213,005,000, may be used for “Nuclear 

Regulatory Research”, of which–

Nuclear 

Regulatory 

Commission.

Appropriation 

authorization.
NRC Authorizations Act, FY 1980 (P.L. 96–295) 777

(A) an amount not to exceed $3,700,000 shall be available to 

accelerate the effort in gas–cooled thermal reactor safety research;

(B) an amount not to exceed $4,400,000 shall be available for 

implementation of the Improved Safety Systems Research plan 

required by section 205(f) of the Energy Reorganization Act of 

1974.

(C) an amount not to exceed $6,700,000 shall be available for 

Nuclear Waste Research activities;

(6) not more than $18,125,000, may be used for “Program 

Technical Support”; of the total amount appropriated for this purpose, 

$4,238,000 shall be available to the Office of State Programs, 

including support for eight additional positions for training and 

assistance to State and local governments in radiological emergency 

response planning and operations and for review of State plans; and

(7) not more than $38,408,000 may be used for “Program 

Direction and Administration”; of the total amount appropriated for 

this purpose, $400,000 shall be available for support of eight 

additional positions in the Division of contracts, Office of 

Administration.

(b) No amount appropriated to the Nuclear Regulatory Commission 

pursuant to subsection (a) may be used for any purpose in excess of the 

amount expressly authorized to be appropriated therefore by paragraphs 

(1) through (7) of such subsection if such excess amount is greater than 

$500,000, nor may the amount available from any appropriation for any 

purpose specified in such paragraphs be reduced by more than $500,000, 

unless–

(1) a period of 45 calendar days (not including any day in which 

either House of Congress is not in session because of an adjournment 

of more than 3 calendar days to a day certain or an adjournment sine 

die) has passed after the receipt by the Committee on Interstate and 

Foreign Commerce and the Committee on Interior and Insular Affairs 

of the House of representatives and the Committee on Environment 

and Public works of the Senate of notice given by the Commission 

containing a full and complete statement of the action proposed to be 

taken and the facts and circumstances relied upon in support of such 

proposed action, or

(2) each such Committee has, before the expiration of such 

period, transmitted to the Commission a written notification that there 

is no objection to the proposed action.

(c) No amount authorized to appropriated by this Act may be used by 

the Nuclear Regulatory Commission to enter into any contract providing 

funds in excess of $50,000 encompassing research, study, or technical 

assistance on domestic safeguards matters except as directed by the 

Commission, by majority vote, following receipt by the Commission of a 

recommendation from the Executive Director for Operations supporting 

the need for such contract.

(d) No amount authorized to be appropriated by this Act may be used 

by the Nuclear Regulatory Commission to–

(1) place any new work or substantial modification to existing 

work with another Federal agency, or

(2) contract for research services or modify such contract in an 

amount greater than $500,000 unless such placement of work, 

contract or modification is approved by a Senior Contract Review 

Board, to be appointed by the Commission within sixty days of the 

date of enactment of this Act. Such Board shall be accountable to and 

42 USC 5845.
778 NRC Authorizations Act, FY 1980 (P.L. 96–295)

under the direction of the Commission. If the amount of such 

placement, contract, or modification is $1,000,000 or more, approval 

thereof shall be by majority vote of the Commission. Prior to 

affording any approval in accordance with the subsection, the 

reviewing body designated hereunder shall determine that the 

placement, contract, or modification contains a detailed description of 

work to be performed, and that alternative methods of obtaining 

performance including competitive procurement have been 

considered.

Sec. 102. During the fiscal year 1980, moneys received by the 

Nuclear Regulatory Commission for the cooperative nuclear 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 USC 484). Such moneys shall remain available 

until expended.

Sec. 103. During the fiscal year 1980, transfers of sums from salaries 

and expenses of the Nuclear Regulatory Commission may be made to 

other agencies of the United States Government for the performance of 

the work for which the appropriation is made, and in such cases of the 

sums to transferred may be merged with the appropriation to which 

transferred.

Sec. 104. Notwithstanding any other provision of this Act, no 

authority to make payments hereunder shall be effective except to such 

extent or in such amounts as are provided in advance in appropriation 

Acts.

Sec. 105. No amount authorized to be appropriated pursuant to this 

Act may be used to grant any license, permit or other authorization, or 

permission to any person for the transportation to, or the interim, long–

term, or permanent storage of, spent nuclear fuel or high–level

l radioactive waste on any territory or insular possession of the United 

States or the Trust Territory of the Pacific Islands unless–

(1) the President submits to the Congress a report on the transfer 

at least 30 days before such transfer and on a day during which–

(A) both Houses of the Congress are in session, or

(B) either or both Houses are not in session because of an 

adjournment of three days or less to a day certain; or

(2) the President determines that an emergency situation exists 

with respect to such transfer and that it is in the national interest to 

make such transfer and the President notifies the Speaker of the 

House of Representatives and the President of the Senate as soon as 

possible of such transfer.

The provisions of this section shall not apply to the cleanup and 

rehabilitation of Bikini and Eniwetok Atolls.

Sec. 106. of the amounts authorized to be appropriated pursuant to 

this Act, the Nuclear Regulatory Commission is authorized and directed 

to use such sums as may be necessary to develop a plan for agency 

response to accidents at a utilization facility licensed under section 103 or 

section 104(b) of the Atomic Energy Act of 1954. The plan required to 

be developed by this section shall be forwarded to the Congress on or 

before September 30, 1980.

Sec. 107. No funds appropriated pursuant to this Act may be used for 

the purpose of providing for the licensing or approval of any disposal of 

nuclear wastes in the oceans.

Sec. 108 (a) of the amounts authorized to be appropriated pursuant to 

this Act, the Nuclear Regulatory Commission is authorized and directed 

Transfers of 

sums.

42 USC 2133.

42 USC 2134.

Regulations.
NRC Authorizations Act, FY 1980 (P.L. 96–295) 779

to use such sums as may be necessary to develop and promulgate 

regulations establishing demographic requirements for the siting of 

utilization facilities. Such regulations shall be promulgated by the 

Commission after notice and opportunity for hearing in accordance with 

section 553 of Title 5 of the United States Code. For purposes of this 

section, the term “utilization facility” means a facility licensed under 

section 103 or 104(b) of the Atomic Energy Act of 1954.

(b) The regulations promulgated pursuant to this section shall provide 

that no construction permit may be issued for a utilization facility to 

which this section applies after the date of such promulgation unless the 

facility complies with the requirements set forth in such regulations, 

except that regulations promulgated under this section shall not apply to 

any facility for which an application for a construction permit was filed 

on or before October 1, 1979.

(c) The regulations promulgated pursuant to this section shall specify 

demographic criteria for facility siting, including maximum population 

density and population distribution for zones surrounding the facility 

without regard to any design, engineering, or other differences among 

such facilities. 

(d) The regulations promulgated pursuant to this section shall take into 

account the feasibility of all actions outside the facility which may be 

necessary to protect public health and safety in the event of any 

accidental release of radioactive material from the facility which may 

endanger public health or safety. For purposes of this subsection, the 

term “accidental release” includes, but is not limited to, each potential 

accidental release of radioactive material which is required by the 

Commission to be taken into account for purposes of facility design.

(e) The Commission shall provide information and 

recommendations to State and local land use planning authorities 

having jurisdiction over the zones established under the regulations 

promulgated pursuant to this section and over areas beyond the zones 

which may be affected by a radiological emergency. The information 

and recommendations provided under this subsection shall be designed 

to assist such authorities in making State and local land use decisions 

which may affect emergency planning in relation to utilization facilities.

(f) Nothing in this section shall be construed to provide that the 

Commission shall have any authority to preempt any State requirement 

relating to land use or respecting the siting of any utilization facility, 

except that no State or local land use or facility siting requirement 

relating to the same aspect of facility siting as a requirement established 

pursuant to this section shall have any force and effort unless such State 

or local requirement is identical to, or more stringent than, the 

requirement promulgated pursuant to this section.

Sec. 109. (a) Funds authorized to be appropriated pursuant to this Act 

may be used by the Nuclear Regulatory Commission to conduct 

proceedings, and take other actions, with respect to the issuance of an 

operating license for a utilization facility only if the Commission 

determines that–

(1) there exists a State or local emergency preparedness plan 

which–

(A) provides for responding to accidents at the facility 

concerned, and

(B) as it applies to the facility concerned only, complies with 

the Commission's guidelines for such plans, or

Notice and 

hearing. 

Utilization 

facility.

42 USC 2133.

42 USC 2134.

Accidental 

release.

Information and 

recommendations.
780 NRC Authorizations Act, FY 1980 (P.L. 96–295)

(2) in the absence of a plan which satisfies the requirements of 

paragraph (1), there exists a State, local, or utility plan which 

provides reasonable assurance that public health and safety is not 

endangered by operation of the facility concerned.

A determination by the Commission under paragraph (1) may be made 

only in consultation with the Director of the Federal Emergency 

Management Agency. If, in any proceeding for the issuance of an 

operating license for a utilization facility to which this subsection 

applies, the Commission determines that there exists a reasonable 

assurance that public health and safety is endangered by operation of the 

facility , the Commission shall identify the risk to public health and 

safety and provide the applicant with a detailed statement of the reasons 

for such 

determination. For purposes of this section, the term “utilization facility”

means a facility required to be licensed under section 103 or 104(b) of 

the Atomic Energy Act of 1954.

(b) of the amounts authorized to be appropriated under section 101(a), 

such sums as may be necessary shall be used by the Nuclear Regulatory 

Commission to–

(1) establish by rule–

(A) standards for State radiological emergency response plans, 

developed in consultation with the Director of the Federal 

Emergency Management Agency, and other appropriate agencies, 

which provide for the response to a radiological emergency 

involving any utilization facility,

(B) a requirement that–

(i) the Commission will issue operating licenses for 

utilization facilities only if the Commission determines that–

(I) there exists a State or local radiological emergency 

response plan which provides for responding to any 

radiological emergency at the facility concerned and which 

complies with the Commission's standards for such plans 

under subparagraph (A), or

(II) in the absence of a plan which satisfies the 

requirements of subclause (I), there exists a State, local, or 

utility plan which provides reasonable assurance that 

public health and safety is not endangered by operation of 

the facility concerned, and

(ii) any determination by the Commission under subclause 

(I) may be made only in consultation with the Director of the 

Federal Emergency Management Agency and other 

appropriate agencies, and

(C) a mechanism to encourage and assist States to comply as 

expeditiously as practicable with the standards promulgated under 

subparagraph (A) of this paragraph,

(2) review all plans and other preparations respecting such an 

emergency which have been made by each State in which there is 

located a utilization facility or in which construction of such a facility 

has been commenced and by each State which may be affected (as 

determined by the Commission) by any such emergency,

(3) assess the adequacy of the plans and other preparations 

reviewed under paragraph (2) and the ability of the States involved to 

carry out emergency evacuations during an emergency referred to in 

paragraph (1) and submit a report of such assessment to the 

Utilization 

facility.

42 USC 2133.

42 USC 2134.

Rules.

Review of 

plans.

Report to 

congressional 

committees.
NRC Authorizations Act, FY 1980 (P.L. 96–295) 781

appropriate committees of the Congress within 6 months of the date 

of the enactment of this Act.

(4) identify which, if any, of the States described in paragraph (2) 

do not have adequate plans and preparations for such an emergency 

and notify the Governor and other appropriate authorities in each 

such State of the respects in which such plans and preparations, if 

any, do not conform to the guidelines promulgated under paragraph 

(1), and

(5) submit a report to Congress containing (A) the results of its 

actions under preceding paragraphs and (B) its recommendations 

respecting any additional Federal statutory authority which the 

Commission deems necessary to provide that adequate plans and 

preparations for such radiological emergencies are in effect for each 

State described in paragraph (2).

(c) In carrying out its review and assessment under subsection (b)(2) 

and (3) and in submitting its report under subsection (a)(5), the 

Commission shall include a review and assessment, with respect to each 

utilization facility and each site for which a construction permit has been 

issued for such a facility, of the emergency response capability of State 

and local authorities and of the owner or operator (or proposed owner or 

operator) of such facility. Such review and assessment shall include a 

determination by the Commission of the maximum zone in the vicinity of 

each such facility for which evacuation of individuals is feasible at 

various different times corresponding to the representative warning times 

for various different types of accidents.

Sec. 110. (a) of the amounts authorized to be appropriated pursuant to 

section 101(a), such sums as may be necessary shall be used by the 

Nuclear Regulatory Commission to develop, submit to the Congress, and 

implement, as soon as practicable after notice and opportunity for public 

comment, a comprehensive plan for the systematic safety evaluation of 

all currently operating utilization facilities required to be licensed under 

section 103 or section 104(b) of the Atomic Energy Act of 1954.

(b) The plan referred to in subsection (a) shall include–

(1) the identification of each current rule and regulation 

compliance with which the Commission specifically determines to be 

of particular significance to the protection of the public health and 

safety;

(2) a determination by the Commission of the extent to which 

each operating facility complies with each rule and regulation 

identified under paragraph (2) of this subsection, including an 

indication of where such compliance was achieved by use of 

Division 1 regulatory guides and staff technical positions and where 

compliance was achieved by equivalent means;

(3) a list of the generic safety issues set forth in NUREG 0410 

(including categories A, B, C, and D) for which technical solutions 

have been developed;

(4) a determination by the Commission of which technical 

solutions for generic safety issues identified in paragraph (3) of this 

subsection should be incorporated into the Commission's rules and 

regulations; and

(5) a schedule for developing a technical solution to those generic 

safety issues listed in NUREG 0410 which have not yet been 

technically resolved.

42 USC 2133.

42 USC 2134.
782 NRC Authorizations Act, FY 1980 (P.L. 96–295)

(c) Not later than 90 days from the date of enactment of this Act, the 

Commission shall report to the Congress on the status of efforts to carry 

out subsection (a).

Title II–Amendments to the Atomic Energy Act of 1954

Sec. 201. (a) Section 103 of the Atomic Energy Act of 1954 is 

amended by adding at the end thereof the following new subsection:

f. Each license issued for a utilization facility under this section or 

section 104b. shall require as a condition thereof that in case of any 

accident which could result in an unplanned release of quantities of 

fission products in excess of allowable limits for normal operation 

established by the Commission, the licensee shall immediately so notify 

the Commission. Violation of the condition prescribed by this subsection 

may, in the Commission's discretion, constitute grounds for license 

revocation. In accordance with section 187 of this Act, the Commission 

shall promptly amend each license for a utilization facility issued under 

this section or section 104b. which is in effect on the date of enactment of 

this subsection to include the provisions required under this subsection.

Sec. 202 (a) Chapter 18 of the Atomic Energy Act of 1954 is 

amended by adding the following new section at the end thereof:

Sec. 235. Protection of Nuclear Inspectors.–

a. Whoever kills any person who performs any inspections which–

(1) are related to any activity or facility licensed by the 

Commission, and

(2) are carried out to satisfy requirements under this Act or under 

any other Federal law governing the safety of utilization facilities 

required to be licensed under section 103 or 104b., or the safety of 

radioactive materials, shall be punished as provided under section 

1111 and 1112 of Title 18, United States Code. The preceding 

sentence shall be applicable only if such person is killed while 

engaged in the performance of such inspection duties or on account of 

the performance of such duties.

b. Whoever forcibly assaults, resists, opposes, impedes, intimidates, 

or interferes with any person who performs inspections as described 

under subsection a. of this section, while such person is engaged in such 

inspection duties or on account of the performance of such duties, shall 

be punished as provided under section 111 of Title 18, United States 

Code.

(b) The table of contents for Chapter 18 of the Atomic Energy Act of 

1954 is amended by adding the following new item at the end thereof:

Sec. 235. Protection of nuclear inspectors.

Sec. 203. Section 223 of the Atomic Energy Act of 1954 is amended 

by striking out “Whoever” and substituting:

“a. Whoever”

and by adding at the end thereof the following:

b. Any individual director, officer, or employee of a firm constructing, or 

supplying the components of any utilization facility required to be 

licensed under section 103 or 104 b. of this Act who by act or omission, 

in connection with such construction or supply, knowingly and willfully 

violates or causes to be violated, any section of this Act, any rule, 

regulation, or order issued thereunder, or any license condition, which 

violation results, or if undetected could have resulted, in a significant 

impairment of a basic component of such a facility shall, upon 

conviction, be subject to a fine of not more than $25,000 for each day of 

42 USC 2133.

42 USC 2134.

42 USC 2237.

42 USC 2283.

42 USC 2133.

42 USC 2134.

42 USC 2273.
NRC Authorizations Act, FY 1980 (P.L. 96–295) 783

violation, or to imprisonment not to exceed two years, or both. If the 

conviction is for a violation committed after a first conviction under this 

subsection, punishment shall be a fine of not more than $50,000 per day 

of violation, or imprisonment for not more than two years, or both. 

For the purposes of this subsection, the term `basic component' means a 

facility structure, system, component or part thereof necessary to assure–

(1) the integrity of the reactor coolant pressure boundary,

(2) the capability to shut–down the facility and maintain it in a 

safe shut–down condition, or

(3) the capability to prevent or mitigate the consequences of 

accidents which could result in an unplanned offsite release of 

quantities of fission products in excess of the limits established by the 

Commission.

The provisions of this subsection shall be prominently posted at each site 

where a utilization facility required to be licensed under section 103 or 

104b. of this Act is under construction and on the premises of each plant 

where components for such a facility are fabricated.

Sec. 204. (a) The Atomic Energy Act of 1954 is amended by adding 

the following new section after section 234:

Sec. 236. Sabotage of Nuclear Facilities or Fuel.–

Any person who intentionally and willfully destroys or causes 

physical damage to, or who intentionally and willfully attempts to 

destroy or cause physical damage to–

(1) any production facility or utilization facility licensed under 

this Act,

(2) any nuclear waste storage facility licensed under this Act,

(3) any nuclear fuel for such a utilization facility, or any spent 

nuclear fuel from such a facility,

shall be fined not more than $10,000 or imprisoned for not more than 

ten years, or both.

(b) The table of contents for such Act is amended by inserting the 

following new item after the item relating to section 234:

Sec. 236. Sabotage of nuclear facilities or fuel.

Sec. 205. Section 274j. of the Atomic Energy Act of 1954 is amended 

by inserting “(1)” after “j.” and by adding the following at the end 

thereof:

(2) The Commission, upon its own motion or upon request of the 

Governor of any State, may, after notifying the Governor, temporarily 

suspend all or part of its agreement with the State without notice or 

hearing if, in the judgment of the Commission:

(A) an emergency situation exists with respect to any material 

covered by such an agreement creating danger which requires 

immediate action to protect the health or safety of persons either 

within or outside the State, and

(B) the State has failed to take steps necessary to contain or 

eliminate the cause of the danger within a reasonable time after 

the situation arose.

A temporary suspension under this paragraph shall remain in effect 

only for such time as the emergency situation exists and shall authorize 

the Commission to exercise its authority only to the extent necessary to 

contain or eliminate the danger.

Sec. 206. The first sentence of section 234a. of the Atomic Energy 

Act of 1954 is amended by striking all that follows “exceed” the first 

time it appears and inserting in lieu thereof the following: $100,000 for 

each such violation.

Basic 

component.

42 USC 2133.

42 USC 2134.

42 USC 2284.

42USC 2021.

42 USC 2282.
784 NRC Authorizations Act, FY 1980 (P.L. 96–295)

Sec. 207 (a)(1) The Atomic Energy Act of 1954 is amended by 

inserting the following new section immediately after section 146:

Sec. 147. Safeguards Information.–

a. In addition to any other authority or requirement regarding 

protection from disclosure of information, and subject to subsection 

(b)(3) of section 552 of Title 5 of the United States Code, the 

Commission shall prescribe such regulations, after notice and 

opportunity for public comment, or issue such orders, as necessary to 

prohibit the unauthorized disclosure of safeguards information which 

specifically identifies a licensee's or applicant's detailed–

(1) control and accounting procedures or security measures 

(including security plans, procedures, and equipment) for the physical 

protection of special nuclear material, by whomever possessed, 

whether in transit or at fixed sites, in quantities determined by the 

Commission to be significant to the public health and safety or the 

common defense and security;

(2) security measures (including security plans, procedures, and 

equipment) for the physical protection of source material or 

byproduct material, by whomever possessed, whether in transit or at 

fixed sites, in quantities determined by the Commission to be 

significant to the public health and safety or the common defense and 

security; or

(3) security measures (including security plans, procedures, and 

equipment) for the physical protection of and the location of certain 

plant equipment vital to the safety of production or utilization 

facilities involving nuclear materials covered by paragraphs (1) and 

(2)

if the unauthorized disclosure of such information could reasonably be 

expected to have a significant adverse effect on the health and safety of 

the public or the common defense and security by significantly 

increasing the likelihood of theft, diversion, or sabotage of such material 

or such facility. The Commission shall exercise the authority of this 

subsection–

(A) so as to apply the minimum restrictions needed to protect 

the health and safety of the public or the common defense and 

security, and

(B) upon a determination that the unauthorized disclosure of 

such information could reasonably be expected to have a 

significant adverse effect on the health and safety of the public or 

the common defense and security by significantly increasing the 

likelihood of theft, diversion, or sabotage of such material or such 

facility.

Nothing in this Act shall authorize the Commission to prohibit the public 

disclosure of information pertaining to the routes and quantities of 

shipments of source material, by–product material, high level nuclear 

waste, or irradiated nuclear reactor fuel. Any person, whether or not a 

licensee of the Commission, who violates any regulation adopted under 

this section shall be subject to the civil monetary penalties of section 234 

of this Act. Nothing in this section shall be construed to authorize the 

withholding of information from the duly authorized committees of the 

Congress.

b. For the purposes of section 223 of this Act, any regulations or 

orders prescribed or issued by the Commission under this section shall 

also be deemed to be prescribed or issued under section 161b. of this Act.

42 USC 2167.

Regulations.

42 USC 2282.

42 USC 2273.
NRC Authorizations Act, FY 1980 (P.L. 96–295) 785

c. Any determination by the Commission concerning the applicability 

of this section shall be subject to judicial review pursuant to sub–section 

(a)(4)(B) of section 552 of Title 5 of the United States Code.

d. Upon prescribing or issuing any regulation or order under 

subsection a. of this section, the Commission shall submit to Congress a 

report that:

(1) specifically identifies the type of information the Commission 

intends to protect from disclosure under the regulation or order;

(2) specifically states the Commission's justification for 

determining that unauthorized disclosure of the information to be 

protected from disclosure under the regulation or order could 

reasonably be expected to have a significant adverse effect on the 

health and safety of the public or the common defense and security by 

significantly increasing the likelihood of theft, diversion, or sabotage 

of such material or such facility, as specified under subsection (a) of 

this section; and

(3) provides justification, including proposed alternative 

regulations or orders, that the regulation or order applies only the 

minimum restrictions needed to protect the health and safety of the 

public or the common defense and security.

e. In addition to the reports required under subsection d. of this 

section, the Commission shall submit to Congress on a quarterly basis a 

report detailing the Commission's application during that period of every 

regulation or order prescribed or issued under this section. In particular, 

the report shall:

(1) identify any information protected from disclosure pursuant to 

such regulation or order;

(2) specifically state the Commission's justification for 

determining that unauthorized disclosure of the information protected 

from disclosure under such regulation or order could reasonably be 

expected to have a significant adverse effect on the health and safety 

of the public or the common defense and security by significantly 

increasing the likelihood of theft, diversion or sabotage of such 

material or such facility, as specified under subsection a. of this 

section; and

(3) provide justification that the Commission has applied such 

regulation or order so as to protect from disclosure only the minimum 

amount of information necessary to protect the health and safety of 

the public or the common defense and security.

(2) The table of contents for such Act is amended by inserting the 

following new item after the item relating to section 146:

“Sec. 147. Safeguards Information.”

(b) Section 181 of the Atomic Energy Act of 1954 is amended–

(1) by striking out “or defense information” the first time it 

appears and substituting “, defense information, or safeguards 

information protected from disclosure under the authority of section 

147”; and

(2) by striking out “or defense information” in each other place it 

appears in such section and substituting “, defense information, or 

such safeguards information,”.

42 USC 2231.
786 NRC Authorizations Act, FY 1980 (P.L. 96–295)

Title III–Other Provisions

Sec. 301. (a) The Nuclear Regulatory Commission, within 90 days of 

enactment of this Act, shall promulgate regulations providing for timely 

notification to the Governor of any State prior to the transport of nuclear 

waste, including spent nuclear fuel, to, through, or across the boundaries 

of such State. Such notification requirement shall not apply to nuclear 

waste in such quantities and of such types as the Commission specifically 

determines do not pose a potentially significant hazard to the health and 

safety of the public.

(b) As used in this section, the term “State” includes the several 

States of the Union, the District of Columbia, the Commonwealth of 

Puerto Rico, the Virgin Islands, Guam, American Samoa, the Trust 

Territory of the Pacific Islands, and the Commonwealth of the Northern 

Mariana Islands.

Sec. 302. The Nuclear Regulatory Commission is authorized and 

directed to enter into a contract for an independent review of the 

Commission's management structure, processes, procedures, and 

operations. The review shall include an assessment of the effectiveness of 

all levels of agency management in carrying out the Commission's 

statutory responsibilities, in developing and implementing policies and 

programs, and in using the personnel and funding available to it. The 

contract shall provide for submission of a report of the findings and 

recommendations of the review to the Commission not later than one 

year from the date of enactment of this Act, and the Commission shall 

promptly transmit such report to the Congress.

Sec. 303. The Nuclear Regulatory Commission shall include in its 

annual report to Congress under section 251 of the Atomic Energy Act of 

1954 a statement of–

(1) the direct and indirect costs to the Commission for the 

issuance of any license or permit and for the inspection of any 

facility; and

(2) the fees paid to the Commission for the issuance of any license 

or permit and for the inspection of any facility.

Sec. 304. On or before September 30, 1980, the President shall 

prepare and publish a National Contingency Plan to provide for 

expeditious, efficient, and coordinated action by appropriate Federal 

agencies to protect the public health and safety in the case of accidents at 

any utilization facility licensed under section 103 or 104b. of the Atomic 

Energy Act of 1954.

Sec. 305. (a) As expeditiously as practicable, the Nuclear Regulatory 

Commission shall establish a mechanism for instantaneous and 

uninterrupted verbal communication between each utilization facility 

licensed to operate under section 103 or 104b. of the Atomic Energy Act 

of 1954 on the date of enactment of this Act, or thereafter, and

(1) Commission headquarters, and

(2) the appropriate Commission regional Office.

(b) Within ninety days after the date of the enactment of this Act, the 

Commission shall prepare and transmit to the Congress a study of 

alternate plans for instantaneous and otherwise timely transmission to the 

Commission of data indicating the status of principal system parameters 

at utilization facilities licensed to operate under section 103 or section 

104 b. of the Atomic Energy Act of 1954. For each alternative, the study 

shall present procedures for transmitting and analyzing such data and a 

42 USC 5841 

note.

Regulations.

State.

42 USC 2016 

note. 

Contract 

authorization.

Report.

42 USC 2016.

National 

Contingency 

Plan, 

publication.

42 USC 2133.

42 USC 2134.

42 USC 5842 

note.

Study, 

transmittal to 

Congress.
NRC Authorizations Act, FY 1980 (P.L. 96–295) 787

Commission statement regarding the advantages, disadvantages and 

desirability.

Sec. 306. (a) The Nuclear Regulatory Commission is authorized and 

directed to undertake a comprehensive investigation and study of the 

impediments to expeditious and reliable communication among 

Commission headquarters, the Commission regional Office, Commission 

representatives at the facility site, senior management officials and 

operator personnel of the licensee, and the Governor of Pennsylvania and 

other State officials, in the thirty day period immediately following the 

accident of March 28, 1979, at unit two of the Three Mile Island Nuclear 

Station in Pennsylvania. Such investigation and study shall include, but 

not be limited to, a determination of the need for improved 

communications procedures and the need for advanced communications 

technology.

(b) The Commission shall report to the Congress by September 30, 

1980, on the findings of the investigation and study required by sub–

section (a), including recommendations on administrative or legislative 

measures necessary to facilitate expeditious and reliable communications 

in case of an accident which could result in an unplanned release of 

quantities of fission products in excess of the allowable limits for normal 

operation established by the Commission at a utilization facility licensed 

under sect ion 103 or 104 b. of the Atomic Energy Act of 1954. 

The Commission shall implement, as soon as practicable, each such 

recommendation not requiring legislative enactment, and shall 

incorporate the recommendation in the plan for agency response 

promulgated pursuant to section 304 of this Act.

Sec. 307. (a) The Commission is authorized and directed to prepare a 

plan for improving the technical capability of licensee personnel to safely 

operate utilization facilities licensed under section 103 or 104 b. of the 

Atomic Energy Act of 1954. In proposing such plan, the Commission 

shall consider the feasibility of requiring standard mandatory training 

programs for nuclear facility operators, including classroom study, 

apprenticeships at the facility, and emergency simulator training. Such 

plan shall include specific criteria for more intensive training and 

retraining of operator personnel licensed under section 107 of the Atomic 

Energy Act of 1954, and for the licensing of such personnel, to assure–

(1) conformity with all conditions and requirements of the 

operating license;

(2) early identification of accidents, events, or event sequences 

which may significantly increase the likelihood of an accident; and

(3) effective response to any such event or sequence. Such plan 

shall include provision for Commission review and approval of the 

qualifications of personnel conducting any required training and 

retraining program. The plan shall also include requirements for the 

renewal of operator licenses including, to the extent practicable, 

requirements that the operator–

(A) has been actively and extensively engaged in the duties 

listed in such license,

(B) has discharged such duties safely to the satisfaction of the 

Commission,

(C) is capable of continuing such duties, and

(D) has participated in a requalification training program.

Such plan shall include criteria for suspending or revoking operator 

licenses. In addition, the Commission shall also consider the feasibility of 

Investigation 

and study.

42 USC 2133.

42 USC 2134.

Plan, 

development.

Report to 

Congress.

42 USC 2137 

note.

42 USC 2137.

Plan, 

transmittal to 

Congress.
788 NRC Authorizations Act, FY 1980 (P.L. 96–295)

requiring such licensed operator to pass a requalification test every six 

months including–

(i) written questions, and

(ii) emergency simulator exams.

The Commission shall transmit to the Congress the plan required by this 

subsection within six months after the date of the enactment o this Act, 

and shall implement as expeditiously as practicable each element thereof 

not requiring legislative enactment.

(b) The Nuclear Regulatory Commission is authorized and directed to 

undertake a study of the feasibility and value of licensing, under section 

107 of the Atomic Energy Act of 1954, plant managers of utilization 

facilities and senior licensee officers responsible for operation of such 

facilities.

The Commission shall report to the Congress within six months of the 

date of enactment of this Act on the findings and recommendations of the 

study required by this subsection, and shall expeditiously implement each 

such recommendation not requiring legislative enactment.

Sec. 308. (a) In the conduct of the study required by section 5(d) of 

the Nuclear Regulatory Commission Authorization Act for Fiscal Year 

1979 (Public Law 95–601), the Nuclear Regulatory Commission and the 

Environmental Protection Agency, in consultation with the Secretary of 

Health and Human Services, shall evaluate the feasibility of 

epidemiological research on the health effects of low–level ionizing 

radiation exposure to licensee, contractor, and subcontractor employees 

as a result of–

(1) the accident of March 28, 1979, at unit two of the Three Mile 

Island Nuclear Station in Pennsylvania;

(2) efforts to stabilize such facility or reduce or prevent 

radioactive unplanned offsite releases in excess of allowable limits 

for normal operation established by the Commission; or

(3) efforts to decontaminate, decommission, or repair such 

facility.

The report required by such section 5(d) shall include the results of the 

evaluation required under this subsection.

(b) Section 5(d) of the Nuclear Regulatory Commission 

Authorization Act for Fiscal Year 1979 (Public Law 95–601), is 

amended by striking “September 30, 1979” and inserting in lieu thereof 

“September 30, 1980”.

42 USC 2137.

Report to 

Congress 

Study.

42 USC 2051 

note.

42 USC 2051 

note.
NRC Authorizations Act, FY 1979 (P.L. 95–601) 789

D. NRC AUTHORIZATION ACT FOR FISCAL YEAR 1979

Public Law 95–601 92 Stat. 2947

November 6, 1978

An Act

To authorize appropriations to the Nuclear Regulatory Commission for 

fiscal year 1979, and for other purposes.

Be it enacted by the Senate and House of Representatives of the 

United States of America in Congress assembled,

Sec. 1. (a) There is hereby authorized to be appropriated to the 

Nuclear Regulatory Commission in accordance with the provisions of 

section 261 of the Atomic Energy Act of 1954, as amended (42 USC 

2017), and section 305 of the Energy Reorganization Act of 1974, as 

amended (42 USC 5875), for the fiscal year 1979, to remain available 

until expended $333,007,000. of such total amount authorized to be 

appropriated:

(1) Not more than $47,162,000 may be used for “Nuclear Reactor 

Regulation”; of the total amount appropriated for this purpose, 

$2,080,000 shall be available for Advanced Reactors;

(2) Not more than $38,760,000 may be used for “Inspection and 

Enforcement”;

(3) Not more than $14,945,000 may be used for “Standards 

Development”; of the total amount appropriated for this purpose, 

$650,000 shall be available for Low–Level Radiation activities, 

including those described in section 5 of this Act;

(4) Not more than $27,240,000 may be used for “Nuclear Material 

Safety and Safeguards”; of the total amount appropriated for this 

purpose, $8,127,000 shall be available for Nuclear Waste Disposal 

and Management activities;

(5) Not more than $163,470,000 may be used for “Nuclear 

Regulatory Research”; of the total amount appropriated for this 

purpose, $1,500,000 shall be available for the implementation of the 

Improved Safety Systems Research plan required by section 205(f) of 

the Energy Reorganization Act of 1974, as amended, $4,448,000 shall 

be available for Nuclear Waste research activities, and $18,333,000 

shall be available for Advanced Reactor Research, including an 

authorization of $3,900,000 to accelerate the effort in gas–cooled 

thermal reactor safety research.

(6) Not more than $13,480,000 may be used for “Program 

Technical Support”;

(7) Not more than $27,950,000 may be used for “Program 

Direction and Administration”; of the total amount appropriated for 

this purpose, $225,000 shall be available for equal employment 

opportunity activities, including support of four positions in the 

Office of Equal Employment Opportunity.

(b)(1) Not more than $14,285,000 of the aggregate amount authorized 

to be appropriated under paragraphs (1) through (7) of subsection (a) 

may be used for contracts encompassing research, studies, and 

technical assistance on domestic safeguards matters.

Nuclear 

Regulatory 

Commission.

Appropriation 

authorization, 

1978.

42 USC 5845.

Safeguard 

research 

contracts, 

limitation.
790 NRC Authorizations Act, FY 1979 (P.L. 95–601)

(2) of the aggregate amount authorized to be appropriated under 

paragraphs (1) through (7) of subsection (a), $1,000,000 shall be 

available for studies and analysis of alternative fuel cycles (including 

studies and analysis relating to licensing and safety, safeguards, and 

environmental aspects).

(c)(1) No amount appropriated pursuant to subsection (a) for purposes 

of subparagraphs (1) through (7) of such subsection, may be used for 

any function of the Commission in excess of the amount expressly 

authorized to be appropriated for functions referred to in such 

paragraphs, if such excess amount is in excess of $500,000, nor may 

the amount available from any appropriation for any function referred 

to in subparagraphs be reduced by more than $500,000 unless

(i) a period of thirty calendar days (not including any day in 

which either House of Congress is not in session because of an 

adjournment of more than three calendar days to a day certain or 

an adjournment sine die) has passed after the receipt by the 

Committee on Interstate and Foreign Commerce and the 

Committee on Interior and Insular Affairs of the House of 

Representatives and the Committee on Environment and Public 

Works of the Senate of notice given by the Commission 

containing a full and complete statement of the action proposed to 

be taken and the facts and circumstances relied upon in support of 

such proposed action, or

(ii) each such committee before the expiration of such period 

has transmitted to the Commission, written notice stating in 

substance that such committee has no objection to the proposed 

action.

(2) of the amounts authorized to be appropriated for the purposes 

set forth in paragraphs (1) through (7) of subsection (a) of this 

section, the amounts available for Advanced Reactors, Low–Level 

Radiation, Nuclear Waste Disposal and Management, Improved 

Safety Systems, Research, and Nuclear Waste Research, or that 

specified in sub–section (b)(2) of this section for Alternative Fuel 

Cycle activities shall not be reprogrammed, unless–

(i) a period of ninety calendar days (not including any day in 

which either House of Congress is not in session because of an 

adjournment of more than three calendar days to a day certain or 

an adjournment sine die) has passed after the receipt by the 

Committee on Interior and Insular Affairs and the Committee on 

Interstate and Foreign Commerce of the House of representatives 

and the Committee on Environment and Public Works of the 

Senate of notice given by the Commission containing a full and 

complete statement of the action proposed to be taken and the 

facts and circumstances relied upon in support of such proposed 

action, or

(ii) each such committee before the expiration of such period 

has transmitted to the Commission, written notice stating in 

substance that such committee has no objection to the proposed 

action.

(d) No amount authorized to be appropriated by this Act may be used 

by the Commission to enter into any contract, providing funds in excess 

of $20,000 encompassing research, study, or technical assistance on 

domestic safeguards matters except as directed by the Commission, by 

majority vote, following receipt by the Commission of a recommendation 

Safeguard 

research 

contracts, 

limitation.
NRC Authorizations Act, FY 1979 (P.L. 95–601) 791

from the Executive Director for Operations supporting the need for such 

contract.

Sec. 2. Moneys received by the Commission for the cooperative 

nuclear 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 USC 484), and shall remain 

available until expended.

Sec. 3. Transfers of sums from salaries and expenses may be made to 

other agencies of the Government for the performance of the work for 

which the appropriation is made, and in such cases the sums so 

transferred may be merged with the appropriation to which transferred.

Sec. 4. (a) Subsection (b) of section 209 of the Energy Reorganization 

Act of 1974, as amended, is amended by adding at the end thereof the 

following sentence: “Notwithstanding the preceding sentence, each such 

director shall keep the Executive Director fully and currently informed 

concerning the content of all such direct communications with the 

Commission.”

(b) Section 209 of the Energy Reorganization Act of 1974, as 

amended, is amended by adding a new subsection (c) to read as follows 

and redesignating existing subsection (c) accordingly:

(c) The Executive Director shall report to the Commission at semi–

annual public meetings on the problems, progress, and status of the 

Commission's equal employment opportunity efforts.”

Sec. 5. (a) The Commission and the Environmental Protection 

Agency in consultation with the Secretary of Health, Education, and 

Welfare, are authorized and directed to conduct preliminary planning and 

design studies for epidemiological research on the health effects of low–

level ionizing radiation. In the conduct of such studies, the Commission 

and the Environmental Protection Agency shall consult with appropriate 

scientific organizations and Federal and State agencies.

(b) Within thirty days after the date of enactment of this section, the 

Commission and the Environmental Protection Agency shall submit to 

the Congress a memorandum of understanding to delineate their 

responsibilities in the conduct of the planning studies authorized by 

subsection (a) of this section.

(c) On or before April 1, 1979, the Commission and the 

Environmental Protection Agency shall submit a report to the Congress 

containing an assessment of the capabilities and research needs of such 

agencies in the area of health effects of low–level ionizing radiation.

(d) On or before September 30, 1979, the Commission and the 

Environmental Protection Agency, in consultation with the Secretary of 

Health, Education, and Welfare, shall submit a report to the Congress 

which includes a study of options for Federal epidemiological research 

on the health effects of low–level ionizing radiations, with evaluations of 

the feasibility of such options. Such report shall be consistent with the 

findings of the assessment required by subsection (c) of this section.

(e) In carrying out the activities specified in subsections (c) and (d) 

such agencies shall:

(i) cooperate with appropriate scientific organizations and 

agencies involved in related research, and

(ii) furnish copies of the reports required by those subsections to 

the organizations and agencies referred to in subsection (e)(i).

Sec. 6. Section 209 of the Energy Reorganization Act of 1974 is 

amended by adding the following new subsection at the end thereof:

Funds, 

transfers.

42 USC 5849.

Equal 

employment 

opportunity, 

report.

42 USC 2051 

note.

Radiation, 

health effects 

studies, 

consultation.

Memorandum, 

submittal to 

Congress.

Reports to 

Congress, 

consultations.

Cooperation.

Copies.

Annual status 

report.
792 NRC Authorizations Act, FY 1979 (P.L. 95–601)

(d) The Executive Director shall prepare and forward to the Commission 

an annual report (for the fiscal year 1978 and each succeeding fiscal 

year) on the status of the Commission's programs concerning domestic 

safeguards matters including an assessment of the effectiveness and 

adequacy of safeguards at facilities and activities licensed by the 

Commission. The Commission shall forward to the Congress a report 

under this section prior to February 1, 1979, as a separate document, and 

prior to February 1 of each succeeding year as a separate chapter of the 

Commission's annual report (required under section 307(c) of the Energy 

Reorganization Act of 1974) following the fiscal year to which such 

report applies.

Sec. 7. The Commission is authorized and directed to undertake a 

comprehensive review of the existing process for selection and training 

of members of the Atomic Safety and Licensing Boards, including, but 

not limited to, the selection criteria, including qualifications, the selection 

procedures, and the training programs for Board members. The 

Commission shall report to the Congress on the findings of such review 

by January 1, 1979, and shall revise such selection and training process 

as appropriate, based on such findings.

Sec. 8 (a) Chapter 14 of the Atomic Energy Act of 1954 is amended 

by adding the following new section at the end thereof:

Sec. 170A. Conflicts of Interest Relating to Contracts and Other 

Arrangements.–

a. The Commission shall, by rule, require any person 

proposing to enter into a contract, agreement, or other 

arrangement, whether by competitive bid or negotiation, under 

this Act or any other law administered by it for the conduct of 

research, development, evaluation activities, or for technical and 

management support services, to provide the Commission, prior 

to entering into any such contract, agreement, or arrangement, 

with all relevant information, as determined by the Commission, 

bearing on whether that person has a possible conflict of interest 

with respect to–

(1) being able to render impartial, technically sound, or 

objective assistance or advice in light of other activities or 

relationships with other persons, or

(2) being given an unfair competitive advantage. Such 

person shall insure, in accordance with regulations prescribed 

by the Commission, compliance with this section by any 

subcontractor (other than a supply subcontractor) of such 

person in the case of any subcontract for more than $10,000.

b. The Commission shall not enter into any such contract 

agreement or arrangement unless it finds, after evaluating all 

information provided under subsection a. and any other 

information otherwise available to the Commission that–

(1) it is unlikely that a conflict of interest would exist, or

(2) such conflict has been avoided after appropriate 

conditions have been included in such contract, agreement, or 

arrangement; except that if the Commission determines that 

such conflict of interest exists and that such conflict of interest 

cannot be avoided by including appropriate conditions therein, 

the Commission may enter into such contract, agreement, or 

arrangement, if the Commission determines that it is in the 

best interests of the United States to do so and includes 

42 USC 5841 

note.

Review.

Report to 

Congress.

Report to 

Congress.

42 USC 2210a.

Disclosure 

rules.
NRC Authorizations Act, FY 1979 (P.L. 95–601) 793

appropriate conditions in such contract, agreement, or 

arrangement to mitigate such conflict.

c. The Commission shall publish rules for the implementation 

of this section, in accordance with section 553 of Title 5, United 

States Code (without regard to subsection (a)(2) thereof) as soon 

as practicable after the date of the enactment of this section, but in 

no event later than 120 days after such date.

(b) The table of contents for such Chapter 14 is amended by adding 

the following new item at the end thereof:

Sec. 170A. Conflicts of interest relating to contracts and other 

arrangements.

Sec. 9. The Commission shall monitor and assist, as requested, the 

International Fuel Cycle Evaluation and the studies and evaluations of 

the various nuclear fuel cycle systems by the Department of Energy in 

progress as of the date of enactment, and report to the Congress 

semiannually through calendar year 1980 and annually through calendar 

year 1982 on the status of domestic and international evaluations of 

nuclear fuel cycle systems. This report shall include, but not be limited 

to, a summary of the information developed by and available to the 

Commission on the health, safety and safeguards implications of the 

leading fuel cycle technologies.

Sec. 10. Title II of the Energy Reorganization Act of 1974, as 

amended, is amended by adding at the end thereof a new section to read 

as follows:

Employee Protection

Sec. 210. (a) No employer, including a Commission licensee, an 

applicant for a Commission license, or a contractor or a subcontractor of 

a Commission licensee or applicant, may discharge any employee or 

otherwise discriminate against any employee with respect to his 

compensation, terms, conditions, or privileges of employment because 

the employee (or any person acting pursuant to a request of the 

employee)–

(1) commenced, caused to be commenced, or is about to 

commence or cause to be commenced a proceeding under this Act or 

the Atomic Energy Act of 1954, as amended, or a proceeding for the 

administration or enforcement of any requirement imposed under this 

act or the Atomic Energy Act of 1954, as amended;

(2) testified or is about to testify in any such proceeding or;

(3) assisted or participated or is about to assist or participate in 

any manner in such a proceeding or in any other manner in such a 

proceeding or in any other action to carry out the purposes of this Act 

or the Atomic Energy Act of 1954, as amended.

(b)(1) Any employee who believes that he has been discharged or 

otherwise discriminated against by any person in violation of subsection 

(a) may, within thirty days after such violation occurs, file (or have any 

person file on his behalf) a complaint with the Secretary of Labor 

(hereinafter in this subsection referred to as the `Secretary') alleging such 

discharge or discrimination. Upon receipt of such a complaint, the 

Secretary shall notify the person named in the complaint of the filing of 

the complaint and the Commission.

Publication.

42 USC 2153 

note.

Monitoring and 

assistance, 

reports to 

Congress.

42 USC 5851.

42 USC 2011 

note.

Complaint, 

filing and 

notification.
794 NRC Authorizations Act, FY 1979 (P.L. 95–601)

(2)(A) Upon receipt of a complaint filed under paragraph (1), the 

Secretary shall conduct an investigation of the violation alleged in the 

complaint. Within thirty days of the receipt of such complaint, the 

Secretary shall complete such investigation and shall notify in writing the 

complainant(any person acting in his behalf) and the person alleged to 

have committed such violation of the results of the investigation 

conducted pursuant to this subparagraph. Within ninety days of the 

receipt of such complaint the Secretary shall, unless the proceeding on 

the complaint is terminated by the Secretary on the basis of a settlement 

entered into by the Secretary and the person alleged to have committed 

such violation, issue an order either providing the relief prescribed by 

subparagraph (B) or denying the complaint. An order of the Secretary 

shall be made on the record after notice and opportunity for public 

hearing. The Secretary may not enter into a settlement terminating a 

proceeding on a complaint without the participation and consent of the 

complainant.

(B) If, in response to a complaint filed under paragraph (1), 

the Secretary determines that a violation of subsection (a) has 

occurred, the Secretary shall order the person who committed such 

violation to (i) take affirmative action to abate the violation, and (ii) 

reinstate the complainant to his former position together with the 

compensation (including back pay), terms, conditions, and privileges 

of his employment, and the Secretary may order such person to 

provide compensatory damages to the complainant. If an order is 

issued under this paragraph, the Secretary, at the request of the 

complainant shall assess against the person against whom the order is 

issued a sum equal to the aggregate amount of all costs and expenses 

(including attorneys' and expert witness fees) reasonably incurred, as 

determined by the Secretary, by the complainant for, or in connection 

with, the bringing of the complaint upon which the order was issued. 

(c)(1) Any person adversely affected or aggrieved by an order issued 

under subsection (b) may obtain review of the order in the United States 

court of appeals for the circuit in which the violation, with respect to 

which order was issued, allegedly occurred. The petition for review must 

be filed within sixty days from the issuance of the Secretary's order. 

Review shall conform to Chapter 7 of Title 5 of the United States Code. 

The commencement of proceedings under this subparagraph shall not, 

unless ordered by the court, operate as a stay of the Secretary's order. (2) 

An order of the Secretary with respect to which review could have been 

obtained under paragraph (1) shall not be subject to judicial review in 

any criminal or other civil proceeding.

(d) Whenever a person has failed to comply with an order issued 

under subsection (b)(2), the Secretary may file a civil action in the United 

States district court for the district in which the violation was found to 

occur to enforce such order. In actions brought under this subsection, the 

district courts shall have jurisdiction to grant all appropriate relief, 

including, but not limited to, injunctive relief, compensatory, and 

exemplary damages.

(e)(1) Any person on whose, behalf an order was issued under 

paragraph (2) of subsection (b) may commence a civil action against 

the person to whom such order was issued to require compliance with 

such order. The appropriate United States district court shall have 

jurisdiction, without regard to the amount in controversy or the 

citizenship of the parties, to enforce such order.

Investigation 

and 

notification.

Relief.

Notice and 

hearing 

Settlement.

Order.

Review.

5 USC 701 et 

seq.

Jurisdiction.
NRC Authorizations Act, FY 1979 (P.L. 95–601) 795

(2) The court, in issuing any final order under this subsection, 

may award costs of litigation (including reasonable attorney and 

expert witness fees) to any party whenever the court determines such 

award is appropriate.

(f) Any nondiscretionary duty imposed by this section shall be 

enforceable in a mandamus proceeding brought under section 1361 of 

Title 28 of the United States Code.

(g) Subsection (a) shall not apply with respect to any employee who, 

acting without direction from his or her employer (or the employer's 

agent), deliberately causes a violation of any requirements of this Act or 

of the Atomic Energy Act of 1954, as amended.

Sec. 11. The Commission shall report to the Congress on January 1, 

1979, and annually thereafter on the use of contractors, consultants, and 

the National Laboratories by the Commission. Such report shall include, 

for each contract issued, in progress or completed during fiscal year 

1978, information on the bidding procedure, nature of the work, amount 

and duration of the contract, progress of work, relation to previous 

contracts, and the relation between the amount of the contract and the 

amount actually spent.

Sec. 12. (a) The Commission, in cooperation with the Department of 

Energy, is authorized and directed to conduct a study of extending the 

Commission's licensing or regulatory authority to include categories of 

existing and future Federal radioactive waste storage and disposal 

activities not presently subject to such authority.

(b) Each Federal agency, subject to the provisions of existing law, 

shall cooperate with the Commission in the conduct of the study. Such 

cooperation shall include providing access to existing facilities and sites 

and providing any information needed to conduct the study which the 

agency may have or be reasonably able to acquire.

(c) On or before March 1, 1979, the Commission shall submit a report 

to the Congress containing the results of the study, the Report shall 

include a complete listing and inventory of all radioactive waste storage 

and disposal activities now being conducted or planned by Federal 

agencies.

Sec. 13. Notwithstanding any other provision of this Act, no authority 

to make payments under this Act shall be effective except to such extent 

or in such amounts as are provided in advance in appropriation Acts.

Sec. 14. (a) Any person, agency, or other entity proposing to develop 

a storage or disposal facility, including a test disposal facility, for high–

level radioactive wastes, non–high–level radioactive wastes including 

transuranium contaminated wastes, or irradiated nuclear reactor fuel, 

shall notify the Commission as early as possible after the commencement 

of planning for a particular proposed facility. The Commission shall in 

turn notify the Governor and the State legislature of the State of proposed 

sites whenever the Commission has knowledge of such proposal.

(b) The Commission is authorized and directed to prepare a report on 

means for improving the opportunities for State participation in the 

process for siting, licensing, and developing nuclear waste storage or 

disposal facilities. Such report shall include detailed consideration of a 

program to provide grants through the Commission to any State, and the 

advisability of such a program, for the purpose of conducting an 

independent State review of any proposal to develop a nuclear waste 

storage or disposal facility identified in subsection (a) within such State.

Litigative costs.

42 USC 2011 

note.

42 USC 2205a.

Report to 

Congress.

42 USC 5842 

note.

Authority 

extension, 

study.

Cooperation.

Report to 

Congress.

42 USC 2021a.

Waste storage 

or disposal 

facility 

planning, 

notification.

State 

participation 

report.
796 NRC Authorizations Act, FY 1979 (P.L. 95–601)

On or before March 1, 1979, the Commission shall submit the report to 

the Congress including recommendations for improving the 

opportunities for State participation together with any necessary 

legislative proposals.

State 

participation, 

report.

Submittal with 

legislative 

recommendations 

to Congress.
NRC Authorizations Act, FY 1978 (P.L. 95–209) 797

E. NRC AUTHORIZATION ACT FOR FISCAL YEAR 1978

Public Law 95–209 91 Stat. 1481.

December 13, 1977

An Act

To authorize appropriations for Nuclear Regulatory Commission for the 

fiscal year 1978, and for other purposes.

Be it enacted by the Senate and House of Representatives of the 

United States of America in Congress assembled,

Sec. 1. Authorization

(a) There is authorized to be appropriated to the Nuclear Regulatory 

Commission (hereafter in this act referred to as the “Commission”) to 

carry out its functions and authorities under the Atomic Energy Act of 

1954 (42 USC 2017) and the Energy Reorganization Act of 1974 (42 

USC 5875) for the fiscal year 1978 to remain available until expended 

$297,740,000 to be allocated as follows:

(1) For “Nuclear Reactor Regulation”, not more than 

$41,480,000;

(2) For “Standards Development”, not more than $12,130,000;

(3) For “Inspection and Enforcement”, not more than 

$33,050,000;

(4) For “Nuclear Materials Safety and Safeguards”, not more than 

$22,090,000;

(5) For “Nuclear Regulatory Research”, $148,900,000;

(6) For “Program Technical Support”, 10,180,000; of which an 

amount not to exceed $600,000 is authorized for a fellowship 

program pursuant to section 5 of this Act.

(7) For “Program Direction and Administration”, not more than 

$29,910,000.

(b) of the total amount authorized under section 1(a), the 

Commissioners may, by majority vote, reallocate among program 

activities specified in subsection (a) or pursuant to the authority granted 

in subsection (d) an amount not exceeding $10,000,000 except that the 

amount transferred from any of the major program activities specified in 

subsection (a) shall not exceed 15 per centum of the amount so specified. 

Prior to any reallocation of an amount in accordance with the provisions 

of this subsection, where such amount is in excess of $500,000, the 

Commission shall inform the appropriate congressional committees. 

Such reallocation may be made notwithstanding the limitations of 

subsection (a).

(c) No amount authorized to be appropriated for contracts for 

research, studies, and technical assistance on domestic safeguard matters 

under subsection (a) including any amount reallocated under subsection 

(b) may be used for such contracts and no amount authorized to be 

appropriated under this subsection may be used by the Office of Nuclear 

Regulatory Research for such contracts until a statement supporting the 

need for such research, study, or technical assistance has been prepared 

and published by the Commission.

Nuclear 

Regulatory 

Commission. 

Appropriation

authorization, 

1978.

Reallocation.

Safeguard 

research 

contract 

statement 

publication.
798 NRC Authorizations Act, FY 1978 (P.L. 95–209)

(d) No amount authorized to be appropriated for contracts for 

regulatory research related to advanced reactor safety under this Act may 

be used for such contracts except as directed by the Commission, 

following consideration by the Commission of any recommendation that 

may be made by the ACRS regarding the proposed research.

(e) In the event that the license application is withdrawn or funding 

for the continuation of the Clinch River Breeder Reactor project is not 

authorized or appropriated, the total authorization in subsection (a) shall 

be reduced by $2,700,000.

(f) In the event that further construction of the facility at Barnwell, 

South Carolina, for the purpose of providing plutonium to be used as fuel 

is canceled or deferred, the total authorization in subsection (a) shall be 

reduced by $2,100,000.

Sec. 2. Commission Personnel

Section 201 of Title II of the Energy Reorganization Act of 1974 is 

amended by adding the following new subsection at the end thereof:

(h) The Commission shall prepare and submit to the Congress a 

quarterly report which documents, for grades GS–11 or above:

(1) the number of minority and women candidates hired, by grade 

level;

(2) the number of minority and women employees promoted, by 

grade level;

(3) the procedures followed by the Commission in preparing job 

descriptions, informing potential applicants, and selecting from 

candidates the persons to be employed in positions at grade GS–11 or 

above; and

(4) other steps taken to meet provisions of the Equal Employment 

Act.

The first quarterly report shall be submitted to the Congress not later 

than January 31, 1978, and subsequent reports shall be submitted prior to 

the end of one calendar month after the end of each calendar quarter 

thereafter.

Sec. 3. Unresolved Safety Issues

Title II of the Energy Reorganization Act of 1974, is amended by 

adding the following new section at the end thereof:

UNRESOLVED SAFETY ISSUES PLAN

Sec. 210. The Commission shall develop a plan providing for the 

specification and analysis of unresolved safety issues relating to nuclear 

reactors and shall take such action as may be necessary to implement 

corrective measures with respect to such issues. Such plan shall be 

submitted to the Congress on or before January 1, 1978 and progress 

reports shall be included in the annual report of the Commission 

thereafter.

Sec. 4. Improved Safety Systems Research

(a) Section 205 of the Energy Reorganization Act of 1974 is amended 

by adding the following new subsection at the end thereof:

(f) The Commission shall develop a long–term plan for projects for 

the development of new or improved safety systems for nuclear power 

plants.

Quarterly report 

to Congress.

42 USC 5841.

42 USC 2000e.

42 USC 5850.

Submittal to 

Congress.

Progress 

42 USC 5845.

Long–term 

plan 

development.
NRC Authorizations Act, FY 1978 (P.L. 95–209) 799

Sec. 5. Reactor Safety Research Study

Section 29 of the Atomic Energy Act of 1954 is amended by adding 

the following at the end thereof: In addition to its other duties under this 

section, the committee, making use of all available sources, shall 

undertake a study of reactor safety research and prepare and submit 

annually to the Congress a report containing the results of such study. 

The first such report shall be submitted to the Congress not later than 

December 31, 1977.

Sec. 6. ACRS Fellowship Program

To assist the Advisory Committee on Reactor Safeguards in carrying 

out its function, the committee shall establish a fellowship program under 

which persons having appropriate engineering or scientific expertise are 

assigned particular tasks relating to the functions of the committee. Such 

fellowship shall be for 2–year periods and the recipients of such 

fellowships shall be selected pursuant to such criteria as may be 

established by the committee.

Sec. 7. Organizational Conflicts of Interest

The Commission shall by December 31, 1977, promulgate guidelines 

to be applied by the Commission in determining whether an organization 

proposing to enter into a contractual arrangement with the Commission 

has a conflict of interest which might impair the contractor's judgment or 

otherwise give the contractor an unfair competitive advantage.

Sec. 8. Cooperative Research Funding

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 USC 484), and shall remain 

available until expended. Funds may be obligated for purposes stated in 

this section only to the extent provided in appropriation Acts.

Sec. 9. Transfer of Funds

Transfers of sums from salaries and expenses may be made to other 

agencies of the Government for the performance of the work for which 

the appropriation is made, and in such cases the sums so transferred may 

be merged with the appropriations to which transferred.

Sec. 10. Appropriations

Notwithstanding any other provision of this Act, no authority to make 

payments under this Act shall be effective except to such extent or in 

such amounts as are provided in advance in appropriations Acts.

42 USC 2039.

Annual report 

to Congress.

42 USC 2040.

Establishment.

42 USC 2201 

note.

Guidelines.

Salaries and 

expenses.
800 NRC Authorizations Act, FY 1977 (P.L. 94–291)

F. NRC AUTHORIZATION ACT FOR FISCAL YEAR 

1977

Public Law 94–291 90 Stat. 523

May 22, 1976

An Act

To authorize appropriations to the Nuclear Regulatory Commission in 

accordance with section 261 of the Atomic Energy Act of 1954, as 

amended, and section 305 of the Energy Reorganization Act of 1974, 

as amended, and for other purposes.

Be it enacted by the Senate and House of Representatives of the

United States of America in Congress assembled,

Sec. 101. There is hereby authorized to be appropriated to the Nuclear 

Regulatory Commission in accordance with the provisions of section 261 

of the Atomic Energy Act of 1954, as amended, and section 305 of the 

Energy Reorganization Act of 1974, as amended; for salaries and 

expenses, $274,300,000 to remain available until expended.

Sec. 102. 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 USC 484), and 

shall remain available until expended. Funds may be obligated for 

purposes stated in this section only to the extent provided in 

appropriation Acts.

Sec. 103. Transfers of sums from salaries and expenses may be made 

to other agencies of the Government for the performance of the work for 

which the appropriation is made, and in such cases the sums so 

transferred may be merged with the appropriation to which transferred.

Amendments to Prior Year Act

Sec. 104. (a) Title I of Public Law 94–79 is amended by adding 

section 102 to read as follows: Moneys received by the Commission for 

the cooperative nuclear research program may be retained and used for 

salaries and expenses associated with that program, notwithstanding the 

provisions of section 3617 of the Revised Statutes (31 USC 484), and 

shall remain available until expended. Funds may be obligated for 

purposes stated in this section only to the extent provided in 

appropriation Acts.

(b) Section 101 of Public Law 94–79 is amended by adding the phase 

“and shall remain available until expended” after the words “September 

30, 1976.”

Nuclear 

Regulatory 

Commission.

42 USC 2017.

42 USC 5875.

Appropriation 

authorization.

Moneys for 

research 

programs, use.

Transfer of 

sums.
NRC Authorizations Act, FY 1976 (P.L. 94–79) 801

G. NRC AUTHORIZATION ACT FOR FISCAL YEAR 1976

Public Law 94–79 89 Stat. 413

August 9, 1975

An Act

To authorize appropriations to the Nuclear Regulatory Commission in 

accordance with section 261 of the Atomic Energy Act of 1954, as 

amended, and section 305 of the Energy Reorganization Act of 1974, 

and for other purposes.

Be it enacted by the Senate and House of Representatives of the 

United States of America in Congress assembled,

Title I

Sec. 101. There is authorized to be appropriated to the Nuclear 

Regulatory Commission to carry out the provisions of section 261 of the 

Atomic Energy Act of 1954, as amended, and section 305 of the Energy 

Reorganization Act of 1974: $222,935,000 for fiscal year 1976 and 

$52,750,000 for the period from July 1, 1976 through September 30, 

1976 and shall remain available until expended.1

Sec. 102. Moneys received by the Commission for the cooperative 

nuclear research program may be retained and used for salaries and 

expenses associated with that program, notwithstanding the provisions of 

section 3617 of the Revised Statutes (31 USC 484), and shall remain 

available until expended. Funds may be obligated for purposes stated in 

this section only to the extent provided in appropriations Acts.2

Title II

Sec. 201. Section 201(a) of the Energy Reorganization Act of 1974 is 

amended

(1) by inserting “(l)” immediately after section 201(a); and

(2) The Chairman of the Commission shall be the principal 

executive officer of the Commission, and he shall exercise all of the 

executive and administrative functions of the Commission, including 

functions of the Commission with respect to (a) the appointment and 

supervision of personnel employed under the commission (other than 

personnel employed regularly and full time in the immediate offices 

of commissioners other than the Chairman, and except as otherwise 

provided in the Energy Reorganization Act of 1974), (b) the 

distribution of business among such personnel and among 

administrative units of the Commission, and (c) the use and 

expenditure of funds.

(3) In carrying out any of his functions under the provisions of 

this section the Chairman shall be governed by general policies of the 

Commission and by such regulatory decisions, findings, and 

determinations as the Commission may by law be authorized to make.

––––––––

1 Amended by P.L. 94–291, § 104(b), 90 Stat. 523 (1976). 2 Amended by P.L. 94–291, § 104(a), 90 Stat. 523 (1976).

42 USC 2017.

Appropriation 

authorization.

Nuclear 

Regulatory 

Commission.

42 USC 5875.

42 USC 5841.

42 USC 5801 

note.

Commission 

chairman, 

functions.
802 NRC Authorizations Act, FY 1976 (P.L. 94–79)

(4) The appointment by the Chairman of the heads of major 

administrative units under the Commission shall be subject to the 

approval of the Commission.

(5) There are hereby reserved to the Commission its functions 

with respect to revising budget estimates and with respect to 

determining upon the distribution of appropriated funds according to 

major programs and purposes.

The Nuclear Regulatory Commission shall not license any shipments 

by air transport of plutonium in any form, whether exports, imports or 

domestic shipments: Provided, however, That any plutonium in any form 

contained in a medical device designed for individual human application 

is not subject to this restriction. This restriction shall be in force until the 

Nuclear Regulatory Commission has certified to the Joint Committee on 

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.

Sec. 202. Subsection 201(c) of the Energy Reorganization Act of 

1974 is amended by deleting the period at the end of the subsection and 

adding the following text: and except that any member appointed to fill a 

vacancy occurring prior to the expiration of the term for which his 

predecessor was appointed, shall be appointed for the remainder of such 

term.

Sec. 203. Section 201(c) is amended to include the following: For the 

purpose of determining the expiration date of the terms of Office of the 

five members first appointed to the Nuclear Regulatory Commission, 

each such term shall be deemed to have begun July 1, 1975.3

––––––––

3 Amended by P.L. 94–291, § 104(a), 90 Stat.523 (1976).

42 USC 5841 

note.

Plutonium 

shipments, 

restrictions.

42 USC 5841.

Term of Office.
NRC FY 1975 Supplemental Authorization Act (P.L. 94–18) 803

H. NRC FISCAL YEAR 1975 SUPPLEMENTAL 

AUTHORIZATION ACT

Public Law 94–18 89 Stat. 80

April 25, 1975

An Act

To authorize supplemental appropriations to the Nuclear Regulatory 

Commission for fiscal year 1975.

Be it enacted by the Senate and House of Representatives of the 

United States of America in Congress assembled,

That there is authorized to be appropriated to the Nuclear Regulatory 

Commission to carry out the provisions of section 261 of the Atomic 

Energy Act of 1954, as amended, and section 305 of the Energy 

Reorganization Act of 1974, $50,200,000 for fiscal year 1975.

42 USC 2017.

42 USC 5875.

Nuclear 

Regulatory 

Commission 

Appropriation 

Authorization.
804 AEC FY 1975 Supplemental Authorization Act (P.L. 93–576)

I. AEC FISCAL YEAR 1975 SUPPLEMENTAL 

AUTHORIZATION ACT

Public Law 93–576 88 Stat. 1878

December 21, 1974

An Act

To amend Public Law 93–276 to increase the authorization for 

appropriations to the Atomic Energy Commission in accordance with 

section 261 of the Atomic Energy Act of 1954, as amended, and for 

other purposes.

Be it enacted by the Senate and House of Representatives of the 

United States of America in Congress assembled,

That section 101(a) of Public Law 93–276 is hereby amended by 

striking therefrom the figure “$2,551,533,000” and substituting the figure 

“$2,580,733,000”.

Sec. 2. Section 101(b) of Public Law 93–276 is hereby amended by 

striking from subsection (11) capital equipment the figure 

“$208,850,000” and substituting the figure “$224,900,000”.

Sec. 3. From the increase of the sums authorized to be appropriated 

by this Act $23,000,000 shall be allotted to, and made available only for 

the Safeguards Program, with regard to the safeguarding of special 

nuclear materials from diversion from its intended uses, and for research 

and development of safeguards techniques and related activities involved 

in handling nuclear material.

Atomic Energy 

Commission.

Appropriation 

increase.

Safeguards 

program.
AEC Authorization Act, FY 1975 (P.L. 93–276) 805

J. AEC AUTHORIZATION ACT FOR FISCAL YEAR 1975

Public Law 93–276 77 Stat. 88

May 10, 1974

An Act

To authorize appropriations to the Atomic Energy Commission in 

accordance with section 261 of the Atomic Energy Act of 1954, as 

amended, and for other purposes.

Be it enacted by the Senate and House of Representatives of the 

United States of America in Congress assembled,

Sec. 101. There is hereby authorized to be appropriated to the Atomic 

Energy Commission in accordance with the provisions of section 261 of 

the Atomic Energy Act of 1954, as amended:

(a) For “Operating expenses”, $2,580,733,0001

 not to exceed 

$132,200,000 in operating costs for the high energy physics program 

category.

(b) For “Plant and capital equipment”, including construction, 

acquisition, or modification of facilities, including land acquisition; and 

acquisition and fabrication of capital equipment not related to 

construction, a sum of dollars equal to the total of the following:

(1) NUCLEAR MATERIALS.–

Project 75–1a, additional facilities, high–level waste handling and 

storage, Savannah River, South Carolina, $30,000,000.

Project 75–1–b, replacement ventilation air filter, H chemical 

separations area, Savannah River, South Carolina, $6,000,000.

Project 75–1–c, new waste calcining facility, Idaho Chemical 

Processing Plant, National Reactor Testing Station, Idaho, 

$20,000,000.

Project 75–1–d, waste management effluent control, Richland, 

Washington, $3,500,000.

Project 75–1–e, retooling of component preparation laboratories, 

multiple sites, $4,500,000.

Project 75–1–f, atmospheric pollution control facilities, stoker 

fired boilers, Savannah River, South Carolina, $7,500,000.

(2) NUCLEAR MATERIALS.–

Project 75–2–a, additional cooling tower capacity, gaseous 

diffusion plant, Portsmouth, Ohio, $2,200,000.

(3) WEAPONS.–

Project 75–3–a, weapons production, development, and test 

installations, $10,000,000.

Project 75–3–b, high energy laser facility, Los Alamos Scientific 

Laboratory, New Mexico, $22,600,000.

Project 75–3–c, TRIDENT production facilities, various locations, 

$22,200,000.

Project 75–3–d, consolidation of final assembly plants, Pantex, 

Amarillo, Texas, $4,500,000.

Project 75–3–e, addition to building 350 for safeguards analytical 

laboratory, Argonne National Laboratory, Illinois, $3,500,000.

––––––––

1 Amended by P.L. 93–576, § 1, 88 Stat. 1878 (1974), increased this figure from the 

previously authorized $2,551,533,000.

Appropriation 

authorization.

Atomic Energy 

Commission. 42 USC 2017.
806 AEC Authorization Act, FY 1975 (P.L. 93–276)

(4) WEAPONS.–

Project 75–4–a, technical support relocation, Los Alamos 

Scientific Laboratory, New Mexico, $2,800,000.

(5) CIVILIAN REACTOR RESEARCH AND 

DEVELOPMENT.–

Project 75–5–a, transient test facility, Santa Susana, California, 

$4,000,000.

Project 75–5–b, advanced test reactor control system upgrading, 

National Reactor Testing Station, Idaho, $2,400,000.

Project 75–5–c, test reactor area water recycle and pollution 

control facilities, National Reactor Testing Station, Idaho, 

$1,000,000.

Project 75–5–d, modifications to reactors, $4,000,000.

Project 75–5–e, high temperature gas reactor fuel re–processing 

facility, National Reactor Testing Station, Idaho, $10,100,000.

Project 75–5–f, high temperature gas reactor fuel refabrication 

pilot plant, Oak Ridge National Laboratory, Tennessee, $3,000,000.

Project 75–5–g, molten salt breeder reactor (preliminary planning 

preparatory to possible future demonstration project), $1,500,000.

(6) PHYSICAL RESEARCH.–

Project 75–6–a, accelerator and reactor improvements and 

modifications, $3,000,000.

Project 75–6–b, heavy ion research facilities, various locations, 

$19,200,000.

Project 75–6–c, positron–electron joint project, Lawrence 

Berkeley Laboratory and Stanford Linear Accelerator Center, 

$900,000.

(7) BIOMEDICAL AND ENVIRONMENTAL RESEARCH 

AND SAFETY.–

Project 75–7–a, upgrading of laboratory facilities, Oak Ridge 

National Laboratory, Tennessee, $2,100,000.

Project 75–7–b, environmental research laboratory, Savannah 

River, South Carolina, $2,000,000.

Project 75–7–c, intermediate–level waste management facilities, 

Oak Ridge National Laboratory, Tennessee, $9,500,000.

Project 75–7–d, modifications and additions to biomedical and 

environmental research facilities, $2,850,000.

(8) BIOMEDICAL AND ENVIRONMENTAL RESEARCH 

AND SAFETY.–

Project 75–8–a, environmental sciences laboratory, Oak Ridge 

National Laboratory, Tennessee, $8,800,000.

(9) GENERAL PLANT PROJECTS.–$55,650,000.

(10) CONSTRUCTION PLANNING AND DESIGN.–

$2,000,000.

(11) CAPITAL EQUIPMENT.–Acquisition and fabrication of 

capital equipment not related to construction, $224,900,000.2

(12) REACTOR SAFETY RESEARCH.–

Project 75–12–a, reactor safety facilities modifications, 

$1,000,000.

(13) APPLIED ENERGY TECHNOLOGY.–

Project 75–13–a, hydrothermal pilot plant, $1,000,000.

Sec. 102. Limitations.–(a) The Commission is authorized to start any 

project set forth in subsection 101(b)(1), (3), (5), (6), (7), (12), and (13) 

––––––––

2 Amended by P.L. 93–576, § 2, 88 Stat. 1878 (1978) (1974), increased this figure from 

the previously authorized $208,850,000.
AEC Authorization Act, FY 1975 (P.L. 93–276) 807

only if the currently estimated cost of that project does not exceed by 

more than 25 per centum the estimated cost set forth for that project.

(b) The Commission is authorized to start any project set forth in 

subsection 101(b) (2), (4), (8), and (10) only if the currently estimated 

cost of that project does not exceed by more than 10 per centum the 

estimated cost set forth for that project.

(c) The Commission is authorized to start any project under 

subsection 101(b)(9) only if it is in accordance with the following:

(1) The maximum currently estimated cost of any project shall be 

$500,000 and the maximum currently estimated cost of any building 

included in such project shall be $100,000: Provided, That the 

building cost limitation may be exceeded if the Commission 

determines that it is necessary in the interest of efficiency and 

economy.

(2) The total cost of all projects undertaken under subsection 

101(b)(9) shall not exceed the estimated cost set forth in that 

subsection by more than 10 per centum.

(d) The total cost of any project undertaken under subsection 101(b) 

(1), (3), (5), (6), (7), (12), and (13) shall not exceed the estimated cost set 

forth for that project by more than 25 per centum, unless and until 

additional appropriations are authorized under section 261 of the Atomic 

Energy Act of 1954, as amended, provided that this subsection will not 

apply to any project with an estimated cost less than $5,000,000.

(e) The total cost of any project undertaken under subsection 101(b) 

(2), (4), (8), (9), and (10) shall not exceed the estimated cost set forth for 

that project by more than 10 per centum, unless and until additional 

appropriations are authorized under section 261 of the Atomic Energy 

Act of 1954, as amended, provided that this subsection will not apply to 

any project with an estimated cost less than $5,000,000.

