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Nuclear Regulatory 

Legislation 

( 

105th Congress

U.S. Nuclear Regulatory Commission 

Office of the General Counsel

i

NUREG-0980 

Vol. 2, No. 5

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L•
Nuclear Regulatory 

Legislation 

105th Congress

NUREG-0980 

Vol. 2, No. 5

Date Published: December 1999 

Office of the General Counsel 

U.S. Nuclear Regulatory Commission 

Washington, DC' 20555:-0001
FOREWORD 

This compilation of statutes and materials pertaining to nuclear regulatory legislation through the 105th 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 Christine Pierpoint, Legislative Specialist, Office of the General Counsel, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001. 

This document is available from the NRC Home Page at http://www.nrc.gov/NRC/NUREGS/SR0980/index.html. This document is published in two bound volumes and is also available on compact disc in the 

ypertext markup language and portable document format. You may purchase this compilation from the U.S. Government Printing Office or the National 

Technical Information Service.

iii
TABLE OF CONTENTS 

VOLUME 1 

1. Atomic Energy Act of 1954 (P.L. 83-703) 

2. Energy Reorganization Act of 1974 (P.L. 93-438) 

• Reorganization Plan No. 3 of 1970 (EPA) 

* Reorganization Plan No. 1 of 1980 (NRC) 

• Executive Order No. 11834, Activation of the NRC 

3. Low-Level Radioactive Waste Policy Amendments Act of 1985 (Title I) (P.L. 99-240) (Title H-Compacts: See Volume II) 

4. Nuclear Waste Policy Act of 1982, as Amended (P.L. 97-425) 

5. Uranium Mill Tailings (P.L. 95-604) 

6. NRC User Fees (P.L. 101-508) 

7. NRC Authorizations 

8. Inspector General Act of 1978, as Amended (P.L 95-452) 

9. Administrative Procedure Act 

* Subchapter II-Administrative Procedures 

* Subchapter III-Negotiated Rulemaking Procedure (P.L. 101-648) 

• Subchapter IV-Alternative Means to Dispute Resolution in the 

Administrative Process (P.L. 101-552) * Chapter 6-The Analysis of Regulatory Functions 

* Chapter 7-Judicial Review 

• Chapter 8-Congressional Review of Agency Rulemaking 

10. Federal Advisory Committee Act (P.L. 92-463) 

VOLUME 2 

1. Commissioner Tenure 

• Tenure of AEC Commissioners 

• Tenure of NRC Commissioners 

2. NRC Appropriations 

* Tabulation of NRC Appropriations through Fiscal Year 2000 

3. Chief Financial Officers Act of 1990 (P.L. 101-576) 

4. Information Technology Management Reform Act of 1966 (P.L. 104-106) 

* Chief Information Officer

V
5. Federal Civil Penalties (P.L. 101-410)' 

6. Alternative Dispute Resolution Act of 1998 (P.L.105-315) 

7. Paperwork Reduction Act of 1995 (P.L.104-13) 

8. Low-Level Radioactive Waste Policy Amendments Act of 1985 

(Title II-Compacts) 

"• Northwest Interstate Compact on Low-Level Radioactive Waste Management 

Compact "• Southeast Interstate Low-Level Radioactive Waste Management Compact 

* Central Midwest Interstate Low-Level Radioactive Waste Compact "* Midwest Interstate Low-Level Radioactive Waste Management Compact 

"* Rocky Mountain Low-Level Radioactive Waste Management Compact 

"* Northeast Interstate Low-Level Radioactive Waste Management Compact 

9. Appalachian States Low-Level Radioactive Waste Compact Consent Act 

(P.L. 100-319) 

10. Southwestern Low-Level Radioactive Waste Disposal Compact Consent Act 

(P.L. 100-712) 

11. Texas Low-Level Radioactive Waste Disposal Compact Consent Act 

(P.L. 105-236) 

12. Clean Air Act of 1977, as Amended (Selected Sections) (P.L. 101-549) 

13. Federal Water Pollution Control Act of 1972 (Sect. 511) 

14. National Environmental Policy Act of 1969, as Amended (P.L. 91-190) 

15. Hazardous Materials Transportation Act, as amended (P.L. 101-615) 

16. West Valley Demonstration Project Act (P.L. 96-368) 

17. Nuclear Non-Proliferation and Export Licensing Statutes: 

* Nuclear Non-Proliferation Act of 1978 (P.L. 95-242) 

* International Atomic Energy Agency Participation Act of 1957 (P.L. 85-177) 

and the Statute of the International Atomic Energy Agency 

* International Security Assistance and Arms Export Control Act of 1976 

(P.L. 94-329) 

* International Security and Development Cooperation Act of 1980 

(P.L. 96-533) 

* International Security and Development Cooperation Act of 1981 

(P.L. 97-113) 

* Convention on the Physical Protection of Nuclear Material Implementation 

Act of 1982 (P.L. 97-351)

vi
18. Miscellaneous: Selected Treaties, Agreements and Executive Orders 

"• Nuclear Non-Proliferation Treaty "* Convention on the Physical Protection of Nuclear Material 

• Convention on Early Notification of a Nuclear Accident 

"* Convention on Nuclear Safety "• Convention on Assistance in the Case of a Nuclear Accident or Radiological 

Emergency 

Additional Protocol I to the Treaty for the Prohibition of Nuclear Weapons in 

Latin America 

Agreement between the United States aiid the International Atomic Energy 

Agency for the Application of Safeguards in the United States 

• Additional Protocols to IAEA Safeguards Agreements 

• IAEA Supply Agreements 

* United States Agreements for Peaceful Nuclear Cooperation 

* Agreements for Cooperation in the Use of Atomic Energy 

* Convention of the Prevention of Marine Pollution by Dumping of Wastes and 

Other Matters 

Executive Orders and Presidential Statements Concerning Interantional 

Atomic Energy Cooperation 

• Executive Order 10841 (re: International Atomic Energy Cooperation) ' Executive Order 10956 (re: Amndt. to E.O. 10841) 

• Executive Order 12058 (re: Functions Relating to Nuclear Non

Proliferation) 

• Executive Order 12658 (re: President's Commission on Catastrophic 

Nuclear Accidents) 

• Executive Order 12730 (re: Continuation of Export Control 

Regulations)

vii

TENURE OF COMMISSIONERS

AEC COMMISSIONERS, 1946-1975 

From To Remarks

David E. Lilienthal, Chairman 

Robert F. Bacher 

Sumner T. Pike 

William W. Waymack 

Lewis L. Strauss 

Chairman 

Henry De Wolf Smyth 

Gordon Dean 

Chairman 

Thomas E. Murray 

Thomas Keith Glennan 

Eugene M. Zuckert 

Joseph Campbell 

Willard F. Libby 

John Von Neumann 

Harold S. Vance 

John S. Graham 

John Forrest Floberg 

John A. McCone, Chairman 

John H. Williams 

Robert E. Wilson 

Loren K. Olson 

Glenn T. Seaborg, Chairman 

Leland J. Haworth 

John G. Palfrey 

James T. Ramey 

Gerald F. Tapev 

Mary I. Bunting 

Wilfrid E. Johnson 

Samuel M. Nabrit 

Francesco Costagliola 

Theos J. Thompson 

Clarence E. Larson 

James R. Schlesinger, Chairman 

William 0. Doub 

Dixy Lee Ray' 

Chairman 

William E. Kriegsman 

William A. Anders

Nov. 1, 1946 

Nov. 1, 1946 

Oct. 31, 1947 

Nov. 5, 1946 

Nov. 12, 1946 

July 2, 1953 

May 30, 1949 

May 24, 1949 

July 11, 1950 

May 9, 1950 

SOct. 2, 1950 

Feb. 25, 1952 

July 27, 1953 

Oct. 5, 1954 

Mar. 15, 1955 

Oct. 31, 1955 

Sept. 12, 1957 

Oct. 1, 1957 

July 14, 1958 

Aug. 13, 1959 

Mar. 22, 1960 

June 23, 1960 

Mar. 1, 1961 

Apr. 17, 1961 

Aug. 31, 1962 

Aug. 31, 1962 

July 15, 1963 

June 29, 1964 

Aug. 1, 1966 

Aug. 1, 1966 

Oct. 1, 1968 

June 12, 1969 

Sept. 2, 1969 

Aug. 17, 1971 

Aug. 17, 1971 

Aug. 8, 1972 

Feb. 6, 1973 

June 12, 1973 

Aug. 6, 1973

Feb. 15,1950 

May 10, 1949 

Dec. 15,1951 

Dec. 21, 1948 

Apr. 15, 1950 

June 30, 1958 

Sept. 30, 1954 

June 30, 1953 

June 30, 1953 

June 30, 1957 

Nov. 1, 1952 

June 30, 1954; 

Nov. 30,1954 

June 30, 1959 

Feb. 8,1957 

Aug. 31,1959 

June 30, 1962 

June 23, 1960 

Jan. 20, 1961 

June 30, 1960 

Jan. 31, 1964 

June 30, 1962 

Aug. 16,1971 

June 30, 1963 

June 30, 1966 

June 30, 1963 

Apr. 30,1969 

June 30, 1965 

June 30, 1972 

Aug. 1, 1967 

June 30, 1969 

Nov. 25,1970 

June 30, 1974 

Feb. 5, 1973 

Aug. 17,1974 

Jan. 19, 1975 

Jan. 19, 1975 

Dec. 31, 1974 

Jan. 19,1975

Resigned 

Resigned 

Resigned 

Resigned 

Resigned 

Term expired 

Resigned 

Term expired 

Term expired 

Resigned 

Term expired 

Resigned 

Resigned 

Deceased 

Deceased 

Resigned 

Resigned 

Resigned 

Resigned 

Resigned 

Term expired 

Resigned 

Resigned 

Resigned 

Term expired 

Resigned 

Term expired 

Term expired 

Resigned 

Term expired 

Deceased 

Term expired 

Resigned 

Resigned 

AEC abolished 

Resigned 

AEC abolished

'Designated Chairman, Feb. 6, 1973.

1-1
NRC COMMISSIONERS, 1957-Present

From To

2

On April 21, 1976, Marcus A. Rowden assumed the Chairmanship. 3

On Dec. 7, 1979, Joseph M. Hendrie vacated the Chairmanship but remained as a Commissioner. 4

On Mar. 3, 1981, Joseph M. Hendrie resumed the Chairmanship. 5

On Dec. 7, 1979, John F. Ahearne assumed the Chairmanship. 6

On Mar. 3, 1981, John F. Ahearne vacated the Chairmanship but remained as a Commissioner. 7

First term expired on June 30, 1985; Thomas Roberts took Oath of Office for second term on July 12, 

1985. 8

James K. Asselstine completed Peter A. Bradford's term and was appointed to full five-year term. 9

On June 28, 1984, Lando W. Zech, Jr. was nominated by the President. He received a recess appointment on July 3, 1984, and took office on July 5, 1984. On January 3, 1985, the President resubmitted the nomination 

to the 99th Congress for a full five-year appointment. The Senate subsequently confirmed the nomination and 

he took office for the full five-year term on March 6, 1985. On July 1, 1986, Lando W. Zech, Jr. assumed the 

Chairmanship. 

"°Kenneth M. Carr served as Commissioner from Aug. 14, 1986 to June 30, 1989, then assumed 

Chairmanship from July 1, 1989 to June 30, 1991. 

"Kenneth C. Rogers served as Commissioner from Aug. 7, 1987 to June 30, 1992 was reappointed as Commissioner from July 1, 1992 to June 30, 1997. 

"

2

Ivan Selin resigned June 30, 1995.

1-2

I

William A. Anders, Chairman 

Chairman 

Marcus A. Rowden, Chairman 

Edward A. Mason 

Victor Gilinksy 

Richard T. Kennedy 

Joseph M. Hendrie, Chairman 

Commissioner 

Chairman 

Peter A. Bradford 

John F. Ahearne 

Chairman 

Commissioner 

Nunzio J. Palladino, Chairman 

Thomas M. Roberts 

James K. Asselstine 

Frederick M. Bemthal 

Lando W. Zech, Jr. 

Chairman 

Kenneth M. Carr 

Kenneth Rogers 

James R. Curtiss 

Forrest J. Remick 

Ivan Selin, Chairman 

E. Gail de Planque 

Shirley A. Jackson 

Commissioner 

Chairman

Jan. 19, 1975 

Apr. 21, 1976 

Jan. 19, 1975 

Jan. 19, 1975 

Jan. 19, 1975 

Jan. 19, 1975 

Aug. 9, 1977 

Dec. 8, 1979 

Mar. 3, 1981 

Aug. 15, 1977 

July 31, 1978 

Dec. 7, 1979 

Mar. 3, 1981 

July 1, 1981 

Aug. 3, 1981 

May 17, 1982 

July 1, 1982 

Aug. 5, 1983 

July 5, 1984 

July 1, 1986 

Aug. 14, 1986 

Aug. 7, 1987 

Oct. 20, 1988 

Dec. 1, 1989 

July 1, 1991 

Dec. 16, 1991 

May 2, 1995 

July 1, 1995

Apr. 20,1976 

June 30, 1977 

June 30, 19772 

Jan. 15,1977 

June 30, 1984 

June 30, 1980 

Dec. 7, 1979' 

Mar. 2, 1981 

June 30, 19814 

Mar. 12,1982 

Dec. 7,1979 

Mar. 2,1981' 

June 30, 19836 

June 30, 1986 

June 30, 19907 

June 30, 19828 

June 30, 1987 

June 30, 1988 

June 30, 19899 

June 30, 1989 

June 30, 199110 

June 30, 199211 

June 30, 1993 

June 30, 1994 

June 30, 199612 

June 30, 1995 

June 30, 1995 

June 30, 1999

Remarks 

Resigned 

Term Expired 

Term Expired 

Resigned 

Term Expired 

Term Expired 

Term Expired 

Resigned 

Term Expired 

Term Expired 

Term Expired 

Term Expired 

Term Expired 

Term Expired 

Term Expired 

Term Expired 

Term Expired 

Term Expired 

Term Expired 

Term Expired 

Term Expired 

Term Expired
NRC COMMISSIONERS, 1957-Present

From To Remarks 

Greta J. Dicus 

Commissioner February 15, 1996 June 30, 1998 

Chairman July 1, 1999 October 29, 1999 

Commissioner October 29, 1999 June 30, 2003 Term Expires 

Nils J. Diaz August 23, 1996 June 30, 2001 Term Expires 

Edward McGaffigan, Jr. August 28, 1996 June 30, 2000 Term Expires 

Jeffrey S. Merrifield October 23, 1998 June 30, 2002 Term Expires 

William Meserve 

Chairman October 29, 1999 June 30, 2004 Term Expires

NOMINATED, NOT CONFIRMED

Dan Berkovitz, 1995 

Robert Sussman, 1995 

Albert Camesale, 1980 

Kent Hanson, 1977 

George Murphy, 1976

1-3

NRC APPROPRIATIONS 

TABLE OF CONTENTS 

Page Public Law 

Energy And Water Development Appropriations Act, 2000 ..... 4 106-60 

Nuclear Regulatory Commission ..................... 4 106-60 

Office of Inspector General ......................... 4 106-60 

Energy And Water Development Appropriations Act, 1999 ..... 4 105-245 

Nuclear Regulatory Commission ..................... 4 105-245 

Office of Inspector General ......................... 5 105-245 

(Includes Permanent NRC Authorizations) 

Energy And Water Development Appropriations Act, 1998 ..... 6 105-62 

Nuclear Regulatory Commission ..................... 6 105-62 

Office of Inspector General ......................... 7 105-62 

Energy And Water Development Appropriations Act, 1997 ..... 7 104-206 

Nuclear Regulatory Commission ..................... 7 104-206 

Office of Inspector General ......................... 8 104-206 

Energy And Water Development Appropriations Act, 1996 ..... 9 104-46 

Nuclear Regulatory Commission ..................... 9 104-46 

Office of Inspector General ......................... 9 104-46 

Energy And Water Development Appropriations Act, 1995 ..... 10 103-316 

Nuclear Regulatory Commission ..................... 10 103-316 

Office of Inspector General ......................... 11 103-316 

Energy And Water Development Appropriations Act, 1994 ..... 11 103-126 

Nuclear Regulatory Commission ..................... 11 103-126 

Office of Inspector General ......................... 12 103-126 

Energy And Water Development Appropriations Act, 1993 ..... 13 102-377 

Nuclear Regulatory Commission ..................... 13 102-377 

Office of Inspector General ......................... 13 102-377 

(Includes Permanent Ban on Intervenor Funding ) 

Energy And Water Development Appropriations Act, 1992 ..... 14 102-104 

Nuclear Regulatory Commission ..................... 14 102-104 

Office of Inspector General ......................... 15 102-104 

Energy And Water Development Appropriations Act, 1991 ..... 15 101-514 

Nuclear Regulatory Commission ..................... 15 101-514 

Office of Inspector General ......................... 16 101-514 

Energy And Water Development Appropriations Act, 1990 ..... 17 101-101 

Nuclear Regulatory Commission ..................... 17 101-101 

Office of Inspector General ......................... 17 101-101

2-1
Page Public Law 

Energy And Water Development Appropriations Act, 1989 ..... 18 100-371 

Nuclear Regulatory Commission ..................... 18 100-371 

Title V-General Provisions .......................... 19 100-371 

Energy And Water Development Appropriation Act, 1988 ..... 19 101-202 

Nuclear Regulatory Commission ..................... 20 101-202 

Title V-General.Provisions .......................... 21 101-202 

Energy And Water Development Appropriations Act, 1987 ..... 22 99-591 

Nuclear Regulatory Commission ..................... 23 99-591 

Title V-General Provisions ........................ 23 99-591 

Energy And Water Development Appropriations Act, 1987 ..... 25 99-500 

Nuclear Regulatory Commission ..................... 25 99-500 

Title V-General Provisions .......................... 26 99-500 

Appropriations Act, 1986 ................................. 27 99-141 

Nuclear Regulatory Commission ..................... 28 99-141 

Energy And Water Development Appropriations Act, 1985 ..... 28 98-360 

Nuclear Regulatory Commission ..................... 28 98-360 

Energy And Water Development Appropriations Act, 1984 ..... 29 98-50 

Nuclear Regulatory Commission ..................... 29 98-50 

Continuing Appropriations For Fiscal Year 1983 ............. 30 97-377 

Title V-General Provisions .......................... 30 97-377 

Energy And Water Development Appropriations Act, 1982 ..... 31 97-88 

Nuclear Regulatory Commission ..................... 31 97-88 

Title V-General Provisions .......................... 32 97-88 

Energy And Water Development Appropriations Act, 1981 ..... 33 96-367 

Nuclear Regulatory Commission ..................... 33 96-367 

Title V-General Provisions .......................... 33 96-367 

Supplemental Appropriations And Rescission Act, 1980 ........ 34 96-304 

Title I-Independent Agencies ........................ 34 96-304 

Nuclear Regulatory Commission ................. 34 96-304 

Title H-Increased Pay Costs For The Fiscal Year 1980 .... 34 96-304 

Nuclear Regulatory Commission ................. 34 96-304 

Title Ill-General Provisions ......................... 34 96-304 

Energy And Water Development Appropriation Act, 1980 ..... 36 96-69 

Nuclear Regulatory Commission ..................... 36 96-69 

Title V-General Provision .......................... 37 96-69 

Appropriations Act, 1979 ................................. 37 95-482 

Joint Resolution .................................. 37 95-482

2-2
Page Public Law

Second Supplemental Appropriations Act, 1978 .............. 38 95-355 

Title I-Independent Agencies ........................ 38 95-355 

Nuclear Regulatory Commission ................. 38 95-355 

Title II-Increased Pay Costs For The Fiscal Year 1978 .... 38 95-355 

Nuclear Regulatory Commission ................. 38 95-355 

Title Ill-General Provisions ......................... 38 95-355 

Public Works For Water And Power Development And 

Energy Research Appropriation Act, 1978 ................... 39 95-96 

Nuclear Regulatory Commission ..................... 39 95-96 

Title V-General Provisions .......................... 39 95-96 

Supplemental Appropriations Act, 1997 ..................... 39 95-26 

Title II-Increased Pay Costs For The Fiscal Year 1977 .... 40 95-26 

Nuclear Regulatory Commission ................. 40 95-26 

Public Works For Water And Power Development And 

Energy Research Appropriation Act, 1977 ................... 40 94-355 

Nuclear Regulatory Commission ..................... 40 94-355 

Public Works For Water And Power Development And 

Energy Research Appropriation Act, 1976 ................... 41 94-180 

Nuclear Regulatory Commission ..................... 41 94-180 

Title V-General Provisions .......................... 42 94-180 

Second Supplemental Appropriations Act, 1975 .............. 42 94-32 

Title I-Chapter VIII ............................... 42 94-32 

Nuclear Regulatory Commission ................. 42 94-32 

Title II-Increased Pay Costs ......................... 42 94-32 

Energy Research And Development Administration .. 43 94-32 

Nuclear Regulatory Commission ................. 43 94-32 

Title Ill-General Provisions ......................... 43 94-32 

Tabulation of NRC Appropriations through Fiscal Year 2000 ... 45

2-3
NRC APPROPRIATIONS

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. 

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

2-4
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. 

(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

2-5

42 USC 5852.
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. Applicability. (e) Subsections (a), (b), and (c) of this section shall apply to fiscal 

year 1999 and each succeeding fiscal year. 

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 

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

2-6
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 

that $0. 

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

2-7
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) Notice. 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 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.

2-8
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 retained and used for necessary salaries and expenses int his 

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) 

Notice. 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,

2-9
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 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

2-10
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. 

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

2-11
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 

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.

2-12
ENERGY AND WATER DEVELOPMENT 

APPROPRIATIONS ACT, 1993 

Public Law 102-377 106 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 

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

2-13
5 USC 504 note

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.

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 amfnded, 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

2-14
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 

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 3.109 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

2-15
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 

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.

2-16
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 

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

2-17
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. 

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, 

Energy and Water That the following sums are appropriated, out of any money in the 

Development Treasury not otherwise appropriated, for the fiscal year ending 

Appropriation Act, September 30, 1989, for energy and water development, and for other 

1989. 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

2-18
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 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, 

2 USC 902 note. 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:

2-19
(a) Upon the enactment of this Resolution the orders issued by the 

President on October 20, 1987, and November 20, 1987, pursuant to 

section 252 of the Balanced Budget and Emergency Deficit Control Act 

of 1985, as amended, are hereby rescinded. 

(b) Any action taken to implement the orders referred to in subsection 

(a) shall be reversed, and any sequesterable resource that has been 

reduced or sequestered by such orders is hereby restored, revived, or 

released and shall be available to the same extent and for the same 

purpose as if the orders had not been issued. 

The following sums are hereby appropriated, out of any money in the 

Treasury not otherwise appropriated, and out of applicable corporate or 

other revenues, receipts, and funds, for the several departments, agencies, 

corporations, and other organizational units of the 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 

Energy and Water Making appropriations for energy and water development for the fiscal 

Development year ending September 30, 1988, and for other purposes. 

Appropriation Act, 

1988. 

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

2-20
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 

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

2-21
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 sec. 25.101: 

Provided further, That this section shall not apply to EHV power 

equipment produced or manufactured in a country whose government has 

completed negotiations with the United States to extend the GATT 

Government Procurement Code, or a bilateral equivalent, to 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,

2-22
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: 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.

2-23
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 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 sec. 25.101: 

Provided further, That this section shall not apply to EHV power 

equipment produced or manufactured in a country whose government has 

completed negotiations with the United States to extend the GAIT 

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."

2 - 24
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 of section 

3302 of title 31, United States Code, and shall remain available until 

expended.

2-25
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 sec. 25.101: 

Provided further, That this section shall not apply to EHV power 

equipment produced or manufactured in a country whose government has

2 - 26
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. 

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:

2-27
42 USC 5801 note.

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.

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 

42 USC 2011 note. For necessary expenses of the Commission in carrying out the 

42 USC 5801 note. purposes of the Energy Reorganization Act of 1974, as amended, and the 

Atomic Energy Act, as amended, including the employment of aliens; 

services authorized by 5 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

2-28
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. 

ENERGY AND WATER DEVELOPMENT 

APPROPRIATIONS ACT, 1984

Public Law 98-50

Energy and Water 

Development 

Appropriation Act, 

1984.

31 USC 3302. 

42 USC 5801 note. 

96 Stat. 948.

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.

2 - 29
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. 

Continuing Resolved by the Senate and House of Representatives of the United 

appropriations for States of America in Congress assembled, 

fiscal year 1983. 

That the following sums are appropriated, out of any money in the 

Treasury not otherwise appropriated, and out of applicable corporate or 

other revenues, receipts, and funds, for the several departments, agencies, 

corporations, and other organizational units of the Government for the 

fiscal year 1983, and for other purposes, namely: 

TITLE V-GENERAL PROVISIONS 

(f) Such amounts as may be necessary for continuing activities which 

were conducted in fiscal year 1982, for which provision was made in the 

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 82D1109; 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:

2-30
Post, p. 1909. (g) Notwithstanding section 102(c) of this joint resolution, the 

following amounts are provided for fiscal year 1983: 

Sec. 159. Funds in this joint resolution may not be made available for 

payment to the International Atomic Energy Agency 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 

42 USC 2014. For necessary expenses of the Commission in carrying out the 

42 USC 5801 note. purposes of the Energy Reorganization Act of 1974, as amended, and the 

94 Stat. 785. 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 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

2-31
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. 

See. 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. 

Short title. This Act may be cited as the "Energy and Water Development 

Appropriation Act, 1982."

2-32
ENERGY AND WATER DEVELOPMENT 

APPROPRIATIONS ACT, 1981

Energy and Water 

Development. 

Appropriation Act, 

1981.

42 USC 5801 note.

Public Law 96-367

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 

NUCLEARREGULATORY 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. 

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.

2-33

94 Stat. 1344
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. 

Short title. 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. 

Supplemental Be it enacted by the Senate and House of Representatives of the 

Appropriations and United States of America in Congress assembled, 

Rescission Act, 

1980. That the following sums are appropriated, out of any money in the 

Treasury not otherwise appropriated, to supply supplemental 

appropriations (this Act may be cited as the "Supplemental 

Appropriations and Rescission Act, 1980") for the fiscal year ending 

September 30, 1980, that the following rescissions of budget authority are 

made, and for other purposes, namely: 

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. 

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.

2-34
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. 5 USC 5884 note. See. 303. Notwithstanding any other provision of law, the number of Career appointees, 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. 41 USC 46-48b. 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. 93 Stat. 566. (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. Unresolved and Sec. 305. All unresolved audits currently pending within agencies and 

new audits, departments, for which appropriations are made under this Act, shall be 

resolved not later than September 30, 1981. Any new audits, involving questioned costs, arising after the enactment of this Act shall be resolved 

within 6 months. Delinquent debts. Sec. 306. Each department and agency for which appropriations are made 

under this Act shall take immediate action (1) to improve the collection of overdue debts owed to the United States within the jurisdiction of that department or agency; (2) to bill interest on delinquent debts as required by the Federal Claims Collection Standards; and (3) to reduce amounts of 

such debts written off as uncollectible.

2-35
31 USC 28. 

Funds for 

consulting services 

and information 

submittal to 

congressional 

committees. 

Agency budget 

controls and 

progress, submittal 

to Congress.

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

Energy and Water 

Development 

Appropriation Act, 

1980.

42 USC 5801 note.

93 Stat. 449

September 25, 1979 

An Act 

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; 

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

2-36
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 

JOINT RESOLUTION 

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.' 

'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 USC 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 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.

2-37
SECOND SUPPLEMENTAL APPROPRIATIONS ACT, 1978

Public Law 95-355

Second 

Supplemental 

Appropriations 

Act, 1978.

Fiscal year 

limitation.

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 I1-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 

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.

2-38
PUBLIC WORKS FOR WATER AND POWER 

DEVELOPMENT AND ENERGY RESEARCH 

APPROPRIATION ACT, 1978

Public Law 95-96

42 USC 5801 note.

Fiscal year 

limitation. 

Short title.

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." 

SUPPLEMENTAL APPROPRIATIONS ACT, 1997

Public Law 95-26

May 4, 1977 

An Act 

Making supplemental appropriations for the fiscal year ending 

September 30, 1977, and for other purposes.

91 Stat. 112

2-39
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

Public Works for 

Water and Power 

Development and 

Energy Research 

Appropriation Act, 

1977.

42 USC 5801 note.

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: 

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,

2-40
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

Public Works for 

Water and Power 

Development and 

Energy Research 

Appropriation Act, 

1976.

42 USC 5801 note.

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 

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;

2-41
Fiscal year 

limitation. 

40 USC 490. 

Space and service 

charges. 

Short Title.

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 2100) 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

June 12, 1975 

An Act

89 Stat. 173

Second 

Supplemental 

Appropriations 

Act, 1975.

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 

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 H-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:

2-42
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 

Fiscal year Sec. 301. No part of any appropriation contained in this Act shall remain limitation, 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. GSA, space and Sec. 303. No part of any appropriation, funds, or other authority services, 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 2100) of the Federal Property and Administrative Services Act of 1949, as amended, 

for space and services. 

40 USC 490. Sec. 304. No part of the funds contained in this Act may be used to force 42 USC 2000c. any school or school district which is desegregated as that term is defined Busing. 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. 42 USC 2000c. Sec. 305. (a) No part of the funds contained in this Act shall be used to Busing. 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. School (b) No funds appropriated in this Act may be used for the transportation transportation of students or teachers (or for the purchase of equipment funds, for such transportation) in order to overcome racial imbalance in any school or school system, or for the transportation of students or teachers 

(or for the purchase of equipment for such transportation) in order to 

carry out a plan of racial desegregation of any school system. U.S. Postal Service, Sec. 306. Unobligated balances of operation and maintenance reimbursement, 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

2-43
Service for service rendered to the Department of Defense during those 

fiscal years.