Sec. 103. The Commission is authorized to perform construction 

design services for any Commission construction project whenever (1) 

such construction project has been included in a proposed authorization 

bill transmitted to the Congress by the Commission, and (2) the 

Commission determines that the project is of such urgency that 

construction of the project should be initiated promptly upon enactment 

of legislation appropriating funds for its construction.

Sec. 104. Any moneys received by the Commission (except sums 

received from the disposal of property under the Atomic Energy 

Community Act of 1955, as amended (42 USC 2301)), may be retained 

by the Commission and credited to its “Operating expenses”

appropriation notwithstanding the provisions of section 3617 of the 

Revised Statutes (31 USC 484).

Sec. 105. Transfers of sums from the “Operating expenses”

appropriation may be made to other agencies of the Government for the 

performance of the work for which the appropriation is made, and in such 

cases the sums so transferred may be merged with the appropriation to 

which transferred.

Sec. 106. When so specified in an appropriation Act, transfers of 

amounts between “Operating expenses” and “Plant and capital 

equipment” may be made as provided in such appropriation Act.

Sec. 107. AMENDMENT OF PRIOR YEAR ACTS.–

(a) Section 101 of Public Law 89–428, as amended, if further 

amended by striking from subsection (b)(3) project 67–3–a, fast flux test 

facility, the figure “$87,500,000”, and substituting therefor the figure 

“$420,000,000”.

42 USC 2017.

42 USC 2017.

Construction 

design services.

Transfer of 

sums.

Transfer of 

amounts.
808 AEC Authorization Act, FY 1975 (P.L. 93–276)

(b) Section 101 of Public Law 91–273, as amended, is further 

amended by striking from subsection (b)(1), project 71–1–f, process 

equipment modifications, gaseous diffusion plants, the figure 

“$172,100,000” and substituting therefor the figure “$295,100,000”.

(c) Section 106 of Public Law 91–273, as amended, is further 

amended by striking from subsection (a) the figure “$2,000,000” and 

substituting therefor the figure “3,000,000”, and by adding thereto the 

following new subsection (c): 

(c) The Commission is hereby authorized to agree, by modification to 

the definitive cooperative arrangement reflecting such changes therein as 

it deems appropriate for such purpose, to the following: 

(1) to execute and deliver to the other parties to the AEC 

definitive contract, the special undertaking of indemnification 

specified in said contract, which undertakings shall be subject to 

availability of appropriations to the Atomic Energy Commission (or

any other Federal agency to which the Commission's pertinent 

functions might be transferred at some future time) and to the 

provisions of section 3679 of the Revised Statutes, as amended; and 

(2) to acquire ownership and custody of the property constituting 

the Liquid Metal Fast Breeder Reactor power plant or parts thereof, 

and to use, decommission, and dispose of said property, as provided 

for in the AEC definitive contract.

(d) Section 101 of Public Law 92–314, as amended, is amended by 

striking from subsection (b)(4), project 73–4–b, land acquisition, Rocky 

Flats, Colorado, the figure “$8,000,000” and substituting therefor the 

figure “$11,400,000”.

(e) Section 101 of Public Law 93–60 is amended by

(1) striking from subsection (b)(1), project 74–1–a, additional 

facilities, high level waste storage, Savannah River, South Carolina, 

the figure “$14,000,000” and substituting therefor the figure 

“$17,500,000”, 

(2) striking from subsection (b)(1), project 74–1–g, cascade 

uprating program, gaseous diffusion plants, the words “(partial AE 

and limited component procurement only)” and further striking the 

figure “$6,000,000” and substituting therefore the figure 

“$183,100,000”, and

(3) striking from subsection (b)(2), project 74–2–d, national 

security and resources study center, the words “(AE only), site 

undesignated” and substituting therefor the words “Los Alamos 

Scientific Laboratory, New Mexico” and further striking the figure 

“$350,000” and substituting therefor the figure “$4,600,000”.

Sec. 108. RESCISSION.–

(a) Public Law 91–44, as amended, is further amended by rescinding 

therefrom authorization for a project, except for funds heretofore 

obligated, as follows:

Project 70–1–b, bedrock waste storage (AE and site selection drilling 

only), Savannah River, South Carolina, $4,300,000.

(b) Public Law 92–84, as amended, is further amended by rescinding 

therefrom authorization for a project, except for funds heretofore 

obligated, as follows:

Project 72–3–b, national radioactive waste repository, site 

undetermined, $3,500,000.

(c) Public Law 92–314, as amended, is further amended by rescinding 

therefrom authorization for a project, except for funds heretofore 

obligated, as follows:

31 USC 665.
AEC Authorization Act, FY 1975 (P.L. 93–276) 809

Project 73–6–c, accelerator improvements, Cambridge Electron 

Accelerator, Massachusetts, $75,000.

Title II

Sec. 201. Section 157b.(3) of the Atomic Energy Act of 1954, as 

amended, is amended by striking out “upon the recommendation of” and 

inserting in lieu thereof “after consultation with”.

42 USC 2187.
810 AEC Authorization Act, FY 1974 (P.L. 93–158)

K. AEC AUTHORIZATION ACT FOR FISCAL YEAR 1974

Public Law 93–158 87 Stat. 627

November 26, 1973

An Act

To amend Public Law 93–60 to increase the authorization for 

appropriations to the Atomic Energy Commission in accordance with 

section 261 of the Atomic Energy Act of 1954, as amended, and for 

other purposes.

Be it enacted by the Senate and House of Representatives of the 

United States of America in Congress assembled,

That section 101(a) of Public Law 93–60 is hereby amended by 

striking therefrom the figure “$1,740,750,000” and substituting the figure 

“$1,751,450,000.”

Sec. 2. Section 101(b) of Public Law 93–60 is hereby amended by 

adding to subsection (b)(1) the following words: Project 74–1–i, 

additional waste concentration and salt cake storage facilities, Richland, 

Washington, $30,000,000.
Chief Financial Officers Legislation 811

6. Chief Financial Officers Legislation

Chief Financial Officers Legislation 813

6. Chief Financial Officers Legislation

Contents

A. CHIEF FINANCIAL OFFICERS ACT OF 1990, AS AMENDED.... 815

Title I–General Provisions.................................................................................... 815

Sec. 101. Short Title ....................................................................................... 815

Sec. 102. Findings and Purposes................................................................... 815

Title II–Establishment of Chief Financial Officers............................................ 816

Sec. 201. Deputy Director for Management................................................. 816

Sec. 202. Functions of Deputy Director for Management........................... 816

Sec. 203. Office of Federal Financial Management..................................... 818

Sec. 204. Duties and Functions of the Department of the Treasury .......... 818

Sec. 205. Agency Chief Financial Officers ................................................... 818

Sec. 206. Transfer of Functions and Personnel of Agency Chief 

Financial Officers....................................................................................... 823

Sec. 207. Compensation ................................................................................. 824

Title III–Enhancement of Federal Financial Management Activities .............. 825

Sec. 301. Financial Management Status Report; 5–Year Plan of 

Director of Office of Management and Budget........................................ 825

Sec. 302. Chief Financial Officers Council................................................... 827

Sec. 303. Financial Statements of Agencies.................................................. 827

Sec. 304. Financial Audits of Agencies ......................................................... 829

Sec. 305. Financial Audits of Government Corporations........................... 831

Sec. 306. Management Reports of Government Corporations................... 832

Sec. 307. Adoption of Capital Accounting Standards................................. 832

B. REPORTS CONSOLIDATION ACT OF 2000 .................................... 833

Sec. 1. Short Title ........................................................................................... 833

Sec. 2. Findings and Purposes....................................................................... 833

Sec. 3. Consolidated Reports......................................................................... 833

Sec. 4. Amendments Relating to Audited Financial Statement.................. 835

Sec. 5. Amendments Relating to Program Performance Reports.............. 835

C. GOVERNMENT PERFORMANCE AND RESULTS ACT OF 

1993............................................................................................................. 836

Sec. 1. Short Title ........................................................................................... 836

Sec. 2. Findings and Purposes....................................................................... 836

Sec. 3. Strategic Planning .............................................................................. 836

Sec. 4. Annual Performance Plans and Reports.......................................... 837

Sec. 5. Managerial Accountability and Flexibility....................................... 840

Sec. 6. Pilot Projects....................................................................................... 841

Sec. 7. United States Postal Service .............................................................. 842

Sec. 8. Congressional Oversight and Legislation......................................... 845

Sec. 9. Training............................................................................................... 845

Sec. 10. Application of Act............................................................................. 845

Sec. 11. Technical and Conforming Amendments....................................... 846

D. GPRA MODERNIZATION ACT OF 2010 .......................................... 847

Sec. 1. Short Title; Table of Contents........................................................... 847

Sec. 2. Strategic Planning Amendments....................................................... 847
814 Chief Financial Officers Legislation

Sec. 3. Performance Planning Amendments................................................ 848

Sec. 4. Performance Reporting Amendments.............................................. 852

Sec. 5. Federal Government and Agency Priority Goals............................ 854

Sec. 6. Quarterly Priority Progress Reviews and Use of Performance 

Information................................................................................................. 855

Sec. 7. Transparency of Federal Government Programs, Priority 

Goals, and Results...................................................................................... 856

Sec. 8. Agency Chief Operating Officers...................................................... 858

Sec. 9. Agency Performance Improvement Officers and the 

Performance Improvement Council ......................................................... 859

Sec. 10. Format of Performance Plans and Reports.................................... 860

Sec. 11. Reducing Duplicative and Outdated Agency Reporting ............... 861

Sec. 12. Performance Management Skills and Competencies.................... 862

Sec. 13. Technical and Conforming Amendments....................................... 862

Sec. 14. Implementation of this Act .............................................................. 863

Sec. 15. Congressional Oversight and Legislation....................................... 863
Chief Financial Officers Act of 1990 (P.L. 101–576) 815

A. CHIEF FINANCIAL OFFICERS ACT OF 1990, AS AMENDED

Public Law 101–576 104 Stat. 2838

Nov. 15, 1990

An Act

To amend Title 31, United States Code, to improve the general and 

financial management of the Federal Government.

Be it enacted by the Senate and House of Representatives of the 

United States of America in Congress assembled,

Title I–General Provisions

Sec. 101. Short Title

This Act may be cited as the “Chief Financial Officers Act of 1990.”

Sec. 102. Findings and Purposes

(a) FINDINGS. –– The Congress finds the following:

 (1) General management functions of the Office of Management 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 Management 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 be significantly decreased by improved 

management, including improved central coordination of internal 

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 information.

 (6) Current financial reporting practices of the Federal Government 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 comparison of actual costs among 

executive agencies, and do not provide the timely information required 

for efficient management of programs.

(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.

 (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.

Chief Financial 

Officers Act of 

1990.

31 USC 501 

note.

31 USC 501 

note.
816 Chief Financial Officers Act of 1990 (P.L. 101–576)

 (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–Establishment of Chief Financial Officers

Sec. 201. Deputy Director for Management

Section 502 of Title 31, United States Code, as amended by this Act, 

is amended–

(1) by redesignating subsections (c), (d), and (e), as amended by 

this section, as subsections (d), (e), and (f); and

(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 Management

(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 

MANAGEMENT.–Subchapter I of Chapter 5 of Title 31, United States 

Code, is amended by inserting after section 502 the following:

§503. Functions of Deputy Director for Management

(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 MANAGEMENT. ––

Subchapter I of chapter 5 of title 31, United States Code, is amended by 

inserting after section 502 the following:

“§ 503. Functions of Deputy Director for Management

“(a) Subject to the direction and approval of the Director, the Deputy 

Director for Management shall establish governmentwide financial 

management policies for executive agencies and shall perform the 

following 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 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 Government 

financial management systems and to correct major deficiencies in such 

systems.

 “(4) Review and, where appropriate, recommend to the Director 

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.
Chief Financial Officers Act of 1990 (P.L. 101–576) 817

 “(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, 

recruitment, performance, and retention of other financial management 

personnel.

 “(10) Assess the overall adequacy of the professional qualifications 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.

 “(12) Chair the Chief Financial Officers Council established by 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 of information 

concerning financial management standards, techniques, and processes.

 “(14) Issue such other policies and directives as may be necessary 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:

 “(1) Coordinate and supervise the general management functions of the 

Office of Management and Budget.

 “(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 measurement of 

performance;

 “(B) procurement policy;

 “(C) grant, cooperative agreement, and assistance management;

 “(D) information and statistical policy;

 “(E) property management;

 “(F) human resources management;

 “(G) regulatory affairs; and

 “(H) other management functions, including organizational studies, 

long–range planning, program evaluation, productivity improvement, and 

experimentation and demonstration programs.

“(3) Provide complete, reliable, and timely information to the President, 

the Congress, and the public regarding the management 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 programs; and

 “(B) the adoption of modern management concepts and technologies.
818 Chief Financial Officers Act of 1990 (P.L. 101–576)

“(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 Director 

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 Management and Budget.

 “(8) Provide advice to agencies on the qualification, recruitment, 

performance, and retention of managerial personnel.

 “(9) perform any other functions prescribed by the Director.”.

1

Sec. 203. Office of Federal Financial Management

(a) ESTABLISHMENT.–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:

§504. Office of Federal Financial Management

(a) There is established in the Office of Management and Budget an 

Office to be known as the “Office of Federal Financial Management.”

The Office of Federal Financial Management, under the direction and 

control of the Deputy Director for Management of the Office of 

Management and Budget, shall carry out the financial management 

functions 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 accounting, 

financial management, and financial systems; and

(2) extensive practical experience in financial management in 

large governmental or business entities.

(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 Management 

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 

beginning of Chapter 5 of Title 31, United States Code, is amended by 

striking the items relating to sections 503 and 504 and inserting the 

following:

503. Functions of Deputy Director for Management.

504. Office of Federal Financial Management.

505. Office of Information and Regulatory Affairs.

506. Office of Federal Procurement Policy.

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

––––––––

1 Amended by P.L. 103–272, § 4(f)(1)(B), 108 Stat. 1361 (1994); P.L. 106–58, Title VI, § 638(g), 113 Stat. 476 (1999); P.L. 107–347, Title I, § 102(b), 116 Stat. 2910

(2002).

31 USC 504

31 USC 501 

note.
Chief Financial Officers Act of 1990 (P.L. 101–576) 819

(a) IN GENERAL.–Subtitle I of Title 31, United States Code, is 

amended by adding at the end the following new chapter:

Chapter 9–Agency Chief Financial Officers

§901. Establishment of agency Chief Financial Officers

(a) There shall be within each agency described in subsection (b) an 

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 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;

 (2) for those agencies described in subsection (b)(2)—

 (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

 (3) be appointed or designated, as applicable, from among individuals 

who possess demonstrated ability in general management of, and 

knowledge of and extensive practical experience in financial 

management practices in large governmental or business entities.

(b) (1) The agencies referred to in subsection (a)(1) are the following:

 (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 Department of Health and Human Services.

 (G) The Department of Homeland Security.

 (H) The Department of Housing and Urban Development.

 (I) The Department of the Interior.

 (J) The Department of Justice.

 (K) The Department of Labor.

 (L) The Department of State.

 (M) The Department of Transportation.

 (N) The Department of the Treasury.

 (O) The Department of Veterans Affairs.

 (P) The Environmental Protection Agency.

 (Q) The National Aeronautics and Space Administration.

 (2) The agencies referred to in subsection (a)(2) are the following:

 (A) The Agency for International Development.

 (B) The General Services Administration.

 (C) The National Science Foundation.

 (D) The Nuclear Regulatory Commission.

 (E) The Office of Personnel Management.

 (F) The Small Business Administration.

 (G) The Social Security Administration.

(c) (1) There shall be within the Executive Office of the President a Chief 

Financial Officer, who shall be designated or appointed by the President 

from among individuals meeting the standards described in subsection 

(a)(3). The position of Chief Financial Officer established under this 

paragraph may be so established in any Office (including the Office of 

Administration) of the Executive Office of the President.

 (2) The Chief Financial Officer designated or appointed under this 

subsection shall, to the extent that the President determines appropriate 

31 USC 901
820 Chief Financial Officers Act of 1990 (P.L. 101–576)

and in the interest of the United States, have the same authority and 

perform the same functions as apply in the case of a Chief Financial 

Officer of an agency described in subsection (b).

 (3) The President shall submit to Congress notification with respect to 

any provision of section 902 [31 USCS § 902] that the President 

determines shall not apply to a Chief Financial Officer designated or 

appointed under this subsection.

 (4) The President may designate an employee of the Executive Office

of the President (other than the Chief Financial Officer), who shall be 

deemed “the head of the agency” for purposes of carrying out section 902 

[31 USCS § 902], with respect to the Executive Office of the President.2

§902. Authority and functions of 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:

 “CHAPTER 9 –– AGENCY CHIEF FINANCIAL OFFICERS

“Sec.

“901. Establishment of agency Chief Financial Officers.

“902. Authority and functions of agency Chief Financial Officers.

“903. Establishment of agency Deputy Chief Financial Officers.

“§ 901. Establishment of agency Chief Financial Officers

“(a) There shall be within each agency described in subsection (b) an 

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 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;

 “(2) for those agencies described in subsection (b)(2) ––

 “(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

 “(3) be appointed or designated, as applicable, from among individuals 

who possess demonstrated ability in general management of, and 

knowledge of and extensive practical experience in financial 

management practices in large governmental or business entities.

“(b)(1) The agencies referred to in subsection (a)(1) are the following:

 “(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 Department of Health and Human Services.

 “(G) The Department of Housing and Urban Development.

 “(H) The Department of the Interior.

––––––––

2 Amended by P.L. 103–296, § 108(j)(1), 108 Stat. 1488 (1994); P.L. 106–58, Title VI, 

§ 638(a), 113 Stat. 475 (1999); Oct. 16, 2004, P.L. 108–330, § 3(a), (d)(2), 118 Stat. 1276, 1277.
Chief Financial Officers Act of 1990 (P.L. 101–576) 821

 “(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 Environmental Protection Agency.

 “(P) The National Aeronautics and Space Administration.

 “(2) The agencies referred to in subsection (a)(2) are the following:

 “(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.

“§ 902. Authority and functions of agency Chief Financial Officers

“(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 financial reporting and internal 

controls, which ––

 “(A) complies with applicable accounting principles, standards, 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 ––

 “(i) complete, reliable, consistent, and timely information 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 information;

 “(iii) the integration of accounting and budgeting information; 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 operations, 

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;
822 Chief Financial Officers Act of 1990 (P.L. 101–576)

 “(E) the implementation of agency asset management systems, 

including systems for cash management, credit management, debt 

collection, and property and inventory management and control;

 “(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 agency 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 section 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 amendments made by the Federal 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;

 “(7) monitor the financial execution of the budget of the agency 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 records, reports, 

audits, reviews, documents, papers, recommendations, 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 provided by this section 

from any Federal, State, or local governmental entity; and

 “(C) to the extent and in such amounts as may be provided in advance 

by appropriations Acts, may ––

 “(i) enter into contracts and other arrangements with public agencies 

and with private persons for the preparation 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 

than permitted under any other law to records, reports, audits, 

reviews, documents, papers, recommendations, or other material of 

any Office of Inspector General established under the Inspector 

General Act of 1978 (5 U.S.C. App.).

§903. 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 
Chief Financial Officers Act of 1990 (P.L. 101–576) 823

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 

demonstrated ability and experience in accounting, budget execution, 

financial and management analysis, and systems development, and not 

less than 6 years practical experience in financial management at large 

governmental entities.

(b) CLERICAL AMENDMENT.–The table of chapters at the 

beginning of subtitle I of Title 31, United States Code, is amended by 

adding at the end the following:

“9. Agency Chief Financial Officers...........................................901.”

(c) CHIEF FINANCIAL OFFICERS OF DEPARTMENT OF 

VETERANS AFFAIRS AND DEPARTMENT OF HOUSING AND 

URBAN DEVELOPMENT.

(1) DESIGNATION.–The Secretary of Veterans Affairs and the 

Secretary of Housing and Urban Development may each designate 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, under section 4(c) of the 

Department of Veterans Affairs Act (38 USC 201 note) and section 

4(e) of the Department of Housing and Urban Development Act (42 

USC 3533(e)), as in effect before the effective date of this Act.

(2) CONFORMING AMENDMENT.–Section 4(c) of the 

Department of Veterans Affairs Act (38 USC 201 note) and section 

4(e) of the Department of Housing and Urban Development Act (42 

USC 3533(e)), as added by section 121 of Public Law 101–235, are 

repealed.

Sec. 206. Transfer of Functions and Personnel of Agency Chief 

Financial Officers

(a) AGENCY REVIEWS OF FINANCIAL MANAGEMENT 

ACTIVITIES.–Not later than 120 days after the date of the enactment of 

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, 

United States Code, as amended by this Act, to conduct a review of its 

financial management activities for the purpose of consolidating its 

accounting, budgeting, and other financial management activities under 

the agency Chief Financial Officer appointed under subsection (a) of that 

section for the agency.

(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 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 functions 

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 personnel and 

31 USC 901 

note.

31 USC 901 

note.
824 Chief Financial Officers Act of 1990 (P.L. 101–576)

resources in agencies or other subdivisions as appropriate to that 

agency.

(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 disapproval. The Director shall approve each 

proposal which establishes an agency Chief Financial Officer in 

conformance with section 901 of Title 31, United States Code, as added 

by this Act, and which establishes a financial management structure 

reasonably tailored to the functions of the agency. Upon approving or 

disapproving 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 written 

notice of approval of a proposal under this section from the Director of 

the Office of Management and Budget, the head of an agency shall 

implement 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:

“Deputy Director for Management, Office of Management and Budget.”.

(b) COMPENSATION, LEVEL III. –– 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 

States Code, is amended by adding at the end the following:

“Chief Financial Officer, Department of Agriculture.

“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 Health and Human Services.

“Chief Financial Officer, Department of Housing 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 Officers Act of 1990 (P.L. 101–576) 825

“Chief Financial Officer, Department of Transportation.

“Chief Financial Officer, Department of the Treasury.

“Chief Financial Officer, Department of Veterans Affairs.

“Chief Financial Officer, Environmental Protection Agency.

“Chief Financial Officer, National Aeronautics and Space 

Administration.”.

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 by striking 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:

§3512. Executive agency accounting and other financial management

reports and plans

(a)(1) The Director of the Office of Management and Budget shall 

prepare and submit to the appropriate committees of the Congress a 

financial management status report and a government–wide 5–year 

financial management plan.

(2) A financial management status report under this subsection 

shall include–

(A) a description and analysis of the status of financial 

management in the executive branch;

(B) a summary of the most recently completed financial 

statements–

(i) of Federal agencies under section 3515 of this Title; and

(ii) of Government corporations;

(C) a summary of the most recently completed financial 

statement 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 

administrative control systems submitted to the President and the 

Congress under the amendments made by the Federal Managers’ 

Financial 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.

(3)(A) A government–wide 5–year financial management plan 

under this subsection shall describe the activities the Director, the 

Deputy Director for Management, the Controller of the Office of 

Federal Financial Management, and agency Chief Financial Officers

shall conduct over the next 5 fiscal years to improve the financial 

management of the Federal Government.

(B) Each government–wide 5–year financial management plan 

prepared under this subsection shall–
826 Chief Financial Officers Act of 1990 (P.L. 101–576)

(i) describe the existing financial management structure 

and any changes needed to establish an integrated financial 

management system;

(ii) be consistent with applicable accounting principles, 

standards, and requirements;

(iii) provide a strategy for developing and integrating 

individual agency accounting, financial information, and other 

financial management systems to ensure adequacy, 

consistency, and timeliness of financial information;

(iv) identify and make proposals to eliminate 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 

compliance with the applicable standards and requirements;

(vi) contain milestones for equipment acquisitions and

other actions necessary to implement the 5–year plan 

consistent with the requirements of this section;

(vii) identify financial management personnel needs and 

actions to ensure those needs are met;

(viii) include a plan for ensuring the annual audit of 

financial statements of executive agencies pursuant to section 

3521(h) of this Title; and

(ix) estimate the costs of implementing 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 

government–wide 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 

management status report and a revised government–wide 5–year 

financial management plan to cover the succeeding 5 fiscal years, 

including a report on the accomplishments of the executive branch 

in implementing the plan during the preceding fiscal year

(ii) The Director shall include with each revised 

government–wide 5–year financial management plan a 

description of any substantive changes in the financial 

statement audit plan required by paragraph (3)(B)(viii), 

progress made by executive agencies implementing the audit 

plan, and any improvements 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 House 

of Representatives and the Chairman of the Committee on 

Governmental Affairs of the Senate a final copy of that report and 

any comments on the report by the Director.

(b) CLERICAL AMENDMENT.–The table of contents at the 

beginning of Chapter 35 of Title 31, United States Code, is amended by 

striking the item relating to section 3512 and inserting the following:
Chief Financial Officers Act of 1990 (P.L. 101–576) 827

3512. Executive agency accounting and other financial management 

reports and plans.

Sec. 302. Chief Financial Officers Council

(a) ESTABLISHMENT.–There is established a Chief Financial 

Officers Council, consisting of–

(1) the Deputy Director for Management of the Office of 

Management and Budget, who shall act as chairperson of the council;

(2) the Controller of the Office of Federal Financial Management 

of the Office of Management and Budget;

(3) the Fiscal Assistant Secretary of Treasury; and

(4) each of the agency Chief Financial Officers appointed under 

section 901 of Title 31, United States Code, as amended by this Act.

(b) FUNCTIONS.–The Chief Financial Officers Council shall meet 

periodically to advise and coordinate the activities of the agencies of its 

members on such matters as consolidation and modernization of financial 

systems, improved quality of financial information, financial data and 

information standards, internal controls, legislation affecting financial 

operations and organizations, and any other financial management 

matter.

Sec. 303. Financial Statements of Agencies

(a) PREPARATION OF FINANCIAL STATEMENTS.–

(1) IN GENERAL–Subchapter II of Chapter 35 of Title 31, 

United States Code, is amended by adding at the end the following:

§3515. Financial Statements of Agencies

(a) [(1)] Except as provided in subsection (e), not later than March 1 

of 2003 and each year thereafter, the head of each covered executive 

agency shall prepare and submit to the Congress and the Director of the 

Office of Management and Budget an audited financial statement for the 

preceding fiscal year, covering all accounts and associated activities of 

each Office, bureau, and activity of the agency.

(b) Each audited financial statement of a covered executive agency 

under this section shall reflect—

 (1) the overall financial position of the offices, bureaus, and 

activities covered by the statement, including assets and liabilities 

thereof; and

 (2) results of operations of those offices, bureaus, and activities.

(c) The Director of the Office of Management and Budget shall 

identify components of covered executive agencies that shall be required 

to have audited financial statements meeting the requirements of 

subsection (b).

(d) The Director of the Office of Management and Budget shall 

prescribe the form and content of the financial statements of covered 

executive agencies under this section, consistent with applicable 

accounting and financial reporting principles, standards, and 

requirements.

(e) (1) The Director of the Office of Management and Budget may 

exempt a covered executive agency, except an agency described in 

section 901(b) [31 USCS § 901(b)], from the requirements of this section 

with respect to a fiscal year if––

 (A) the total amount of budget authority available to the agency 

for the fiscal year does not exceed $ 25,000,000; and

 (B) the Director determines that requiring an annual audited 

financial statement for the agency with respect to the fiscal year is not 

warranted due to the absence of risks associated with the agency's 

31 USC 901 

note.
828 Chief Financial Officers Act of 1990 (P.L. 101–576)

operations, the agency's demonstrated performance, or other factors that 

the Director considers relevant.

 (2) The Director shall annually notify the Committee on 

Government Reform of the House of Representatives and the Committee 

on Governmental Affairs of the Senate of each agency the Director has 

exempted under this subsection and the reasons for each exemption.

(f) The term “covered executive agency”—

(1) means an executive agency that is not required by another 

provision of Federal law to prepare and submit to the Congress and the 

Director of the Office of Management and Budget an audited financial 

statement for each fiscal year, covering all accounts and associated 

activities of each Office, bureau, and activity of the agency; and

 (2) does not include a corporation, agency, or instrumentality 

subject to chapter 91 of this title [31 USCS §§ 9101 et seq.].3

§3516. Reports Consolidation

(a)(1) With the concurrence of the Director of the Office of 

Management and Budget, the head of an executive agency may adjust the 

frequency and due dates of, and consolidate into an annual report to the 

President, the Director of the Office of Management and Budget, and 

Congress any statutorily required reports described in paragraph (2). 

Such a consolidated report shall be submitted to the President, the 

Director of the Office of Management and Budget, and to appropriate 

committees and subcommittees of Congress not later than 150 days after 

the end of the agency’s fiscal year.

(2) The following reports may be consolidated into the report 

referred to in paragraph (1):

(A) Any report by an agency to Congress, the Office of 

Management and Budget, or the President under section 1116 of 

this Chapter.

(B) The following agency–specific reports:

(i) The biennial financial management improvement plan 

by the Secretary of Defense under section 2222 of Title 10.

(ii) The annual report of the Attorney General under 

section 522 of Title 28.

(C) Any other statutorily required report pertaining to an 

agency’s financial or performance management if the head of the 

agency–

(i) determines that inclusion of that report will enhance the 

usefulness of the reported information to decision makers; and

(ii) consults in advance of inclusion of that report with the 

committee on Governmental Affairs of the Senate, the 

Committee on Government Reform of the House of 

Representatives and any other committee of Congress having 

jurisdiction with respect to the report proposed for inclusion.

(b) A report under subsection (a) that incorporates the agency’s 

program performance report under section 1116 shall be referred to as a 

performance and accountability report.

(c) A report under subsection (a) that does not incorporate the 

agency’s program performance report under section 1116 shall contain a 

summary of the most significant portions of the agency’s program 

performance report, including the agency’s success in achieving key 

performance goals for the applicable year.

––––––––

3 Added and Amended by P.L. 101–576, Title III, § 303(a)(1), 104 Stat. 2849 (1990); 

P.L. 103–356, Title IV, § 405(a), 108 Stat. 3415 (1994); P.L. 106–531, § 4(a),

114 Stat. 2539 (2000); P.L. 107–289, § 2(a), 116 Stat. 2049 (2002).
Chief Financial Officers Act of 1990 (P.L. 101–576) 829

(d) A report under subsection (a) shall include a statement prepared 

by the agency’s inspector general that summarizes what the inspector 

general considers to be the most serious management and performance 

challenges facing the agency and briefly assesses the agency’s progress 

in addressing those challenges. The inspector general shall provide such 

statement to the agency head at least 30 days before the due date of the 

report under subsection (a). The agency head may comment on the 

inspector general’s statement, but may not modify the statement.

(e) A report under subsection (a) shall include a transmittal letter 

from the agency head containing, in addition to any other content, an 

assessment by the agency head of the completeness and reliability of the 

performance and financial data used in the report. The assessment shall 

describe any material inadequacies in the completeness and reliability of 

the data, and the actions the agency can take and is taking to resolve such 

inadequacies.

(f) The Secretary of Homeland Security—

 (1) shall for each fiscal year submit a performance and accountability 

report under subsection (a) that incorporates the program performance 

report under section 1116 of this title for the Department of Homeland 

Security;

 (2) shall include in each performance and accountability report an audit 

opinion of the Department's internal controls over its financial reporting; 

and

 (3) shall design and implement Department–wide management controls 

that––

 (A) reflect the most recent homeland security strategy developed 

pursuant to section 874(b)(2) of the Homeland Security Act of; and

 (B) permit assessment, by the Congress and by managers within the 

Department, of the Department's performance in executing such 

strategy.4

Sec. 304. Financial Audits of Agencies

IN GENERAL—Section 3521 of title 31, United States Code, is 

amended by adding at the end the following new subsections:5

(a) Each account of an agency shall be audited administratively 

before being submitted to the Comptroller General. The head of each 

agency shall prescribe regulations for conducting the audit and designate 

a place at which the audit is to be conducted. However, a disbursing 

official of an executive agency may not administratively audit vouchers 

for which the official is responsible. With the consent of the Comptroller 

General, the head of the agency may waive any part of an audit.

(b) The head of an agency may prescribe a statistical sampling 

procedure to audit vouchers of the agency when the head of the agency 

decides economies will result from using the procedure. The Comptroller 

General––

 (1) may prescribe the maximum amount of a voucher that may be 

audited under this subsection; and

 (2) in reviewing the accounting system of the agency, shall evaluate the 

adequacy and effectiveness of the procedure.

––––––––

4 Added by P.L. 106–531, § 3(a), 114 Stat. 2537 (2000). Amended by P.L. 108–330, § 4(a), 118 Stat. 1277 (2004). 5 Subsections (a), (b), (c), and (d) were established by P.L. 97–258, Subchapter III, 96 Stat. 

961 (1982). Amended by P.L. 101–576, Title III, § 304(a), 104 Stat. 2852 (1990), which 

added subsections (e), (f), (g), and (h). The following statutes further Amended this section: 

P.L. 103–356, Title IV, § 405(b), 108 Stat. 3416 (1994); P.L. 104–208, Div. A, Title I, §

101(f) [Title VIII, § 805(a)], 110 Stat. 3009–392 (1996); P.L. 106–531, § 4(b), 

114-Stat. 2539 (2000).
830 Chief Financial Officers Act of 1990 (P.L. 101–576)

(c) A disbursing or certifying official acting in good faith under 

subsection (b) of this section is not liable for a payment or certification of 

a voucher not audited specifically because of the procedure prescribed 

under subsection (b) if the official and the head of the agency carry out 

diligently collection action the Comptroller General prescribes.

(d) Subsections (b) and (c) of this section do not—

 (1) affect the liability, or authorize the relief, of a payee, beneficiary, or 

recipient of an illegal, improper, or incorrect payment; or

 (2) relieve a disbursing or certifying official, the head of an agency, or 

the Comptroller General of responsibility in carrying out collection 

action against a payee, beneficiary, or recipient.

(e) Each financial statement prepared under section 3515 by an 

agency shall be audited in accordance with applicable generally accepted 

government auditing standards—

 (1) in the case of an agency having an Inspector General appointed 

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 

Inspector General of the agency; and

 (2) in any other case, by an independent external auditor, as determined 

by the head of the agency.

(f) For each audited financial statement required under subsection (a) 

of section 3515 of this title, the person who audits the statement for 

purpose of subsection (e) of this section shall submit a report on the audit 

to the head of the agency and the Controller of the Office of Federal 

Financial Management. A report under this subsection shall be prepared 

in accordance with generally accepted 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 auditor;

 (2) shall report to the Congress, the Director of the Office of 

Management and Budget, and the head of the agency which prepared the 

statement, regarding the results of the review and make any 

recommendation the Comptroller General considers appropriate; 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 Comptroller General shall 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.

(i) (1) If the Government Accountability Office audits any financial 

statement or related schedule which is prepared under section 3515 [31 

USCS § 3515] by an executive agency (or component thereof) for a fiscal 

year beginning on or after October 1, 2009, such executive agency (or 

component) shall reimburse the Government Accountability Office for 

the cost of such audit, if the Government Accountability Office audited 

the statement or schedule of such executive agency (or component) for 

fiscal year 2007.

 (2) Any executive agency (or component thereof) that prepares a 

financial statement under section 3515 [31 USCS § 3515] for a fiscal 

year beginning on or after October 1, 2009, and that requests, with the 

concurrence of the Inspector General of such agency, the Government 
Chief Financial Officers Act of 1990 (P.L. 101–576) 831

Accountability Office to conduct the audit of such statement or any 

related schedule required by section 3521 [31 USCS § 3521] may 

reimburse the Government Accountability Office for the cost of such 

audit.

 (3) For the audits conducted under paragraphs (1) and (2), the 

Government Accountability Office shall consult prior to the initiation of 

the audit with the relevant executive agency (or component) and the 

Inspector General of such agency on the scope, terms, and cost of such

audit.

 (4) Any reimbursement under paragraph (1) or (2) shall be deposited to 

a special account in the Treasury and shall be available to the 

Government Accountability Office for such purposes and in such 

amounts as are specified in annual appropriations Acts.6

Sec. 305. Financial Audits of Government Corporations

Section 9105 of Title 31, United States Code, is amended to read as 

follows:

§9105. 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 under other Federal

law, or by an independent 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.

 (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 Committee 

on Government Operations of the House of Representatives, and to the 

Chairman of the Committee on Governmental Affairs of the Senate.

 (4) The Comptroller General of the United States––

(A) may review any audit of a financial statement conducted 

under this subsection by an Inspector General or an external auditor;

(B) shall report to the Congress, the Director of the Office of 

Management and Budget, and the head of the Government corporation 

which prepared the statement, regarding the results of the review and 

make any recommendation the Comptroller General of the United States 

considers appropriate; and

(C) may audit a financial statement of a Government 

corporation 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 paragraph shall 

be in lieu of the audit otherwise required by paragraph (1) of this 

subsection. Prior to performing such audit, the Comptroller General shall 

consult with the Inspector General of the agency which prepared the 

statement.

 (5) A Government corporation shall reimburse the Comptroller 

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 received under this paragraph 

––––––––

6 Added by P.L. 97–258, § 1, 96 Stat. 961 (1982). Amended by P.L. 101–576, Title III, 

§ 304(a), 104 Stat. 2852 (1990); P.L. 103–356, Title IV, § 405(b), 108 Stat. 3416 (1994); 

P.L. 104–208, Div. A, Title I, § 101(f) [Title VIII, § 805(a)], 110 Stat. 3009–392 (1996); 

P.L. 106–531, § 4(b), 114 Stat. 2539 (2000); P.L. 110–323, § 6(a), 122 Stat. 3547 (2008).
832 Chief Financial Officers Act of 1990 (P.L. 101–576)

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.7

Sec. 306. Management Reports of Government Corporations

(a) IN GENERAL.–Section 9106 of Title 31, United States Code, is 

amended to read as follows:

§9106. Management reports

(a) (1) A Government corporation shall submit an annual management 

report to the Congress not later than 180 days after the end of the 

Government corporation's fiscal year.

 (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 control 

systems by the head of the management of the corporation, consistent 

with the requirements for agency statements on internal 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 statements 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 Director of 

the Office of Management and Budget, and the Comptroller General of 

the United States a copy of the management report when it is submitted 

to Congress.8

Sec. 307. Adoption of Capital Accounting Standards

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.

––––––––

7 Added by P.L. 97–258, § 1, 96 Stat. 1043 (1982). Amended by P.L. 100–86, Title IV, 

§ 403, 101 Stat. 609 (1987); P.L. 100–233, Title VII, Subtitle A, § 703, 101 Stat. 1706

(1988); P.L. 100–399, Title VI, § 602, 102 Stat. 1006 (1988); P.L. 101–73, Title V, Subtitle 

B, § 511(b)(2), 103 Stat. 406 (1989); P.L. 101–576, Title III, § 305, 104 Stat. 2853 (1990); 

P.L. 103–82, Title II, § 202(e)(2), 107 Stat. 888 (1993). 8 Added by P.L. 97–258, § 1, 96 Stat. 1044 (1982). Amended by P.L. 101–576, Title III, § 306(a), 104 Stat. 2854 (1990).

31 USC 3511 

note.
Reports Consolidation Act of 2000 (P.L. 106–531) 833

B. REPORTS CONSOLIDATION ACT OF 2000

Public Law 106–531 114 Stat. 2537

November 22, 2000

An Act

To amend Chapter 35 of Title 31, United States Code, to authorize the 

consolidation of certain financial and performance management reports 

required of Federal agencies, and for other purposes.

Sec. 1. Short Title

This Act may be cited as the “Reports Consolidation Act of 2000.”

Sec. 2. Findings and Purposes

(a) FINDINGS.–Congress finds that–

(1) existing law imposes numerous financial and performance 

management reporting requirements on agencies;

(2) these separate requirements can cause duplication of effort on 

the part of agencies and result in uncoordinated reports containing 

information in a form that is not completely useful to Congress; and

(3) pilot projects conducted by agencies under the direction of the 

Office of Management and Budget demonstrate that single 

consolidated reports providing an analysis of verifiable financial and 

performance management information produce more useful reports 

with greater efficiency.

(b) PURPOSES.–The purposes of this Act are–

(1) to authorize and encourage the consolidation of financial and 

performance management reports;

(2) to provide financial and performance management information 

in a more meaningful and useful format for Congress, the President, 

and the public;

(3) to improve the quality of agency financial and performance 

management information; and

(4) to enhance coordination and efficiency on the part of agencies 

in reporting financial and performance management information.

Sec. 3. Consolidated Reports

(a) IN GENERAL.–Chapter 35 of Title 31, United States Code, is 

amended by adding at the end of the following:

“section 3516. Reports Consolidation

“(a)(1) With the concurrence of the Director of the Office of 

Management and Budget, the head of an executive agency may adjust 

the frequency and due dates of, and consolidate into an annual report 

to the President, the Director of the Office of Management and 

Budget, and Congress any statutorily required reports described in 

paragraph (2). Such a consolidated report shall be submitted to the 

President, the Director of the Office of Management and Budget, and 

to appropriate committees and subcommittees of Congress not later 

than 150 days after the end of the agency’s fiscal year.

“(2) The following reports may be consolidated into the report 

referred to in paragraph (1):

(A) Any report by an agency to Congress, the Office of 

Management and Budget, or the President under section 1116, this 

Chapter, and Chapters 9, 33, 37, 75, and 91.

(B) The following agency–specific reports:

31 USC 3501 

note.

31 USC 3516 

note.

Deadline.
834 Reports Consolidation Act of 2000 (P.L. 106–531)

“(i) The biennial financial management improvement plan 

by the Secretary of Defense under section 2222 of Title 10.

“(ii) The annual report of the Attorney General under 

section 522 of Title 28.

(C) Any other statutorily required report pertaining to an 

agency’s financial or performance management if the head of the 

agency–

“(i) determines that inclusion of that report will enhance 

the usefulness of the reported information to decision makers; 

and

“(ii) consults in advance of inclusion of that report with the 

committee on Governmental Affairs of the Senate, the 

Committee on Government Reform of the House of 

Representatives, and any other committee of Congress having 

jurisdiction with respect to the report proposed for inclusion.

“(b) A report under subsection (a) that incorporates the agency’s 

program performance report under section 1116 shall be referred to as 

a performance and accountability report.

“(c) A report under subsection (a) that does not incorporate the 

agency’s program performance report under section 1116 shall 

contain a summary of the most significant portions of the agency’s 

program performance report, including the agency’s success in 

achieving key performance goals for the applicable year. 

“(d) A report under subsection (a) shall include a statement 

prepared by the agency’s inspector general that summarizes what the 

inspector general considers to be the most serious management and 

performance challenges facing the agency and briefly assesses the 

agency’s progress in addressing those challenges. The inspector 

general shall provide such statement to the agency head at least 30 

days before the due date of the report under subsection (a). The 

agency head may comment on the inspector general’s statement, but 

may not modify the statement.

“(e) A report under subsection (a) shall include a transmittal letter 

from the agency head containing, in addition to any other content, an 

assessment by the agency head of the completeness and reliability of 

the performance and financial data used in the report. The assessment 

shall describe any material inadequacies in the completeness and 

reliability of the data, and the actions the agency can take and is 

taking to resolve such inadequacies.”.”

(f) The Secretary of Homeland Security—

 (1) shall for each fiscal year submit a performance and 

accountability report under subsection (a) that incorporates the 

program performance report under section 1116 of this title for 

the Department of Homeland Security;

 (2) shall include in each performance and accountability report 

an audit opinion of the Department's internal controls over its 

financial reporting; and

 (3) shall design and implement Department–wide management 

controls that—

 (A) reflect the most recent homeland security strategy 

developed pursuant to section 874(b)(2) of the Homeland 

Security Act of 2002; and

Deadline.
Reports Consolidation Act of 2000 (P.L. 106–531) 835

 (B) permit assessment, by the Congress and by managers 

within the Department, of the Department's performance in 

executing such strategy.1

(b) SPECIAL RULE FOR FISCAL YEARS 2000 AND 2001.–

Notwithstanding paragraph (1) of section 3516(a) of Title 31, United 

States Code (as added by subsection (a) of this section), the head of an 

executive agency may submit a consolidated report under such paragraph 

not later than 180 days after the end of that agency’s fiscal year, with 

respect to fiscal years 2000 and 2001.

(c) TECHNICAL AND CONFORMING AMENDMENT.–The table 

of sections for Chapter 35 of Title 31, United States Code, is amended by 

inserting after the item relating to section 3515 the following:

“3516. Reports consolidation.”.

Sec. 4. Amendments Relating to Audited Financial Statement

(a) FINANCIAL STATEMENTS.–Section 3515 of Title 31, United 

States Code, is amended–

(1) in subsection (a); by inserting “Congress and the” before 

“Director”; and

(2) by striking subsections (e) through (h).

(b) ELIMINATION OF REPORT.–Section 3521(f) of Title 31, 

United States code is amended–

(1) in paragraph (1)–

(A) by striking “subsections (a) and (f)” and inserting 

“subsection (a)”; and

(B) by striking “(1)”; and

(2) by striking paragraph (2).

Sec. 5. Amendments Relating to Program Performance Reports

(a) REPORT DUE DATE.–

(1) IN GENERAL.–Section 1116(a) of Title 31, United States 

Code, is amended by striking “No later than March 31, 2000, and no 

later than March 31 of each year thereafter,” and inserting “Not later 

than 150 days after the end of an agency’s fiscal year,”.

(2) SPECIAL RULE FOR FISCAL YEARS 2000 AND 2001.–

Notwithstanding subsection (a) of section 1116 of Title 31, United 

States Code (as amended by paragraph (1) of this subsection), an 

agency head may submit a report under such subsection not later than 

180 days after the end of that agency’s fiscal year, with respect to 

fiscal years 2000 and 2001.

(b) INCLUSION OF INFORMATION IN FINANCIAL 

STATEMENT.–Section 1116(e) of Title 31, United States Code, is 

amended to read as follows:

“(e)(1) Except as provided in paragraph (2), each program 

performance report shall contain an assessment by the agency head of 

the completeness and reliability of the performance data included in 

the report. The assessment shall describe any material inadequacies in 

the completeness and reliability of the performance data, and the 

actions the agency can take and is taking to resolve such 

inadequacies.

“(2) If a program performance report is incorporated into a report 

submitted under section 3516, the requirements of section 3516(e) shall 

apply in lieu of paragraph (1).”.

––––––––

1 Subsection (f) added P.L. 108–330, § 4(a), 118 Stat. 1277 (2004).

Deadline.

31 USC 3516 

note.

31 USC 1116 

note.
836 Govt. Performance and Results Act of 1993 (P.L. 103–410)

C. GOVERNMENT PERFORMANCE AND RESULTS ACT OF 

1993

Public Law 103–410 107 Stat. 285

Be it enacted by the Senate and House of Representatives of the 

United States of America in Congress assembled,

Sec. 1. Short Title

This Act may be cited as the “Government Performance and Results Act 

of 1993”. 

Sec. 2. Findings and Purposes

(a) FINDINGS.—The Congress finds that—

(1) waste and inefficiency in Federal programs undermine the 

confidence of the American people in the Government and reduces 

the Federal Government's ability to address adequately vital public 

needs;

(2) Federal managers are seriously disadvantaged in their efforts 

to improve program efficiency and effectiveness, because of 

insufficient articulation of program goals and inadequate information 

on program performance; and

(3) congressional policymaking, spending decisions and program 

oversight are seriously handicapped by insufficient attention to 

program performance and results.

(b) PURPOSES.—The purposes of this Act are to—

(1) improve the confidence of the American people in the 

capability of the Federal Government, by systematically holding 

Federal agencies accountable for achieving program results;

(2) initiate program performance reform with a series of pilot 

projects in setting program goals, measuring program performance 

against those goals, and reporting publicly on their progress;

(3) improve Federal program effectiveness and public 

accountability by promoting a new focus on results, service quality, 

and customer satisfaction;

(4) help Federal managers improve service delivery, by requiring 

that they plan for meeting program objectives and by providing them 

with information about program results and service quality;

(5) improve congressional decisionmaking by providing more 

objective information on achieving statutory objectives, and on the 

relative effectiveness and efficiency of Federal programs and 

spending; and

(6) improve internal management of the Federal Government.

Sec. 3. Strategic Planning

Chapter 3 of title 5, United States Code, is amended by adding after 

section 305 the following new section:

“§ 306. Strategic plans

“(a) No later than September 30, 1997, the head of each agency shall 

submit to the Director of the Office of Management and Budget and to 

the Congress a strategic plan for program activities. Such plan shall 

contain—

“(1) a comprehensive mission statement covering the major 

functions and operations of the agency;

31 USC 1101 

note.

31 USC 1115 

note.
Govt. Performance and Results Act of 1993 (P.L. 103–410) 837

“(2) general goals and objectives, including outcome–related 

goals and objectives, for the major functions and operations of the 

agency;

“(3) a description of how the goals and objectives are to be 

achieved, including a description of the operational processes, skills 

and technology, and the human, capital, information, and other 

resources required to meet those goals and objectives;

“(4) a description of how the performance goals included in the 

plan required by section 1115(a) of title 31 shall be related to the 

general goals and objectives in the strategic plan;

“(5) an identification of those key factors external to the agency 

and beyond its control that could significantly affect the achievement 

of the general goals and objectives; and

“(6) a description of the program evaluations used in establishing 

or revising general goals and objectives, with a schedule for future 

program evaluations.

“(b) The strategic plan shall cover a period of not less than five years 

forward from the fiscal year in which it is submitted, and shall be 

updated and revised at least every three years.

“(c) The performance plan required by section 1115 of title 31 shall 

be consistent with the agency's strategic plan. A performance plan may 

not be submitted for a fiscal year not covered by a current strategic plan 

under this section.

“(d) When developing a strategic plan, the agency shall consult with 

the Congress, and shall solicit and consider the views and suggestions of 

those entities potentially affected by or interested in such a plan.

“(e) The functions and activities of this section shall be considered to 

be inherently Governmental functions. The drafting of strategic plans 

under this section shall be performed only by Federal employees.

“(f) For purposes of this section the term ‘agency’ means an 

Executive agency defined under section 105, but does not include the 

Central Intelligence Agency, the General Accounting Office, the Panama 

Canal Commission, the United States Postal Service, and the Postal Rate 

Commission.”.

Sec. 4. Annual Performance Plans and Reports

(a) BUDGET CONTENTS AND SUBMISSION TO CONGRESS.—

Section 1105(a) of title 31, United States Code, is amended by adding at 

the end thereof the following new paragraph:

“(29) beginning with fiscal year 1999, a Federal Government 

performance plan for the overall budget as provided for under section 

1115.”.

(b) PERFORMANCE PLANS AND REPORTS.—Chapter 11 of title 31, 

United States Code, is amended by adding after section 1114 the 

following new sections:

“§ 1115. Performance plans

“(a) In carrying out the provisions of section 1105(a)(29), the 

Director of the Office of Management and Budget shall require each 

agency to prepare an annual performance plan covering each program 

activity set forth in the budget of such agency. Such plan shall—

“(1) establish performance goals to define the level of 

performance to be achieved by a program activity;
838 Govt. Performance and Results Act of 1993 (P.L. 103–410)

“(2) express such goals in an objective, quantifiable, and 

measurable form unless authorized to be in an alternative form under 

subsection (b);

“(3) briefly describe the operational processes, skills and 

technology, and the human, capital, information, or other resources 

required to meet the performance goals;

“(4) establish performance indicators to be used in measuring or 

assessing the relevant outputs, service levels, and outcomes of each 

program activity;

“(5) provide a basis for comparing actual program results with the 

established performance goals; and

“(6) describe the means to be used to verify and validate measured 

values.

“(b) If an agency, in consultation with the Director of the Office of 

Management and Budget, determines that it is not feasible to express the 

performance goals for a particular program activity in an objective, 

quantifiable, and measurable form, the Director of the Office of 

Management and Budget may authorize an alternative form. Such 

alternative form shall—

“(1) include separate descriptive statements of—

“(A)(i) a minimally effective program, and

“(ii) a successful program, or

“(B) such alternative as authorized by the Director of the 

Office of Management and Budget,

with sufficient precision and in such terms that would allow for an 

accurate, independent determination of whether the program activity's 

performance meets the criteria of the description; or

“(2) state why it is infeasible or impractical to express a 

performance goal in any form for the program activity.

“(c) For the purpose of complying with this section, an agency may 

aggregate, disaggregate, or consolidate program activities, except that 

any aggregation or consolidation may not omit or minimize the 

significance of any program activity constituting a major function or 

operation for the agency.

“(d) An agency may submit with its annual performance plan an 

appendix covering any portion of the plan that—

“(1) is specifically authorized under criteria established by an 

Executive order to be kept secret in the interest of national defense or 

foreign policy; and

“(2) is properly classified pursuant to such Executive order.

“(e) The functions and activities of this section shall be considered to 

be inherently Governmental functions. The drafting of performance plans 

under this section shall be performed only by Federal employees.

“(f) For purposes of this section and sections 1116 through 1119, and 

sections 9703 and 9704 the term—

“(1) ‘agency’ has the same meaning as such term is defined under 

section 306(f) of title 5;

“(2) ‘outcome measure’ means an assessment of the results of a 

program activity compared to its intended purpose;

“(3) ‘output measure’ means the tabulation, calculation, or 

recording of activity or effort and can be expressed in a quantitative 

or qualitative manner;

“(4) ‘performance goal’ means a target level of performance 

expressed as a tangible, measurable objective, against which actual 
Govt. Performance and Results Act of 1993 (P.L. 103–410) 839

achievement can be compared, including a goal expressed as a 

quantitative standard, value, or rate;

“(5) ‘performance indicator’ means a particular value or 

characteristic used to measure output or outcome;

“(6) ‘program activity’ means a specific activity or project as 

listed in the program and financing schedules of the annual budget of 

the United States Government; and

“(7) ‘program evaluation’ means an assessment, through objective 

measurement and systematic analysis, of the manner and extent to 

which Federal programs achieve intended objectives.

“§ 1116. Program performance reports

“(a) No later than March 31, 2000, and no later than March 31 of 

each year thereafter, the head of each agency shall prepare and submit to 

the President and the Congress, a report on program performance for the 

previous fiscal year.

“(b)(1) Each program performance report shall set forth the 

performance indicators established in the agency performance plan under 

section 1115, along with the actual program performance achieved 

compared with the performance goals expressed in the plan for that fiscal 

year.

“(2) If performance goals are specified in an alternative form under 

section 1115(b), the results of such program shall be described in relation 

to such specifications, including whether the performance failed to meet 

the criteria of a minimally effective or successful program.

“(c) The report for fiscal year 2000 shall include actual results for the 

preceding fiscal year, the report for fiscal year 2001 shall include actual 

results for the two preceding fiscal years, and the report for fiscal year 

2002 and all subsequent reports shall include actual results for the three 

preceding fiscal years.

“(d) Each report shall—

“(1) review the success of achieving the performance goals of the 

fiscal year;

“(2) evaluate the performance plan for the current fiscal year 

relative to the performance achieved toward the performance goals in 

the fiscal year covered by the report;

“(3) explain and describe, where a performance goal has not been 

met (including when a program activity's performance is determined 

not to have met the criteria of a successful program activity under 

section 1115(b)(1)(A)(ii) or a corresponding level of achievement if 

another alternative form is used)—

“(A) why the goal was not met;

“(B) those plans and schedules for achieving the established 

performance goal; and

“(C) if the performance goal is impractical or infeasible, why 

that is the case and what action is recommended;

“(4) describe the use and assess the effectiveness in achieving 

performance goals of any waiver under section 9703 of this title; and

“(5) include the summary findings of those program evaluations 

completed during the fiscal year covered by the report.

“(e) An agency head may include all program performance 

information required annually under this section in an annual financial 

statement required under section 3515 if any such statement is submitted 

to the Congress no later than March 31 of the applicable fiscal year.

“(f) The functions and activities of this section shall be considered to 

be inherently Governmental functions. The drafting of program 
840 Govt. Performance and Results Act of 1993 (P.L. 103–410)

performance reports under this section shall be performed only by 

Federal employees.

“§ 1117. Exemption

“The Director of the Office of Management and Budget may exempt 

from the requirements of sections 1115 and 1116 of this title and section 

306 of title 5, any agency with annual outlays of $20,000,000 or less.”.

Sec. 5. Managerial Accountability and Flexibility

(a) MANAGERIAL ACCOUNTABILITY AND FLEXIBILITY.—

Chapter 97 of title 31, United States Code, is amended by adding after 

section 9702, the following new section:

“§ 9703. Managerial accountability and flexibility

“(a) Beginning with fiscal year 1999, the performance plans required 

under section 1115 may include proposals to waive administrative 

procedural requirements and controls, including specification of 

personnel staffing levels, limitations on compensation or remuneration, 

and prohibitions or restrictions on funding transfers among budget object 

classification 20 and subclassifications 11, 12, 31, and 32 of each annual 

budget submitted under section 1105, in return for specific individual or 

organization accountability to achieve a performance goal. In preparing 

and submitting the performance plan under section 1105(a)(29), the 

Director of the Office of Management and Budget shall review and may 

approve any proposed waivers. A waiver shall take effect at the 

beginning of the fiscal year for which the waiver is approved.

“(b) Any such proposal under subsection (a) shall describe the 

anticipated effects on performance resulting from greater managerial or 

organizational flexibility, discretion, and authority, and shall quantify the 

expected improvements in performance resulting from any waiver. The 

expected improvements shall be compared to current actual performance, 

and to the projected level of performance that would be achieved 

independent of any waiver.

“(c) Any proposal waiving limitations on compensation or 

remuneration shall precisely express the monetary change in 

compensation or remuneration amounts, such as bonuses or awards, that 

shall result from meeting, exceeding, or failing to meet performance 

goals.

“(d) Any proposed waiver of procedural requirements or controls 

imposed by an agency (other than the proposing agency or the Office of 

Management and Budget) may not be included in a performance plan 

unless it is endorsed by the agency that established the requirement, and 

the endorsement included in the proposing agency's performance plan.

“(e) A waiver shall be in effect for one or two years as specified by 

the Director of the Office of Management and Budget in approving the 

waiver. A waiver may be renewed for a subsequent year. After a waiver 

has been in effect for three consecutive years, the performance plan 

prepared under section 1115 may propose that a waiver, other than a 

waiver of limitations on compensation or remuneration, be made 

permanent.

“(f) For purposes of this section, the definitions under section 1115(f) 

shall apply.”.
Govt. Performance and Results Act of 1993 (P.L. 103–410) 841

Sec. 6. Pilot Projects

(a) PERFORMANCE PLANS AND REPORTS.—Chapter 11 of title 31, 

United States Code, is amended by inserting after section 1117 (as added 

by section 4 of this Act) the following new section:

“§ 1118. Pilot projects for performance goals

“(a) The Director of the Office of Management and Budget, after 

consultation with the head of each agency, shall designate not less than 

ten agencies as pilot projects in performance measurement for fiscal 

years 1994, 1995, and 1996. The selected agencies shall reflect a 

representative range of Government functions and capabilities in 

measuring and reporting program performance.

“(b) Pilot projects in the designated agencies shall undertake the 

preparation of performance plans under section 1115, and program 

performance reports under section 1116, other than section 1116(c), for 

one or more of the major functions and operations of the agency. A 

strategic plan shall be used when preparing agency performance plans 

during one or more years of the pilot period.

“(c) No later than May 1, 1997, the Director of the Office of 

Management and Budget shall submit a report to the President and to the 

Congress which shall—

“(1) assess the benefits, costs, and usefulness of the plans and 

reports prepared by the pilot agencies in meeting the purposes of the 

Government Performance and Results Act of 1993;

“(2) identify any significant difficulties experienced by the pilot 

agencies in preparing plans and reports; and

“(3) set forth any recommended changes in the requirements of 

the provisions of Government Performance and Results Act of 1993, 

section 306 of title 5, sections 1105, 1115, 1116, 1117, 1119 and 

9703 of this title, and this section.”.

(b) MANAGERIAL ACCOUNTABILITY AND FLEXIBILITY.—

Chapter 97 of title 31, United States Code, is amended by inserting after 

section 9703 (as added by section 5 of this Act) the following new 

section:

“§ 9704. Pilot projects for managerial accountability and flexibility

“(a) The Director of the Office of Management and Budget shall 

designate not less than five agencies as pilot projects in managerial 

accountability and flexibility for fiscal years 1995 and 1996. Such 

agencies shall be selected from those designated as pilot projects under 

section 1118 and shall reflect a representative range of Government 

functions and capabilities in measuring and reporting program 

performance.

“(b) Pilot projects in the designated agencies shall include proposed 

waivers in accordance with section 9703 for one or more of the major 

functions and operations of the agency.

“(c) The Director of the Office of Management and Budget shall 

include in the report to the President and to the Congress required under 

section 1118(c)—

“(1) an assessment of the benefits, costs, and usefulness of 

increasing managerial and organizational flexibility, discretion, and 

authority in exchange for improved performance through a waiver; 

and
842 Govt. Performance and Results Act of 1993 (P.L. 103–410)

“(2) an identification of any significant difficulties experienced by 

the pilot agencies in preparing proposed waivers.

“(d) For purposes of this section the definitions under section 1115(f) 

shall apply.”.

(c) PERFORMANCE BUDGETING.—Chapter 11 of title 31, United 

States Code, is amended by inserting after section 1118 (as added by 

section 6 of this Act) the following new section:

“§ 1119. Pilot projects for performance budgeting

“(a) The Director of the Office of Management and Budget, after 

consultation with the head of each agency shall designate not less than 

five agencies as pilot projects in performance budgeting for fiscal years 

1998 and 1999. At least three of the agencies shall be selected from those 

designated as pilot projects under section 1118, and shall also reflect a 

representative range of Government functions and capabilities in 

measuring and reporting program performance.

“(b) Pilot projects in the designated agencies shall cover the 

preparation of performance budgets. Such budgets shall present, for one 

or more of the major functions and operations of the agency, the varying 

levels of performance, including outcome–related performance, that 

would result from different budgeted amounts.

“(c) The Director of the Office of Management and Budget shall 

include, as an alternative budget presentation in the budget submitted 

under section 1105 for fiscal year 1999, the performance budgets of the 

designated agencies for this fiscal year.

“(d) No later than March 31, 2001, the Director of the Office of 

Management and Budget shall transmit a report to the President and to 

the Congress on the performance budgeting pilot projects which shall—

“(1) assess the feasibility and advisability of including a 

performance budget as part of the annual budget submitted under 

section 1105;

“(2) describe any difficulties encountered by the pilot agencies in 

preparing a performance budget;

“(3) recommend whether legislation requiring performance 

budgets should be proposed and the general provisions of any 

legislation; and

“(4) set forth any recommended changes in the other requirements 

of the Government Performance and Results Act of 1993, section 306 

of title 5, sections 1105, 1115, 1116, 1117, and 9703 of this title, and 

this section.

“(e) After receipt of the report required under subsection (d), the 

Congress may specify that a performance budget be submitted as part of 

the annual budget submitted under section 1105.”.

Sec. 7. United States Postal Service

Part III of title 39, United States Code, is amended by adding at the end 

thereof the following new chapter:

“Chapter 28—Strategic Planning and Performance Management

“Sec.

“2801. Definitions.

“2802. Strategic plans.

“2803. Performance plans.
Govt. Performance and Results Act of 1993 (P.L. 103–410) 843

“2804. Program performance reports.

“2805. Inherently Governmental functions.

“§ 2801. Definitions

“For purposes of this chapter the term—

“(1) ‘outcome measure’ refers to an assessment of the results of a 

program activity compared to its intended purpose;

“(2) ‘output measure’ refers to the tabulation, calculation, or 

recording of activity or effort and can be expressed in a quantitative 

or qualitative manner;

“(3) ‘performance goal’ means a target level of performance 

expressed as a tangible, measurable objective, against which actual 

achievement shall be compared, including a goal expressed as a 

quantitative standard, value, or rate;

“(4) ‘performance indicator’ refers to a particular value or 

characteristic used to measure output or outcome;

“(5) ‘program activity’ means a specific activity related to the 

mission of the Postal Service; and

“(6) ‘program evaluation’ means an assessment, through objective 

measurement and systematic analysis, of the manner and extent to 

which Postal Service programs achieve intended objectives.

“§ 2802. Strategic plans

“(a) No later than September 30, 1997, the Postal Service shall submit 

to the President and the Congress a strategic plan for its program 

activities. Such plan shall contain—

“(1) a comprehensive mission statement covering the major 

functions and operations of the Postal Service;

“(2) general goals and objectives, including outcome–related 

goals and objectives, for the major functions and operations of the 

Postal Service;

“(3) a description of how the goals and objectives are to be 

achieved, including a description of the operational processes, skills 

and technology, and the human, capital, information, and other 

resources required to meet those goals and objectives;

“(4) a description of how the performance goals included in the 

plan required under section 2803 shall be related to the general goals 

and objectives in the strategic plan;

“(5) an identification of those key factors external to the Postal 

Service and beyond its control that could significantly affect the 

achievement of the general goals and objectives; and

“(6) a description of the program evaluations used in establishing 

or revising general goals and objectives, with a schedule for future 

program evaluations.

“(b) The strategic plan shall cover a period of not less than five years 

forward from the fiscal year in which it is submitted, and shall be 

updated and revised at least every three years.

“(c) The performance plan required under section 2803 shall be 

consistent with the Postal Service's strategic plan. A performance plan 

may not be submitted for a fiscal year not covered by a current strategic 

plan under this section.

“(d) When developing a strategic plan, the Postal Service shall solicit 

and consider the views and suggestions of those entities potentially 

affected by or interested in such a plan, and shall advise the Congress of 

the contents of the plan.
844 Govt. Performance and Results Act of 1993 (P.L. 103–410)

“§ 2803. Performance plans

“(a) The Postal Service shall prepare an annual performance plan 

covering each program activity set forth in the Postal Service budget, 

which shall be included in the comprehensive statement presented under 

section 2401(g) of this title. Such plan shall—

“(1) establish performance goals to define the level of 

performance to be achieved by a program activity;

“(2) express such goals in an objective, quantifiable, and 

measurable form unless an alternative form is used under subsection 

(b);

“(3) briefly describe the operational processes, skills and 

technology, and the human, capital, information, or other resources 

required to meet the performance goals;

“(4) establish performance indicators to be used in measuring or 

assessing the relevant outputs, service levels, and outcomes of each 

program activity;

“(5) provide a basis for comparing actual program results with the 

established performance goals; and

“(6) describe the means to be used to verify and validate measured 

values.

“(b) If the Postal Service determines that it is not feasible to express 

the performance goals for a particular program activity in an objective, 

quantifiable, and measurable form, the Postal Service may use an 

alternative form. Such alternative form shall—

“(1) include separate descriptive statements of—

“(A) a minimally effective program, and

“(B) a successful program,

with sufficient precision and in such terms that would allow for an 

accurate, independent determination of whether the program activity's 

performance meets the criteria of either description; or

“(2) state why it is infeasible or impractical to express a 

performance goal in any form for the program activity.

“(c) In preparing a comprehensive and informative plan under this 

section, the Postal Service may aggregate, disaggregate, or consolidate 

program activities, except that any aggregation or consolidation may not 

omit or minimize the significance of any program activity constituting a 

major function or operation.

“(d) The Postal Service may prepare a non–public annex to its plan 

covering program activities or parts of program activities relating to—

“(1) the avoidance of interference with criminal prosecution; or

“(2) matters otherwise exempt from public disclosure under 

section 410(c) of this title.

“§ 2804. Program performance reports

“(a) The Postal Service shall prepare a report on program 

performance for each fiscal year, which shall be included in the annual 

comprehensive statement presented under section 2401(g) of this title.

“(b)(1) The program performance report shall set forth the 

performance indicators established in the Postal Service performance 

plan, along with the actual program performance achieved compared 

with the performance goals expressed in the plan for that fiscal year.

“(2) If performance goals are specified by descriptive statements of a 

minimally effective program activity and a successful program activity, 

the results of such program shall be described in relationship to those 

categories, including whether the performance failed to meet the criteria 

of either category.
Govt. Performance and Results Act of 1993 (P.L. 103–410) 845

“(c) The report for fiscal year 2000 shall include actual results for the 

preceding fiscal year, the report for fiscal year 2001 shall include actual 

results for the two preceding fiscal years, and the report for fiscal year 

2002 and all subsequent reports shall include actual results for the three 

preceding fiscal years.

“(d) Each report shall—

“(1) review the success of achieving the performance goals of the 

fiscal year;

“(2) evaluate the performance plan for the current fiscal year 

relative to the performance achieved towards the performance goals 

in the fiscal year covered by the report;

“(3) explain and describe, where a performance goal has not been 

met (including when a program activity's performance is determined 

not to have met the criteria of a successful program activity under 

section 2803(b)(2))—

“(A) why the goal was not met;

“(B) those plans and schedules for achieving the established 

performance goal; and

“(C) if the performance goal is impractical or infeasible, why 

that is the case and what action is recommended; and

“(4) include the summary findings of those program evaluations 

completed during the fiscal year covered by the report.

“§ 2805. Inherently Governmental functions

“The functions and activities of this chapter shall be considered to be 

inherently Governmental functions. The drafting of strategic plans, 

performance plans, and program performance reports under this section 

shall be performed only by employees of the Postal Service.”.

Sec. 8. Congressional Oversight and Legislation

(a) IN GENERAL.—Nothing in this Act shall be construed as limiting 

the ability of Congress to establish, amend, suspend, or annul a 

performance goal. Any such action shall have the effect of superseding 

that goal in the plan submitted under section 1105(a)(29) of title 31, 

United States Code.

(b) GAO REPORT.—No later than June 1, 1997, the Comptroller 

General of the United States shall report to Congress on the 

implementation of this Act, including the prospects for compliance by 

Federal agencies beyond those participating as pilot projects under 

sections 1118 and 9704 of title 31, United States Code.

Sec. 9. Training

The Office of Personnel Management shall, in consultation with the 

Director of the Office of Management and Budget and the Comptroller 

General of the United States, develop a strategic planning and 

performance measurement training component for its management 

training program and otherwise provide managers with an orientation on 

the development and use of strategic planning and program performance 

measurement.

Sec. 10. Application of Act

No provision or amendment made by this Act may be construed as—

(1) creating any right, privilege, benefit, or entitlement for any person 

who is not an Officer or employee of the United States acting in such 

capacity, and no person who is not an Officer or employee of the United 

States acting in such capacity shall have standing to file any civil action 

in a court of the United States to enforce any provision or amendment 

made by this Act; or
846 Govt. Performance and Results Act of 1993 (P.L. 103–410)

(2) superseding any statutory requirement, including any requirement 

under section 553 of title 5, United States Code.

Sec. 11. Technical and Conforming Amendments

(a) AMENDMENT TO TITLE 5, UNITED STATES CODE.—The table 

of sections for chapter 3 of title 5, United States Code, is amended by 

adding after the item relating to section 305 the following:

“Sec. “306. Strategic plans.”.

(b) AMENDMENTS TO TITLE 31, UNITED STATES CODE.—

(1) AMENDMENT TO CHAPTER 11.—The table of sections for 

chapter 11 of title 31, United States Code, is amended by adding after the 

item relating to section 1114 the following:

“1115. Performance plans.

“1116. Program performance reports.

“1117. Exemptions.

“1118. Pilot projects for performance goals.

“1119. Pilot projects for performance budgeting.”.

(2) AMENDMENT TO CHAPTER 97.—The table of sections for 

chapter 97 of title 31, United States Code, is amended by adding after the 

item relating to section 9702 the following:

“9703. Managerial accountability and flexibility.

“9704. Pilot projects for managerial accountability and flexibility.”.

(c) AMENDMENT TO TITLE 39, UNITED STATES CODE.—The 

table of chapters for part III of title 39, United States Code, is amended 

by adding at the end thereof the following new item:

“28. Strategic planning and performance management .......... 2801”.
GPRA Modernization Act of 2010 (P.L. 111–352) 847

D. GPRA MODERNIZATION ACT OF 2010

Public Law 111–352 124 Stat. 3866

Be it enacted by the Senate and House of Representatives of the 

United States of America in Congress assembled,

Sec. 1. Short Title; Table of Contents

(a) SHORT TITLE.––This Act may be cited as the “GPRA 

Modernization Act of 2010”.

(b) TABLE OF CONTENTS.––The table of contents for this Act is as 

follows:

Sec. 1. Short title; table of contents.

Sec. 2. Strategic planning amendments.

Sec. 3. Performance planning amendments.

Sec. 4. Performance reporting amendments.

Sec. 5. Federal Government and agency priority goals.

Sec. 6. Quarterly priority progress reviews and use of performance 

information.

Sec. 7. Transparency of Federal Government programs, priority goals, 

and results.

Sec. 8. Agency Chief Operating Officers.

Sec. 9. Agency Performance Improvement Officers and the Performance 

Improvement Council.

Sec. 10. Format of performance plans and reports.

Sec. 11. Reducing duplicative and outdated agency reporting.

Sec. 12. Performance management skills and competencies.

Sec. 13. Technical and conforming amendments.

Sec. 14. Implementation of this Act.

Sec. 15. Congressional oversight and legislation.

Sec. 2. Strategic Planning Amendments

Chapter 3 of title 5, United States Code, is amended by striking section 

306 and inserting the following:

“§ 306. Agency strategic plans

“(a) Not later than the first Monday in February of any year 

following the year in which the term of the President commences under 

section 101 of title 3, the head of each agency shall make available on the 

public website of the agency a strategic plan and notify the President and 

Congress of its availability. Such plan shall contain––

“(1) a comprehensive mission statement covering the major 

functions and operations of the agency;

“(2) general goals and objectives, including outcome–oriented 

goals, for the major functions and operations of the agency;

“(3) a description of how any goals and objectives contribute to 

the Federal Government priority goals required by section 1120(a) of 

title 31;

“(4) a description of how the goals and objectives are to be 

achieved, including––

“(A) a description of the operational processes, skills and 

technology, and the human, capital, information, and other 

resources required to achieve those goals and objectives; and

31 USC 1101 

note.

Deadline.

Public 

information.

Web posting.