2-44
TABULATION OF NRC APPROPRIATIONS THROUGH FISCAL YEAR 2000 

Difference 

Amount Amount Between 

Amount Allowed by Allowed by Amount Request and 

Requested Date of House Senate Appropriated Appropriation Date Public 

Appropriation ($million) Request ($Million) ($Million) ($Million) (Percent) Enacted Law 

Fiscal Year 1976: Regular ....................... $219,935 Feb. 3, 1975 $202,500 $215,423 $215,423 -2.1 Dec. 26, 1975 94-180 

Fiscal Year 1977: Regular ....................... 249,430 Jan. 21, 1976 244,430 244,430 244,430 -2 July 12, 1976 94-355 

Fiscal Year 1978: Regular ........................ 292,250 Jan. 17, 1977 277,696 285,150 281,423 -3.7 Aug. 7, 1977 95-96 

Fiscal Year 1979: Regular ....................... 330,670 Jan. 23, 1978 321,487 328,287 322,301 -2.5 Oct. 18, 1978 95-482 

Fiscal Year 1978: Supplemental ................... 5,350 Jan. 23, 1978 3,600 3,000v 3,600 -33 Sept. 8, 1978 95-355 

Fiscal Year 1979: Regular ....................... 330,670 Jan. 23, 1978 321,487 328,287 322,301 -2.5 Oct. 18, 1978 95-482 

Fiscal Year 1980: Regular ....................... 373,000 Jan. 22, 1979 358,340 363,340 363,340 -2.6 Sept. 25, 1979 96-69 

Fiscal Year 1980: Supplemental ................... 49,200 Dec. 10, 1979 31,950 31,950 31,950 -35 July 8, 1980 96-304 

Fiscal Year 1981: Regular ....................... 468,490 Jan. 28, 1980 437,220 452,520 447,520 -4.5 Oct. 1, 1980 96-367 

Fiscal Year 1982: Regular ....................... 500,700 Jan. 19, 1981 477,534 465,700 465,700 -7 Dec. 4, 1981 97-88 

Fiscal Year 1983: Regular ....................... 479,500 Feb. 8, 1982 462,504 462,504 462.504 -3.5 Dec. 21, 1982 97-377 

Fiscal Year 1984: Regular ....................... 466,800 Jan. 31, 1983 465,800 466,800 465,800 -0.2 July 14, 1983 98-50 

Fiscal Year 1985: Regular ....................... 468,200 Jan. 1984 438,200 458,200 448,200 -4.3 July 16, 1984 98-360 

Fiscal Year 1986: Regular ....................... 429,000 Feb. 4, 1985 403,671 429,000 418,000 -2.6 Nov. 1, 1985 99-141 

Fiscal Year 1987: Regular ....................... 405,000 Feb. 5, 1985 405,000 391,000 401,000 -1 Oct. 30, 1986 99-591 

Fiscal Year 1988: Regular ....................... 428,000 Jan. 5, 1987 417,800 417,800 392,800 -8.2 Dec. 22, 1987 100-202 

Fiscal Year 1989: Regular ....................... 450,000 Feb. 18, 1988 420,000 430,000 420,000 -6.7 July 19, 1988 100-371 

Fiscal Year 1990; Regular ....................... 472,100 Jan. 9, 1989 442,100 442,100 442,100 -6.4 Sept. 29, 1989 101-101* 

Fiscal Year 1991, Regular ....................... 471,320 Jan.29, 1990 471,320 471,320 461,320 -2.1 Nov. 5,1990 101-514* 

Fiscal Year 1992: Regular ....................... 508,810 July 30, 1991 508,810 508,810 508,810 0 Aug. 17, 1991 102-104* 

Fiscal Year 1993: Regular ....................... 545,415 June 11, 1992 535,415 535,415 535,415 -1.8 Oct. 2, 1992 102-377* 

Fiscal Year 1994: Regular ....................... 542,900 June 17, 1993 542,490 535,415 535,415 -1.4 Oct. 28, 1993 103-126* 

Fiscal Year 1995 Regular ........................ 540,501 May 26, 1994 540,501 540,501 540,501 0 Aug. 26, 1994 103-316* 

Fiscal Year 1996; Regular ....................... 520,501 June 20, 1995 468,300 474,300 468,300 -10 Nov. 13, 1995 10446* 

Fiscal Year 1997; Regular ....................... 475,300 July 16, 1996 471,800 471,800 471,800 -0.7 Sept. 30, 1996 104-206* 

Fiscal Year 1998; Regular ....................... 468,000 July 21, 1997 462,700 476,500 468,000 0 Oct. 13, 1997 105-62* 

Fiscal Year 1999; Regular ....................... 488,640 462,700 466,000 465,000 -4.8 Oct. 7, 1998 105-245* 

Fiscal Year 2000; Regular ....................... 465,400 May 4, 1999 455,400 465,400 465,000 -0.1 Sept. 29, 1999 106-60* 

*Office of Inspector General 

Fiscal Year 1990 .......................... 2900 0 Sept. 29, 1989 101-101

2-45
M

Difference 

Amount Amount Between 

Amount Allowed by Allowed by Amount Request and 

Requested Date of House Senate Appropriated Appropriation Date Public 

Appropriation ($million) Request ($Million) ($Million) ($Million) (Percent) Enacted Law 

Fiscal Year 1991 ............................... 3,680 3,680 3,680 3,680 0 Nov. 5, 1990 101-514 

Fiscal Year 1992 ............................... 3,690 3,690 3,690 3,690 0 Aug. 17, 1991 102-104 

Fiscal Year 1993 ............................... 4,585 4,585 4,585 4,585 0 Oct. 2, 1992 102-377 

Fiscal Year 1994 ............................... 4,800 4,800 4,800 4,800 0 Oct. 28, 1993 103-126 

Fiscal Year 1995 ............................... 5,080 5,080 5,080 5,080 0 Aug.26, 1994 103-316 

Fiscal Year 1996 ............................... 5,000 5,000 5,000 5,000 0 Nov. 13, 1995 104-46 

Fiscal Year 1997 ............................... 5,000 5,000 5,000 5,000 0 Sept. 30, 1996 104-206 

Fiscal Year 1998 ............................... 4,800 4,800 4,800 4,800 0 Oct. 13, 1997 105-62 

Fiscal Year 1999 ............................... 4,800 4,800 4,800 -- Oct. 7, 1998 105-245 

Fiscal Year 2000 ............................... 6,000 5,000 5,000 - Sept. 29. 1999 106-60

t,•) 

I~

2-46
CHIEF FINANCIAL OFFICERS ACT OF 1990

TABLE OF CONTENTS 

PAGE 31 USC 

Sec. 

TITLE I 

GENERAL PROVISIONS 

Sec. 101. Short Title ......................................... 2 501 

Sec. 102. Findings and Purposes ............................. 2 501 

TITLE II 

ESTABLISHMENT OF CHIEF FINANCIAL OFFICERS 

Sec. 201. Deputy Director for Management ....................... 3 501 

Sec. 202. Functions of Deputy Director for Management ............ 3 501 

Sec. 203. Office of Federal Financial Management ................. 5 501 

Sec. 204. Duties and Functions of The Department of the Treasury .... 6 501 

Sec. 205. Agency Chief Financial Officers ...................... 6 901 

Sec. 901. Establishment of Agency Chief Financial Officers ......... 6 901 

Sec. 902. Authority and Functions of Agency Chief Financial Officers 7 901 

Sec. 903. Establishment of Agency Deputy Chief Financial Officers .. 8 901 

Sec. 206. Transfer of Functions and Personnel of Agency Chief 

Financial Officers ............................... 9 901 

See. 207. Compensation ..................................... 10 901 

TITLE mI 

ENHANCEMENT OF FEDERAL FINANCIAL MANAGEMENT ACTIVITIES 

Sec. 301. Financial Management Status Report; 5-year Plan of 

Director of Office of Management and Budget ........ 10 

Sec. 302. Chief Financial Officers Council ..................... 12 901 

Sec. 303. Financial Statements of Agencies ...................... 13 3515 

Sec. 304. Financial Audits of Agencies ......................... 16 3521 

Sec. 305. Financial Audits of Government Corporations ........... 17 3511 

Sec. 306. Management Reports of Government Corporations ....... 18 3511 

Sec. 307. Adoption of Capital Accounting Standards .............. 18 3511

3-1
CHIEF FINANCIAL OFFICERS ACT OF 1990

Public Law 101-576

Chief Financial 

Officers Act of 

1990. 

31 USC 501 note. 

31 USC 501 note.

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 he 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

3-2
information and to deter fraud, waste, and abuse of Government 

resources. 

(3) Provide for the production of complete, reliable, timely, and 

consistent financial information for use by the executive branch of the 

Government and the Congress in the financing, management, and 

evaluation of Federal programs. 

TITLE II-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) Subject to the direction and approval of the Director, the Deputy 

Director for Management shall establish government-wide 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. 

(5) Monitor the financial execution of the budget in relation to 

actual expenditures, including timely performance reports.

3-3
(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 he 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

3-4
(B) the adoption of modern management concepts and 

technologies. 

(6) Work with State and local governments to improve and 

strengthen intergovernmental relations, and provide assistance to such 

governments with respect to intergovernmental programs and 

cooperative arrangements. 

(7) Review and, where appropriate, recommend to the 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. 

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.

3-5
31 USC 501 note. 

31 USC 901

SEC. 204. DUTIES AND FUNCTIONS OF THE DEPARTMENT 

OF THE TREASURY. 

Nothing in this Act shall be construed to interfere with the exercise of 

the functions, duties, and responsibilities of the Department of the 

Treasury, as in effect immediately before the enactment of this Act. 

SEC. 205. AGENCY CHIEF FINANCIAL OFFICERS. 

(a) IN GENERAL.-Subtitle I of title 31, United States Code, is 

amended by adding at the end the following new chapter: 

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 Housing and Urban Development. 

(H) The Department of the Interior. 

(I) The Department of Justice. 

(J) The Department of Labor. 

(K) The Department of State. 

(L) The Department of Transportation. 

(M) The Department of the Treasury. 

(N) The Department of Veterans Affairs. 

(0) 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.

3-6
(G) The Small Business Administration. 

(H) The Social Security 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; 

(E) the implementation of agency asset management systems, 

including systems for cash management, credit management, debt 

collection, and property and inventory management and control; 

Reports. (6) prepare and transmit, by not later than 60 days after the 

submission of the audit report required by section 3521 (f) of this title, 

an annual report to the 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;

3-7
(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; 

Reports. (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 USC 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 

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

3-8
31 USC 901 note. 

31 USC 901 note.

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 

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

3-9
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 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

3-10
(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 governmentwide 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 governmentwide 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 governmentwide 5-year financial management plan 

prepared under this subsection shall

(i) describe the existing financial management structure and 

any changes needed to establish an integrated financial 

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;

3-11
31 USC 901 note.

(viii) include a plan for ensu.ring 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 governmentwide 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 governmentwide 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 

governmentwide 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: 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 Trea~ury; 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.

3-12
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) Not later than March 31 of 1992 and each year thereafter, the head 

of each executive agency identified in section 901(b) of this title shall 

prepare and submit to the Director of the Office of Management and 

Budget a financial statement for the preceding fiscal year, covering

(1) each revolving fund and trust fund of the agency; and 

(2) to the extent practicable, the accounts of each office, bureau, 

and activity of the agency which performed substantial commercial 

functions during the preceding fiscal year. 

(b) Each financial statement of an executive agency under this section 

shall reflect

(1) the overall financial position of the revolving funds, trust 

funds, offices, bureaus, and activities covered by the statement, 

including assets and liabilities thereof; 

(2) results of operations of those revolving funds, trust funds, 

offices, bureaus, and activities; 

(3) cash flows or changes in financial position of those revolving 

funds, trust funds, offices, bureaus, and activities; and 

(4) a reconciliation to budget reports of the executive agency for 

those revolving funds, trust funds, offices, bureaus, and activities. 

(c) The Director of the Office of Management and Budget shall 

prescribe the form and content of the financial statements of executive 

agencies under this section, consistent with applicable accounting 

principles, standards, and requirements. 

(d) For purposes of this section, the term "commercial functions" 

includes buying and leasing of real estate, providing insurance, making 

loans and loan guarantees, and other credit programs and any activity 

involving the provision of a service or thing of value for which a fee, 

royalty, rent, or other charge is imposed by an agency for services and 

things of value it provides. 

(e) Not later than March 31 of each year, the head of each executive 

agency designated by the President may prepare and submit to the 

Director of the Office of Management and Budget a financial statement 

for the preceding fiscal year, covering accounts of offices, bureaus, and 

activities of the agency in addition to those described in subsection (a). 

31 USC 3515 note. (2) EFFECTIVE DATE OF SUBSECTION.-Subsection (e) of 

section 3515 of title 31, United States Code, as added by paragraph 

(1), shall take effect on the date on which a resolution described in 

subsection (b)(1) of this section is passed by the Congress and 

approved by the President. 

31 USC 3515 note. (3) WAIVER OF REQUIREMENT.-The Director of the Office of 

Management and Budget may, for fiscal year 1991, waive the 

application of section 3515(a) of title 31, United States Code, as 

amended by this subsection, with respect to any revolving fund, trust 

fund, or account of an executive agency. 

31 USC 3515 note. (b) RESOLUTION APPROVING DESIGNATION OF 

AGENCIES.

(1) RESOLUTION DESCRIBED.-A resolution referred to in 

subsection (a)(2) is a joint resolution the matter after the resolving

3-13
clause of which is as follows: "That the Congress approves the 

executive agencies designated by the President pursuant to 

section 3515(e) of title 31, United States Code. 

(2) INTRODUCTION OF RESOLUTION.-No later than the first 

day of session following the day on which the President submits to 

the Congress a designation of executive agencies authorized to submit 

financial statements under section 3515(e) of title 31, United States 

Code, as added by subsection (a), a resolution as described in 

paragraph (1) shall be introduced (by request) in the House by the 

chairman of the Committee on Government Operations of the House 

of Representatives, or by a Member or Members of the House 

designated by such chairman; and shall be introduced (by request) in 

the Senate by the chairman of the Committee on Governmental Affairs 

of the Senate, or by a Member or Members of the Senate designated 

by such chairman. 

(3) REFERRAL.-A resolution described in paragraph (1), shall be 

referred to the Committee on Governmental Affairs of the Senate and 

the Committee on Government Operations of the House (and all 

resolutions with respect to the same designation of executive agencies 

shall be referred to the same committee) by the President of the Senate 

or the Speaker of the House of Representatives, as the case may be. 

The committee shall make its recommendations to the House of 

Representatives or the Senate, respectively, within 60 calendar days of 

continuous session of the Congress following the date of such 

resolution's introduction. 

(4) DISCHARGE OF COMMITTEE.-If the committee to which is 

referred a resolution introduced pursuant to paragraph (2) (or, in the 

absence of such a resolution, the first resolution introduced with 

respect to the same designation of executive agencies) has not 

reported such resolution or identical resolution at the end of 60 

calendar days of continuous session of the Congress after its 

introduction, such committee shall be deemed to be discharged from 

further consideration of such resolution and such resolution shall be 

placed on the appropriate calendar of the House involved. 

(5) PROCEDURE AFTER REPORT OR DISCHARGE OF 

COMMITTEE; VOTE ON FINAL PASSAGE.-(A) When the 

committee has reported, or has been deemed to be discharged (under 

paragraph (4)) from further consideration of, a resolution described in 

paragraph (1), it is at any time thereafter in order (even though a 

previous motion to the same effect has been disagreed to) for any 

Member of the respective House to move to proceed to the 

consideration of the resolution. The motion is highly privileged and is 

not debatable. The motion shall not be subject to amendment, or to a 

motion to postpone, or 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 resolution is agreed to, the resolution shall 

remain the unfinished business of the respective House until disposed 

of. 

(B) Debate on the resolution, and on all debatable motions and 

appeals in connection therewith, shall be limited to not more than 

10 hours, which sllall be divided equally between individuals 

favoring and individuals opposing the resolution. A motion further

3- 14
31 USC 3515 note. 

31 USC 3515 note.

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 resolution is not in 

order. A motion to reconsider the vote by which the resolution is 

passed or rejected shall not be in order. 

(C) Immediately following the conclusion of the debate on the 

resolution and a single quorum call at the conclusion of the debate 

if requested in accordance with the rules of the appropriate House, the vote on final passage of the resolution shall occur. 

(D) Appeals from the decisions of the Chair relating to the 

application of the rules of the Senate or the House of 

Representatives, as the case may be, to the procedure relating to a 

resolution described in paragraph (1), shall be decided without 

debate. 

(E) If, prior to the passage by one House of a resolution of that 

House, that House receives a resolution with respect to the same 

designation of executive agencies from the other House, then

(i) the procedure in that House shall be the same as if no 

resolution had been received from the other House; but 

(ii) the vote on final passage shall be on the resolution of 

the other House. 

(F) It shall not be in order in either the House of 

Representatives or the Senate to consider a resolution described in 

paragraph (1), or to consider any conference report on such a 

resolution, unless the Director of the Office of Management and 

Budget submits to the Congress a report under subsection (e). (c) REPORT ON SUBSTANTIAL COMMERCIAL 

FUNCTIONS.-Not later than 180 days after the date of the enactment of 

this Act, the Director of the Office of Management and Budget shall 

determine and report to the Congress on which executive agencies or parts thereof perform substantial commercial functions for which financial 

statements can be prepared practicably under section 3515 of title 31, United States Code, as added by this section. 