Notification.
848 GPRA Modernization Act of 2010 (P.L. 111–352)

“(B) a description of how the agency is working with other 

agencies to achieve its goals and objectives as well as relevant 

Federal Government priority goals;

“(5) a description of how the goals and objectives incorporate 

views and suggestions obtained through congressional consultations 

required under subsection (d);

“(6) a description of how the performance goals provided in the 

plan required by section 1115(a) of title 31, including the agency 

priority goals required by section 1120(b) of title 31, if applicable, 

contribute to the general goals and objectives in the strategic plan;

“(7) an identification of those key factors external to the agency 

and beyond its control that could significantly affect the achievement 

of the general goals and objectives; and

“(8) a description of the program evaluations used in establishing 

or revising general goals and objectives, with a schedule for future 

program evaluations to be conducted.

“(b) The strategic plan shall cover a period of not less than 4 years 

following the fiscal year in which the plan is submitted. As needed, the 

head of the agency may make adjustments to the strategic plan to reflect 

significant changes in the environment in which the agency is operating, 

with appropriate notification of Congress.

“(c) The performance plan required by section 1115(b) of title 31 

shall be consistent with the agency's strategic plan. A performance plan 

may not be submitted for a fiscal year not covered by a current strategic 

plan under this section.

“(d) When developing or making adjustments to a strategic plan, the 

agency shall consult periodically with the Congress, including majority 

and minority views from the appropriate authorizing, appropriations, and 

oversight committees, and shall solicit and consider the views and 

suggestions of those entities potentially affected by or interested in such 

a plan. The agency shall consult with the appropriate committees of 

Congress at least once every 2 years.

“(e) The functions and activities of this section shall be considered to 

be inherently governmental functions. The drafting of strategic plans 

under this section shall be performed only by Federal employees.

“(f) For purposes of this section the term ‘agency’ means an 

Executive agency defined under section 105, but does not include the 

Central Intelligence Agency, the Government Accountability Office, the 

United States Postal Service, and the Postal Regulatory Commission.”.

Sec. 3. Performance Planning Amendments

Chapter 11 of title 31, United States Code, is amended by striking section 

1115 and inserting the following:

“§ 1115. Federal Government and agency performance plans

“(a) FEDERAL GOVERNMENT PERFORMANCE PLANS.––In 

carrying out the provisions of section 1105(a)(28), the Director of the 

Office of Management and Budget shall coordinate with agencies to 

develop the Federal Government performance plan. In addition to the 

submission of such plan with each budget of the United States 

Government, the Director of the Office of Management and Budget shall 

ensure that all information required by this subsection is concurrently 

made available on the website provided under section 1122 and updated 

periodically, but no less than annually. The Federal Government 

performance plan shall––

Consultation.

Definition.

Coordination.

Web posting.
GPRA Modernization Act of 2010 (P.L. 111–352) 849

“(1) establish Federal Government performance goals to define 

the level of performance to be achieved during the year in which the 

plan is submitted and the next fiscal year for each of the Federal 

Government priority goals required under section 1120(a) of this title;

“(2) identify the agencies, organizations, program activities, 

regulations, tax expenditures, policies, and other activities 

contributing to each Federal Government performance goal during 

the current fiscal year;

“(3) for each Federal Government performance goal, identify a 

lead Government official who shall be responsible for coordinating 

the efforts to achieve the goal;

“(4) establish common Federal Government performance 

indicators with quarterly targets to be used in measuring or 

assessing—

“(A) overall progress toward each Federal Government 

performance goal; and

“(B) the individual contribution of each agency, organization, 

program activity, regulation, tax expenditure, policy, and other 

activity identified under paragraph (2);

“(5) establish clearly defined quarterly milestones; and

“(6) identify major management challenges that are 

Governmentwide or crosscutting in nature and describe plans to 

address such challenges, including relevant performance goals, 

performance indicators, and milestones.

“(b) AGENCY PERFORMANCE PLANS.––Not later than the first 

Monday in February of each year, the head of each agency shall make 

available on a public website of the agency, and notify the President and 

the Congress of its availability, a performance plan covering each 

program activity set forth in the budget of such agency. Such plan shall–

–

“(1) establish performance goals to define the level of 

performance to be achieved during the year in which the plan is 

submitted and the next fiscal year;

“(2) express such goals in an objective, quantifiable, and 

measurable form unless authorized to be in an alternative form under 

subsection (c);

“(3) describe how the performance goals contribute to––

“(A) the general goals and objectives established in the 

agency's strategic plan required by section 306(a)(2) of title 5; and

“(B) any of the Federal Government performance goals 

established in the Federal Government performance plan required 

by subsection (a)(1);

“(4) identify among the performance goals those which are 

designated as agency priority goals as required by section 1120(b) of 

this title, if applicable;

“(5) provide a description of how the performance goals are to be 

achieved, including––

“(A) the operation processes, training, skills and technology, 

and the human, capital, information, and other resources and 

strategies required to meet those performance goals;

“(B) clearly defined milestones;

“(C) an identification of the organizations, program activities, 

regulations, policies, and other activities that contribute to each 

performance goal, both within and external to the agency;

“(D) a description of how the agency is working with other 

Deadline.

Public 

information.

Web posting.

Notification.
850 GPRA Modernization Act of 2010 (P.L. 111–352)

agencies to achieve its performance goals as well as relevant 

Federal Government performance goals; and

“(E) an identification of the agency officials responsible for 

the achievement of each performance goal, who shall be known as 

goal leaders;

“(6) establish a balanced set of performance indicators to be used 

in measuring or assessing progress toward each performance goal, 

including, as appropriate, customer service, efficiency, output, and 

outcome indicators;

“(7) provide a basis for comparing actual program results with the 

established performance goals;

“(8) a description of how the agency will ensure the accuracy and 

reliability of the data used to measure progress towards its 

performance goals, including an identification of––

“(A) the means to be used to verify and validate measured 

values;

“(B) the sources for the data;

“(C) the level of accuracy required for the intended use of the 

data;

“(D) any limitations to the data at the required level of 

accuracy; and

“(E) how the agency will compensate for such limitations if 

needed to reach the required level of accuracy;

“(9) describe major management challenges the agency faces and 

identify––

“(A) planned actions to address such challenges;

“(B) performance goals, performance indicators, and 

milestones to measure progress toward resolving such challenges; 

and

“(C) the agency official responsible for resolving such 

challenges; and

“(10) identify low–priority program activities based on an 

analysis of their contribution to the mission and goals of the agency 

and include an evidence–based justification for designating a program 

activity as low priority.

“(c) ALTERNATIVE FORM.––If an agency, in consultation with the 

Director of the Office of Management and Budget, determines that it is 

not feasible to express the performance goals for a particular program 

activity in an objective, quantifiable, and measurable form, the Director 

of the Office of Management and Budget may authorize an alternative 

form. Such alternative form shall––

“(1) include separate descriptive statements of––

“(A)(i) a minimally effective program; and

“(ii) a successful program; or

“(B) such alternative as authorized by the Director of the 

Office of Management and Budget, with sufficient precision and 

in such terms that would allow for an accurate, independent 

determination of whether the program activity's performance 

meets the criteria of the description; or

“(2) state why it is infeasible or impractical to express a 

performance goal in any form for the program activity.

“(d) TREATMENT OF PROGRAM ACTIVITIES.––For the purpose 

of complying with this section, an agency may aggregate, disaggregate, 

or consolidate program activities, except that any aggregation or 

consolidation may not omit or minimize the significance of any program 
GPRA Modernization Act of 2010 (P.L. 111–352) 851

activity constituting a major function or operation for the agency.

“(e) APPENDIX.––An agency may submit with an annual 

performance plan an appendix covering any portion of the plan that––

“(1) is specifically authorized under criteria established by an 

Executive order to be kept secret in the interest of national defense or 

foreign policy; and

“(2) is properly classified pursuant to such Executive order.

“(f) INHERENTLY GOVERNMENTAL FUNCTIONS.––The 

functions and activities of this section shall be considered to be 

inherently governmental functions. The drafting of performance plans 

under this section shall be performed only by Federal employees.

“(g) CHIEF HUMAN CAPITAL OFFICERS.––With respect to each 

agency with a Chief Human Capital Officer, the Chief Human Capital 

Officer shall prepare that portion of the annual performance plan 

described under subsection (b)(5)(A).

“(h) DEFINITIONS.––For purposes of this section and sections 1116 

through 1125, and sections 9703 and 9704, the term––

“(1) ‘agency’ has the same meaning as such term is defined under 

section 306(f) of title 5;

“(2) ‘crosscutting’ means across organizational (such as agency) 

boundaries;

“(3) ‘customer service measure’ means an assessment of service 

delivery to a customer, client, citizen, or other recipient, which can 

include an assessment of quality, timeliness, and satisfaction among 

other factors;

“(4) ‘efficiency measure’ means a ratio of a program activity's 

inputs (such as costs or hours worked by employees) to its outputs 

(amount of products or services delivered) or outcomes (the desired 

results of a program);

“(5) ‘major management challenge’ means programs or 

management functions, within or across agencies, that have greater 

vulnerability to waste, fraud, abuse, and mismanagement (such as 

issues identified by the Government Accountability Office as high 

risk or issues identified by an Inspector General) where a failure to 

perform well could seriously affect the ability of an agency or the 

Government to achieve its mission or goals;

“(6) ‘milestone’ means a scheduled event signifying the 

completion of a major deliverable or a set of related deliverables or a 

phase of work;

“(7) ‘outcome measure’ means an assessment of the results of a 

program activity compared to its intended purpose;

“(8) ‘output measure’ means the tabulation, calculation, or 

recording of activity or effort that can be expressed in a quantitative 

or qualitative manner;

“(9) ‘performance goal’ means a target level of performance 

expressed as a tangible, measurable objective, against which actual 

achievement can be compared, including a goal expressed as a 

quantitative standard, value, or rate;

“(10) ‘performance indicator’ means a particular value or 

characteristic used to measure output or outcome;

“(11) ‘program activity’ means a specific activity or project as 

listed in the program and financing schedules of the annual budget of 

the United States Government; and

“(12) ‘program evaluation’ means an assessment, through 

objective measurement and systematic analysis, of the manner and 
852 GPRA Modernization Act of 2010 (P.L. 111–352)

extent to which Federal programs achieve intended objectives.”.

Sec. 4. Performance Reporting Amendments

Chapter 11 of title 31, United States Code, is amended by striking section 

1116 and inserting the following:

“§ 1116. Agency performance reporting

“(a) The head of each agency shall make available on a public 

website of the agency and to the Office of Management and Budget an 

update on agency performance.

“(b)(1) Each update shall compare actual performance achieved with 

the performance goals established in the agency performance plan under 

section 1115(b) and shall occur no less than 150 days after the end of 

each fiscal year, with more frequent updates of actual performance on 

indicators that provide data of significant value to the Government, 

Congress, or program partners at a reasonable level of administrative 

burden.

“(2) If performance goals are specified in an alternative form under 

section 1115(c), the results shall be described in relation to such 

specifications, including whether the performance failed to meet the 

criteria of a minimally effective or successful program.

“(c) Each update shall––

“(1) review the success of achieving the performance goals and 

include actual results for the 5 preceding fiscal years;

“(2) evaluate the performance plan for the current fiscal year 

relative to the performance achieved toward the performance goals 

during the period covered by the update;

“(3) explain and describe where a performance goal has not been 

met (including when a program activity's performance is determined 

not to have met the criteria of a successful program activity under

section 1115(c)(1)(A)(ii) or a corresponding level of achievement if 

another alternative form is used)––

“(A) why the goal was not met;

“(B) those plans and schedules for achieving the established 

performance goal; and

“(C) if the performance goal is impractical or infeasible, why 

that is the case and what action is recommended;

“(4) describe the use and assess the effectiveness in achieving 

performance goals of any waiver under section 9703 of this title;

“(5) include a review of the performance goals and evaluation of 

the performance plan relative to the agency's strategic human capital 

management;

“(6) describe how the agency ensures the accuracy and reliability 

of the data used to measure progress towards its performance goals, 

including an identification of––

“(A) the means used to verify and validate measured values;

“(B) the sources for the data;

“(C) the level of accuracy required for the intended use of the 

data;

“(D) any limitations to the data at the required level of 

accuracy; and

“(E) how the agency has compensated for such limitations if 

needed to reach the required level of accuracy; and

“(7) include the summary findings of those program evaluations 

completed during the period covered by the update.

Public 

information. 

Web posting.

Deadline.
GPRA Modernization Act of 2010 (P.L. 111–352) 853

“(d) If an agency performance update includes any program activity 

or information that is specifically authorized under criteria established by 

an Executive Order to be kept secret in the interest of national defense or 

foreign policy and is properly classified pursuant to such Executive 

Order, the head of the agency shall make such information available in 

the classified appendix provided under section 1115(e).

“(e) The functions and activities of this section shall be considered to 

be inherently governmental functions. The drafting of agency 

performance updates under this section shall be performed only by 

Federal employees.

“(f) Each fiscal year, the Office of Management and Budget shall 

determine whether the agency programs or activities meet performance 

goals and objectives outlined in the agency performance plans and 

submit a report on unmet goals to––

“(1) the head of the agency;

“(2) the Committee on Homeland Security and Governmental 

Affairs of the Senate;

“(3) the Committee on Oversight and Governmental Reform of 

the House of Representatives; and

“(4) the Government Accountability Office.

“(g) If an agency's programs or activities have not met performance 

goals as determined by the Office of Management and Budget for 1 fiscal 

year, the head of the agency shall submit a performance improvement 

plan to the Office of Management and Budget to increase program 

effectiveness for each unmet goal with measurable milestones. The 

agency shall designate a senior official who shall oversee the 

performance improvement strategies for each unmet goal.

“(h)(1) If the Office of Management and Budget determines that 

agency programs or activities have unmet performance goals for 2 

consecutive fiscal years, the head of the agency shall––

“(A) submit to Congress a description of the actions the 

Administration will take to improve performance, including proposed 

statutory changes or planned executive actions; and

“(B) describe any additional funding the agency will obligate to 

achieve the goal, if such an action is determined appropriate in 

consultation with the Director of the Office of Management and 

Budget, for an amount determined appropriate by the Director.

“(2) In providing additional funding described under paragraph 

(1)(B), the head of the agency shall use any reprogramming or transfer 

authority available to the agency. If after exercising such authority 

additional funding is necessary to achieve the level determined 

appropriate by the Director of the Office of Management and Budget, the 

head of the agency shall submit a request to Congress for additional 

reprogramming or transfer authority.

“(i) If an agency's programs or activities have not met performance 

goals as determined by the Office of Management and Budget for 3 

consecutive fiscal years, the Director of the Office of Management and 

Budget shall submit recommendations to Congress on actions to improve 

performance not later than 60 days after that determination, including––

“(1) reauthorization proposals for each program or activity that 

has not met performance goals;

“(2) proposed statutory changes necessary for the program 

activities to achieve the proposed level of performance on each 

performance goal; and

“(3) planned executive actions or identification of the program for 

Classified 

information.

Deadline.

Determination.

Designation.

Submission.

Request.

Recommenda–

tions.

Deadline.
854 GPRA Modernization Act of 2010 (P.L. 111–352)

termination or reduction in the President's budget.”.

Sec. 5. Federal Government and Agency Priority Goals

Chapter 11 of title 31, United States Code, is amended by adding after 

section 1119 the following:

“§ 1120. Federal Government and agency priority goals

“(a) FEDERAL GOVERNMENT PRIORITY GOALS.––

“(1) The Director of the Office of Management and Budget shall 

coordinate with agencies to develop priority goals to improve the 

performance and management of the Federal Government. Such 

Federal Government priority goals shall include––

“(A) outcome–oriented goals covering a limited number of 

crosscutting policy areas; and

“(B) goals for management improvements needed across the 

Federal Government, including––

“(i) financial management;

“(ii) human capital management;

“(iii) information technology management;

“(iv) procurement and acquisition management; and

“(v) real property management;

“(2) The Federal Government priority goals shall be long–term in 

nature. At a minimum, the Federal Government priority goals shall be 

updated or revised every 4 years and made publicly available 

concurrently with the submission of the budget of the United States 

Government made in the first full fiscal year following any year in 

which the term of the President commences under section 101 of title 

3. As needed, the Director of the Office of Management and Budget 

may make adjustments to the Federal Government priority goals to 

reflect significant changes in the environment in which the Federal 

Government is operating, with appropriate notification of Congress.

“(3) When developing or making adjustments to Federal 

Government priority goals, the Director of the Office of Management 

and Budget shall consult periodically with the Congress, including 

obtaining majority and minority views from––

“(A) the Committees on Appropriations of the Senate and the 

House of Representatives;

“(B) the Committees on the Budget of the Senate and the 

House of Representatives;

“(C) the Committee on Homeland Security and Governmental 

Affairs of the Senate;

“(D) the Committee on Oversight and Government Reform of 

the House of Representatives;

“(E) the Committee on Finance of the Senate;

“(F) the Committee on Ways and Means of the House of 

Representatives; and

“(G) any other committees as determined appropriate;

“(4) The Director of the Office of Management and Budget shall 

consult with the appropriate committees of Congress at least once 

every 2 years.

“(5) The Director of the Office of Management and Budget shall 

make information about the Federal Government priority goals 

available on the website described under section 1122 of this title.

“(6) The Federal Government performance plan required under 

section 1115(a) of this title shall be consistent with the Federal 

Deadline. 

Public 

information.

Consultation.

Consultation.

Deadline.

Web posting.
GPRA Modernization Act of 2010 (P.L. 111–352) 855

Government priority goals.

“(b) AGENCY PRIORITY GOALS.––

“(1) Every 2 years, the head of each agency listed in section 

901(b) of this title, or as otherwise determined by the Director of the 

Office of Management and Budget, shall identify agency priority 

goals from among the performance goals of the agency. The Director 

of the Office of Management and Budget shall determine the total 

number of agency priority goals across the Government, and the 

number to be developed by each agency. The agency priority goals 

shall––

“(A) reflect the highest priorities of the agency, as determined 

by the head of the agency and informed by the Federal 

Government priority goals provided under subsection (a) and the 

consultations with Congress and other interested parties required 

by section 306(d) of title 5;

“(B) have ambitious targets that can be achieved within a 2–

year period;

“(C) have a clearly identified agency official, known as a goal 

leader, who is responsible for the achievement of each agency 

priority goal;

“(D) have interim quarterly targets for performance indicators 

if more frequent updates of actual performance provides data of 

significant value to the Government, Congress, or program 

partners at a reasonable level of administrative burden; and

“(E) have clearly defined quarterly milestones.

“(2) If an agency priority goal includes any program activity or 

information that is specifically authorized under criteria established 

by an Executive order to be kept secret in the interest of national 

defense or foreign policy and is properly classified pursuant to such 

Executive order, the head of the agency shall make such information 

available in the classified appendix provided under section 1115(e).

“(c) The functions and activities of this section shall be considered to 

be inherently governmental functions. The development of Federal 

Government and agency priority goals shall be performed only by 

Federal employees.”.

Sec. 6. Quarterly Priority Progress Reviews and Use of Performance 

Information

Chapter 11 of title 31, United States Code, is amended by adding after 

section 1120 (as added by section 5 of this Act) the following:

“§ 1121. Quarterly priority progress reviews and use of performance 

information

“(a) USE OF PERFORMANCE INFORMATION TO ACHIEVE 

FEDERAL GOVERNMENT PRIORITY GOALS.––Not less than 

quarterly, the Director of the Office of Management and Budget, with the 

support of the Performance Improvement Council, shall––

“(1) for each Federal Government priority goal required by 

section 1120(a) of this title, review with the appropriate lead 

Government official the progress achieved during the most recent 

quarter, overall trend data, and the likelihood of meeting the planned 

level of performance;

“(2) include in such reviews officials from the agencies, 

organizations, and program activities that contribute to the 

accomplishment of each Federal Government priority goal;

Deadline.

Determination.

Time period.

Classified 

information.
856 GPRA Modernization Act of 2010 (P.L. 111–352)

“(3) assess whether agencies, organizations, program activities, 

regulations, tax expenditures, policies, and other activities are 

contributing as planned to each Federal Government priority goal;

“(4) categorize the Federal Government priority goals by risk of 

not achieving the planned level of performance; and

“(5) for the Federal Government priority goals at greatest risk of 

not meeting the planned level of performance, identify prospects and 

strategies for performance improvement, including any needed 

changes to agencies, organizations, program activities, regulations, 

tax expenditures, policies or other activities.

“(b) AGENCY USE OF PERFORMANCE INFORMATION TO 

ACHIEVE AGENCY PRIORITY GOALS.––Not less than quarterly, at 

each agency required to develop agency priority goals required by 

section 1120(b) of this title, the head of the agency and Chief Operating 

Officer, with the support of the agency Performance Improvement 

Officer, shall––

“(1) for each agency priority goal, review with the appropriate 

goal leader the progress achieved during the most recent quarter, 

overall trend data, and the likelihood of meeting the planned level of 

performance;

“(2) coordinate with relevant personnel within and outside the 

agency who contribute to the accomplishment of each agency priority 

goal;

“(3) assess whether relevant organizations, program activities, 

regulations, policies, and other activities are contributing as planned 

to the agency priority goals;

“(4) categorize agency priority goals by risk of not achieving the 

planned level of performance; and

“(5) for agency priority goals at greatest risk of not meeting the 

planned level of performance, identify prospects and strategies for 

performance improvement, including any needed changes to agency 

program activities, regulations, policies, or other activities.”.

Sec. 7. Transparency of Federal Government Programs, Priority 

Goals, and Results

Chapter 11 of title 31, United States Code, is amended by adding after 

section 1121 (as added by section 6 of this Act) the following:

“§ 1122. Transparency of programs, priority goals, and results

“(a) TRANSPARENCY OF AGENCY PROGRAMS.––

“(1) IN GENERAL.––Not later than October 1, 2012, the Office

of Management and Budget shall––

“(A) ensure the effective operation of a single website;

“(B) at a minimum, update the website on a quarterly basis; 

and

“(C) include on the website information about each program 

identified by the agencies.

“(2) INFORMATION.––Information for each program described 

under paragraph (1) shall include––

“(A) an identification of how the agency defines the term 

‘program’, consistent with guidance provided by the Director of 

the Office of Management and Budget, including the program 

activities that are aggregated, disaggregated, or consolidated to be 

considered a program by the agency;

“(B) a description of the purposes of the program and the 

Assessment.

Assessment.

Deadline.
GPRA Modernization Act of 2010 (P.L. 111–352) 857

contribution of the program to the mission and goals of the 

agency; and

“(C) an identification of funding for the current fiscal year and 

previous 2 fiscal years.

“(b) TRANSPARENCY OF AGENCY PRIORITY GOALS AND 

RESULTS.––The head of each agency required to develop agency 

priority goals shall make information about each agency priority goal 

available to the Office of Management and Budget for publication on the 

website, with the exception of any information covered by section 

1120(b)(2) of this title. In addition to an identification of each agency 

priority goal, the website shall also consolidate information about each 

agency priority goal, including––

“(1) a description of how the agency incorporated any views and 

suggestions obtained through congressional consultations about the 

agency priority goal;

“(2) an identification of key factors external to the agency and 

beyond its control that could significantly affect the achievement of 

the agency priority goal;

“(3) a description of how each agency priority goal will be 

achieved, including––

“(A) the strategies and resources required to meet the priority 

goal;

“(B) clearly defined milestones;

“(C) the organizations, program activities, regulations, 

policies, and other activities that contribute to each goal, both 

within and external to the agency;

“(D) how the agency is working with other agencies to 

achieve the goal; and

“(E) an identification of the agency official responsible for 

achieving the priority goal;

“(4) the performance indicators to be used in measuring or 

assessing progress;

“(5) a description of how the agency ensures the accuracy and 

reliability of the data used to measure progress towards the priority 

goal, including an identification of––

“(A) the means used to verify and validate measured values;

“(B) the sources for the data;

“(C) the level of accuracy required for the intended use of the 

data;

“(D) any limitations to the data at the required level of 

accuracy; and

“(E) how the agency has compensated for such limitations if 

needed to reach the required level of accuracy;

“(6) the results achieved during the most recent quarter and 

overall trend data compared to the planned level of performance;

“(7) an assessment of whether relevant organizations, program 

activities, regulations, policies, and other activities are contributing as 

planned;

“(8) an identification of the agency priority goals at risk of not 

achieving the planned level of performance; and

“(9) any prospects or strategies for performance improvement.

“(c) TRANSPARENCY OF FEDERAL GOVERNMENT 

PRIORITY GOALS AND RESULTS.––The Director of the Office of 

Management and Budget shall also make available on the website––

“(1) a brief description of each of the Federal Government priority 

Web posting.
858 GPRA Modernization Act of 2010 (P.L. 111–352)

goals required by section 1120(a) of this title;

“(2) a description of how the Federal Government priority goals 

incorporate views and suggestions obtained through congressional 

consultations;

“(3) the Federal Government performance goals and performance 

indicators associated with each Federal Government priority goal as 

required by section 1115(a) of this title;

“(4) an identification of the lead Government official for each 

Federal Government performance goal;

“(5) the results achieved during the most recent quarter and 

overall trend data compared to the planned level of performance;

“(6) an identification of the agencies, organizations, program 

activities, regulations, tax expenditures, policies, and other activities 

that contribute to each Federal Government priority goal;

“(7) an assessment of whether relevant agencies, organizations, 

program activities, regulations, tax expenditures, policies, and other 

activities are contributing as planned;

“(8) an identification of the Federal Government priority goals at 

risk of not achieving the planned level of performance; and

“(9) any prospects or strategies for performance improvement.

“(d) INFORMATION ON WEBSITE.––The information made 

available on the website under this section shall be readily accessible and 

easily found on the Internet by the public and members and committees 

of Congress. Such information shall also be presented in a searchable, 

machine–readable format. The Director of the Office of Management and 

Budget shall issue guidance to ensure that such information is provided 

in a way that presents a coherent picture of all Federal programs, and the 

performance of the Federal Government as well as individual agencies.”.

Sec. 8. Agency Chief Operating Officers

Chapter 11 of title 31, United States Code, is amended by adding after 

section 1122 (as added by section 7 of this Act) the following:

“§ 1123. Chief Operating Officers

“(a) ESTABLISHMENT.––At each agency, the deputy head of 

agency, or equivalent, shall be the Chief Operating Officer of the agency.

“(b) FUNCTION.––Each Chief Operating Officer shall be 

responsible for improving the management and performance of the 

agency, and shall—

“(1) provide overall organization management to improve agency 

performance and achieve the mission and goals of the agency through 

the use of strategic and performance planning, measurement, analysis, 

regular assessment of progress, and use of performance information 

to improve the results achieved;

“(2) advise and assist the head of agency in carrying out the 

requirements of sections 1115 through 1122 of this title and section 

306 of title 5;

“(3) oversee agency–specific efforts to improve management 

functions within the agency and across Government; and

“(4) coordinate and collaborate with relevant personnel within and 

external to the agency who have a significant role in contributing to 

and achieving the mission and goals of the agency, such as the Chief 

Financial Officer, Chief Human Capital Officer, Chief Acquisition 

Officer/Senior Procurement Executive, Chief Information Officer, 

and other line of business chiefs at the agency.”.

Assessment.

Public 

information.

Guidance.
GPRA Modernization Act of 2010 (P.L. 111–352) 859

Sec. 9. Agency Performance Improvement Officers and the 

Performance Improvement Council

Chapter 11 of title 31, United States Code, is amended by adding after 

section 1123 (as added by section 8 of this Act) the following:

“§ 1124. Performance Improvement Officers and the Performance 

Improvement Council

“(a) PERFORMANCE IMPROVEMENT OFFICERS.––

“(1) ESTABLISHMENT.––At each agency, the head of the 

agency, in consultation with the agency Chief Operating Officer, shall 

designate a senior executive of the agency as the agency Performance 

Improvement Officer.

“(2) FUNCTION.––Each Performance Improvement Officer shall 

report directly to the Chief Operating Officer. Subject to the direction 

of the Chief Operating Officer, each Performance Improvement 

Officer shall––

“(A) advise and assist the head of the agency and the Chief 

Operating Officer to ensure that the mission and goals of the 

agency are achieved through strategic and performance planning, 

measurement, analysis, regular assessment of progress, and use of 

performance information to improve the results achieved;

“(B) advise the head of the agency and the Chief Operating 

Officer on the selection of agency goals, including opportunities 

to collaborate with other agencies on common goals;

“(C) assist the head of the agency and the Chief Operating 

Officer in overseeing the implementation of the agency strategic 

planning, performance planning, and reporting requirements 

provided under sections 1115 through 1122 of this title and 

sections 306 of title 5, including the contributions of the agency to 

the Federal Government priority goals;

“(D) support the head of agency and the Chief Operating 

Officer in the conduct of regular reviews of agency performance, 

including at least quarterly reviews of progress achieved toward 

agency priority goals, if applicable;

“(E) assist the head of the agency and the Chief Operating 

Officer in the development and use within the agency of 

performance measures in personnel performance appraisals, and, 

as appropriate, other agency personnel and planning processes and 

assessments; and

“(F) ensure that agency progress toward the achievement of 

all goals is communicated to leaders, managers, and employees in 

the agency and Congress, and made available on a public website 

of the agency.

“(b) PERFORMANCE IMPROVEMENT COUNCIL.––

“(1) ESTABLISHMENT.––There is established a Performance 

Improvement Council, consisting of––

“(A) the Deputy Director for Management of the Office of 

Management and Budget, who shall act as chairperson of the 

Council;

“(B) the Performance Improvement Officer from each agency 

defined in section 901(b) of this title;

“(C) other Performance Improvement Officers as determined 

appropriate by the chairperson; and

Public 

information. 

Web posting.
860 GPRA Modernization Act of 2010 (P.L. 111–352)

“(D) other individuals as determined appropriate by the 

chairperson.

“(2) FUNCTION.––The Performance Improvement Council 

shall––

“(A) be convened by the chairperson or the designee of the 

chairperson, who shall preside at the meetings of the Performance 

Improvement Council, determine its agenda, direct its work, and 

establish and direct subgroups of the Performance Improvement 

Council, as appropriate, to deal with particular subject matters;

“(B) assist the Director of the Office of Management and 

Budget to improve the performance of the Federal Government 

and achieve the Federal Government priority goals;

“(C) assist the Director of the Office of Management and 

Budget in implementing the planning, reporting, and use of 

performance information requirements related to the Federal 

Government priority goals provided under sections 1115, 1120, 

1121, and 1122 of this title;

“(D) work to resolve specific Governmentwide or crosscutting 

performance issues, as necessary;

“(E) facilitate the exchange among agencies of practices that 

have led to performance improvements within specific programs, 

agencies, or across agencies;

“(F) coordinate with other interagency management councils;

“(G) seek advice and information as appropriate from 

nonmember agencies, particularly smaller agencies;

“(H) consider the performance improvement experiences of 

corporations, nonprofit organizations, foreign, State, and local 

governments, Government employees, public sector unions, and 

customers of Government services;

“(I) receive such assistance, information and advice from 

agencies as the Council may request, which agencies shall provide 

to the extent permitted by law; and

“(J) develop and submit to the Director of the Office of 

Management and Budget, or when appropriate to the President 

through the Director of the Office of Management and Budget, at 

times and in such formats as the chairperson may specify, 

recommendations to streamline and improve performance 

management policies and requirements.

“(3) SUPPORT.––

“(A) IN GENERAL.––The Administrator of General Services 

shall provide administrative and other support for the Council to 

implement this section.

“(B) PERSONNEL.––The heads of agencies with 

Performance Improvement Officers serving on the Council shall, 

as appropriate and to the extent permitted by law, provide at the 

request of the chairperson of the Performance Improvement 

Council up to 2 personnel authorizations to serve at the direction 

of the chairperson.”.

Sec. 10. Format of Performance Plans and Reports

(a) SEARCHABLE, MACHINE–READABLE PLANS AND 

REPORTS.––For fiscal year 2012 and each fiscal year thereafter, each 

agency required to produce strategic plans, performance plans, and 

performance updates in accordance with the amendments made by this 

Act shall––

31 USC 1115 

note.
GPRA Modernization Act of 2010 (P.L. 111–352) 861

(1) not incur expenses for the printing of strategic plans, performance 

plans, and performance reports for release external to the agency, except 

when providing such documents to the Congress;

(2) produce such plans and reports in searchable, machine–readable 

formats; and

(3) make such plans and reports available on the website described 

under section 1122 of title 31, United States Code.

(b) WEB–BASED PERFORMANCE PLANNING AND 

REPORTING.—

(1) IN GENERAL.––Not later than June 1, 2012, the Director of the 

Office of Management and Budget shall issue guidance to agencies to 

provide concise and timely performance information for publication on 

the website described under section 1122 of title 31, United States Code, 

including, at a minimum, all requirements of sections 1115 and 1116 of 

title 31, United States Code, except for section 1115(e).

(2) HIGH–PRIORITY GOALS.––For agencies required to develop 

agency priority goals under section 1120(b) of title 31, United States 

Code, the performance information required under this section shall be 

merged with the existing information required under section 1122 of title 

31, United States Code.

(3) CONSIDERATIONS.––In developing guidance under this 

subsection, the Director of the Office of Management and Budget shall 

take into consideration the experiences of agencies in making 

consolidated performance planning and reporting information available 

on the website as required under section 1122 of title 31, United States 

Code.

Sec. 11. Reducing Duplicative and Outdated Agency Reporting

(a) BUDGET CONTENTS.––Section 1105(a) of title 31, United States 

Code, is amended––

(1) by redesignating second paragraph (33) as paragraph (35); and

(2) by adding at the end the following:

“(37) the list of plans and reports, as provided for under section 1125, 

that agencies identified for elimination or consolidation because the plans 

and reports are determined outdated or duplicative of other required plans 

and reports.”.

(b) ELIMINATION OF UNNECESSARY AGENCY REPORTING.––

Chapter 11 of title 31, United States Code, is further amended by adding 

after section 1124 (as added by section 9 of this Act) the following:

“§ 1125. Elimination of Unnecessary Agency Reporting

“(a) AGENCY IDENTIFICATION OF UNNECESSARY 

REPORTS.––Annually, based on guidance provided by the Director of 

the Office of Management and Budget, the Chief Operating Officer at 

each agency shall––

“(1) compile a list that identifies all plans and reports the agency 

produces for Congress, in accordance with statutory requirements or 

as directed in congressional reports;

“(2) analyze the list compiled under paragraph (1), identify which 

plans and reports are outdated or duplicative of other required plans 

and reports, and refine the list to include only the plans and reports 

identified to be outdated or duplicative;

“(3) consult with the congressional committees that receive the 

plans and reports identified under paragraph (2) to determine whether 

Web posting.

Guidance.
862 GPRA Modernization Act of 2010 (P.L. 111–352)

those plans and reports are no longer useful to the committees and 

could be eliminated or consolidated with other plans and reports; and

“(4) provide a total count of plans and reports compiled under 

paragraph (1) and the list of outdated and duplicative reports 

identified under paragraph (2) to the Director of the Office of 

Management and Budget.

“(b) PLANS AND REPORTS.––

“(1) FIRST YEAR.––During the first year of implementation of 

this section, the list of plans and reports identified by each agency as 

outdated or duplicative shall be not less than 10 percent of all plans 

and reports identified under subsection (a)(1).

“(2) SUBSEQUENT YEARS.––In each year following the first 

year described under paragraph (1), the Director of the Office of 

Management and Budget shall determine the minimum percent of 

plans and reports to be identified as outdated or duplicative on each 

list of plans and reports.

“(c) REQUEST FOR ELIMINATION OF UNNECESSARY 

REPORTS.––In addition to including the list of plans and reports 

determined to be outdated or duplicative by each agency in the budget of 

the United States Government, as provided by section 1105(a)(37), the 

Director of the Office of Management and Budget may concurrently 

submit to Congress legislation to eliminate or consolidate such plans and 

reports.”.

Sec. 12. Performance Management Skills and Competencies

(a) PERFORMANCE MANAGEMENT SKILLS AND 

COMPETENCIES.––Not later than 1 year after the date of enactment of 

this Act, the Director of the Office of Personnel Management, in 

consultation with the Performance Improvement Council, shall identify 

the key skills and competencies needed by Federal Government 

personnel for developing goals, evaluating programs, and analyzing and 

using performance information for the purpose of improving Government 

efficiency and effectiveness.

(b) POSITION CLASSIFICATIONS.––Not later than 2 years after the 

date of enactment of this Act, based on the identifications under 

subsection (a), the Director of the Office of Personnel Management shall 

incorporate, as appropriate, such key skills and competencies into 

relevant position classifications.

(c) INCORPORATION INTO EXISTING AGENCY TRAINING.––Not 

later than 2 years after the enactment of this Act, the Director of the 

Office of Personnel Management shall work with each agency, as defined 

under section 306(f) of title 5, United States Code, to incorporate the key 

skills identified under subsection (a) into training for relevant employees 

at each agency.

Sec. 13. Technical and Conforming Amendments

(a) The table of contents for chapter 3 of title 5, United States Code, is 

amended by striking the item relating to section 306 and inserting the 

following:

“306. Agency Strategic Plans.”

(b) The table of contents for chapter 11 of title 31, United States Code, is 

amended by striking the items relating to section 1115 and 1116 and 

inserting the following:

Determination.

Deadlines.

5 USC 5105 

note.
GPRA Modernization Act of 2010 (P.L. 111–352) 863

“1115. Federal Government and agency performance plans.

“1116. Agency performance reporting.”.

(c) The table of contents for chapter 11 of title 31, United States Code, is 

amended by adding at the end the following:

“1120. Federal Government and agency priority goals.

“1121. Quarterly priority progress reviews and use of performance 

information.

“1122. Transparency of programs, priority goals, and results.

“1123. Chief Operating Officers.

“1124. Performance Improvement Officers and the Performance 

Improvement Council.

“1125. Elimination of unnecessary agency reporting.”.

Sec. 14. Implementation of this Act

(a) INTERIM PLANNING AND REPORTING.––

(1) IN GENERAL.––The Director of the Office of Management and 

Budget shall coordinate with agencies to develop interim Federal 

Government priority goals and submit interim Federal Government 

performance plans consistent with the requirements of this Act beginning 

with the submission of the fiscal year 2013 Budget of the United States 

Government.

(2) REQUIREMENTS.––Each agency shall––

(A) not later than February 6, 2012, make adjustments to its 

strategic plan to make the plan consistent with the requirements of 

this Act;

(B) prepare and submit performance plans consistent with the 

requirements of this Act, including the identification of agency 

priority goals, beginning with the performance plan for fiscal year 

2013; and

(C) make performance reporting updates consistent with the 

requirements of this Act beginning in fiscal year 2012.

(3) QUARTERLY REVIEWS.––The quarterly priority progress 

reviews required under this Act shall begin––

(A) with the first full quarter beginning on or after the date of 

enactment of this Act for agencies based on the agency priority goals 

contained in the Analytical Perspectives volume of the Fiscal Year 

2011 Budget of the United States Government; and

(B) with the quarter ending June 30, 2012 for the interim Federal 

Government priority goals.

(b) GUIDANCE.––The Director of the Office of Management and 

Budget shall prepare guidance for agencies in carrying out the interim 

planning and reporting activities required under subsection (a), in 

addition to other guidance as required for implementation of this Act.

Sec. 15. Congressional Oversight and Legislation

(a) IN GENERAL.––Nothing in this Act shall be construed as limiting 

the ability of Congress to establish, amend, suspend, or annul a goal of 

the Federal Government or an agency.

(b) GAO REVIEWS.––

(1) INTERIM PLANNING AND REPORTING EVALUATION.––

Not later than June 30, 2013, the Comptroller General shall submit a 

report to Congress that includes––

(A) an evaluation of the implementation of the interim planning 

and reporting activities conducted under section 14 of this Act; and

31 USC 115 

note.

Coordination.

Deadline.

Plan.

31 USC 115 

note.
864 GPRA Modernization Act of 2010 (P.L. 111–352)

(B) any recommendations for improving implementation of this 

Act as determined appropriate.

(2) IMPLEMENTATION EVALUATIONS.––

(A) IN GENERAL.––The Comptroller General shall evaluate the 

implementation of this Act subsequent to the interim planning and 

reporting activities evaluated in the report submitted to Congress 

under paragraph (1).

(B) AGENCY IMPLEMENTATION.––

(i) EVALUATIONS.––The Comptroller General shall 

evaluate how implementation of this Act is affecting performance 

management at the agencies described in section 901(b) of title 

31, United States Code, including whether performance 

management is being used by those agencies to improve the 

efficiency and effectiveness of agency programs.

(ii) REPORTS.––The Comptroller General shall submit to 

Congress––

(I) an initial report on the evaluation under clause (i), not 

later than September 30, 2015; and

(II) a subsequent report on the evaluation under clause (i), 

not later than September 30, 2017.

(C) FEDERAL GOVERNMENT PLANNING AND 

REPORTING IMPLEMENTATION.––

(i) EVALUATIONS.––The Comptroller General shall 

evaluate the implementation of the Federal Government priority 

goals, Federal Government performance plans and related 

reporting required by this Act.

(ii) REPORTS.––The Comptroller General shall submit to 

Congress––

(I) an initial report on the evaluation under clause (i), not 

later than September 30, 2015; and

(II) subsequent reports on the evaluation under clause (i), 

not later than September 30, 2017 and every 4 years thereafter.

(D) RECOMMENDATIONS.––The Comptroller General shall 

include in the reports required by subparagraphs (B) and (C) any 

recommendations for improving implementation of this Act and for 

streamlining the planning and reporting requirements of the 

Government Performance and Results Act of 1993.
Inspector General Legislation 865

7. Inspector General Legislation

Inspector General Legislation 867

7. Inspector General Legislation

Contents

A. INSPECTOR GENERAL ACT OF 1978, AS AMENDED ................. 869

Sec. 1. Short Title ........................................................................................... 869

Sec. 2. Purpose and Establishment of Offices of Inspector General: 

Departments and Agencies Involved ........................................................ 869

Sec. 3. Appointment of Inspector General. Supervision: Removal: 

Political Activities: Appointment of Assistant Inspector General for 

Auditing and Assistant Inspector General for Investigations ................ 869

Sec. 4. Duties and Responsibilities. Report of Criminal Violations to 

Attorney General........................................................................................ 870

Sec. 5. Semiannual Reports; Transmittal to Congress; Availability to 

Public; Immediate Report on Serious or Flagrant Problems; 

Disclosure of Information; Definitions..................................................... 871

Sec. 6. Authority of Inspector General; Information and Assistance 

from Federal Agencies, Unreasonable Refusal, Office Space and 

Equipment................................................................................................... 875

Sec. 7. Complaints by Employees. Disclosure of Identity; Reprisals......... 879

Sec. 8. Additional Provisions with Respect to the Inspector General of 

the Department of Defense ........................................................................ 879

Sec. 8B. Special Provisions Concerning the Nuclear Regulatory 

Commission................................................................................................. 882

Sec. 8C. Special Provisions Concerning the Federal Deposit Insurance 

Corporation................................................................................................. 883

Sec. 8D. Special Provisions Concerning the Department of the 

Treasury ...................................................................................................... 883

Sec. 8E. Special Provisions Concerning the Department of Justice........... 886

Sec. 8F. Special Provisions Concerning the Corporation for National 

and Community Service............................................................................. 888

Sec. 8G. Requirements for Federal Entities and Designated Federal 

Entities......................................................................................................... 888

Sec. 8H. Additional Provisions with Respect to Inspectors General of 

the Intelligence Community ...................................................................... 893

Sec. 8I. Special Provisions Concerning the Department of Homeland 

Security........................................................................................................ 895

Sec. 8J. Rule of Construction of Special Provisions.................................... 897

Sec. 8K. Authority to Establish Inspector General of the Office of the 

Director of National Intelligence............................................................... 897

Sec. 8L. Information on Websites of Offices of Inspectors General .......... 897

Sec. 9. Transfer of Functions......................................................................... 898

Sec. 10. Conforming and Technical Amendments....................................... 900

Sec. 11. Establishment of the Council of the Inspectors General on 

Integrity and Efficiency ............................................................................. 901

Sec. 12. Definitions......................................................................................... 907

Sec. 13. Effective Date.................................................................................... 908

Pertinent Portions of Inspector General Act Amendment of 1988 ................... 908

Uniform Salaries for Inspectors General ........................................................ 908

Appropriation Accounts ................................................................................... 909
868 Inspector General Legislation

Payment Authority Subject to Appropriations............................................... 909

Effective Date..................................................................................................... 909
Inspector General Act of 1978 (P.L. 95–452) 869

A. INSPECTOR GENERAL ACT OF 1978, AS AMENDED

Public Law 95–452 92 Stat. 1101

October 1, 1978

5 U.S.C. Appendix 3

Sec. 1. Short Title

Sec. 2. Purpose and Establishment of Offices of Inspector General: 

Departments and Agencies Involved

In order to create independent and objective units–

(1) to conduct and supervise audits and investigations relating to 

the programs and operations of the establishments listed in section 

12(2).1

(2) to provide leadership and coordination and recommend 

policies for activities designed (A) to promote economy, efficiency, 

and effectiveness in the administration of, and (B) to prevent and 

detect fraud and abuse in, such programs and operations; and

(3) to provide a means for keeping the head of the establishment 

and the Congress fully and currently informed about problems and 

deficiencies relating to the administration of such programs and 

operations and the necessity for and progress of corrective action; 

there is established–

(A) in each of such establishments an Office of Inspector 

General, subject to subparagraph (B); and

(B) in the establishment of the Department of the Treasury–

(i) an Office of Inspector General of the 

Department of the Treasury; and

(ii) an Office of Treasury Inspector General for Tax 

Administration.2

Sec. 3. Appointment of Inspector General. Supervision: Removal: 

Political Activities: Appointment of Assistant Inspector General for 

Auditing and Assistant Inspector General for Investigations

(a) There shall be at the head of each Office an Inspector General 

who shall be appointed by the President, by and with the advice and 

consent of the Senate, without regard to political affiliation and solely on 

the basis of integrity and demonstrated ability in accounting, auditing, 

financial analysis, law, management analysis, public administration, or 

investigations. Each Inspector General shall report to and be under the 

general supervision of the head of the establishment involved or, to the 

extent such authority is delegated, the Officer next in rank below such 

head, but shall not report to, or be subject to supervision by, any other 

Officer of such establishment. Neither the head of the establishment nor 

the Officer next in rank below such head shall prevent or prohibit the 

Inspector General from initiating, carrying out, or completing any audit 

or investigation, or from issuing any subpoena during the course of any 

audit or investigation.

(b) An Inspector General may be removed from Office by the 

President. If an Inspector General is removed from Office or is 

transferred to another position or location within an establishment, the 

President shall communicate in writing the reasons for any such removal 

––––––––

1 Amended by P.L. 110–409, § 7(d)(A), 122 Stat. 4302 (2008). 2 Amended P.L. 105–206, Title I, § 1103(a), 112 Stat. 705 (1998).

President.

Deadline.
870 Inspector General Act of 1978 (P.L. 95–452)

or transfer to both Houses of Congress, not later than 30 days before the 

removal or transfer. Nothing in this subsection shall prohibit a personnel 

action otherwise authorized by law, other than transfer or removal.3

(c) For the purposes of section 7324 of Title 5, United States Code, 

no Inspector General shall be considered to be an employee who 

determines policies to be pursued by the United States in the nationwide 

administration of Federal laws.

(d) Each Inspector General shall, in accordance with applicable laws 

and regulations governing the civil service–

(1) appoint an Assistant Inspector General for Auditing who shall 

have the responsibility for supervising the performance of auditing 

activities relating to programs and operations of the establishment, 

and

(2) appoint an Assistant Inspector General for Investigations who 

shall have the responsibility for supervising the performance of 

investigative activities relating to such programs and operations.

(e) The annual rate of basic pay for an Inspector General (as defined 

under section 12(3)) shall be the rate payable for level III of the 

Executive Schedule under section 5314 of title 5, United States Code, 

plus 3 percent.4

(f) An Inspector General (as defined under section 8G(a)(6) or 12(3)) 

may not receive any cash award or cash bonus, including any cash award 

under chapter 45 of title 5, United States Code.5

(g) Each Inspector General shall, in accordance with applicable laws 

and regulations governing the civil service, obtain legal advice from a 

counsel either reporting directly to the Inspector General or another 

Inspector General.6

Sec. 4. Duties and Responsibilities. Report of Criminal Violations to 

Attorney General

(a) It shall be the duty and responsibility of each Inspector General, with 

respect to the establishment within which his Office is established––

 (1) to provide policy direction for and to conduct, supervise, and 

coordinate audits and investigations relating to the programs and 

operations of such establishment;

 (2) to review existing and proposed legislation and regulations relating 

to programs and operations of such establishment and to make 

recommendations in the semiannual reports required by section 5(a) 

concerning the impact of such legislation or regulations on the economy 

and efficiency in the administration of programs and operations 

administered or financed by such establishment or the prevention and 

detection of fraud and abuse in such programs and operations;

 (3) to recommend policies for, and to conduct, supervise, or coordinate 

other activities carried out or financed by such establishment for the 

purpose of promoting economy and efficiency in the administration of, or 

preventing and detecting fraud and abuse in, its programs and operations;

 (4) to recommend policies for, and to conduct, supervise, or coordinate 

relationships between such establishment and other Federal agencies, 

State and local governmental agencies, and nongovernmental entities 

with respect to (A) all matters relating to the promotion of economy and 

efficiency in the administration of, or the prevention and detection of 

fraud and abuse in, programs and operations administered or financed by 

––––––––

3 Amended by P.L. 110–409, § 3(a), 122 Stat. 4302 (2008). 4 Amended by P.L. 110–409, § 4(a)(1), 122 Stat. 4302 (2008). 5 Amended by P.L. 110–409, § 5, 122 Stat. 4302 (2008). 6 Amended by P.L. 110–409, § 6(a), 122 Stat. 4302 (2008).
Inspector General Act of 1978 (P.L. 95–452) 871

such establishment, or (B) the identification and prosecution of 

participants in such fraud or abuse; and

 (5) to keep the head of such establishment and the Congress fully and 

currently informed, by means of the reports required by section 5 and 

otherwise, concerning fraud and other serious problems, abuses, and 

deficiencies relating to the administration of programs and operations 

administered or financed by such establishment, to recommend corrective 

action concerning such problems, abuses, and deficiencies, and to report 

on the progress made in implementing such corrective action.

(b) (1) In carrying out the responsibilities specified in subsection (a)(1), 

each Inspector General shall—

 (A) comply with standards established by the Comptroller General of 

the United States for audits of Federal establishments, organizations, 

programs, activities, and functions;

 (B) establish guidelines for determining when it shall be appropriate 

to use non–Federal auditors; and

 (C) take appropriate steps to assure that any work performed by non–

Federal auditors complies with the standards established by the 

Comptroller General as described in paragraph (1).

 (2) For purposes of determining compliance with paragraph (1)(A) with 

respect to whether internal quality controls are in place and operating and 

whether established audit standards, policies, and procedures are being 

followed by offices of Inspector General of establishments defined under 

section 12(2), offices of Inspector General of designated Federal entities 

defined under section 8F(a)(2), and any audit Office established within a 

Federal entity defined under section 8F(a)(1), reviews shall be performed 

exclusively by an audit entity in the Federal Government, including the 

General Accounting Office [Government Accountability Office] or the 

Office of Inspector General of each establishment defined under section 

12(2), or the Office of Inspector General of each designated Federal 

entity defined under section 8F(a)(2).

(c) In carrying out the duties and responsibilities established under this 

Act, each Inspector General shall give particular regard to the activities 

of the Comptroller General of the United States with a view toward 

avoiding duplication and insuring effective coordination and cooperation.

(d) In carrying out the duties and responsibilities established under this 

Act, each Inspector General shall report expeditiously to the Attorney 

General whenever the Inspector General has reasonable grounds to 

believe there has been a violation of Federal criminal law.7

Sec. 5. Semiannual Reports; Transmittal to Congress; Availability to 

Public; Immediate Report on Serious or Flagrant Problems; 

Disclosure of Information; Definitions

(a) Each Inspector General shall, not later than April 30 and October 31 

of each year, prepare semiannual reports summarizing the activities of 

the Office during the immediately preceding six–month periods ending 

March 31 and September 30. Such reports shall include, but need not be 

limited to––

 (1) a description of significant problems, abuses, and deficiencies 

relating to the administration of programs and operations of such 

establishment disclosed by such activities during the reporting period;

 (2) a description of the recommendations for corrective action made by 

the Office during the reporting period with respect to significant 

––––––––

7 Amended by P.L. 100–504, Title I, § 109, 102 Stat. 2529 (1988); P.L. 103–82, Title II, § 202(g)(5)(A), 107 Stat. 890 (1993); P.L. 110–409, § 7(d)(1)(A), 122 Stat. 4313

(2008).
872 Inspector General Act of 1978 (P.L. 95–452)

problems, abuses, or deficiencies identified pursuant to paragraph (1);

 (3) an identification of each significant recommendation described in 

previous semiannual reports on which corrective action has not been 

completed;

 (4) a summary of matters referred to prosecutive authorities and the 

prosecutions and convictions which have resulted;

 (5) a summary of each report made to the head of the establishment 

under section 6(b)(2) during the reporting period;

 (6) a listing, subdivided according to subject matter, of each audit 

report, inspection reports [report], and evaluation reports [report] issued 

by the Office during the reporting period and for each report, where 

applicable, the total dollar value of questioned costs (including a separate 

category for the dollar value of unsupported costs) and the dollar value of 

recommendations that funds be put to better use;

 (7) a summary of each particularly significant report;

 (8) statistical tables showing the total number of audit reports, 

inspection reports, and evaluation reports and the total dollar value of 

questioned costs (including a separate category for the dollar value of 

unsupported costs), for reports—

 (A) for which no management decision had been made by the 

commencement of the reporting period;

 (B) which were issued during the reporting period;

 (C) for which a management decision was made during the reporting 

period, including—

 (i) the dollar value of disallowed costs; and

 (ii) the dollar value of costs not disallowed; and

 (D) for which no management decision has been made by the end of 

the reporting period;

 (9) statistical tables showing the total number of audit reports, 

inspection reports, and evaluation reports and the dollar value of 

recommendations that funds be put to better use by management, for 

reports—

 (A) for which no management decision had been made by the 

commencement of the reporting period;

 (B) which were issued during the reporting period;

 (C) for which a management decision was made during the reporting 

period, including—

 (i) the dollar value of recommendations that were agreed to by 

management; and

 (ii) the dollar value of recommendations that were not agreed to by 

management; and

 (D) for which no management decision has been made by the end of 

the reporting period;

(10) a summary of each audit report, inspection reports [report], and 

evaluation reports [report] issued before the commencement of the 

reporting period for which no management decision has been made by 

the end of the reporting period (including the date and title of each such 

report), an explanation of the reasons such management decision has not 

been made, and a statement concerning the desired timetable for 

achieving a management decision on each such report;

(11) a description and explanation of the reasons for any significant 

revised management decision made during the reporting period;

(12) information concerning any significant management decision with 

which the Inspector General is in disagreement; 
Inspector General Act of 1978 (P.L. 95–452) 873

(13) the information described under section 05(b) of the Federal 

Financial Management Improvement Act of 1996;

(14)(A) an appendix containing the results of any peer review 

conducted by another Office of Inspector General during the reporting 

period; or

(B) if no peer review was conducted within that reporting period, a 

statement identifying the date of the last peer review conducted by 

another Office of Inspector General;

(15) a list of any outstanding recommendations from any peer review 

conducted by another Office of Inspector General that have not been 

fully implemented, including a statement describing the status of the 

implementation and why implementation is not complete; and

(16) a list of any peer reviews conducted by the Inspector General of 

another Office of the Inspector General during the reporting period, 

including a list of any outstanding recommendations made from any 

previous peer review (including any peer review conducted before the 

reporting period) that remain outstanding or have not been fully 

implemented.8

(b) Semiannual reports of each Inspector General shall be furnished to 

the head of the establishment involved not later than April 30 and 

October 31 of each year and shall be transmitted by such head to the 

appropriate committees or subcommittees of the Congress within thirty 

days after receipt of the report, together with a report by the head of the 

establishment containing—

 (1) any comments such head determines appropriate;

 (2) statistical tables showing the total number of audit reports, 

inspection reports, and evaluation reports and the dollar value of 

disallowed costs, for audit reports—

 (A) for which final action had not been taken by the commencement 

of the reporting period;

 (B) on which management decisions were made during the reporting 

period;

 (C) for which final action was taken during the reporting period, 

including—

 (i) the dollar value of disallowed costs that were recovered by 

management through collection, offset, property in lieu of cash, or 

otherwise; and

 (ii) the dollar value of disallowed costs that were written off by 

management; and

 (D) for which no final action has been taken by the end of the 

reporting period;

 (3) statistical tables showing the total number of audit reports, 

inspection reports, and evaluation reports and the dollar value of 

recommendations that funds be put to better use by management agreed 

to in a management decision, for audit reports—

 (A) for which final action had not been taken by the commencement 

of the reporting period;

 (B) on which management decisions were made during the reporting 

period;

 (C) for which final action was taken during the reporting period, 

including—

 (i) the dollar value of recommendations that were actually 

completed; and

––––––––

8 Amended by P.L. 111–203, § 989C, 124 Stat. 1945(2010).
874 Inspector General Act of 1978 (P.L. 95–452)

 (ii) the dollar value of recommendations that management has 

subsequently concluded should not or could not be implemented or 

completed; and

 (D) for which no final action has been taken by the end of the 

reporting period; and

 (4) a statement with respect to audit reports on which management 

decisions have been made but final action has not been taken, other than 

audit reports on which a management decision was made within the 

preceding year, containing—

 (A) a list of such audit reports and the date each such report was 

issued;

 (B) the dollar value of disallowed costs for each report;

 (C) the dollar value of recommendations that funds be put to better 

use agreed to by management for each report; and

 (D) an explanation of the reasons final action has not been taken with 

respect to each such audit report,

 except that such statement may exclude such audit reports that are 

under formal administrative or judicial appeal or upon which 

management of an establishment has agreed to pursue a legislative 

solution, but shall identify the number of reports in each category so 

excluded.

(c) Within sixty days of the transmission of the semiannual reports of 

each Inspector General to the Congress, the head of each establishment 

shall make copies of such report available to the public upon request and 

at a reasonable cost. Within 60 days after the transmission of the 

semiannual reports of each establishment head to the Congress, the head 

of each establishment shall make copies of such report available to the 

public upon request and at a reasonable cost.

(d) Each Inspector General shall report immediately to the head of the 

establishment involved whenever the Inspector General becomes aware 

of particularly serious or flagrant problems, abuses, or deficiencies 

relating to the administration of programs and operations of such 

establishment. The head of the establishment shall transmit any such 

report to the appropriate committees or subcommittees of Congress 

within seven calendar days, together with a report by the head of the 

establishment containing any comments such head deems appropriate.

(e) (1) Nothing in this section shall be construed to authorize the public 

disclosure of information which is—

 (A) specifically prohibited from disclosure by any other provision of 

law;

 (B) specifically required by Executive order to be protected from 

disclosure in the interest of national defense or national security or in the 

conduct of foreign affairs; or

 (C) a part of an ongoing criminal investigation.

 (2) Notwithstanding paragraph (1)(C), any report under this section 

may be disclosed to the public in a form which includes information with 

respect to a part of an ongoing criminal investigation if such information 

has been included in a public record.

 (3) Except to the extent and in the manner provided under section 

6103(f) of the Internal Revenue Code of 1986, nothing in this section or 

in any other provision of this Act shall be construed to authorize or 

permit the withholding of information from the Congress, or from any 

committee or subcommittee thereof.

(f) As used in this section—
Inspector General Act of 1978 (P.L. 95–452) 875

 (1) the term “questioned cost” means a cost that is questioned by the 

Office because of—

 (A) an alleged violation of a provision of a law, regulation, contract, 

grant, cooperative agreement, or other agreement or document governing 

the expenditure of funds;

 (B) a finding that, at the time of the audit, such cost is not supported 

by adequate documentation; or

 (C) a finding that the expenditure of funds for the intended purpose is 

unnecessary or unreasonable;

 (2) the term “unsupported cost” means a cost that is questioned by the 

Office because the Office found that, at the time of the audit, such cost is 

not supported by adequate documentation;

 (3) the term “disallowed cost” means a questioned cost that 

management, in a management decision, has sustained or agreed should 

not be charged to the Government;

 (4) the term “recommendation that funds be put to better use” means a 

recommendation by the Office that funds could be used more efficiently 

if management of an establishment took actions to implement and 

complete the recommendation, including—

 (A) reductions in outlays;

 (B) deobligation of funds from programs or operations;

 (C) withdrawal of interest subsidy costs on loans or loan guarantees, 

insurance, or bonds;

 (D) costs not incurred by implementing recommended improvements 

related to the operations of the establishment, a contractor or grantee;

 (E) avoidance of unnecessary expenditures noted in preaward reviews 

of contract or grant agreements; or

 (F) any other savings which are specifically identified;

 (5) the term “management decision” means the evaluation by the 

management of an establishment of the findings and recommendations 

included in an audit report and the issuance of a final decision by 

management concerning its response to such findings and 

recommendations, including actions concluded to be necessary; and

 (6) the term “final action” means—

 (A) the completion of all actions that the management of an 

establishment has concluded, in its management decision, are necessary 

with respect to the findings and recommendations included in an audit 

report; and

 (B) in the event that the management of an establishment concludes 

no action is necessary, final action occurs when a management decision 

has been made.9

Sec. 6. Authority of Inspector General; Information and Assistance 

from Federal Agencies, Unreasonable Refusal, Office Space and

Equipment

(a) In addition to the authority otherwise provided by this Act, each 

Inspector General, in carrying out the provisions of this Act, is 

authorized—

 (1) to have access to all records, reports, audits, reviews, documents, 

papers, recommendations, or other material available to the applicable 

establishment which relate to programs and operations with respect to 

which that Inspector General has responsibilities under this Act;

––––––––

9 Amended by P.L. 97–252, Title XI, § 1117(c), 96 Stat. 752 (1982); P.L. 100–504, Title I, §§ 102(g), 106(a)–(d), 102 Stat. 2521, 2525, 2527 (1988); P.L. 104–208, Div. A, 

Title I, § 101(f), Title VIII, § 805(c), 110 Stat. 3009–393 (1996); P.L. 110–409, § 12, 122 Stat. 4315 (2008).
876 Inspector General Act of 1978 (P.L. 95–452)

 (2) to make such investigations and reports relating to the 

administration of the programs and operations of the applicable 

establishment as are, in the judgment of the Inspector General, necessary 

or desirable;

 (3) to request such information or assistance as may be necessary for 

carrying out the duties and responsibilities provided by this Act from any 

Federal, State, or local governmental agency or unit thereof;

 (4) to require by subpoena the production of all information, 

documents, reports, answers, records, accounts, papers, and other data in 

any medium (including electronically stored information, as well as any 

tangible thing) and documentary evidence necessary in the performance 

of the functions assigned by this Act, which subpoena, in the case of 

contumacy or refusal to obey, shall be enforceable by order of any 

appropriate United States district court: Provided, That procedures other 

than subpoenas shall be used by the Inspector General to obtain 

documents and information from Federal agencies;

 (5) to administer to or take from any person an oath, affirmation, or 

affidavit, whenever necessary in the performance of the functions 

assigned by this Act, which oath, affirmation, or affidavit when 

administered or taken by or before an employee of an Office of Inspector 

General designated by the Inspector General shall have the same force 

and effect as if administered or taken by or before an Officer having a 

seal;

 (6) to have direct and prompt access to the head of the establishment 

involved when necessary for any purpose pertaining to the performance 

of functions and responsibilities under this Act;

 (7) to select, appoint, and employ such Officers and employees as may 

be necessary for carrying out the functions, powers, and duties of the 

Office subject to the provisions of title 5, United States Code, governing 

appointments in the competitive service, and the provisions of chapter 51 

and subchapter III of chapter 53 of such title relating to classification and 

General Schedule pay rates;

 (8) to obtain services as authorized by section 3109 of title 5, United 

States Code, at daily rates not to exceed the equivalent rate prescribed for 

grade GS–18 of the General Schedule by section 5332 of title 5, United 

States Code; and

 (9) to the extent and in such amounts as may be provided in advance by 

appropriations Acts, to enter into contracts and other arrangements for 

audits, studies, analyses, and other services with public agencies and with 

private persons, and to make such payments as may be necessary to carry 

out the provisions of this Act.

(b) (1) Upon request of an Inspector General for information or 

assistance under subsection (a)(3), the head of any Federal agency 

involved shall, insofar as is practicable and not in contravention of any 

existing statutory restriction or regulation of the Federal agency from 

which the information is requested, furnished to such Inspector General, 

or to an authorized designee, such information or assistance.

 (2) Whenever information or assistance requested under subsection 

(a)(1) or (a)(3) is, in the judgment of an Inspector General, unreasonably 

refused or not provided, the Inspector General shall report the 

circumstances to the head of the establishment involved without delay.

(c) Each head of an establishment shall provide the Office within such 

establishment with appropriate and adequate Office space at central and 

field Office locations of such establishment, together with such 

equipment, Office supplies, and communications facilities and services 
Inspector General Act of 1978 (P.L. 95–452) 877

as may be necessary for the operation of such offices, and shall provide 

necessary maintenance services for such offices and the equipment and 

facilities located therein.

(d) (1) (A) For purposes of applying the provisions of law identified in 

subparagraph (B)—

 (i) each Office of Inspector General shall be considered to be a 

separate agency; and

 (ii) the Inspector General who is the head of an Office referred to in 

clause (i) shall, with respect to such Office, have the functions, powers, 

and duties of an agency head or appointing authority under such 

provisions.

 (B) This paragraph applies with respect to the following provisions of 

title 5, United States Code:

 (i) Subchapter II of chapter 35.

 (ii) Sections 8335(b), 8336, 8344, 8414, 8468, and 8425(b).

 (iii) All provisions relating to the Senior Executive Service (as 

determined by the Office of Personnel Management), subject to 

paragraph (2).

 (2) For purposes of applying section 4507(b) of title 5, United States 

Code, paragraph (1)(A)(ii) shall be applied by substituting “the Council 

of the Inspectors General on Integrity and Efficiency (established by 

section 11 of the Inspector General Act) shall” for “the Inspector General 

who is the head of an Office referred to in clause (i) shall, with respect to 

such Office,”.

(e) (1) In addition to the authority otherwise provided by this Act, each 

Inspector General, any Assistant Inspector General for Investigations 

under such an Inspector General, and any special agent supervised by 

such an Assistant Inspector General may be authorized by the Attorney 

General to—

 (A) carry a firearm while engaged in official duties as authorized 

under this Act or other statute, or as expressly authorized by the Attorney 

General;

 (B) make an arrest without a warrant while engaged in official duties 

as authorized under this Act or other statute, or as expressly authorized 

by the Attorney General, for any offense against the United States 

committed in the presence of such Inspector General, Assistant Inspector 

General, or agent, or for any felony cognizable under the laws of the 

United States if such Inspector General, Assistant Inspector General, or 

agent has reasonable grounds to believe that the person to be arrested has 

committed or is committing such felony; and

 (C) seek and execute warrants for arrest, search of a premises, or 

seizure of evidence issued under the authority of the United States upon 

probable cause to believe that a violation has been committed.

 (2) The Attorney General may authorize exercise of the powers under 

this subsection only upon an initial determination that—

 (A) the affected Office of Inspector General is significantly hampered 

in the performance of responsibilities established by this Act as a result 

of the lack of such powers;

 (B) available assistance from other law enforcement agencies is 

insufficient to meet the need for such powers; and

 (C) adequate internal safeguards and management procedures exist to 

ensure proper exercise of such powers.

 (3) The Inspector General offices of the Department of Commerce, 

Department of Education, Department of Energy, Department of Health 

and Human Services, Department of Homeland Security, Department of 
878 Inspector General Act of 1978 (P.L. 95–452)

Housing and Urban Development, Department of the Interior, 

Department of Justice, Department of Labor, Department of State, 

Department of Transportation, Department of the Treasury, Department 

of Veterans Affairs, Agency for International Development, 

Environmental Protection Agency, Federal Deposit Insurance 

Corporation, Federal Emergency Management Agency, General Services 

Administration, National Aeronautics and Space Administration, Nuclear 

Regulatory Commission, Office of Personnel Management, Railroad 

Retirement Board, Small Business Administration, Social Security 

Administration, and the Tennessee Valley Authority are exempt from the

requirement of paragraph (2) of an initial determination of eligibility by 

the Attorney General.

 (4) The Attorney General shall promulgate, and revise as appropriate, 

guidelines which shall govern the exercise of the law enforcement 

powers established under paragraph (1).

 (5)(A) Powers authorized for an Office of Inspector General under 

paragraph (1) may be rescinded or suspended upon a determination by 

the Attorney General that any of the requirements under paragraph (2) is 

no longer satisfied or that the exercise of authorized powers by that 

Office of Inspector General has not complied with the guidelines 

promulgated by the Attorney General under paragraph (4).

 (B) Powers authorized to be exercised by any individual under 

paragraph (1) may be rescinded or suspended with respect to that 

individual upon a determination by the Attorney General that such 

individual has not complied with guidelines promulgated by the Attorney 

General under paragraph (4).

 (6) A determination by the Attorney General under paragraph (2) or (5) 

shall not be reviewable in or by any court.

 (7) To ensure the proper exercise of the law enforcement powers 

authorized by this subsection, the offices of Inspector General described 

under paragraph (3) shall, not later than 180 days after the date of 

enactment of this subsection [enacted Nov. 25, 2002], collectively enter 

into a memorandum of understanding to establish an external review 

process for ensuring that adequate internal safeguards and management 

procedures continue to exist within each Office and within any Office

that later receives an authorization under paragraph (2). The review 

process shall be established in consultation with the Attorney General, 

who shall be provided with a copy of the memorandum of understanding 

that establishes the review process. Under the review process, the 

exercise of the law enforcement powers by each Office of Inspector 

General shall be reviewed periodically by another Office of Inspector 

General or by a committee of Inspectors General. The results of each 

review shall be communicated in writing to the applicable Inspector 

General and to the Attorney General.

 (8) No provision of this subsection shall limit the exercise of law 

enforcement powers established under any other statutory authority, 

including United States Marshals Service special deputation.

 (9) In this subsection, the term “Inspector General” means an Inspector 

General appointed under section 3 or an Inspector General appointed 

under section 8G.

(f) (1) For each fiscal year, an Inspector General shall transmit a budget 

estimate and request to the head of the establishment or designated 

Federal entity to which the Inspector General reports. The budget request 

shall specify the aggregate amount of funds requested for such fiscal year 

for the operations of that Inspector General and shall specify the amount 
Inspector General Act of 1978 (P.L. 95–452) 879

requested for all training needs, including a certification from the 

Inspector General that the amount requested satisfies all training 

requirements for the Inspector General's Office for that fiscal year, and 

any resources necessary to support the Council of the Inspectors General 

on Integrity and Efficiency. Resources necessary to support the Council 

of the Inspectors General on Integrity and Efficiency shall be specifically 

identified and justified in the budget request.

 (2) In transmitting a proposed budget to the President for approval, the 

head of each establishment or designated Federal entity shall include––

 (A) an aggregate request for the Inspector General;

 (B) amounts for Inspector General training;

 (C) amounts for support of the Council of the Inspectors General on 

Integrity and Efficiency; and

 (D) any comments of the affected Inspector General with respect to 

the proposal.

 (3) The President shall include in each budget of the United States 

Government submitted to Congress—

 (A) a separate statement of the budget estimate prepared in 

accordance with paragraph (1);

 (B) the amount requested by the President for each Inspector General;

 (C) the amount requested by the President for training of Inspectors 

General;

 (D) the amount requested by the President for support for the Council 

of the Inspectors General on Integrity and Efficiency; and

 (E) any comments of the affected Inspector General with respect to 

the proposal if the Inspector General concludes that the budget submitted 

by the President would substantially inhibit the Inspector General from 

performing the duties of the Office.

10

Sec. 7. Complaints by Employees. Disclosure of Identity; Reprisals

(a) The Inspector General may receive and investigate complaints or 

information from an employee of the establishment concerning the 

possible existence of an activity constituting a violation of law, rules, or 

regulations, or mismanagement, gross waste of funds, abuse of authority 

or a substantial and specific danger to the public health and safety.

(b) The Inspector General shall not, after receipt of a complaint or 

information from an employee, disclose the identity of the employee 

without the consent of the employee, unless the Inspector General 

determines such disclosure is unavoidable during the course of the 

investigation.

(c) Any employee who has authority to take, direct others to take, 

recommend, or approve any personnel action, shall not with respect to 

such authority, take or threaten to take any actions against any employee 

as a reprisal for making a complaint or disclosing information to an 

Inspector General, unless the complaint was made for the information 

disclosed with the knowledge that it was false or with willful disregard 

for its truth or falsity.

Sec. 8. Additional Provisions with Respect to the Inspector General 

of the Department of Defense

(a) No member of the Armed Forces, active or reserve, shall be appointed 

Inspector General of the Department of Defense.

(b) (1) Notwithstanding the last two sentences of section 3(a), the 

Inspector General shall be under the authority, direction, and control of 

––––––––

10 Amended by P.L. 100–504, Title I, §§ 107, 110(a), 102 Stat. 2528, 2529 (1988); 

P.L. 107–296, Title VIII, Subtitle B, § 812(a), 116 Stat. 2222 (2002); P.L. 110–409, §§ 8, 9, 

11, 14(a), 122 Stat. 4313, 4315, 4316 (2008).
880 Inspector General Act of 1978 (P.L. 95–452)

the Secretary of Defense with respect to audits or investigations, or the 

issuance of subpoenas, which require access to information concerning––

 (A) sensitive operational plans;

 (B) intelligence matters;

 (C) counterintelligence matters;

 (D) ongoing criminal investigations by other administrative units of 

the Department of Defense related to national security; or

 (E) other matters the disclosure of which would constitute a serious 

threat to national security.

 (2) With respect to the information described in paragraph (1) the 

Secretary of Defense may prohibit the Inspector General from initiating, 

carrying out, or completing any audit or investigation, or from issuing 

any subpoena, after the Inspector General has decided to initiate, carry 

out or complete such audit or investigation or to issue such subpoena, if 

the Secretary determines that such prohibition is necessary to preserve 

the national security interests of the United States.