(d) PILOT PROJECT.-(1) Not later than March 31 of each of 1991, 1992, and 1993, the head of the Departments of Agriculture, Labor, and 

Veterans Affairs, the General Services Administration, and the Social 

Security Administration shall each prepare and submit to the Director of 

the Office of Management and Budget financial statements for the 

preceding fiscal year for the accounts of all of the offices, bureaus, and 

activities of that department or administration. 

(2) Not later than March 31 of each of 1992 and 1993, the head of the Departments of Housing and Urban Development and the Army shall prepare and submit to the Director of the Office of Management and Budget financial statements for the preceding fiscal year for the 

accounts of all of the offices, bureaus, and activities of that 

department. 

(3) Not later than March 31, 1993, the head of the Department of 

the Air Force, the Internal Revenue Service, and the United States 

Customs Service, shall each prepare and submit to the Director of the 

Office of Management and Budget financial statements for the 

preceding fiscal year for the accounts of all of the offices, bureaus and 

activities of that department or service.

3-15
31 USC 3515 note. 

Reports. 

Reports.

(4) Each financial statement prepared under this subsection shall 

be audited in accordance with section 3521(e), (f), (g), and (h) of 

title 31, United States Code. 

(e) REPORT ON INITIAL FINANCIAL STATEMENTS.-Not later 

than June 30, 1993, the Director of the Office of Management and Budget 

shall report to the Congress on the financial statements prepared for fiscal 

years 1990, 1991, and 1992 under subsection (a) of section 3515 of title 

31, United States Code (as added by subsection (a) of this section) and 

under subsection (d) of this section. The report shall include analysis of

(1) the accuracy of the data included in the financial statements; 

(2) the difficulties each department and agency encountered in 

preparing the data included in the financial statements; 

(3) the benefits derived from the preparation of the financial 

statements; and 

(4) the cost associated with preparing and auditing the financial 

statements, including a description of any activities that were foregone 

as a result of that preparation and auditing. 

(f) CLERICAL AMENDMENT.-The table of sections at the 

beginning of chapter 35 of title 31, United States Code, is amended by 

inserting after the item relating to section 3514 the following: 

3515. Financial statements of agencies. 

SEC. 304. FINANCIAL AUDITS OF AGENCIES. 

(a) IN GENERAL.-Section 3521 of title 31, United States Code, is 

amended by adding at the end the following new subsections: 

(e) Each financial statement prepared under section 3515 by an agency 

shall be audited in accordance with applicable generally accepted 

government auditing standards

(1) in the case of an agency having an Inspector General appointed 

under the Inspector General Act of 1978 (5 USC 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) Not later than June 30 following the fiscal year for which a 

financial statement is submitted under section 3515 of this title by an 

agency, the person who audits the statement for purpose of subsection (e) 

shall submit a report on the audit to the head of the agency. A report 

under 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.

3-16
(h) Each financial statement prepared by' an executive agency for a 

fiscal year after fiscal year 1991 shall be audited in accordance with this 

section and the plan required by section 3512(a)(3)(B)(viii) of this title. 31 USC 3521 note. (b) WAIVER OF REQUIREMENTS.-The Director of the Office of 

Management and Budget may waive application of subsections (e) and (f) of section 3521 of title 31, United States Code, as amended by this 

section, to a financial statement submitted by an agency for fiscal years 1990 and 1991. 

SEC. 305. FINANCIAL AUDITS OF GOVERNMENT 

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 USC App.) 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. 

Reports. (3) Upon completion of the audit required by this subsection, the 

person who audits the statement shall submit a report on the audit to 

the head of the Government corporation, to the Chairman of the 

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; Reports. (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 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

3-17
States considers necessary to the performance of any audit or review 

under this section. 

(c) Activities of the Comptroller General of the United States under 

this section are in lieu of any audit of the financial transactions of a 

Government corporation that the Comptroller General is required to make 

under any other law. 

SEC. 306. MANAGEMENT REPORTS OF GOVERNMENT 

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. 

(b) CLERICAL AMENDMENT.-The table of sections for chapter 91 

of title 31, United States Code, is amended by striking the item relating to 

section 9106 and inserting the following: 

9106. Management reports. 

SEC. 307. ADOPTION OF CAPITAL ACCOUNTING 

STANDARDS. 

31 USC 3511 note. No capital accounting standard or principle, including any human 

capital standard or principle, shall be adopted for use in an executive 

department or agency until such standard has been reported to the 

Congress and a period of 45 days of continuous session of the Congress 

has expired. 

Approved November 15, 1990

3-18
INFORMATION TECHNOLOGY MANAGEMENT 

REFORM ACT OF 1996 (Clinger-Cohen) 

TABLE OF CONTENTS 

NATIONAL DEFENSE AUTHORIZATION ACT 

FOR FISCAL YEAR 1996 

PAGE 40 USC 

Sec. 

DIVISION E 

INFORMATION TECHNOLOGY MANAGEMENT REFORM 

Sec. 5001. Short Title . ....................................... 2 1401 

Sec. 5002. Definitions ........................................ 2 1401 

TITLE LI 

RESPONSIBILITY FOR ACQUISITIONS OF INFORMATION TECHNOLOGY 

SUBTITLE A-GENERAL AUTHORITY 

Sec. 5101. Repeal of Central Authority of the Administrator of General 

Services . ...................................... 3 1411 

SUBTITLE B-DIRECTOR OF THE OFFICE OF MANAGEMENT 

AND BUDGET 

Sec. 5111. Responsibility of Director . ........................... 3 1411 

Sec. 5112. Capital Planning and Investment Control ................. 3 1412 

Sec. 5113. Performance-based And Results-based Management ........ 4 1413 

SUBTITLE C-EXECUTIVE AGENCIES 

Sec. 5121. Responsibilities . ................................... 5 1421 

Sec. 5122. Capital Planning And Investment Control ............... 5 1422 

Sec. 5123. Performance And Results-based Management ............. 6 1423 

Sec. 5124. Acquisitions of Information Technology ................ 6 1424 

Sec. 5125. Agency Chief Information Officer ...................... 7 1425 

Sec. 5126. Accountability . .................................... 9 1426 

Sec. 5127. Significant Deviations . .............................. 9 1427 

Sec. 5128. Interagency Support ................................. 9 1428

4-1
40 USC 1401 note. 

Information 

Technology 

Management 

Reform Act of 

1996. 

40 USC 1401.

INFORMATION TECHNOLOGY MANAGEMENT 

REFORM ACT OF 1996 (Clinger-Cohen) 

Public Law 104-106 110 Stat. 679 

February 10, 1996 

DIVISION E-INFORMATION TECHNOLOGY MANAGEMENT 

REFORM 

SEC. 5001. SHORT TITLE. 

This division may be cited as the "Information Technology 

Management Reform Act of 1996." 

SEC. 5002. DEFINITIONS. 

In this division: 

(1) Director.-The term "Director" means the Director of the Office 

of Management and Budget. 

(2) Executive agency.-The term "executive agency" has the 

meaning given that term in section 4(1) of the Office of Federal 

Procurement Policy Act (41 USC 403(1)). 

(3) Information technology.-(A) The term "information 

technology", with respect to an executive agency means any equipment or interconnected system or subsystem of equipment, that 

is used in the automatic acquisition, storage, manipulation, 

management, movement, control, display, switching, interchange, 

transmission, or reception of data or information by the executive 

agency. For purposes of the preceding sentence, equipment is used by 

an executive agency if the equipment is used by the executive agency 

directly or is used by a contractor under a contract with the executive 

agency which (i) requires the use of such equipment, or (ii) requires 

the use, to a significant extent, of such equipment in the performance 

of a service or the furnishing of a product. 

(B) The term "information technology" includes computers, 

ancillary equipment, software, firmware and similar procedures, 

services (including support services), and related resources. 

(C) Notwithstanding subparagraphs (A) and (B), the term 

"information technology" does not include any equipment that is 

acquired by a Federal contractor incidental to a Federal contract. 

(4) Information resources.-The term "information resources" has 

the meaning given such term in section 3502(6) of title 44, United 

States Code. 

(5) Information resources management.-The term "information 

resources management" has the meaning given such term in 

section 3502(7) of title 44, United States Code. 

(6) Information system.-The term "information system" has the 

meaning given such term in section 3502(8) of title 44, United States 

Code. 

(7) Commercial item.-The term "commercial item" has the 

meaning given that term in section 4(12) of the Office of Federal 

Procurement Policy Act (41 USC 403(12)).

4-2
TITLE LI-RESPONSIBILITY FOR ACQUISITIONS OF 

INFORMATION TECHNOLOGY 

Subtitle A-General Authority 

SEC. 5101. REPEAL OF CENTRAL AUTHORITY OF THE 

ADMINISTRATOR OF GENERAL SERVICES. 

Section 111 of the Federal Property and Administrative Services Act 

of 1949 (40 USC 759) is repealed. 

Subtitle B-Director of the Office of Management and Budget 

SEC. 5111. RESPONSIBILITY OF DIRECTOR. 

40 USC 1411. In fulfilling the responsibility to administer the functions assigned under chapter 35 of title 44, United States Code, the Director shall comply with this title with respect to the specific matters covered by this title. 

SEC. 5112. CAPITAL PLANNING AND INVESTMENT 

CONTROL. 

40 USC 1412. (a) Federal Information Technology.-The Director shall perform the 

responsibilities set forth in this section in fulfilling the responsibilities 

under section 3504(h) of title 44, United States Code. 

Public information. (b) Use of Information Technology in Federal Programs.-The Director shall promote and be responsible for improving the acquisition, 

use, 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.-The Director shall develop, as part of the 

budget process, a process for analyzing, tracking, and evaluating the risks 

and results of all major capital 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 associated with the investments. At the 

Reports. same time that the President submits the budget for a fiscal year to 

Congress under section 1105(a) of title 31, United States Code, the 

Director shall submit to Congress a report on the net program 

performance benefits achieved as a result of major capital investments 

made by executive agencies in information systems and how the benefits 

relate to the accomplishment of the goals of the executive agencies. 

(d) 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 5131 and 

section 20 of the National Institute of Standards and Technology Act (15 

USC 278g-3). 

(e) Designation of Executive Agents for Acquisitions.-The Director 

shall designate (as the Director considers appropriate) one or more heads 

of executive agencies as executive agent for Government-wide 

acquisitions of information technology. 

(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.-The Director shall assess, on a continuing basis, the

4-3
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) Training.-The Director shall monitor the development and 

implementation of training in information resources management for 

executive agency personnel. 

() 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 agency 

missions through the use of the best practices in information resources 

management. 

(k) Procurement Policy and Acquisitions of Information 

Technology.-The Director shall coordinate the development and review 

by the Administrator of the Office of Information and Regulatory Affairs 

of policy associated with Federal acquisition of information technology 

with the Office of Federal Procurement Policy. 

SEC. 5113. PERFORMANCE-BASED AND RESULTS-BASED 

MANAGEMENT. 

(a) In General.-The Director shall encourage the use of 

performance-based and results-based management in fulfilling the 

responsibilities assigned under section 3504(h), of title 44, United States 

Code. 

(b) Evaluation of Agency Programs and Investments.

(1) Requirement.-The Director shall evaluate the information 

resources management practices of the executive agencies with respect 

to the performance and results of the investments made by the 

executive agencies in information technology. 

(2) Direction for executive agency action.-The Director shall issue 

to the head of each executive agency clear and concise direction that 

the head of such 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 

processes and administrative processes, as appropriate, before 

making significant investments in information technology to be 

used in support of those missions; and

4-4

40 USC 1413.
(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 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 in order to ascertain 

the efficiency and effectiveness of information technology in 

improving the performance of the executive agency and the 

accomplishment of the missions of the executive agency. 

(5) Enforcement of accountability.

(A) In general.-The Director may take any authorized 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 in the case 

of an executive agency may include

(i) recommending a reduction or an increase in any 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, United States Code; 

(ii) reducing or otherwise adjusting apportionments and 

reapportionments of appropriations for information resources; 

(iii) using other authorized administrative controls over 

appropriations to restrict the availability of funds 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. 

Subtitle C-Executive Agencies 

SEC. 5121. RESPONSIBILITIES. 

40 USC 1421. In fulfilling the responsibilities assigned under chapter 35 of title 44, 

United States Code, the head of each executive agency shall comply with 

this subtitle with respect to the specific matters covered by this subtitle. 

SEC. 5122. CAPITAL PLANNING AND INVESTMENT 

CONTROL. 

40 USC 1422. (a) Design of Process.-In fulfilling the responsibilities assigned under 

section 3506(h) of title 44, United States Code, the head of each executive 

agency shall design and implement in the executive agency a process for 

maximizing the value and assessing and managing the risks of the 

information technology acquisitions of the executive agency. (b) Content of Process.-The process of an executive agency shall4-5
(1) provide for the selection of information technology investments 

to be made by the executive agency, the management of such 

investments, and the evaluation of the results of such investments; 

(2) be integrated with the processes for making budget, financial, 

and program management decisions within 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) provide for identifying information systems investments that 

would result in shared benefits or costs for other Federal agencies or 

State or local governments; 

(5) provide for identifying for a proposed investment quantifiable 

measurements for determining the net benefits and risks of the 

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. 5123. PERFORMANCE AND RESULTS-BASED 

MANAGEMENT. 

In fulfilling the responsibilities under section 3506(h) of title 44, 

United States Code, the head of an executive agency shall

(1) establish goals for improving the efficiency and effectiveness 

of agency operations and, as appropriate, the delivery of services to 

the public through the effective use 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 are prescribed for 

information technology used by or to be acquired for, the executive 

agency and that the performance measurements 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 such 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 that is to be used in support of 

the performance of those missions; and 

(6) ensure that the information security policies, procedures, and 

practices of the executive agency are adequate. 

SEC. 5124. ACQUISITIONS OF INFORMATION 

TECHNOLOGY. 

(a) In General.-The authority of the head of an executive agency to 

conduct an acquisition of information technology includes the following 

authorities:

4-6

40 USC 1423. 

Reports. 

40 USC 1424.
(1) To acquire information technology as authorized by law. 

(2) To enter into a contract that provides for multiagency acquisitions of information technology in accordance with guidance issued by the Director. 

(3) If the Director finds that it would be advantageous for the 

Federal Government to do so, to enter into a multiagency contract for 

procurement of commercial items of information technology that 

requires each executive agency covered by the contract, when 

procuring such items, either to procure the items under that contract or 

to justify an alternative procurement of the items. 

(b) FTS 2000 Program.-Notwithstanding any other provision of this 

or any other law, the Administrator of General Services shall continue to 

manage the FTS 2000 program, and to coordinate the follow-on to that 

program, on behalf of and with the advice of the heads of executive 

agencies. 

SEC. 5125. AGENCY CHIEF INFORMATION OFFICER. 

(a) Designation of Chief Information Officers.-Section 3506 of title 44, United States Code, is amended

(1) in subsection (a)

(A) in paragraph (2)(A), by striking out "senior official" and 

inserting in lieu thereof "Chief Information Officer"; 

(B) in paragraph (2)(B)

(i) by striking out "senior officials" in the first sentence and 

inserting in lieu thereof "Chief Information Officers"; (ii) by striking out "official" in the second sentence and 

inserting in lieu thereof "Chief Information Officer"; and 

(iii) by striking out "officials" in the second sentence and 

inserting in lieu thereof "Chief Information Officers"; and 

(C) in paragraphs (3) and (4), by striking out "senior official" 

each place it appears and inserting in lieu thereof "Chief 

Information Officer"; and 

(2) in subsection (c)(1), by striking out "official" in the matter 

preceding subparagraph (A) and inserting in lieu thereof "Chief 

Information Officer. 