 (3) If the Secretary of Defense exercises any power under paragraph (1) 

or (2), the Inspector General shall submit a statement concerning such 

exercise within thirty days to the Committees on Armed Services and 

[Homeland Security and] Governmental Affairs of the Senate and the 

Committee on Armed Services and the Committee on Government 

Reform and Oversight of the House of Representatives and to other 

appropriate committees or subcommittees of the Congress.

 (4) The Secretary shall, within thirty days after a submission of a 

statement under paragraph (3), transmit a statement of the reasons for the 

exercise of power under paragraph (1) or (2) to the congressional 

committees specified in paragraph (3) and to other appropriate 

committees or subcommittees.

(c) In addition to the other duties and responsibilities specified in this 

Act, the Inspector General of the Department of Defense shall—

 (1) be the principal adviser to the Secretary of Defense for matters 

relating to the prevention and detection of fraud, waste, and abuse in the 

programs and operations of the Department;

 (2) initiate, conduct, and supervise such audits and investigations in the 

Department of Defense (including the military departments) as the 

Inspector General considers appropriate;

 (3) provide policy direction for audits and investigations relating to 

fraud, waste, and abuse and program effectiveness;

 (4) investigate fraud, waste, and abuse uncovered as a result of other 

contract and internal audits, as the Inspector General considers 

appropriate;

 (5) develop policy, monitor and evaluate program performance, and 

provide guidance with respect to all Department activities relating to 

criminal investigation programs;

 (6) monitor and evaluate the adherence of Department auditors to 

internal audit, contract audit, and internal review principles, policies, and 

procedures;

 (7) develop policy, evaluate program performance, and monitor actions 

taken by all components of the Department in response to contract audits, 

internal audits, internal review reports, and audits conducted by the 

Comptroller General of the United States;

 (8) request assistance as needed from other audit, inspection, and 

investigative units of the Department of Defense (including military 

departments); and
Inspector General Act of 1978 (P.L. 95–452) 881

 (9) give particular regard to the activities of the internal audit, 

inspection, and investigative units of the military departments with a 

view toward avoiding duplication and insuring effective coordination and 

cooperation.

(d) Notwithstanding section 4(d), the Inspector General of the 

Department of Defense shall expeditiously report suspected or alleged 

violations of chapter 47 of title 10, United States Code (Uniform Code of 

Military Justice), to the Secretary of the military department concerned or 

the Secretary of Defense.

(e) For the purposes of section 7, a member of the Armed Forces shall be 

deemed to be an employee of the Department of Defense, except that, 

when the Coast Guard operates as a service of another department or 

agency of the Federal Government, a member of the Coast Guard shall be 

deemed to be an employee of such department or agency.

(f) (1) Each semiannual report prepared by the Inspector General of the 

Department of Defense under section 5(a) shall include information 

concerning the numbers and types of contract audits conducted by the 

Department during the reporting period. Each such report shall be 

transmitted by the Secretary of Defense to the Committees on Armed 

Services and Governmental Affairs of the Senate and the Committee on 

Armed Services and the Committee on Government Reform and 

Oversight of the House of Representatives and to other appropriate 

committees or subcommittees of the Congress.

 (2) Any report required to be transmitted by the Secretary of Defense to 

the appropriate committees or subcommittees of the Congress under 

section 5(d) shall also be transmitted, within the seven–day period 

specified in such section, to the congressional committees specified in 

paragraph (1).

(g) The provisions of section 1385 of title 18, United States Code, shall 

not apply to audits and investigations conducted by, under the direction 

of, or at the request of the Inspector General of the Department of 

Defense to carry out the purposes of this Act.

(h) (1) There is a General Counsel to the Inspector General of the 

Department of Defense, who shall be appointed by the Inspector General 

of the Department of Defense.

 (2) (A) Notwithstanding section 140(b) of title 10, United States Code, 

the General Counsel is the chief legal Officer of the Office of the 

Inspector General.

 (B) The Inspector General is the exclusive legal client of the General 

Counsel.

 (C) The General Counsel shall perform such functions as the 

Inspector General may prescribe.

 (D) The General Counsel shall serve at the discretion of the Inspector 

General.

 (3) There is an Office of the General Counsel to the Inspector General 

of the Department of Defense. The Inspector General may appoint to the 

Office to serve as staff of the General Counsel such legal counsel as the 

Inspector General considers appropriate.

(i) (1) The Inspector General of the Department of Defense is authorized 

to require by subpoena the attendance and testimony of witnesses as 

necessary in the performance of functions assigned to the Inspector 

General by this Act, except that the Inspector General shall use 

procedures other than subpoenas to obtain attendance and testimony from 

Federal employees.

 (2) A subpoena issued under this subsection, in the case of contumacy 
882 Inspector General Act of 1978 (P.L. 95–452)

or refusal to obey, shall be enforceable by order of any appropriate 

United States district court.

 (3) The Inspector General shall notify the Attorney General 7 days 

before issuing any subpoena under this section.11

(a) In addition to the other duties and responsibilities specified in this 

Act, the Inspector General of the Agency for International Development 

shall supervise, direct, and control all security activities relating to the 

programs and operations of that Agency, subject to the supervision of the 

Administrator of that Agency.

(b) In addition to the Assistant Inspector Generals provided for in 

section 3(d) of this Act, the Inspector General of the Agency for 

International Development shall, in accordance with applicable laws and 

regulations governing the civil service, appoint an Assistant Inspector 

General for Security who shall have the responsibility for supervising the 

performance of security activities relating to programs and operations of 

the Agency for International Development.

(c) In addition to the Officers and employees provided for in section 

6(a)(6) of this Act, members of the Foreign Service may, at the request of 

the Inspector General of the Agency for International Development, be 

assigned as employees of the Inspector General. Members of the Foreign 

Service so assigned shall be responsible solely to the Inspector General, 

and the Inspector General (or his or her designee) shall prepare the 

performance evaluation reports for such members.

(d) In establishing and staffing field offices pursuant to section 6(c) of 

this Act, the Administrator of the Agency for International Development 

shall not be bound by overseas personnel ceilings established under the 

monitoring Overseas Direct Employment policy.

(e) The Inspector General of the Agency for International 

Development shall be in addition to the Officers provided for in section 

624(a) of the Foreign Assistance Act of 1961 [22 USC 2384(a)].

(f) As used in this Act, the term “Agency for International 

Development” includes any successor agency primarily responsible for 

administering Part I of the Foreign Assistance Act of 1961, an employee 

of the Inter–American Foundation, and an employee of the African 

Development Foundation.12

(g), (h) Redesignated (e), (f).

Sec. 8B. Special Provisions Concerning the Nuclear Regulatory 

Commission

(a) The Chairman of the Commission may delegate the authority 

specified in the second sentence of section 3(a) to another member of the 

Nuclear Regulatory Commission, but shall not delegate such authority to 

any other Officer or employee of the Commission.

(b) Notwithstanding sections 6(a)(7) and (8), the Inspector General of 

the Nuclear Regulatory Commission is authorized to select, appoint, and 

employ such Officers and employees as may be necessary for carrying 

out the functions, powers and duties of the Office of Inspector General 

and to obtain the temporary or intermittent services of experts or 

consultants or an organization thereof, subject to the applicable laws and 

––––––––

11 Amended by P.L. 97–252, Title XI, § 1117(b), 96 Stat. 751 (1982); P.L. 100–504, Title I, § 110(b), 102 Stat. 2529 (1988); P.L. 104–106, Div. A, Title XV, § 1502(f)(6), 

110 Stat. 510 (1996); P.L. 106–65, Div. A, Title X, Subtitle G, § 1067(17), 113 Stat. 775

(1999); P.L. 110–417 [Div. A,] Title IX, Subtitle A, § 907, 122 Stat. 4569 (2008); 

P.L. 111–84, Div. A, Title X, Subtitle D, § 1042, 123 Stat. 2455 (2009). 12 Amended by P.L. 105–277, Div. G, Title XIV, § 1422(b)(2), 112 Stat. 2681–792 

(1998); P.L. 106–113, Div. B, § 1000(a)(7) [Div. A, Title II, § 205], 113 Stat. 1536, 

1501A–422 (1999).
Inspector General Act of 1978 (P.L. 95–452) 883

regulations that govern such selections, appointments and employment, 

and the obtaining of such services, within the Nuclear Regulatory 

Commission.

Sec. 8C. Special Provisions Concerning the Federal Deposit 

Insurance Corporation

(a) DELEGATION.–The Chairperson of the Federal Deposit 

Insurance Corporation may delegate the authority specified in the second 

sentence of section 3(a) to the Vice Chairperson of the Board of 

Directors of the Federal Deposit Insurance Corporation, but may not 

delegate such authority to any other Officer or employee of the 

Corporation.

(b) PERSONNEL.–Notwithstanding paragraphs (7) and (8) of section 

6(a), the Inspector General of the Federal Deposit Insurance Corporation 

may select, appoint, and employ such Officers and employees as may be 

necessary for carrying out the functions, powers, and duties of the Office

of Inspector General and to obtain the temporary or intermittent services 

of experts or consultants or an organization of experts or consultants, 

subject to the applicable laws and regulations that govern such selections, 

appointments, and employment, and the obtaining of such services, 

within the Federal Deposit Insurance Corporation.;

Sec. 8D. Special Provisions Concerning the Department of the 

Treasury

(a) (1) Notwithstanding the last two sentences of section 3(a), the 

Inspector General of the Department of the Treasury shall be under the 

authority, direction, and control of the Secretary of the Treasury with 

respect to audits or investigations, or the issuance of subpenas, which 

require access to sensitive information concerning––

 (A) ongoing criminal investigations or proceedings;

 (B) undercover operations;

 (C) the identity of confidential sources, including protected witnesses;

 (D) deliberations and decisions on policy matters, including 

documented information used as a basis for making policy decisions, the 

disclosure of which could reasonably be expected to have a significant 

influence on the economy or market behavior;

 (E) intelligence or counterintelligence matters; or

 (F) other matters the disclosure of which would constitute a serious 

threat to national security or to the protection of any person or property 

authorized protection by section 3056 of title 18, United States Code, 

section 3056A of title 18, United States Code, or any provision of the 

Presidential Protection Assistance Act of 1976 (18 U.S.C. 3056 note; 

Public Law 94–524).

 (2) With respect to the information described under paragraph (1), the 

Secretary of the Treasury may prohibit the Inspector General of the 

Department of the Treasury from carrying out or completing any audit or 

investigation, or from issuing any subpena, after such Inspector General 

has decided to initiate, carry out, or complete such audit or investigation 

or to issue such subpena, if the Secretary determines that such prohibition 

is necessary to prevent the disclosure of any information described under 

paragraph (1) or to prevent significant impairment to the national 

interests of the United States.

 (3) If the Secretary of the Treasury exercises any power under 

paragraph (1) or (2), the Secretary of the Treasury shall notify the 

Inspector General of the Department of the Treasury in writing stating 

the reasons for such exercise. Within 30 days after receipt of any such 

notice, the Inspector General of the Department of the Treasury shall 
884 Inspector General Act of 1978 (P.L. 95–452)

transmit a copy of such notice to the Committees on [Homeland Security 

and] Governmental Affairs and Finance of the Senate and the 

Committees on Government Operations and Ways and Means of the 

House of Representatives, and to other appropriate committees or 

subcommittees of the Congress.

 (4) The Secretary of the Treasury may not exercise any power under 

paragraph (1) or (2) with respect to the Treasury Inspector General for 

Tax Administration.

(b) (1) In carrying out the duties and responsibilities specified in this Act, 

the Inspector General of the Department of the Treasury shall have 

oversight responsibility for the internal investigations performed by the 

Office of Internal Affairs of the Tax and Trade Bureau. The head of such 

Office shall promptly report to the Inspector General of the Department 

of the Treasury the significant activities being carried out by such Office.

 (2) The Inspector General of the Department of the Treasury shall 

exercise all duties and responsibilities of an Inspector General for the 

Department of the Treasury other than the duties and responsibilities 

exercised by the Treasury Inspector General for Tax Administration.

 (3) The Secretary of the Treasury shall establish procedures under 

which the Inspector General of the Department of the Treasury and the 

Treasury Inspector General for Tax Administration will—

 (A) determine how audits and investigations are allocated in cases of 

overlapping jurisdiction; and

 (B) provide for coordination, cooperation, and efficiency in the 

conduct of such audits and investigations.

(c) Notwithstanding subsection (b), the Inspector General of the 

Department of the Treasury may initiate, conduct and supervise such 

audits and investigations in the Department of the Treasury (including 

the bureau referred to in subsection (b)) as the Inspector General of the 

Department of the Treasury considers appropriate.

(d) If the Inspector General of the Department of the Treasury initiates an 

audit or investigation under subsection (c) concerning the bureau referred 

to in subsection (b), the Inspector General of the Department of the 

Treasury may provide the head of the Office of such bureau referred to in 

subsection (b) with written notice that the Inspector General of the 

Department of the Treasury has initiated such an audit or investigation. If 

the Inspector General of the Department of the Treasury issues a notice 

under the preceding sentence, no other audit or investigation shall be 

initiated into the matter under audit or investigation by the Inspector 

General of the Department of the Treasury and any other audit or 

investigation of such matter shall cease.

(e) (1) The Treasury Inspector General for Tax Administration shall have 

access to return information, as defined in section 6103(b) of the Internal 

Revenue Code of 1986, only in accordance with the provisions of section 

6103 of such Code and this Act.

 (2) The Internal Revenue Service shall maintain the same system of 

standardized records or accountings of all requests from the Treasury 

Inspector General for Tax Administration for inspection or disclosure of 

returns and return information (including the reasons for and dates of 

such requests), and of returns and return information inspected or 

disclosed pursuant to such requests, as described under section 

6103(p)(3)(A) of the Internal Revenue Code of 1986. Such system of 

standardized records or accountings shall also be available for 

examination in the same manner as provided under section 6103(p)(3) of 

the Internal Revenue Code of 1986.
Inspector General Act of 1978 (P.L. 95–452) 885

 (3) The Treasury Inspector General for Tax Administration shall be 

subject to the same safeguards and conditions for receiving returns and 

return information as are described under section 6103(p)(4) of the 

Internal Revenue Code of 1986.

(f) An audit or investigation conducted by the Inspector General of the 

Department of the Treasury or the Treasury Inspector General for Tax 

Administration shall not affect a final decision of the Secretary of the 

Treasury or his delegate under section 6406 of the Internal Revenue Code 

of 1986.

(g) (1) Any report required to be transmitted by the Secretary of the 

Treasury to the appropriate committees or subcommittees of the 

Congress under section 5(d) shall also be transmitted, within the seven–

day period specified under such section, to the Committees on 

[Homeland Security and] Governmental Affairs and Finance of the 

Senate and the Committees on Government Reform and Oversight and 

Ways and Means of the House of Representatives.

 (2) Any report made by the Treasury Inspector General for Tax 

Administration that is required to be transmitted by the Secretary of the 

Treasury to the appropriate committees or subcommittees of Congress 

under section 5(d) shall also be transmitted, within the 7–day period 

specified under such subsection, to the Internal Revenue Service 

Oversight Board and the Commissioner of Internal Revenue.

(h) The Treasury Inspector General for Tax Administration shall 

exercise all duties and responsibilities of an Inspector General of an 

establishment with respect to the Department of the Treasury and the 

Secretary of the Treasury on all matters relating to the Internal Revenue 

Service. The Treasury Inspector General for Tax Administration shall 

have sole authority under this Act to conduct an audit or investigation of 

the Internal Revenue Service Oversight Board and the Chief Counsel for 

the Internal Revenue Service.

(i) In addition to the requirements of the first sentence of section 3(a), the 

Treasury Inspector General for Tax Administration should have 

demonstrated ability to lead a large and complex organization.

(j) An individual appointed to the position of Treasury Inspector General 

for Tax Administration, the Assistant Inspector General for Auditing of 

the Office of the Treasury Inspector General for Tax Administration 

under section 3(d)(1), the Assistant Inspector General for Investigations 

of the Office of the Treasury Inspector General for Tax Administration 

under section 3(d)(2), or any position of Deputy Inspector General of the 

Office of the Treasury Inspector General for Tax Administration may not 

be an employee of the Internal Revenue Service—

 (1) during the 2–year period preceding the date of appointment to such 

position; or

 (2) during the 5–year period following the date such individual ends 

service in such position.

(k) (1) In addition to the duties and responsibilities exercised by an 

inspector general of an establishment, the Treasury Inspector General for 

Tax Administration—

 (A) shall have the duty to enforce criminal provisions under section 

7608(b) of the Internal Revenue Code of 1986;

 (B) in addition to the functions authorized under section 7608(b)(2) 

of such Code, may carry firearms;

 (C) shall be responsible for protecting the Internal Revenue Service 

against external attempts to corrupt or threaten employees of the Internal 

Revenue Service, but shall not be responsible for the conducting of 
886 Inspector General Act of 1978 (P.L. 95–452)

background checks and the providing of protection to the Commissioner 

of Internal Revenue; and

 (D) may designate any employee in the Office of the Treasury 

Inspector General for Tax Administration to enforce such laws and 

perform such functions referred to under subparagraphs (A), (B), and (C).

 (2)(A) In performing a law enforcement function under paragraph (1), 

the Treasury Inspector General for Tax Administration shall report any 

reasonable grounds to believe there has been a violation of Federal 

criminal law to the Attorney General at an appropriate time as 

determined by the Treasury Inspector General for Tax Administration, 

notwithstanding section 4(d).

 (B) In the administration of section 5(d) and subsection (g)(2) of this 

section, the Secretary of the Treasury may transmit the required report 

with respect to the Treasury Inspector General for Tax Administration at 

an appropriate time as determined by the Secretary, if the problem, 

abuse, or deficiency relates to—

 (i) the performance of a law enforcement function under paragraph 

(1); and

 (ii) sensitive information concerning matters under subsection 

(a)(1)(A) through (F).

 (3) Nothing in this subsection shall be construed to affect the authority 

of any other person to carry out or enforce any provision specified in 

paragraph (1).

(l) (1) The Commissioner of Internal Revenue or the Internal Revenue 

Service Oversight Board may request, in writing, the Treasury Inspector 

General for Tax Administration to conduct an audit or investigation 

relating to the Internal Revenue Service. If the Treasury Inspector 

General for Tax Administration determines not to conduct such audit or 

investigation, the Inspector General shall timely provide a written 

explanation for such determination to the person making the request.

 (2) (A) Any final report of an audit conducted by the Treasury 

Inspector General for Tax Administration shall be timely submitted by 

the Inspector General to the Commissioner of Internal Revenue and the 

Internal Revenue Service Oversight Board.

 (B) The Treasury Inspector General for Tax Administration shall 

periodically submit to the Commissioner and Board a list of 

investigations for which a final report has been completed by the 

Inspector General and shall provide a copy of any such report upon 

request of the Commissioner or Board.

 (C) This paragraph applies regardless of whether the applicable audit 

or investigation is requested under paragraph (1).13

Sec. 8E. Special Provisions Concerning the Department of Justice

(a) (1) Notwithstanding the last two sentences of section 3(a), the 

Inspector General shall be under the authority, direction, and control of 

the Attorney General with respect to audits or investigations, or the 

issuance of subpenas, which require access to sensitive information 

concerning––

 (A) ongoing civil or criminal investigations or proceedings;

 (B) undercover operations;

––––––––

13 Added and amended by P.L. 100–504, Title I, § 102(f), 102 Stat. 2518 (1988); 

P.L. 103–204, § 23(a)(3), 107 Stat. 2408 (1993); P.L. 105–206, Title I, Subtitle B, 

§§ 1103(b), (e)(1), (2), 112 Stat. 705, 709 (1998); P.L. 107–296, Title XI, Subtitle B, 

§ 1112(a)(1), 116 Stat. 2276 (2002); P.L. 108–7, Div. L, § 104(c)(2), 117 Stat. 531 (2003); 

P.L. 109–177, Title VI, § 605(e)(3), 120 Stat. 255 (2006); P.L. 110–409, § 14(b), 

122 Stat. 4316 (2008).
Inspector General Act of 1978 (P.L. 95–452) 887

 (C) the identity of confidential sources, including protected witnesses;

 (D) intelligence or counterintelligence matters; or

 (E) other matters the disclosure of which would constitute a serious 

threat to national security.

 (2) With respect to the information described under paragraph (1), the 

Attorney General may prohibit the Inspector General from carrying out 

or completing any audit or investigation, or from issuing any subpena, 

after such Inspector General has decided to initiate, carry out, or 

complete such audit or investigation or to issue such subpena, if the 

Attorney General determines that such prohibition is necessary to prevent 

the disclosure of any information described under paragraph (1) or to 

prevent the significant impairment to the national interests of the United 

States.

 (3) If the Attorney General exercises any power under paragraph (1) or 

(2), the Attorney General shall notify the Inspector General in writing 

stating the reasons for such exercise. Within 30 days after receipt of any 

such notice, the Inspector General shall transmit a copy of such notice to 

the Committees on [Homeland Security and] Governmental Affairs and 

Judiciary of the Senate and the Committees on Government Operations 

and Judiciary of the House of Representatives, and to other appropriate 

committees or subcommittees of the Congress.

(b) In carrying out the duties and responsibilities specified in this Act, the 

Inspector General of the Department of Justice—

 (1) may initiate, conduct and supervise such audits and investigations 

in the Department of Justice as the Inspector General considers 

appropriate;

 (2) except as specified in subsection (a) and paragraph (3), may 

investigate allegations of criminal wrongdoing or administrative 

misconduct by an employee of the Department of Justice, or may, in the 

discretion of the Inspector General, refer such allegations to the Office of 

Professional Responsibility or the internal affairs Office of the 

appropriate component of the Department of Justice;

 (3) shall refer to the Counsel, Office of Professional Responsibility of 

the Department of Justice, allegations of misconduct involving 

Department attorneys, investigators, or law enforcement personnel, 

where the allegations relate to the exercise of the authority of an attorney 

to investigate, litigate, or provide legal advice, except that no such 

referral shall be made if the attorney is employed in the Office of 

Professional Responsibility;

 (4) may investigate allegations of criminal wrongdoing or 

administrative misconduct by a person who is the head of any agency or 

component of the Department of Justice; and

 (5) shall forward the results of any investigation conducted under 

paragraph (4), along with any appropriate recommendation for 

disciplinary action, to the Attorney General.

(c) Any report required to be transmitted by the Attorney General to the 

appropriate committees or subcommittees of the Congress under section 

5(d) shall also be transmitted, within the seven–day period specified 

under such section, to the Committees on the Judiciary and [Homeland 

Security and] Governmental Affairs of the Senate and the Committees on 

the Judiciary and Government Operations of the House of 

Representatives.

(d) The Attorney General shall ensure by regulation that any component 

of the Department of Justice receiving a non-frivolous allegation of 

criminal wrongdoing or administrative misconduct by an employee of the 
888 Inspector General Act of 1978 (P.L. 95–452)

Department of Justice, except with respect to allegations described in 

subsection (b)(3), shall report that information to the Inspector General.14

Sec. 8F. Special Provisions Concerning the Corporation for National 

and Community Service

(a) Notwithstanding the provisions of paragraphs (7) and (8) of section 

6(a), it is within the exclusive jurisdiction of the Inspector General of the 

Corporation for National and Community Service to––

 (1) appoint and determine the compensation of such Officers and 

employees in accordance with section 195(b) of the National and 

Community Service Act of 1990; and

 (2) procure the temporary and intermittent services of and compensate 

such experts and consultants, in accordance with section 3109(b) of title 

5, United States Code, as may be necessary to carry out the functions, 

powers, and duties of the Inspector General.

(b) No later than the date on which the Chief Executive Officer of the 

Corporation for National and Community Service transmits any report to 

the Congress under subsection (a) or (b) of section 5, the Chief Executive 

Officer shall transmit such report to the Board of Directors of such 

Corporation.

(c) No later than the date on which the Chief Executive Officer of the 

Corporation for National and Community Service transmits a report 

described under section 5(b) to the Board of Directors as provided under 

subsection (b) of this section, the Chief Executive Officer shall also 

transmit any audit report which is described in the statement required 

under section 5(b)(4) to the Board of Directors. All such audit reports 

shall be placed on the agenda for review at the next scheduled meeting of 

the Board of Directors following such transmittal. The Chief Executive 

Officer of the Corporation shall be present at such meeting to provide 

any information relating to such audit reports.

(d) No later than the date on which the Inspector General of the 

Corporation for National and Community Service reports a problem, 

abuse, or deficiency under section 5(d) to the Chief Executive Officer of 

the Corporation, the Chief Executive Officer shall report such problem, 

abuse, or deficiency to the Board of Directors.15

Sec. 8G. Requirements for Federal Entities and Designated Federal 

Entities

(a) Notwithstanding section 12 of this Act, as used in this section––

 (1) the term “Federal entity” means any Government corporation 

(within the meaning of section 103(1) of title 5, United States Code), any 

Government controlled corporation (within the meaning of section 

103(2) of such title), or any other entity in the Executive branch of the 

Government, or any independent regulatory agency, but does not 

include—

(A) an establishment (as defined under section 12(2) of this Act) or 

part of an establishment;

(B) a designated Federal entity (as defined under paragraph (2) of this 

subsection) or part of a designated Federal entity;

(C) the Executive Office of the President;

(D) the Central Intelligence Agency;

––––––––

14 Amended by 1978, P.L. 95–452, § 8E [8D], 92 Stat. 1101, (1978), as added by 

P.L. 100–504, Title I, § 102(f), 102 Stat. 2520 (1988); P.L. 103–204, § 23(a)(3), 

107 Stat. 2408 (1993); P.L. 107–273, Div. A, Title III, § 308, 116 Stat. 1784 (2002). 15 Amended by P.L. 95–452, § 8F [8E], 92 Stat. 1101, (1978), as added by P.L. 103–82, Title II, § 202(g)(1), 107 Stat. 889 (1993); P.L. 103–204, §§ 23(a)(3), (4), 107 Stat. 2408

(1993); P.L. 111–13, Title IV, § 4101, 123 Stat. 1597 (2009).
Inspector General Act of 1978 (P.L. 95–452) 889

(E) the General Accounting Office [Government Accountability 

Office]; or

(F) any entity in the judicial or legislative branches of the 

Government, including the Administrative Office of the United States 

Courts and the Architect of the Capitol and any activities under the 

direction of the Architect of the Capitol;

 (2) the term “designated Federal entity” means Amtrak, the 

Appalachian Regional Commission, the Board of Governors of the 

Federal Reserve System, the Board for International Broadcasting, the 

Commodity Futures Trading Commission, the Consumer Product Safety 

Commission, the Corporation for Public Broadcasting, the Denali 

Commission, the Equal Employment Opportunity Commission, the Farm 

Credit Administration, the Federal Communications Commission, the 

Federal Election Commission, the Election Assistance Commission, the

Federal Housing Finance Board, the Federal Labor Relations Authority, 

the Federal Maritime Commission, the Federal Trade Commission, the 

Legal Services Corporation, the National Archives and Records 

Administration, the National Credit Union Administration, the National 

Endowment for the Arts, the National Endowment for the Humanities, 

the National Labor Relations Board, the National Science Foundation, 

the Panama Canal Commission, the Peace Corps, the Pension Benefit 

Guaranty Corporation, the Securities and Exchange Commission, the 

Smithsonian Institution, the United States International Trade 

Commission, the Postal Regulatory Commission, and the United States 

Postal Service;

 (3) the term “head of the Federal entity” means any person or persons 

designated by statute as the head of a Federal entity, and if no such 

designation exists, the chief policymaking Officer or board of a Federal 

entity as identified in the list published pursuant to subsection (h)(1) of 

this section;

 (4) the term “head of the designated Federal entity” means the board or 

commission of the designated Federal entity, or in the event the 

designated Federal entity does not have a board or commission, any 

person or persons designated by statute as the head of a designated 

Federal entity and if no such designation exists, the chief policymaking 

Officer or board of a designated Federal entity as identified in the list 

published pursuant to subsection (h)(1) of this section, except that—

(A) with respect to the National Science Foundation, such term 

means the National Science Board; 

(B) with respect to the United States Postal Service, such term means 

the Governors (within the meaning of section 102(3) of title 39, United 

States Code);

(C) with respect to the Federal Labor Relations Authority, such term 

means the members of the Authority (described under section 7104 of 

title 5, United States Code);

(D) with respect to the National Archives and Records 

Administration, such term means the Archivist of the United States;

(E) with respect to the National Credit Union Administration, such 

term means the National Credit Union Administration Board (described 

under section 102 of the Federal Credit Union Act (12 U.S.C. 1752a);

(F) with respect to the National Endowment of the Arts, such term 

means the National Council on the Arts;

(G) with respect to the National Endowment for the Humanities, 

such term means the National Council on the Humanities; and
890 Inspector General Act of 1978 (P.L. 95–452)

(H) with respect to the Peace Corps, such term means the Director of 

the Peace Corps;16

(5) the term “Office of Inspector General” means an Office of Inspector 

General of a designated Federal entity; and

(6) the term “Inspector General” means an Inspector General of a 

designated Federal entity.

(b) No later than 180 days after the date of the enactment of this section 

[enacted Oct. 18, 1988], there shall be established and maintained in each 

designated Federal entity an Office of Inspector General. The head of the 

designated Federal entity shall transfer to such Office the offices, units, 

or other components, and the functions, powers, or duties thereof, that 

such head determines are properly related to the functions of the Office

of Inspector General and would, if so transferred, further the purposes of 

this section. There shall not be transferred to such Office any program 

operating responsibilities.

(c) Except as provided under subsection (f) of this section, the Inspector 

General shall be appointed by the head of the designated Federal entity in 

accordance with the applicable laws and regulations governing 

appointments within the designated Federal entity. Each Inspector 

General shall be appointed without regard to political affiliation and 

solely on the basis of integrity and demonstrated ability in accounting, 

auditing, financial analysis, law, management analysis, public 

administration, or investigations.

(d) Each Inspector General shall report to and be under the general 

supervision of the head of the designated Federal entity, but shall not 

report to, or be subject to supervision by, any other Officer or employee 

of such designated Federal entity. The head of the designated Federal 

entity shall not prevent or prohibit the Inspector General from initiating, 

carrying out, or completing any audit or investigation, or from issuing 

any subpoena during the course of any audit or investigation.

(e) (1) In the case of a designated Federal entity for which a board or 

commission is the head of the designated Federal entity, a removal under 

this subsection may only be made upon the written concurrence of a 2/3 

majority of the board or commission.

(2)If an Inspector General is removed from Office or is transferred to 

another position or location within a designated Federal entity, the head 

of the designated Federal entity shall communicate in writing the reasons 

for any such removal or transfer to both Houses of Congress, not later 

than 30 days before the removal or transfer. Nothing in this subsection 

shall prohibit a personnel action otherwise authorized by law, other than 

transfer or removal.17

(f) (1) For purposes of carrying out subsection (c) with respect to the 

United States Postal Service, the appointment provisions of section 

202(e) of title 39, United States Code, shall be applied.

 (2) In carrying out the duties and responsibilities specified in this Act, 

the Inspector General of the United States Postal Service (hereinafter in 

this subsection referred to as the “Inspector General”) shall have 

oversight responsibility for all activities of the Postal Inspection Service, 

including any internal investigation performed by the Postal Inspection 

Service. The Chief Postal Inspector shall promptly report the significant 

activities being carried out by the Postal Inspection Service to such 

Inspector General.

––––––––

16 Amended by P.L. 111–203, § 989B, 124 Stat. 1945 (2010). 17 Amended by P.L. 111–203, § 989D, 124 Stat. 1946 (2010).
Inspector General Act of 1978 (P.L. 95–452) 891

 (3) (A) (i) Notwithstanding subsection (d), the Inspector General shall 

be under the authority, direction, and control of the Governors with 

respect to audits or investigations, or the issuance of subpoenas, which 

require access to sensitive information concerning—

 (I) ongoing civil or criminal investigations or proceedings;

 (II) undercover operations;

 (III) the identity of confidential sources, including protected 

witnesses;

 (IV) intelligence or counterintelligence matters; or

 (V) other matters the disclosure of which would constitute a 

serious threat to national security.

 (ii) With respect to the information described under clause (i), the 

Governors may prohibit the Inspector General from carrying out or 

completing any audit or investigation, or from issuing any subpoena, 

after such Inspector General has decided to initiate, carry out, or 

complete such audit or investigation or to issue such subpoena, if the 

Governors determine that such prohibition is necessary to prevent the 

disclosure of any information described under clause (i) or to prevent the 

significant impairment to the national interests of the United States.

 (iii) If the Governors exercise any power under clause (i) or (ii), the 

Governors shall notify the Inspector General in writing stating the 

reasons for such exercise. Within 30 days after receipt of any such notice, 

the Inspector General shall transmit a copy of such notice to the 

Committee on [Homeland Security and] Governmental Affairs of the 

Senate and the Committee on Government Reform and Oversight of the 

House of Representatives, and to other appropriate committees or 

subcommittees of the Congress.

 (B) In carrying out the duties and responsibilities specified in this 

Act, the Inspector General—

 (i) may initiate, conduct and supervise such audits and 

investigations in the United States Postal Service as the Inspector 

General considers appropriate; and

 (ii) shall give particular regard to the activities of the Postal 

Inspection Service with a view toward avoiding duplication and insuring 

effective coordination and cooperation.

 (C) Any report required to be transmitted by the Governors to the 

appropriate committees or subcommittees of the Congress under section 

5(d) shall also be transmitted, within the seven–day period specified 

under such section, to the Committee on [Homeland Security and] 

Governmental Affairs of the Senate and the Committee on Government 

Reform and Oversight of the House of Representatives.

 (4) Nothing in this Act shall restrict, eliminate, or otherwise adversely 

affect any of the rights, privileges, or benefits of either employees of the 

United States Postal Service, or labor organizations representing 

employees of the United States Postal Service, under chapter 12 of title 

39, United States Code [39 USCS §§ 1201 et seq.], the National Labor 

Relations Act [29 USCS §§ 151 et seq.], any handbook or manual 

affecting employee labor relations with the United States Postal Service, 

or any collective bargaining agreement.

 (5) As used in this subsection, the term “Governors” has the meaning 

given such term by section 102(3) of title 39, United States Code.

 (6) There are authorized to be appropriated, out of the Postal Service 

Fund, such sums as may be necessary for the Office of Inspector General 

of the United States Postal Service.
892 Inspector General Act of 1978 (P.L. 95–452)

(g) (1) Sections 4, 5, 6 (other than subsections (a)(7) and (a)(8) thereof), 

and 7 of this Act shall apply to each Inspector General and Office of 

Inspector General of a designated Federal entity and such sections shall 

be applied to each designated Federal entity and head of the designated 

Federal entity (as defined under subsection (a)) by substituting—

 (A) “designated Federal entity” for “establishment”; and

 (B) “head of the designated Federal entity” for “head of the 

establishment”.

 (2) In addition to the other authorities specified in this Act, an Inspector 

General is authorized to select, appoint, and employ such Officers and 

employees as may be necessary for carrying out the functions, powers, 

and duties of the Office of Inspector General and to obtain the temporary 

or intermittent services of experts or consultants or an organization 

thereof, subject to the applicable laws and regulations that govern such 

selections, appointments, and employment, and the obtaining of such 

services, within the designated Federal entity.

 (3) Notwithstanding the last sentence of subsection (d) of this section, 

the provisions of subsection (a) of section 8C (other than the provisions 

of subparagraphs (A), (B), (C), and (E) of subsection (a)(1)) shall apply 

to the Inspector General of the Board of Governors of the Federal 

Reserve System and the Chairman of the Board of Governors of the 

Federal Reserve System in the same manner as such provisions apply to 

the Inspector General of the Department of the Treasury and the 

Secretary of the Treasury, respectively.

 (4) Each Inspector General shall—

 (A) in accordance with applicable laws and regulations governing 

appointments within the designated Federal entity, appoint a Counsel to 

the Inspector General who shall report to the Inspector General;

 (B) obtain the services of a counsel appointed by and directly 

reporting to another Inspector General on a reimbursable basis; or

 (C) obtain the services of appropriate staff of the Council of the 

Inspectors General on Integrity and Efficiency on a reimbursable basis.

(h) (1) No later than April 30, 1989, and annually thereafter, the Director 

of the Office of Management and Budget, after consultation with the 

Comptroller General of the United States, shall publish in the Federal 

Register a list of the Federal entities and designated Federal entities and 

if the designated Federal entity is not a board or commission, include the 

head of each such entity (as defined under subsection (a) of this 

section).18

 (2) Beginning on October 31, 1989, and on October 31 of each 

succeeding calendar year, the head of each Federal entity (as defined 

under subsection (a) of this section) shall prepare and transmit to the 

Director of the Office of Management and Budget and to each House of 

the Congress a report which—

 (A) states whether there has been established in the Federal entity an 

Office that meets the requirements of this section;

 (B) specifies the actions taken by the Federal entity otherwise to 

ensure that audits are conducted of its programs and operations in 

accordance with the standards for audit of governmental organizations, 

programs, activities, and functions issued by the Comptroller General of 

the United States, and includes a list of each audit report completed by a 

Federal or non–Federal auditor during the reporting period and a 

summary of any particularly significant findings; and

––––––––

18 Amended by P.L. 111–203, § 989B, 124 Stat. 1945(2010).
Inspector General Act of 1978 (P.L. 95–452) 893

 (C) summarizes any matters relating to the personnel, programs, and 

operations of the Federal entity referred to prosecutive authorities, 

including a summary description of any preliminary investigation 

conducted by or at the request of the Federal entity concerning these 

matters, and the prosecutions and convictions which have resulted.19

Sec. 8H. Additional Provisions with Respect to Inspectors General of

the Intelligence Community

(a) (1) (A) An employee of the Defense Intelligence Agency, the 

National Geospatial–Intelligence Agency, the National Reconnaissance 

Office, or the National Security Agency, or of a contractor of any of 

those Agencies, who intends to report to Congress a complaint or 

information with respect to an urgent concern may report the complaint 

or information to the Inspector General of the Department of Defense (or 

designee).

 (B) An employee of the Federal Bureau of Investigation, or of a 

contractor of the Bureau, who intends to report to Congress a complaint 

or information with respect to an urgent concern may report the 

complaint or information to the Inspector General of the Department of 

Justice (or designee).

 (C) Any other employee of, or contractor to, an executive agency, or 

element or unit thereof, determined by the President under section 

2302(a)(2)(C)(ii) of title 5, United States Code, to have as its principal 

function the conduct of foreign intelligence or counterintelligence 

activities, who intends to report to Congress a complaint or information 

with respect to an urgent concern may report the complaint or 

information to the appropriate Inspector General (or designee) under this 

Act or section 17 of the Central Intelligence Agency Act of 1949.

 (2) If a designee of an Inspector General under this section receives a 

complaint or information of an employee with respect to an urgent 

concern, that designee shall report the complaint or information to the 

Inspector General within 7 calendar days of receipt.

(b) Not later than the end of the 14–calendar day period beginning on the 

date of receipt of an employee complaint or information under subsection 

(a), the Inspector General shall determine whether the complaint or 

information appears credible. Upon making such a determination, the 

Inspector General shall transmit to the head of the establishment notice of 

that determination, together with the complaint or information.

(c) Upon receipt of a transmittal from the Inspector General under 

subsection (b), the head of the establishment shall, within 7 calendar days 

––––––––

19 Amended by P.L. 95–452, § 8G [8F] [8E], 92 Stat. 1101, (1978), as added by

P.L. 100–504, Title I, § 104(a), 102 Stat. 2522 (1988); P.L. 101–73, Title VII, Subtitle A, 

§ 702(c), 103 Stat. 415 (1989); P.L. 103–82, Title II, §§ 202(g)(1), (2)(A), 107 Stat. 889

(1993); P.L. 103–204, §§ 23(a)(3), (4), 107 Stat. 2408 (1993); P.L. 104–88, Title III, 

Subtitle B, § 319, 109 Stat. 949 (1995); P.L. 104–208, Div. A, Title I, § 101(f) [Title VI, 

§ 662(b)], 110 Stat. 3009–379 (1996); P.L. 105–134, Title IV, § 409(a)(1), 111 Stat. 2586

(1997); P.L. 105–277, Div. C, Title III, § 306(h), Oct. 21, 1998, as added P.L. 106–31, 

Title I, Ch. 1, § 105(a)(5), 113 Stat. 63 (1999); P.L. 106–422, § 1(b)(1), 114 Stat. 1872

(2000); P.L. 107–252, Title VIII, Subtitle B, § 812(a), 116 Stat. 1727 (2002); P.L. 109–435, Title VI, §§ 603(b), 605(a), 120 Stat. 3240, 3242 (2006); P.L. 110–409, §§ 2, 3(b), 6(b), 

7(d)(1), 122 Stat. 4302, 4305, 4313 (2008). Also, note the following prospective 

amendment to subsection (a)(2), effective at the beginning of the first fiscal year after the 

fiscal year for which Amtrak receives no Federal subsidy. P.L. 105–134, Title IV, § 409(a), 

111 Stat. 2586, (1997), provides the following:

(1) In general. § 8G(a)(2) of the Inspector General Act of 1978 (5 U.S.C. App.) is 

Amended by striking 'Amtrak,'.

(2) Effective date. The amendment made by paragraph (1) shall take effect at the 

beginning of the first fiscal year after a fiscal year for which Amtrak receives no 

Federal subsidy.”.
894 Inspector General Act of 1978 (P.L. 95–452)

of such receipt, forward such transmittal to the intelligence committees, 

together with any comments the head of the establishment considers 

appropriate.

(d) (1) If the Inspector General does not find credible under subsection 

(b) a complaint or information submitted to the Inspector General under 

subsection (a), or does not transmit the complaint or information to the 

head of the establishment in accurate form under subsection (b), the 

employee (subject to paragraph (2)) may submit the complaint or 

information to Congress by contacting either or both of the intelligence 

committees directly.

 (2) The employee may contact the intelligence committees directly as 

described in paragraph (1) only if the employee—

 (A) before making such a contact, furnishes to the head of the 

establishment, through the Inspector General, a statement of the 

employee's complaint or information and notice of the employee's intent 

to contact the intelligence committees directly; and

 (B) obtains and follows from the head of the establishment, through 

the Inspector General, direction on how to contact the intelligence 

committees in accordance with appropriate security practices.

 (3) A member or employee of one of the intelligence committees who 

receives a complaint or information under paragraph (1) does so in that 

member or employee's official capacity as a member or employee of that 

committee.

(e) The Inspector General shall notify an employee who reports a 

complaint or information under this section of each action taken under 

this section with respect to the complaint or information. Such notice 

shall be provided not later than 3 days after any such action is taken.

(f) An action taken by the head of an establishment or an Inspector 

General under subsections (a) through (e) shall not be subject to judicial 

review.

(g) (1) The Inspector General of the Defense Intelligence Agency, the 

National Geospatial–Intelligence Agency, the National Reconnaissance 

Office, and the National Security Agency shall each submit to the 

congressional intelligence committees each year a report that sets forth 

the following:

 (A) The personnel and funds requested by such Inspector General for 

the fiscal year beginning in such year for the activities of the Office of 

such Inspector General in such fiscal year.

 (B) The plan of such Inspector General for such activities, including 

the programs and activities scheduled for review by the Office of such 

Inspector General during such fiscal year.

 (C) An assessment of the current ability of such Inspector General to 

hire and retain qualified personnel for the Office of such Inspector 

General.

 (D) Any matters that such Inspector General considers appropriate 

regarding the independence and effectiveness of the Office of such 

Inspector General.

 (2) The submittal date for a report under paragraph (1) each year shall 

be the date provided in section 507 of the National Security Act of 1947 

[50 USCS § 415b].

 (3) In this subsection, the term “congressional intelligence committees”

shall have the meaning given that term in section 3 of the National 

Security Act of 1947 (50 U.S.C. 401a).

(h) In this section:

 (1) The term “urgent concern” means any of the following:
Inspector General Act of 1978 (P.L. 95–452) 895

(A) A serious or flagrant problem, abuse, violation of law or 

Executive order, or deficiency relating to the funding, administration, or 

operations of an intelligence activity involving classified information, but 

does not include differences of opinions concerning public policy 

matters.

(B) A false statement to Congress, or a willful withholding from 

Congress, on an issue of material fact relating to the funding, 

administration, or operation of an intelligence activity.

(C) An action, including a personnel action described in section 

2302(a)(2)(A) of title 5, United States Code, constituting reprisal or 

threat of reprisal prohibited under section 7(c) [5 USCS Appx. § 7(c)] in 

response to an employee's reporting an urgent concern in accordance 

with this section.

 (2) The term “intelligence committees” means the Permanent Select 

Committee on Intelligence of the House of Representatives and the 

Select Committee on Intelligence of the Senate.20

Sec. 8I. Special Provisions Concerning the Department of Homeland 

Security

(a) (1) Notwithstanding the last two sentences of section 3(a), the 

Inspector General of the Department of Homeland Security shall be 

under the authority, direction, and control of the Secretary of Homeland 

Security with respect to audits or investigations, or the issuance of 

subpoenas, that require access to sensitive information concerning––

(A) intelligence, counterintelligence, or counterterrorism matters;

(B) ongoing criminal investigations or proceedings;

(C) undercover operations;

(D) the identity of confidential sources, including protected 

witnesses;

(E) other matters the disclosure of which would, in the Secretary's 

judgment, constitute a serious threat to the protection of any person or 

property authorized protection by section 3056 of title 18, United States 

Code, section 3056A of title 18 of such Code, or any provision of the 

Presidential Protection Assistance Act of 1976 (18 U.S.C. 3056 note); or

(F) other matters the disclosure of which would constitute a serious 

threat to national security.

 (2) With respect to the information described in paragraph (1), the 

Secretary of Homeland Security may prohibit the Inspector General of 

the Department of Homeland Security from carrying out or completing 

any audit or investigation, or from issuing any subpoena, after such 

Inspector General has decided to initiate, carry out, or complete such 

audit or investigation or to issue such subpoena, if the Secretary 

determines that such prohibition is necessary to prevent the disclosure of 

any information described in paragraph (1), to preserve the national 

security, or to prevent a significant impairment to the interests of the 

United States.

 (3) If the Secretary of Homeland Security exercises any power under 

paragraph (1) or (2), the Secretary shall notify the Inspector General of 

the Department of Homeland Security in writing within seven days 

stating the reasons for such exercise. Within 30 days after receipt of any 

such notice, the Inspector General shall transmit to the President of the 

––––––––

20 Amended by P.L. 95–452, § 8H, 92 Stat. 1101, (1978), as added by P.L. 105–272, Title VII, § 702(b)(1), 112 Stat. 2415, (1998); P.L. 107–108, Title III, § 309(b), 

115 Stat. 1400, (2001); P.L. 107–306, Title VIII, Subtitle C, § 825, 116 Stat. 2429, (2002); 

P.L. 110-417,Div. A, Title IX, Subtitle D, § 931(b)(2), 122 Stat. 4575 (2008).
896 Inspector General Act of 1978 (P.L. 95–452)

Senate, the Speaker of the House of Representatives, and appropriate 

committees and subcommittees of Congress the following:

 (A) A copy of such notice.

 (B) A written response to such notice that includes a statement 

regarding whether the Inspector General agrees or disagrees with such 

exercise, and the reasons for any disagreement.

(b) The exercise of authority by the Secretary described in paragraph (2) 

should not be construed as limiting the right of Congress or any 

committee of Congress to access any information it seeks.

(c) Subject to the conditions established in subsections (a) and (b) above, 

in carrying out the duties and responsibilities specified in this Act, the 

Inspector General of the Department of Homeland Security may initiate, 

conduct, and supervise such audits and investigations in the Department 

of Homeland Security as the Inspector General considers appropriate.

(d) Any report required to be transmitted by the Secretary of Homeland 

Security to the appropriate committees or subcommittees of Congress 

under section 5(d) shall be transmitted, within the seven–day period 

specified under such section, to the President of the Senate, the Speaker 

of the House of Representatives, and appropriate committees and 

subcommittees of Congress.

(e) Notwithstanding any other provision of law, in carrying out the duties 

and responsibilities specified in this Act, the Inspector General of the 

Department of Homeland Security shall have oversight responsibility for 

the internal investigations performed by the Office of Internal Affairs of 

the United States Customs Service, the Office of Inspections of the 

United States Secret Service, the Bureau of Border Security, and the 

Bureau of Citizenship and Immigration Services. The head of each such 

Office or bureau shall promptly report to the Inspector General the 

significant activities being carried out by such Office or bureau.

(f) (1) The Inspector General of the Department of Homeland Security 

shall designate a senior official within the Office of Inspector General, 

who shall be a career member of the civil service at the equivalent to the 

GS–15 level or a career member of the Senior Executive Service, to 

perform the functions described in paragraph (2).

 (2) The senior official designated under paragraph (1) shall—

 (A) coordinate the activities of the Office of Inspector General with 

respect to investigations of abuses of civil rights or civil liberties;

 (B) receive and review complaints and information from any source 

alleging abuses of civil rights and civil liberties by employees or officials 

of the Department and employees or officials of independent contractors 

or grantees of the Department;

 (C) initiate investigations of alleged abuses of civil rights or civil 

liberties by employees or officials of the Department and employees or 

officials of independent contractors or grantees of the Department;

 (D) ensure that personnel within the Office of Inspector General 

receive sufficient training to conduct effective civil rights and civil 

liberties investigations;

 (E) consult with the Officer for Civil Rights and Civil Liberties 

regarding––

 (i) alleged abuses of civil rights or civil liberties; and

 (ii) any policy recommendations regarding civil rights and civil 

liberties that may be founded upon an investigation by the Office of 

Inspector General;
Inspector General Act of 1978 (P.L. 95–452) 897

 (F) provide the Officer for Civil Rights and Civil Liberties with 

information regarding the outcome of investigations of alleged abuses of 

civil rights and civil liberties;

 (G) refer civil rights and civil liberties matters that the Inspector 

General decides not to investigate to the Officer for Civil Rights and 

Civil Liberties;

 (H) ensure that the Office of the Inspector General publicizes and 

provides convenient public access to information regarding—

 (i) the procedure to file complaints or comments concerning civil 

rights and civil liberties matters; and

 (ii) the status of corrective actions taken by the Department in 

response to Office of the Inspector General reports; and

 (I) inform the Officer for Civil Rights and Civil Liberties of any 

weaknesses, problems, and deficiencies within the Department relating to 

civil rights or civil liberties.21

Sec. 8J. Rule of Construction of Special Provisions

The special provisions under section 8, 8A, 8B, 8C, 8D, 8E, 8F, or 8H of 

this Act relate only to the establishment named in such section and no 

inference shall be drawn from the presence or absence of a provision in 

any such section with respect to an establishment not named in such 

section or with respect to a designated Federal entity as defined under 

section 8G(a).22

Sec. 8K. Authority to Establish Inspector General of the Office of the 

Director of National Intelligence

If the Director of National Intelligence determines that an Office of 

Inspector General would be beneficial to improving the operations and 

effectiveness of the Office of the Director of National Intelligence, the 

Director of National Intelligence is authorized to establish, with any of 

the duties, responsibilities, and authorities set forth in this Act, an Office

of Inspector General.23

Sec. 8L. Information on Websites of Offices of Inspectors General

(a) DIRECT LINKS TO INSPECTORS GENERAL OFFICES.—

(1) IN GENERAL.—Each agency shall establish and maintain on 

the homepage of the website of that agency, a direct link to the 

website of the Office of the Inspector General of that agency.

(2) ACCESSIBILITY.—The direct link under paragraph (1) shall 

be obvious and facilitate accessibility to the website of the Office of 

the Inspector General. 

(b) REQUIREMENTS FOR INSPECTORS GENERAL 

WEBSITES.—

(1) POSTING OF REPORTS AND AUDITS.—The Inspector 

General of each agency shall—

(A) not later than 3 days after any report or audit (or portion of 

any report or audit) is made publicly available, post that report or 

––––––––

21 A prior § 8I was redesignated § 8J by P.L. 108–7, Div. L, § 104(b)(2), 117 Stat. 529, 

(2003). 92 Stat. 1101, (1978), P.L. 95–452, § 8I, 92 Stat. 1101, (1978), as added by

P.L. 108–7, Div L, § 104(b)(3), 117 Stat. 529, (2003); P.L. 108–458, Title VIII, Subtitle C, 

§ 8304, 118 Stat. 3868 (2004); P.L. 109–177, Title VI, § 605(e)(4), 120 Stat. 255 (2006). 22 A former § 8J in P.L. 95–452 was repealed by P.L. 108–7, Div. L, § 104(b)(1), 117 

Stat. 529 (2003). It related to provisions concerning the Department of Homeland Security. Amended by P.L. 95–452, § 8J [8I] [8H] [8G] [8F], 92 Stat. 1101, (1978), as added by 

P.L. 100–504, Title I, § 105, 102 Stat. 2525, (1988); P.L. 103–82, Title II, § 202(g)(1), 

(5)(B), 107 Stat. 889, 890; Sept. 30, 1996, P.L. 104–208, Div A, Title I, § 101(f) [Title VI, 

§ 662(b)(3)], 110 Stat. 3009–380 (1993); P.L. 105–206, Title I, Subtitle B, § 1103(e)(3), 

112 Stat. 709 (1998); P.L. 105–272, Title VII, §§ 702(b)(1), (2), 112 Stat. 2415, 2417

(1998); P.L. 108–7, Div. L, § 104(b)(2), 117 Stat. 529 (2003). 23 Amended by P.L. 108–458, § 1078, 118 Stat. 3636, (2004).
898 Inspector General Act of 1978 (P.L. 95–452)

audit (or portion of that report or audit) on the website of the 

Office of Inspector General; and 

(B) ensure that any posted report or audit (or portion of that 

report or audit) described under subparagraph (A)—

(i) is easily accessible from a direct link on the homepage 

of the website of the Office of the Inspector General; 

(ii) includes a summary of the findings of the Inspector 

General; and 

(iii) is in a format that—

(I) is searchable and downloadable; and 

(II) facilitates printing by individuals of the public 

accessing the website.

(2) REPORTING OF FRAUD, WASTE, AND ABUSE.—

(A) IN GENERAL.—The Inspector General of each agency 

shall establish and maintain a direct link on the homepage of the 

website of the Office of the Inspector General for individuals to 

report fraud, waste, and abuse. Individuals reporting fraud, waste, 

or abuse using the direct link established under this paragraph 

shall not be required to provide personally identifying information 

relating to that individual. 

(B) ANONYMITY.—The Inspector General of each agency shall 

not disclose the identity of any individual making a report under 

this paragraph without the consent of the individual unless the 

Inspector General determines that such a disclosure is 

unavoidable during the course of the investigation.24

Sec. 9. Transfer of Functions

(a) There shall be transferred––

 (1) to the Office of Inspector General—

(A) of the Department of Agriculture, the offices of that department 

referred to as the “Office of Investigation” and the “Office of Audit”;

(B) of the Department of Commerce, the offices of that department 

referred to as the “Office of Audits” and the “Investigations and 

Inspections Staff” and that portion of the Office referred to as the “Office

of Investigations and Security” which has responsibility for investigation 

of alleged criminal violations and program abuse;

(C) of the Department of Defense, the offices of that department 

referred to as the “Defense Audit Service” and the “Office of Inspector 

General, Defense Logistics Agency”, and that portion of the Office of 

that department referred to as the “Defense Investigative Service” which 

has responsibility for the investigation of alleged criminal violations;

(D) of the Department of Education, all functions of the Inspector 

General of Health, Education, and Welfare or of the Office of Inspector 

General of Health, Education, and Welfare relating to functions 

transferred by section 301 of the Department of Education Organization 

Act;

(E) of the Department of Energy, the Office of Inspector General (as 

established by section 208 of the Department of Energy Organization 

Act);

(F) of the Department of Health and Human Services, the Office of 

Inspector General (as established by title II of Public Law 94–505;

(G) of the Department of Housing and Urban Development, the 

Office of that department referred to as the “Office of Inspector 

General”;

––––––––

24 Amended by P.L. 110–409, § 13(a), 122 Stat. 4302 (2008).
Inspector General Act of 1978 (P.L. 95–452) 899

(H) of the Department of the Interior, the Office of that department 

referred to as the “Office of Audit and Investigation”;

(I) of the Department of Justice, the offices of that Department 

referred to as (i) the “Audit Staff, Justice Management Division”, (ii) the 

“Policy and Procedures Branch, Office of the Comptroller, Immigration 

and Naturalization Service”, the “Office of Professional Responsibility, 

Immigration and Naturalization Service”, and the “Office of Program 

Inspections, Immigration and Naturalization Service”, (iii) the “Office of 

Internal Inspection, United States Marshals Service”, (iv) the “Financial 

Audit Section, Office of Financial Management, Bureau of Prisons” and 

the “Office of Inspections, Bureau of Prisons”, and (v) from the Drug 

Enforcement Administration, that portion of the “Office of Inspections”

which is engaged in internal audit activities, and that portion of the 

“Office of Planning and Evaluation” which is engaged in program review 

activities;

(J) of the Department of Labor, the Office of that department 

referred to as the “Office of Special Investigations”;

(K) of the Department of Transportation, the offices of that 

department referred to as the “Office of Investigations and Security” and 

the “Office of Audit” of the Department, the “offices of Investigations 

and Security, Federal Aviation Administration”, and “External Audit 

Divisions, Federal Aviation Administration”, the “Investigations 

Division and the External Audit Division of the Office of Program 

Review and Investigation, Federal Highway Administration”, and the 

“Office of Program Audits, Urban Mass Transportation Administration”;

(L) (i) of the Department of the Treasury, the Office of that 

department referred to as the “Office of Inspector General”, and, 

notwithstanding any other provision of law, that portion of each of the 

offices of that department referred to as the “Office of Internal Affairs, 

Tax and Trade Bureau”, the “Office of Internal Affairs, United States 

Customs Service”, and the “Office of Inspections, United States Secret 

Service” which is engaged in internal audit activities; and

 (ii) of the Treasury Inspector General for Tax Administration, 

effective 180 days after the date of the enactment of the Internal Revenue 

Service Restructuring and Reform Act of 1998 [enacted July 22, 1998], 

the Office of Chief Inspector of the Internal Revenue Service;

(M) of the Environmental Protection Agency, the offices of that 

agency referred to as the “Office of Audit” and the “Security and 

Inspection Division”;

(N) of the Federal Emergency Management Agency, the Office of 

that agency referred to as the “Office of Inspector General”;

(O) of the General Services Administration, the offices of that 

agency referred to as the “Office of Audits” and the “Office of 

Investigations”;

(P) of the National Aeronautics and Space Administration, the 

offices of that agency referred to as the “Management Audit Office” and 

the “Office of Inspections and Security”;

(Q) of the Nuclear Regulatory Commission, the Office of that 

commission referred to as the “Office of Inspector and Auditor”;

(R) of the Office of Personnel Management, the offices of that 

agency referred to as the “Office of Inspector General”, the “Insurance 

Audits Division, Retirement and Insurance Group”, and the “Analysis 

and Evaluation Division, Administration Group”;
900 Inspector General Act of 1978 (P.L. 95–452)

(S) of the Railroad Retirement Board, the Office of Inspector 

General (as established by section 23 of the Railroad Retirement Act of 

1974);

(T) of the Small Business Administration, the Office of that agency 

referred to as the “Office of Audits and Investigations”;

(U) of the Veterans' Administration, the offices of that agency 

referred to as the “Office of Audits” and the “Office of Investigations”; 

[and]

(V) of the Corporation for National and Community Service, the 

Office of Inspector General of ACTION; [and]

(W) of the Social Security Administration, the functions of the 

Inspector General of the Department of Health and Human Services 

which are transferred to the Social Security Administration by the Social 

Security Independence and Program Improvements Act of 1994 (other 

than functions performed pursuant to section 105(a)(2) of such Act), 

except that such transfers shall be made in accordance with the 

provisions of such Act and shall not be subject to subsections (b) through 

(d) of this section; and

 (2) to the Office of the Inspector General, such other offices or 

agencies, or functions, powers, or duties thereof, as the head of the 

establishment involved may determine are properly related to the 

functions of the Office and would, if so transferred, further the purposes 

of this Act, except that there shall not be transferred to an Inspector 

General under paragraph (2) program operating responsibilities.

(b) The personnel, assets, liabilities, contracts, property, records, and 

unexpended balances of appropriations, authorization, allocations, and 

other funds employed, held, used, arising from, available or to be made 

available, of any Office or agency the functions, powers, and duties of 

which are transferred under subsection (a) are hereby transferred to the 

applicable Office of Inspector General.

(c) Personnel transferred pursuant to subsection (b) shall be transferred in 

accordance with applicable laws and regulations relating to the transfer 

of functions except that the classification and compensation of such 

personnel shall not be reduced for one year after such transfer.

(d) In any case where all the functions, powers, and duties of any Office

or agency are transferred pursuant to this subsection, such Office or 

agency shall lapse. Any person who, on the effective date of this Act 

[effective Oct. 1, 1978], held a position compensated in accordance with 

the General Schedule, and who, without a break in service, is appointed 

in an Office of Inspector General to a position having duties comparable 

to those performed immediately preceding such appointment shall 

continue to be compensated in the new position at not less than the rate 

provided for the previous position, for the duration of service in the new 

position.25

Sec. 10. Conforming and Technical Amendments

[Section amended sections 5315 and 5316 of Title 5, Government 

Organization and Employees, and section 3522 of Title 42, The Public 

Health and Welfare, which amendments have been executed to text.]

––––––––

25 Amended by P.L. 95–452, § 9, 92 Stat. 1107 (1978); P.L. 96–88, Title V, § 508(n)(2), 

93 Stat. 694 (1979); P.L. 97–252, Title XI, §§ 1117(a)(2), (3), 96 Stat. 750 (1982); P.L.

100–504, Title I, § 102(d), 102 Stat. 2516 (1988); P.L. 103–82, Title II, § 202(g)(3)(A), 

107 Stat. 890 (1993); P.L. 103–296, Title I, § 108(l)(1), 108 Stat. 1488 (1994); P.L.

105-206, Title I, Subtitle B, § 1103(c)(1), 112 Stat. 708 (1998); P.L. 107–189, § 22(c), 

116 Stat. 708 (2002); P.L. 107–296, Title XI, Subtitle B, § 1112(a)(2), 116 Stat. 2276

(2002).
Inspector General Act of 1978 (P.L. 95–452) 901

Sec. 11. Establishment of the Council of the Inspectors General on 

Integrity and Efficiency

(a) ESTABLISHMENT AND MISSION.—

(1) ESTABLISHMENT.—There is established as an independent 

entity within the

executive branch the Council of the Inspectors General on Integrity 

and Efficiency (in this section referred to as the ‘Council’).

(2) MISSION.—The mission of the Council shall be to—

(A) address integrity, economy, and effectiveness issues that 

transcend individual Government agencies; and 

(B) increase the professionalism and effectiveness of 

personnel by developing policies, standards, and approaches to 

aid in the establishment of a well–trained and highly skilled 

workforce in the offices of the Inspectors General.

(b) MEMBERSHIP.—

(1) IN GENERAL.—The Council shall consist of the following 

members: 

(A) All Inspectors General whose offices are established 

under—

(i) section 2; or

(ii) section 8G.

(B) The Inspectors General of the Office of the Director of 

National Intelligence and the Central Intelligence Agency. 

(C) The Controller of the Office of Federal Financial 

Management. 

(D) A senior level official of the Federal Bureau of 

Investigation designated by the Director of the Federal Bureau of 

Investigation. 

(E) The Director of the Office of Government Ethics. 

(F) The Special Counsel of the Office of Special Counsel. 

(G) The Deputy Director of the Office of Personnel 

Management. 

(H) The Deputy Director for Management of the Office of 

Management and Budget. 

(I) The Inspectors General of the Library of Congress, Capitol 

Police, Government Printing Office, Government Accountability 

Office, and the Architect of the Capitol. 

(2) CHAIRPERSON AND EXECUTIVE CHAIRPERSON.—

(A) EXECUTIVE CHAIRPERSON.—The Deputy Director 

for Management of the Office of Management and Budget shall 

be the Executive Chairperson of the Council. 

(B) CHAIRPERSON.—The Council shall elect 1 of the 

Inspectors General referred to in paragraph (1)(A) or (B) to act as 

Chairperson of the Council. The term of Office of the Chairperson 

shall be 2 years. 

(3) FUNCTIONS OF CHAIRPERSON AND EXECUTIVE 

CHAIRPERSON.—

(A) EXECUTIVE CHAIRPERSON—

The Executive Chairperson shall—

(i) preside over meetings of the Council; 

(ii) provide to the heads of agencies and entities 

represented on the Council summary reports of the activities 

of the Council; and

5 USC app. 11.

Reports.
902 Inspector General Act of 1978 (P.L. 95–452)

(iii) provide to the Council such information relating to the 

agencies and entities represented on the Council as assists the 

Council in performing its functions. 

(B) CHAIRPERSON.—The Chairperson shall—

(i) convene meetings of the Council—

(I) at least 6 times each year;

(II) monthly to the extent possible; and

(III) more frequently at the discretion of the 

Chairperson; 

(ii) carry out the functions and duties of the Council under 

subsection (c);

(iii) appoint a Vice Chairperson to assist in carrying out 

the functions of the Council and act in the absence of the 

Chairperson, from a category of Inspectors General described 

in subparagraph (A)(i), (A)(ii), or (B) of paragraph (1), other 

than the category from which the Chairperson was elected;

(iv) make such payments from funds otherwise available to 

the Council as may be necessary to carry out the functions of 

the Council; 

(v) select, appoint, and employ personnel as needed to 

carry out the functions of the Council subject to the provisions 

of title 5, United States Code, governing appointments in the 

competitive service, and the provisions of chapter 51 and 

subchapter III of chapter 53 of such title, relating to 

classification and General Schedule pay rates;

(vi) to the extent and in such amounts as may be provided 

in advance by appropriations Acts, made available from the 

revolving fund established under subsection (c)(3)(B), or as 

otherwise provided by law, enter into contracts and other 

arrangements with public agencies and private persons to 

carry out the functions and duties of the Council; 

(vii) establish, in consultation with the members of the 

Council, such committees as determined by the Chairperson to 

be necessary and appropriate for the efficient conduct of 

Council functions; and 

(viii) prepare and transmit a report annually on behalf of 

the Council to the President on the activities of the Council. 

(c) FUNCTIONS AND DUTIES OF COUNCIL.—

(1) IN GENERAL.—The Council shall—

(A) continually identify, review, and discuss areas of 

weakness and vulnerability in Federal programs and operations 

with respect to fraud, waste, and abuse;

(B) develop plans for coordinated, Government wide activities 

that address these problems and promote economy and efficiency 

in Federal programs and operations, including interagency and 

interentity audit, investigation, inspection, and evaluation 

programs and projects to deal efficiently and effectively with 

those problems concerning fraud and waste that exceed the 

capability or jurisdiction of an individual agency or entity; 

(C) develop policies that will aid in the maintenance of a corps 

of well–trained and highly skilled Office of Inspector General 

personnel; 

(D) maintain an Internet website and other electronic systems 

for the benefit of all Inspectors General, as the Council determines 

are necessary or desirable; 

Appointments.

Contracts.

Reports. 

Deadlines.

Plans.

Web site.
Inspector General Act of 1978 (P.L. 95–452) 903

(E) maintain 1 or more academies as the Council considers 

desirable for the professional training of auditors, investigators, 

inspectors, evaluators, and other personnel of the various offices 

of Inspector General; 

(F) submit recommendations of individuals to the appropriate 

appointing authority for any appointment to an Office of Inspector 

General described under subsection (b)(1)(A) or (B); 

(G) make such reports to Congress as the Chairperson 

determines are necessary or appropriate; and 

(H) perform other duties within the authority and jurisdiction 

of the Council, as appropriate. 

(2) ADHERENCE AND PARTICIPATION BY MEMBERS.—

To the extent permitted under law, and to the extent not inconsistent 

with standards established by the Comptroller General of the United 

States for audits of Federal establishments, organizations, programs, 

activities, and functions, each member of the Council, as appropriate, 

shall—

(A) adhere to professional standards developed by the 

Council; and 

(B) participate in the plans, programs, and projects of the 

Council, except that in the case of a member described under 

subsection (b)(1)(I) , the member shall participate only to the 

extent requested by the member and approved by the Executive 

Chairperson and Chairperson.

(3) ADDITIONAL ADMINISTRATIVE AUTHORITIES.—

(A) INTERAGENCY FUNDING.—Notwithstanding section 

1532 of title 31, United States Code, or any other provision of law 

prohibiting the interagency funding of activities described under 

subclause (I), (II), or (III) of clause (i), in the performance of the 

responsibilities, authorities, and duties of the Council—

(i) the Executive Chairperson may authorize the use of 

interagency funding or—

(I) Governmentwide training of employees of the 

offices of the Inspectors General;

(II) the functions of the Integrity Committee of the 

Council; and

(III) any other authorized purpose determined by the 

Council; and

(ii) upon the authorization of the Executive Chairperson, 

any department, agency, or entity of the executive branch 

which has a member on the Council shall fund or participate in 

the funding of such activities.

(B) REVOLVING FUND.—

(i) IN GENERAL.—The Council may—

(I) establish in the Treasury of the United States a 

revolving fund to be called the Inspectors General Council 

Fund; or 

(II) enter into an arrangement with a department or 

agency to use an existing revolving fund.

(ii) AMOUNTS IN REVOLVING FUND.—

(I) IN GENERAL.—Amounts transferred to the 

Council under this subsection shall be deposited in the 

revolving fund described under clause (i)(I) or (II). 

(II) TRAINING.—Any remaining unexpended 

balances appropriated for or otherwise available to the 

Recommendations.

Reports.
904 Inspector General Act of 1978 (P.L. 95–452)

Inspectors General Criminal Investigator Academy and the 

Inspectors General Auditor Training Institute shall be 

transferred to the revolving fund described under clause 

(i)(I) or (II). 

(iii) USE OF REVOLVING FUND.—

(I) IN GENERAL.—Except as provided under 

subclause (II), amounts in the revolving fund described 

under clause (i)(I) or (II) may be used to carry out the 

functions and duties of the Council under this subsection.

(II) TRAINING.—Amounts transferred into the 

revolving fund described under clause (i)(I) or (II) may be 

used for the purpose of maintaining any training academy 

as determined by the Council. 

(iv) AVAILABILITY OF FUNDS.—Amounts in the 

revolving fund described under clause (i)(I) or (II) shall 

remain available to the Council without fiscal year limitation.

(C) SUPERSEDING PROVISIONS.—No provision of law 

enacted after the date of enactment of this subsection shall be 

construed to limit or supersede any authority under subparagraph 

(A) or (B), unless such provision makes specific reference to the 

authority in that paragraph.

(4) EXISTING AUTHORITIES AND RESPONSIBILITIES.—

The establishment and operation of the Council shall not affect—

(A) the role of the Department of Justice in law enforcement 

and litigation; 

(B) the authority or responsibilities of any Government agency 

or entity; and

(C) the authority or responsibilities of individual members of 

the Council. 

(d) INTEGRITY COMMITTEE.—

(1) ESTABLISHMENT.—The Council shall have an Integrity 

Committee, which shall receive, review, and refer for investigation 

allegations of wrongdoing that are made against Inspectors General 

and staff members of the various offices of Inspector General 

described under paragraph (4)(C).

(2) MEMBERSHIP.—The Integrity Committee shall consist of 

the following members: 

(A) The official of the Federal Bureau of Investigation serving 

on the Council, who shall serve as Chairperson of the Integrity 

Committee, and maintain the records of the Committee. 

(B) Four Inspectors General described in subparagraph (A) or 

(B) of subsection (b)(1) appointed by the Chairperson of the 

Council, representing both establishments and designated Federal 

entities (as that term is defined in section 8G(a)). 

(C) The Special Counsel of the Office of Special Counsel. 

(D) The Director of the Office of Government Ethics. 

(3) LEGAL ADVISOR.—The Chief of the Public Integrity 

Section of the Criminal Division of the Department of Justice, or his 

designee, shall serve as a legal advisor to the Integrity Committee.

(4) REFERRAL OF ALLEGATIONS.—

(A) REQUIREMENT.—An Inspector General shall refer to 

the Integrity Committee any allegation of wrongdoing against a 

staff member of the Office of that Inspector General, if—
Inspector General Act of 1978 (P.L. 95–452) 905

(i) review of the substance of the allegation cannot be 

assigned to an agency of the executive branch with appropriate 

jurisdiction over the matter; and

(ii) the Inspector General determines that—

(I) an objective internal investigation of the allegation 

is not feasible; or 

(II) an internal investigation of the allegation may 

appear not to be objective. 

(B) DEFINITION.—In this paragraph the term ‘staff member’ 

means any employee of an Office of Inspector General who—

(i) reports directly to an Inspector General; or 

(ii) is designated by an Inspector General under 

subparagraph (C). 

(C) DESIGNATION OF STAFF MEMBERS.—Each 

Inspector General shall annually submit to the Chairperson of the 

Integrity Committee a designation of positions whose holders are 

staff members for purposes of subparagraph (B). 

(5) REVIEW OF ALLEGATIONS.—The Integrity Committee 

shall—

(A) review all allegations of wrongdoing the Integrity 

Committee receives against an Inspector General, or against a 

staff member of an Office of Inspector General described under 

paragraph (4)(C); 

(B) refer any allegation of wrongdoing to the agency of the 

executive branch with appropriate jurisdiction over the matter; 

and 

(C) refer to the Chairperson of the Integrity Committee any 

allegation of wrongdoing determined by the Integrity Committee 

under subparagraph (A) to be potentially meritorious that cannot 

be referred to an agency under subparagraph (B). 

(6) AUTHORITY TO INVESTIGATE ALLEGATIONS.—

(A) REQUIREMENT.—The Chairperson of the Integrity 

Committee shall cause a thorough and timely investigation of 

each allegation referred under paragraph (5)(C) to be conducted in 

accordance with this paragraph.

(B) RESOURCES.—At the request of the Chairperson of the 

Integrity Committee, the head of each agency or entity 

represented on the Council—

(i) may provide resources necessary to the Integrity 

Committee; and

(ii) may detail employees from that agency or entity to the 

Integrity Committee, subject to the control and direction of the 

Chairperson, to conduct an investigation under this subsection.

(7) PROCEDURES FOR INVESTIGATIONS.—

(A) STANDARDS APPLICABLE.—Investigations initiated 

under this subsection shall be conducted in accordance with the 

most current Quality Standards for Investigations issued by the 

Council or by its predecessors (the President’s Council on 

Integrity and Efficiency and the Executive Council on Integrity 

and Efficiency).