(b) General Responsibilities.-The Chief Information Officer of an executive agency shall be responsible for

(1) providing advice and other assistance to the head of the 

executive agency and other senior management personnel of the 

executive agency to ensure that information technology is acquired and information resources are managed for the executive agency in a 

manner that implements the policies and procedures of this division, consistent with chapter 35 of title 44, United States Code, and the 

priorities established by the head of the executive agency; (2) developing, maintaining, and facilitating the implementation of 

a sound and integrated information technology architecture for the 

executive agency; and 

(3) promoting the effective and efficient design and operation of 

all major information resources management processes for the 

executive agency, including improvements to work processes of the executive agency. 

(c) Duties and Qualifications.-The Chief Information Officer of an 

agency that is listed in section 901(b) of title 31, United States Code, shall4-7

40 USC 1425.
(1) have information resources management duties as that 

official's primary duty; 

(2) monitor the performance of information technology programs 

of the agency, evaluate the performance of those programs on the 

basis of the applicable performance measurements, and advise the 

head of the agency regarding whether to continue, modify, or 

terminate a program or project; and 

(3) annually, as part of the strategic planning and performance 

evaluation process required (subject to section 1117 of title 31, United 

States Code) under section 306 of title 5, United States Code, and 

sections 1105(a)(29), 1115, 1116, 1117, and 9703 of title 31, United 

States Code

(A) assess the requirements established for agency personnel 

regarding knowledge and skill in information resources 

management and the adequacy of such requirements for facilitating 

the achievement of the performance goals established for 

information resources management; 

(B) assess 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) in order to rectify any deficiency in meeting those 

requirements, develop strategies and specific plans for hiring, 

training, and professional development; and 

Reports. (D) report to the head of the agency on the progress made in 

improving information resources management capability. 

(d) Information Technology Architecture Defined.-In this section, the 

term "information technology architecture", with respect to an executive 

agency, means an integrated framework for evolving or maintaining 

existing information technology and acquiring new information 

technology to achieve the agency's strategic goals and information 

resources management goals. 

(e) Executive Level IV.-Section 5315 of title 5, United States Code, is 

amended by adding at the end the following: 

Chief Information Officer, Department of Agriculture. 

Chief Information Officer, Department of Commerce. 

Chief Information Officer, Department of Defense (unless the official 

designated as the Chief Information Officer of the Department of Defense 

is an official listed under section 5312, 5313, or 5314 of this title). 

Chief Information Officer, Department of Education. 

Chief Information Officer, Department of Energy. 

Chief Information Officer, Department of Health and Human Services. 

Chief Information Officer, Department of Housing and Urban Development. 

Chief Information Officer, Department of Interior. 

Chief Information Officer, Department of Justice. 

Chief Information Officer, Department of Labor. 

Chief Information Officer, Department of State. 

Chief Information Officer, Department of Transportation. 

Chief Information Officer, Department of Treasury. 

Chief Information Officer, Department of Veterans Affairs. 

Chief Information Officer, Environmental Protection Agency. 

Chief Information Officer, National Aeronautics and Space Administration. 

Chief Information Officer, Agency for International Development.

4-8
40 USC 1426. 

40 USC 1427. 

40 USC 1428.

4-9

Chief Information Officer, Federal Emergency Management Agency. 

Chief Information Officer, General Services Administration. 

Chief Information Officer, National Science Foundation. 

Chief Information Officer, Nuclear Regulatory Agency. 

Chief Information Officer, Office of Personnel Management. 

Chief Information Officer, Small Business Administration. 

SEC. 5126. ACCOUNTABILITY. 

The head of each executive agency, in consultation with the Chief 

Information Officer and the Chief Financial Officer of that executive 

agency (or, in the case of an executive agency without a Chief Financial 

Officer, any comparable official), shall establish policies and procedures 

that

(1) ensure that the accounting, financial, and asset management 

systems 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) ensure that financial and related program performance data are 

provided on a reliable, consistent, and timely basis to executive 

agency financial management systems; and 

(3) ensure that financial statements support

(A) assessments and revisions of mission-related processes and 

administrative processes of the executive agency; and 

(B) performance measurement of the performance in the case 

of investments made by the agency in information systems. 

SEC. 5127. SIGNIFICANT DEVIATIONS. 

The head of an executive agency shall identify in the strategic 

information resources management plan required under section 

3506(b)(2) of title 44, United States Code, any major information 

technology acquisition program, or any phase or increment of such a 

program, that has significantly deviated from the cost, performance, or 

schedule goals established for the program. 

SEC. 5128. INTERAGENCY SUPPORT. 

Funds available for an executive agency for oversight, acquisition, and 

procurement of information technology may be used by the head of the 

executive agency to support jointly with other executive agencies the 

activities of interagency groups that are established to advise the Director 

in carrying out the Director's responsibilities under this title. The use of 

such funds for that purpose shall be subject to such requirements and 

limitations on uses and amounts as the Director may prescribe. The 

Director shall prescribe any such requirements and limitations during the 

Director's review of the executive agency's proposed budget submitted to 

the Director by the head of the executive agency for purposes of 

section 1105 of title 31, United States Code. 

Approved February 10, 1996

FEDERAL CIVIL PENALTIES INFLATION ADJUSTMENT ACT 

OF 1990, AS AMENDED 

TABLE OF CONTENTS 

PAGE 28 USC 

Sec. 

TITLE III CHAPTER 10 

Sec. 1. Short Title ......................................... 2 2461 

Sec. 2. Findings and Purpose ................................ 2 2461 

Sec. 3. Definitions ......................................... 2 2461 

Sec. 4. Civil Monetary Penalty Inflation Adjustment Reports ....... 3 2461 

Sec. 5. Cost-of-living Adjustments of Civil Monetary Penalties ..... 3 2461 

Sec. 6. Annual Report ...................................... 3 2461

5-1
FEDERAL CIVIL PENALTIES INFLATION ADJUSTMENT 

ACT OF 1990, AS AMENDED

Federal Civil 

Penalties Inflation 

Adjustment Act of 

1990. 

28 USC 2461 note. 

28 USC 2461 note. 

28 USC 2461 note.

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, 

Section 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.

5-2
Regulations. 

Federal Register, 

Publication. 

28 USC 2461 note.

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. 

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.

Approved October 5, 1990 

'Public Law 105-362 (112 (Stat. 3293), Nov. 10, 1998, struck sec. 6 and redesignated sec. 7 as sec. 6. 2

Public Law 104-134, Title 1Il, Ch 10, § 31001(s)(2), 110 Stat. 1321-373 (effective on enactment as 

provided by § 31001(a)(2)(A) of such Act, which appears as 31 USCS § 3322 note), provides: 

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. 

5-3

ALTERNATIVE DISPUTE RESOLUTION ACT OF 1998 

TABLE OF CONTENTS 

PAGE 28 USC 

Sec. 

Sec. 1. Short Title ........................................ 2 1 

Sec. 2. Findings and Declaration of Policy ..................... 2 651 

Sec. 3. Alternative Dispute Resolution Processes to be 

Authorized in all District Courts ................... 2 651 

Sec. 4. Jurisdiction ....................................... 3 651 

Sec. 5. Mediators and Neutral Evaluators ...................... 4 651 

Sec. 6. Actions Referred to Arbitration ........................ 4 651 

Sec. 7. Arbitrators ........................................ 5 651 

Sec. 8. Subpoenas ........................................ 5 651 

Sec. 9. Arbitration Award and Judgment ...................... 5 651 

Sec. 10. Compensation of Arbitrators and Neutrals ............... 6 651 

Sec. 11. Authorization of Appropriations ....................... 6 651 

Sec. 12. Conforming Amendments ............................ 6 651 

CHAPTER 44-ALTERNATIVE DISPUTE 

RESOLUTION ............................... 6 651

6-1
ALTERNATIVE DISPUTE RESOLUTION ACT OF 1998

October 30, 1998

112 Stat. 2993

28 USC I note. 

Alternative 

Resolution Act of 

1998. 

28 USC 651 note.

Be it enacted by the Senate and House of Representatives of the 

United States of America in Congress assembled, 

Section 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

6-2

Public Law 105-315
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 ajudicial 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 ATITORNEY 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

6-3
confidentiality of the alternative dispute resolution processes and to 

prohibit disclosure of confidential dispute resolution communications. 

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.

6-4
(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. 

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 

6-5
Regulations. 

28 USC 651 note.

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. 

(2) ACTION RESTORED TO COURT DOCKET-Upon a 

demand for a trial de novo, the action shall be restored tot he 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. 

See. 10. COMPENSATION OF ARBITRATORS AND NEUTRALS 

Section 658 of title 28, United States Code, is amended to read as 

follows: 

See. 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.

6-6
656. Subpoenas. 

657. Arbitration award andjudgment. 

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. 

Approved October 30, 1998

6-7

PAPERWORK REDUCTION ACT OF 1995, AS AMENDED 

TABLE OF CONTENTS 

PAGE 44 USC 

Sec. 

Sec. 1. , Short Title ......................................... 2 101 

Sec. 2. Coordination of Federal Information Policy .............. 2 3501 

CHAPTER 35 

COORDINATION OF FEDERAL INFORMATION POLICY 

Sec. 3501. Purposes ...................................... 2 3501 

Sec. 3502. Definitions ........................................ 3 3502 

Sec. 3503. Office of Information and Regulatory Affairs ............. 5 3503 

Sec. 3504. Authority and Functions of Director .................... 5 3504 

Sec. 3505. Assignment of Tasks and Deadlines .................... 9 3505 

Sec. 3506. Federal Agency Responsibilities ...................... 10 3506 

Sec. 3507. Public Information Collection Activities; Submission to 

Director; Approval and Delegation ................ 15 3507 

Sec. 3508. Determination of Necessity for Information; Hearing ...... 18 3508 

Sec. 3509. Designation of Central Collection Agency .............. 19 3509 

Sec. 3510. Cooperation of Agencies in Making Information Available . 19 3510 

Sec. 3511. Establishment and Operation of Government Information 

Locator Service ................................ 19 3511 

Sec. 3512. Public Protection .................................. 20 3512 

Sec. 3513. Director Review of Agency Activities; Reporting; Agency 

Response .................................... 20 3513 

Sec. 3514. Responsiveness to Congress ......................... 20 3514 

Sec. 3515. Administrative Powers ............................. 21 3515 

Sec. 3516. Rules and Regulations ............................ 21 3516 

Sec. 3517. Consultation with Other Agencies and the Public ......... 21 3517 

Sec. 3518. Effect on Existing Laws and Regulations ............... 21 3518 

Sec. 3519. Access to Information .............................. 22 3519 

Sec. 3520. Authorization of Appropriations ...................... 22 3520 

Sec. 3. Burden Reduction Regarding Quarterly Financial 

Report Program at Bureau of The Census ............ 23 

Sec. 4. Effective Date ..................................... 23 3520

7-1
PAPERWORK REDUCTION ACT OF 1995, AS AMENDED

Public Law 104-13

Information 

resources 

management. 

Paperwork 

Reduction Act of 

1995. 

44 USC 101 note.

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, 

SECTION 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 chapter are to

(1) minimize the paperwork burden for individuals, small 

businesses, educational and nonprofit institutions, Federal contractors,

7-2
State, local and tribal governments, and other persons 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 decisionmaking, 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 the Computer Security 

Act of 1987 (Public Law 100-235); and 

(C) access to information, including section 552 of title 5; 

(9) ensure the integrity, quality, and utility of the Federal 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. Defmitions 

As used in this chapter

(1) the term "agency" means any executive department, military 

department, Government corporation, Government controlled 

corporation, or other establishment in the executive branch of the 

Government (including the Executive Office of the President), or any 

independent regulatory agency, but does not include

(A) the General Accounting Office; 

(B) Federal Election Commission;

7-3
(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 Board, 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 

Rate Commission, the Securities and Exchange Commission, and any 

other similar agency designated by statute as a Federal independent 

regulatory agency or commission; 

(6) the term "information resources" means information and 

related resources, such as personnel, equipment, funds, and 

information technology; 

(7) the term "information resources management" means the 

process of managing information resources to accomplish agency 

missions and to improve agency performance, including through the 

reduction of information collection burdens on the public;

7-4
(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; 

(9) the term "information technology" has the meaning given that 

term in section 5002 of the Clinger-Cohen Act of 1996 (40 USC 

1401) but does not include national security systems as defined in 

section 5142 of that Act (40 USC 1452); 

(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.' 

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. 

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-

'May 22, 1995, P.L. 104-13, § 2, 109 Stat. 164; Feb. 10, 1996, P.L. 104-106, Div E, Title LVI, § 5605(a), 110 Stat. 700; Nov. 18, 1997, P.L. 105-85, Div. A, Title X, 

Subtitle G, § 1073(h)(5)(A), 111 Stat. 1907

7-5

Establishment.
(A) develop, coordinate and oversee the implemehtation of 

Federal information resources management policies, principles, 

standards, and guidelines; and 

(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. 

(2) The authority of the Director under this chapter shall be 

exercised consistent with applicable law. 

(b) With respect to general information resources management policy, 

the Director shall

(1) develop and oversee the 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; and

7-6
(5) establish and oversee standards and guidelines by which 

agencies are to estimate the burden to comply with a proposed 

collection of information. 

(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 chapter, including through the effective use of 

information technology. 

"(e) With respect to statistical policy and coordination, the Director 

shall

(1) coordinate the activities of the Federal statistical system to 

ensure

(A) the efficiency and effectiveness of the system; and 

(B) the integrity, objectivity, impartiality, utility, and 

confidentialiky 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 Government-wide 

policies, principles, standards, and guidelines concerning

(A) statistical collection procedures and methods; 

(B) statistical data classification; 

(C) statistical information presentation and dissemination; 

(D) timely release of statistical data; and 

(E) such statistical data sources as may be required for the 

administration of Federal programs; 

(4) evaluate statistical program performance and agency compliance with Government-wide 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 which7-7

Establishment.
(A) each trainee shall be selected at the discretion of the 

Director based on agency requests and shall serve under the chief 

statistician for at least 6 months and not more than 1 year; and 

(B) all costs of the training shall be paid by the agency 

requesting training. 

Records. (f) With respect to records management, the Director shall

(1) provide advice and assistance to the Archivist of the United 

States and the Administrator of General Services to promote 

coordination in the administration of chapters 29, 31, and 33 of this 

title with the information resources management policies, principles, 

standards, and guidelines established under this chapter; 

(2) review compliance by agencies with

(A) the requirements of chapters 29, 31, and 33 of this title; 

and 

Regulations. (B) regulations promulgated by the Archivist of the United 

States and the Administrator of General Services; and 

(3) oversee the application of records management policies, 

principles, standards, and guidelines, including requirements for 

archiving information maintained in electronic format, in the planning 

and design 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; 

(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 USC 278g-3 and 278g-4), section 5131 of the 

Clinger-Cohen Act of 1996 (40 USC 1441), and sections 5 and 6 of 

the Computer Security Act of 1987 (40 USC 759 note), and related 

information management laws; and 

(3) require Federal agencies, consistent with the standards and 

guidelines promulgated under section 5131 of the Clinger-Cohen Act 

of 1996 (40 USC 1441) and sections 5 and 6 of the Computer Security 

Act of 1987 (40 USC 759 note), to identify and afford security 

protections commensurate with the risk and magnitude of the harm 

resulting from the loss, misuse, or unauthorized access to or 

modification of information collected or maintained by or on behalf of 

an agency. 

(h) With respect to Federal information technology, the Director 

shall

(1) in consultation with the 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 5131 of the Clinger-Cohen Act of 1996 (40 USC 

1441); 

(2) monitor the effectiveness of, and compliance with, directives 

issued under division E of the Clinger-Cohen Act of 1996 (40 USC

7-8
1401 et seq.) and directives issued under section 110 of the Federal 

Property and Administrative Services Act of 1949 (40 USC 757); (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.2 

Sec. 3505. Assignment of tasks and deadlines 

(a) In carrying out the functions under this chapter, the Director shall

(1) in consultation with agency heads, set an annual 

Government-wide 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 chapter, 

particularly with regard to minimizing the Federal information 

collection burden; and 

(3) in consultation with the Administrator of General Services, the 

Director of the National Institute of Standards and Technology, the 

Archivist of the United States, and the Director of the Office of 

Personnel Management, develop and maintain a Government-wide 

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; 

2

May 22, 1995, P.L. 104-13, § 2, 109 Stat. 167, Feb. 10, 1996, Nov 18, 1997, P.L. 104-106, Div. E, Title 

LI, Subtitle D, § 513(e)(1), Title LVI, § 5605(b), (c), 110 Stat. 688, 700, P.L. 105-85, Div. A, Title X, 

Subtitle G, § 1073(h)(5)(B), (C), 111 Stat., 1907.

7-9
(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 

chapter; 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. 

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 chapter and related 

policies established by the Director. 

Reports. (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 chapter. 

Reports. (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 chapter. 

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 chapter, 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 chapter. 

(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.

7-10
(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 

(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 chapter; 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 chapter, to

(A) review each collection of information before submission to 

the Director for review under this chapter, 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

7-11
(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; 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; 

(HI) 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), 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

(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)), provide notice and comment through the notice of 

proposed rulemaking for the proposed rule and such notice shall 

have the same purposes specified under subparagraph (A)(i) 

through (iv); and 

(3) certify (and provide a record supporting such certification, 

including public comments received by the agency) that each 

collection of information submitted to the Director for review under 

section 3507

(A) is necessary for the proper performance of the functions of 

the agency, including that the information has practical utility; 

(B) is not unnecessarily duplicative of information otherwise 

reasonably accessible to the agency;

Federal Register, 

publication. 

Regulations.

7-12
Public information.

(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. (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;

7-13
(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. 

Records. (f) With respect to records management, each agency shall implement 

and enforce applicable policies and procedures, including requirements 

for archiving information maintained in electronic format, particularly in 

the planning, design and operation of information systems. 

Privacy. (g) With respect to privacy and security, each agency shall

Computer (1) implement and enforce applicable policies, procedures, 

technology, standards, and guidelines on privacy, confidentiality, security, 

disclosure and sharing of information collected or maintained by or 

for the agency; 

assume responsibility and accountability for compliance with S(2) 

and coordinated management of sections 552 and 552a of title 5, the 

Computer Security Act of 1987 (40 USC 759 note), and related 

information management laws; and 

(3) consistent with the Computer Security Act of 1987 (40 USC 

759 note), identify and afford security protections commensurate with 

the risk and magnitude of the harm resulting from the loss, misuse, or 

unauthorized access to or modification of information collected or 

maintained by or on behalf of an agency. 

Science and (h) With respect to Federal information technology, each agency 

technology, shall

(1) implement and enforce applicable Government-wide 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

7-14
Federal Register, 

publication.

(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. 

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; 

(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

7-15
Proposed rule. 

Federal Register, 

publication. 

Federal Register, 

publication. 

Regulations.

(C) the agency may collect the information for not more than I 

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; 

(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

7-16
Federal Register, 

publication.

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 chapter, 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. (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

7-17
collection of information contained in the rule and thereafter to 

submit the collection of information for approval or disapproval 

under this chapter. 

(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 chapter. 

(i)(1) If the Director finds that a senior official of an agency 

designated under section 3506(a) is sufficiently independent of program 

responsibility to evaluate fairly whether proposed 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 chapter; and 

(ii) is essential to the mission of the agency; and 

(B) the agency cannot reasonably comply with the provisions 

of this chapter because

(i) public harm is reasonably likely to result if normal 

clearance procedures are followed; 

(ii) an unanticipated event has occurred; or 

(iii) the use of normal clearance procedures is 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 chapter for a maximum of 180 days after the date on which the 

Director received the request to authorize such collection.' 

Sec. 3508. Determination of necessity for information; hearing 

Before approving a proposed collection 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 3

May 22, 1995, P.L. 104-13, § 2, 109 Stat. 171; Feb. 10, 1996, P.L. 104-106, Div. E, Title LVI, 

§ 5605(d), 110 Stat. 700).

7-18
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(0 of this chapter. 

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 

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

7-19

Establishment.
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 chapter if

(1) the collection of information does not display a valid control 

number assigned by the Director in accordance with this chapter; or 

(2) the agency fails to inform the person who is to respond to 

required to respond to the collection 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. 

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 chapter; and 

Reports. (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, 

including7-20
(i) a summary of accomplishments and planned initiatives 

to reduce collection of information burdens; 

(ii) a list of all violations of this chapter and of any rules, 

guidelines, policies, and procedures issued pursuant to this 

chapter; 

(iii) a list of any increase in the collection 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. 

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 chapter. 

Sec. 3516. Rules and regulations 

The Director shall promulgate rules, regulations, or procedures 

necessary to exercise the authority provided by this chapter. 

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 

chapter, a person shall maintain, provide, or disclose the information to or 

for the agency. Unless the request is frivolous, the Director shall, in 

coordination with the agency responsible for the collection 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 chapter, the authority of an 

agency under any other law to prescribe policies, rules, regulations, and 

procedures for Federal information resources management activities is 

subject to the authority of the Director under this chapter. 

(b) Nothing in this chapter shall be deemed to affect or reduce the 

authority of the Secretary of Commerce or the Director of the Office of 

Management and Budget pursuant to Reorganization Plan No. I of 1977 

7-21
(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 chapter shall not apply 

to the collection of information

(A) during the conduct of a Federal criminal investigation or 

prosecution, or during the disposition of a particular 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 successor orders, or during the conduct of cryptologic 

activities that are communications security activities. 

(2) This chapter 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 chapter shall be interpreted as increasing or 

decreasing the authority conferred by Public Law 89-306 on the 

Administrator of the General Services Administration, the Secretary of 

Commerce, or the Director of the Office of Management and Budget. 

(e) Nothing in this chapter shall be interpreted as increasing or 

decreasing the authority of the President, the Office of Management and 

Budget or the Director thereof, under the laws of the United States, with 

respect to the substantive policies and programs of departments, agencies 

and offices, including the substantive authority of any Federal agency to 

enforce the civil rights laws. 

Sec. 3519. Access to information 

Under the conditions and procedures prescribed in section 716 of 

title 31, the Director and personnel in the Office of Information and 

Regulatory Affairs shall furnish such information as the Comptroller 

General may require for the discharge of the responsibilities of the 

Comptroller General. For the purpose of obtaining such information, the 

Comptroller General or representatives thereof shall have access to all 

books, documents, papers and records, regardless of form or format, of 

the Office. 

Sec. 3520. Authorization of appropriations 

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.

7 -22
44 USC 3501 note.

SEC. 3. BURDEN REDUCTION REGARDING QUARTERLY 

FINANCIAL REPORT PROGRAM AT BUREAU OF THE 

CENSUS. 

Section 91 of title 13, United States Code, is amended by adding at the 

end the following new subsection: 

(d)(1) The Secretary shall not select an organization or entity for 

participation in a survey, if

(A) the organization or entity

(i) has assets of less than $50,000,000; 

(ii) completed participation in a prior survey in the 

preceding 10-year period, as determined by the Secretary; and 

(iii) was selected for that prior survey participation after 

September 30, 1990; or 

(B) the organization or entity

(i) has assets of more than $50,000,000 and less than 

$100,000,000; 

(ii) completed participation in a prior survey in the 

preceding 2-year period, as determined by the Secretary; and 

(iii) was selected for that prior survey participation after 

September 30, 1995. 

(2)(A) The Secretary shall furnish advice and similar assistance to 

ease the burden of a small business concern which is attempting to 

compile and furnish the business information required of 

organizations and entities participating in the survey. 

(B) To facilitate the provision of the assistance under 

subparagraph (A), the Secretary shall establish a toll-free 

telephone number. 

(C) The Secretary shall expand the use of statistical sampling 

techniques to select organizations and entities having assets less 

than $100,000,000 to participate in the survey. 

(3) The Secretary may undertake such additional paperwork 

burden reduction initiatives with respect to the conduct of the survey 

as may be deemed appropriate by the Secretary. 

(4) For purposes of this subsection: 

(A) The term "small business concern" means a business 

concern that meets the requirements of section 3(a) of the Small 

Business Act and the regulations promulgated pursuant thereto. 

(B) The term "survey" means the collection of information by 

the Secretary pursuant to this section for the purpose of preparing 

the publication entitled "Quarterly Financial Report for 

Manufacturing, Mining, and Trade Corporations." 

SEC. 4. EFFECTIVE DATE. 

(a) In General.-Except as otherwise provided in this section, this Act 

and the amendments made by this Act shall take effect on October 1, 

1995. 

(b) Authorization of Appropriations.-Section 3520 of title 44, United 

States Code, as amended by this Act, shall take effect on the date of 

enactment of this Act. 

(c) Delayed Application.-In the case of a collection of information for 

which there is in effect on September 30, 1995, a control number issued 

by the Office of Management and Budget under chapter 35 of title 44, 

United States Code7 -23
(1) the amendments made by this Act shall apply to the collection 

of information beginning on the earlier of

(A) the first renewal or modification of that collection of 

information after September 30, 1995; or 

(B) the expiration of its control number after September 30, 

1995. 

(2) prior to such renewal, modification, or expiration, the 

collection of information shall be subject to chapter 35 of title 44, 

United States Code, as in effect on September 30, 1995. 

Approved May 22, 1995 

Um

7-24
LOW-LEVEL RADIOACTIVE WASTE POLICY AMENDMENTS ACT 

OF 1995 

TABLE OF CONTENTS 

PAGE 42 USC 

Sec.

TITLE II 

OMNIBUS LOW-LEVEL RADIOACTIVE WASTE INTERSTATE 

COMPACT CONSENT ACT 

Sec. 201. Short Title ....................................... 4

Sec. 211. 

Sec. 212. 

Sec. 213.

SUBTITLE A-GENERAL PROVISIONS 

Congressional Finding . ............................ 4 

Conditions of Consent to Compacts .................. 4 

Congressional Review . ............................ 4

SUBTITLE B-CONGRESSIONAL CONSENT TO COMPACTS 

NORTHWEST INTERSTATE COMPACT ON LOW-LEVEL 

RADIOACTIVE WASTE MANAGEMENT 

Sec. 221. Northwest Interstate Compact on Low-Level Radioactive 

W aste Management ............................ 4 

Article I. Policy And Purpose ............................... 4 

Article II. Definitions ...................................... 5 

Article III. Regulatory Practices .............................. 5 

Article IV. Regional Facilities ................................ 6 

Article V. Northwest Low-Level Waste Compact Committee ....... 7 

Article VI. Eligible Parties And Effective Date .................. 7 

Article VII. Severability ..................................... 8 

CENTRAL INTERSTATE LOW-LEVEL RADIOACTIVE 

WASTE COMPACT 

Sec. 222. Central Interstate Low-Level Radioactive Waste Compact. 8 

Article I. Policy and Purpose ................................ 8 

Article II. Definitions ...................................... 8 

Article III. Rights and Obligations ............................. 9 

Article IV. The Commission ................................ 10 

Article V. Development and Operation of Regional Facilities ...... 12 

Article VI. Other Laws and Regulations ....................... 13 

Article VII. Eligible Parties, Withdrawal, Revocation, Entry into 

Force, Termination ....... ................... 14 

Article VIII. Penalties ....................................... 15 

Article IX. Severability and Construction ...................... 15 

SOUTHEAST INTERSTATE LOW-LEVEL RADIOACTIVE 

WASTE MANAGEMENT COMPACT 

Sec. 223. Southeast Interstate Low-Level Radioactive Waste 

Management Compact ......................... 16 

Article I. Policy and Purpose ............................... 16 

Article II. Definitions ..................................... 17

8-1

2021d 

2021d 

2021d 

2021d 

2021d 

2021b 

2021b 

2021b 

2021b 

2021b 

2021b

2021d 

2021b 

2014 

2021d 

2021b 

2014
SOUTHEAST INTERSTATE LOW-LEVEL RADIOACTIVE 

WASTE MANAGEMENT COMPACT (continued) 

Article III. Rights and Obligations ............................ 18 

Article IV. The Commission ................................ 18 

Article V. Development and Operation of Facilities ............. 21 

Article VI. Other Laws and Regulations ....................... 22 

Article VII. Eligible Parties; Withdrawal; Revocation; Entry Into 

Force; Termination ........................... 23 

Article VIII. Penalties ....................................... 25 

Article IX. Severability And Construction ...................... 25 

CENTRAL MIDWEST INTERSTATE LOW-LEVEL 

RADIOACTIVE WASTE COMPACT 

Sec. 224. Central Midwest Interstate Low-Level Radioactive Waste 

Com pact .................................... 25 

Article I. Policy and Purpose ............................... 25 

Article II. Definitions ..................................... 26 

Article III. The Commission ................................ 28 

Article IV. Regional Management Plan ........................ 32 

Article V. Rights and Obligations of Party States ............... 32 

Article VI. Development and Operation of Facilities ............. 33 

Article VII. Other Laws and Regulations ....................... 36 

Article VIII. Eligible Parties, Withdrawal, Revocation, Entry into 

Force, Termination ........................... 37 

Article IX . Penalties ....................................... 38 

Article X. Severability and Construction ...................... 39 

MIDWEST INTERSTATE LOW-LEVEL RADIOACTIVE 

WASTE MANAGEMENT COMPACT 

Sec. 225. Midwest Interstate Low-Level Radioactive Waste 

Management Compact ......................... 39 

Article I. Policy and Purpose ............................... 39 

Article II. Definitions ..................................... 40 

Article III. The Commission ................................ 42 

Article IV. Regional Management Plan ........................ 44 

Article V. Rights and Obligations of Party States ............... 45 

Article VI. Development and Operation of Facilities ............. 45 

Article VII. Other Laws and Regulations ....................... 46 

Article VIII. Eligible Parties, Withdrawal, Revocation, Entry into 

Force, Termination ........................... 47 

Article IX. Penalties ....................................... 49 

Article X. Severability and Construction ...................... 49

8-2

PAGE 42 USC 

Sec.

2021 

2021 

2021 

2021 

2021d 

2021b 

2014 

10101 

10101 

10101 

10101 

2021d
Sec. 226. 

Article I. 

Article II. 

Article III. 

Article IV. 

Article V. 

Article VI. 

Article VII. 

Article VIII. 

Article IX.

ROCKY MOUNTAIN LOW-LEVEL RADIOACTIVE 

WASTE COMPACT 

Rocky Mountain Low-Level Radioactive Waste Compact. 4 

Findings and Purpose ............................. 4 

Definitions .................................. 5 

Rights, Responsibilities, and Obligations ............. 5 

Board Approval of Regional Facilities ............... 5 

Surcharges ..................................... 5 

The B oard ..................................... 5 

Prohibited Acts and Penalties ...................... 5 

Eligibility, Entry into Effect, Congressional Consent, 

W ithdrawal, Exclusion ........................ 5 

Construction and Severability ...................... 5

9 

9 

0 

1 

2 

2 

3 

5 

6 

7

NORTHEAST INTERSTATE LOW-LEVEL RADIOACTIVE 

WASTE MANAGEMENT COMPACT 

Sec. 227. Northeast Interstate Low-Level Radioactive Waste 

Management Compact ......................... 57 

Article I. Policy and Purpose ............................... 57 

Article II. Definitions .................................. 58 

Article III. Rights and Obligations ............................ 59 

Article IV. The Commission ................................ 61 

Article V. Host State Selection and Development and Operation of 

Regional Facilities ........................... 65 

Article VI. Other Laws and Regulations ....................... 68 

Article VII. Eligible Parties, Withdrawal, Revocation, Entry into 

Force, Termination ........................... 69 

Article VIII. Penalties ................................... 70 

Article IX. Compensation Provisions .......................... 71 

Article X. Severability and Construction ...................... 72

2021d 

2021b

2021d 

2021d 

2021 

2021 

2021 

2021 

2021

8-3

PAGE 42 USC 

Sec.
42 USC 2021d 

note.