(B) ADDITIONAL POLICIES AND PROCEDURES.—

(i) ESTABLISHMENT.—The Integrity Committee, in 

conjunction with the Chairperson of the Council, shall 

establish additional policies and procedures necessary to 

ensure fairness and consistency in—

Deadline.
906 Inspector General Act of 1978 (P.L. 95–452)

(I) determining whether to initiate an investigation;

(II) conducting investigations; 

(III) reporting the results of an investigation; and 

(IV) providing the person who is the subject of an 

investigation with an opportunity to respond to any 

Integrity Committee report. 

(ii) SUBMISSION TO CONGRESS.—The Council shall 

submit a copy of the policies and procedures established under 

clause (i) to the congressional committees of jurisdiction. 

(C) REPORTS.—

(i) POTENTIALLY MERITORIOUS ALLEGATIONS.—

For allegations described under paragraph (5)(C), the 

Chairperson of the Integrity Committee shall make a report 

containing the results of the investigation of the Chairperson 

and shall provide such report to members of the Integrity 

Committee. 

(ii) ALLEGATIONS OF WRONGDOING.—For 

allegations referred to an agency under paragraph (5)(B), the 

head of that agency shall make a report containing the results 

of the investigation and shall provide such report to members 

of the Integrity Committee. 

(8) ASSESSMENT AND FINAL DISPOSITION.—

(A) IN GENERAL.—With respect to any report received 

under paragraph (7)(C), the Integrity Committee shall—

(i) assess the report; 

(ii) forward the report, with the recommendations of the 

Integrity Committee, including those on disciplinary action, 

within 30 days (to the maximum extent practicable) after the 

completion of the investigation, to the Executive Chairperson 

of the Council and to the President (in the case of a report 

relating to an Inspector General of an establishment or any 

employee of that Inspector General) or the head of a 

designated Federal entity (in the case of a report relating to an 

Inspector General of such an entity or any employee of that 

Inspector General) for resolution; and 

(iii) submit to the Committee on Government Oversight 

and Reform of the House of Representatives, the Committee 

on Homeland Security and Governmental Affairs of the 

Senate, and other congressional committees of jurisdiction an 

executive summary of such report and recommendations 

within 30 days after the submission of such report to the 

Executive Chairperson under clause (ii). 

(B) DISPOSITION.—The Executive Chairperson of the 

Council shall report to the Integrity Committee the final 

disposition of the matter, including what action was taken by the 

President or agency head. 

(9) ANNUAL REPORT.—The Council shall submit to Congress 

and the President by December 31 of each year a report on the 

activities of the Integrity Committee during the preceding fiscal year, 

which shall include the following: 

(A) The number of allegations received. 

(B) The number of allegations referred to other agencies, 

including the number of allegations referred for criminal 

investigation. 

Deadline.

Executive 

summary.

Deadline.

Reports.
Inspector General Act of 1978 (P.L. 95–452) 907

(C) The number of allegations referred to the Chairperson of 

the Integrity Committee for investigation. 

(D) The number of allegations closed without referral. 

(E) The date each allegation was received and the date each 

allegation was finally disposed of. 

(F) In the case of allegations referred to the Chairperson of the 

Integrity Committee, a summary of the status of the investigation 

of the allegations and, in the case of investigations completed 

during the preceding fiscal year, a summary of the findings of the 

investigations. 

(G) Other matters that the Council considers appropriate. 

(10) REQUESTS FOR MORE INFORMATION.—With respect 

to paragraphs (8) and (9), the Council shall provide more detailed 

information about specific allegations upon request from any of the 

following: 

(A) The chairperson or ranking member of the Committee on 

Homeland Security and Governmental Affairs of the Senate. 

(B) The chairperson or ranking member of the Committee on 

Oversight and Government Reform of the House of 

Representatives.

(C) The chairperson or ranking member of the congressional 

committees of jurisdiction.

(11) NO RIGHT OR BENEFIT.—This subsection is not intended 

to create any right or benefit, substantive or procedural, enforceable 

at law by a person against the United States, its agencies, its Officers, 

or any person.26

Sec. 12. Definitions

As used in this Act—

 (1) the term “head of the establishment” means the Secretary of 

Agriculture, Commerce, Defense, Education, Energy, Health and Human 

Services, Housing and Urban Development, the Interior, Labor, State, 

Transportation, Homeland Security, or the Treasury; the Attorney 

General; the Administrator of the Agency for International Development, 

Environmental Protection, General Services, National Aeronautics and 

Space, Small Business, or Veterans' Affairs; the Director [Administrator] 

of the Federal Emergency Management Agency, or the Office of 

Personnel Management; the Chairman of the Nuclear Regulatory 

Commission or the Railroad Retirement Board;[;] the Chairperson of the 

Thrift Depositor Protection Oversight Board; the Chief Executive Officer

of the Corporation for National and Community Service; the 

Administrator of the Community Development Financial Institutions 

Fund; the chief executive Officer of the Resolution Trust Corporation; 

the Chairperson of the Federal Deposit Insurance Corporation; the 

Commissioner of Social Security, Social Security Administration; the 

Director of the Federal Housing Finance Agency; the Board of Directors 

of the Tennessee Valley Authority; the President of the Export–Import 

Bank; or the Federal Cochairpersons of the Commissions established 

under section 15301 of title 40, United States Code; as the case may be;

 (2) the term “establishment” means the Department of Agriculture, 

Commerce, Defense, Education, Energy, Health and Human Services, 

Housing and Urban Development, the Interior, Justice, Labor, State, 

Transportation, Homeland Security, or the Treasury; the Agency for 

International Development, the Community Development Financial 

––––––––

26 Amended by P.L. 110–409, § 7(a), 122 Stat. 4302 (2008). 
908 Inspector General Act of 1978 (P.L. 95–452)

Institutions Fund, the Environmental Protection Agency, the Federal 

Emergency Management Agency, the General Services Administration, 

the National Aeronautics and Space Administration, the Nuclear 

Regulatory Commission, the Office of Personnel Management, the 

Railroad Retirement Board, the Resolution Trust Corporation, the 

Federal Deposit Insurance Corporation, the Small Business 

Administration, the Corporation for National and Community Service, 

the Veterans' Administration, the Social Security Administration, the 

Federal Housing Finance Agency, the Tennessee Valley Authority, the 

Export–Import Bank, or the Commissions established under section 

15301 of title 40, United States Code, as the case may be;

 (3) the term “Inspector General” means the Inspector General of an 

establishment;

 (4) the term “Office” means the Office of Inspector General of an 

establishment; and

 (5) the term “Federal agency” means an agency as defined in section 

552(f) of title 5 (including an establishment as defined in paragraph (2), 

United States Code, but shall not be construed to include the General 

Accounting Office [Government Accountability Office].27

Sec. 13. Effective Date

The [original] provisions of this Act and the amendments [to other 

laws] made by this Act [see section 10 of this Act] shall take effect 

October 1, 1978.

Pertinent Portions of Inspector General Act Amendment of 1988

(which did not amend Inspector General Act of 1978)

Uniform Salaries for Inspectors General

(a) UNIFORM SALARIES.–Section 5315 of Title 5, United States 

Code, is amended by adding at the end thereof the following new 

paragraphs

Inspector General, Department of Commerce.

Inspector General, Department of the Interior.

Inspector General, Department of Justice.

Inspector General, Department of the Treasury.

Inspector General, Agency for International Development.

Inspector General, Environmental Protection Agency.

Inspector General, Federal Emergency Management Agency.

Inspector General, General Services Administrator.

Inspector General, National Aeronautics and Space Administration.

––––––––

27 Added and Amended by P.L. 95–452, § 12 [11], 92 Stat. 1109 (1978); P.L. 96–88, Title V, §§ 508(n)(3), (4), 93 Stat. 695 (1979); P.L. 97–113, Title VII, § 705(a)(2), 95 

Stat. 1544 (1981); P.L. 97–252, Title XI, §§ 1117(a)(4), (5), 96 Stat. 751 (1982); P.L.

99-93, Title I, § 150(a)(2), 99 Stat. 427 (1985); P.L. 99–399, Title IV, § 412(a)(2), 100 

Stat. 867 (1986); P.L. 100–504, Title I, § 102(c), 102 Stat. 2515 (1988); P.L. 100–527, 

§ 13(h)(2), (3), 102 Stat. 2643 (1988); P.L. 101–73, Title V, Subtitle A, § 501(b)(1), 

103 Stat. 393 (1989); P.L. 102–233, Title III, § 315(a), 105 Stat. 1772 (1991); P.L. 103–82, Title II, § 202(g)(4), 107 Stat. 890 (1993); P.L. 103–204, § 23(a)(1), 107 Stat. 2407 (1993); 

P.L. 103–296, Title I, § 108(l)(2), 108 Stat. 1489 (1994); P.L. 103–325, Title I, Subtitle A, 

§ 118(a), 108 Stat. 2188 (1994); P.L. 104–106, Div. D, Title XLIII, Subtitle B, §§

4322(b)(1), (3), 110 Stat. 677 (1996); P.L. 105–277, Div. G, Subdiv. A, Title XIII, Ch. 2, 

§ 1314(b), 112 Stat. 2681–776 (1998); P.L. 106–422, § 1(b)(2), 114 Stat. 422 (2000); 

P.L. 107–189, §§ 22(a), (d), 116 Stat. 707, 708 (2002); P.L. 107–296, Title XVII, § 1701, 

116 Stat. 2313 (2002); P.L. 110–234, Title XIV, Subtitle C, § 14217(c), 122 Stat. 1482

(2008); P.L. 110–246, § 4(a), Title XIV, Subtitle C, § 14217(c), 122 Stat. 1664, 2244

(2008); P.L. 110–289, Div. A, Title I, Subtitle A, § 1105(c), 122 Stat. 2668 (2008); 

P.L. 110–409, § 7(a), 122 Stat. 4305 (2008).
Inspector General Act of 1978 (P.L. 95–452) 909

Inspector General, Nuclear Regulatory Commission.Inspector General, 

Office of Personnel Management.

Inspector General, Railroad Retirement Board.

Inspector General, Small Business Administration.

Appropriation Accounts

Section 1105(a)(25) of Title 31, United States code, is amended to 

read as follows:

(a) During the first 15 days of each regular session of Congress, the 

President shall submit a budget of the United States Government for the 

following fiscal year. Each budget shall include a budget message and 

summary and supporting information. The President shall include in each 

budget the following:

(25) a separate appropriation account for appropriations for each 

Office of Inspector General of an establishment defined under section 

11(2) of the Inspector General Act of 1978.

Payment Authority Subject to Appropriations

Any authority to make payments under this Title (Inspector General 

Act Amendments) shall be effective only to such extent as provided in 

appropriations Acts.

Effective Date

This Title and the amendments made by this Title shall take effect 

180 days after the date of the enactment of this Title, except that section

5(a)(6) through (12) of the Inspector General Act of 1978 (as amended 

by section 106(a) of this Title) and section (5)(b)(1) through (4) of the 

Inspector General Act of 1978 (as amended by section 106(b) of this 

Title) shall take effect 1 year after the date of the enactment of this Title.

Information Management Legislation 911

8. Information Management Legislation

Information Management Legislation 913

8. Information Management Legislation

Contents

A. INFORMATION TECHNOLOGY MANAGEMENT REFORM 

ACT OF 1996............................................................................................. 917

Subtitle III–Information Technology Management ....................................... 917

Sec. 11101. Definitions................................................................................... 917

Sec. 11102. Sense of Congress ....................................................................... 917

Sec. 11103. Applicability to National Security Systems.............................. 918

Chapter 113–Responsibility for Acquisitions of Information Technology....... 918

Subchapter I–Director of Office of Management and Budget....................... 919

Sec. 11301. Responsibility of Director .......................................................... 919

Sec. 11302. Capital Planning and Investment Control ............................... 919

Sec. 11303. Performance–Based and Results–Based Management ........... 920

Subchapter II–Executive Agencies................................................................... 921

Sec. 11311. Responsibilities ........................................................................... 921

Sec. 11312. Capital Planning and Investment Control ............................... 921

Sec. 11313. Performance and Results–Based Management........................ 922

Sec. 11314. Authority to Acquire and Manage Information Technology.. 922

Sec. 11315. Agency Chief Information Officer ............................................ 923

Sec. 11316. Accountability............................................................................. 924

Sec. 11317. Significant Deviations................................................................. 924

Sec. 11318. Interagency Support................................................................... 924

Subchapter III–Other Responsibilities............................................................ 924

Sec. 11331. Responsibilities Regarding Efficiency, Security, and 

Privacy of Federal Computer Systems ..................................................... 924

Sec. 11332. Federal Computer System Security Training and Plan 

[Repealed] ................................................................................................... 925

B. PAPERWORK REDUCTION ACT OF 1995, AS AMENDED.......... 926

Sec. 1. Short Title ........................................................................................... 926

Sec. 2. Coordination of Federal Information Policy.................................... 926

Chapter 35–Coordination of Federal Information Policy ................................. 926

Sec. 3501. Purposes ........................................................................................ 926

Sec. 3502. Definitions..................................................................................... 927

Sec. 3503. Office of Information and Regulatory Affairs........................... 929

Sec. 3504. Authority and Functions of Director .......................................... 929

Sec. 3505. Assignment of Tasks and Deadlines............................................ 933

Sec. 3506. Federal Agency Responsibilities.................................................. 935

Sec. 3507. Public Information Collection Activities; Submission to 

Director; Approval and Delegation .......................................................... 939

Sec. 3508. Determination of Necessity for Information; Hearing .............. 943

Sec. 3509. Designation of Central Collection Agency.................................. 943

Sec. 3510. Cooperation of Agencies in Making Information Available ..... 943

Sec. 3511. Establishment and Operation of Government Information 

Locator Service........................................................................................... 944

Sec. 3512. Public Protection .......................................................................... 944

Sec. 3513. Director Review of Agency Activities; Reporting; Agency 

Response...................................................................................................... 945
Sec. 3514. Responsiveness to Congress......................................................... 945

Sec. 3515. Administrative Powers................................................................. 946

Sec. 3516. Rules and Regulations.................................................................. 946

Sec. 3517. Consultation with Other Agencies and the Public..................... 946

Sec. 3518. Effect on Existing Laws and Regulations................................... 946

Sec. 3519. Access to Information .................................................................. 947

Sec. 3520. Establishment of Task Force on Information Collection and 

Dissemination.............................................................................................. 947

Sec. 3521. Authorization of Appropriations ................................................ 950

Subchapter II. .................................................................................................... 950

Information Security ......................................................................................... 950

Sec. 3531. Purposes ........................................................................................ 950

Sec. 3532. Definitions..................................................................................... 950

Sec. 3533. Authority and Functions of the Director.................................... 951

Sec. 3534. Federal Agency Responsibilities.................................................. 952

Sec. 3535. Annual Independent Evaluation ................................................. 956

Sec. 3536. National Security Systems. .......................................................... 957

Sec. 3537. Authorization of Appropriations ................................................ 957

Sec. 3538. Effect on Existing Law................................................................. 957

C. GOVERNMENT PAPERWORK ELIMINATION ACT.................... 958

Division C–Title XVII........................................................................................... 958

Sec. 1701. Short Title. .................................................................................... 958

Sec. 1702. Authority of OMB to Provide for Acquisition and Use of 

Alternative Information Technologies by Executive Agencies............... 958

Sec. 1703. Procedures for Use and Acceptance of Electronic Signatures 

by Executive Agencies................................................................................ 958

Sec. 1704. Deadline for Implementation by Executive Agencies of 

Procedures for Use and Acceptance of Electronic Signatures................ 959

Sec. 1705. Electronic Storage and Filing of Employment Forms............... 959

Sec. 1706. Study on Use of Electronic Signatures........................................ 959

Sec. 1707. Enforceability and Legal Effect of Electronic Records............. 959

Sec. 1708. Disclosure of Information ............................................................ 959

Sec. 1709. Application with Internal Revenue Laws................................... 960

Sec. 1710. Definitions..................................................................................... 960

D. CONSOLIDATED APPROPRIATIONS ACT, 2001 (DATA 

QUALITY)................................................................................................. 961

Appendix C (Treasury and General Government Appropriations Act, 

2001)................................................................................................................ 961

Sec. 515............................................................................................................ 961

E. ELECTRONIC RECORDS AND SIGNATURES IN 

COMMERCE............................................................................................ 962

Sec. 1. Short Title ........................................................................................... 962

Title I–Electronic Records and Signatures In Commerce ................................. 962

Sec. 101. General Rule of Validity ................................................................ 962

Sec. 102. Exemption to Preemption .............................................................. 965

Sec. 103. Specific Exceptions......................................................................... 966

Sec. 104. Applicability to Federal and State ................................................ 967

Sec. 105. Studies ............................................................................................. 969

Sec. 106. Definitions....................................................................................... 969
Information Management Legislation 915

Sec. 107. Effective Date.................................................................................. 970

Title II–Transferable Records.............................................................................. 971

Sec. 201. Transferable Records..................................................................... 971

Sec. 202. Effective Date.................................................................................. 972

Title III–Promotion of International Electronic Commerce ............................. 972

Sec. 301. Principles Governing the Use of Electronic Signatures in 

International Transactions........................................................................ 972

Title IV–Commission On Online Child Protection ............................................ 973

Sec. 401. Authority to Accept Gifts............................................................... 973

F. PLAIN WRITING ACT OF 2010........................................................... 974

Sec. 1. Short Title ........................................................................................... 974

Sec. 2. Purpose................................................................................................ 974

Sec. 3. Definitions........................................................................................... 974

Sec. 4. Responsibilities of Federal Agencies................................................. 974

Sec. 5. Reports to Congress........................................................................... 975

Sec. 6. Judicial Review and Enforceability .................................................. 975

Sec. 7. Budgetary Effects of Paygo Legislation for this Act........................ 975

Information Technology Management Reform Act (P.L. 107–217) 917

A. INFORMATION TECHNOLOGY MANAGEMENT

REFORM ACT OF 1996

Public Law 107–217 116 Stat. 1235

[Selected Portions]

Subtitle III–Information Technology Management1

Sec. 11101. Definitions

In this subtitle, the following definitions apply:

(1) COMMERCIAL ITEM.–The term “commercial item” has the 

meaning given that term in section 4 of the Office of Federal 

Procurement Policy Act (41 U.S.C. 403).

(2) EXECUTIVE AGENCY.–The term “executive agency” has 

the meaning given that term in section 4 of the Act (41 U.S.C. 403).

(3) INFORMATION RESOURCES.–The term “information 

resources” has the meaning given that term in section 3502 of title 44.

(4) INFORMATION RESOURCES MANAGEMENT.–The term 

“information resources management” has the meaning given that term 

in section 3502 of title 44.

(5) INFORMATION SYSTEM.–The term “information system”

has the meaning given that term in section 3502 of title 44.

(6) INFORMATION TECHNOLOGY.– The term “information 

technology”–

(A) with respect to an executive agency means any equipment 

or interconnected system or subsystem of equipment, used in the 

automatic acquisition, storage, analysis, evaluation, manipulation, 

management, movement, control, display, switching, interchange, 

transmission, or reception of data or information by the executive 

agency, if the equipment is used by the executive agency directly 

or is used by a contractor under a contract with the executive 

agency that requires the use–

(i) of that equipment; or

(ii) of that equipment to a significant extent in the 

performance of a service or the furnishing of a product;

(B) includes computers, ancillary equipment (including 

imaging peripherals, input, output, and storage devices necessary 

for security and surveillance), peripheral equipment designed to 

be controlled by the central processing unit of a computer, 

software, firmware and similar procedures, services (including 

support services), and related resources; but

(C) does not include any equipment acquired by a federal 

contractor incidental to a federal contract.2

Sec. 11102. Sense of Congress

It is the sense of Congress that, during the five–year period beginning 

with 1996, executive agencies should achieve each year through 

improvements in information resources management by the agency–

(1) at least a five percent decrease in the cost (in constant fiscal 

year 1996 dollars) incurred by the agency in operating and 

maintaining information technology; and 

––––––––

1 P.L. 107–217, 116 Stat. 1235, (2002), recodified provisions of P.L. 104–106, 

110 Stat. 679, (1996), the Information Technology Management Reform Act of 1996 

(Clinger–Cohen; formerly codified at 40 U.S.C. 1401, et. seq.). 2 Amended by P.L. 108–199, Div. F, Title V, § 535(b), 118 Stat. 345 (2004).

40 USC 11101.

40 USC 11102.
918 Information Technology Management Reform Act (P.L. 107–217)

(2) a five percent increase in the efficiency of the agency 

operations.

Sec. 11103. Applicability to National Security Systems

(a) DEFINITION.–

(1) NATIONAL SECURITY SYSTEM.–In this section, the term 

“national security system” means a telecommunications or 

information system operated by the Federal Government, the 

function, operation, or use of which–

(A) involves intelligence activities;

(B) involves cryptologic activities related to national security;

(C) involves command and control of military forces;

(D) involves equipment that is an integral part of a weapon or 

weapons system; or

(E) subject to paragraph (2), is critical to the direct fulfillment 

of military or intelligence missions.

(2) LIMITATION.– Paragraph (1)(E) does not include a system 

to be used for routine administrative and business applications 

(including payroll, finance, logistics, and personnel management 

applications).

(b) IN GENERAL.–Except as provided in subsection (c), chapter 

113 of this title does not apply to national security systems.

(c) EXCEPTIONS.–

(1) IN GENERAL.–Sections 11313, 11315, and 11316 of this title 

apply to national security systems.

(2) CAPITAL PLANNING AND INVESTMENT CONTROL.–

The heads of executive agencies shall apply sections 11302 and 

11312 of this title to national security systems to the extent 

practicable.

(3) APPLICABILITY OF PERFORMANCE–BASED AND 

RESULTS–BASED MANAGEMENT TO NATIONAL SECURITY 

SYSTEMS.–

(A) IN GENERAL.–Subject to subparagraph (B), the heads of 

executive agencies shall apply section 11303 of this title to 

national security systems to the extent practicable.

(B) EXCEPTION.–National security systems are subject to 

section 11303(b)(5) of this title, except for subparagraph (B)(iv).

Chapter 113–Responsibility for Acquisitions of Information 

Technology

Subchapter I–Director of Office of Management and Budget

Sec.

11301. Responsibility of Director.

11302. Capital planning and investment control.

11303. Performance–based and results–based management.

Subchapter II–Executive Agencies 

11311. Responsibilities.

11312. Capital planning and investment control.

11313. Performance and results–based management.

11314. Authority to acquire and manage information technology.

11315. Agency Chief Information Officer.

11316. Accountability.

11317. Significant deviations.

40 USC 11103.
Information Technology Management Reform Act (P.L. 107–217) 919

11318. Interagency support.

Subchapter III–Other Responsibilities

11331. Responsibilities Regarding Efficiency, Security, and Privacy 

of Federal Computer Systems

11332. Federal Computer System Security Training and Plan

Subchapter I–Director of Office of Management and Budget

Sec. 11301. Responsibility of Director

In fulfilling the responsibility to administer the functions assigned 

under chapter 35 of title 44, the Director of the Office of Management 

and Budget shall comply with this chapter with respect to the specific 

matters covered by this chapter.

Sec. 11302. Capital Planning and Investment Control

(a) FEDERAL INFORMATION TECHNOLOGY.–The Director of 

the Office of Management and Budget shall perform the responsibilities 

set forth in this section in fulfilling the responsibilities under section 

3504(h) of title 44.

(b) USE OF INFORMATION TECHNOLOGY IN FEDERAL 

PROGRAMS.–The Director shall promote and improve the acquisition, 

use, security, and disposal of information technology by the Federal 

Government to improve the productivity, efficiency, and effectiveness of 

federal programs, including through dissemination of public information 

and the reduction of information collection burdens on the public.

(c) USE OF BUDGET PROCESS.–

(1) ANALYZING, TRACKING, AND EVALUATING 

CAPITAL INVESTMENTS.– As part of the budget process, the 

Director shall develop a process for analyzing, tracking, and 

evaluating the risks, including information security risks, and results 

of all major capital investments made by an executive agency for 

information systems. The process shall cover the life of each system 

and shall include explicit criteria for analyzing the projected and 

actual costs, benefits, and risks, including information security risks,

associated with the investments.3

(2) REPORT TO CONGRESS.–At the same time that the 

President submits the budget for a fiscal year to Congress under 

section 1105(a) of title 31, 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 for 

information systems and how the benefits relate to the 

accomplishment of the goals of the executive agencies.

(d) INFORMATION TECHNOLOGY STANDARDS.–The Director 

shall oversee the development and implementation of standards and 

guidelines pertaining to federal computer systems by the Secretary of 

Commerce through the National Institute of Standards and Technology 

under section 11331 of this title and section 20 of the National Institute 

of Standards and Technology Act (15 U.S.C. 278g–3).

(e) DESIGNATION OF EXECUTIVE AGENTS FOR 

ACQUISITIONS.–The Director shall designate the head of one or more 

executive agencies, as the Director considers appropriate, as executive 

agent for Government–wide acquisitions of information technology. 

––––––––

3 Amended by P.L. 108–458, Title VIII, §§ 8401(1), (2), 118 Stat. 3869 (2004).

40 USC 11301.

40 USC 11302.
920 Information Technology Management Reform Act (P.L. 107–217)

(f) USE OF BEST PRACTICES IN ACQUISITIONS.–The Director 

shall encourage 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 TECHNOLOGY.– On a continuing basis, the Director 

shall assess the experiences of executive agencies, state and local 

governments, international organizations, and the private sector in 

managing information technology.

(h) COMPARISON OF AGENCY USES OF INFORMATION 

TECHNOLOGY.–The Director shall compare the performances of the 

executive agencies in using information technology and shall disseminate 

the comparisons to the heads of the executive agencies.

(i) MONITORING TRAINING.–The Director shall monitor the 

development and implementation of training in information resources 

management for executive agency personnel.

(j) INFORMING CONGRESS.–The Director shall keep Congress 

fully informed on the extent to which the executive agencies are 

improving the performance of agency programs and the accomplishment 

of the agency missions through the use of the best practices in 

information resources management.

(k) COORDINATION OF POLICY DEVELOPMENT AND 

REVIEW.–The Director shall coordinate with the Office of Federal 

Procurement Policy the development and review by the Administrator of 

the Office of Information and Regulatory Affairs of policy associated 

with federal acquisition of information technology.

Sec. 11303. Performance–Based and Results–Based Management

(a) IN GENERAL.–The Director of the Office of Management and 

Budget shall encourage the use of performance–based and results–based 

management in fulfilling the responsibilities assigned under section 

3504(h) of title 44.

(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 direction that the head of each agency shall–

(A) establish effective and efficient capital planning processes 

for selecting, managing, and evaluating the results of all of its 

major investments in information systems;

(B) determine, before making an investment in a new 

information system–

(i) whether the function to be supported by the system 

should be performed by the private sector and, if so, whether 

any component of the executive agency performing that 

function should be converted from a governmental 

organization to a private sector organization; or

(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 

40 USC 11303.
Information Technology Management Reform Act (P.L. 107–217) 921

processes and administrative processes, as appropriate, before 

making significant investments in information technology to be 

used in support of those missions; and

(D) ensure that the information security policies, procedures, 

and practices are adequate.

(3) GUIDANCE FOR MULTIAGENCY INVESTMENTS.–The 

direction issued under paragraph (2) shall include guidance for 

undertaking efficiently and effectively interagency and Federal 

Government–wide investments in information technology to improve 

the accomplishment 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 resources 

management activities of the executive agencies 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 action that the 

Director considers appropriate, including an action involving the 

budgetary process or appropriations management 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 information technology.

(B) SPECIFIC ACTIONS.–Actions taken by the Director may 

include–

(i) recommending a reduction or an increase in the amount 

for information resources that the head of the executive 

agency proposes for the budget submitted to Congress under 

section 1105(a) of title 31;

(ii) reducing or otherwise adjusting apportionments and 

reapportionments of appropriations for information resources;

(iii) using other administrative controls over appropriations 

to restrict the availability of amounts for information 

resources; and

(iv) designating for the executive agency an executive 

agent to contract with private sector sources for the 

performance of information resources management or the 

acquisition of information technology.

Subchapter II–Executive Agencies

Sec. 11311. Responsibilities

In fulfilling the responsibilities assigned under chapter 35 of title 44, 

the head of each executive agency shall comply with this subchapter with 

respect to the specific matters covered by this subchapter.

Sec. 11312. Capital Planning and Investment Control

(a) DESIGN OF PROCESS.–In fulfilling the responsibilities assigned 

under section 3506(h) of title 44, 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.

(b) CONTENT OF PROCESS.–The process of an executive agency 

shall–

40 USC 11311.

40 USC 11312.
922 Information Technology Management Reform Act (P.L. 107–217)

(1) provide for the selection of investments in information 

technology (including information security needs)4 to be made by the 

executive agency, the management of those investments, and the 

evaluation of the results of those investments;

(2) be integrated with the processes for making budget, financial, 

and program management decisions in the executive agency;

(3) include minimum criteria to be applied in considering whether 

to undertake a particular investment in 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;

(4) identify information systems investments that would result in 

shared benefits or costs for other federal agencies or state or local 

governments;

(5) identify quantifiable measurements for determining the net 

benefits and risks of a proposed investment; and

(6) provide the means for senior management personnel of the 

executive agency to obtain timely information regarding the progress 

of an investment in an information system, including a system of 

milestones for measuring progress, on an independently verifiable 

basis, in terms of cost, capability of the system to meet specified 

requirements, timeliness, and quality.

Sec. 11313. Performance and Results–Based Management

In fulfilling the responsibilities under section 3506(h) of title 44, 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 of information technology;

(2) prepare an annual report, to be included in the executive 

agency's budget submission to Congress, on the progress in achieving 

the goals;

(3) ensure that performance measurements–

(A) are prescribed for information technology used by, or to 

be acquired for, the executive agency; and

(B) measure how well the information technology supports 

programs of the executive agency;

(4) where comparable processes and organizations in the public or 

private sectors exist, quantitatively benchmark agency process 

performance against those processes in terms of cost, speed, 

productivity, 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 processes and 

administrative processes as appropriate before making significant 

investments in information technology 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.

Sec. 11314. Authority to Acquire and Manage Information 

Technology

(a) IN GENERAL.–The authority of the head of an executive agency 

to acquire information technology includes–

(1) acquiring information technology as authorized by law;

––––––––

4 Amended by P.L. 108–458, Title VIII, § 8401(3), 118 Stat. 3869 (2004).

40 USC 11313.

40 USC 11314.
Information Technology Management Reform Act (P.L. 107–217) 923

(2) making a contract that provides for multiagency acquisitions 

of information technology in accordance with guidance issued by the 

Director of the Office of Management and Budget; and

(3) if the Director finds that it would be advantageous for the 

Federal Government to do so, making a multiagency contract for 

procurement of commercial items of information technology that 

requires each executive agency covered by the contract, when 

procuring those items, to procure the items under that contract or to 

justify an alternative procurement of the items.

(b) FTS 2000 PROGRAM.–The Administrator of General Services 

shall continue to manage the FTS 2000 program, and to coordinate the 

follow–on to that program, for and with the advice of the heads of 

executive agencies.

Sec. 11315. Agency Chief Information Officer

(a) DEFINITION.–In this section, the term ``information technology 

architecture'', with respect to an executive agency, means an integrated 

framework for evolving or maintaining existing information technology 

and acquiring new information technology to achieve the agency's 

strategic goals and information resources management goals.

(b) GENERAL RESPONSIBILITIES.–The Chief Information Officer

of an executive agency is 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 acquired 

and information resources are managed for the executive agency in a 

manner that implements the policies and procedures of this subtitle, 

consistent with chapter 35 of title 44 and the priorities established by 

the head of the executive agency;

(2) developing, maintaining, and facilitating the implementation 

of a sound, secure, and integrated information technology architecture 

for the executive agency; and5

(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 agency listed in section 901(b) of title 31–

(1) has information resources management duties as that official's 

primary duty;

(2) monitors the performance of information technology programs 

of the agency, evaluates the performance of those programs on the 

basis of the applicable performance measurements, and advises 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) under 

section 306 of title 5 and sections 1105(a)(28), 1115–1117, and 9703 

(as added by section 5(a) of the Government Performance and Results 

Act of 1993 (Public Law 103–62, 107 Stat. 289)) of title 31–

(A) assesses the requirements established for agency personnel 

regarding knowledge and skill in information resources 

management and the adequacy of those requirements for 

––––––––

5 Amended by P.L. 108–458, Title VIII, § 8401(4), 118 Stat. 3869 (2004).

40 USC 11315.
924 Information Technology Management Reform Act (P.L. 107–217)

facilitating the achievement of the performance goals established 

for information resources management;

(B) assesses the extent to which the positions and personnel at 

the executive level of the agency and the positions and personnel 

at management level of the agency below the executive level meet 

those requirements;

(C) develops strategies and specific plans for hiring, training, 

and professional development to rectify any deficiency in meeting 

those requirements; and

(D) reports to the head of the agency on the progress made in 

improving information resources management capability.

Sec. 11316. 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 without a chief financial 

Officer, any comparable official), shall establish policies and procedures 

to ensure that–

(1) the accounting, financial, asset management, and other 

information systems of the executive agency are designed, developed, 

maintained, and used effectively to provide financial or program 

performance data for financial statements of the executive agency;

(2) financial and related program performance data are provided 

on a reliable, consistent, and timely basis to executive agency 

financial management systems; and 

(3) financial statements support–

(A) assessments and revisions of mission–related processes 

and administrative processes of the executive agency; and

(B) measurement of the performance of investments made by 

the agency in information systems.

Sec. 11317. Significant Deviations

The head of each executive agency shall identify in the strategic 

information resources management plan required under section 

3506(b)(2) of title 44 any major information technology acquisition 

program, or any phase or increment of that program, that has 

significantly deviated from the cost, performance, or schedule goals 

established for the program.

Sec. 11318. Interagency Support

The head of an executive agency may use amounts available to the 

agency for oversight, acquisition, and procurement of information 

technology to support jointly with other executive agencies the activities 

of interagency groups that are established to advise the Director of the 

Office of Management and Budget in carrying out the Director's 

responsibilities under this chapter. The use of those amounts for that 

purpose is subject to requirements and limitations on uses and amounts 

that the Director may prescribe. The Director shall prescribe the 

requirements and limitations during the Director's review of the 

executive agency's proposed budget submitted to the Director by the head 

of the executive agency for purposes of section 1105 of title 31.

Subchapter III–Other Responsibilities

Sec. 11331. Responsibilities Regarding Efficiency, Security, and

Privacy of Federal Computer Systems

(a) DEFINITION. In this section, the term “information security” has the 

meaning given that term in section 3532(b)(1) of title 44.

40 USC 11316.

40 USC 11317.

40 USC 11318.

40 USC 11331.
Information Technology Management Reform Act (P.L. 107–217) 925

(b) REQUIREMENT TO PRESCRIBE STANDARDS.

 (1) In general.

 (A) Requirement. Except as provided under paragraph (2), the 

Director of the Office of Management and Budget shall, on the basis of 

proposed standards developed by the National Institute of Standards and 

Technology pursuant to paragraphs (2) and (3) of section 20(a) of the 

National Institute of Standards and Technology Act (15 U.S.C. 278g–

3(a)) and in consultation with the Secretary of Homeland Security, 

promulgate information security standards pertaining to Federal 

information systems.

 (B) Required standards. Standards promulgated under subparagraph 

(A) shall include—

 (i) standards that provide minimum information security 

requirements as determined under section 20(b) of the National Institute 

of Standards and Technology Act (15 U.S.C. 278g–3(b)); and

 (ii) such standards that are otherwise necessary to improve the 

efficiency of operation or security of Federal information systems.

 (C) Required standards binding. Information security standards 

described under subparagraph (B) shall be compulsory and binding.

 (2) Standards and guidelines for national security systems. Standards 

and guidelines for national security systems, as defined under section 

3532(3) of title 44, shall be developed, promulgated, enforced, and 

overseen as otherwise authorized by law and as directed by the President.

(c) APPLICATION OF MORE STRINGENT STANDARDS. The head 

of an agency may employ standards for the cost–effective information 

security for all operations and assets within or under the supervision of 

that agency that are more stringent than the standards promulgated by the 

Director under this section, if such standards—

 (1) contain, at a minimum, the provisions of those applicable standards 

made compulsory and binding by the Director; and

 (2) are otherwise consistent with policies and guidelines issued under 

section 3533 of title 44.

(d) REQUIREMENTS REGARDING DECISIONS BY DIRECTOR.

 (1) Deadline. The decision regarding the promulgation of any standard 

by the Director under subsection (b) shall occur not later than 6 months 

after the submission of the proposed standard to the Director by the 

National Institute of Standards and Technology, as provided under 

section 20 of the National Institute of Standards and Technology Act (15 

U.S.C. 278g–3).

 (2) Notice and comment. A decision by the Director to significantly 

modify, or not promulgate, a proposed standard submitted to the Director 

by the National Institute of Standards and Technology, as provided under 

section 20 of the National Institute of Standards and Technology Act (15 

U.S.C. 278g–3), shall be made after the public is given an opportunity to 

comment on the Director's proposed decision.6

Sec. 11332. Federal Computer System Security Training and Plan 

[Repealed]7

––––––––

6 Amended by P.L. 107–296, Title X, § 1002(a), 116 Stat. 2268 (2002); P.L. 107–347, Title III, § 302(a), 116 Stat. 2956 (2002). 7 Repealed by P.L. 107–296, Title X, § 1005(a)(1), 116 Stat. 2272 (2002); 

P.L. 107-347, Title III, § 305(a), 116 Stat. 2960 (2002).

40 USC 11332.
926 Paperwork Reduction Act of 1995 (P.L. 104–13)

B. PAPERWORK REDUCTION ACT OF 1995,

AS AMENDED

Public Law 104–13 109 Stat. 163

May 22, 1995

An Act

To further the goals of the Paperwork Reduction Act to have Federal

agencies become more responsible and publicly accountable for 

reducing the burden of Federal paperwork on the public, and for other 

purposes.

Be it enacted by the Senate and House of Representatives of the 

United States of America in Congress assembled,

Sec. 1. Short Title

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 of Information 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 regulations.

3519. Access to information.

3520. Authorization of appropriations.

Sec. 3501. Purposes

The purposes of this subchapter1 are to–

(1) minimize the paperwork burden for individuals, small 

businesses, educational and nonprofit institutions, Federal 

contractors, State, local and tribal governments, and other persons 

––––––––

1 Amended by P.L. 106–398, § 1, 114 Stat. 1654 (2000), substituted “subchapter” for 

“chapter” wherever occurring.

44 USC 101 

note.

44 USC 3501.
Paperwork Reduction Act of 1995 (P.L. 104–13) 927

resulting from the collection of information by or for the Federal 

Government;

(2) ensure the greatest possible public benefit from and maximize 

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 

appropriate, make uniform Federal information resources 

management policies and practices as a means to improve the 

productivity, efficiency, and effectiveness of Government programs, 

including the reduction of information collection burdens on the 

public and the improvement of service delivery to the public;

(4) improve the quality and use of Federal information to 

strengthen decision making, accountability, and openness in 

Government and society;

(5) minimize the cost to the Federal Government of the creation, 

collection, maintenance, use, dissemination, and disposition of 

information;

(6) strengthen the partnership between the Federal Government 

and State, local, and tribal governments by minimizing the burden 

and maximizing the utility of information created, collected, 

maintained, used, disseminated, and retained by or for the Federal 

Government;

(7) provide for the dissemination 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 of 

information technology;

(8) ensure that the creation, collection, maintenance, use, 

dissemination, and disposition of information by or for the Federal 

Government is consistent with applicable laws, including laws 

relating to–

(A) privacy and confidentiality, including section 552a of Title 

5;

(B) security of information, including section 11332 of title 

402

; and

(C) access to information, including section 552 of Title 5;

(9) ensure the integrity, quality, and utility of the Federal 

statistical system;

(10) ensure that information technology is acquired, used, and 

managed to improve performance of agency missions, including the 

reduction of information 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 collection review 

process, information resources management, and related policies and 

guidelines established under this Chapter.

Sec. 3502. Definitions

As used in this subchapter [44 USCS §§ 3501 et seq.]––

 (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––

––––––––

2 Amended by P.L. 107–217, § 3(1)(4), 116 Stat. 1301 (2002).

44 USC 3502.
928 Paperwork Reduction Act of 1995 (P.L. 104–13)

 (A) the General Accounting Office [Government Accountability 

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, including 

laboratories engaged in national defense research and production 

activities;

 (2) the term “burden” means time, effort, or financial resources 

expended 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 

by or for an agency, regardless of form or format, calling for either––

 (i) answers to identical questions posed to, or identical reporting or 

recordkeeping requirements imposed on, ten or more persons, other than 

agencies, instrumentalities, or employees of the United States; or

 (ii) answers to questions posed to agencies, instrumentalities, or 

employees of the United States which are to be used for general 

statistical purposes; and

 (B) shall not include a collection of information described under 

section 3518(c)(1);

 (4) the term “Director” means the Director of the Office of 

Management 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 

Housing Finance Agency, the Federal Maritime Commission, the Federal 

Trade Commission, the Interstate Commerce Commission, the Mine 

Enforcement Safety and Health Review Commission, the National Labor 

Relations Board, the Nuclear Regulatory Commission, the Occupational 

Safety and Health Review Commission, the Postal Regulatory 

Commission, the Securities and Exchange Commission, Office of the 

Comptroller of the Currency, 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 of information 

resources organized for the collection, processing, maintenance, use, 

sharing, dissemination, or disposition of information;
Paperwork Reduction Act of 1995 (P.L. 104–13) 929

 (9) the term “information technology” has the meaning given that term 

in section 11101 of title 40 but does not include national security systems 

as defined in section 11103 of title 40;

 (10) the term “person” means an individual, partnership, association, 

corporation, business trust, or legal representative, an organized group of 

individuals, a State, territorial, tribal, or local 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, regardless 

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 Government, or 

the public; or

 (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 

equitable relief; or the revocation, suspension, reduction, or denial of a 

license, privilege, right, grant, or benefit.3

Sec. 3503. Office of Information and Regulatory Affairs

(a) There is established in the Office of Management and Budget an 

Office to be known as the Office of Information 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 

such delegation shall not relieve the Director of responsibility for the 

administration of such functions. The Administrator shall serve as 

principal adviser to the Director on Federal information resources 

management policy.4

Sec. 3504. Authority and Functions of Director

(a) (1) The Director shall oversee the use of information 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

––––––––

3 Added and amended by P.L. 104–13, § 2, 109 Stat. 164 (1995); P.L. 104–106, Div. E, 

Title LVI, § 5605(a), 110 Stat. 700 (1996); P.L. 105–85, Div. A, Title X, Subtitle G, 

§ 1073(h)(5)(A), 111 Stat. 1907 (1997); P.L. 106–398, § 1, 114 Stat. 1654 (2000); 

P.L. 107–217, § 3(l)(4), 116 Stat. 1301 (2002); P.L. 109–435, Title VI, § 604(e), 

120 Stat. 3242 (2006); P.L. 110–289, Div. A, Title II, § 1216(e), 122 Stat. 2792 (2008); 

P.L. 111 203, Title III, Subtitle A, § 315, Title X, Subtitle H, § 1100D(a), 124 Stat. 1524, 

2111 (2010). 4 Added by P.L. 104–13, § 2, 109 Stat. 166 (1995), and Amended P.L. 106–398, § 1 [Div. A, Title X, § 1064(b)], 114 Stat. 1654, 1654A–275 (2000).

44 USC 3503.

Establishment.

44 USC 3504.
930 Paperwork Reduction Act of 1995 (P.L. 104–13)

 (B) provide direction and oversee––

 (i) the review and approval of the collection of information and the 

reduction of the information collection burden;

 (ii) agency dissemination of and public access to information;

 (iii) statistical activities;

 (iv) records management activities;

 (v) privacy, confidentiality, security, disclosure, and sharing of 

information; and

 (vi) the acquisition and use of information technology, including 

alternative information technologies that provide for electronic 

submission, maintenance, or disclosure of information as a substitute for 

paper and for the use and acceptance of electronic signatures.

 (2) The authority of the Director under this subchapter [44 USCS §§ 

3501 et seq.] shall be exercised consistent with applicable law.

(b) With respect to general information resources management policy, 

the Director shall––

 (1) develop and oversee the implementation of uniform information 

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 Service; and

 (B) the development and utilization of common standards for 

information collection, storage, processing and communication, 

including standards for security, interconnectivity and interoperability;

 (3) initiate and review proposals for changes in legislation, regulations, 

and agency procedures to improve information resources management 

practices;

 (4) oversee the development and implementation of best practices in 

information resources management, including training; and

 (5) oversee agency integration of program and management functions 

with information resources management functions.

(c) With respect to the collection of information and the control of 

paperwork, the Director shall––

 (1) review and approve proposed agency collections of information;

 (2) coordinate the review of the collection of information associated 

with Federal procurement and acquisition by the Office of Information 

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 

payment, 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;

 (5) establish and oversee standards and guidelines by which agencies 

are to estimate the burden to comply with a proposed collection of 

information; [and]

 (6) publish in the Federal Register and make available on the Internet 

(in consultation with the Small Business Administration) on an annual 

basis a list of the compliance assistance resources available to small 

businesses, with the first such publication occurring not later than 1 year 

after the date of enactment of the Small Business Paperwork Relief Act 

of 2002.
Paperwork Reduction Act of 1995 (P.L. 104–13) 931

(d) With respect to information dissemination, the Director shall develop 

and oversee the implementation of policies, principles, standards, and 

guidelines to––

 (1) apply to Federal agency dissemination of public information, 

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 subchapter [44 USCS §§ 3501 et seq.], including through the 

effective use of information technology.

(e) With respect to statistical policy and coordination, the Director 

shall—

 (1) coordinate the activities of the Federal statistical system to ensure––

 (A) the efficiency and effectiveness of the system; and

 (B) the integrity, objectivity, impartiality, utility, and confidentiality 

of information 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 program 

funding;

 (3) develop and oversee the implementation of Governmentwide 

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 compliance 

with Governmentwide policies, principles, standards and guidelines;

 (5) promote the sharing of information collected for statistical purposes 

consistent with privacy rights and confidentiality pledges;

 (6) coordinate the participation of the United States in international 

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;

 (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 functions to 

employees 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.

(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 coordination in the 

administration of chapters 29, 31, and 33 of this title [44 USCS §§ 2901 
932 Paperwork Reduction Act of 1995 (P.L. 104–13)

et seq., 3101 et seq., 3301 et seq.] with the information resources 

management policies, principles, standards, and guidelines established 

under this subchapter [44 USCS §§ 3501 et seq.];

 (2) review compliance by agencies with––

 (A) the requirements of chapters 29, 31, and 33 of this title [44 USCS 

§§ 2901 et seq., 3101 et seq., 3301 et seq.]; and

 (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 

of information systems.

(g) With respect to privacy and security, the Director shall––

 (1) develop and oversee the implementation of policies, principles, 

standards, and guidelines on privacy, confidentiality, security, disclosure 

and sharing of information collected or maintained by or for agencies; 

and

 (2) oversee and coordinate compliance with sections 552 and 552a of 

title 5, sections 20 and 21 of the National Institute of Standards and 

Technology Act (15 U.S.C. 278g–3 and 278g–4), section 11331 of title 

40 and subchapter II of this chapter [44 USCS §§ 3531 et seq.], and 

related information management laws.

 (3) [Deleted]

(h) With respect to Federal information technology, the Director shall––

 (1) in consultation with the Director of the National Institute of 

Standards and Technology and the Administrator of General Services––

 (A) develop and oversee the implementation of policies, principles, 

standards, and guidelines for information technology functions and 

activities of the Federal Government, including periodic evaluations of 

major information systems; and

 (B) oversee the development and implementation of standards under 

section 11331 of title 40;

 (2) monitor the effectiveness of, and compliance with, directives issued 

under subtitle III of title 40 [40 USCS §§ 11101 et seq.] and directives 

issued under section 322 of title 40;

 (3) coordinate the development and review by the Office of 

Information and Regulatory Affairs of policy associated with Federal 

procurement and acquisition of information 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 of information resources management plans, 

program plans and budgets for acquisition and use of information 

technology; and

 (B) the efficiency and effectiveness of inter–agency information 

technology initiatives to improve agency performance and the 

accomplishment of agency missions; and

 (5) promote the use of information technology by the Federal 

Government to improve the productivity, efficiency, and effectiveness of 

Federal programs, including through dissemination of public information 

and the reduction of information collection burdens on the public.5

––––––––

5 Added and amended by P.L. 104–13, § 2, 109 Stat. 167 (1995); P.L. 104–106, Div. E, 

Title LI, Subtitle D, § 5131(e)(1), Title LVI, §§ 5605(b), (c), 110 Stat. 688, 700 (1996); 

P.L. 105–85, Div. A, Title X, Subtitle G, §§ 1073(h)(5)(B), (C), 111 Stat. 1907 (1997); 

P.L. 105–277, Div. C, Title XVII, § 1702, 112 Stat. 2681–749 (1998); P.L. 106–398, 
Paperwork Reduction Act of 1995 (P.L. 104–13) 933

Sec. 3505. Assignment of Tasks and Deadlines

(a) In carrying out the functions under this subchapter [44 USCS §§ 3501 

et seq.], the Director shall––

 (1) in consultation with agency heads, set an annual Governmentwide 

goal for the reduction of information 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, and set annual agency 

goals to––

 (A) reduce information collection burdens imposed on the public 

that––

 (i) represent the maximum practicable opportunity in each agency; 

and

 (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 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 voluntary 

basis, conduct pilot projects to test alternative policies, practices, 

regulations, and procedures to fulfill the purposes of this subchapter [44 

USCS §§ 3501 et seq.], 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 Technology, 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 management, that shall include––

 (A) a description of the objectives and the means by which the 

Federal Government shall apply information resources to improve 

agency and program performance;

 (B) plans for––

 (i) reducing information burdens on the public, including 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 this subchapter [44 

USCS §§ 3501 et seq.]; and

 (C) a description of progress in applying information resources 

management to improve agency performance and the accomplishment of 

missions.

(b) For purposes of any pilot project conducted under subsection (a)(2), 

the Director may, after consultation with the agency head, waive the 

application of any administrative directive issued by an agency 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.

(c) Inventory of major information systems.

––––––––

§ 1, 114 Stat. 1654 (2000); P.L. 107–198, § 2(a), 116 Stat. 729 (2002); P.L. 107–217, § 3(l)(5), 116 Stat. 1301 (2002); P.L. 107–296, Title X, § 1005(c)(1), 116 Stat. 2272

(2002); P.L. 107-347, Title III, § 305(c)(1), 116 Stat. 2960 (2002).

44 USC 3505.
934 Paperwork Reduction Act of 1995 (P.L. 104–13)

 (1) The head of each agency shall develop and maintain an inventory of 

major information systems (including major national security systems) 

operated by or under the control of such agency.

 (2) The identification of information systems in an inventory under this 

subsection shall include an identification of the interfaces between each 

such system and all other systems or networks, including those not 

operated by or under the control of the agency.

 (3) Such inventory shall be––

 (A) updated at least annually;

 (B) made available to the Comptroller General; and

 (C) used to support information resources management, including––

 (i) preparation and maintenance of the inventory of information 

resources under section 3506(b)(4) [44 USCS § 3506(b)(4)];

 (ii) information technology planning, budgeting, acquisition, and 

management under section 3506(h) [44 USCS § 3506(h)], subtitle III of 

title 40 [40 USCS §§ 11101 et seq.], and related laws and guidance;

 (iii) monitoring, testing, and evaluation of information security 

controls under subchapter II [44 USCS §§ 3531 et seq.];

 (iv) preparation of the index of major information systems required 

under section 552(g) of title 5, United States Code; and

 (v) preparation of information system inventories required for 

records management under chapters 21, 29, 31, and 33 [44 USCS §§ 

2101 et seq., 2901 et seq., 3101 et seq., 3301 et seq.].

 (4) The Director shall issue guidance for and oversee the 

implementation of the requirements of this subsection.

[(d)](c) Inventory of information systems.

 (1) The head of each agency shall develop and maintain an inventory of 

the information systems (including national security systems) operated 

by or under the control of such agency;

 (2) The identification of information systems in an inventory under this 

subsection shall include an identification of the interfaces between each 

such system and all other systems or networks, including those not 

operated by or under the control of the agency;

 (3) Such inventory shall be––

 (A) updated at least annually;

 (B) made available to the Comptroller General; and

 (C) used to support information resources management, including––

 (i) preparation and maintenance of the inventory of information 

resources under section 3506(b)(4) [44 USCS § 3506(b)(4)];

 (ii) information technology planning, budgeting, acquisition, and 

management under section 3506(h) [44 USCS § 3506(h)], subtitle III of 

title 40 [40 USCS §§ 11101 et seq.], and related laws and guidance;

 (iii) monitoring, testing, and evaluation of information security 

controls under subchapter II [44 USCS §§ 3531 et seq.];

 (iv) preparation of the index of major information systems required 

under section 552(g) of title 5, United States Code; and

 (v) preparation of information system inventories required for 

records management under chapters 21, 29, 31, and 33 [44 USCS §§ 

2101 et seq., 2901 et seq., 3101 et seq., 3301 et seq.].

 (4) The Director shall issue guidance for and oversee the 

implementation of the requirements of this subsection.6

––––––––

6 Amended P.L. 106–398, § 1, 114 Stat. 1654 (2000); P.L. 107–296, Title X, 

§ 1005(c)(2), 116 Stat. 2272 (2002); P.L. 107–347, Title III, § 305(c)(2), 116 Stat. 2961

(2002).
Paperwork Reduction Act of 1995 (P.L. 104–13) 935

Sec. 3506. Federal Agency Responsibilities

(a) (1) The head of each agency shall be responsible for––

 (A) carrying out the agency's information resources management 

activities to improve agency productivity, efficiency, and effectiveness; 

and

 (B) complying with the requirements of this subchapter [44 USCS §§ 

3501 et seq.] and related policies established by the Director.

 (2) (A) Except as provided under subparagraph (B), the head of each 

agency shall designate a Chief Information Officer who shall report 

directly to such agency head to carry out the responsibilities of the 

agency under this subchapter [44 USCS §§ 3501 et seq.].

 (B) The Secretary of the Department of Defense and the Secretary of 

each military department may each designate Chief Information Officers

who shall report directly to such Secretary to carry out the 

responsibilities of the department under this subchapter [44 USCS §§ 

3501 et seq.]. If more than one Chief Information Officer is designated, 

the respective duties of the Chief Information Officers shall be clearly 

delineated.

 (3) The Chief Information Officer designated under paragraph (2) shall 

head an Office responsible for ensuring agency compliance with and 

prompt, efficient, and effective implementation of the information 

policies and information resources management responsibilities 

established under this subchapter [44 USCS §§ 3501 et seq.], including 

the reduction of information collection burdens on the public. The Chief 

Information Officer and employees of such Office shall be selected with 

special attention to the professional qualifications required to administer 

the functions described under this subchapter [44 USCS §§ 3501 et seq.].

 (4) Each agency program official shall be responsible and accountable 

for information resources assigned to and supporting the programs under 

such official. In consultation with the Chief Information Officer

designated under paragraph (2) and the agency Chief Financial Officer

(or comparable official), each agency program official shall define 

program information needs and develop strategies, systems, and 

capabilities to meet those needs.

(b) With respect to general information resources management, each 

agency shall––

 (1) manage information resources to––

 (A) reduce information collection burdens on the public;

 (B) increase program efficiency and effectiveness; and

 (C) improve the integrity, quality, and utility of information to all 

users within and outside the agency, including capabilities for ensuring 

dissemination of public information, public access to government 

information, and protections for privacy and security;

 (2) in accordance with guidance by the Director, develop and maintain 

a strategic information resources management plan that shall describe 

how information resources management activities help accomplish 

agency missions;

 (3) develop and maintain an ongoing process to––

 (A) ensure that information resources management operations and 

decisions are integrated with organizational planning, budget, financial 

management, human resources management, and program decisions;

 (B) in cooperation with the agency Chief Financial Officer (or 

comparable official), develop a full and accurate accounting of 

information technology expenditures, related expenses, and results; and

44 USC 3506.
936 Paperwork Reduction Act of 1995 (P.L. 104–13)

 (C) establish goals for improving information resources 

management's contribution to program productivity, efficiency, 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 requirements of section 3511 of this 

subchapter [44 USCS § 3511]; and

 (5) in consultation with the Director and the Director of the Office of 

Personnel Management, conduct formal training programs to educate 

agency program and management officials about information resources 

management.

(c) With respect to the collection of information and the control of 

paperwork, each agency shall––

 (1) establish a process within the Office headed by the Chief 

Information Officer designated under subsection (a), that is sufficiently 

independent of program responsibility to evaluate fairly whether 

proposed collections of information should be approved under this 

subchapter [44 USCS §§ 3501 et seq.], to––

 (A) review each collection of information before submission to the 

Director for review under this subchapter [44 USCS §§ 3501 et seq.], 

including––

 (i) an evaluation of the need for the collection of information;

 (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 of information through a pilot program, if 

appropriate; and

 (vi) a plan for the efficient and effective management and use of the 

information to be collected, including necessary resources;

 (B) ensure that each information collection––

 (i) is inventoried, displays a control number and, if appropriate, an 

expiration date;

 (ii) indicates the collection is in accordance with the clearance 

requirements of section 3507 [44 USCS § 3507]; and

 (iii) informs the person receiving the collection of information 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 of information are 

voluntary, required to obtain a benefit, or mandatory; and

 (V) the fact that an agency may not conduct or sponsor, and a 

person is not required to respond to, a collection of information unless it 

displays a valid control number; and

 (C) assess the information collection burden of proposed legislation 

affecting the agency;

 (2) (A) except as provided under subparagraph (B) or section 3507(j) 

[44 USCS § 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 of information, to solicit comment 

to––
Paperwork Reduction Act of 1995 (P.L. 104–13) 937

 (i) evaluate whether the proposed collection of information is 

necessary for the proper performance 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 of information;

 (iii) enhance the quality, utility, and clarity of the information to be 

collected; and

 (iv) minimize the burden of the collection of information on those 

who are to respond, including through the use of automated collection 

techniques or other forms of information technology; and

 (B) for any proposed collection of information contained in a 

proposed rule (to be reviewed by the Director under section 3507(d) [44 

USCS § 3507(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);

 (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 

[44 USCS § 3507]––

 (A) is necessary for the proper performance of the functions of the 

agency, including that the information has practical utility;

 (B) is not unnecessarily duplicative of information otherwise 

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––

 (i) establishing differing compliance or reporting requirements or 

timetables that take into account the resources available to those who are 

to respond;

 (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 terminology 

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 and 

recordkeeping practices of those who are to respond;

 (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 (1)(B)(iii);

 (H) has been developed by an Office that has planned and allocated 

resources for the efficient and effective management and use of the 

information to be collected, including the processing of the information 

in a manner which shall enhance, where appropriate, the utility of the 

information to agencies and the public;

 (I) uses effective and efficient statistical survey methodology 

appropriate to the purpose for which the information is to 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; and

 (4) in addition to the requirements of this chapter [44 USCS §§ 3501 et 

seq.] regarding the reduction of information collection burdens for small 
938 Paperwork Reduction Act of 1995 (P.L. 104–13)

business concerns (as defined in section 3 of the Small Business Act (15 

U.S.C. 632)), make efforts to further reduce the information collection 

burden for small business concerns with fewer than 25 employees.

(d) With respect to information dissemination, each agency shall––

 (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 

information based on government public information;

 (B) in cases in which the agency provides public information 

maintained in electronic format, providing timely and equitable access to 

the underlying data (in whole or in part); and

 (C) agency dissemination of public information in an efficient, 

effective, and economical manner;

 (2) regularly solicit and consider public input on the agency's 

information dissemination activities;

 (3) provide adequate notice when initiating, substantially modifying, 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 availability 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 

of information collected or created for statistical purposes;

 (2) inform respondents fully and accurately about the sponsors, 

purposes, and uses of statistical surveys and studies;

 (3) protect respondents' privacy and ensure that disclosure policies fully 

honor pledges of confidentiality;

 (4) observe Federal standards and practices for data collection, 

analysis, documentation, sharing, and dissemination of information;

 (5) ensure the timely publication of the results of statistical surveys and 

studies, including information about the quality and limitations of the 

surveys and studies; and

 (6) make data available to statistical agencies and readily accessible to 

the public.

(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.

(g) With respect to privacy and security, each agency shall––

 (1) implement and enforce applicable policies, procedures, standards, 

and guidelines on privacy, confidentiality, security, disclosure and 

sharing of information collected or maintained by or for the agency; and

 (2) assume responsibility and accountability for compliance with and 

coordinated management of sections 552 and 552a of title 5, subchapter 

II of this chapter [44 USCS §§ 3531 et seq.], and related information 

management laws.

 (3) [Deleted]
Paperwork Reduction Act of 1995 (P.L. 104–13) 939

(h) With respect to Federal information technology, each agency shall––

 (1) implement and enforce applicable Governmentwide and agency 

information technology management policies, principles, standards, and 

guidelines;

 (2) assume responsibility and accountability 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 of information collection burdens on 

the public and improved dissemination of public information;

 (4) propose changes in legislation, regulations, and agency procedures 

to improve information technology practices, including changes that 

improve the ability of the agency to use technology to reduce burden; and

 (5) assume responsibility for maximizing the value and assessing and 

managing the risks of major information systems initiatives through a 

process that is––

 (A) integrated with budget, financial, and program management 

decisions; and

 (B) used to select, control, and evaluate the results of major 

information systems initiatives.

(i) (1) In addition to the requirements described in subsection (c), each 

agency shall, with respect to the collection of information and the control 

of paperwork, establish 1 point of contact in the agency to act as a liaison 

between the agency and small business concerns (as defined in section 3 

of the Small Business Act (15 U.S.C. 632)).

 (2) Each point of contact described under paragraph (1) shall be 

established not later than 1 year after the date of enactment of the Small 

Business Paperwork Relief Act of 2002 [enacted June 28, 2002].7

Sec. 3507. Public Information Collection Activities; Submission to 

Director; Approval and Delegation

(a) An agency shall not conduct or sponsor the collection of 

information 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 information, copies 

of pertinent statutory authority, regulations, and other related 

materials as the Director may specify; and

(D) published a notice in the Federal Register–”(i) stating that 

the agency has made such submission; and

(ii) setting forth–

(I) a title for the collection of information;

(II) a summary of the collection of information;

(III) a brief description of the need for the information 

and the proposed use of the information;

––––––––

7 Amended P.L. 104–106, Div. E, Title LI, Subtitle C, § 5125(a), 110 Stat. 684 (1996); 

P.L. 106–398, § 1, 114 Stat. 1654 (2000); P.L. 107–198, §§ 2(b), (c), 116 Stat. 729 (2002); 

P.L. 107–217, § 3(l)(6), 116 Stat. 1302 (2002); P.L. 107–296, Title X, § 1005(c)(3), 

116 Stat. 2273 (2002); P.L. 107–347, Title III, § 305(c)(3), 116 Stat. 2961 (2002).

44 USC 3507.

Federal 

Register, 

publication.
940 Paperwork Reduction Act of 1995 (P.L. 104–13)

(IV) a description of the likely respondents and 

proposed frequency of response to the collection of 

information;

(V) an estimate of the burden that shall result from 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 of 

information 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 of information.

(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 contained in a 

proposed rule, the Director shall notify the agency involved of the 

decision to approve or disapprove the proposed collection of information.

(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 

approval within the 60–day period described under paragraph (2)–

(A) the approval may be inferred;

(B) a control number shall be assigned without further delay; 

and

(C) the agency may collect the information for not more than 1 

year.

(d)(1) For any proposed collection of information 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

(B) within 60 days after the notice of proposed rulemaking 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 proposed rule;

(2) When a final rule is published in the Federal Register, the 

agency shall explain–

(A) how any collection of information contained in the final 

rule responds to the comments, if any, filed by the Director or the 

public; or

(B) the reasons such comments were rejected.

(3) If the Director has received notice and failed to comment on 

an agency rule within 60 days after the notice of proposed 

rulemaking, the Director may not disapprove any collection of 

information specifically contained in an agency rule.

(4) No provision in this section shall be construed to prevent the 

Director, in the Director’s discretion–

(A) from disapproving any collection of information which 

was not specifically required by an agency rule;

Proposed rule.

Federal 

Register, 

publication.

Federal 

Register, 

publication.

Regulations.
Paperwork Reduction Act of 1995 (P.L. 104–13) 941

(B) from disapproving any collection of information contained 

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 contained 

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 subsection 

was unreasonable; or

(D) from disapproving any collection of information contained 

in a final rule, if–

(i) the Director determines that the agency has 

substantially modified in the final rule the collection of 

information contained in the proposed rule; and

(ii) the agency has not given the Director the information 

required under paragraph (1) with respect to the modified 

collection of information, at least 60 days before the issuance 

of the final rule.

(5) This subsection shall apply only when an agency publishes a 

notice of proposed rulemaking and requests public comments.

(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 include 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 employee of the 

Office of Information and Regulatory Affairs, and an agency or 

person not employed by the Federal Government 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 

procedures established for information which has been 

specifically 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 of information 

which is not approved under this Subchapter, the disclosure of 

which could lead 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 of information 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 disapproval or 

exercise shall be valid for a period of 3 years.
942 Paperwork Reduction Act of 1995 (P.L. 104–13)

(g) The Director may not approve a collection of information 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 information, the 

agency shall–

(A) conduct the review established under section 3506(c), 

including the seeking of comment from the public on the 

continued 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 currently 

approved collection of information, submit the collection of 

information for review and approval under this section, which 

shall include an explanation of how the agency has used the 

information that it has collected.

(2) If under the provisions of this section, the Director 

disapproves a collection of information contained in an existing rule, 

or recommends or instructs the agency to make a substantive or 

material change to a collection of information contained in an 

existing rule, the Director shall–

(A) publish an explanation thereof in the Federal Register; and

(B) instruct the agency to undertake a rulemaking within a 

reasonable time limited to consideration of changes to the 

collection of information contained in the rule and thereafter to 

submit the collection of information for approval or disapproval 

under this subchapter.

(3) An agency may not make a substantive or material 

modification to a collection of information after such collection has 

been approved by the Director, unless the modification has been 

submitted to the Director for review and approval under this 

subchapter.

(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 collections 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 provisions of Chapter 5 of Title 5, United 

States Code, delegate to such official the authority to approve proposed 

collections of information in specific program areas, for specific 

purposes, or for all agency purposes.

(2) A delegation by the Director under this section shall not 

preclude the Director from reviewing individual collections of 

information if the Director determines that circumstances warrant 

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 of information, if an agency head determines that–

(A) a collection of information–

(i) is needed prior to the expiration of time periods 

established under this Subchapter; and

(ii) is essential to the mission of the agency; and

Federal 

Register, 

publication.
Paperwork Reduction Act of 1995 (P.L. 104–13) 943

(B) the agency cannot reasonably comply with the provisions 

of this Subchapter 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 reasonably 

likely to prevent or disrupt the collection of information or is 

reasonably likely to cause a statutory or court ordered deadline 

to be missed.

(2) The Director shall approve or disapprove any such 

authorization request within the time requested by the agency head 

and, if approved, shall assign the collection of information a control 

number. Any collection of information conducted under this 

subsection may be conducted without compliance with the provisions 

of this subchapter for a maximum of 180 days after the date on which 

the Director received the request to authorize such collection.8

Sec. 3508. Determination of Necessity for Information; Hearing

Before approving a proposed collection of information, the Director 

shall determine whether the collection of information by the agency is 

necessary for the proper performance of the functions of the agency, 

including whether the information shall have practical utility. Before 

making a determination the 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 

collection of information by an agency is unnecessary for any reason, the 

agency may not engage in the collection of information.

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 of information) the duties and functions of the collection 

agency so designated and of the agencies for which it is to act as agent 

(including reimbursement for costs). While the designation is in effect, 

an agency covered by the designation 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 section is 

subject to the provisions of section 3507(f) of this subchapter.9

Sec. 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, information 

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 information is released to the same 

––––––––

8 Amended by P.L. 104–13, § 2, 109 Stat. 171 (1995); P.L. 104–106, Div. E, Title LVI, 

§ 5605(d), 110 Stat. 700 (1996); P.L. 106–398, § 1 [Div. A, Title X, § 1064(b)], 

114 Stat. 1654, 1654A–275 (2000). 9 Amended by P.L. 106–398, § 1 [Div. A, Title X, § 1064(b)], 114 Stat. 1654, 1654A– 275 (2000).

44 USC 3508.

44 USC 3509.

44 USC 3510.
944 Paperwork Reduction Act of 1995 (P.L. 104–13)

extent and in the same manner as the provisions apply to the Officers and 

employees of the agency 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 of information as if the information had been collected 

directly by that agency.

Sec. 3511. Establishment and Operation of Government Information 

Locator Service

(a) In 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 Service (hereafter 

in this section referred to as the “Service”), which shall identify the 

major information systems, holdings, and dissemination 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;

(3) in cooperation with the Archivist of the United States, the 

Administrator 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 

establishment 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, including 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 USC 431 et seq.).

Sec. 3512. Public Protection

(a) Notwithstanding any other provision of law, no person shall be 

subject to any penalty for failing to comply with a collection of 

information that is subject to this subchapter if–10

(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 of information 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.

––––––––

10 Amended by P.L. 106–398, § 1 [Div. A, Title X, § 1064(b)], 114 Stat. 1654, 

1654A-275, (2000).

44 USC 3511.

Establishment.

44 USC 3512.
Paperwork Reduction Act of 1995 (P.L. 104–13) 945

Sec. 3513. Director Review of Agency Activities; Reporting; 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 

information resources management activities to ascertain the efficiency 

and effectiveness of such activities to improve agency performance and 

the accomplishment of agency missions.

(b) Each 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) to–

(1) 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 subchapter; 

and

(B) submit a report on such activities to the President of the 

Senate and the Speaker of the House of Representatives annually 

and at such other times as the Director determines necessary.

(2) The Director 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 initiatives 

to reduce collection of information burdens;

(ii) a list of all violations of this subchapter and of any 

rules, guidelines, policies, and procedures issued pursuant to 

this subchapter;11

(iii) a list of any increase in the collection of information 

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 reduction, 

and recommendations to assist those agencies to reduce 

information collection burdens in accordance with that 

section;

(B) improved the quality and utility of statistical information;

(C) improved public access to Government information; and

(D) improved program performance and the accomplishment 

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

increase the collection of information burden on persons outside the 

Federal Government.

––––––––

11 Amended by P.L. 106–398, § 1 [Div. A, Title X, § 1064(b)], 114 Stat. 1654, 

1654A-275, (2000).

44 USC 3513.

44 USC 3514.

Reports.
946 Paperwork Reduction Act of 1995 (P.L. 104–13)

Sec. 3515. Administrative Powers

Upon the request of the Director, each agency (other than an 

independent regulatory agency) shall, to the extent practicable, make its 

services, personnel, and facilities available to the Director for the 

performance of functions under this subchapter.12

Sec. 3516. Rules and Regulations

The Director shall promulgate rules, regulations, or procedures 

necessary to exercise the authority provided by this subchapter.13

Sec. 3517. Consultation with Other Agencies and the Public

(a) In developing information resources management policies, plans, 

rules, regulations, procedures, and guidelines and in reviewing 

collections of information, the Director shall provide interested agencies 

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 

subchapter,14 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 of information–

(1) respond to the request within 60 days after receiving the 

request, unless such period is extended by the Director to a specified 

date and the person making the request is given notice of such 

extension; and

(2) take appropriate remedial action, if necessary.

Sec. 3518. Effect on Existing Laws and Regulations

(a) Except as otherwise provided in this subchapter, 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 subchapter.

(b) Nothing in this subchapter shall be deemed to affect or reduce the 

authority of the Secretary of Commerce or the Director of the Office of 

Management and Budget pursuant to Reorganization Plan No. 1 of 1977 

(as amended) and Executive order, relating to telecommunications and 

information policy, procurement and management of telecommunications 

and information systems, spectrum use, and related matters.

(c) (1) Except as provided in paragraph (2), this subchapter 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 criminal 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

 (ii) an administrative action or investigation involving an agency 

against specific individuals or entities;

 (C) by compulsory process pursuant to the Antitrust Civil Process 

Act and section 13 of the Federal Trade Commission Improvements Act 

of 1980; or

 (D) during the conduct of intelligence activities as defined in section 

3.4(e) of Executive Order No. 12333, issued December 4, 1981, or 

––––––––

12 Amended by P.L. 106–398, § 1 [Div. A, Title X, § 1064(b)], 114 Stat. 1654, 

1654A-275, (2000). 13 Amended by P.L. 106–398, § 1 [Div. A, Title X, § 1064(b)], 114 Stat. 1654, 

1654A-275, (2000). 14 Amended by P.L. 106–398, § 1 [Div. A, Title X, § 1064(b)], 114 Stat. 1654, 

1654A-275, (2000).

44 USC 3515.

44 USC 3516.

44 USC 3517.

44 USC 3518.
Paperwork Reduction Act of 1995 (P.L. 104–13) 947

successor orders, or during the conduct of cryptologic activities that are 

communications security activities.

 (2) This subchapter applies to the collection of information during the 

conduct of general investigations (other than information collected in an 

antitrust investigation to the extent provided in subparagraph (C) of 

paragraph (1)) undertaken with reference to a category of individuals or 

entities such as a class of licensees or an entire industry.

(d) Nothing in this subchapter shall be interpreted as increasing or 

decreasing the authority conferred by sections 11331 and 11332 of title 

40 on the Secretary of Commerce or the Director of the Office of 

Management and Budget.

(e) Nothing in this subchapter 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 departments, agencies 

and offices, including the substantive authority of any Federal agency to 

enforce the civil rights laws.15

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, of 

the Office.

Sec. 3520. Establishment of Task Force on Information Collection 

and Dissemination16

“a) There is established a task force to study the feasibility of 

streamlining requirements with respect to small business concerns 

regarding collection of information and strengthening dissemination of 

information (in this section referred to as the `task force').

“(b)(1) The Director shall determine–

“(A) subject to the minimum requirements under paragraph 

(2), the number of representatives to be designated under each 

subparagraph of that paragraph; and

“(B) the agencies to be represented under paragraph (2)(K).