42 USC 2021d 

note. 

Infra. 

42 USC 2021d 

note. 

Effective date. 

42 USC 2021d 

note.

42 USC 2021d 

note. 

Alaska. 

Hawaii. 

Idaho. 

Montana. 

Oregon. 

Utah. 

Washington. 

Wyoming. 

Health. 

Safety.

LOW-LEVEL RADIOACTIVE WASTE POLICY 

AMENDMENTS ACT OF 1995 

TITLE 1I-OMNIBUS LOW-LEVEL RADIOACTIVE WASTE 

INTERSTATE COMPACT CONSENT ACT 

Sec. 201. SHORT TITLE. 

This Title may be cited as the "Omnibus Low-Level Radioactive 

Waste Interstate Compact Consent Act."' 

SUBTITLE A-General Provisions 

Sec. 211. CONGRESSIONAL FINDING. 

The Congress hereby finds that each of the compacts set forth in 

subtitle B is in furtherance of the Low-Level Radioactive Waste Policy 

Act. 

Sec. 212. CONDITIONS OF CONSENT TO COMPACTS. 

The consent of the Congress to each of the compacts set forth in 

subtitle B

(1) shall become effective on the date of the enactment of this 

Act; 

(2) is granted subject to the provisions of the Low-Level 

Radioactive Waste Policy Act, as amended; and 

(3) is granted only for so long as the regional commission, 

committee, or board established in the compact complies with all of 

the provisions of such Act. 

Sec. 213. CONGRESSIONAL REVIEW. 

The Congress may alter, amend, or repeal this Act with respect to any 

compact set forth in subtitle B after the expiration of the 10-year period 

following the date of the enactment of this Act, and at such intervals 

thereafter as may be provided in such compact. 

SUBTITLE B-Congressional Consent To Compacts 

Sec. 221. NORTHWEST INTERSTATE COMPACT ON 

LOW-LEVEL RADIOACTIVE WASTE MANAGEMENT. 

The Consent of Congress is hereby given to the states of Alaska, 

Hawaii, Idaho, Montana, Oregon, Utah, Washington, and Wyoming to 

enter into the Northwest Interstate Compact on Low-level Radioactive 

Waste Management, and to each and every part and article thereof. Such 

compact reads substantially as follows: 

NORTHWEST INTERSTATE COMPACT ON LOW-LEVEL 

RADIOACTIVE WASTE MANAGEMENT 

ARTICLE I-POLICY AND PURPOSE 

The party states recognize that low-level radioactive wastes are 

generated by essential activities and services that benefit the citizens of 

the states. It is further recognized that the protection of the health and 

safety of the citizens of the party states and the most economical 

management of low-level radioactive wastes can be accomplished through

'NOTE: Title I of this Law Is Found in Volume I of this NUREG

8-4
Transportation. 

Transportation.

cooperation of the states in minimizing the amount of handling and 

transportation required to dispose of such wastes and through the 

cooperation of the states in providing facilities that serve the region. It is 

the policy of the party states to undertake the necessary cooperation to 

protect the health and safety of the citizens of the party states and to 

provide for the most economical management of low-level radioactive 

wastes on a continuing basis. It is the purpose of this compact to provide 

the means for such a cooperative effort among the party states so that the 

protection of the citizens of the states and the maintenance of the viability 

of the states' economies will be enhanced while sharing the 

responsibilities of radioactive low-level waste management. 

ARTICLE H-DEFINITIONS 

As used in this compact: 

(1) "Facility" means any site, location, structure, or property used 

or to be used for the storage, treatment, or disposal of low-level waste, 

excluding federal waste facilities; 

(2) "Low-level waste" means waste material which contains 

radioactive nuclides emitting primarily beta or gamma radiation, or 

both, in concentrations or quantities which exceed applicable federal 

or state standards for unrestricted release. Low-level waste does not 

include waste containing more than ten (10) nanocuries of transuranic 

contaminants per gram of material, nor spent reactor fuel, nor material 

classified as either high-level waste or waste which is unsuited for 

disposal by near-surface burial under any applicable federal 

regulations; 

(3) "Generator" means any person, partnership, association, 

corporation, or any other entity whatsoever which, as a part of its 

activities, produces low-level radioactive waste; 

(4) "Host state" means a state in which a facility is located. 

ARTICLE II-REGULATORY PRACTICES 

Each party state hereby agrees to adopt practices which will require 

low-level waste shipments originating within its borders and destined for 

a facility within another party state to conform to the applicable packaging 

and transportation requirements and regulations of the host state. Such 

practices shall include: 

(1) Maintaining an inventory of all generators within the state that 

have shipped or expect to ship low-level waste to facilities in another 

party state; 

(2) Periodic unannounced inspection of the premises of such 

generators and the waste management activities thereon; 

(3) Authorization of the containers in which such waste may be 

shipped, and a requirement that generators use only that type of 

container authorized by the state; 

(4) Assurance that inspections of the carriers which transport such 

waste are conducted by proper authorities, and appropriate 

enforcement action taken for violations; 

(5) After receiving notification from a host state that a generator 

within the party state is in violation of applicable packaging or 

transportation standards, the party state will take appropriate action to 

assure that such violations do not recur. Such action may include

8-5
inspection of every individual low-level waste shipment by that 

generator. 

Each party state may impose fees upon generators and shippers to 

recover the cost of the inspections and other practices under this article. 

Nothing in this article shall be construed to limit any party state's 

authority to impose additional or more stringent standards on generators 

or carriers than those required under this article. 

ARTICLE IV-REGIONAL FACILITIES 

(1) Facilities located in any party state, other than facilities established 

or maintained by individual low-level waste generators for the 

management of their own low-level waste, shall accept low-level waste 

generated in any party state if such waste has been packaged and 

transported according to applicable laws and regulations. 

(2) No facility located in any party state may accept low-level waste 

generated outside of the region comprised of the party states, except as 

provided in article V. 

(3) Until such time as paragraph (2) of article IV takes effect, facilities 

located in any party state may accept low-level waste generated outside of 

any of the party states only if such waste is accompanied by a certificate 

of compliance issued by an official of the state in which such waste 

shipment originated. Such certificate shall be in such form as may be 

required by the host state, and shall contain at least the following: 

(A) The generator's name and address; 

(B) A description of the contents of the low-level waste container. 

Regulations. (C) A statement that the low-level waste being shipped has been 

inspected by the official who issued the certificate or by his agent or 

by a representative of the United States'Nuclear Regulatory 

Commission, and found to have been packaged in compliance with 

applicable Federal regulations and such additional requirements as 

may be imposed by the host state; 

(D) A binding agreement by the state of origin to reimburse any 

party state for any liability or expense incurred as a result of an 

accidental release of such waste during shipment or after such waste 

reaches the- facility. 

Health. (4) Each party state shall cooperate with the other party states in 

Safety. determining the appropriate site of any facility that might be required 

within the region comprised of the party states, in order to maximize 

public health and safety while minimizing the use of any one (1) party 

state as the host of such facilities on a permanent basis. Each party state 

further agrees that decisions regarding low-level waste management 

facilities in their region will be reached through a good faith process 

which takes into account the burdens borne by each of the party states as 

well as the benefits each has received. 

Hazardous (5) The party states recognize that the issue of hazardous chemical 

materials, waste management is similar in many respects to that of low-level waste 

Idaho. management. Therefore, in consideration of the State of Washington 

Oregon. allowing access to its low-level waste disposal facility by generators in 

Prohibition. other party states, party states such as Oregon and Idaho which host 

Washington. hazardous chemical waste disposal facilities will allow access to such 

facilities by generators within other party states. Nothing in this compact 

shall be construed to prevent any party state from limiting the nature and

8-6
Regulations.

Alaska. 

Hawaii. 

Idaho. 

Montana. 

Oregon. 

Utah. 

Washington. 

Effective date. 

Wyoming. 

42 USC 2021b 

note. 

Effective date.

type of hazardous chemical or low-level wastes to be accepted at facilities 

within its borders of from ordering the closure of such facilities, so long 

as such action by a host state is applied equally to all generators within 

the region comprised of the party states. 

(6) Any host state may establish a schedule of fees and requirements 

related to its facility, to assure that closure, perpetual care, and 

maintenance and contingency requirements are met, including adequate 

bonding. 

ARTICLE V-NORTHWEST LOW-LEVEL WASTE COMPACT 

COMMITTEE 

The governor of each party state shall designate one (1) official of that 

state as the person responsible for administration of this compact. The 

officials so designated shall together comprise the northwest low-level 

waste compact committee. The committee shall meet as required to 

consider matters arising under this compact. The parties 

shall inform the committee of existing regulations concerning low-level 

waste management in their states, and shall afford all parties a reasonable 

opportunity to review and comment upon any proposed modification in 

such regulations. Notwithstanding any provision of article IV to the 

contrary, the committee may enter into arrangements with states, 

provinces, individual generators, or regional compact entities outside the 

region comprised of the party states for access to facilities on such terms 

and conditions as the committee may deem appropriate. However, it shall 

require a two-thirds (2/3) vote of all such members, including the 

affirmative vote of the member of any party state in which a-facility 

affected by such arrangement is located, for the committee to enter into 

such arrangement. 

ARTICLE VI-ELIGIBLE PARTIES AND EFFECTIVE DATE 

(1) Each of the following states is eligible to become a party to this 

compact: Alaska, Hawaii, Idaho, Montana, Oregon, Utah, Washington, 

and Wyoming. As to any eligible party, this compact shall become 

effective upon enactment into law by that party, but it shall not become 

initially effective until enacted into law by two (2) states. Any party state 

may withdraw from this compact by enacting a statute repealing its 

approval. 

(2) After the compact has initially taken effect pursuant to 

paragraph (1) of this article, any eligible party state may become a party to 

this compact by the execution of an executive order by the governor of the 

state. Any state which becomes a party in this manner shall cease to be a 

party upon the final adjournment of the next general or regular session of 

its legislature or July 1, 1983, whichever occurs first, unless the compact 

has by then been enacted as a statute by that state. 

(3) Paragraph (2) of article IV of this compact shall take effect on July 

1, 1983, if consent is given by Congress. As provided in P.L. 96-573, 

Congress may withdraw its consent to the compact after every five (5) 

year period.

8-7
Provisions held 

invalid. 

42 USC 2021d 

note. 

Arkansas. 

Iowa. 

Kansas. 

Louisiana. 

Minnesota. 

Missouri. 

Nebraska. 

North Dakota. 

Oklahoma. 

42 USC 2021b 

note. 

Environmental 

protection. 

Health. 

Safety.

ARTICLE VII-SEVERABILITY 

If any provision of this compact, or its application to any person or 

circumstances, is held to be invalid, all other provisions of this compact, 

and the application of all of its provisions to all other persons and 

circumstances, shall remain valid; and to this end the provisions of this 

compact are severable. 

Sec. 222. CENTRAL INTERSTATE LOW-LEVEL 

RADIOACTIVE WASTE COMPACT. 

The consent of Congress is hereby given to the states of Arkansas, 

Iowa, Kansas, Louisiana, Minnesota, Missouri, Nebraska, North Dakota, 

and Oklahoma to enter into the Central Interstate Low-Level Radioactive 

Waste Compact, and to each and every part and article thereof. Such 

compact reads substantially as follows: 

CENTRAL INTERSTATE LOW-LEVEL RADIOACTIVE 

WASTE COMPACT 

ARTICLE I-POLICY AND PURPOSE 

The party states recognize that each state is responsible for the 

management of its non-federal low-level radioactive wastes. They also 

recognize that the Congress, by enacting the Low-Level Radioactive 

Waste Policy Act (Public Law 96-573) has authorized and encouraged 

states to enter into compacts for the efficient management of wastes. It is 

the policy of the party states to cooperate in the protection of the health, 

safety and welfare of their citizens and the environment and to provide for 

and encourage the economical management of low-level radioactive 

wastes. It is the purpose of this compact to provide the framework for 

such a cooperative effort; tO promote the health, safety and welfare of the 

citizens and the environment of the region; to limit the number of 

facilities needed to effectively and efficiently manage low-level 

radioactive wastes and to encourage the reduction of the generation 

thereof; and to distribute the costs, benefits and obligations among the 

party states. 

ARTICLE II-DEFINITIONS 

As used in this compact, unless the context clearly requires a different 

construction: 

a. "Commission" means the Central Interstate Low-Level Radioactive 

Waste Commission; 

b. "disposal" means the isolation and final disposition of waste; 

c. "extended care" means the care of a regional facility including 

necessary corrective measures subsequent to its active use for waste 

management until such time as the regional facility no longer poses a 

threat to the environment or public health; 

d. "facility" means any site, location, structure or property used or to 

be used for the management of waste; 

e. "generator" means any person who, in the course of or as incident 

to manufacturing, power generation, processing, medical diagnosis and 

treatment, biomedical research, other industrial or commercial activity, 

other research or mining in a party state, produces or processes waste.

8-8
42 USC 2021 b 

note. 

42 USC 2014. 

Regulation.

"Generator" does not include any person who receives waste generated 

outside the region for subsequent shipment to a regional facility; 

f. "host state" means any party state in which a regional facility is 

situated or is being developed; 

g. "low-level radioactive waste" or "waste" means, as defined in the 

Low-Level Radioactive Waste Policy Act (Public Law 96-573), 

radioactive waste not classified as: High-level radioactive waste, 

transuranic waste, spent nuclear fuel, or by-product material as defined in 

section 1 le.(2) of the Atomic Energy Act of 1954, as amended through 

1978. 

h. "management of waste" means the storage, treatment or disposal of 

waste; 

i. "notification of each party state" means transmittal of written notice 

to the Governor, presiding officer of each legislative body and any other 

persons designated by the party state's Commission member to receive 

such notice; 

j. "party state" means any state which is a signatory party to this 

compact; 

k. "person" means any individual, corporation, business enterprise, or 

other legal entity, either public or private; 

I. "region" means the area of the party states; 

m. "regional facility" means a facility which is located within the 

region and which has been approved by the Commission for the benefit of 

the party States; 

n. "site" means any property which is owned or leased by a generator 

and is contiguous to or divided only by a public or private way from the 

source of generation; 

o. "state" means a state of the United States, the District of Columbia, 

the Commonwealth of Puerto Rico, the U.S. Virgin Islands or any other 

territorial possession of the United States; 

p. "storage" means the holding of waste for treatment or disposal; and 

q. "treatment" means any method, technique or process, including 

storage for radioactive decay, designed to change the physical, chemical 

or biological characteristics or composition of any waste in order to 

render such waste after for transport or management, amendable for 

recovery, convertible to another usable material, or reduced in volume. 

ARTICLE III-RIGHTS AND OBLIGATIONS 

a. There shall be provided within the region one or more regional 

facilities which together provide sufficient capacity to manage all wastes 

generated within the region. It shall be the duty of regional facilities to 

accept compatible wastes generated in and from party states, and meeting 

the requirements of this Act, and each party state shall have the right to 

have the wastes generated within its borders managed at such facility. 

b. To the extent authorized by Federal law and host State law, a host 

state shall regulate and license any regional facility within its borders and 

ensure the extended care of such facility. 

c. Rates shall be charged to any user of the regional facility, set by the 

operator of a regional facility and shall be fair and reasonable and be 

subject to the approval of the host state. Such approval shall be based 

upon criteria established by the Commission.

8-9
Regulation. 

Transportation. 

Exports. 

Central Interstate 

Low-Level 

Radioactive Waste 

Commission, 

establishment.

d. A host state may establish fees which shall be charged to any user 

of a regional facility and which shall be in addition to the rates approved 

pursuant to section c. of this Article, for any regional facility within its 

borders. Such fees shall be reasonable and shall provide the host state 

with sufficient revenue to cover any costs associated with such facilities. 