“(2) After all determinations are made under paragraph (1), the 

members of the task force shall be designated by the head of each 

applicable department or agency, and include–

“(A) 1 representative of the Director, who shall convene and 

chair the task force; 

“(B) not less than 2 representatives of the Department of 

Labor, including 1 representative of the Bureau of Labor Statistics 

and 1 representative of the Occupational Safety and Health 

Administration;

“(C) not less than 1 representative of the Environmental 

Protection Agency;

“(D) not less than 1 representative of the Department of 

Transportation;

––––––––

15 Amended by P.L. 104–106, Div. E, Title LI, Subtitle D, § 5131(e)(2), 110 Stat. 688

(1996); P.L. 105–85, Div. A, Title X, Subtitle G, § 1073(h)(5)(C), 111 Stat. 1907 (1997); 

P.L. 106–398, § 1, 114 Stat. 1654 (2000); P.L. 107–217, § 3(l)(7), 116 Stat. 1302 (2002). 16 Added by P.L. 107–198, § 3, 116 Stat. 730 (2002).

44 USC 3519.

44 USC 3520.
948 Paperwork Reduction Act of 1995 (P.L. 104–13)

“(E) not less than 1 representative of the Office of Advocacy 

of the Small Business Administration;

“(F) not less than 1 representative of the Internal Revenue 

Service;

“(G) not less than 2 representatives of the Department of 

Health and Human Services, including 1 representative of the 

Centers for Medicare and Medicaid Services;

“(H) not less than 1 representative of the Department of 

Agriculture;

“(I) not less than 1 representative of the Department of the 

Interior;

“(J) not less than 1 representative of the General Services 

Administration; and 

“(K) not less than 1 representative of each of 2 agencies not 

represented by representatives described under subparagraphs (A) 

through (J).

“(c) The task force shall–

“(1) identify ways to integrate the collection of information 

across Federal agencies and programs and examine the feasibility 

and desirability of requiring each agency to consolidate 

requirements regarding collections of information with respect to 

small business concerns within and across agencies, without 

negatively impacting the effectiveness of underlying laws and 

regulations regarding such collections of information, in order that 

each small business concern may submit all information required 

by the agency–

“(A) to 1 point of contact in the agency;

“(B) in a single format, such as a single electronic 

reporting system, with respect to the agency; and

“(C) with synchronized reporting for information 

submissions having the same frequency, such as synchronized 

quarterly, semiannual, and annual reporting dates;

“(2) examine the feasibility and benefits to small businesses of 

publishing a list by the Director of the collections of information 

applicable to small business concerns (as defined in section 3 of 

the Small Business Act (15 U.S.C. 632)), organized–

“(A) by North American Industry Classification System 

code;

“(B) by industrial sector description; or

“(C) in another manner by which small business concerns 

can more easily identify requirements with which those small 

business concerns are expected to comply;

“(3) examine the savings, including cost savings, and develop 

recommendations for implementing–

“(A) systems for electronic submissions of information to 

the Federal Government; and

“(B) interactive reporting systems, including components 

that provide immediate feedback to assure that data being 

submitted–

“(i) meet requirements of format; and

“(ii) are within the range of acceptable options for each 

data field;

“(4) make recommendations to improve the electronic 

dissemination of information collected under Federal 

requirements;
Paperwork Reduction Act of 1995 (P.L. 104–13) 949

“(5) recommend a plan for the development of an interactive 

Government wide system, available through the Internet, to allow 

each small business to–

“(A) better understand which Federal requirements 

regarding collection of information (and, when possible, 

which other Federal regulatory requirements) apply to that 

particular business; and

“(B) more easily comply with those Federal requirements; 

and

“(6) in carrying out this section, consider opportunities for the 

coordination–

“(A) of Federal and State reporting requirements; and

“(B) among the points of contact described under section 

3506(i), such as to enable agencies to provide small business 

concerns with contacts for information collection requirements 

for other agencies.

“(d) The task force shall–

“(1) by publication in the Federal Register, provide notice and an

opportunity for public comment on each report in draft form; and

“(2) make provision in each report for the inclusion of–

“(A) any additional or dissenting views of task force members; 

and

“(B) a summary of significant public comments.

“(e) Not later than 1 year after the date of enactment of the Small 

Business Paperwork Relief Act of 2002, the task force shall submit a 

report of its findings under subsection (c) (1), (2), and (3) to–

“(1) the Director;

“(2) the chairpersons and ranking minority members of–

“(A) the Committee on Governmental Affairs and the 

Committee on Small Business and Entrepreneurship of the 

Senate; and 

“(B) the Committee on Government Reform and the 

Committee on Small Business of the House of 

Representatives; and

“(3) the Small Business and Agriculture Regulatory Enforcement 

Ombudsman designated under section 30(b) of the Small Business 

Act (15 U.S.C. 657(b)).

“(f) Not later than 1 year after the date of enactment of the Small 

Business Paperwork Relief Act of 2002, the task force shall submit a 

report of its findings under subsection (c) (1), (2), and (3) to–

“(1) the Director;

“(2) the chairpersons and ranking minority members of–

“(A) the Committee on Governmental Affairs and the 

Committee on Small Business and Entrepreneurship of the 

Senate; and 

“(B) the Committee on Government Reform and the 

Committee on Small Business of the House of 

Representatives; and

“(3) the Small Business and Agriculture Regulatory Enforcement 

Ombudsman designated under section 30(b) of the Small Business 

Act (15 U.S.C. 657(b)).

 “(g) The task force shall terminate after completion of its work.

“(h) In this section, the term `small business concern' has the meaning 

given under section 3 of the Small Business Act (15 U.S.C. 632).''.

Federal 

Register, 

publication. 

Notice.

Deadline. 

Reports.

Deadline. 

Reports.

Termination 

date. 
950 Paperwork Reduction Act of 1995 (P.L. 104–13)

(b) TECHNICAL AND CONFORMING AMENDMENT.–The 

table of sections for chapter 35 of title 44, United States Code, is 

amended by striking the item relating to section 3520 and inserting 

the following:

“3520. Establishment of task force on information collection 

and dissemination.

“3521. Authorization of appropriations.''. 

* * * * 

Sec. 3521. Authorization of Appropriations17

There are authorized to be appropriated to the Office of Information 

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.

Subchapter II.

Information Security

Sec. 3531. Purposes

The purposes of this subchapter are to—

 (1) provide a comprehensive framework for ensuring the effectiveness 

of information security controls over information resources that support 

Federal operations and assets;

 (2) recognize the highly networked nature of the current Federal 

computing environment and provide effective governmentwide 

management and oversight of the related information security risks, 

including coordination of information security efforts throughout the 

civilian, national security, and law enforcement communities;

 (3) provide for development and maintenance of minimum controls 

required to protect Federal information and information systems;

 (4) provide a mechanism for improved oversight of Federal agency 

information security programs;

 (5) acknowledge that commercially developed information security 

products offer advanced, dynamic, robust, and effective information 

security solutions, reflecting market solutions for the protection of 

critical information infrastructures important to the national defense and 

economic security of the nation that are designed, built, and operated by 

the private sector; and

 (6) recognize that the selection of specific technical hardware and 

software information security solutions should be left to individual 

agencies from among commercially developed products.18

Sec. 3532. Definitions

(a) In general. Except as provided under subsection (b), the definitions 

under section 3502 shall apply to this subchapter [44 USCS §§ 3531 et 

seq.].

(b) Additional definitions. As used in this subchapter [44 USCS §§ 3531 

et seq.]––

––––––––

17 Amended by by P.L. 107–198, § 3, 116 Stat. 730 (2002). 18 Added by P.L. 107–296, Title X, § 1001(b)(1), 116 Stat. 2135, (2002). A prior § 3531

relating to information security, was replaced as part of the general revision of this 

subchapter by § 1001(b)(1) of P.L. 107–296, 116 Stat. 2135, (2002). Such section set out 

the purposes of former 44 U.S.C.S. § 3531 et seq. For similar provisions, see this section.

44 USC 3521.

44 USC 3531.

44 USC 3532.
Paperwork Reduction Act of 1995 (P.L. 104–13) 951

 (1) the term “information security” means protecting information and 

information systems from unauthorized access, use, disclosure, 

disruption, modification, or destruction in order to provide––

 (A) integrity, which means guarding against improper information 

modification or destruction, and includes ensuring information 

nonrepudiation and authenticity;

 (B) confidentiality, which means preserving authorized restrictions 

on access and disclosure, including means for protecting personal privacy 

and proprietary information;

 (C) availability, which means ensuring timely and reliable access to 

and use of information; and

 (D) authentication, which means utilizing digital credentials to assure 

the identity of users and validate their access;

 (2) the term “national security system” means any information system 

(including any telecommunications system) used or operated by an 

agency or by a contractor of an agency, or other organization on behalf of 

an agency, the function, operation, or use of which––

 (A) involves intelligence activities;

 (B) involves cryptologic activities related to national security;

 (C) involves command and control of military forces;

 (D) involves equipment that is an integral part of a weapon or 

weapons system; or

 (E) is critical to the direct fulfillment of military or intelligence 

missions provided that this definition does not apply to a system that is 

used for routine administrative and business applications (including 

payroll, finance, logistics, and personnel management applications);

 (3) the term “information technology” has the meaning given that term 

in section 11101 of title 40; and

 (4) the term “information system” means any equipment or 

interconnected system or subsystems of equipment that is used in the 

automatic acquisition, storage, manipulation, management, movement, 

control, display, switching, interchange, transmission, or reception of 

data or information, and includes––

 (A) computers and computer networks;

 (B) ancillary equipment;

 (C) software, firmware, and related procedures;

 (D) services, including support services; and

 (E) related resources.19

Sec. 3533. Authority and Functions of the Director

(a) The Director shall oversee agency information security policies and 

practices, by––

 (1) promulgating information security standards under section 11331 of 

title 40;

 (2) overseeing the implementation of policies, principles, standards, 

and guidelines on information security;

 (3) requiring agencies, consistent with the standards promulgated under 

such section 11331 and the requirements of this subchapter [44 USCS §§ 

3531 et seq.], to identify and provide information security protections 

commensurate with the risk and magnitude of the harm resulting from 

the unauthorized access, use, disclosure, disruption, modification, or 

destruction of––

––––––––

19 Added by P.L. 107–296, Title X, § 1001(b)(1), 116 Stat. 2135, (2002). A prior § 3532 

relating to information security, was replaced as part of the general revision of this 

subchapter by § 1001(b)(1) of P.L. 107–296, 116 Stat. 2135, (2002). Such section set out 

the purposes of former 44 U.S.C.S. § 3531 et seq. For similar provisions, see this section.

44 USC 3533.
952 Paperwork Reduction Act of 1995 (P.L. 104–13)

 (A) information collected or maintained by or on behalf of an agency; 

or

 (B) information systems used or operated by an agency or by a 

contractor of an agency or other organization on behalf of an agency;

 (4) coordinating the development of standards and guidelines under 

section 20 of the National Institute of Standards and Technology Act (15 

U.S.C. 278g–3) with agencies and offices operating or exercising control 

of national security systems (including the National Security Agency) to 

assure, to the maximum extent feasible, that such standards and 

guidelines are complementary with standards and guidelines developed 

for national security systems;

 (5) overseeing agency compliance with the requirements of this 

subchapter [44 USCS §§ 3531 et seq.], including through any authorized 

action under section 11303(b)(5) of title 40, to enforce accountability for 

compliance with such requirements;

 (6) reviewing at least annually, and approving or disapproving, agency 

information security programs required under section 3534(b) [44 USCS 

§ 3534(b)];

 (7) coordinating information security policies and procedures with 

related information resources management policies and procedures; and

 (8) reporting to Congress no later than March 1 of each year on agency 

compliance with the requirements of this subchapter [44 USCS §§ 3531 

et seq.], including––

 (A) a summary of the findings of evaluations required by section 

3535 [44 USCS § 3535];

 (B) significant deficiencies in agency information security practices;

 (C) planned remedial action to address such deficiencies; and

 (D) a summary of, and the views of the Director on, the report 

prepared by the National Institute of Standards and Technology under 

section 20(d)(9) of the National Institute of Standards and Technology 

Act (15 U.S.C. 278g–3).

(b) Except for the authorities described in paragraphs (4) and (7) of 

subsection (a), the authorities of the Director under this section shall not 

apply to national security systems.20

Sec. 3534. Federal Agency Responsibilities

(a) The head of each agency shall––

 (1) be responsible for––

 (A) providing information security protections commensurate with 

the risk and magnitude of the harm resulting from unauthorized access, 

use, disclosure, disruption, modification, or destruction of––

 (i) information collected or maintained by or on behalf of the 

agency; and

 (ii) information systems used or operated by an agency or by a 

contractor of an agency or other organization on behalf of an agency;

 (B) complying with the requirements of this subchapter [44 USCS §§ 

3531 et seq.] and related policies, procedures, standards, and guidelines, 

including––

 (i) information security standards promulgated by the Director 

under section 11331 of title 40; and

––––––––

20 Added by P.L. 107–296, Title X, § 1001(b)(1), 116 Stat. 2135, (2002). A prior 

§ 3533, relating to information security, was replaced as part of the general revision of this 

subchapter by § 1001(b)(1) of P.L. 107–296, 116 Stat. 2135, (2002). Such section set out 

the purposes of former 44 U.S.C.S. § 3531 et seq. For similar provisions, see this section.

44 USC 3534.
Paperwork Reduction Act of 1995 (P.L. 104–13) 953

 (ii) information security standards and guidelines for national 

security systems issued in accordance with law and as directed by the 

President; and

 (C) ensuring that information security management processes are 

integrated with agency strategic and operational planning processes;

 (2) ensure that senior agency officials provide information security for 

the information and information systems that support the operations and 

assets under their control, including through––

 (A) assessing the risk and magnitude of the harm that could result 

from the unauthorized access, use, disclosure, disruption, modification, 

or destruction of such information or information systems;

 (B) determining the levels of information security appropriate to 

protect such information and information systems in accordance with 

standards promulgated under section 11331 of title 40 for information 

security classifications and related requirements;

 (C) implementing policies and procedures to cost–effectively reduce 

risks to an acceptable level; and

 (D) periodically testing and evaluating information security controls 

and techniques to ensure that they are effectively implemented;

 (3) delegate to the agency Chief Information Officer established under 

section 3506 [44 USCS § 3506] (or comparable official in an agency not 

covered by such section) the authority to ensure compliance with the 

requirements imposed on the agency under this subchapter [44 USCS §§ 

3531 et seq.], including––

 (A) designating a senior agency information security Officer who 

shall––

 (i) carry out the Chief Information Officer's responsibilities under 

this section;

 (ii) possess professional qualifications, including training and

experience, required to administer the functions described under this 

section;

 (iii) have information security duties as that official's primary duty; 

and

 (iv) head an Office with the mission and resources to assist in 

ensuring agency compliance with this section;

 (B) developing and maintaining an agencywide information security 

program as required by subsection (b);

 (C) developing and maintaining information security policies, 

procedures, and control techniques to address all applicable 

requirements, including those issued under section 3533 of this title [44 

USCS § 3533], and section 11331 of title 40;

 (D) training and overseeing personnel with significant responsibilities 

for information security with respect to such responsibilities; and

 (E) assisting senior agency officials concerning their responsibilities 

under paragraph (2);

 (4) ensure that the agency has trained personnel sufficient to assist the 

agency in complying with the requirements of this subchapter [44 USCS 

§§ 3531 et seq.] and related policies, procedures, standards, and 

guidelines; and

 (5) ensure that the agency Chief Information Officer, in coordination 

with other senior agency officials, reports annually to the agency head on 

the effectiveness of the agency information security program, including 

progress of remedial actions.

(b) Each agency shall develop, document, and implement an agencywide 

information security program, approved by the Director under section 
954 Paperwork Reduction Act of 1995 (P.L. 104–13)

3533(a)(5) [44 USCS § 3533(a)(5)], to provide information security for 

the information and information systems that support the operations and 

assets of the agency, including those provided or managed by another 

agency, contractor, or other source, that includes––

 (1) periodic assessments of the risk and magnitude of the harm that 

could result from the unauthorized access, use, disclosure, disruption, 

modification, or destruction of information and information systems that 

support the operations and assets of the agency;

 (2) policies and procedures that––

 (A) are based on the risk assessments required by paragraph (1);

 (B) cost–effectively reduce information security risks to an 

acceptable level;

 (C) ensure that information security is addressed throughout the life

cycle of each agency information system; and

 (D) ensure compliance with––

 (i) the requirements of this subchapter [44 USCS §§ 3531 et seq.];

 (ii) policies and procedures as may be prescribed by the Director, 

and information security standards promulgated under section 11331 of 

title 40;

 (iii) minimally acceptable system configuration requirements, as 

determined by the agency; and

 (iv) any other applicable requirements, including standards and 

guidelines for national security systems issued in accordance with law 

and as directed by the President;

 (3) subordinate plans for providing adequate information security for 

networks, facilities, and systems or groups of information systems, as 

appropriate;

 (4) security awareness training to inform personnel, including 

contractors and other users of information systems that support the 

operations and assets of the agency, of––

 (A) information security risks associated with their activities; and

 (B) their responsibilities in complying with agency policies and 

procedures designed to reduce these risks;

 (5) periodic testing and evaluation of the effectiveness of information 

security policies, procedures, and practices, to be performed with a 

frequency depending on risk, but no less than annually, of which such 

testing––

 (A) shall include testing of management, operational, and technical 

controls of every information system identified in the inventory required 

under section 3505(c) [44 USCS § 3505(c)]; and

 (B) may include testing relied on in a evaluation under section 3535 

[44 USCS § 3535];

 (6) a process for planning, implementing, evaluating, and documenting 

remedial action to address any deficiencies in the information security 

policies, procedures, and practices of the agency;

 (7) procedures for detecting, reporting, and responding to security 

incidents, including––

 (A) mitigating risks associated with such incidents before substantial 

damage is done; and

 (B) notifying and consulting with, as appropriate––

 (i) law enforcement agencies and relevant offices of Inspector 

General;

 (ii) an Office designated by the President for any incident involving 

a national security system; and
Paperwork Reduction Act of 1995 (P.L. 104–13) 955

 (iii) any other agency or Office, in accordance with law or as 

directed by the President; and

 (8) plans and procedures to ensure continuity of operations for 

information systems that support the operations and assets of the agency.

(c) Each agency shall––

 (1) report annually to the Director, the Committees on Government 

Reform and Science of the House of Representatives, the Committees on 

Governmental Affairs and Commerce, Science, and Transportation of the 

Senate, the appropriate authorization and appropriations committees of 

Congress, and the Comptroller General on the adequacy and 

effectiveness of information security policies, procedures, and practices,

and compliance with the requirements of this subchapter [44 USCS §§ 

3531 et seq.], including compliance with each requirement of subsection 

(b);

 (2) address the adequacy and effectiveness of information security 

policies, procedures, and practices in plans and reports relating to––

 (A) annual agency budgets;

 (B) information resources management under subchapter 1 of this 

chapter [44 USCS §§ 3501 et seq.];

 (C) information technology management under subtitle III of title 40 

[40 USCS §§ 11101 et seq.];

 (D) program performance under sections 1105 and 1115 through 

1119 of title 31, and sections 2801 and 2805 of title 39;

 (E) financial management under chapter 9 of title 31 [31 USCS §§ 

901 et seq.], and the Chief Financial Officers Act of 1990 (31 U.S.C. 501 

note; Public Law 101–576) (and the amendments made by that Act);

 (F) financial management systems under the Federal Financial 

Management Improvement Act (31 U.S.C. 3512 note); and

 (G) internal accounting and administrative controls under section 

3512 of title 31, United States Code, (known as the “Federal Managers 

Financial Integrity Act”); and

 (3) report any significant deficiency in a policy, procedure, or practice 

identified under paragraph (1) or (2)––

 (A) as a material weakness in reporting under section 3512 of title 31; 

and

 (B) if relating to financial management systems, as an instance of a 

lack of substantial compliance under the Federal Financial Management 

Improvement Act (31 U.S.C. 3512 note).

(d) (1) In addition to the requirements of subsection (c), each agency, in 

consultation with the Director, shall include as part of the performance 

plan required under section 1115 of title 31 a description of––

 (A) the time periods; and

 (B) the resources, including budget, staffing, and training,

 that are necessary to implement the program required under subsection 

(b).

 (2) The description under paragraph (1) shall be based on the risk 

assessments required under subsection (b)(2)(1).

(e) Each agency shall provide the public with timely notice and 

opportunities for comment on proposed information security policies and 

procedures to the extent that such policies and procedures affect 

communication with the public.21

––––––––

21 Added by P.L. 107–296, Title X, § 1001(b)(1), 116 Stat. 2135, (2002). A prior § 3534 

relating to information security, was replaced as part of the general revision of this 

subchapter by § 1001(b)(1) of P.L. 107–296, 116 Stat. 2135, (2002). Such section set out 

the purposes of former 44 U.S.C.S. § 3531 et seq. For similar provisions, see this section.
956 Paperwork Reduction Act of 1995 (P.L. 104–13)

Sec. 3535. Annual Independent Evaluation

(a) (1) Each year each agency shall have performed an independent 

evaluation of the information security program and practices of that 

agency to determine the effectiveness of such program and practices.

 (2) Each evaluation by an agency under this section shall include––

 (A) testing of the effectiveness of information security policies, 

procedures, and practices of a representative subset of the agency's 

information systems;

 (B) an assessment (made on the basis of the results of the testing) of 

compliance with––

 (i) the requirements of this subchapter [44 USCS §§ 3531 et seq.]; 

and

 (ii) related information security policies, procedures, standards, and 

guidelines; and

 (C) separate presentations, as appropriate, regarding information 

security relating to national security systems.

(b) Subject to subsection (c)––

 (1) for each agency with an Inspector General appointed under the 

Inspector General Act of 1978 [5 USCS Appx (IGA)] or any other law, 

the annual evaluation required by this section shall be performed by the 

Inspector General or by an independent external auditor, as determined 

by the Inspector General of the agency; and

 (2) for each agency to which paragraph (1) does not apply, the head of 

the agency shall engage an independent external auditor to perform the 

evaluation.

(c) For each agency operating or exercising control of a national security 

system, that portion of the evaluation required by this section directly 

relating to a national security system shall be performed––

 (1) only by an entity designated by the agency head; and

 (2) in such a manner as to ensure appropriate protection for information 

associated with any information security vulnerability in such system 

commensurate with the risk and in accordance with all applicable laws.

(d) The evaluation required by this section––

 (1) shall be performed in accordance with generally accepted 

government auditing standards; and

 (2) may be based in whole or in part on an audit, evaluation, or report 

relating to programs or practices of the applicable agency.

(e) Each year, not later than such date established by the Director, the 

head of each agency shall submit to the Director the results of the 

evaluation required under this section.

(f) Agencies and evaluators shall take appropriate steps to ensure the 

protection of information which, if disclosed, may adversely affect 

information security. Such protections shall be commensurate with the 

risk and comply with all applicable laws and regulations.

(g) (1) The Director shall summarize the results of the evaluations 

conducted under this section in the report to Congress required under 

section 3533(a)(8).

 (2) The Director's report to Congress under this subsection shall 

summarize information regarding information security relating to 

national security systems in such a manner as to ensure appropriate 

protection for information associated with any information security 

vulnerability in such system commensurate with the risk and in 

accordance with all applicable laws.

 (3) Evaluations and any other descriptions of information systems 

under the authority and control of the Director of Central Intelligence or 

44 USC 3535.
Paperwork Reduction Act of 1995 (P.L. 104–13) 957

of National Foreign Intelligence Programs systems under the authority 

and control of the Secretary of Defense shall be made available to 

Congress only through the appropriate oversight committees of 

Congress, in accordance with applicable laws.

(h) The Comptroller General shall periodically evaluate and report to 

Congress on––

 (1) the adequacy and effectiveness of agency information security 

policies and practices; and

 (2) implementation of the requirements of this subchapter [44 USCS §§ 

3531 et seq.]22

Sec. 3536. National Security Systems.

The head of each agency operating or exercising control of a national 

security system shall be responsible for ensuring that the agency––

 (1) provides information security protections commensurate with the 

risk and magnitude of the harm resulting from the unauthorized access, 

use, disclosure, disruption, modification, or destruction of the 

information contained in such system;

 (2) implements information security policies and practices as required 

by standards and guidelines for national security systems, issued in 

accordance with law and as directed by the President; and

 (3) complies with the requirements of this subchapter.23

Sec. 3537. Authorization of Appropriations

There are authorized to be appropriated to carry out the provisions of 

this subchapter such sums as may be necessary for each of fiscal years 

2003 through 2007.24

Sec. 3538. Effect on Existing Law

Nothing in this subchapter, section 11331 of title 40, or section 20 of 

the National Standards and Technology Act may be construed as 

affecting the authority of the President, the Office of Management and 

Budget or the Director thereof, the National Institute of Standards and 

Technology, or the head of any agency, with respect to the authorized use 

or disclosure of information, including with regard to the protection of 

personal privacy under section 552a of title 5, the disclosure of 

information under section 552 of title 5, the management and disposition 

of records under chapters 29, 31, or 33 of title 44, the management of 

information resources under subchapter I of chapter 35 of this title, or the 

disclosure of information to Congress or the Comptroller General of the 

United States.25

––––––––

22 Added by P.L. 107–296, Title X, § 1001(b)(1), 116 Stat. 2135 (2002); P.L. 108–177, Title III, Subtitle E, § 377(e), 117 Stat. 2631 (2003). A prior § 3535 relating to information 

security, was replaced as part of the general revision of this subchapter by § 1001(b)(1) of 

P.L. 107–296 (2002). Such section set out the purposes of former 44 U.S.C. § 3531 et seq. .For similar provisions, see this section.

23 Added by P.L. 107–296, Title X, § 1001(b)(1), 116 Stat. 2266, (2002). A prior § 3536 

relating to information security, was replaced as part of the general revision of this 

subchapter by § 1001(b)(1) of P.L. 107–296, 116 Stat. 2135, (2002). Such section provided 

for the expiration of former 44 U.S.C. § 3531 et seq. on May 31, 2003. This section is not 

to apply while Subchapter III of this chapter (44 U.S.C. § 3541 et seq.) is in effect. See 

44 U.S.C. § 3549. 24 Added by P.L. 107–296, Title X, § 1001(b)(1), 116 Stat. 2267, (2002). This section is 

not to apply while Subchapter III of this chapter (44 U.S.C. § 3541 et seq.) is in effect. See 

44 U.S.C. § 3549. 25 Added by P.L. 107–296, Title X, § 1001(b)(1), 116 Stat. 2267, (2002). This section is 

not to apply while Subchapter III of this chapter (44 U.S.C. § 3541 et seq.) is in effect. See 

44 U.S.C. § 3549.

44 USC 3536.

44 USC 3537.

44 USC 3538.
958 Government Paperwork Elimination Act (P.L. 105–277)

C. GOVERNMENT PAPERWORK ELIMINATION ACT

Public Law 105–277 112 Stat. 2681–749

Division C–Title XVII

October 21, 1998

Sec. 1701. Short Title.

Government Paperwork Elimination Act, 44 USC 3504 note. This 

Title may be cited as the “Government Paperwork Elimination Act of 

1996.”

Sec. 1702. Authority of OMB to Provide for Acquisition and Use of

Alternative Information Technologies by Executive Agencies

Section 3504(a)(1)(B)(vi) of Title 44, United States Code, is amended 

to read as follows:

“(vi) the acquisition and use of information technology, 

including alternative information technologies that provide 

for electronic submission, maintenance, or disclosure of 

information as a substitute for paper and for the use and 

acceptance of electronic signatures.”.

Sec. 1703. Procedures for Use and Acceptance of Electronic 

Signatures by Executive Agencies

(a) IN GENERAL.–In order to fulfill the responsibility to administer 

the functions assigned under Chapter 35 of Title 44, United States Code, 

the provisions of the Clinger–Cohen Act of 1996 (divisions D and E of 

Public Law 104–106) and the amendments made by that Act, and the 

provisions of this Title, the Director of the Office of Management and 

Budget shall, in consultation with the National Telecommunications and 

Information Administration and not later than 18 months after the date of 

enactment of this Act, develop procedures for the use and acceptance of 

electronic signatures by Executive agencies.

(b) REQUIREMENTS FOR PROCEDURES.–

(1) The procedures developed under subsection (a)–

(A) shall be compatible with standards and technology for 

electronic signatures that are generally used in commerce and 

industry and by State governments;

(B) may not inappropriately favor one industry or 

technology;

(C) shall ensure that electronic signatures are as reliable as 

is appropriate for the purpose in question and keep intact the 

information submitted;

(D) shall provide for the electronic acknowledgment of 

electronic forms that are successfully submitted; and

(E) shall, to the extent feasible and appropriate, require an 

Executive agency that anticipates receipt by electronic means 

of 50,000 or more submittals of a particular form to take all 

steps necessary to ensure that multiple methods of electronic 

signatures are available for the submittal of such form.

(2) The Director shall ensure the compatibility of the procedures 

under paragraph (1)(A) in consultation with appropriate private 

bodies and State government entities that set standards for the use and 

acceptance of electronic signatures.

44 USC 3504 

note.

Government 

Paperwork 

Elimination 

Act. 
Government Paperwork Elimination Act (P.L. 105–277) 959

Sec. 1704. Deadline for Implementation by Executive Agencies of

Procedures for Use and Acceptance of Electronic Signatures

In order to fulfill the responsibility to administer the functions 

assigned under Chapter 35 of Title 44, United States Code, the provisions 

of the Clinger–Cohen Act of 1996 (divisions D and E of Public Law 

104–106) and the amendments made by that Act, and the provisions of 

this Title, the Director of the Office of Management and Budget shall 

ensure that, commencing not later than five years after the date of 

enactment of this Act, Executive agencies provide–

(1) for the option of the electronic maintenance, submission, or 

disclosure of information, when practicable as a substitute for paper; 

and

(2) for the use and acceptance of electronic signatures, when 

practicable.

Sec. 1705. Electronic Storage and Filing of Employment Forms

In order to fulfill the responsibility to administer the functions 

assigned under Chapter 35 of Title 44, United States Code, the provisions 

of the Clinger–Cohen Act of 1996 (divisions D and E of Public Law

104–106) and the amendments made by that Act, and the provisions of 

this Title, the Director of the Office of Management and Budget shall, 

not later than 18 months after the date of enactment of this Act, develop 

procedures to permit private employers to store and file electronically 

with Executive agencies forms containing information pertaining to the 

employees of such employers.

Sec. 1706. Study on Use of Electronic Signatures

(a) ONGOING STUDY REQUIRED.–In order to fulfill the 

responsibility to administer the functions assigned under Chapter 35 of 

Title 44, United States Code, the provisions of the Clinger–Cohen Act of 

1996 (divisions D and E of Public Law 104–106) and the amendments 

made by that Act, and the provisions of this Title, the Director of the 

Office of Management and Budget shall, in cooperation with the National 

Telecommunications and Information Administration, conduct an 

ongoing study of the use of electronic signatures under this Title on–

(1) paperwork reduction and electronic commerce;

(2) individual privacy; and

(3) the security and authenticity of transactions.

(b) REPORTS.–The Director shall submit to Congress on a periodic 

basis a report describing the results of the study carried out under 

subsection (a).

Sec. 1707. Enforceability and Legal Effect of Electronic Records

Electronic records submitted or maintained in accordance with 

procedures developed under this Title, or electronic signatures or other 

forms of electronic authentication used in accordance with such 

procedures, shall not be denied legal effect, validity, or enforceability 

because such records are in electronic form.

Sec. 1708. Disclosure of Information

Except as provided by law, information collected in the provision of 

electronic signature services for communications with an executive 

agency, as provided by this Title, shall only be used or disclosed by 

persons who obtain, collect, or maintain such information as a business 

or government practice, for the purpose of facilitating such 

communications, or with the prior affirmative consent of the person 

about whom the information pertains.
960 Government Paperwork Elimination Act (P.L. 105–277)

Sec. 1709. Application with Internal Revenue Laws

No provision of this Title shall apply to the Department of the 

Treasury or the Internal Revenue Service to the extent that such 

provision–

(1) involves the administration of the internal revenue laws; or

(2) conflicts with any provision of the Internal Revenue Service 

Restructuring and Reform Act of 1998 or the Internal Revenue Code 

of 1986.

Sec. 1710. Definitions

For purposes of this Title:

(1) ELECTRONIC SIGNATURE.–The term “electronic signature”

means a method of signing an electronic message that–

(A) identifies and authenticates a particular person as the source 

of the electronic message.

(2) EXECUTIVE AGENCY.–The term “Executive agency” has the 

meaning given that term in section 105 of Title 5, United States Code.
Consolidated Apps. Act, 2001 (Data Quality) (P.L. 106–554) 961

D. CONSOLIDATED APPROPRIATIONS ACT, 2001 (DATA 

QUALITY)

Public Law 106–554 114 Stat. 2763A–153

December 21, 2000

Appendix C

(Treasury and General Government Appropriations Act, 2001)

Sec. 515

(a) IN GENERAL.–The Director of the Office of Management and 

Budget shall, by not later than September 30, 2001, and with public and 

Federal agency involvement, issue guidelines under sections 3504(d)(1) 

and 3516 of Title 44, United States Code, that provide policy and 

procedural guidance to Federal agencies for ensuring and maximizing the 

quality, objectivity, utility, and integrity of information (including 

statistical information) disseminated by Federal agencies in fulfillment of 

the purposes and provisions of Chapter 35 of Title 44, United States 

Code, commonly referred to as the Paperwork Reduction Act.

(b) CONTENT OF GUIDELINES.–The guidelines under subsection (a) 

shall–

(1) apply to the sharing by Federal agencies of, and access to, 

information disseminated by Federal agencies; and

(2) require that each Federal agency to which the guidelines 

apply–

(A) issue guidelines ensuring and maximizing the quality, 

objectivity, utility, and integrity of information (including 

statistical information) disseminated by the agency, by not 

later than 1 year after the date of issuance of the guidelines 

under subsection (a);

(B) establish administrative mechanisms allowing affected 

persons to seek and obtain correction of information 

maintained and disseminated by the agency that does not 

comply with the guidelines issued under subsection (a); and

(C) report periodically to the Director–

(i) the number and nature of complaints received by the 

agency regarding the accuracy of information disseminated 

by the agency; and

(ii) how such complaints were handled by the agency.

44 USC 3516 

note.
962 Electronic Records and Signatures in Commerce (P.L. 106–229)

E. ELECTRONIC RECORDS AND SIGNATURES

IN COMMERCE

Public Law 106–229 114 Stat. 464

June 30, 2000

An Act

To facilitate the use of electronic records and signatures in interstate or 

foreign commerce

Sec. 1. Short Title

This Act may be cited as the “Electronic Signatures in Global and 

National Commerce Act”.

Title I–Electronic Records and Signatures In Commerce

Sec. 101. General Rule of Validity

(a) IN GENERAL.–Notwithstanding any statute, regulation, or other 

rule of law (other than this Title and Title II), with respect to any 

transaction in or affecting interstate or foreign commerce–

(1) a signature, contract, or other record relating to such 

transaction may not be denied legal effect, validity, or enforceability 

solely because it is in electronic form; and

(2) a contract relating to such transaction may not be denied legal 

effect, validity, or enforceability solely because an electronic 

signature or electronic record was used in its formation.

(b) PRESERVATION OF RIGHTS AND OBLIGATIONS.–This 

Title does not–

(1) limit, alter, or otherwise affect any requirement imposed by a 

statute, regulation, or rule of law relating to the rights and obligations 

of persons under such statute, regulation, or rule of law other than a 

requirement that contracts or other records be written, signed, or in 

nonelectronic form; or 

(2) require any person to agree to use or accept electronic records 

or electronic signatures, other than a governmental agency with 

respect to a record other than a contract to which it is a party.

(c) CONSUMER DISCLOSURES.–

(1) CONSENT TO ELECTRONIC RECORDS.–Notwithstanding 

subsection (a), if a statute, regulation, or other rule of law requires 

that information relating to a transaction or transactions in or 

affecting interstate or foreign commerce be provided or made 

available to a consumer in writing, the use of an electronic record to 

provide or make available (whichever is required) such information 

satisfies the requirement that such information be in writing if–

(A) the consumer has affirmatively consented to such use 

and has not withdrawn such consent;

(B) the consumer, prior to consenting, is provided with a 

clear and conspicuous statement–

(i) informing the consumer of (I) any right or option 

of the consumer to have the record provided or made available 

on paper or in nonelectronic form, and (II) the right of the 

consumer to withdraw the consent to have the record provided 

or made available in an electronic form and of any conditions, 

15 USC 7001.
Electronic Records and Signatures in Commerce (P.L. 106–229) 963

consequences (which may include termination of the parties' 

relationship), or fees in the event of such withdrawal;

(ii) informing the consumer of whether the consent 

applies (I) only to the particular transaction which gave rise to 

the obligation to provide the record, or (II) to identified 

categories of records that may be provided or made available 

during the course of the parties' relationship;

(iii) describing the procedures the consumer must 

use to withdraw consent as provided in clause (i) and to update 

information needed to contact the consumer electronically; 

and

(iv) informing the consumer (I) how, after the 

consent, the consumer may, upon request, obtain a paper copy 

of an electronic record, and (II) whether any fee will be 

charged for such copy;

(C) the consumer–

(i) prior to consenting, is provided with a statement 

of the hardware and software requirements for access to and 

retention of the electronic records; and

(ii) consents electronically, or confirms his or her 

consent electronically, in a manner that reasonably 

demonstrates that the consumer can access information in the 

electronic form that will be used to provide the information 

that is the subject of the consent; and

(D) after the consent of a consumer in accordance with 

subparagraph (A), if a change in the hardware or software 

requirements needed to access or retain electronic records creates 

a material risk that the consumer will not be able to access or 

retain a subsequent electronic record that was the subject of the 

consent, the person providing the electronic record–

(i) provides the consumer with a statement of (I) the 

revised hardware and software requirements for access to and 

retention of the electronic records, and (II) the right to 

withdraw consent without the imposition of any fees for such 

withdrawal and without the imposition of any condition or 

consequence that was not disclosed under subparagraph (B)(i); 

and (ii) again complies with subparagraph (C).

(2) OTHER RIGHTS.–

(A) PRESERVATION OF CONSUMER 

PROTECTIONS–

Nothing in this Title affects the content or timing of any 

disclosure or other record required to be provided or made 

available to any consumer under any statute, regulation, or other 

rule of law.

(B) VERIFICATION OR ACKNOWLEDGMENT–If a 

law that was enacted prior to this Act expressly requires a record 

to be provided or made available by a specified method that 

requires verification or acknowledgment of receipt, the record 

may be provided or made available electronically only if the 

method used provides verification or acknowledgment of receipt 

(whichever is required).

(3) EFFECT OF FAILURE TO OBTAIN ELECTRONIC 

CONSENT OR CONFIRMATION OF CONSENT–The legal 

effectiveness, validity, or enforceability of any contract executed by a 

consumer shall not be denied solely because of the failure to obtain 
964 Electronic Records and Signatures in Commerce (P.L. 106–229)

electronic consent or confirmation of consent by that consumer in 

accordance with paragraph (1)(C)(ii).

(4) PROSPECTIVE EFFECT.–Withdrawal of consent by a 

consumer shall not affect the legal effectiveness, validity, or 

enforceability of electronic records provided or made available to that 

consumer in accordance with paragraph (1) prior to implementation 

of the consumer's withdrawal of consent. A consumer's withdrawal of 

consent shall be effective within a reasonable period of time after 

receipt of the withdrawal by the provider of the record. Failure to 

comply with paragraph (1)(D) may, at the election of the consumer, 

be treated as a withdrawal of consent for purposes of this paragraph.

(5) PRIOR CONSENT.–This subsection does not apply to any 

records that are provided or made available to a consumer who has 

consented prior to the effective date of this Title to receive such 

records in electronic form as permitted by any statute, regulation, or 

other rule of law.

(6) ORAL COMMUNICATIONS.–An oral communication or a 

recording of an oral communication shall not qualify as an electronic 

record for purposes of this subsection except as otherwise provided 

under applicable law.

(d) RETENTION OF CONTRACTS AND RECORDS.–

(1) ACCURACY AND ACCESSIBILITY.–If a statute, 

regulation, or other rule of law requires that a contract or other record 

relating to a transaction in or affecting interstate or foreign commerce 

be retained, that requirement is met by retaining an electronic record 

of the information in the contract or other record that–

(A) accurately reflects the information set forth in the 

contract or other record; and

(B) remains accessible to all persons who are entitled to 

access by statute, regulation, or rule of law, for the period 

required by such statute, regulation, or rule of law, in a form that 

is capable of being accurately reproduced for later reference, 

whether by transmission, printing, or otherwise.

(2) EXCEPTION.–A requirement to retain a contract or other 

record in accordance with paragraph (1) does not apply to any 

information whose sole purpose is to enable the contract or other 

record to be sent, communicated, or received.

(3) ORIGINALS.–If a statute, regulation, or other rule of law 

requires a contract or other record relating to a transaction in or 

affecting interstate or foreign commerce to be provided, available, or 

retained in its original form, or provides consequences if the contract 

or other record is not provided, available, or retained in its original 

form, that statute, regulation, or rule of law is satisfied by an 

electronic record that complies with paragraph (1).

(4) CHECKS.–If a statute, regulation, or other rule of law requires 

the retention of a check, that requirement is satisfied by retention of 

an electronic record of the information on the front and back of the 

check in accordance with paragraph (1).

(e) ACCURACY AND ABILITY TO RETAIN CONTRACTS AND 

OTHER RECORDS.–Notwithstanding subsection (a), if a statute, 

regulation, or other rule of law requires that a contract or other record 

relating to a transaction in or affecting interstate or foreign commerce be 

in writing, the legal effect, validity, or enforceability of an electronic 

record of such contract or other record may be denied if such electronic 

record is not in a form that is capable of being retained and accurately 
Electronic Records and Signatures in Commerce (P.L. 106–229) 965

reproduced for later reference by all parties or persons who are entitled to 

retain the contract or other record.

(f) PROXIMITY.–Nothing in this Title affects the proximity required 

by any statute, regulation, or other rule of law with respect to any 

warning, notice, disclosure, or other record required to be posted, 

displayed, or publicly affixed.

(g) NOTARIZATION AND ACKNOWLEDGMENT.–If a statute, 

regulation, or other rule of law requires a signature or record relating to a 

transaction in or affecting interstate or foreign commerce to be notarized, 

acknowledged, verified, or made under oath, that requirement is satisfied 

if the electronic signature of the person authorized to perform those acts, 

together with all other information required to be included by other 

applicable statute, regulation, or rule of law, is attached to or logically 

associated with the signature or record.

(h) ELECTRONIC AGENTS.–A contract or other record relating to a 

transaction in or affecting interstate or foreign commerce may not be 

denied legal effect, validity, or enforceability solely because its 

formation, creation, or delivery involved the action of one or more 

electronic agents so long as the action of any such electronic agent is 

legally attributable to the person to be bound.

(i) INSURANCE.–It is the specific intent of the Congress that this 

Title and Title II apply to the business of insurance.

(j) INSURANCE AGENTS AND BROKERS.–An insurance agent or 

broker acting under the direction of a party that enters into a contract by 

means of an electronic record or electronic signature may not be held 

liable for any deficiency in the electronic procedures agreed to by the 

parties under that contract if–

(1) the agent or broker has not engaged in negligent, reckless, or 

intentional tortuous conduct;

(2) the agent or broker was not involved in the development or 

establishment of such electronic procedures; and

(3) the agent or broker did not deviate from such procedures.

Sec. 102. Exemption to Preemption

(a) IN GENERAL.–A State statute, regulation, or other rule of law 

may modify, limit, or supersede the provisions of section 101 with 

respect to State law only if such statute, regulation, or rule of law–

(1) constitutes an enactment or adoption of the Uniform 

Electronic Transactions Act as approved and recommended for 

enactment in all the States by the National Conference of 

Commissioners on Uniform State Laws in 1999, except that any 

exception to the scope of such Act enacted by a State under section 

3(b)(4) of such Act shall be preempted to the extent such exception is 

inconsistent with this Title or Title II, or would not be permitted 

under paragraph (2)(A)(ii) of this subsection; or

(2)(A) specifies the alternative procedures or requirements for the 

use or acceptance (or both) of electronic records or electronic 

signatures to establish the legal effect, validity, or enforceability of 

contracts or other records, if–

(i) such alternative procedures or requirements are 

consistent with this Title and Title II; and

(ii) such alternative procedures or requirements do not 

require, or accord greater legal status or effect to, the 

implementation or application of a specific technology or 

technical specification for performing the functions of creating, 

Applicability.

15 USC 7002.
966 Electronic Records and Signatures in Commerce (P.L. 106–229)

storing, generating, receiving, communicating, or authenticating 

electronic records or electronic signatures; and

(B) if enacted or adopted after the date of the enactment of this 

Act, makes specific reference to this Act.

(b) EXCEPTIONS FOR ACTIONS BY STATES AS MARKET 

PARTICIPANTS.–Subsection (a)(2)(A)(ii) shall not apply to the statutes, 

regulations, or other rules of law governing procurement by any State, or 

any agency or instrumentality thereof.

(c) PREVENTION OF CIRCUMVENTION.–Subsection (a) does not 

permit a State to circumvent this Title or Title II through the imposition 

of nonelectronic delivery methods under section 8(b)(2) of the Uniform 

Electronic Transactions Act.

Sec. 103. Specific Exceptions

(a) EXCEPTED REQUIREMENTS.–The provisions of section 101 

shall not apply to a contract or other record to the extent it is governed 

by–

(1) a statute, regulation, or other rule of law governing the 

creation and execution of wills, codicils, or testamentary trusts;

(2) a State statute, regulation, or other rule of law governing 

adoption, divorce, or other matters of family law; or

(3) the Uniform Commercial Code, as in effect in any State, other 

than sections 1–107 and 1–206 and Articles 2 and 2A.

(b) ADDITIONAL EXCEPTIONS.–The provisions of section 101 

shall not apply to–

(1) court orders or notices, or official court documents (including 

briefs, pleadings, and other writings) required to be executed in 

connection with court proceedings;

(2) any notice of–

(A) the cancellation or termination of utility services 

(including water, heat, and power);

(B) default, acceleration, repossession, foreclosure, or 

eviction, or the right to cure, under a credit agreement secured by, 

or a rental agreement for, a primary residence of an individual;

(C) the cancellation or termination of health insurance or 

benefits or life insurance benefits (excluding annuities); or

(D) recall of a product, or material failure of a product, that 

risks endangering health or safety; or

(3) any document required to accompany any transportation or 

handling of hazardous materials, pesticides, or other toxic or 

dangerous materials.

(c) REVIEW OF EXCEPTIONS.–

(1) EVALUATION REQUIRED.–The Secretary of Commerce 

acting through the Assistant Secretary for Communications and 

Information, shall review the operation of the exceptions in subsections 

(a) and (b) to evaluate, over a period of 3 years, whether such exceptions 

continue to be necessary for the protection of consumers. 

Secretary shall submit a report to the Congress on the results of such 

evaluation.

(2) DETERMINATIONS.–If a Federal regulatory agency, with 

respect to matter within its jurisdiction, determines after notice and an 

opportunity for public comment, and publishes a finding, that one or 

more such exceptions are no longer necessary for the protection of 

consumers and eliminating such exceptions will not increase the 

material risk of harm to consumers, such agency may extend the 

application of section 101 to the exceptions identified in such finding.

15 USC 7003.

Deadline. 

Reports.
Electronic Records and Signatures in Commerce (P.L. 106–229) 967

Sec. 104. Applicability to Federal and State

(a) FILING AND ACCESS REQUIREMENTS.–Subject to 

subsection (c)(2), nothing in this Title limits or supersedes any 

requirement by a Federal regulatory agency, self–regulatory organization, 

or State regulatory agency that records be filed with such agency or 

organization in accordance with specified standards or formats.

(b) PRESERVATION OF EXISTING RULEMAKING 

AUTHORITY.–

(1) Use of authority to interpret.–Subject to paragraph (2) and 

subsection (c), a Federal regulatory agency or State regulatory agency 

that is responsible for rulemaking under any other statute may 

interpret section 101 with respect to such statute through–

(A) the issuance of regulations pursuant to a statute; or

(B) to the extent such agency is authorized by statute to 

issue orders or guidance, the issuance of orders or guidance of 

general applicability that are publicly available and published (in 

the Federal Register in the case of an order or guidance issued by 

a Federal regulatory agency).

This paragraph does not grant any Federal regulatory agency or State 

regulatory agency authority to issue regulations, orders, or guidance 

pursuant to any statute that does not authorize such issuance.

(2) Limitations on interpretation authority.–Notwithstanding 

paragraph (1), a Federal regulatory agency shall not adopt any 

regulation, order, or guidance described in paragraph (1), and a State 

regulatory agency is preempted by section 101 from adopting any 

regulation, order, or guidance described in paragraph (1), unless–

(A) such regulation, order, or guidance is consistent with 

section 101;

(B) such regulation, order, or guidance does not add to the 

requirements of such section; and

(C) such agency finds, in connection with the issuance of 

such regulation, order, or guidance, that–

(i) there is a substantial justification for the 

regulation, order, or guidance;

(ii) the methods selected to carry out that purpose–

(I) are substantially equivalent to the 

requirements imposed on records that are not electronic 

records; and

(II) will not impose unreasonable costs on 

the acceptance and use of electronic records; and

(iii) the methods selected to carry out that purpose 

do not require, or accord greater legal status or effect to, the 

implementation or application of a specific technology or 

technical specification for performing the functions of 

creating, storing, generating, receiving, communicating, or 

authenticating electronic records or electronic signatures.

(3) PERFORMANCE STANDARDS.–

(A) ACCURACY, RECORD INTEGRITY, 

ACCESSIBILITY.–Notwithstanding paragraph (2)(C)(iii), a 

Federal regulatory agency or State regulatory agency may 

interpret section 101(d) to specify performance standards to 

assure accuracy, record integrity, and accessibility of records that 

are required to be retained. Such performance standards may be 

specified in a manner that imposes a requirement in violation of 

paragraph (2)(C)(iii) if the requirement (i) serves an important 

15 USC 7004.
968 Electronic Records and Signatures in Commerce (P.L. 106–229)

governmental objective; and (ii) is substantially related to the 

achievement of that objective. Nothing in this paragraph shall be 

construed to grant any Federal regulatory agency or State 

regulatory agency authority to require use of a particular type of 

software or hardware in order to comply with section 101(d).

(B) PAPER OR PRINTED FORM.–Notwithstanding 

subsection (c)(1), a Federal regulatory agency or State regulatory 

agency may interpret section 101(d) to require retention of a 

record in a tangible printed or paper form if–

(i) there is a compelling governmental interest relating 

to law enforcement or national security for imposing such 

requirement; and (ii) imposing such requirement is essential to 

attaining such interest.

(4) Exceptions for actions by government as market participant.–

Paragraph (2)(C)(iii) shall not apply to the statutes, regulations, or 

other rules of law governing procurement by the Federal or any 

State government, or any agency or instrumentality thereof.

(c) ADDITIONAL LIMITATIONS.–

(1) REIMPOSING PAPER PROHIBITED.–Nothing in subsection 

(b) (other than paragraph (3)(B) thereof) shall be construed to grant 

any Federal regulatory agency or State regulatory agency authority to 

impose or reimpose any requirement that a record be in a tangible 

printed or paper form.

(2) CONTINUING OBLIGATION UNDER GOVERNMENT 

PAPERWORK ELIMINATION ACT.–Nothing in subsection (a) or 

(b) relieves any Federal regulatory agency of its obligations under the 

Government Paperwork Elimination Act (Title XVII of Public Law 

105–277).

(d) AUTHORITY TO EXEMPT FROM CONSENT PROVISION.–

(1) IN GENERAL.–A Federal regulatory agency may, with 

respect to matter within its jurisdiction, by regulation or order issued 

after notice and an opportunity for public comment, exempt without 

condition a specified category or type of record from the 

requirements relating to consent in section 101(c) if such exemption 

is necessary to eliminate a substantial burden on electronic commerce 

and will not increase the material risk of harm to consumers.

2) PROSPECTUSES.–Within 30 days after the date of enactment of 

this Act, the Securities and Exchange Commission shall issue a 

regulation or order pursuant to paragraph (1) exempting from section 

101(c) any records that are required to be provided in order to allow 

advertising, sales literature, or other information concerning a security 

issued by an investment company that is registered under the Investment 

Company Act of 1940, or concerning the issuer thereof, to be excluded 

from the definition of a prospectus under section 2(a)(10)(A) of the 

Securities Act of 1933.

(e) ELECTRONIC LETTERS OF AGENCY–The Federal 

Communications Commission shall not hold any contract for 

telecommunications service or letter of agency for a preferred carrier 

change, that otherwise complies with the Commission's rules, to be 

legally ineffective, invalid, or unenforceable solely because an electronic 

record or electronic signature was used in its formation or authorization.

Deadline. 

Regulations.
Electronic Records and Signatures in Commerce (P.L. 106–229) 969

Sec. 105. Studies

(a) DELIVERY.–Within 12 months after the date of the enactment of this 

Act, the Secretary of Commerce shall conduct an inquiry regarding the 

effectiveness of the delivery of electronic records to consumers using 

electronic mail as compared with delivery of written records via the 

United States Postal Service and private express mail services. The

Secretary shall submit a report to the Congress regarding the results of 

such inquiry by the conclusion of such 12–month period.

b) STUDY OF ELECTRONIC CONSENT.–Within 12 months after the 

date of the enactment of this Act, the Secretary of Commerce and the 

Federal Trade Commission shall submit a report to the Congress 

evaluating any benefits provided to consumers by the procedure required 

by section 101(c)(1)(C)(ii); any burdens imposed on electronic 

commerce by that provision; whether the benefits outweigh the burdens; 

whether the absence of the procedure required by section 101(c)(1)(C)(ii) 

would increase the incidence of fraud directed against consumers; and 

suggesting any revisions to the provision deemed appropriate by the 

Secretary and the Commission. In conducting this evaluation, the 

Secretary and the Commission shall solicit comment from the general 

public, consumer representatives, and electronic commerce businesses.

Sec. 106. Definitions

For purposes of this Title:

(1) CONSUMER.–The term “consumer” means an individual 

who obtains, through a transaction, products or services which are 

used primarily for personal, family, or household purposes, and also 

means the legal representative of such an individual.

(2) ELECTRONIC.–The term “electronic” means relating to 

technology having electrical, digital, magnetic, wireless, optical, 

electromagnetic, or similar capabilities.

(3) ELECTRONIC AGENT.–The term “electronic agent” means 

a computer program or an electronic or other automated means used 

independently to initiate an action or respond to electronic records or 

performances in whole or in part without review or action by an 

individual at the time of the action or response.

(4) ELECTRONIC RECORD.–The term “electronic record”

means a contract or other record created, generated, sent, 

communicated, received, or stored by electronic means.

(5) ELECTRONIC SIGNATURE.–The term “electronic 

signature” means an electronic sound, symbol, or process, attached to 

or logically associated with a contract or other record and executed or 

adopted by a person with the intent to sign the record.

(6) FEDERAL REGULATORY AGENCY.–The term “Federal 

regulatory agency” means an agency, as that term is defined in 

section 552(f) of Title 5, United States Code.

(7) INFORMATION.–The term “information” means data, text, 

images, sounds, codes, computer programs, software, databases, or 

the like.

(8) PERSON.–The term “person” means an individual, 

corporation, business trust, estate, trust, partnership, limited liability 

company, association, joint venture, governmental agency, public 

corporation, or any other legal or commercial entity.

(9) RECORD.–The term “record” means information that is 

inscribed on a tangible medium or that is stored in an electronic or 

other medium and is retrievable in perceivable form.

15 USC 7005.

Mail.

Reports.

Reports.

Public 

information.

15 USC 7006.
970 Electronic Records and Signatures in Commerce (P.L. 106–229)

(10) REQUIREMENT.–The term “requirement” includes a 

prohibition.

(11) SELF–REGULATORY ORGANIZATION.–The term “self–

regulatory organization” means an organization or entity that is not a 

Federal regulatory agency or a State, but that is under the supervision 

of a Federal regulatory agency and is authorized under Federal law to 

adopt and administer rules applicable to its members that are enforced 

by such organization or entity, by a Federal regulatory agency, or by 

another self–regulatory organization.

(12) STATE.–The term “State” includes the District of Columbia 

and the territories and possessions of the United States.

(13) TRANSACTION.–The term “transaction” means an action 

or set of actions relating to the conduct of business, consumer, or 

commercial affairs between two or more persons, including any of the 

following types of conduct–

(A) the sale, lease, exchange, licensing, or other 

disposition of (i) personal property, including goods and 

intangibles, (ii) services, and (iii) any combination thereof; and

(B) the sale, lease, exchange, or other disposition of any 

interest in real property, or any combination thereof.

Sec. 107. Effective Date

(a) IN GENERAL.–Except as provided in subsection (b), this Title 

shall be effective on October 1, 2000.

(b) EXCEPTIONS.–

(1) RECORD RETENTION.–

(A) IN GENERAL.–Subject to subparagraph (B), this Title 

shall be effective on March 1, 2001, with respect to a requirement 

that a record be retained imposed by–

(i) a Federal statute, regulation, or other rule of law, or

(ii) a State statute, regulation, or other rule of law 

administered or promulgated by a State regulatory agency.

(B) DELAYED EFFECT FOR PENDING 

RULEMAKINGS.– If on March 1, 2001, a Federal regulatory 

agency or State regulatory agency has announced, proposed, or 

initiated, but not completed, a rulemaking proceeding to prescribe 

a regulation under section 104(b)(3) with respect to a requirement 

described in subparagraph (A), this Title shall be effective on June 

1, 2001, with respect to such requirement.

(2) CERTAIN GUARANTEED AND INSURED LOANS.–With 

regard to any transaction involving a loan guarantee or loan guarantee 

commitment (as those terms are defined in section 502 of the Federal 

Credit Reform Act of 1990), or involving a program listed in the 

Federal Credit Supplement, Budget of the United States, FY 2001, 

this Title applies only to such transactions entered into, and to any 

loan or mortgage made, insured, or guaranteed by the United States 

Government thereunder, on and after one year after the date of 

enactment of this Act.

(3) Student loans.––With respect to any records that are provided 

or made available to a consumer pursuant to an application for a loan, 

or a loan made, pursuant to Title IV of the Higher Education Act of 

1965, section 101(c) of this Act shall not apply until the earlier of–

(A) such time as the Secretary of Education publishes 

revised promissory notes under section 432(m) of the Higher 

Education Act of 1965; or

(B) one year after the date of enactment of this Act.

15 USC 7001 

note.
Electronic Records and Signatures in Commerce (P.L. 106–229) 971

Title II–Transferable Records

Sec. 201. Transferable Records

(a) DEFINITIONS.–For purposes of this section:

(1) TRANSFERABLE RECORD.–The term “transferable record”

means an electronic record that–

(A) would be a note under Article 3 of the Uniform Commercial 

Code if the electronic record were in writing;

(B) the issuer of the electronic record expressly has agreed 

is a transferable record; and

(C) relates to a loan secured by real property.

A transferable record may be executed using an electronic signature.

(2) OTHER DEFINITIONS.–The terms “electronic record”, 

“electronic signature”, and “person” have the same meanings 

provided in section 106 of this Act.

(b) CONTROL.–A person has control of a transferable record if a 

system employed for evidencing the transfer of interests in the 

transferable record reliably establishes that person as the person to which 

the transferable record was issued or transferred.

(c) CONDITIONS.–A system satisfies subsection (b), and a person is 

deemed to have control of a transferable record, if the transferable record 

is created, stored, and assigned in such a manner that–

(1) a single authoritative copy of the transferable record exists 

which is unique, identifiable, and, except as otherwise provided in 

paragraphs (4), (5), and (6), unalterable;

(2) the authoritative copy identifies the person asserting control 

as–

(A) the person to which the transferable record was issued; 

or

(B) if the authoritative copy indicates that the transferable 

record has been transferred, the person to which the transferable 

record was most recently transferred;

(3) the authoritative copy is communicated to and maintained by 

the person asserting control or its designated custodian;

(4) copies or revisions that add or change an identified assignee of 

the authoritative copy can be made only with the consent of the 

person asserting control;

(5) each copy of the authoritative copy and any copy of a copy is 

readily identifiable as a copy that is not the authoritative copy; and

(6) any revision of the authoritative copy is readily identifiable as 

authorized or unauthorized.

(d) Status as Holder.–Except as otherwise agreed, a person having 

control of a transferable record is the holder, as defined in section 1–

201(20) of the Uniform Commercial Code, of the transferable record and 

has the same rights and defenses as a holder of an equivalent record or 

writing under the Uniform Commercial Code, including, if the applicable 

statutory requirements under sections 3–302(a), 9–308, or revised 

sections 9–330 of the Uniform Commercial Code are satisfied, the rights 

and defenses of a holder in due course or a purchaser, respectively. 

Delivery, possession, and endorsement are not required to obtain or 

exercise any of the rights under this subsection.

(e) Obligor Rights.–Except as otherwise agreed, an obligor under a 

transferable record has the same rights and defenses as an equivalent 

15 USC 7021.
972 Electronic Records and Signatures in Commerce (P.L. 106–229)

obligor under equivalent records or writings under the Uniform 

Commercial Code.

(f) Proof of Control.–If requested by a person against which 

enforcement is sought, the person seeking to enforce the transferable 

record shall provide reasonable proof that the person is in control of the 

transferable record. Proof may include access to the authoritative copy of 

the transferable record and related business records sufficient to review 

the terms of the transferable record and to establish the identity of the 

person having control of the transferable record.

(g) UCC References.–For purposes of this subsection, all references 

to the Uniform Commercial Code are to the Uniform Commercial Code 

as in effect in the jurisdiction the law of which governs the transferable 

record.

Sec. 202. Effective Date

This Title shall be effective 90 days after the date of enactment of 

this Act.

Title III–Promotion of International Electronic Commerce

Sec. 301. Principles Governing the Use of Electronic Signatures in 

International Transactions

(a) PROMOTION OF ELECTRONIC SIGNATURES.–

(1) REQUIRED ACTIONS.–The Secretary of Commerce shall 

promote the acceptance and use, on an international basis, of 

electronic signatures in accordance with the principles specified in 

paragraph (2) and in a manner consistent with section 101 of this Act. 

The Secretary of Commerce shall take all actions necessary in a 

manner consistent with such principles to eliminate or reduce, to the 

maximum extent possible, the impediments to commerce in electronic 

signatures, for the purpose of facilitating the development of 

interstate and foreign commerce.

(2) PRINCIPLES.–The principles specified in this paragraph are 

the following:

(A) Remove paper–based obstacles to electronic transactions 

by adopting relevant principles from the Model Law on Electronic 

Commerce adopted in 1996 by the United Nations Commission 

on International Trade Law.

(B) Permit parties to a transaction to determine the appropriate 

authentication technologies and implementation models for their 

transactions, with assurance that those technologies and 

implementation models will be recognized and enforced.

(C) Permit parties to a transaction to have the opportunity to 

prove in court or other proceedings that their authentication 

approaches and their transactions are valid.

(D) Take a nondiscriminatory approach to electronic 

signatures and authentication methods from other jurisdictions.

(b) CONSULTATION.–In conducting the activities required by this 

section, the Secretary shall consult with users and providers of electronic 

signature products and services and other interested persons.

(c) DEFINITIONS.–As used in this section, the terms ``electronic 

record'' and ``electronic signature'' have the same meanings provided in 

section 106 of this Act.

15 USC 7021 

note.

15 USC 7031.
Electronic Records and Signatures in Commerce (P.L. 106–229) 973

Title IV–Commission On Online Child Protection

Sec. 401. Authority to Accept Gifts

Section 1405 of the Child Online Protection Act (47 USC 231 note) is 

amended by inserting after subsection (g) the following new subsection:

“(h) GIFTS, BEQUESTS, AND DEVISES.–The Commission may 

accept, use, and dispose of gifts, bequests, or devises of services or 

property, both real (including the use of Office space) and personal, for 

the purpose of aiding or facilitating the work of the Commission. Gifts or 

grants not used at the termination of the Commission shall be returned to 

the donor or grantee.”
974 Plain Writing Act of 2010 (P.L. 111–274)

F. PLAIN WRITING ACT OF 2010

Public Law 111–274 124 Stat. 2861

October 13, 2010

An Act

To enhance citizen access to Government information and services by 

establishing that Government documents issued to the public must be 

written clearly, and for other purposes.

 Be it enacted by the Senate and House of Representatives of the United 

States of America in Congress assembled,

Sec. 1. Short Title

This Act may be cited as the “Plain Writing Act of 2010”.

Sec. 2. Purpose

The purpose of this Act is to improve the effectiveness and accountability 

of Federal agencies to the public by promoting clear Government 

communication that the public can understand and use.

Sec. 3. Definitions

In this Act:

 (1) Agency.–– The term “agency” means an Executive agency, as 

defined under section 105 of title 5, United States Code.

 (2) Covered document.–– The term “covered document”––

 (A) means any document that––

 (i) is necessary for obtaining any Federal Government benefit or 

service or filing taxes;

 (ii) provides information about any Federal Government benefit or 

service; or

 (iii) explains to the public how to comply with a requirement the 

Federal Government administers or enforces;

 (B) includes (whether in paper or electronic form) a letter, publication, 

form, notice, or instruction; and

 (C) does not include a regulation.

 (3) Plain writing.–– The term “plain writing” means writing that is 

clear, concise, well–organized, and follows other best practices 

appropriate to the subject or field and intended audience.

Sec. 4. Responsibilities of Federal Agencies

(a) Preparation for Implementation of Plain Writing Requirements.––

 (1) In general.–– Not later than 9 months after the date of enactment of 

this Act, the head of each agency shall––

 (A) designate 1 or more senior officials within the agency to oversee 

the agency implementation of this Act;

 (B) communicate the requirements of this Act to the employees of the 

agency;

 (C) train employees of the agency in plain writing;

 (D) establish a process for overseeing the ongoing compliance of the 

agency with the requirements of this Act;

 (E) create and maintain a plain writing section of the agency's website 

as required under paragraph (2) that is accessible from the homepage 

of the agency's website; and

5 USC 301 

note.

5 USC 301 

note.

5 USC 301 

note.
Plain Writing Act of 2010 (P.L. 111–274) 975

 (F) designate 1 or more agency points–of–contact to receive and 

respond to public input on––

 (i) agency implementation of this Act; and

 (ii) the agency reports required under section 5.

 (2) Website.–– The plain writing section described under paragraph 

(1)(E) shall––

 (A) inform the public of agency compliance with the requirements of 

this Act; and

 (B) provide a mechanism for the agency to receive and respond to 

public input on––

 (i) agency implementation of this Act; and

 (ii) the agency reports required under section 5.

(b) Requirement to Use Plain Writing in New Documents.––Beginning 

not later than 1 year after the date of enactment of this Act, each agency 

shall use plain writing in every covered document of the agency that the 

agency issues or substantially revises.

(c) Guidance.––

 (1) In general.–– Not later than 6 months after the date of enactment of 

this Act, the Director of the Office of Management and Budget shall 

develop and issue guidance on implementing the requirements of this 

section. The Director may designate a lead agency, and may use 

interagency working groups to assist in developing and issuing the 

guidance.

 (2) Interim guidance.–– Before the issuance of guidance under 

paragraph (1), agencies may follow the guidance of––

 (A) the writing guidelines developed by the Plain Language Action 

and Information Network; or

 (B) guidance provided by the head of the agency that is consistent 

with the guidelines referred to in subparagraph (A).

Sec. 5. Reports to Congress

(a) Initial Report.––Not later than 9 months after the date of enactment of 

this Act, the head of each agency shall publish on the plain writing 

section of the agency's website a report that describes the agency plan for 

compliance with the requirements of this Act.

(b) Annual Compliance Report.––Not later than 18 months after the date 

of enactment of this Act, and annually thereafter, the head of each agency 

shall publish on the plain writing section of the agency's website a report 

on agency compliance with the requirements of this Act.

Sec. 6. Judicial Review and Enforceability

(a) Judicial Review.––There shall be no judicial review of compliance or 

noncompliance with any provision of this Act.

(b) Enforceability.––No provision of this Act shall be construed to create 

any right or benefit, substantive or procedural, enforceable by any 

administrative or judicial action.

Sec. 7. Budgetary Effects of Paygo Legislation for this Act

The budgetary effects of this Act, for the purpose of complying with the 

Statutory Pay–As–You–Go Act of 2010, shall be determined by 

reference to the latest statement titled “Budgetary Effects of PAYGO 

Legislation” for this Act, submitted for printing in the Congressional 

Record by the Chairman of the House Budget Committee, provided that 

such statement has been submitted prior to the vote on passage.

5 USC 301 

note.

5 USC 301 

note.

5 USC 301 

note.

Environmental Legislation 977

9. Environmental Legislation

Environmental Legislation 979

9. Environmental Legislation

Contents

A. PERTINENT SECTIONS OF THE CLEAN AIR ACT OF 1977, 

AS AMENDED.......................................................................................... 981

Sec. 302. Definitions....................................................................................... 981

Title III................................................................................................................... 983

Sec. 301. Hazardous Air Pollutants.............................................................. 983

Sec. 112. Hazardous Air Pollutants.............................................................. 983

Sec. 116. Retention of State Authority.......................................................... 995

Sec. 122. Listing of Certain Unregulated Pollutants................................... 995

Title IV ................................................................................................................... 996

Sec. 501. Permits............................................................................................. 996

Title V..................................................................................................................... 996

Sec. 501. Definitions....................................................................................... 996

Sec. 502. Permit Programs ............................................................................ 997

Sec. 503. Permit Applications...................................................................... 1002

Sec. 504. Permit Requirements and Conditions ........................................ 1003

Sec. 505. Notification to Administrator and Contiguous States............... 1004

Sec. 506. Other Authorities ......................................................................... 1006

Sec. 507. Small Business Stationary Source Technical and 

Environmental Compliance Assistance Program.................................. 1006

B. SECTION 511 OF THE FEDERAL WATER POLLUTION 

CONTROL ACT OF 1972 ..................................................................... 1007

Sec. 511. Other Affected Authority............................................................. 1007

C. NATIONAL ENVIRONMENTAL POLICY ACT OF 1969, AS 

AMENDED.............................................................................................. 1008

Sec. 1. Short Title ......................................................................................... 1008

Sec. 2. Purpose.............................................................................................. 1008

Title I.................................................................................................................... 1008

Sec. 101. Declaration of National Environmental Policy .......................... 1008

Sec. 102. Cooperation of Agencies; Reports; Availability of 

Information; Recommendations; International and National 

Coordination of Efforts............................................................................ 1009

Sec. 103. Conformity of Administrative Procedures to National 

Environmental Policy............................................................................... 1010

Sec. 104. Other Statutory Obligations of Agencies.................................... 1011

Sec. 105. Efforts Supplemental to Existing Authorizations...................... 1011

Title II................................................................................................................... 1011

Sec. 201. Council on Environmental Quality (Omit) ................................ 1011

Sec. 202. Establishment; Membership; Chairman; Appointments ......... 1011

Sec. 203. Employment of Personnel, Experts and Consultants................ 1012

Sec. 204. Duties and Functions.................................................................... 1012

Sec. 205. Consultation with Citizens’ Advisory Committee on 

Environmental Quality and Other Representatives.............................. 1012

Sec. 206. Tenure and Compensation of Members..................................... 1013
980 Environmental Legislation

Sec. 207. Travel Reimbursement by Private Organizations and 

Federal, State, and Local Governments ................................................. 1013

Sec. 208. Expenditures in Support of International Activities................. 1013

Sec. 209. Authorization of Appropriations ................................................ 1013

D. WEST VALLEY DEMONSTRATION PROJECT ACT.................. 1014

Sec. 1. Title.................................................................................................... 1014

Sec. 2. Purpose.............................................................................................. 1014

Sec. 3. Appropriation/Authorization .......................................................... 1016

Sec. 4. Report................................................................................................ 1016

Sec. 5. Rights and Obligations..................................................................... 1016

Sec. 6. Definitions......................................................................................... 1016

Other Provisions: Reduction In Funding For West Valley Demonstration 

Project .............................................................................................................. 1017
Pertinent Sections of the Clean Air Act (P.L. 101–549) 981

A. PERTINENT SECTIONS OF THE CLEAN AIR ACT OF 1977, 

AS AMENDED

(Including amendments made by)

Public Law 101–549 104 Stat. 2399

November 14, 1990

Sec. 302. Definitions 

When used in this Chapter

(a) The term “Administrator” means the Administrator of the 

Environmental Protection Agency.

(b) The term “air pollution control agency” means any of the 

following:

(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.

(2) An agency established by two or more States and having 

substantial powers or duties pertaining to the prevention and control 

of air pollution.

(3) A city, county, or other local government health authority, or, 

in the case of any city, county, or other local government in which 

there is an agency other than the health authority charged with 

responsibility for enforcing ordinances or laws relating to the 

prevention 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–

(1) an air pollution control agency established by two or more 

States, or

(2) an air pollution control agency of two or more municipalities 

located in different States.

(d) The term “State” means a State, the District of Columbia, the 

Commonwealth of Puerto Rico, the Virgin Islands, Guam, and American 

Samoa and includes the Commonwealth of the Northern Mariana Islands.

(e) The term “person” includes an individual, corporation, 

partnership, 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, 

parish, district, or other public body created by or pursuant to State law.

(g) The term “air pollutant” means any air pollution agent or 

combination of such agents, including any physical, chemical, biological, 

radioactive (including source material, special nuclear material, and 

byproduct material) substance or matter which is emitted into or 

otherwise enters the ambient air. Such term includes any precursors to 

the formation of any air pollutant, to the extent the Administrator has 

identified 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, effects on soils, water, crops, vegetation, man–made materials, 

animals, wildlife, weather, visibility, and climate, damage to and 

deterioration of property, and hazards to transportation, as well as effects 

42 USC 7602.
982 Pertinent Sections of the Clean Air Act (P.L. 101–549)

on economic values and on personal comfort and well–being, 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 authority over 

such lands.

(j) Except as otherwise expressly provided, the terms “major 

stationary 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 facility 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 

promulgated under this Chapter.

(l) 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 emission 

reduction.

(m) The term “means of emission limitation” means a system of 

continuous 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 

schedule 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 implementation 

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 

requirements of this Chapter.

(r) INDIAN TRIBE

The term “Indian tribe” means any Indian tribe, band, nation, or other 

organized group or community, including any Alaska Native village, 

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) VOC

The term “VOC” means volatile organic compound, as defined by the 

Administrator.

(t) PM–10
Pertinent Sections of the Clean Air Act (P.L. 101–549) 983

The term “PM–10” means particulate matter with an aerodynamic 

diameter less than or equal to a nominal ten micrometers, as measured by 

such method as the Administrator may determine.

(u) NAAQS AND CTG

The term “NAAQS” 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 “NO X” means oxides of nitrogen.

(w) CO

The term “CO” means carbon monoxide.

(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 

Administrator determines, through regulation, generally lack technical 

ability or knowledge regarding control of air pollution.

(y) FEDERAL IMPLEMENTATION 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 

limitations or other control measures, means or techniques (including 

economic incentives, such as marketable permits or auctions of emissions 

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 engine 

or nonroad vehicle as defined in section 7550 of this Title.

1

Title III

Sec. 301. Hazardous Air Pollutants

Section 112 of the Clean Air Act is amended to read as follows:

Sec. 112. Hazardous Air Pollutants

(a) DEFINITIONS.–For purposes of this section, except subsection 

(R)–

(1) Major Source.–The term “major source” means any stationary 

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 Administrator may 

establish a lesser quantity, or in the case of radionuclides different 

criteria, for a major source than that specified in the previous 

sentence, on the basis of the potency of the air pollutant, persistence, 

––––––––

1 July 14, 1955, Chapter 360, Title III, §302, formerly §9, as added by P.L. 88–206, 

§1, 77 Stat. 400, (1963), by P.L. 89–272, Title I, §101(4), 79 Stat. 992, (1965); Amended 

by P.L. 90–48, §2, 81 Stat. 504, (1967); P.L. 91–604, §15(a)(1), (c)(1), 84 Stat. 1710, 1713, 

(1970); P.L. 95–95, Title II, §218(c), Title III, §301, 91 Stat. 761, 769, (1977); P.L. 95–190, 

§14(a)(76), 91 Stat. 1404, (1977); P.L. 101–549, Title I, §§101(d)(4), 107(a), (b), 108(i), 

109(b), Title III, §302(e), Title VII, §709, 104 Stat. 2409, 2464, 2468, 2470, 2574, 2684, 

(1990).

42 USC 7412.
984 Pertinent Sections of the Clean Air Act (P.L. 101–549)

potential for bioaccumulation, other characteristics of the air 

pollutant, or other relevant factors.

(2) Area source.–The term “area source” means any stationary 

source of hazardous air pollutants that is not a major source. For 

purposes of this section, the term “area source” shall not include 

motor vehicles or non–road 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 section 

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 hazardous 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) Hazardous Air Pollutant.–The term “hazardous air pollutant”

means any air pollutant listed pursuant to subsection (b).

(7) Adverse Environmental Effect.–The term “adverse 

environmental 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 populations 

of endangered or threatened species or significant degradation of 

environmental quality over broad areas.

(8) Electric Utility Steam Generating Unit.–The term “electric 

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 cogenerates steam and electricity and 

supplies more than one–third of its potential electric output capacity 

and more than 25 megawatts electrical output to any utility power 

distribution system for sale shall be considered an electric utility 

steam generating unit.

(9) Owner or Operator.–The term “owner or operator” means any 

person who owns, leases, operates, controls, or supervises a stationary 

source.

(10) Existing Source.–The term “existing source” means any 

stationary source other than a new source.

(11) Carcinogenic Effect.–Unless revised, the term “carcinogenic 

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:

* * * *

0 Radionuclides (including radon)2

––––––––

2 A type of atom which spontaneously undergoes radioactive decay. 
Pertinent Sections of the Clean Air Act (P.L. 101–549) 985

* * * *

(2) Revision of The List.–The Administrator shall periodically 

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 inhalation or other 

routes of exposure, a threat of adverse human health effects 

(including, but not limited to, substances which are known to be, or 

may reasonably be anticipated to be, carcinogenic, mutagenic, 

teratogenic, neurotoxic, which cause reproductive dysfunction, or 

which are acutely or chronically toxic) or adverse environmental 

effects whether through ambient concentrations, bioaccumulation, 

deposition, or otherwise, but not including releases 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 independently 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 under Title VI of this act shall be subject to 

regulation under this section solely due to its adverse effects on the 

environment.

(3) Petitions To Modify The List.–

(A) Beginning at any time after 6 months after the date of 

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 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 substances. Within 18 months after 

receipt of a petition, the Administrator shall either grant or deny 

the petition by publishing 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 evidence 

adequate to support the petition. The Administrator may not deny 

a petition solely on the basis of inadequate resources 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 reasonably 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 deposition 

of the substance may not reasonably be anticipated to cause any 

adverse effects to the human health or adverse environmental 

effects.
986 Pertinent Sections of the Clean Air Act (P.L. 101–549)

(D) The Administrator shall delete one or more unique 

chemical substances that contain a listed hazardous air pollutant 

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 determination that 

such unique chemical substances that contain the named chemical 

of such listed hazardous air pollutant meet the deletion 

requirements of subparagraph (C). The Administrator 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 substance is 

not sufficient to make a determination required by this subsection, the 

Administrator may use any authority available to the Administrator to 

acquire such information.

(5) Test Methods.–The Administrator may establish, by rule, test 

measures and other analytic procedures for monitoring and measuring 

emissions, ambient concentrations, deposition, and bioaccumulation 

of hazardous air pollutants.

(6) Prevention of Significant Deterioration.–The provisions 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 

Administrator 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 

subcategories 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 

establish subcategories under this section, as appropriate.

(2) Requirement for Emissions Standards.–For the categories and 

subcategories the Administrator lists, the Administrator shall 

establish emissions standards under subsection (d), according to the 

schedule in this subsection and subsection (e).

(3) Area Sources.–The Administrator shall list under this 

subsection each category or subcategory of area sources which the 

Administrator finds presents a threat of adverse effects to human 

health or the environment (by such sources individually or in the 

aggregate) warranting regulation under this section. The 

Administrator shall, not later than 5 years after the date of enactment 

of the Clean Air Act Amendments of 1990 and pursuant to subsection 

(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 representing 90 percent of the 

Regulations.
Pertinent Sections of the Clean Air Act (P.L. 101–549) 987

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 regulation 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 subcategory of 

sources previously regulated under this section as in effect before the 

date of enactment of the Clean Air Act Amendments of 1990.

(5) Additional Categories.–In addition to those categories and 

subcategories of sources listed for regulation pursuant to paragraphs 

(1) and (3), the Administrator may at any time list additional 

categories and subcategories of sources of hazardous air pollutants 

according to the same criteria for listing applicable under such 

paragraphs. In the case of source categories and subcategories listed 

after publication of the initial list required under paragraph (1) or (3), 

emission standards under subsection (d) for the category or 

subcategory shall be promulgated within 10 years after the date of 

enactment of the Clean Air Act Amendments of 1990, or within 2 

years after the date on which such category or subcategory is listed, 

whichever is later.

* * * *

(9) Deletions From This List.–

(A) Where the sole reason for the inclusion of a source 

category on the list required under this subsection is the emission 

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).

(B) The Administrator may delete any source category from 

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 applicable:

(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 result 

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 of safety and no adverse environmental 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 paragraph 

within 1 year after the petition is filed.

(d) EMISSION STANDARDS.–
988 Pertinent Sections of the Clean Air Act (P.L. 101–549)

(1) In General.–The Administrator shall promulgate regulations 

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 accordance with the schedules 

provided in subsections (c) and (e). The Administrator may 

distinguish among classes, types, and sizes of sources within a 

category or subcategory in establishing such standards 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 promulgated 

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 consideration the cost of achieving 

such emission reduction, and any non–air quality health and 

environmental impacts and energy requirements, 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, systems or techniques including, but 

not limited to, measures which–

(A) reduce the volume of, or eliminate emissions of, such 

pollutants through process changes, substitution of materials or 

other modifications,

(B) enclose 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 compromise 

any United States patent or United States trademark right, or any 

confidential business information, or any trade secret or any other 

intellectual property right.

(3) New and Existing Sources.–The maximum degree of reduction 

in emissions that is deemed achievable for new sources in a category 

or subcategory shall not be less stringent than the emission 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 by the best 

performing 12 percent of the existing sources (for which the 

Administrator has emissions information), excluding those 

sources that have, within 18 months before the emission standard 

is proposed or within 30 months before such standard is 

promulgated, whichever is later, first achieved a level of emission 

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 171) applicable to the source 
Pertinent Sections of the Clean Air Act (P.L. 101–549) 989

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) Health 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 

subsection (c), the Administrator may, in lieu of the authorities 

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 reduce 

emissions of hazardous air pollutants.

(6) Review and Revision.–The Administrator shall review, and 

revise as necessary (taking into account developments in practices, 

processes, and control technologies), emission standards promulgated 

under this section no less often than every 8 years.

(7) Other Requirements Preserved.–No emission standard or other 

requirement promulgated under this section shall be interpreted, 

construed or applied to diminish or replace the requirements of a 

more stringent emission limitation or other applicable requirement 

established pursuant to section 111, Part C or D, or other authority of 

this Act or a standard issued under State authority.

* * * *

(9) Sources Licensed By The Nuclear Regulatory Commission.–

No standard for radionuclide emissions from any category or 

subcategory of facilities licensed by the Nuclear Regulatory 

Commission (or an Agreement State) is required to be promulgated 

under this section if the Administrator determines, by rule, and after 

consultation with the Nuclear Regulatory Commission, that the 

regulatory program established by the Nuclear Regulatory 

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 emissions of radionuclides which is 

more stringent than the standard or limitation in effect under section 

111 or this section.

(10) Effective Date.–Emission standards or other regulations 

promulgated under this subsection shall be effective upon 

promulgation.

* * * *

(q) SAVINGS PROVISION.–

(1) Standard Previously Promulgated.–Any standard under this 

section in effect before the date of enactment of the Clean Air Act 
990 Pertinent Sections of the Clean Air Act (P.L. 101–549)

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 Amendments. 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 subsection (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 enactment, 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 may in 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 standard 

shall be established under this section, as amended by the Clean Air 

Act Amendments of 1990, for radionuclide emissions from (A) 

elemental phosphorous plants, (B) grate calcination elemental 

phosphorous plants, (C) phosphogypsum stacks, or (D) any 

subcategory of the foregoing. 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 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 Federal facilities that are 

not licensed by the Nuclear Regulatory Commission, coal–fired 

utility and industrial boilers, underground 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 of 1990 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 of 

1990, unless the Administrator makes a determination pursuant to a 

rulemaking under section 112(d)(9). If the Administrator determines 

that the regulatory 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 prevent 

the accidental release and to minimize the consequences of any such 
Pertinent Sections of the Clean Air Act (P.L. 101–549) 991

release of any substance listed pursuant to paragraph (3) or any other 

extremely hazardous substance. The owners and operators of 

stationary sources 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 prevent releases, and to minimize the 

consequences of accidental releases which do occur. For purposes of 

this paragraph, the provisions of section 304 shall not be available to 

any person or otherwise be construed to be applicable to this 

paragraph. Nothing 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 person 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 hazardous 

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, 

structures, equipment, installations or substance emitting 

stationary activities (i) which belong to the same industrial group, 

(ii) which are located on one or more contiguous properties, (iii) 

which are under the control of the same person (or persons under 

common control), and (iv) from which an accidental 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 environment. 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 Community Right–to–Know Act 

of 1986, with such modifications as the Administrator deems 

appropriate. The initial list shall include chlorine, anhydrous 

ammonia, methyl chloride, ethylene oxide, vinyl chloride, methyl 

isocyanate, hydrogen cyanide, ammonia, hydrogen sulfide, toluene 

diisocyanate, phosgene, bromine, anhydrous hydrogen chloride, 

hydrogen fluoride, anhydrous sulfur dioxide, and sulfur trioxide. The 

initial list shall include at least 100 substances which pose the greatest 

risk of causing death, injury, or serious adverse effects to human 

health or the environment from accidental releases. Regulations 

establishing the list shall include an explanation of the basis for 

establishing the list. The list may be revised from time to time by the 

Administrator on the Administrator’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 included 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 establish 

procedures for the addition and deletion of substances from the list 

Regulations.
992 Pertinent Sections of the Clean Air Act (P.L. 101–549)

established under this paragraph consistent with those applicable to 

the list in subsection (b).

(4) Factors to be considered. In listing substances under paragraph 

(3), the Administrator—

 (A) shall consider—

 (i) the severity of any acute adverse health effects associated 

with accidental releases of the substance;

 (ii) the likelihood of accidental releases of the substance; and

 (iii) the potential magnitude of human exposure to accidental 

releases of the substance; and

 (B) shall not list a flammable substance when used as a fuel or 

held for sale as a fuel at a retail facility under this subsection solely 

because of the explosive or flammable properties of the substance, 

unless a fire or explosion caused by the substance will result in acute 

adverse health effects from human exposure to the substance, 

including the unburned fuel or its combustion byproducts, other than 

those caused by the heat of the fire or impact of the explosion.

(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 account 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 was listed. The Administrator is 

authorized 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 preclude, 

deny or limit any right of a State or political subdivision thereof to 

adopt or enforce any regulation, requirement, limitation or standard 

(including any procedural requirement) that is more stringent than a 

regulation, requirement, limitation or standard in effect under this 

subsection or that applies to a substance not subject to this subsection.

* * * *

(7) Accident Prevention.–

(A) In order to prevent accidental releases of regulated 

substances, the Administrator is authorized to promulgate release 

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 requirements. 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, location, process, process controls, quantity of substances 

handled, potency of substances, and response capabilities present 

at any stationary source. Regulations promulgated pursuant to this 

subparagraph shall have an effective date, as determined by the 
Pertinent Sections of the Clean Air Act (P.L. 101–549) 993

Administrator, assuring compliance as expeditiously as 

practicable.

(B)(i) Within 3 years after the date of enactment of the Clean 

Air Act Amendments of 1990, the Administrator shall promulgate 

reasonable regulations and appropriate guidance to provide, to the 

greatest extent practicable, for the prevention 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, replacement, and maintenance of equipment to 

monitor, detect, inspect, and control such releases, including 

training of persons 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 

accidental release of a regulated substance in order to protect 

human health and the environment. The regulations shall cover 

storage, as well as operations. The regulations shall, as 

appropriate, recognize differences in size, operations, processes, 

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 stationary 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 paragraph (3), whichever is later.

(ii) The regulations under this subparagraph shall require 

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 a prompt 

emergency response to any such releases in order 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, 

including potential exposures to affected populations. Such 

assessment shall include a previous release history of the 

past 5 years, including the size, concentration, and duration 

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 actions 

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 

public and local agencies responsible for responding to 

Regulations.
994 Pertinent Sections of the Clean Air Act (P.L. 101–549)

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 guidelines shall, to the extent 

practicable, include model risk management plans.

(iii) The owner or operator of each stationary source 

covered by clause (ii) shall register a risk management plan 

prepared under this subparagraph with the Administrator 

before the effective date of regulations under clause (i) in such 

form and manner as the Administrator shall, by rule, require. 

Plans prepared pursuant to this subparagraph shall also be 

submitted to the Chemical Safety and Hazard Investigation 

Board, to the State in which the stationary source is located, 

and to any local agency or entity having responsibility for 

planning for or responding to accidental releases which may 

occur at such source, and shall be available to the public under 

section 114(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 

updated periodically as required by the Administrator, by rule.

(C) Any regulations promulgated pursuant to this subsection 

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 Institute (ANSI) or the 

American Society of Testing Materials (ASTM). The 

Administrator shall take into consideration the concerns of small 

business in promulgating regulations under 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 requirements 

under this paragraph with any requirements established for 

comparable purposes by the Occupational Safety and Health 

Administration or the Department of Transportation. Nothing in 

this subsection shall be interpreted, construed or applied to 

impose requirements affecting, or to grant the Administrator, the 

Chemical Safety and Hazard Investigation Board, or any other 

agency any authority to regulate (including requirements for 

hazard assessment), the accidental release of radionuclides arising 

from the construction and operation of facilities licensed by the 

Nuclear Regulatory Commission.

(E) After the effective date of any regulation or requirement 

imposed under this subsection, it shall be unlawful for any person 

to operate any stationary source subject to such regulation or 

requirement in violation of such regulation or requirement. Each

regulation or requirement under this subsection shall for purposes 

of section 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, 

no stationary source shall be required to apply for, or operate 

pursuant to, a permit issued under such Title solely because such 
Pertinent Sections of the Clean Air Act (P.L. 101–549) 995

source is subject to regulations or requirements under this 

subsection.

(G) In exercising any authority under this subsection, the 

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 regulations 

affecting occupational safety and health.3

Sec. 116. Retention of State Authority

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 sources) 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 emission standard 

or limitation is in effect under an applicable implementation plan or 

under section 7411 or 7412, such State or political subdivision may not 

adopt or enforce any emission standard or limitation which is less 

stringent than the standard or limitation under such plan or section.4

Sec. 122. Listing of Certain Unregulated Pollutants

(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 information 

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 ambient 

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(b)(1)(A) (in the case of a 

substance which, in the judgment of the Administrator, causes, or 

contributes to, air pollution which may reasonably be anticipated to result 

in an increase in mortality or an increase in serious irreversible, 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 

such actions.

(b) Nothing in subsection (a) shall be construed to affect the authority 

of the Administrator to revise any list referred to in subsection (a) with 

respect to any substance (whether or not enumerated in subsection (a)).

(c)(1) Before listing any source material, special nuclear, or 

byproduct material (or component or derivative thereof) as provided 

in subsection (a), the Administrator shall consult with the Nuclear 

Regulatory Commission.

––––––––

3 July 14, 1955, Chapter 360, Title I, 112, as added P.L. 91–604, 4(a), 84 Stat. 1685, 

(1970); Amended by P.L. 95–95, Title I, 109(d)(2), 110, Title 401(c), 91 Stat. 701, 703, 

791, (1977); P.L. 95– 623, 13(b), 92 Stat. 3458 (1978); P.L. 101–549, Title III, 301, 104 

Stat. 2531 (1990); P.L. 102–187, 105 Stat. 1285 (1991); P.L. 105–362, Title IV, § 402(b), 112 Stat. 3283 (1998); P.L. 106–40, §§ 2, 3(a), 113 Stat. 207 (1999). 4 July 14, 1955, Chapter 360, Title I, §116, formerly § 109, as added by P.L. 90–148, 

§ 2, 81 Stat. 497 (1967), renumbered and amended by P.L. 91–604, §4(a),(c), 84 Stat. 1678, 

1689, (1970); P.L. 93–319, §6(b), 88 Stat. 259, (1974); P.L. 95–190, §14(a)(24), 

91 Stat. 1400, (1978). 

42 USC 7416.

42 USC 7422.
996 Pertinent Sections of the Clean Air Act (P.L. 101–549)

(2) Not later than six months after listing any such material (or 

component 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 practicable consistent with this Act, minimize 

duplication of effort and conserve administrative resources in the 

establishment, implementation, 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 (or component or derivative thereof) from 

such sources or facilities.

(3) In case of any standard or emission limitation promulgated by 

the Administrator, under this Act or by any State (or the 

Administrator) under any applicable implementation plan under this 

Act, if the Nuclear 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 endanger public health or safety, such 

standard or limitation shall not apply to such facilities or sources 

unless the President determines otherwise within ninety days from the 

date of such finding.5

Title IV

Sec. 501. Permits

Add the following new Title after Title IV: 

Title V

Sec. 501. Definitions.

Sec. 502. Permit programs.

Sec. 503. Permit applications.

Sec. 504. Permit requirements and conditions.

Sec. 505. Notification to Administrator and contiguous States.

Sec. 506. Other authorities.

Sec. 507. Small business stationary source technical

and environmental compliance assistance program.

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 stationary 

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 I.

(3) Schedule of compliance.–The term “schedule of compliance”

means a schedule of remedial measures, including an enforceable 

––––––––

5 July 14, 1955, Chapter 360, Title I, §122, as added P.L. 95–95, Title I, §120(a), 

91 Stat. 720, (1977).

42 USC 7661.
Pertinent Sections of the Clean Air Act (P.L. 101–549) 997

sequence of actions or operations, leading to compliance 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 authorized by 

the Administrator to carry out a permit program under this Title.

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 

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 

regulations under section 111 or 112, any other source required to have a 

permit under Parts C or D of Title I, or any other stationary source in a 

category designated (in whole or in part) by regulations promulgated by 

the Administrator (after notice and public comment) which shall include 

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 

applicable requirements of this Act that a permit be obtained before 

construction or modification.) The Administrator may, in the 

Administrator’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 compliance with such requirements in 

impracticable, 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 Amendments 

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, including 

section 507, including 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.

42 USC 7661a.
998 Pertinent Sections of the Clean Air Act (P.L. 101–549)

(B) The total amount of fees collected by the permitting authority 

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 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 adequately 

reflects the reasonable costs of the permit program.

(ii) As used in this subparagraph, the term “regulated 

pollutant” shall mean (I) a volatile organic compound; (II) each 

pollutant regulated under section 111 or 112; and (III) 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 amount less 

than the amount specified under clause (i) will 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 of 1990 by the 

percentage, if any, by which the Consumer Price Index for the 

most recent calendar year ending before the beginning of such 

year exceeds the Consumer 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 consumers 

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 calendar 

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 

meet the requirements of this paragraph, or if the Administrator 

makes a determination, under subsection (i), that the permitting 

authority is not adequately administering or enforcing an 

approved 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 administering the provisions of the 

permit program promulgated by the Administrator.

(ii) Any source 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 computed in accordance with section 6621(a)(2) of the 
Pertinent Sections of the Clean Air Act (P.L. 101–549) 999

Internal Revenue Code of 1986 (relating to computation of 

interest on underpayment of Federal taxes).

(iii) Any fees, penalties, and interest collected under this 

subparagraph 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 by a 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 subparagraph (A).

(4) Requirements for adequate personnel and funding to 

administer the program.

(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 incorporate 

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 

requirement to obtain a permit, including authority to recover civil 

penalties in a maximum amount of not less than $10,000 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 

expeditiously determining when applications are complete, for 

processing such applications, for public notice, including offering an 

opportunity for public comment and a hearing, and for expeditious 

review of permit actions, including applications, renewals, or 

revisions, and including an opportunity for judicial review in State 

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 periods specified in 

section 503 or, as appropriate, Title IV) shall be treated as a final 

permit action solely for purposes of obtaining judicial review in State 

court of an action brought by any person 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 provisions of 

section 114(c) of this Act.
1000 Pertinent Sections of the Clean Air Act (P.L. 101–549)

(9) A requirement that the permitting authority, in the case of 

permits with a term of 3 or more years for major sources, shall 

require revisions to the permit to incorporate applicable standards 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 under 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 regulations is a date after the expiration of the permit 

term. Such permit revision shall be treated as a permit renewal if it 

complies with the requirements of this Title regarding renewals.

(10) Provisions to allow changes within a permitted facility (or 

one operating pursuant to section 503(d) without requiring a permit 

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 facility provides the 

Administrator and the permitting authority with written notification in 

advance of the proposed changes which shall be a minimum of 7 

days, unless 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 

1990, the Governor of each State shall develop and submit to the 

Administrator 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 interstate 

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 program is disapproved, in 

whole or in part, the Administrator shall notify the Governor of any 

revisions or modifications necessary to obtain 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 Administrator 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 disapproval, 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 
Pertinent Sections of the Clean Air Act (P.L. 101–549) 1001

conditions as are applicable in the case of a determination, 

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 disapproval referred to in subparagraph (A) or (B) relates to 

an air pollutant for which such area has been designated a 

nonattainment 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 

administrative 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 applicable to 

major sources, area sources, and new sources.

(3) All requirements of Title I (other than section 112) applicable 

to sources required to have a permit under this Title.

Approval of a partial program shall not relieve the State of its 

obligation 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 substantially meets the requirements 

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 approval under this 

subsection shall expire on a date set by the Administrator not later than 

two years after such approval, 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 program 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 program, 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 

Administrator 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 thereof, in 
1002 Pertinent Sections of the Clean Air Act (P.L. 101–549)

accordance with the requirements of this Title, the Administrator shall 

provide notice to the State and may, prior to the expiration of the 18–

month period referred to in paragraph (2), in the Administrator’s 

discretion, apply any of the sanctions specified in section 179(b).

(2) Whenever the Administrator makes a determination that a 

permitting 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, 

disapproval, or finding under section 179(a).

(3) The sanctions under section 179(b)(2) shall not apply pursuant 

to this subsection in any area unless the failure to adequately enforce 

and administer the program relates to an air pollutant for which such 

area has been designated a nonattainment area.

(4) Whenever the Administrator has made a finding under 

paragraph (1) with respect to any State, unless the State has corrected 

such deficiency within 18 months after the date of such finding, the 

Administrator shall, 2 years after the date of such finding, 

promulgate, administer, and enforce a program under this Title for 

that State. Nothing 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 paragraph.

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–

(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 section 

502(b) shall include a requirement that the applicant submit with the 

permit application a compliance plan describing how the source will 

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 

periodically (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 permitting authority.

(c) DEADLINE.–Any person required to have a permit shall, not later 

than 12 months after the date on which 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 permit signed by a 

responsible official, who shall certify the accuracy of the information 

submitted. The permitting authority shall approve or disapprove 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 

42 USC 7661b.

Reports.
Pertinent Sections of the Clean Air Act (P.L. 101–549) 1003

the permitting authority shall establish a phased schedule for acting on 

permit applications submitted within the first full year after the effective 

date of a permit program (or a partial or interim 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 actions 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 

submitted 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 process 

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).

(e) COPIES; AVAILABILITY.–A copy of each permit application, 

compliance plan (including the schedule of compliance), emissions or 

compliance monitoring report, 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 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).

Sec. 504. Permit Requirements and Conditions

(a) CONDITIONS.–Each permit issued under this Title shall include 

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 results of any required 

monitoring, and such other conditions as are necessary to assure 

compliance with applicable requirements of this Act, including the 

requirements of the applicable implementation plan.

(b) MONITORING AND ANALYSIS.–The Administrator may by 

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 alternative 

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 requirement 

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 reporting 

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 accuracy.

(d) GENERAL PERMITS.–The permitting authority may, after 

notice and opportunity for public hearing, issue a general permit covering 

Public 

information.

42 USC 7661c.
1004 Pertinent Sections of the Clean Air Act (P.L. 101–549)

numerous similar sources. Any general permit shall comply with all 

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.

(e) TEMPORARY SOURCES.–The permitting authority may issue a 

single permit authorizing emissions from similar operations at multiple 

temporary locations. No such permit shall be issued unless it includes 

conditions that will assure compliance with all the requirements of this 

Act at all authorized locations, including, but not limited to, ambient 

standards and compliance with any applicable increment or visibility 

requirements under Part C of Title I. Any such permit shall in addition 

require the owner or operator to notify the permitting authority in 

advance of each change in location. The permitting authority may require 

a separate permit fee for operations at each location.

(f) PERMIT SHIELD.–Compliance with a permit issued in 

accordance 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 

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 determination 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.

Sec. 505. Notification to Administrator and Contiguous States

(a) TRANSMISSION AND NOTICE.–(1) Each permitting authority–

(A) shall transmit to the Administrator a copy of each permit 

application (and any application for a permit modification or 

renewal) or such portion thereof, including any compliance plan, 

as the Administrator may require to effectively review the 

application and otherwise to carry out the Administrator’s 

responsibilities under this Act, and

(B) shall provide to the Administrator a copy of each permit 

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 

to the State in which the emission originates, or

(B) that are within 50 miles of the source,

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 determined by the Administrator as not in compliance with the 

applicable requirements of this Act, including the requirements of an 

42 USC 7661d.
Pertinent Sections of the Clean Air Act (P.L. 101–549) 1005

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 receiving notification under subsection (a)(2), objects 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) If the Administrator does not object in writing to the issuance 

of a permit pursuant to paragraph (1), any person may petition the 

Administrator 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 provided by the permitting agency 

(unless the petitioner 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 permitting 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 objection within such period if the 

petitioner demonstrates to the Administrator that the permit is not in 

compliance with the requirements 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.

(3) Upon receipt of an objection by the Administrator under this 

subsection, the permitting authority may not issue the permit unless it 

is revised and 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 Administrator 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 Administrator takes 

final action to issue or deny a permit under this subsection.

(d) WAIVER OF NOTIFICATION REQUIREMENTS.–(1) The 

Administrator may waive the requirements of subsections (a) and (b) at 

the time of approval of a permit program under this Title for any category 

(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 

preceding sentence shall not apply to major sources.
1006 Pertinent Sections of the Clean Air Act (P.L. 101–549)

(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 AUTHORITY TO TERMINATE, 

MODIFY, OR REVOKE AND REISSUE.–If the Administrator finds 

that cause exists to terminate, modify, or revoke 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 notification, forward to the 

Administrator under this section a proposed determination of 

termination, modification, or revocation and reissuance, 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 Administrator may review such 

proposed determination under the provisions of subsections (a) and (b). If 

the permitting authority fails to submit the required proposed 

determination, or if the Administrator objects and the permitting 

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.

Sec. 506. Other Authorities

(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.

Sec. 507. Small Business Stationary Source Technical and

Environmental Compliance Assistance Program

(Text not reprinted.)6

––––––––

6 Added byP.L. 101–549, §501, 104 Stat. 2468, (1990).

42 USC 7661e.

42 USC 7661f.
Sec. 511 of the Fed. Water Pollution Control Act of 1972 1007

B. SECTION 511 OF THE FEDERAL WATER POLLUTION 

CONTROL ACT OF 1972

Public Law 92–500 86 Stat. 893

October 18, 1972

Sec. 511. Other Affected Authority

(a) This act shall not be construed as (1) limiting the authority 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); except 

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 (3) affecting 

or impairing the provisions of any treaty of the United States.

(b) Discharges of pollutants into the navigable waters subject to the 

Rivers and Harbors Act of 1910 (36 Stat. 593; 33 USC 421) and the 

Supervisory Harbors Act of 1888 (25 Stat. 209; 33 USC 441–451b) 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 environment 

within the meaning of the National Environmental Policy Act of 1969 

(83 Stat. 852); and

(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 

permit the conduct of any activity which may result in the 

discharge of a pollutant into the navigable waters to review any 

effluent limitation 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 

precedent 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 of law, the 

Administrator (1) shall not 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 ranking.1

––––––––

1 Amended by P.L. 93–243, § 3, 87 Stat. 1069, (1974).

33 USC 1371.

42 USC 4321 

note.
1008 National Environmental Policy Act of 1969 (P.L. 91–190)

C. NATIONAL ENVIRONMENTAL POLICY ACT OF 1969, AS 

AMENDED

Public Law 91–190 83 Stat. 852

January 1, 1970

An Act

To establish a national policy for the environment, to provide for the 

establishment of a Council on Environmental Quality, and for other 

purposes.

Be it enacted by the Senate and House of Representatives of the 

United States of America in Congress assembled,

Sec. 1. Short Title

That this Act may be cited as the “National Environmental Policy Act of 

1969”

Sec. 2. Purpose

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 and natural 

resources important to the Nation; and to establish a Council on 

Environmental Quality.

Title I

Sec. 101. Declaration of National Environmental Policy

(a) The Congress, recognizing the profound impact of man’s activity 

in the interrelations of all components of the natural environment, 

particularly the profound influences of population growth, high–density 

urbanization, industrial expansion, resource exploitation, and new and 

expanding technological advances and recognizing further 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 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 social, economic, and 

other requirements of present and future generations 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 practicable 

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

(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;

National 

Environmental 

Policy Act of 

1969.

42 USC 4321.

Policies and 

goals.

42 USC 4331.
National Environmental Policy Act of 1969 (P.L. 91–190) 1009

(3) attain the widest range of beneficial uses of the environment 

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 environment 

which supports diversity and variety of individual 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 approach the 

maximum attainable recycling of depletable resources.

(c) The Congress recognizes that each person should enjoy a healthful 

environment and that each person has a responsibility to contribute to the 

preservation and enhancement of the environment.

Sec. 102. Cooperation of Agencies; Reports; Availability of

Information; Recommendations; International and National 

Coordination of Efforts

The Congress authorizes and directs that, to the fullest extent possible 

(1) the policies, regulations, and public 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;

(B) identify and develop methods and procedures, in consultation 

with the Council on Environmental Quality established by Title II of 

this Act, which will insure that presently unquantified environmental 

amenities and values may be given appropriate consideration in 

decisionmaking along with economic and technical considerations;

(C) include in every recommendation or report on proposals for 

legislation and other major Federal actions significantly affecting 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,

(iv) the relationship between local short–term uses of man’s 

environment and the maintenance and enhancement of long–term 

productivity, and

(v) any irreversible and irretrievable commitments of 

resources 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 has jurisdiction by law or special expertise with respect 

to any Environmental impact involved. Copies of such statement and 

the comments and views of the appropriate Federal, State, and local 

agencies, which are authorized to develop and enforce environmental 

standards, shall be made available to the President, the Council on 

Environmental Quality and to the public as provided by section 552 

of Title 5, United States Code, and shall accompany the proposal 

through the existing agency review processes;

42 USC 4332.

Administration.

Copies of 

statements, 

etc.; 

availability.
1010 National Environmental Policy Act of 1969 (P.L. 91–190)

(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

(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 significant impacts upon such State or 

affected Federal land 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 content of the entire 

statement or of any other responsibility under this Act; and further, this 

subparagraph does not affect the legal sufficiency of statements prepared 

by State agencies with less than statewide jurisdiction.1

(E) study, develop, and describe appropriate alternatives to 

recommend courses of action in any proposal which involves 

unresolved conflicts concerning alternative uses of available 

resources;

(F) recognize the worldwide and long–range character of 

environmental problems and, where consistent with the foreign policy 

of the United States, lend appropriate support to initiatives, 

resolutions, 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, institutions, 

and individuals, advice and information useful in restoring, 

maintaining, and enhancing the quality of the environment;

(H) initiate and utilize ecological information in the planning and 

development of resource–oriented projects; and

(I) assist the Council on Environmental Quality established by 

Title II of this Act.

Sec. 103. Conformity of Administrative Procedures to National 

Environmental Policy

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 prohibit 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.

––––––––

1 Amended by P.L. 94–83, 89 Stat. 424, (1975).

42 USC 4333.

Review.
National Environmental Policy Act of 1969 (P.L. 91–190) 1011

Sec. 104. Other Statutory Obligations of Agencies

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 with any 

other Federal or State agency, or (3) to act, or refrain from acting 

contingent upon the recommendations or certification of any other 

Federal or State agency.

Sec. 105. Efforts Supplemental to Existing Authorizations

The polices and goals set forth in this Act are supplementary to those 

set forth in existing authorization of Federal agencies.

Title II

Sec. 201. Council on Environmental Quality (Omit)2

The President shall transmit to the Congress annually 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 the programs and activities (including 

regulatory activities) of the Federal Government, the State and local 

governments, and non–governmental entities or individuals, with 

particular reference to their effect on the environment and on the 

conservation, development and utilization of natural resources; and (5) a 

program for remedying the deficiencies of existing programs and 

activities, together with recommendations for legislation.

Sec. 202. Establishment; Membership; Chairman; Appointments

There is created in the Executive Office of the President a council on 

Environmental Quality (hereinafter referred to as the “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, 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.

––––––––

2 Amended by P.L. 91–190, Title II, § 201, 83 Stat. 854 (1970), which required the 

President to transmit to Congress annually an Environmental Quality Report, terminated, 

effective May 15, 2000, pursuant to P.L. 104–66, § 3003, 109 Stat. 734, (1995), set out as a 

note under 31 U.S.C. § 1113.

42 USC 4334.

42 USC 4335.

42 USC 4341.

Report to 

Congress.

42 USC 4342.

Council on 

Environmental 

Quality.

Report to 

Congress.
1012 National Environmental Policy Act of 1969 (P.L. 91–190)

Sec. 203. Employment of Personnel, Experts and Consultants

(a)3

 The Council may employ such Officers and employees as may 

be necessary to carry out its functions under this Act. In addition, the 

Council may employ and fix the compensation of such experts and 

consultants as may 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).

(b) Notwithstanding section 3679(b) of the Revised Statutes (31 USC 

665(b)), the Council may accept and employ voluntary and 

uncompensated services in furtherance of the purposes of the Council.4

Sec. 204. Duties and Functions

It shall be the duty and function of the Council–

(1) to assist and advise the President in the preparation of the 

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 information for the 

purpose of determining whether such conditions and trends are 

interfering, or are likely to interfere, with the achievement 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;

(4) to develop and recommend to the President national policies 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, surveys, research, and 

analyses relating to ecological systems and environmental quality;

(6) to document and define changes in the natural environment, 

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 state 

and condition of the environment; and

(8) to make and furnish such studies, reports thereon, and 

recommendations with respect to matters of policy and legislation as 

the President may request.

Sec. 205. Consultation with Citizens’ Advisory Committee on 

Environmental Quality and Other Representatives

In exercising its powers, functions, and duties under this Act, the 

council shall–

(1) consult with the Citizens’ Advisory Committee on 

Environmental Quality established by Executive Order numbered 

11472, dated May 29, 1969, and with such representatives of science, 

industry, agriculture, labor, conservation organizations, State and 

local governments and other groups, as it deems advisable; and

––––––––

3 Amended by P.L. 94–52, § 2, 89 Stat. 258, (1975). 4 Amended by P.L. 94–52, § 2, 89 Stat. 258, (1975).

42 USC 4343.

Voluntary and 

uncompensated 

services.

42 USC 4344.

Duties and 

functions.

42 USC 4345.
National Environmental Policy Act of 1969 (P.L. 91–190) 1013

(2) utilize, to the fullest extent possible, the services, facilities, 

and information (including statistical information) of public and 

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 conflict with 

similar activities authorized by law and performed by established 

agencies.

Sec. 206. Tenure and Compensation of Members

Members of the Council shall serve full time and the Chairman of the 

Council shall be compensated at the rate provided for Level II of the 

Executive Schedule Pay Rates (5 USC 5313). The other members of the 

council shall be compensated at the rate provided for Level IV or the 

Executive Schedule Pay Rates (5 USC 5315).

Sec. 207. Travel Reimbursement by Private Organizations and

Federal, State, and Local Governments

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

Sec. 208. Expenditures in Support of International Activities

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.

Sec. 209. Authorization of Appropriations

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.6

––––––––

5 Amended by P.L. 94–52, § 2, 89 Stat. 258, (1975). 6 Amended by P.L. 94–52, § 2, 89 Stat. 258, (1975).

42 USC 4346.

Tenure and 

compensation.

42 USC 4346a.

42 USC 4346b.

42 USC 4347.

Appropriations.
1014 West Valley Demonstration Project Act (P.L. 96–368)

D. WEST VALLEY DEMONSTRATION PROJECT ACT

Public Law 96–368 94 Stat. 1347

October 1, 1980

An Act

To authorize the Department of Energy to carry out a high–level liquid 

nuclear waste management demonstration project at the Western New 

York Service Center in West Valley, New York.

Be it enacted by the Senate and House of Representatives of the 

United States of America in Congress assembled,

Sec. 1. Title

This Act may be cited as the “West Valley Demonstration Project 

Act.”

Sec. 2. Purpose

 “(a) The Secretary shall carry out, in accordance with this Act a high 

level radioactive waste management demonstration project at the 

Western New York Service Center in West Valley, New York, for the 

purpose of demonstrating solidification techniques which can be used for 

preparing high level radioactive waste for disposal. Under the project the 

Secretary shall carry out the following activities:

 “(1) The Secretary shall solidify, in a form suitable for transportation 

and disposal, the high level radioactive waste at the Center by 

vitrification or by such other technology which the Secretary determines 

to be the most effective for solidification.

 “(2) The Secretary shall develop containers suitable for the 

permanent disposal of the high level radioactive waste solidified at the 

Center.

 “(3) The Secretary shall, as soon as feasible, transport, in accordance 

with applicable provisions of law, the waste solidified at the Center to an 

appropriate Federal repository for permanent disposal.

 “(4) The Secretary shall, in accordance with applicable licensing 

requirements, dispose of low level radioactive waste and transuranic 

waste produced by the solidification of the high level radioactive waste 

under the project.

 “(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

 “(C) any material and hardware used in connection with the project,

 in accordance with such requirements as the Commission may 

prescribe.

 “(b) Before undertaking the project and during the fiscal year ending 

September 30, 1981, the Secretary shall carry out the following:

 “(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.

 “(2) The Secretary shall consider the various technologies available 

for the solidification and handling of high level radioactive waste taking 

into account the unique characteristics of such waste at the Center.

42 USC 2021a 

note.

West Valley 

Demonstration 

Project Act.

42 USC 2021a 

note.

Activities.
West Valley Demonstration Project Act (P.L. 96–368) 1015

 “(3) The Secretary shall––

 “(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 solidification 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 techniques,

 “(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 Cooperative Agreement 

Act of 1977 [41 USCS §§ 501 et seq.] under which the State will carry 

out the following:

 “(A) The State will make available to the Secretary the facilities 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 securing 

required license amendments.

 “(C) The State shall pay 10 per centum of the costs of the 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.

 “(D) Submission jointly by the Department of Energy and the State 

of New York of an application for a licensing amendment 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 [enacted 

Oct. 1, 1980], the Secretary shall enter into an agreement with the 

Commission to establish arrangements for review and consultation by the 

Commission with respect to the project: Provided, 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 or actions by the Commission pursuant to the 

Atomic Energy Act of 1954, as amended [42 USCS §§ 2011 et seq. 

generally], the Energy Reorganization Act of 1974, as amended [42 

USCS §§ 5801 et seq. generally], or any other law. The agreement shall 

provide for the following:

 “(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 Commission shall specify with precision its objections to 

any provision of the plan. Upon submission of a plan to the Commission, 

the Secretary shall publish a notice in the Federal Register of the 

submission of the plan and of its availability for public inspection, and, 

upon receipt of the comments of the 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 public 

inspection. If the Secretary does not revise the plan to meet objections 
1016 West Valley Demonstration Project Act (P.L. 96–368)

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 respect 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.

 “(3) The Secretary shall submit to the Commission safety analysis 

reports and such other information as the Commission may 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.

 “(d) In carrying out the project, the Secretary shall consult with the 

Administrator of the Environmental Protection Agency, the Secretary of 

Transportation, the Director of the [United States] Geological Survey, 

and the commercial operator of the Center.

Sec. 3. Appropriation/Authorization

(a) There are authorized to be appropriated to the Secretary for the 

project not more than $5,000,000 for the fiscal year ending September 

30, 1981.

(b) The total amount obligated for the project by the Secretary shall 

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 

amounts as are provided in advance by appropriation Acts.

Sec. 4. Report

Not later than February 1, 1981, and on February 1 of each calendar 

year thereafter during the term of the project, the Secretary shall transmit 

to the Speaker of the House of Representatives and the President pro 

tempore of the Senate an up–to–date report containing a detailed 

description of the activities of the Secretary in carrying out the project, 

including agreements entered into and the costs incurred during the 

period reported on and the activities to be undertaken in the next fiscal 

year and the estimated costs thereof.

Sec. 5. Rights and Obligations

(a) Other than the costs and responsibilities established by this Act for 

the project, nothing in this Act shall be construed as affecting any rights, 

obligations, or liabilities of the commercial operator of the Center, the 

State, or any person, as is appropriate, arising under the Atomic Energy 

Act of 1954 or under any other law, contract, or 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 licensing requirement of the 

Atomic Energy Act of 1954 or the Energy 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 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.

Sec. 6. Definitions

For purposes of this Act:

(1) The term “Secretary” means the Secretary of Energy.

42 USC 2021a 

note.

Appropriation 

authorization.

42 USC 2021a 

note.

Report to 

Speaker of the 

House and 

President pro 

tempore of the 

Senate.

42 USC 2021a 

note.

42 USC 2011 

note.

42 USC 5801 

note.

42 USC 2021a 

note.

Definitions.
West Valley Demonstration Project Act (P.L. 96–368) 1017

(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 waste” 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, 

including 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 11e.(2) of 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.

* * * *

Other Provisions: Reduction In Funding For West Valley 

Demonstration Project

Act November 12, 2001, Public Law 107–66, Title III, 115 Stat. 503, 

provides:

Funding for the West Valley Demonstration Project shall be 

reduced in subsequent fiscal years to the minimum necessary to 

maintain the project in a safe and stable condition, unless not later 

than September 30, 2002, the Secretary:

(1) provides written notification to the Committees on 

Appropriations of the House of Representatives and the Senate 

that agreement has been reached with the State of New York on 

the final scope of Federal activities at the West Valley site and on 

the respective Federal and State cost shares for those activities;

(2) submits a written copy of that agreement to the 

Committees on Appropriations of the House of Representatives 

and the Senate; and

(3) provides a written certification that the Federal actions 

proposed in the agreement will be in full compliance with all 

relevant Federal statutes and are in the best interest of the Federal 

Government. 

42 USC 2014.

Miscellaneous Domestic Legislation and Executive Orders 1019

10. Miscellaneous Domestic Legislation 

and Executive Orders

Miscellaneous Domestic Legislation and Executive Orders 1021

10. Miscellaneous Domestic Legislation and Executive 

Orders

Contents

A. UNITING AND STRENGTHENING AMERICA BY 

PROVIDING APPROPRIATE TOOLS REQUIRED TO 

INTERCEPT AND OBSTRUCT TERRORISM (USA PATRIOT 

ACT) ACT OF 2001................................................................................ 1025

Sec. 808. Definition of Federal Crime of Terrorism.................................. 1025

B. NATIONAL DEFENSE AUTHORIZATION ACT FOR FISCAL 

YEAR 2002 (HOMELAND SECURITY)............................................. 1027

Sec. 3154. Annual Assessment and Report on Vulnerability of 

Department of Energy Facilities to Terrorist Attack............................ 1027

C. PERTINENT SECTIONS OF THE INTELLIGENCE REFORM 

AND TERRORISM PREVENTION ACT OF 2004............................ 1028

Subtitle E–Criminal History Background Checks ....................................... 1028

Sec. 6401. Protect Act .................................................................................. 1028

Sec. 6402. Reviews of Criminal Records of Applicants for Private 

Security Officer Employment.................................................................. 1028

Sec. 6403. Criminal History Background Checks..................................... 1031

Subtitle F–Grand Jury Information Sharing................................................ 1033

Sec. 6501. Grand Jury Information Sharing ............................................. 1033

Sec. 6702. Hoaxes and Recovery Costs....................................................... 1034

Sec. 6703. Obstruction of Justice and False Statements in Terrorism 

Cases.......................................................................................................... 1035

Sec. 6704. Clarification of Definition.......................................................... 1035

Sec. 6803. Participation in Nuclear and Weapons of Mass Destruction 

Threats to the United States.................................................................... 1035

Sec. 6905. Radiological Dispersal Devices.................................................. 1036

D. NATIONAL DEFENSE AUTHORIZATION ACT FOR FISCAL 

YEAR 2000 (TRITIUM PRODUCTION) ............................................ 1038

Sec. 3134. Procedures for Meeting Tritium Production Requirements .. 1038

E. STROM THURMOND NATIONAL DEFENSE 

AUTHORIZATION ACT FOR FISCAL YEAR 1999 (LICENSING 

MOX FUEL FACILITIES).................................................................... 1039

Sec. 3134. Licensing of Certain Mixed Oxide Fuel Fabrication and 

Irradiation Facilities................................................................................. 1039

F. NATIONAL DEFENSE AUTHORIZATION ACT FOR FISCAL 

YEAR 2002 (MOX FUEL) ..................................................................... 1040

Sec. 3155. Disposition of Surplus Defense Plutonium at Savannah 

River Site, Aiken, South Carolina........................................................... 1040
1022 Miscellaneous Domestic Legislation and Executive Orders

G. MISCELLANEOUS DEPARTMENT OF ENERGY NUCLEAR 

PROVISIONS, ENACTED BY PUBLIC LAW 109–58, THE 

ENERGY POLICY ACT OF 2005........................................................ 1042

Sec. 628. Decommissioning Pilot Program................................................. 1042

Sec. 634. Demonstration Hydrogen Production at Existing Nuclear 

Power Plants............................................................................................. 1042

Sec. 635. Prohibition on Assumption by United States Government of 

Liability for Certain Foreign Incidents.................................................. 1042

Sec. 636. Authorization of Appropriations ................................................ 1043

Sec. 638. Standby Support for Certain Nuclear Plant Delays.................. 1043

Subtitle C–Next Generation Nuclear Plant Project...................................... 1045

Sec. 641. Project Establishment.................................................................. 1045

Sec. 642. Project Management.................................................................... 1046

Sec. 643. Project Organization.................................................................... 1046

Sec. 644. Nuclear Regulatory Commission ............................................... 1048

Sec. 645. Project Timelines and Authorization of Appropriations.......... 1049

Sec. 657. Department of Homeland Security Consultation ...................... 1050

Sec. 951. Nuclear Energy ............................................................................ 1050

Sec. 952. Nuclear Energy Research Programs........................................... 1051

Sec. 953. Advanced Fuel Cycle Initiative ................................................... 1052

Sec. 954. University Nuclear Science and Engineering Support.............. 1052

Sec. 955. Department of Energy Civilian Nuclear Infrastructure and 

Facilities .................................................................................................... 1053

Sec. 956. Security of Nuclear Facilities....................................................... 1054

Sec. 957. Alternatives to Industrial Radioactive Sources ......................... 1054

H. EXECUTIVE ORDER 12656–ASSIGNMENT OF EMERGENCY 

PREPAREDNESS RESPONSIBILITIES ............................................ 1056

Part 1–Preamble .............................................................................................. 1056

Section 101. National Security Emergency Preparedness Policy ............. 1056

Section 102. Purpose .................................................................................... 1056

Section 103. Scope ........................................................................................ 1057

Section 104. Management of National Security Emergency..................... 1057

Section 105. Interagency Coordination ...................................................... 1057

Part 2–General Provisions.............................................................................. 1058

Section 201. General .................................................................................... 1058

Section 202. Continuity of Government ..................................................... 1059

Section 203. Resource Management ........................................................... 1059

Section 204. Protection of Essential Resources and Facilities.................. 1059

Section 205. Federal Benefit, Insurance, and Loan Programs................. 1059

Section 206. Research .................................................................................. 1060

Section 207. Redelegation............................................................................ 1060

Section 208. Transfer of Functions............................................................. 1060

Section 209. Retention of Existing Authority............................................. 1060

Part 7–Department of Energy ........................................................................ 1060

Section 701. Lead Responsibilities.............................................................. 1060

Section 702. Support Responsibilities......................................................... 1061

Part 21–Nuclear Regulatory Commission ..................................................... 1061

Section 2101. Lead Responsibilities............................................................ 1061

Section 2102. Support Responsibilities....................................................... 1062
Miscellaneous Domestic Legislation and Executive Orders 1023

Part 29–General............................................................................................... 1062

Section 2901. ................................................................................................. 1062

I. EXECUTIVE ORDER 12657–DEPARTMENT OF HOMELAND 

SECURITY ASSISTANCE IN EMERGENCY PREPAREDNESS 

PLANNING AT COMMERCIAL NUCLEAR POWER PLANTS ... 1063

Section 1. Scope. ........................................................................................... 1063

Section 2. General Applicable Principles and Directives.......................... 1063

Section 3. FEMA Participation in Emergency Preparedness Planning... 1064

Section 4. Evaluation of Plans..................................................................... 1064

Section 5. Response to a Radiological Emergency..................................... 1064

Section 6. Implementation of Order ........................................................... 1065

Section 7. Amendments................................................................................ 1065

Sec. 808 of the U.S.A. Patriot Act (P.L. 107–56) 1025

A. UNITING AND STRENGTHENING AMERICA BY 

PROVIDING APPROPRIATE TOOLS REQUIRED TO 

INTERCEPT AND OBSTRUCT TERRORISM (USA PATRIOT 

ACT) ACT OF 2001

Public Law 107–56 115 Stat. 379

October 26, 2001

An Act

To deter and punish terrorist acts in the United States and around the 

world, to enhance law enforcement investigatory tools, and for other 

purposes.

Sec. 808. Definition of Federal Crime of Terrorism

Section 2332b of title 18, United States Code, is amended–

(1) in subsection (f), by inserting “and any violation of section 

351(e), 844(e), 844(f)(1), 956(b), 1361, 1366(b), 1366(c), 1751(e), 

2152, or 2156 of this title,” before “and the Secretary”; and

(2) in subsection (g)(5)(B), by striking clauses (i) through (iii) and 

inserting the following:

“(i) section 32 (relating to destruction of aircraft or aircraft 

facilities), 37 (relating to violence at international airports), 81 

(relating to arson within special maritime and territorial 

jurisdiction), 175 or 175b (relating to biological weapons), 229 

(relating to chemical weapons), subsection (a), (b), (c), or (d) of 

section 351 (relating to congressional, cabinet, and Supreme 

Court assassination and kidnapping), 831 (relating to nuclear 

materials), 842(m) or (n) (relating to plastic explosives), 844(f)(2) 

or (3) (relating to arson and bombing of Government property 

risking or causing death), 844(i) (relating to arson and bombing of 

property used in interstate commerce), 930(c) (relating to killing 

or attempted killing during an attack on a Federal facility with a 

dangerous weapon), 956(a)(1) (relating to conspiracy to murder, 

kidnap, or maim persons abroad), 1030(a)(1) (relating to 

protection of computers), 1030(a)(5)(A)(i) resulting in damage as 

defined in 1030(a)(5)(B)(ii) through (v) (relating to protection of 

computers), 1114 (relating to killing or attempted killing of 

Officers and employees of the United States), 1116 (relating to 

murder or manslaughter of foreign officials, official guests, or 

internationally protected persons), 1203 (relating to hostage 

taking), 1362 (relating to destruction of communication lines, 

stations, or systems), 1363 (relating to injury to buildings or 

property within special maritime and territorial jurisdiction of the 

United States), 1366(a) (relating to destruction of an energy 

facility), 1751(a), (b), (c), or (d) (relating to Presidential and 

Presidential staff assassination and kidnapping), 1992 (relating to 

wrecking trains), 1993 (relating to terrorist attacks and other acts 

of violence against mass transportation systems), 2155 (relating to 

destruction of national defense materials, premises, or utilities), 

2280 (relating to violence against maritime navigation), 2281 

(relating to violence against maritime fixed platforms), 2332 

(relating to certain homicides and other violence against United 

States nationals occurring outside of the United States), 2332a 
1026 Sec. 808 of the U.S.A. Patriot Act (P.L. 107–56)

(relating to use of weapons of mass destruction), 2332b (relating 

to acts of terrorism transcending national boundaries), 2339 

(relating to harboring terrorists), 2339A (relating to providing 

material support to terrorists), 2339B (relating to providing 

material support to terrorist organizations), or 2340A (relating to 

torture) of this title;

(ii) section 236 (relating to sabotage of nuclear facilities or 

fuel) of the Atomic Energy Act of 1954 (42 USC 2284); or

(iii) section 46502 (relating to aircraft piracy), the second 

sentence of section 46504 (relating to assault on a flight crew with 

a dangerous weapon), section 46505(b)(3) or (c) (relating to 

explosive or incendiary devices, or endangerment of human life 

by means of weapons, on aircraft), section 46506 if homicide or 

attempted homicide is involved (relating to application of certain 

criminal laws to acts on aircraft), or section 60123(b) (relating to 

destruction of interstate gas or hazardous liquid pipeline facility) 

of title 49.
Nat. Defense Auth. Act, 2002 (Homeland Sec.) (P.L. 107–107) 1027

B. NATIONAL DEFENSE AUTHORIZATION ACT

FOR FISCAL YEAR 2002 (HOMELAND SECURITY)

Public Law 107–107 115 Stat. 1271

December 28, 2001

An Act

To authorize appropriations for fiscal year 2002 for military activities of 

the Department of Defense, for military construction, and for defense 

activities of the Department of Energy, to prescribe personnel 

strengths for such fiscal year for the Armed Forces, and for other 

purposes.

Sec. 3154. Annual Assessment and Report on Vulnerability of

Department of Energy Facilities to Terrorist Attack

(a) IN GENERAL.–Part C of title VI of the Department of Energy 

Organization Act (42 U.S.C. 7251 et seq.) is amended by adding at the 

end the following new section:

Sec. 663.

(a) The Secretary shall, on an annual basis, conduct a 

comprehensive assessment of the vulnerability of Department 

facilities to terrorist attack.

(b) Not later than January 31 each year, the Secretary shall submit 

to Congress a report on the assessment conducted under subsection 

(a) during the preceding year. Each report shall include the results of 

the assessment covered by such report, together with such findings 

and recommendations as the Secretary considers appropriate.''.

(b) CLERICAL AMENDMENT.–The table of sections at the 

beginning of that Act is amended by inserting after the item relating to 

section 662 the following new item:

Sec. 663. Annual assessment and report on vulnerability of 

facilities to terrorist attack.

* * * *

42 USC 7270c.

Deadline.
1028 Intel. Reform and Terrorism Prevention Act (P.L. 108–458)

C. PERTINENT SECTIONS OF THE INTELLIGENCE REFORM 

AND TERRORISM

PREVENTION ACT OF 2004

Public Law 108–458 118 Stat. 3755

December 17, 2004

Subtitle E–Criminal History Background Checks

Sec. 6401. Protect Act

Public Law 108–21 is amended–

(1) in section 108(a)(2)(A) by striking “an 18 month” and inserting “a 

30–month”; and

(2) in section 108(a)(3)(A) by striking “an 18–month” and inserting 

“a 30–month”.

Sec. 6402. Reviews of Criminal Records of Applicants for Private 

Security Officer Employment

Security Officer Employment Authorization Act of 2004”.

(a) SHORT TITLE.–This section may be cited as the “Private 

Security Officer Employment Authorization Act of 2004”.

(b) FINDINGS.–Congress finds that–

(1) employment of private security Officers in the United States is 

growing rapidly;

(2) private security Officers function as an adjunct to, but not a 

replacement for, public law enforcement by helping to reduce and 

prevent crime;

(3) such private security Officers protect individuals, property, 

and proprietary information, and provide protection to such diverse 

operations as banks, hospitals, research and development centers, 

manufacturing facilities, defense and aerospace contractors, high 

technology businesses, nuclear power plants, chemical companies, oil 

and gas refineries, airports, communication facilities and operations, 

Office complexes, schools, residential properties, apartment 

complexes, gated communities, and others;

(4) sworn law enforcement Officers provide significant services to 

the citizens of the United States in its public areas, and are 

supplemented by private security Officers; 

(5) the threat of additional terrorist attacks requires cooperation 

between public and private sectors and demands professional, 

reliable, and responsible security Officers for the protection of 

people, facilities, and institutions;

(6) the trend in the Nation toward growth in such security services 

has accelerated rapidly; 

(7) such growth makes available more public sector law 

enforcement Officers to combat serious and violent crimes, including 

terrorism; 

(8) the American public deserves the employment of qualified, 

well–trained private security personnel as an adjunct to sworn law 

enforcement Officers; and 

(9) private security Officers and applicants for private security 

Officer positions should be thoroughly screened and trained.

42 USC 5119a 

note.

28 USC 534 

note.

Private 

Security 

Officer

Employment 

Authorization 

Act of 2004.
Intel. Reform and Terrorism Prevention Act (P.L. 108–458) 1029

(c) DEFINITIONS.–In this section:

(1) EMPLOYEE.–The term “employee” includes both a current 

employee and an applicant for employment as a private security 

Officer.

(2) AUTHORIZED EMPLOYER–The term “authorized 

employer” means any person that–

(A) employs private security Officers; and

(B) is authorized by regulations promulgated by the Attorney 

General to request a criminal history record information search of 

an employee through a State identification bureau pursuant to this 

section.

(3) PRIVATE SECURITY OFFICER.–The term “private security 

Officer”–

(A) means an individual other than an employee of a Federal, 

State, or local government, whose primary duty is to perform 

security services, full or part time, for consideration, whether 

armed or unarmed and in uniform or plain clothes (except for 

services excluded from coverage under this Act if the Attorney 

General determines by regulation that such exclusion would serve 

the public interest); but

(B) does not include–

(i) employees whose duties are primarily internal audit or 

credit functions;

(ii) employees of electronic security system companies 

acting as technicians or monitors; or

(iii) employees whose duties primarily involve the secure 

movement of prisoners.

(4) SECURITY SERVICES.–The term “security services” means 

acts to protect people or property as defined by regulations 

promulgated by the Attorney General.

(5) STATE IDENTIFICATION BUREAU.–The term “State 

identification bureau” means the State entity designated by the 

Attorney General for the submission and receipt of criminal history 

record information.

(d) CRIMINAL HISTORY RECORD INFORMATION SEARCH.–

(1) IN GENERAL.–

(A) SUBMISSION OF FINGERPRINTS.–An authorized 

employer may submit to the State identification bureau of a 

participating State, fingerprints or other means of positive 

identification, as determined by the Attorney General, of an 

employee of such employer for purposes of a criminal history 

record information search pursuant to this Act. 

(B) EMPLOYEE RIGHTS.–

(i) PERMISSION.–An authorized employer shall obtain 

written consent from an employee to submit to the State 

identification bureau of the participating State the request to 

search the criminal history record information of the employee 

under this Act.

(ii) ACCESS.–An authorized employer shall provide to the 

employee confidential access to any information relating to 

the employee received by the authorized employer pursuant to 

this Act.

(C) PROVIDING INFORMATION TO THE STATE 

IDENTIFICATION BUREAU.–Upon receipt of a request for a 

criminal history record information search from an authorized 
1030 Intel. Reform and Terrorism Prevention Act (P.L. 108–458)

employer pursuant to this Act, submitted through the State 

identification bureau of a participating State, the Attorney General 

shall–

(i) search the appropriate records of the Criminal Justice 

Information Services Division of the Federal Bureau of 

Investigation; and

(ii) promptly provide any resulting identification and 

criminal history record information to the submitting State 

identification bureau requesting the information. 

(D) USE OF INFORMATION.–

(i) IN GENERAL.–Upon receipt of the criminal history 

record information from the Attorney General by the State 

identification bureau, the information shall be used only as 

provided in clause (ii).

(ii) TERMS–In the case of–

(I) a participating State that has no State standards for 

qualification to be a private security Officer, the State shall 

notify an authorized employer as to the fact of whether an 

employee has been–

(aa) convicted of a felony, an offense involving 

dishonesty or a false statement if the conviction 

occurred during the previous 10 years, or an offense 

involving the use or attempted use of physical force 

against the person of another if the conviction occurred 

during the previous 10 years; or

(bb) charged with a criminal felony for which there 

has been no resolution during the preceding 365 days; 

or

(II) a participating State that has State standards for 

qualification to be a private security Officer, the State shall 

use the information received pursuant to this Act in 

applying the State standards and shall only notify the 

employer of the results of the application of the State 

standards.

(E) FREQUENCY OF REQUESTS.–An authorized employer 

may request a criminal history record information search for an 

employee only once every 12 months of continuous employment 

by that employee unless the authorized employer has good cause 

to submit additional requests.

(2) REGULATIONS.–Not later than 180 days after the date of

enactment of this Act, the Attorney General shall issue such final or 

interim final regulations as may be necessary to carry out this Act, 

including–

(A) measures relating to the security, confidentiality, 

accuracy, use, submission, dissemination, destruction of 

information and audits, and record keeping; 

(B) standards for qualification as an authorized employer; and

(C) the imposition of reasonable fees necessary for conducting 

the background checks.

(3) CRIMINAL PENALTIES FOR USE OF INFORMATION.–

Whoever knowingly and intentionally uses any information obtained 

pursuant to this Act other than for the purpose of determining the 

suitability of an individual for employment as a private security 

Officer shall be fined under title 18, United States Code, or 

imprisoned for not more than 2 years, or both. 

Notification.

Deadline.
Intel. Reform and Terrorism Prevention Act (P.L. 108–458) 1031

(4) USER FEES.–

(A) IN GENERAL.–The Director of the Federal Bureau of 

Investigation may–

(i) collect fees to process background checks provided for 

by this Act; and

(ii) establish such fees at a level to include an additional 

amount to defray expenses for the automation of fingerprint 

identification and criminal justice information services and 

associated costs. 

(B) LIMITATIONS.–Any fee collected under this subsection–

(i) shall, consistent with Public Law 101–515 and 

Public Law 104–99, be credited to the appropriation to be 

used for salaries and other expenses incurred through 

providing the services described in such Public Laws and 

in subparagraph (A);

(ii) shall be available for expenditure only to pay the 

costs of such activities and services; and

(iii) shall remain available until expended.

(C) STATE COSTS.–Nothing in this Act shall be construed as 

restricting the right of a State to assess a reasonable fee on an 

authorized employer for the costs to the State of administering 

this Act.

(5) STATE OPT OUT.–A State may decline to participate in the 

background check system authorized by this Act by enacting a law or 

issuing an order by the Governor (if consistent with State law) 

providing that the State is declining to participate pursuant to this 

subsection.

Sec. 6403. Criminal History Background Checks

(a) IN GENERAL. –Not later than 180 days after the date of 

enactment of this Act, the Attorney General shall report to the Judiciary 

Committee of the Senate and the Judiciary Committee of the House of 

Representatives regarding all statutory requirements for criminal history 

record checks that are required to be conducted by the Department of 

Justice or any of its components.

(b) DEFINITIONS.–As used in this section–

(1) the terms “criminal history information” and “criminal history 

records” include–

(A) an identifying description of the individual to whom the 

information or records pertain;

(B) notations of arrests, detentions, indictments, or other 

formal criminal charges pertaining to such individual; and

(C) any disposition to a notation described in subparagraph 

(B), including acquittal, sentencing, correctional supervision, or 

release; and

(2) the term “IAFIS” means the Integrated Automated Fingerprint 

Identification System of the Federal Bureau of Allocation, which 

serves as the national depository for fingerprint, biometric, and 

criminal history information, through which fingerprints are 

processed electronically.

(c) IDENTIFICATION OF INFORMATION.–The Attorney General 

shall identify–

(1) the number of criminal history record checks requested, 

including the type of information requested;

(2) the usage of different terms and definitions regarding criminal 

history information; and

Deadline 

Reports.
1032 Intel. Reform and Terrorism Prevention Act (P.L. 108–458)

(3) the variation in fees charged for such information and who 

pays such fees.

(d) RECOMMENDATIONS. –The Attorney General shall make 

recommendations to Congress for improving, standardizing, and 

consolidating the existing statutory authorization, programs, and 

procedures for the conduct of criminal history record checks for non–

criminal justice purposes. In making these recommendations to 

Congress, the Attorney General shall consider–

(1) the effectiveness and efficiency of utilizing commercially 

available databases as a supplement to IAFIS criminal history 

information checks; 

(2) any security concerns created by the existence of these 

commercially available databases concerning their ability to provide 

sensitive information that is not readily available about law 

enforcement or intelligence officials, including their identity, 

residence, and financial status; 

(3) the effectiveness of utilizing State databases; 

(4) any feasibility studies by the Department of Justice of the 

resources and structure of the Federal Bureau of Investigation to 

establish a system to provide criminal history information; 

(5) privacy rights and other employee protections, including–

(A) employee consent; 

(B) access to the records used if employment was denied; 

(C) the disposition of the fingerprint submissions after the 

records are searched; 

(D) an appeal mechanism; and 

(E) penalties for misuse of the information; 

(6) the scope and means of processing background checks for 

private employers utilizing data maintained by the Federal Bureau of 

Investigation that the Attorney General should be allowed to 

authorize in cases where the authority for such checks is not available 

at the State level; 

(7) any restrictions that should be placed on the ability of an 

employer to charge an employee or prospective employee for the cost 

associated with the background check; 

(8) which requirements should apply to the handling of 

incomplete records; 

(9) the circumstances under which the criminal history 

information should be disseminated to the employer; 

(10) the type of restrictions that should be prescribed for the 

handling of criminal history information by an employer; 

(11) the range of Federal and State fees that might apply to such 

background check requests; 

(12) any requirements that should be imposed concerning the time 

for responding to such background check requests; 

(13) any infrastructure that may need to be developed to support 

the processing of such checks, including–

(A) the means by which information is collected and 

submitted in support of the checks; and 

(B) the system capacity needed to process such checks at the 

Federal and State level; 

(14) the role that States should play; and 

(15) any other factors that the Attorney General determines to be 

relevant to the subject of the report.

Procedures.
Intel. Reform and Terrorism Prevention Act (P.L. 108–458) 1033

(e) CONSULTATION.–In developing the report under this section, 

the Attorney General shall consult with representatives of State criminal 

history record repositories, the National Crime Prevention and Privacy 

Compact Council, appropriate representatives of private industry, and 

representatives of labor, as determined appropriate by the Attorney 

General.

Subtitle F–Grand Jury Information Sharing

Sec. 6501. Grand Jury Information Sharing

(a) RULE AMENDEMENTS.–Rule 6(e) of the Federal Rules of

Criminal Procedure is amended–

(1) in paragraph (3)–

(A) in subparagraph (A)(ii), by striking “or state subdivision 

or of an Indian tribe” and inserting “, state subdivision, Indian 

tribe, or foreign government”; 

(B) in subparagraph (D)–

(i) by inserting after the first sentence the following: “An 

attorney for the government may also disclose any grand jury 

matter involving, within the United States or elsewhere, a 

threat of attack or other grave hostile acts of a foreign power 

or its agent, a threat of domestic or international sabotage or 

terrorism, or clandestine intelligence gathering activities by an 

intelligence service or network of a foreign power or by its 

agent, to any appropriate Federal, State, State subdivision, 

Indian tribal, or foreign government official, for the purpose of 

preventing or responding to such threat or activities.”; and 

(ii) in clause (i)–

(I) by striking “federal”; and 

(II) by adding at the end the following: “Any State, 

State subdivision, Indian tribal, or foreign government 

official who receives information under Rule 6(e)(3)(D) 

may use the information only consistent with such 

guidelines as the Attorney General and the Director of 

National Intelligence shall jointly issue.”; and

(C) in subparagraph (E)–

(i) by redesignating clauses (iii) and (iv) as clauses (iv) and 

(v), respectively;

(ii) by inserting after clause (ii) the following:

“(iii) at the request of the government, when sought by 

a foreign court or prosecutor for use in an official criminal 

investigation;''; and

(iii) in clause (iv), as redesignated–

(I) by striking “state or Indian tribal” and inserting 

“State, Indian tribal, or foreign”; and 

(II) by striking “or Indian tribal official” and 

inserting “Indian tribal, or foreign government 

official”; and

(2) in paragraph (7), by inserting”, or of guidelines jointly issued 

by the Attorney General and the Director of National Intelligence 

pursuant to Rule 6,” after “Rule 6”.

(b) CONFORMING AMENDMENT.–Section 203(c) of Public Law 

107–56 (18 U.S.C. 2517 note) is amended by striking “Rule 6(e)(3) 

(C)(i)(V) and (VI)'' and inserting “Rule 6(e)(3)(D)”.

18 USC app.
1034 Intel. Reform and Terrorism Prevention Act (P.L. 108–458)

* * * *

Sec. 6702. Hoaxes and Recovery Costs

(a) PROHIBITION ON HOAXES.– Chapter 47 of title 18, United

18 

States Code, is amended b inserting after section 1037 the following:

“§1038. False Information and Hoaxes

(a) CRIMINAL VIOLATION.–

(1) IN GENERAL.–Whoever engages in any conduct with 

intent to convey false or misleading information under 

circumstances where such information may reasonably be 

believed and where such information indicates that an activity has 

taken, is taking, or will take place that would constitute a violation 

of chapter 2, 10, 11B, 39, 40, 44, 111, or 113B of this title, section 

236 of the Atomic Energy Act of 1954 (42 U.S.C. 2284), or 

section 46502, the second sentence of section 46504, section 

46505(b)(3) or (c), section 46506 if homicide or attempted 

homicide is involved, or section 60123(b) of title 49, shall–

“(A) be fined under this title or imprisoned not more than 5 

years, or both; 

(B) if serious bodily injury results, be fined under this title 

or imprisoned not more than 20 years, or both; and

(C) if death results, be fined under this title or imprisoned 

for any number of years up to life, or both.

“(2) ARMED FORCES.–Any person who makes a false 

statement, with intent to convey false or misleading information, 

about the death, injury, capture, or disappearance of a member of 

the Armed Forces of the United States during a war or armed 

conflict in which the United States is engaged–

(A) shall be fined under this title, imprisoned not more 

than 5 years, or both; 

(B) if serious bodily injury results, shall be fined under this 

title, imprisoned not more than 20 years, or both; and

(C) if death results, shall be fined under this title, 

imprisoned for any number of years or for life, or both.

(b) CIVIL ACTION.–Whoever engages in any conduct with intent to 

convey false or misleading information under circumstances where such 

information may reasonably be believed and where such information 

indicates that an activity has taken, is taking, or will take place that 

would constitute a violation of chapter 2, 10, 11B, 39, 40, 44, 111, or 

113B of this title, section 236 of the Atomic Energy Act of 1954 (42 

U.S.C. 2284), or section 46502, the second sentence of section 46504, 

section 46505 (b)(3) or (c), section 46506 if homicide or attempted 

homicide is involved, or section 60123(b) of title 49 is liable in a civil 

action to any party incurring expenses incident to any emergency or 

investigative response to that conduct, for those expenses.

(c) REIMBURSEMENT.–

(1) IN GENERAL.–The court, in imposing a sentence on a 

defendant who has been convicted of an offense under subsection (a), 

shall order the defendant to reimburse any state or local government, 

or private not–for–profit organization that provides fire or rescue 

service incurring expenses incident to any emergency or investigative 

response to that conduct, for those expenses. 

(2) LIABILITY.–A person ordered to make reimbursement under 

this subsection shall be jointly and severally liable for such expenses 

18 USC 1 note.
Intel. Reform and Terrorism Prevention Act (P.L. 108–458) 1035

with each other person, if any, who is ordered to make reimbursement 

under this subsection for the same expenses. 

(3) CIVIL JUDGMENT.–An order of reimbursement under this 

subsection shall, for the purposes of enforcement, be treated as a civil 

judgment.

(d) ACTIVITIES OF LAW ENFORCEMENT.–This section does not 

prohibit any lawfully authorized investigative, protective, or intelligence 

activity of a law enforcement agency of the United States, a State, or 

political subdivision of a State, or of an intelligence agency of the United 

States.

(b) CLERICAL AMENDMENT.–The table of sections as the 

beginning of chapter 47 of title 18, United States Code, is amended by 

adding after the item for section 1037 the following:

“1038. False information and hoaxes.''.

Sec. 6703. Obstruction of Justice and False Statements in Terrorism 

Cases

(a) ENHANCED PENALTY–Section 1001(a) and the third 

undesignated paragraph of section 1505 of title 18, United States 

Code, are amended by striking ``be fined under this title or 

imprisoned not more than 5 years, or both'' and inserting ``be 

fined under this title, imprisoned not more than 5 years or, if the 

offense involves international or domestic terrorism (as defined 

in section 2331), imprisoned not more than 8 years, or both''.

(b) SENTENCING GUIDELINE. –Not later than 30 days of the 

enactment of this section, the United States Sentencing Commission 

shall amend the Sentencing Guidelines to provide for an increased 

offense level for an offense under sections 1001(a) and 1505 of title 18, 

United States Code, if the offense involves international or domestic 

terrorism, as defined in section 2331 of such title.

Sec. 6704. Clarification of Definition

Section 1958 of title 18, United States Code, is amended–

(1) in subsection (a), by striking “facility in” and inserting 

“facility of”; and

(2) in subsection (b)(2), by inserting “or foreign” after 

“interstate”. 

* * * *

Sec. 6803. Participation in Nuclear and Weapons of Mass 

Destruction Threats to the United States

(2) by inserting after section 831 the following:

“Sec. 832. Participation in Nuclear and Weapons of Mass 

Destruction Threats to the United States

“(a) Whoever , within the United States or subject to the 

jurisdiction of the United States, willfully participates in or 

knowingly provides material support or resources (as defined in 

section 2339A) to a nuclear weapons program or other weapons of 

mass destruction program of a foreign terrorist power, or attempts or 

conspires to do so, shall be imprisoned for not more than 20 years.

“(b) There is extraterritorial Federal jurisdiction over an offense 

under this section.

“(c) Whoever without lawful authority develops, possesses, or 

attempts or conspires to develop or possess a radiological weapon, or 

threatens to use or uses a radiological weapon against any person 

within the United States, or a national of the United States while such 

Deadline.

28 USC 994 

note.
1036 Intel. Reform and Terrorism Prevention Act (P.L. 108–458)

national is outside of the United States or against any property that is 

owned, leased, funded, or used by the United States, whether that 

property is within or outside of the United States, shall be imprisoned 

for any term of years or for life.

“(d) As used in this section–

“(1) 'nuclear weapons program' means a program or plan for 

the development, acquisition, or production of any nuclear 

weapon or weapons;

“(2) ‛weapons of mass destruction program‛ means a program 

or plan for the development, acquisition, or production of any 

weapon or weapons of mass destruction (as defined in section 

2332a(c));

“(3) 'foreign terrorist power' means a terrorist organization 

designated under section 219 of the Immigration and Nationality 

Act, or a state sponsor of terrorism designated under section 6(j) 

of the Export Administration Act of 1979 or section 620A of the 

Foreign Assistance Act of 1961; and

“(4) `nuclear weapon' means any weapon that contains or uses 

nuclear material as defined in section 831(f)(1).''; and

“(3) in section 2332b(g)(5)(B)(i), by inserting after “nuclear 

materials),'' the following: ``832 (relating to participation in 

nuclear and weapons of mass destruction threats to the United 

States)''. 

* * * *

Sec. 6905. Radiological Dispersal Devices

Chapter 113B of title 18, United States Code, is amended by adding 

after section 2332g the following:

Sec. 2332h. Radiological dispersal devices

(a) UNLAWFUL CONDUCT.–

“(1) IN GENERAL.–Except as provided in paragraph (2), it 

shall be unlawful for any person to knowingly produce, construct, 

otherwise acquire, transfer directly or indirectly, receive, possess, 

import, export, or use, or possess and threaten to use–

“(A) any weapon that is designed or intended to release 

radiation or radioactivity at a level dangerous to human life; or

“(B) any device or other object that is capable of and 

designed or intended to endanger human life through the 

release of radiation or radioactivity.

“(2) EXCEPTION.–This subsection does not apply with 

respect to–

“(A) conduct by or under the authority of the United States 

or any department or agency thereof; or

“(B) conduct pursuant to the terms of a contract with the 

United States or any department or agency thereof.

“(b) JURISDICTION.–Conduct prohibited by subsection (a) is 

within the jurisdiction of the United States if–

“(1) the offense occurs in or affects interstate or foreign 

commerce;

“(2) the offense occurs outside of the United States and is 

committed by a national of the United States;

“(3) the offense is committed against a national of the United 

States while the national is outside the United States;
Intel. Reform and Terrorism Prevention Act (P.L. 108–458) 1037

“(4) the offense is committed against any property that is 

owned, leased, or used by the United States or by any department 

or agency of the United States, whether the property is within or 

outside the United States; or

“(5) an offender aids or abets any person over whom 

jurisdiction exists under this subsection in committing an offense 

under this section or conspires with any person over whom 

jurisdiction exists under this subsection to commit an offense 

under this section.

“(c) CRIMINAL PENALTIES.–

“(1) IN GENERAL.––Any person who violates, or 

attempts or conspires to violate, subsection (a) shall be fined 

not more than $2,000,000 and shall be sentenced to a term of 

imprisonment not less than 25 years or to imprisonment for 

life.

“(2) OTHER CIRCUMSTANCES.–Any person who, in 

the course of a violation of subsection (a), uses, attempts or 

conspires to use, or possesses and threatens to use, any item or 

items described in subsection (a), shall be fined not more than 

$2,000,000 and imprisoned for not less than 30 years or 

imprisoned for life.

“(3) SPECIAL CIRCUMSTANCES.–If the death of 

another results from a person's violation of subsection (a), the 

person shall be fined not more than $2,000,000 and punished 

by imprisonment for life.''. 

* * * *
1038 Nat. Def. Auth. Act, FY 2000 (Tritium Prod.) (P.L. 106–65)

D. NATIONAL DEFENSE AUTHORIZATION ACT FOR FISCAL 

YEAR 2000 (TRITIUM PRODUCTION)1

FISCAL YEAR 2000

Public Law 106–65 113 Stat. 927

October 5, 1999

* * * *

Sec. 3134. Procedures for Meeting Tritium Production Requirements

(a) PRODUCTION OF NEW TRITIUM–The Secretary of Energy 

shall produce new tritium to meet the requirements of the Nuclear 

Weapons Stockpile Memorandum at the Tennessee Valley Authority 

Watts Bar or Sequoyah nuclear power plants consistent with the 

Secretary’s December 22, 1998, decision document designating the 

Secretary’s preferred tritium production technology.

(b) SUPPORT–To support the method of tritium production set forth 

in subsection (a), the Secretary shall design and construct a new tritium 

extraction facility in the H–Area of the Savannah River Site, Aiken, 

South Carolina.

(c) DESIGN AND ENGINEERING DEVELOPMENT–The 

Secretary shall–

(1) complete preliminary design and engineering development of 

the Accelerator Production of Tritium technology design as a backup 

source of tritium to the source set forth in subsection (a) and 

consistent with the Secretary’s December 22, 1998, decision 

document; and

(2) make available those funds necessary to complete engineering 

development and demonstration, preliminary design, and detailed 

design of key elements of the system consistent with the Secretary’s 

decision document of December 22, 1998.

––––––––

1 P.L. 107-314, Div. D, Title XLII, § 4235, as added by P.L. 108-136, Div. C, 

Title XXXI, § 3141(e)(20), 117 Stat. 1762, (2003).

50 USC 2545.
Nat. Defense Auth. Act, 1999 (MOX Fuel Lic.) (P.L. 105–261) 1039

E. STROM THURMOND NATIONAL DEFENSE 

AUTHORIZATION ACT FOR

FISCAL YEAR 1999 (LICENSING MOX FUEL FACILITIES)

Public Law 105–261 112 Stat. 2247

October 17, 1998

* * * *

Sec. 3134. Licensing of Certain Mixed Oxide Fuel Fabrication and

Irradiation Facilities

(a) LICENSE REQUIREMENT–Section 202 of the Energy 

Reorganization Act of 1974 (42 USC 5842) is amended by adding at the 

end the following new paragraph:

“(5) Any facility under a contract with and for the account of the 

Department of Energy that is utilized for the express purpose of 

fabricating mixed plutonium–uranium oxide nuclear reactor fuel for 

use in a commercial nuclear reactor licensed under such Act, other 

than any such facility t hat is utilized for research, development, 

demonstration, testing, or analysis purposes.”.

(b) AVAILABILITY OF FUNDS FOR LICENSING BY NRC–

Section 210 of the Department of Energy Authorization Act of 1981 (42 

USC 7272) shall not apply to any licensing activities required pursuant to 

section 202(5) of the Energy Reorganization Act of 1974 (42 USC 5842), 

as added by subsection (a).

(c) APPLICABILITY OF OCCUPATIONAL SAFETY AND 

HEALTH REQUIREMENTS TO ACTIVITIES UNDER LICENSE–

Any activities carried out under a license required pursuant to section 

202(5) of the Energy Reorganization Act of 1974 (42 USC 5842), as 

added by subsection (a), shall be subject to regulation under the 

Occupational Safety and Health Act of 1970 (29 USC 651 et seq.).

42 USC 5842 

note.

42 USC 5842 

note.
1040 Nat. Def. Auth. Act, FY 2002 (MOX Fuel) (P.L. 107–107)

F. NATIONAL DEFENSE AUTHORIZATION ACT FOR FISCAL 

YEAR 2002 (MOX FUEL)

Public Law 107–107 115 STAT. 1012

December 28, 2001

* * * *

Sec. 3155. Disposition of Surplus Defense Plutonium at Savannah 

River Site, Aiken, South Carolina

(a) CONSULTATION REQUIRED.–The Secretary of Energy shall 

consult with the Governor of the State of South Carolina regarding any 

decisions or plans of the Secretary related to the disposition of surplus 

defense plutonium and defense plutonium materials located at the 

Savannah River Site, Aiken, South Carolina.

(b) NOTICE REQUIRED.–For each shipment of defense plutonium 

or defense plutonium materials to the Savannah River Site, the Secretary 

shall, not less than 30 days before the commencement of such shipment, 

submit to the congressional defense committees a report providing notice 

of such shipment.

(c) PLAN FOR DISPOSITION.–The Secretary shall prepare a plan 

for disposal of the surplus defense plutonium and defense plutonium 

materials currently located at the Savannah River Site and for disposal of 

defense plutonium and defense plutonium materials to be shipped to the 

Savannah River Site in the future. The plan shall include the following:

(1) A review of each option considered for such disposal.

(2) An identification of the preferred option for such disposal.

(3) With respect to the facilities for such disposal that are required 

by the Department of Energy's Record of Decision for the Storage 

and Disposition of Weapons–Usable Fissile Materials Final 

Programmatic Environmental Impact Statement dated January 14, 

1997–

(A) a statement of the cost of construction and operation of 

such facilities;

(B) a schedule for the expeditious construction of such 

facilities, including milestones; and

(C) a firm schedule for funding the cost of such facilities.

(4) A specification of the means by which all such defense 

plutonium and defense plutonium materials will be removed in a 

timely manner from the Savannah River Site for storage or disposal 

elsewhere.

(d) PLAN FOR ALTERNATIVE DISPOSITION.–If the Secretary 

determines not to proceed at the Savannah River Site with construction 

of the plutonium immobilization plant, or with the mixed oxide fuel 

fabrication facility, the Secretary shall prepare a plan that identifies a 

disposition path for all defense plutonium and defense plutonium 

materials that would otherwise have been disposed of at such plant or 

such facility, as applicable.

(e) SUBMISSION OF PLANS.–Not later than February 1, 2002, the 

Secretary shall submit to Congress the plan required by subsection (c) 

(and the plan prepared under subsection (d), if applicable).

(f) LIMITATION ON PLUTONIUM SHIPMENTS.–If the Secretary 

does not submit to Congress the plan required by subsection (c) (and the 

plan prepared under subsection (d), if applicable) by February 1, 2002, 

50 USC 2567.

Deadline.
Nat. Defense Auth. Act, 1999 (MOX Fuel) (P.L. 107–107) 1041

the Secretary shall be prohibited from shipping defense plutonium or 

defense plutonium materials to the Savannah River Site during the period 

beginning on February 1, 2002, and ending on the date on which such 

plans are submitted to Congress.

(g) RULE OF CONSTRUCTION.–Nothing in this section may be 

construed to prohibit or limit the Secretary from shipping defense 

plutonium or defense plutonium materials to sites other than the 

Savannah River Site during the period referred to in subsection (f) or any 

other period.

(h) ANNUAL REPORT ON FUNDING FOR FISSILE 

MATERIALS DISPOSITION ACTIVITIES.–The Secretary shall 

include with the budget justification materials submitted to Congress in 

support of the Department of Energy budget for each fiscal year (as 

submitted with the budget of the President under section 1105(a) of title 

31, United States Code) a report setting forth the extent to which 

amounts requested for the Department for such fiscal year for fissile 

materials disposition activities will enable the Department to meet 

commitments for the disposition of surplus defense plutonium and 

defense plutonium materials located at the Savannah River Site, and for 

any other fissile materials disposition 
1042 Misc. Provisions from Energy Pol. Act of 2005 (P.L. 109–58)

G. MISCELLANEOUS DEPARTMENT OF ENERGY NUCLEAR 

PROVISIONS, ENACTED BY PUBLIC LAW 109–58, THE 

ENERGY POLICY ACT OF 2005

Public Law 109–58 119 Stat. 785

August 8, 2005

* * * *

Sec. 628. Decommissioning Pilot Program1

(a) PILOT PROGRAM.–The Secretary shall establish a 

decommissioning pilot program under which the Secretary shall 

decommission and decontaminate the sodium–cooled fast breeder 

experimental test–site reactor located in northwest Arkansas, in 

accordance with the decommissioning activities contained in the report of 

the Department relating to the reactor, dated August 31, 1998.

(b) AUTHORIZATION OF APPROPRIATIONS.–There is 

authorized

to be appropriated to the Secretary to carry out this section $16,000,000.

Sec. 634. Demonstration Hydrogen Production at Existing Nuclear 

Power Plants2

(a) DEMONSTRATION PROJECTS.–The Secretary shall provide 

for the establishment of 2 projects in geographic areas that are regionally 

and climatically diverse to demonstrate the commercial production of 

hydrogen at existing nuclear power plants.

(b) ECONOMIC ANALYSIS.–Prior to making an award under 

subsection (a), the Secretary shall determine whether the use of existing 

nuclear power plants is a cost–effective means of producing hydrogen.

(c) AUTHORIZATION OF APPROPRIATIONS.–There are 

authorized to be appropriated to the Secretary for the purposes of 

carrying out this section not more than $100,000,000.

Sec. 635. Prohibition on Assumption by United States Government of

Liability for Certain Foreign Incidents 3

(a) IN GENERAL.–Notwithstanding any other provision of law, no 

Officer of the United States or of any department, agency, or 

instrumentality of the United States Government may enter into any 

contract or other arrangement, or into any amendment or modification of 

a contract or other arrangement, the purpose or effect of which would be 

to directly or indirectly impose liability on the United States 

Government, or any department, agency, or instrumentality of the United 

States Government, or to otherwise directly or indirectly require an 

indemnity by the United States Government, for nuclear incidents 

occurring in connection with the design, construction, or operation of a 

production facility or utilization facility in any country whose 

government has been identified by the Secretary of State as engaged in 

state sponsorship of terrorist activities (specifically including any country 

the government of which, as of September 11, 2001, had been 

determined by the Secretary of State under section 620A(a) of the 

Foreign Assistance Act of 1961 (22 U.S.C. 2371(a)), section 6(j)(1) of 

the Export Administration Act of 1979 (50 U.S.C. App. 2405(j)(1)), or 

section 40(d) of the Arms Export Control Act (22 U.S.C. 2780(d)) to 

––––––––

1 Added by P.L. 109–58, 119 Stat. 785 (2005). 2 Added by P.L. 109–58, 119 Stat. 790 (2005). 3 Added by P.L. 109–58, 119 Stat. 790 (2005).

42 USC 16011.

42 USC 16012.
Misc. Provisions from Energy Pol. Act of 2005 (P.L. 109–58) 1043

have repeatedly provided support for acts of international terrorism). This 

section shall not apply to nuclear incidents occurring as a result of 

missions, carried out under the direction of the Secretary, the Secretary of 

Defense, or the Secretary of State, that are necessary to safely secure, 

store, transport, or remove nuclear materials for nuclear safety or 

nonproliferation purposes.

(b) DEFINITIONS.–The terms used in this section shall have the 

same meaning as those terms have under section 11 of the Atomic 

Energy Act of 1954 (42 U.S.C. 2014), unless otherwise expressly 

provided in this section.

Sec. 636. Authorization of Appropriations 4

There are authorized to be appropriated such sums as are necessary to 

carry out this subtitle and the amendments made by this subtitle.

Sec. 638. Standby Support for Certain Nuclear Plant Delays 5

(a) DEFINITIONS.–In this section:

(1) ADVANCED NUCLEAR FACILITY.–The term “advanced 

nuclear facility” means any nuclear facility the reactor design for 

which is approved after December 31, 1993, by the Commission (and 

such design or a substantially similar design of comparable capacity 

was not approved on or before that date).

(2) COMBINED LICENSE.–The term “combined license” means 

a combined construction and operating license for an advanced 

nuclear facility issued by the Commission.

(3) COMMISSION.–The term “Commission” means the Nuclear 

Regulatory Commission.

(4) SPONSOR.–The term “sponsor” means a person who has 

applied for or been granted a combined license.

(b) CONTRACT AUTHORITY.–

(1) IN GENERAL.–The Secretary may enter into contracts under 

this section with sponsors of an advanced nuclear facility that cover a 

total of 6 reactors, with the 6 reactors consisting of not more than 3 

different reactor designs, in accordance with paragraph (2).

(2) REQUIREMENT FOR CONTRACTS.–

(A) DEFINITION OF LOAN COST.–In this paragraph, the 

term “loan cost” has the meaning given the term “cost of a loan 

guarantee” under section 502(5)(C) of the Federal Credit Reform 

Act of 1990 (2 U.S.C. 661a(5)(C)).

(B) ESTABLISHMENT OF ACCOUNTS.–There is 

established in the Department 2 separate accounts, which shall be 

known as the–

(i) “Standby Support Program Account”; and

(ii) “Standby Support Grant Account”.

(C) REQUIREMENT.–The Secretary shall not enter into a 

contract under this section unless the Secretary deposits–

(i) in the Standby Support Program Account established 

under subparagraph (B), funds appropriated to the Secretary in 

advance of the contract or a combination of appropriated funds 

and loan guarantee fees that are in an amount sufficient to 

cover the loan costs described in subsection (d)(5)(A); and

(ii) in the Standby Support Grant Account established 

under subparagraph (B), funds appropriated to the Secretary in 

advance of the contract, paid to the Secretary by the sponsor 

––––––––

4 Added by P.L. 109–58, 119 Stat. 791 (2005). 5 Added by P.L. 109–58, 119 Stat. 791 (2005).

42 USC 16013.

42 USC 16014.
1044 Misc. Provisions from Energy Pol. Act of 2005 (P.L. 109–58)

of the advanced nuclear facility, or a combination of 

appropriations and payments that are in an amount sufficient 

cover the costs described in subparagraphs (B), (C), and (D) of 

subsection (d)(5).6

(c) COVERED DELAYS.–

(1) INCLUSIONS.–Under each contract authorized by this 

section, the Secretary shall pay the costs specified in subsection (d), 

using funds appropriated or collected for the covered costs, if full 

power operation of the advanced nuclear facility is delayed by–

(A) the failure of the Commission to comply with schedules 

for review and approval of inspections, tests, analyses, and 

acceptance criteria established under the combined license or the 

conduct of preoperational hearings by the Commission for the 

advanced nuclear facility; or

(B) litigation that delays the commencement of full power 

operations of the advanced nuclear facility.

(2) EXCLUSIONS.–The Secretary may not enter into any 

contract under this section that would obligate the Secretary to pay 

any costs resulting from–

(A) the failure of the sponsor to take any action required by 

law or regulation;

(B) events within the control of the sponsor; or

(C) normal business risks.

(d) COVERED COSTS.–

(1) IN GENERAL.–Subject to paragraphs (2), (3), and (4), the 

costs that shall be paid by the Secretary pursuant to a contract entered 

into under this section are the costs that result from a delay covered 

by the contract.

(2) INITIAL 2 REACTORS.–In the case of the first 2 reactors 

that receive combined licenses and on which construction is 

commenced, the Secretary shall pay–

(A) 100 percent of the covered costs of delay; but

(B) not more than $500,000,000 per contract.

(3) SUBSEQUENT 4 REACTORS.–In the case of the next 4 

reactors that receive a combined license and on which construction is 

commenced, the Secretary shall pay–

(A) 50 percent of the covered costs of delay that occur after 

the initial 180–day period of covered delay; but

(B) not more than $250,000,000 per contract.

(4) CONDITIONS ON PAYMENT OF CERTAIN COVERED 

COSTS.–

(A) IN GENERAL.–The obligation of the Secretary to pay the 

covered costs described in subparagraph (B) of paragraph (5) is 

subject to the Secretary receiving from appropriations or 

payments from other non–Federal sources amounts sufficient to 

pay the covered costs.

(B) NON–FEDERAL SOURCES.–The Secretary may receive 

and accept payments from any non–Federal source, which shall be 

made available without further appropriation for the payment of 

the covered costs.

(5) TYPES OF COVERED COSTS.–Subject to paragraphs (2), 

(3), and (4), the contract entered into under this section for an 

––––––––

6 Amended by P.L. 109–58, § 638, 119 Stat. 792 (2005). Note: Congress did not 

include §§ (C) and (D) in subsection (d)(5) of this Act.
Misc. Provisions from Energy Pol. Act of 2005 (P.L. 109–58) 1045

advanced nuclear facility shall include as covered costs those costs 

that result from a delay during construction and in gaining approval 

for fuel loading and full–power operation, including–

(A) principal or interest on any debt obligation of an advanced 

nuclear facility owned by a non–Federal entity; and

(B) the incremental difference between–

(i) the fair market price of power purchased to meet the 

contractual supply agreements that would have been met 

by the advanced nuclear facility but for the delay; and

(ii) the contractual price of power from the advanced 

nuclear facility subject to the delay.

(e) REQUIREMENTS.–Any contract between a sponsor and the 

Secretary covering an advanced nuclear facility under this section shall 

require the sponsor to use due diligence to shorten, and to end, the delay 

covered by the contract.

(f) REPORTS.–For each advanced nuclear facility that is covered by 

a contract under this section, the Commission shall submit to Congress 

and the Secretary quarterly reports summarizing the status of licensing 

actions associated with the advanced nuclear facility.

(g) REGULATIONS.–

(1) IN GENERAL.–Subject to paragraphs (2) and (3), the 

Secretary shall issue such regulations as are necessary to carry out 

this section.

(2) INTERIM FINAL RULEMAKING.–Not later than 270 

days after the date of enactment of this Act, the Secretary shall 

issue for public comment an interim final rule regulating contracts 

authorized by this section.

(3) NOTICE OF FINAL RULEMAKING.–Not later than 1 

year after the date of enactment of this Act, the Secretary shall 

issue a notice of final rulemaking regulating the contracts.

(h) AUTHORIZATION OF APPROPRIATIONS.–There are 

authorized to be appropriated such sums as are necessary to carry out this 

section.

Subtitle C–Next Generation Nuclear

Plant Project

Sec. 641. Project Establishment7

(a) ESTABLISHMENT.–The Secretary shall establish a project to be 

known as the “Next Generation Nuclear Plant Project” (referred to in this 

subtitle as the “Project”).

(b) CONTENT.–The Project shall consist of the research, 

development, design, construction, and operation of a prototype plant, 

including a nuclear reactor that–

(1) is based on research and development activities supported by 

the Generation IV Nuclear Energy Systems Initiative under section 

942(d); and

(2) shall be used–

(A) to generate electricity;

(B) to produce hydrogen; or

(C) both to generate electricity and to produce hydrogen.

––––––––

7 Added by P.L. 109–58, 119 Stat. 794 (2005).

Deadline. 

Public 

information.

Deadline.

42 USC 16021.
1046 Misc. Provisions from Energy Pol. Act of 2005 (P.L. 109–58)

Sec. 642. Project Management8

(a) DEPARTMENTAL MANAGEMENT.–

(1) IN GENERAL.–The Project shall be managed in the 

Department by the Office of Nuclear Energy, Science, and 

Technology.

(2) GENERATION IV NUCLEAR ENERGY SYSTEMS 

PROGRAM.–The Secretary may combine the Project with the 

Generation IV Nuclear Energy Systems Initiative.

(3) EXISTING DOE PROJECT MANAGEMENT EXPERTISE.–

The Secretary may utilize capabilities for review of construction 

projects for advanced scientific facilities within the Office of Science 

to track the progress of the Project.

(b) LABORATORY MANAGEMENT.–

(1) LEAD LABORATORY.–The Idaho National Laboratory shall 

be the lead National Laboratory for the Project and shall collaborate 

with other National Laboratories, institutions of higher education, 

other research institutes, industrial researchers, and international 

researchers to carry out the Project.

(2) INDUSTRIAL PARTNERSHIPS.–

(A) IN GENERAL.–The Idaho National Laboratory shall 

organize a consortium of appropriate industrial partners that 

will carry out cost–shared research, development, design, and 

construction activities, and operate research facilities, on 

behalf of the Project.

(B) COST–SHARING.–Activities of industrial partners 

funded by the Project shall be cost–shared in accordance with 

section 988.

(C) PREFERENCE.–Preference in determining the final 

structure of the consortium or any partnerships under this 

subtitle shall be given to a structure (including designating as 

a lead industrial partner an entity incorporated in the United 

States) that retains United States technological leadership in 

the Project while maximizing cost sharing opportunities and 

minimizing Federal funding responsibilities.

(3) PROTOTYPE PLANT SITING.–The prototype nuclear 

reactor and associated plant shall be sited at the Idaho National 

Laboratory in Idaho.

(4) REACTOR TEST CAPABILITIES.–The Project shall use, if 

appropriate, reactor test capabilities at the Idaho National Laboratory.

(5) OTHER LABORATORY CAPABILITIES.–The Project may 

use, if appropriate, facilities at other National Laboratories.

Sec. 643. Project Organization 9

(a) MAJOR PROJECT ELEMENTS.–The Project shall consist of the 

following major program elements:

(1) High–temperature hydrogen production technology 

development and validation.

(2) Energy conversion technology development and validation.

(3) Nuclear fuel development, characterization, and qualification.

(4) Materials selection, development, testing, and qualification.

(5) Reactor and balance–of–plant design, engineering, safety 

analysis, and qualification.

––––––––

8 Added by P.L. 109–58, 119 Stat. 795 (2005). 9 Added by P.L. 109–58, 119 Stat. 795 (2005).

42 USC 16022.

42 USC 16023.
Misc. Provisions from Energy Pol. Act of 2005 (P.L. 109–58) 1047

(b) PROJECT PHASES.–The Project shall be conducted in the 

following phases:

(1) FIRST PROJECT PHASE.–A first project phase shall be 

conducted to–

(A) select and validate the appropriate technology under 

subsection (a)(1);

(B) carry out enabling research, development, and 

demonstration activities on technologies and components under 

paragraphs (2) through (4) of subsection (a);

(C) determine whether it is appropriate to combine electricity 

generation and hydrogen production in a single prototype nuclear 

reactor and plant; and

(D) carry out initial design activities for a prototype nuclear 

reactor and plant, including development of design methods and 

safety analytical methods and studies under subsection (a)(5).

(2) SECOND PROJECT PHASE.–A second project phase shall 

be conducted to–

(A) continue appropriate activities under paragraphs (1) 

through (5) of subsection (a);

(B) develop, through a competitive process, a final design for 

the prototype nuclear reactor and plant;

(C) apply for licenses to construct and operate the prototype 

nuclear reactor from the Nuclear Regulatory Commission; and

(D) construct and start up operations of the prototype nuclear 

reactor and its associated hydrogen or electricity production 

facilities.

(c) PROJECT REQUIREMENTS.–

(1) IN GENERAL.–The Secretary shall ensure that the Project is 

structured so as to maximize the technical interchange and transfer of 

technologies and ideas into the Project from other sources of relevant 

expertise, including–

(A) the nuclear power industry, including nuclear power plant 

construction firms, particularly with respect to issues associated 

with plant design, construction, and operational and safety issues;

(B) the chemical processing industry, particularly with respect 

to issues relating to–

(i) the use of process energy for production of hydrogen; 

and

(ii) the integration of technologies developed by the 

Project into chemical processing environments; and

(C) international efforts in areas related to the Project, 

particularly with respect to hydrogen production technologies.

(2) INTERNATIONAL COLLABORATION.–

(A) IN GENERAL.–The Secretary shall seek international 

cooperation, participation, and financial contributions for the 

Project.

(B) ASSISTANCE FROM INTERNATIONAL PARTNERS.–

The Secretary, through the Idaho National Laboratory, may 

contract for assistance from specialists or facilities from member 

countries of the Generation IV International Forum, the Russian 

Federation, or other international partners if the specialists or 

facilities provide access to cost–effective and relevant skills or 

test capabilities.

(C) PARTNER NATIONS.–The Project may involve 

demonstration of selected project objectives in a partner country.
1048 Misc. Provisions from Energy Pol. Act of 2005 (P.L. 109–58)

(D) GENERATION IV INTERNATIONAL FORUM.–The 

Secretary shall ensure that international activities of the Project 

are coordinated with the Generation IV International Forum.

(3) REVIEW BY NUCLEAR ENERGY RESEARCH 

ADVISORY COMMITTEE.–

(A) IN GENERAL.–The Nuclear Energy Research Advisory 

Committee of the Department (referred to in this paragraph as the 

“NERAC”) shall–

(i) review all program plans for the Project and all progress 

under the Project on an ongoing basis; and

(ii) ensure that important scientific, technical, safety, and 

program management issues receive attention in the Project 

and by the Secretary.

(B) ADDITIONAL EXPERTISE.–The NERAC shall 

supplement the expertise of the NERAC or appoint subpanels to 

incorporate into the review by the NERAC the relevant sources of 

expertise described under paragraph (1).

(C) INITIAL REVIEW.–Not later than 180 days after the date 

of enactment of this Act, the NERAC shall–

(i) review existing program plans for the Project in light of 

the recommendations of the document entitled “Design 

Features and Technology Uncertainties for the Next 

Generation Nuclear Plant,” dated June 30, 2004; and

(ii) address any recommendations of the document not 

incorporated in program plans for the Project.

(D) FIRST PROJECT PHASE REVIEW.–On a determination 

by the Secretary that the appropriate activities under the first 

project phase under subsection (b)(1) are nearly complete, the 

Secretary shall request the NERAC to conduct a comprehensive 

review of the Project and to report to the Secretary the 

recommendation of the NERAC concerning whether the Project is 

ready to proceed to the second project phase under subsection 

(b)(2).

(E) TRANSMITTAL OF REPORTS TO CONGRESS.–Not 

later than 60 days after receiving any report from the NERAC 

related to the Project, the Secretary shall submit to the appropriate 

committees of the Senate and the House of Representatives a copy 

of the report, along with any additional views of the Secretary that 

the Secretary may consider appropriate.

Sec. 644. Nuclear Regulatory Commission 10

(a) IN GENERAL.–In accordance with section 202 of the Energy 

Reorganization Act of 1974 (42 U.S.C. 5842), the Nuclear Regulatory 

Commission shall have licensing and regulatory authority for any reactor 

authorized under this subtitle.

(b) LICENSING STRATEGY.–Not later than 3 years after the date of 

enactment of this Act, the Secretary and the Chairman of the Nuclear 

Regulatory Commission shall jointly submit to the appropriate 

committees of the Senate and the House of Representatives a licensing 

strategy for the prototype nuclear reactor, including–

(1) a description of ways in which current licensing requirements 

relating to light–water reactors need to be adapted for the types of 

prototype nuclear reactor being considered by the Project;

––––––––

10 Added by P.L. 109–58, 119 Stat. 797 (2005).

42 USC 16024.

Deadline.
Misc. Provisions from Energy Pol. Act of 2005 (P.L. 109–58) 1049

(2) a description of analytical tools that the Nuclear Regulatory 

Commission will have to develop to independently verify designs and 

performance characteristics of components, equipment, systems, or 

structures associated with the prototype nuclear reactor;

(3) other research or development activities that may be required 

on the part of the Nuclear Regulatory Commission in order to review 

a license application for the prototype nuclear reactor; and

(4) an estimate of the budgetary requirements associated with the 

licensing strategy.

(c) ONGOING INTERACTION.–The Secretary shall seek the active 

participation of the Nuclear Regulatory Commission throughout the 

duration of the Project to–

(1) avoid design decisions that will compromise adequate safety 

margins in the design of the reactor or impair the accessibility of 

nuclear safety–related components of the prototype reactor for 

inspection and maintenance;

(2) develop tools to facilitate inspection and maintenance needed 

for safety purposes; and

(3) develop risk–based criteria for any future commercial 

development of a similar reactor architectures.

Sec. 645. Project Timelines and Authorization of Appropriations11

(a)TARGET DATE TO COMPLETE THE FIRST PROJECT

PHASE.–Not later than September 30, 2011, the Secretary shall–

(1) select the technology to be used by the Project for high–

temperature hydrogen productions and the initial design parameters for 

the prototype nuclear plant; or

(2) submit to Congress a report establishing an alternative date for 

making the selection.

(b) DESIGN COMPETITION FOR SECOND PROJECT PHASE.–

(1) IN GENERAL.–The Secretary, acting through the Idaho 

National Laboratory, shall fund not more than 4 teams for not more 

than 2 years to develop detailed proposals for competitive evaluation 

and selection of a single proposal for a final design of the prototype 

nuclear reactor.

(2) SYSTEMS INTEGRATION.–The Secretary may structure 

Project activities in the second project phase to use the lead industrial 

partner of the competitively selected design under paragraph (1) in a 

systems integration role for final design and construction of the 

Project.

(c) TARGET DATE TO COMPLETE PROJECT 

CONSTRUCTION.–Not later than September 30, 2021, the Secretary 

shall–

(1) complete construction and begin operations of the prototype 

nuclear reactor and associated energy or hydrogen facilities; or

(2) submit to Congress a report establishing an alternative date for 

completion.

(d) AUTHORIZATION OF APPROPRIATIONS.–There is 

authorized to be appropriated to the Secretary for research and 

construction activities under this subtitle (including for transfer to the 

Nuclear Regulatory Commission for activities under section 644 as 

appropriate)–

(1) $1,250,000,000 for the period of fiscal years 2006 through 

2015; and

––––––––

11 Added by P.L. 109–58, 119 Stat. 798 (2005).

42 USC 16025.

Deadline.

Reports.

Deadline.

Reports.
1050 Misc. Provisions from Energy Pol. Act of 2005 (P.L. 109–58)

(2) such sums as are necessary for each of fiscal years 2016 

through 2021.

Sec. 657. Department of Homeland Security Consultation12

Before issuing a license for a utilization facility, the Nuclear

Regulatory Commission shall consult with the Department of Homeland 

Security concerning the potential vulnerabilities of the location of the 

proposed facility to terrorist attack.

Sec. 951. Nuclear Energy 13

(a) IN GENERAL.–The Secretary shall conduct programs of civilian

nuclear energy research, development, demonstration, and commercial 

application, including activities described in this subtitle. Programs under 

this subtitle shall take into consideration the following objectives:

(1) Enhancing nuclear power’s viability as part of the United 

States energy portfolio.

(2) Providing the technical means to reduce the likelihood of 

nuclear proliferation.

(3) Maintaining a cadre of nuclear scientists and engineers.

(4) Maintaining National Laboratory and university nuclear 

programs, including their infrastructure.

(5) Supporting both individual researchers and multidisciplinary 

teams of researchers to pioneer new approaches in nuclear energy, 

science, and technology.

(6) Developing, planning, constructing, acquiring, and operating 

special equipment and facilities for the use of researchers.

(7) Supporting technology transfer and other appropriate activities 

to assist the nuclear energy industry, and other users of nuclear 

science and engineering, including activities addressing reliability, 

availability, productivity, component aging, safety, and security of 

nuclear power plants.

(8) Reducing the environmental impact of nuclear energy related 

activities.

(b) AUTHORIZATION OF APPROPRIATIONS FOR CORE 

PROGRAMS.–There are authorized to be appropriated to the Secretary 

to carry out nuclear energy research, development, demonstration, and 

commercial application activities, including activities authorized under 

this subtitle, other than those described in subsection (c)–

(1) $330,000,000 for fiscal year 2007;

(2) $355,000,000 for fiscal year 2008; and

(3) $495,000,000 for fiscal year 2009.

(c) NUCLEAR INFRASTRUCTURE AND FACILITIES.–There are 

authorized to be appropriated to the Secretary to carry out activities under 

section 955–

(1) $135,000,000 for fiscal year 2007;

(2) $140,000,000 for fiscal year 2008; and

(3) $145,000,000 for fiscal year 2009.

(d) ALLOCATIONS.–From amounts authorized under subsection (a), 

the following sums are authorized:

(1) For activities under section 953–

(A) $150,000,000 for fiscal year 2007;

(B) $155,000,000 for fiscal year 2008; and

(C) $275,000,000 for fiscal year 2009.

(2) For activities under section 954–

––––––––

12 Added by P.L. 109–58, 119 Stat. 814 (2005). 13 Added by P.L. 109–58, 119 Stat. 884 (2005).

42 USC 16042.

42 USC 16271.
Misc. Provisions from Energy Pol. Act of 2005 (P.L. 109–58) 1051

(A) $43,600,000 for fiscal year 2007;

(B) $50,100,000 for fiscal year 2008; and

(C) $56,000,000 for fiscal year 2009.

(3) For activities under section 957, $6,000,000 for each of fiscal 

years 2007 through 2009.

(e) LIMITATION.–None of the funds authorized under this section 

may be used to decommission the Fast Flux Test Facility.

Sec. 952. Nuclear Energy Research Programs14

(a) NUCLEAR ENERGY RESEARCH INITIATIVE.–The Secretary 

shall carry out a Nuclear Energy Research Initiative for research and 

development related to nuclear energy.

(b) NUCLEAR ENERGY SYSTEMS SUPPORT PROGRAM.–The 

Secretary shall carry out a Nuclear Energy Systems Support Program to 

support research and development activities addressing reliability, 

availability, productivity, component aging, safety, and security of 

existing nuclear power plants.

(c) NUCLEAR POWER 2010 PROGRAM.–

(1) IN GENERAL.–The Secretary shall carry out a Nuclear 

Power 2010 Program, consistent with recommendations of the 

Nuclear Energy Research Advisory Committee of the Department 

in the report entitled ‘‘A Roadmap to Deploy New Nuclear Power 

Plants in the United States by 2010’’ and dated October 2001.

(2) ADMINISTRATION.–The Program shall include–

(A) use of the expertise and capabilities of industry, 

institutions of higher education, and National Laboratories in 

evaluation of advanced nuclear fuel cycles and fuels testing;

(B) consideration of a variety of reactor designs suitable 

for both developed and developing nations;

(C) participation of international collaborators in research, 

development, and design efforts, as appropriate; and

(D) encouragement for participation by institutions of 

higher education and industry.

(d) GENERATION IV NUCLEAR ENERGY SYSTEMS 

INITIATIVE.–

(1) IN GENERAL.–The Secretary shall carry out a Generation IV 

Nuclear Energy Systems Initiative to develop an overall technology 

plan for and to support research and development necessary to make 

an informed technical decision about the most promising candidates 

for eventual commercial application.

(2) ADMINISTRATION.–In conducting the Initiative, the 

Secretary shall examine advanced proliferation–resistant and 

passively safe reactor designs, including designs that–

(A) are economically competitive with other electric power 

generation plants;

(B) have higher efficiency, lower cost, and improved safety 

compared to reactors in operation on the date of enactment of this 

Act;

(C) use fuels that are proliferation resistant and have 

substantially reduced production of high–level waste per unit of 

output; and

(D) use improved instrumentation.

––––––––

14 Added by P.L. 109–58, 119 Stat. 885 (2005).

42 USC 16272.
1052 Misc. Provisions from Energy Pol. Act of 2005 (P.L. 109–58)

(e) REACTOR PRODUCTION OF HYDROGEN.–The Secretary 

shall carry out research to examine designs for high–temperature reactors 

capable of producing large–scale quantities of hydrogen.

Sec. 953. Advanced Fuel Cycle Initiative 15

(a) IN GENERAL.–The Secretary, acting through the Director of the

Office of Nuclear Energy, Science and Technology, shall conduct an 

advanced fuel recycling technology research, development, and 

demonstration program (referred to in this section as the ‘‘program’’) to 

evaluate proliferation–resistant fuel recycling and transmutation 

technologies that minimize environmental and public health and safety 

impacts as an alternative to aqueous reprocessing technologies deployed 

as of the date of enactment of this Act in support of evaluation of 

alternative national strategies for spent nuclear fuel and the Generation 

IV advanced reactor concepts.

(b) ANNUAL REVIEW.–The program shall be subject to annual 

review by the Nuclear Energy Research Advisory Committee of the 

Department or other independent entity, as appropriate.

(c) INTERNATIONAL COOPERATION.–In carrying out the 

program, the Secretary is encouraged to seek opportunities to enhance the

progress of the program through international cooperation.

(d) REPORTS.–The Secretary shall submit, as part of the annual 

budget submission of the Department, a report on the activities of the 

program.

Sec. 954. University Nuclear Science and Engineering Support16

(a) IN GENERAL.–The Secretary shall conduct a program to invest 

in

human resources and infrastructure in the nuclear sciences and related 

fields, including health physics, nuclear engineering, and radiochemistry, 

consistent with missions of the Department related to civilian nuclear 

research, development, demonstration, and commercial application.

(b) REQUIREMENTS.–In carrying out the program under this 

section, the Secretary shall–

(1) conduct a graduate and undergraduate fellowship program to 

attract new and talented students, which may include fellowships for 

students to spend time at National Laboratories in the areas of nuclear 

science, engineering, and health physics with a member of the 

National Laboratory staff acting as a mentor;

(2) conduct a junior faculty research initiation grant program to 

assist universities in recruiting and retaining new faculty in the 

nuclear sciences and engineering by awarding grants to junior faculty 

for research on issues related to nuclear energy engineering and 

science;

(3) support fundamental nuclear sciences, engineering, and health 

physics research through a nuclear engineering education and 

research program;

(4) encourage collaborative nuclear research among industry, 

National Laboratories, and universities; and 

(5) support communication and outreach related to nuclear 

science, engineering, and health physics.

(c) UNIVERSITY–NATIONAL LABORATORY INTERACTIONS. 

– The Secretary shall conduct–

––––––––

15 Added by P.L. 109–58, 119 Stat. 886 (2005). 16 Added by P.L. 109–58, 119 Stat. 886 (2005).

42 USC 16273.

42 USC 16274.
Misc. Provisions from Energy Pol. Act of 2005 (P.L. 109–58) 1053

(1) a fellowship program for professors at universities to spend 

sabbaticals at National Laboratories in the areas of nuclear science 

and technology; and

(2) a visiting scientist program in which National Laboratory staff 

can spend time in academic nuclear science and engineering 

departments.

(d) STRENGTHENING UNIVERSITY RESEARCH AND 

TRAINING REACTORS AND ASSOCIATED INFRASTRUCTURE.–

In carrying out the program under this section, the Secretary may 

support–

(1) converting research reactors from high–enrichment fuels to 

low–enrichment fuels and upgrading operational instrumentation;

(2) consortia of universities to broaden access to university 

research reactors;

(3) student training programs, in collaboration with the United 

States nuclear industry, in relicensing and upgrading reactors, 

including through the provision of technical assistance; and

(4) reactor improvements as part of a taking into consideration 

effort that emphasizes research, training, and education, including 

through the Innovations in Nuclear Infrastructure and Education 

Program or any similar program.

(e) OPERATIONS AND MAINTENANCE.–Funding for a project 

provided under this section may be used for a portion of the operating 

and maintenance costs of a research reactor at a university used in the 

project.

(f) DEFINITION.–In this section, the term ‘‘junior faculty’’ means a 

faculty member who was awarded a doctorate less than 10 years before 

receipt of an award from the grant program described in subsection 

(b)(2).

Sec. 955. Department of Energy Civilian Nuclear Infrastructure and

Facilities 17

(a) IN GENERAL.–The Secretary shall operate and maintain

infrastructure and facilities to support the nuclear energy research, 

development, demonstration, and commercial application programs, 

including radiological facilities management, isotope production, and 

facilities management.

(b) DUTIES.–In carrying out this section, the Secretary shall–

(1) develop an inventory of nuclear science and engineering 

facilities, equipment, expertise, and other assets at all of the National 

Laboratories;

(2) develop a prioritized list of nuclear science and engineering 

plant and equipment improvements needed at each of the National 

Laboratories;

(3) consider the available facilities and expertise at all National 

Laboratories and emphasize investments which complement rather 

than duplicate capabilities; and

(4) develop a timeline and a proposed budget for the completion 

of deferred maintenance on plant and equipment, with the goal of 

ensuring that Department programs under this subtitle will be 

generally recognized to be among the best in the world.

(c) PLAN.–The Secretary shall develop a comprehensive plan for the 

facilities at the Idaho National Laboratory, especially taking into account 

––––––––

17 Added by P.L. 109–58, 119 Stat. 887 (2005).

42 USC 16275.
1054 Misc. Provisions from Energy Pol. Act of 2005 (P.L. 109–58)

the resources available at other National Laboratories. In developing the 

plan, the Secretary shall–

(1) evaluate the facilities planning processes utilized by other 

physical science and engineering research and development 

institutions, both in the United States and abroad, that are generally 

recognized as being among the best in the world, and consider how 

those processes might be adapted toward developing such facilities 

plan;

(2) avoid duplicating, moving, or transferring nuclear science and 

engineering facilities, equipment, expertise, and other assets that 

currently exist at other National Laboratories;

(3) consider the establishment of a national transuranic analytic 

chemistry laboratory as a user facility at the Idaho National 

Laboratory;

(4) include a plan to develop, if feasible, the Advanced Test 

Reactor and Test Reactor Area into a user facility that is more readily 

accessible to academic and industrial researchers;

(5) consider the establishment of a fast neutron source as a user 

facility;

(6) consider the establishment of new hot cells and the 

configuration of hot cells most likely to advance research, 

development, demonstration, and commercial application in nuclear 

science and engineering, especially in the context of the condition and 

availability of these facilities elsewhere in the National Laboratories; 

and

(7) include a timeline and a proposed budget for the completion of 

deferred maintenance on plant and equipment.

(d) TRANSMITTAL TO CONGRESS.–Not later than 1 year after the 

date of enactment of this Act, the Secretary shall transmit the plan under 

subsection (c) to Congress.

Sec. 956. Security of Nuclear Facilities18

The Secretary, acting through the Director of the Office of Nuclear

Energy, Science and Technology, shall conduct a research and 

development program on cost–effective technologies for increasing–

(1) the safety of nuclear facilities from natural phenomena; and

(2) the security of nuclear facilities from deliberate attacks.

Sec. 957. Alternatives to Industrial Radioactive Sources19

(a) SURVEY.–

(1) IN GENERAL.–Not later than August 1, 2006, the Secretary 

shall submit to Congress the results of a survey of industrial 

applications of large radioactive sources.

(2) ADMINISTRATION.–The survey shall–

(A) consider well–logging sources as one class of industrial 

sources;

(B) include information on current domestic and international 

Department, Department of Defense, State Department, and 

commercial programs to manage and dispose of radioactive 

sources; and

(C) analyze available disposal options for currently deployed 

or future sources and, if deficiencies are noted for either deployed 

or future sources, recommend legislative options that Congress 

may consider to remedy identified deficiencies.

––––––––

18 Added by P.L. 109–58, 119 Stat. 888 (2005). 19 Added by P.L. 109–58, 119 Stat. 888 (2005).

Deadline.

42 USC 16276.

42 USC 16277.

Deadline.
Misc. Provisions from Energy Pol. Act of 2005 (P.L. 109–58) 1055

(b) PLAN.–

(1) IN GENERAL.–In conjunction with the survey conducted 

under subsection (a), the Secretary shall establish a research and 

development program to develop alternatives to sources described in 

subsection (a) that reduce safety, environmental, or proliferation risks 

to either workers using the sources or the public.

(2) ACCELERATORS.–Miniaturized particle accelerators for 

well–logging or other industrial applications and portable accelerators

for production of short–lived radioactive materials at an industrial site 

shall be considered as part of the research and development efforts.

(3) REPORT.–Not later than August 1, 2006, the Secretary shall 

submit to Congress a report describing the details of the program 

plan.
1056 E.O. 12656—Emergency Preparedness Responsibilities

H. EXECUTIVE ORDER 12656–ASSIGNMENT OF EMERGENCY 

PREPAREDNESS RESPONSIBILITIES

November 18, 1988, 53 F.R. 47491

WHEREAS our national security is dependent upon our ability to assure continuity 

of government, at every level, in any national security emergency situation that might 

confront the Nation; and 

WHEREAS effective national preparedness planning to meet such an emergency, 

including a massive nuclear attack, is essential to our national survival; and 

WHEREAS effective national preparedness planning requires the identification of 

functions that would have to be performed during such an emergency, the assignment of 

responsibility for developing plans for performing these functions, and the assignment of 

responsibility for developing the capability to implement those plans; and 

WHEREAS the Congress has directed the development of such national security 

emergency preparedness plans and has provided funds for the accomplishment thereof; 

NOW, THEREFORE, by virtue of the authority vested in me as President by the 

Constitution and laws of the United States of America, and pursuant to Reorganization 

Plan No. 1 of 1958 (72 Stat. 1799), the National Security Act of 1947, as amended, the 

Defense Production Act of 1950, as amended, and the Federal Civil Defense Act, as 

amended, it is hereby ordered that the responsibilities of the Federal departments and 

agencies in national security emergencies shall be as follows: 

Part 1–Preamble

Section 101. National Security Emergency Preparedness Policy

(a) The policy of the United States is to have sufficient capabilities at all levels of 

government to meet essential defense and civilian needs during any national security 

emergency. A national security emergency is any occurrence, including natural disaster, 

military attack, technological emergency, or other emergency, that seriously degrades or 

seriously threatens the national security of the United States. Policy for national security 

emergency preparedness shall be established by the President. Pursuant to the President's 

direction, the National Security Council shall be responsible for developing and 

administering such policy, except that the Homeland Security Council shall be 

responsible for administering such policy with respect to terrorist threats and attacks 

within the United States.1 All national security emergency preparedness activities shall 

be consistent with the Constitution and laws of the United States and with preservation 

of the constitutional government of the United States.

(b) Effective national security emergency preparedness planning requires: 

identification of functions that would have to be performed during such an emergency; 

development of plans for performing these functions; and development of the capability 

to execute those plans. 

Section 102. Purpose

(a) The purpose of this Order is to assign national security emergency preparedness 

responsibilities to Federal departments and agencies. These assignments are based, 

whenever possible, on extensions of the regular missions of the departments and 

agencies. 

(b) This Order does not constitute authority to implement the plans prepared 

pursuant to this Order. Plans so developed may be executed only in the event that 

authority for such execution is authorized by law.

––––––––

1 Executive Order 13228 (2001) amended §§ 101(a), 104(a), 104(b), 104(c), 201(7), 206, and 208 by 

establishing Homeland Security Council duties. 
E.O. 12656–Emergency Preparedness Responsibilities 1057

Section 103. Scope

(a) This Order addresses national security emergency preparedness functions and 

activities. As used in this Order, preparedness functions and activities include, as 

appropriate, policies, plans, procedure, and readiness measures that enhance the ability 

of the United States Government to mobilize for, respond to, and recover from a national 

security emergency. 

(b) This Order does not apply to those natural disasters, technological emergencies, 

or other emergencies, the alleviation of which is normally the responsibility of 

individuals, the private sector, volunteer organizations, State and local governments, and 

Federal departments and agencies unless such situations also constitute a national 

security emergency.

(c) This Order does not require the provision of information concerning, or 

evaluation of, military policies, plans, programs, or states of military readiness. 

(d) This Order does not apply to national security emergency preparedness 

telecommunications functions and responsibilities that are otherwise assigned by 

Executive Order 12472.

Section 104. Management of National Security Emergency

(a) The National Security Council is the principal forum for consideration of national 

security emergency preparedness policy, except that the Homeland Security Council is 

the principal forum for consideration of policy relating to terrorist threats and attacks 

within the United States.

(b) The National Security Council shall arrange for Executive branch liaison with, 

and assistance to, the Congress and the Federal judiciary on national security–

emergency preparedness matters.

(c) The Secretary of Homeland Security2 shall serve as an advisor to the National 

Security Council and the Homeland Security Council on issues of national security 

emergency preparedness, including mobilization preparedness, civil defense, continuity 

of government, technological disasters, and other issues, as appropriate. Pursuant to such 

procedures for the organization and management of the National Security Council and 

Homeland Security Council processes as the President may establish, the Secretary of 

Homeland Security also shall assist in the implementation of and management of those 

processes as the President may establish. The Secretary of Homeland Security also shall 

assist in the implementation of national security emergency preparedness policy by 

coordinating with the other Federal departments and agencies and with State and local 

governments, and by providing periodic reports to the National Security Council and the 

Homeland Security Council on implementation of national security emergency 

preparedness policy.

(d) National security emergency preparedness functions that are shared by more than 

one agency shall be coordinated by the head of the Federal department or agency having 

primary responsibility and shall be supported by the heads of other departments and 

agencies having related responsibilities.

(e) There shall be a national security emergency exercise program that shall be 

supported by the heads of all appropriate Federal departments and agencies.

(f) Plans and procedure will be designed and developed to provide maximum 

flexibility to the President for his implementation of emergency actions. 

Section 105. Interagency Coordination

(a) All appropriate Cabinet members and agency heads shall be consulted regarding 

national security emergency preparedness programs and policy issues. Each department 

and agency shall support interagency coordination to improve preparedness and 

response to a national security emergency and shall develop and maintain decentralized 

capabilities wherever feasible and appropriate.

––––––––

2 Executive Order 13286 (2003) amended §§ 104(c), 201(15), and 701(5) by striking out “the Director of 

the Federal Emergency Management Agency” and replacing it with “the Secretary of Homeland Security.”
1058 E.O. 12656—Emergency Preparedness Responsibilities

(b) Each Federal department and agency shall work within the framework 

established by, and cooperate with those organizations assigned responsibility in. 

Executive Order No. 12472, to ensure adequate national security emergency 

preparedness telecommunications in support of the functions and activities addressed by 

this Order. 

Part 2–General Provisions

Section 201. General

The head of each Federal department and agency. as appropriate. shall:

(1) Be prepared to respond adequately to all national security emergencies, including 

those that are international in scope. and those that may occur within any region of the 

Nation; 

(2) Consider national security emergency preparedness factors in the conduct of his 

or her regular functions, particularly those functions essential in time of emergency. 

Emergency plans and programs, and an appropriate state of readiness, including 

organizational infrastructure, shall be developed as an integral part of the continuing 

activities of each Federal department and agency; 

(3) Appoint a senior policy official as Emergency Coordinator, responsible for 

developing and maintaining a multi–year, national security emergency preparedness 

plan for the department or agency to include objectives, programs, and budgetary 

requirements; 

(4) Design preparedness measures to permit a rapid and effective transition from 

routine to emergency operations, and to make effective use of the period following 

initial indication of a probable national security emergency. This will include: 

(a) Development of a system of emergency actions that defines alternatives, 

processes, and issues to be considered during various stages of national security 

emergencies: 

(b) Identification of actions that could be taken in the early stages of a national 

security emergency or pending national security emergency to mitigate the impact of 

or reduce significantly the lead times associated with full emergency action 

implementation; 

(5) Base national security emergency preparedness measures on the use of existing 

authorities, organizations, resources, and systems to the maximum extent practicable; 

(6) Identify areas where additional legal authorities may be needed to assist 

management and, consistent with applicable Executive orders, take appropriate measures 

toward acquiring those authorities; 

(7) Make policy recommendations to the National Security Council and the 

Homeland Security Council regarding national security emergency preparedness 

activities and functions of the Federal Government; 

(8) Coordinate with State and local government agencies and other organizations, 

including private sector organizations, when appropriate. Federal plans should include 

appropriate involvement of and reliance upon private sector organizations in the 

response to national security emergencies; 

(9) Assist State, local, and private sector entities in developing plans for mitigating 

the effects of national security emergencies and for providing services that are essential 

to a national response; 

(10) Cooperate, to the extent appropriate, in compiling, evaluating, and exchanging 

relevant data related to all aspects of national security emergency preparedness; 

(11) Develop programs regarding congressional relations and public information that 

could be used during national security emergencies; 

(12) Ensure a capability to provide, during a national security emergency, 

information concerning Acts of Congress, presidential proclamations, Executive orders, 

regulations, and notices of other actions to the Archivist of the United States, for 
E.O. 12656–Emergency Preparedness Responsibilities 1059

publication in the Federal Register, or to each agency designated to maintain the Federal 

Register in an emergency; 

(13) Develop and conduct training and education programs that incorporate 

emergency preparedness and civil defense information necessary to ensure an effective 

national response; 

(14) Ensure that plans consider the consequences for essential services provided by 

State and local governments, and by the private sector, if the flow of Federal funds is 

disrupted; 

(15) Consult and coordinate with the Secretary of Homeland Security Agency to 

ensure that those activities and plans are consistent with current Presidential guidelines 

and policies.3

Section 202. Continuity of Government

The head of each Federal department and agency shall ensure the continuity of essential 

functions in any national security emergency by providing for: succession to Office and 

emergency delegation of authority in accordance with applicable law; safekeeping of 

essential resources, facilities, and records; and establishment of emergency operating 

capabilities. 

Section 203. Resource Management

The head of each Federal department and agency, as appropriate within assigned areas 

of responsibility, shall: 

(1) Develop plans and programs to mobilize personnel (including reservist 

programs), equipment, facilities, and other resources; 

(2) Assess essential emergency requirements and plan for the possible use of 

alternative resources to meet essential demands during and following national 

security emergencies; 

(3) Prepare plans and procedures to share between and among the responsible 

agencies resources such an energy, equipment, food, land, materials, minerals, 

services, supplies, transportation, water, and workforce needed to carry out assigned 

responsibilities and other essential functions, and cooperate with other agencies in 

developing programs to ensure availability of such resources in a national security 

emergency; 

(4) Develop plans to set priorities and allocate resources among civilian and 

military claimants; 

(5) Identify occupations and skills for which there may be a critical need in the 

event of a national security emergency. 

Section 204. Protection of Essential Resources and Facilities

The head of each Federal department and agency, within assigned areas of 

responsibility, shall: 

(1) Identify facilities and resources, both government and private, essential to the 

national defense and national welfare, and assess their vulnerabilities and develop 

strategies, plans, and programs to provide for the security of such facilities and 

resources, and to avoid or minimize disruptions of essential services during any national 

security emergency; 

(2) Participate in interagency activities to assess the relative importance of various 

facilities and resources to essential military and civilian needs and to integrate 

preparedness and response strategies and procedures; 

(3) Maintain a capability to assess promptly the effect of attack and other disruptions 

during national security emergencies. 

Section 205. Federal Benefit, Insurance, and Loan Programs

The head of each Federal department and agency that administers a loan, insurance, or 

benefit program that relies upon the Federal Government payment system shall 

––––––––

3 Executive Order 13286 (2003) amended § 201(15) by striking out “consistent with current National 

Security Council guidelines and policies” in the last sentence.
1060 E.O. 12656—Emergency Preparedness Responsibilities

coordinate with the Secretary of the Treasury in developing plans for the continuation or 

restoration, to the extent feasible, of such programs in national security emergencies. 

Section 206. Research

The Director of the Office of Science and Technology Policy and the heads of Federal 

departments and agencies having significant research and development programs shall 

advise the National Security Council and the Homeland Security Council of scientific 

and technological developments that should be considered in national security 

emergency preparedness planning. 

Section 207. Redelegation

The head of each Federal department and agency is hereby authorized, to the extent 

otherwise permitted by law, to redelegate the functions assigned by this Order, and to 

authorize successive redelegations to organizations, Officers, or employees within that 

department or agency. 

Section 208. Transfer of Functions

Recommendations for interagency transfer of any emergency preparedness function 

assigned under this Order or for assignment of any new emergency preparedness 

function shall be coordinated with all affected Federal departments and agencies before 

submission to the National Security Council or the Homeland Security Council. 

Section 209. Retention of Existing Authority

Nothing in this Order shall be deemed to derogate from assignments of functions to any 

Federal department or agency or Officer thereof made by law. 

* * * *

Part 7–Department of Energy

Section 701. Lead Responsibilities

In addition to the applicable responsibilities covered in Parts 1 and 2, the Secretary of 

Energy shall: 

(1) Conduct national security emergency preparedness planning, including 

capabilities development, and administer operational programs for all energy, 

resources, including: 

(a) Providing information, in cooperation with Federal, State, and energy 

industry officials, on energy supply and demand conditions and on the 

requirements for and the availability of materials and services critical to energy 

supply systems; 

(b) In coordination with appropriate departments and agencies and in 

consultation with the energy industry, develop implementation plans and 

operational systems for priorities and allocation of all energy resource 

requirements for national defense and essential civilian needs to assure national 

security emergency preparedness; 

(c) Developing, in consultation with the Board of Directors of the Tennessee 

Valley Authority, plans necessary for the integration of its power system into the 

national supply system; 

(2) Identify energy facilities essential to the mobilization, deployment, and 

sustainment of resources to support the national security and national welfare, and 

develop energy supply and demand strategies to ensure continued provision of 

minimum essential services in national security emergencies; 

(3) In coordination with the Secretary of Defense, ensure continuity of nuclear 

weapons production consistent with national security requirements; 

(4) Assure the security of nuclear materials, nuclear weapons, or devices in the 

custody of the Department of Energy, as well as the security of all other Department 

of Energy programs and facilities; 
E.O. 12656–Emergency Preparedness Responsibilities 1061

(5) In consultation with the Secretaries of State and Defense and the Secretary of 

Homeland Security, conduct appropriate international liaison activities pertaining to 

matters within the jurisdiction of the Department of Energy; 

(6) In consultation with the Secretaries of State,4 Defense, and Homeland 

Security5

, the Members of the Nuclear Regulatory Commission, and others, as 

required, develop plans and capabilities for identification, analysis, damage 

assessment, and mitigation of hazards from nuclear weapons, materials, and devices; 

(7) Coordinate with the Secretary of Transportation in the planning and 

management of transportation resources involved in the bulk movement of energy; 

(8) At the request of or with the concurrence of the Nuclear Regulatory 

Commission and in consultation with the Secretary of Defense, recapture special 

nuclear materials from Nuclear Regulatory Commission licensees where necessary to 

assure the use, preservation, or safeguarding of such material for the common 

defense and security; 

(9) Develop national security emergency operational procedures for the control, 

utilization, acquisition, leasing, assignment, and priority of occupancy of real 

property within the jurisdiction of the Department of Energy; 

(10) Manage all emergency planning and response activities pertaining to 

Department of Energy nuclear facilities. 

Section 702. Support Responsibilities

The Secretary of Energy shall: 

(1) Provide advice and assistance, in coordination with appropriate agencies, to 

Federal, State, local officials and private sector organizations to assess the radiological 

impact associated with national security emergencies; 

(2) Coordinate with the Secretaries of Defense and the Interior regarding the 

operation of hydroelectric projects to assure maximum energy output; 

(3) Support the Secretary of Housing and Urban Development and the heads of other 

agencies, as appropriate, in the development of plans to restore community facilities; 

(4) Coordinate with the Secretary of Agriculture regarding the emergency 

preparedness of the rural electric supply systems throughout the Nation and the 

assignment of emergency preparedness responsibilities to the Rural Electrification 

Administration. 

* * * *

Part 21–Nuclear Regulatory Commission

Section 2101. Lead Responsibilities

In addition to the applicable responsibilities covered in Parts 1 and 2, the Members of 

the Nuclear Regulatory Commission shall: 

(1) Promote the development and maintenance of national security emergency 

preparedness programs through security and safeguards programs by licensed facilities 

and activities; 

(2) Develop plans to suspend any licenses granted by the Commission; to order the 

operations of any facility licensed under section 103 or 104; Atomic Energy Act of 

1954, as amended (42 U.S.C. 2133 or 2134); to order the entry into any plant or facility 

in order to recapture special nuclear material as determined under Subsection (3) below; 

and operate such facilities; 

(3) Recapture or authorize recapture of special nuclear materials from licensees 

where necessary to assure the use, preservation, or safeguarding of such materials for the 

common defense and security, as determined by the Commission or as requested by the 

Secretary of Energy. 

––––––––

4 Executive Order 13286 (2003) struck out “and” and inserted a comma after “state.” 5 Executive Order 13286 (2003) inserted “Homeland Security” and struck out “the Director of the Federal 

Emergency Management Agency.”
1062 E.O. 12656—Emergency Preparedness Responsibilities

Section 2102. Support Responsibilities

The Members of the Nuclear Regulatory Commission shall: 

(1) Assist the Secretary of Energy in assessing damage to Commission–licensed 

facilities, identifying useable facilities, and estimating the time and actions necessary to

restart inoperative facilities; 

(2) Provide advice and technical assistance to Federal, State, and local officials and 

private sector organizations regarding radiation hazards and protective actions in 

national security emergencies. 

* * * *

Part 29–General

Section 2901.

Executive Order Nos. 10421 and 11490, as amended, are hereby revoked. This Order 

shall be effective immediately. 

Ronald Reagan 

The White House,

November 18, 1988
1063

I. EXECUTIVE ORDER 12657–DEPARTMENT OF HOMELAND SECURITY 

ASSISTANCE IN EMERGENCY PREPAREDNESS PLANNING AT 

COMMERCIAL NUCLEAR POWER PLANTS1

Executive Order 12657 of November 18, 1988

By the authority vested in me as President by the Constitution and laws of the United 

States of America, including the Federal Civil Defense Act of 1950, as amended (50 

U.S.C. App. 225 et seq.), the Disaster Relief Act of 1974, as amended (42 U.S.C. 512 et

seq.), the Atomic Energy Act of 1954, as amended (42 U.S.C. 201 et seq.), 

Reorganization Plan No. 1 of 1958, Reorganization Plan No. 1 of 1973, and section 301 

of Title 3 of the United States Code, and in order to ensure that plans and procedures are 

in place to respond to radiological emergencies at commercial nuclear power plants in 

operation or under construction, it is hereby ordered as follows:

Section 1. Scope.

(a) This Order applies whenever State or local governments, either individually or 

together, decline or fail to prepare commercial nuclear power plant radiological 

emergency preparedness plans that are sufficient to satisfy Nuclear Regulatory 

Commission (“NRC”) licensing requirements or to participate adequately in the 

preparation, demonstration, testing, exercise, or use of such plans.

(b) In order to request the assistance of the Department of Homeland Security 

(“DHS”) provided for in this Order, an affected nuclear power plant applicant or 

licensee (“licensee”) shall certify in writing to FEMA that the situation described in 

Subsection (a) exists.

Section 2. General Applicable Principles and Directives

(a) Subject to the principles articulated in this Section, the Secretary of Homeland 

Security is hereby authorized and directed to take the actions specified in sections 3 

through 6 of this Order.

(b) In carrying out any of its responsibilities under this Order, DHS: 

(1) shall work actively with the licensee, and, before relying upon its resources or 

those of any other Department or agency within the Executive Branch, shall make 

maximum feasible use of the licensee’s resources;

(2) shall take care not to supplant State and local resources. DHS shall substitute 

its own resources for those of the State and local governments only to the extent 

necessary to compensate for the nonparticipation or inadequate participation of those 

governments, and only as a last resort after appropriate consultation with the 

Governors and responsible local officials in the affected area regarding State and 

local participation;

(3) is authorized, to the extent permitted by law, to enter into interagency 

Memoranda of Understanding providing for utilization of the resources of other 

Executive branch Departments and agencies and for delegation to other Executive 

branch Departments and agencies of any of the functions and duties assigned to DHS 

under this Order; however, any such Memorandum of Understanding shall be subject

to approval by the Director of the Office of Management and Budget (“OMB”) and 

published in final form in the Federal Register, and

(4) shall assume for purposes of sections 3 and 4 of this Order that, in the event 

of an actual radiological emergency or disaster, State and local authorities would 

contribute their full resources and exercise their authorities in accordance with their 

duties to protect the public from harm and would act generally in conformity with 

the licensee’s radiological emergency preparedness plan.

––––––––

1 Executive Order 13286 amends this Executive Order by striking out some of the references to the Federal 

Emergency Management Agency and its Director and replacing them with Department of Homeland Security 

and its Secretary.
1064 E.O. 12656—Emergency Preparedness Responsibilities

(c) The Director of OMB shall resolve any issue concerning the obligation of 

Federal funds arising from the implementation of this Order. In resolving issues 

under this Subsection, the Director of OMB shall ensure:

(1) that DHS has utilized to the maximum extent possible the resources of the 

licensee and State and local governments before it relies upon its appropriated and 

lawfully available resources or those of any Department or agency in the Executive 

branch;

(2) that DHS shall use its existing resources to coordinate and manage, rather 

than duplicate, other available resources;

(3) that implementation of this Order is accomplished with an economy of 

resources; and

(4) that full reimbursement to the Federal Government is provided, to the extent 

permitted by law.

Section 3. FEMA Participation in Emergency Preparedness Planning

(a) DHS assistance in emergency preparedness planning shall include advice, 

technical assistance, and arrangements for facilities and resources as needed to satisfy 

the emergency planning requirements under the Atomic Energy Act of 1954, as 

amended, and any other Federal legislation or regulations pertaining to issuance or 

retention of a construction permit or an operating license for a nuclear power plant.

(b) DHS shall make all necessary plans and arrangements to ensure that the Federal 

Government is prepared to assume any and all functions and undertakings necessary to 

provide adequate protection to the public in cases within the scope of this Order. In 

making such plans and arrangements,

(1) DHS shall focus planning of Federal response activities to ensure that:

(A) adequate resources and arrangements will exist, as of the time when an 

initial response is needed, given the absence or inadequacy of advance State and 

local commitments; and

(B) attention has been given to coordinating (including turning over) response 

functions when State and local governments do exercise their authority, with 

specific attention to the areas where prior State and local participation has been 

insufficient or absent;

(2) DHS planning for Federal participation in responding to a radiological 

emergency within the scope of this Order shall include, but not be limited to, 

arrangements for using existing Federal resources to provide prompt notification of 

the emergency to the general public; to assist in any necessary evacuation; to provide

reception centers or shelters and related facilities and services for evacuees; to 

provide emergency medical services at Federal hospitals, including those operated by 

the military services and by the Veteran’s Administration; and to ensure the creation 

and maintenance of channels of communication from commercial nuclear power 

plant licensees or applicants to State and local governments and to surrounding 

members of the public.

Section 4. Evaluation of Plans

(a) DHS shall consider and evaluate all plans developed under the authority of this 

Order as though drafted and submitted by a State or local government.

(b) DHS shall take all actions necessary to carry out the evaluation referred to in the 

preceding Subsection and to permit the NRC to conduct its evaluation of radiological 

emergency preparedness plans including, but not limited to, planning, participation in, 

and evaluating exercises, drills, and tests, on a timely basis, as necessary to satisfy NRC 

requirements for demonstrations of off–site radiological emergency preparedness.

Section 5. Response to a Radiological Emergency

(a) In the event of an actual radiological emergency or disaster, DHS shall take all 

steps necessary to ensure the implementation of the plans developed under this Order 

and shall coordinate the actions of other Federal agencies to achieve the maximum 

effectiveness of Federal efforts in responding to the emergency.
E.O. 12656–Emergency Preparedness Responsibilities 1065

(b) DHS shall coordinate Federal response activities to ensure that adequate 

resources are directed, when an initial response is needed, to activities hindered by the 

absence or inadequacy of advance State and local commitments. DHS shall also 

coordinate with State and local governmental authorities and turn over response 

functions as appropriate when State and local governments do exercise their authority.

(c) DHS shall assume any necessary command–and–control function, or delegate 

such function to another Federal agency, in the event that no competent State and local 

authority is available to perform such function.

(d) In any instance in which Federal personnel may be called upon to fill a 

command–and–control function during a radiological emergency, in addition to any 

other powers it may have, DHS or its designee is authorized to accept volunteer 

assistance from utility employees and other nongovernmental personnel for any purpose 

necessary to implement the emergency response plan and facilitate off–site emergency 

response.

Section 6. Implementation of Order

(a) DHS shall issue interim and final directives and procedures implementing this 

Order as expeditiously as is feasible and in any event shall issue interim directives and 

procedures not more than 90 days following the effective date of this Order and shall 

issue final directives and procedures not more than 180 days following the effective date 

of this order.

(b) Immediately upon the effective date of this Order, DHS shall review, and initiate 

necessary revisions of all DHS regulations, directives, and guidance to conform them to 

the terms and policies of this Order.

(c) Immediately upon the effective date of this Order, DHS shall review, and initiate 

necessary renegotiations of, all interagency agreements to which DHS is a party, so as to 

conform them to the terms and policies of this Order. This directive shall include, but 

not be limited to, the Federal Radiological Emergency Response Plan (50 Fed. Reg. 

46542 (November 8, 1985)).

(d) To the extent permitted by law, DHS is directed to obtain full reimbursement, 

either jointly or severally, for services performed by DHS or other Federal agencies 

pursuant to this Order from any affected licensee and from any affected nonparticipating 

or inadequately participating State or local government.

Section 7. Amendments

This Executive Order amends Executive Order Nos. 11490 (34 Fed. Reg. 17567 

(October 28, 1969)), 12148 (44 Fed. Reg. 43239 (July 20, 1979)), and 12241 (45 Fed. 

Reg. 64879 (September 29, 1980)), and the same are hereby superseded to the extent 

that they are inconsistent with this Order.

Ronald Reagan

The White House

November 18, 1988





NUREG

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Vol. 2, No. 10

Nuclear Regulatory Legislation 112thCongress; 2ndSession