If such fees have been reviewed and approved by the Commission and to 

the extent that such revenue is insufficient, all party states shall share the 

costs in a manner to be determined by the Commission. 

e. To the extent authorized by Federal law, each party state is 

responsible for enforcing any applicable Federal and state laws and 

regulations pertaining to the packaging and transportation of waste 

generated within or passing through its borders and shall adopt practices 

that will ensure that waste shipments originating within its borders and 

destined for a regional facility will conform to applicable packaging and 

transportation laws and regulations. 

f. Each party state has the right to rely on the good faith performance 

of each other party state. 

g. Unless authorized by the Commission, it shall be unlawful after 

January 1, 1986, for any person: 

1. to deposit at a regional facility, waste not generated within the 

region; 

2. to accept, at a regional facility, waste not generated within the 

region; 

3. to export from the region, waste which is generated within the 

region; and 

4. to transport waste from the site at which it is generated, except 

to a regional facility. 

ARTICLE IV-THE COMMISSION 

a. There is hereby established the Central Interstate Low-Level 

Radioactive Waste Commission. The Commission shall consist of one 

voting member from each party state to be appointed according to the 

laws of each state. The appointing authority of each party state shall 

notify the Commission in writing of the identity of its member and any 

alternates. An alternate may act on behalf of the member only in the 

absence of such member. Each state is responsible for the expenses of its 

member of the Commission. 

b. Each Commission member shall be entitled to one vote. Unless 

otherwise provided herein, no action of the Commission shall be bonding 

unless a majority of the total membership casts its vote in the affirmative. 

c. The Commission shall elect from among its membership a 

chairman. The Commission shall adopt and publish, in convenient form, 

by-laws and policies which are not inconsistent with this compact. 

d. The Commission shall meet at least once a year and shall also meet 

upon the call of the chairman, by petition of a majority of the membership 

or upon the call of a host state member. 

e. The Commission may initiate any proceedings or appear as an 

intervenor or party in interest before any court of law, or any Federal, 

state or local agency, board or Commission that has jurisdiction over any 

matter arising under or relating to the terms of the provisions of this 

compact. The Commission shall determine in which proceedings it shall 

intervene or otherwise appear and may arrange for such expert testimony, 

8-10
reports, evidence or other participation in such proceedings as may be 

necessary to represent its views. 

f. The Commission may establish such committees as it deems 

necessary for the purpose of advising the Commission on any and all 

matters pertaining to the management of waste. 

Contracts. g. The Commission may employ and compensate a staff limited only 

to those persons necessary to carry out its duties and functions. The 

Commission may also contract with and designate any person to perform 

necessary functions to assist the Commission. Unless otherwise required 

by the acceptance of a Federal grant, the staff shall serve at the 

Commission's pleasure irrespective of the civil service, personnel or other 

merit laws of any of the party states or the Federal government and shall 

be compensated from funds of the Commission. 

h. Funding for the Commission shall be as follows: 

1. The Commission shall set and approve its first annual budget as 

soon as practicable after its initial meeting. Party states shall equally 

contribute to the Commission budget on an annual basis, an amount 

not to exceed $25,000 until surcharges are available for that purpose. 

Host states shall begin imposition of the surcharges provided for in 

this section as soon as practicable and shall remit to the Commission 

funds resulting from collection of such surcharges within 60 days of 

their receipt; and 

2. Each state hosting a regional facility shall annually levy 

surcharges on all users of such facilities, based on the volume and 

characteristics of wastes received at such facilities, the total of which: 

(A) Shall be sufficient to cover the annual budget of the 

Commission; and 

(B) shall be paid to the Commission, provided, however, that 

each host state collecting such surcharges may retain a portion of 

the collection sufficient to cover the administrative costs of 

collection, and that the remainder be sufficient only to cover the 

approved annual budget of the Commission. 

Audit. i. The Commission shall keep accurate accounts of all receipts and 

Report. disbursements. An independent certified public account shall annually 

audit all receipts and disbursements of Commission funds and submit an 

audit report to the Commission. Such audit report shall be made a part of 

the annual report of the Commission required by this Article. 

Grants. j. The Commission may accept for any of its purposes and functions 

any and all donations, grants of money, equipment, supplies, materials 

and services, conditional or otherwise from any person and may receive, 

Reports. utilize and dispose of same. The nature, amount and conditions, if any, 

attendant upon any donation or grant accepted pursuant to this section, 

together with the identity of the donor, grantor or lender, shall be detailed 

in the annual report of the Commission. 

Prohibition. k. (1) Except as otherwise provided herein, nothing in this compact 

shall be construed to alter the incidence of liability of any kind for any 

act, omission, course of conduct, or on account of any casual or other 

relationships. Generators, transporters of waste, owners and operators of 

facilities shall be liable for their acts, omissions, conduct or relationships 

in accordance with all laws relating thereto. 

Prohibitions. (2) The Commission herein established is a legal entity separate 

and distinct from the party states and shall be so liable for its actions. 

Liabilities of the Commission shall not be deemed liabilities of the

8-11
party states. Members of the Commission shall not be personally 

liable for actions taken by them in their official capacity. 

1. Any person or party state aggrieved by a final decision of the 

Commission may obtain judicial review of such decisions in the United 

States District Court in the District wherein the Commission maintains its 

headquarters by filing in such court a petition for review within 60 days 

after the Commission's final decision. Proceedings thereafter shall be in 

accordance with the rules of procedure applicable in such court. 

m. The Commission shall: 

1. Receive and approve the application of a non-party state to 

become a party state in accordance with Article VII; 

Report. 2. submit an annual report, and otherwise communicate with, the 

Governors and the presiding officers of the legislative bodies of the 

party states regarding the activities of the Commission; 

3. hear and negotiate disputes which may arise between the party 

states regarding this compact; 

4. require of and obtain from the party states, and non-party states 

seeking to become party states, data and information necessary to the 

implementation of Commission and party states' responsibilities; 

5. approve the development and operation of regional facilities in 

accordance with Article V; 

Contracts. 6. notwithstanding any other provision of this compact, have the 

Exports. authority to enter into agreements with any person for the importation 

Imports. of waste into the region and for the right of access to facilities outside 

the region for waste generated within the region. Such authorization 

to import or export waste requires the approval of the Commission, 

including the affirmative vote of any host state which may be affected; 

7. revoke the membership of a party state in accordance with 

Articles V and VII; 

8. require all party states and other persons to perform their duties 

and obligations arising under this compact by an appropriate action in 

any forum designated in section e. of Article IV; and 

9. take such action as may be necessary to perform its duties and 

functions as provided in this compact. 

ARTICLE V-DEVELOPMENT AND OPERATION OF 

REGIONAL FACILITIES 

a. Following the collection of sufficient data and information from the 

states, the Commission shall allow each party state the opportunity to 

volunteer as a host for a regional facility. 

b. If no state volunteers or if no proposal identified by a volunteer 

state is deemed acceptable by the Commission, based on the criteria in 

section c. of this Article, then the Commission shall publicly seek 

applicants for the development and operation of regional facilities. 

c. The Commission shall review and consider each applicant's 

proposal based upon the following criteria: 

1. The capability of the applicant to obtain a license from the 

applicable authority; 

2. the economic efficiency of each proposed regional facility, 

including the total estimated disposal and treatment costs per cubic 

foot of waste; 

3. financial assurances;

8-12
4. accessibility to all party states; and 

Health. 5. such other criteria as shall be determined by the Commission to 

Safety. be necessary for the selection of the best proposal, based on the 

health, safety and welfare of the citizens in the region and the party 

states. 

d. The Commission shall make a preliminary selection of the proposal 

or proposals considered most likely to meet the criteria enumerated in 

section c. and the needs of the region. 

e. Following notification of each party state of the results of the 

preliminary selection process, the Commission shall: 

1. Authorize any person whose proposal has been selected to 

pursue licensure of the regional facility or facilities in accordance with 

the proposal originally submitted to the Commission or as modified 

with the approval of the Commission; and 

2. require the appropriate state or states or the U.S. Nuclear 

Regulatory Commission to process all applications for permits and 

licenses required for the development and operation of any regional 

facility or facilities within a reasonable period from the time that a 

completed application is submitted. 

f. The preliminary selection or selections made by the Commission 

pursuant to this Article shall become final and receive the Commission's 

approval as a regional facility upon the issuance of license by the 

licensing authority. If a proposed regional facility fails to become 

licensed, the Commission shall make another selection pursuant to the 

procedures identified in this Article. 

g. The Commission may, by two-thirds affirmative vote of its 

membership, revoke the membership of any party state which, after notice 

and hearing, shall be found to have arbitrarily or capriciously denied or 

delayed the issuance of a license or permit to any person authorized by the 

Commission to apply for such license or permit. Revocation shall be in 

the same manner as provided for in section e. of Article VII. 

ARTICLE VI-OTHER LAWS AND REGULATIONS 

Prohibition. a. Nothing in this compact shall be construed to: 

1. Abrogate or limit the applicability of any act of Congress or 

diminish or otherwise impair the jurisdiction of any Federal agency expressly conferred thereon by the Congress; 

2. prevent the application of any law which is not otherwise 

inconsistent with this compact; 

3. prohibit or otherwise restrict the management and waste on the 

site where it is generated if such is otherwise lawful; 

4. affect any judicial or administrative proceeding pending on the 

effective date of this compact; 

5. alter the relations between, and the respective internal 

responsibilities of, the government of a party state and its 

subdivisions; and 

Research and 6. affect the generation or management of waste generated by the 

development. Federal government or federal research and development activities. 

Prohibition. b. No party state shall pass or enforce any law or regulation which is 

inconsistent with this compact.

8-13
Regulations. 

Prohibition. 

Regulations.

8-14

c. All laws and regulations or parts thereof of any party state which 

are inconsistent with this compact are hereby declared null and void for 

purposes of this compact. Any legal right, obligation, violation or penalty 

arising under such laws or regulations prior to enactment of this compact 

shall not be affected. 

d. No law or regulation of a party state or of any subdivision or 

instrumentality thereof may be applied so as to restrict or make more 

costly or inconvenient access to any regional facility by the generators of 

another party state than for the generators of the state where the facility is 

situated. 

ARTICLE VII-ELIGIBLE PARTIES, WITHDRAWAL, 

REVOCATION, ENTRY INTO FORCE, TERMINATION 

a. This compact shall have as initially eligible parties the states of 

Arkansas, Iowa, Kansas, Louisiana, Minnesota, Missouri, Nebraska, 

North Dakota and Oklahoma. Such initial eligibility shall terminate on 

January 1, 1984. 

b. Any state may petition the Commission for eligibility. A 

petitioning state shall become eligible for membership in the compact 

upon the unanimous approval of the Commission. 

c. An eligible state shall become a member of the compact and shall 

be bound by it after such state has enacted the compact into law. In no 

event shall the compact take effect in any state until it has been entered 

into force as provided for in section f. of this Article. 

d. Any party state may withdraw from this compact by enacting a 

statute repeating the same. Unless permitted earlier by unanimous 

approval of the Commission, such withdrawal shall take effect five-years 

after the Governor of the withdrawing state has given notice in writing of 

such withdrawal to each Governor of the party states. No withdrawal 

shall affect any liability already incurred by or chargeable to a party state 

prior to the time of such withdrawal. 

e. Any party state which fails to comply with the terms of this 

compact or fulfill its obligations hereunder may, after notice and hearing 

have its privileges suspended or its membership in the compact revoked 

by the Commission. Revocation shall take effect one year from the date 

such party state receives written notice from the Commission of its action. 

The Commission may require such party state to pay to the Commission, 

for a period not to exceed five years from the date of notice of revocation, 

an amount determined by the Commission based on the anticipated fees 

which the generators of such party state would have paid to each regional 

facility and an amount equal to that which such party state would have 

contributed in accordance with section d. of Article III, in the event of 

insufficient revenues. The Commission shall use such funds to ensure the 

continued availability of safe and economical waste management facilities 

for all remaining party states. Such state shall also pay an amount equal 

to that which such party state would have contributed to the annual budget 

of the Commission if such party state would have remained a member of 

the compact. All legal rights established under this compact of any party 

state which has its membership revoked shall cease upon the effective 

date of revocation; however, any legal obligations of such party state 

arising prior to the effective date of revocation shall not cease until they

Arkansas. 

Iowa. 

Kansas. 

Louisiana. 

Minnesota. 

Missouri. 

Nebraska. 

North Dakota. 

Oklahoma. 

Prohibition. 

Effective date. 

Prohibition. 

Effective date.
Prohibition. 

Termination. 

Regulations. 

Provisions held 

invalid.

have been fulfilled. Written notice of revocation of any state's 

membership in the company shall be transmitted immediately following the vote of the Commission, by the chairman, to the Governor of the 

affected party state, all other Governors of the party states and the 

Congress of the United States. 

f. This compact shall become effective after enactment by a least 

three eligible states and after consent has been given to it by the Congress. The Congress shall have the opportunity to withdraw such consent every five-years. Failure of the Congress to withdraw its consent affirmatively shall have the effect of renewing consent for an additional five-year period. The consent given to this compact by the Congress shall extend to 

any future admittance of new party states under sections b. and c. of this 

Article and to the power to ban the exportation of waste pursuant to 

Article III. 

g. The withdrawal of a party state from this compact under section d. of this Article or the revocation of a state's membership in this compact under section 3. of this Article shall not affect the applicability of this 

compact to the remaining party states. 

h. This compact shall be terminated when all party states have 

withdrawn pursuant to section d. of this Article. 

ARTICLE VHI-PENALTIES 

a. Each party state, consistent with its own law, shall prescribe and 

enforce penalties against any person for violation of any provision of this 

compact. 

b. Each party state acknowledges that the receipt by a regional facility of waste packaged or transported in violation of applicable laws and 

regulations can result in sanctions which may include suspension or revocation of the violator's right of access to the regional facility. 

ARTICLE IX-SEVERABILITY AND CONSTRUCTION 

The provisions of this compact shall be severable and if any phrase, clause, sentence or provision of this compact is declared by a court of 

competent jurisdiction to be contrary to the Constitution of any participating state or of the United States or the applicability thereof to 

any government, agency, person or circumstances is held invalid, the 

validity of the remainder of this compact and the applicability thereof to 

any government, agency, person or circumstance shall not be affected 

thereby. If any provision of this compact shall be held contrary to the 

Constitution of any state participating therein, the compact shall remain in full force and effect as to the state affected as to all severable matters. The provisions of this compact shall be liberally construed to give effect to the 

purpose thereof.

8-15
Sec. 223. SOUTHEAST INTERSTATE LOW-LEVEL 

RADIOACTIVE WASTE MANAGEMENT COMPACT. 

42 USC 2021d In accordance with section 4(a)(2) of the Low-Level Radioactive 

note. Waste Policy Act (42 USC 202 1d(a)(2), the consent of the Congress is 

Alabama. hereby given to the States of Alabama, Florida, Georgia, Mississippi, 

Florida. North Carolina, South Carolina, Tennessee, and Virginia to enter into the 

Georgia. Southeast Interstate Low-Level Radioactive Waste Management 

Mississippi. Compact. Such compact is substantially as follows: 

North Carolina. 

South Carolina. SOUTHEAST INTERSTATE LOW-LEVEL RADIOACTIVE 

Tennessee. WASTE MANAGEMENT COMPACT 

Virginia. 

ARTICLE I-POLICY AND PURPOSE 

Research and There is hereby created the Southeast Interstate Low-Level 

development. Radioactive Waste Management Compact. The party states recognize and 

declare that each state is responsible for providing for the availability of 

capacity either within or outside the State for disposal of low-level 

radioactive waste generated within its borders, except for waste generated 

as a result of defense activities of the federal government or federal 

research and development activities. They also recognize that the 

management of low-level radioactive waste is handled most efficiently on 

42 USC 2021b a regional basis. The party states further recognize that the Congress of 

note. the United States, by enacting the Low-Level Radioactive Waste Policy 

Act (Public Law 96-573), has provided for encouraged the development 

of low level radioactive waste compacts as a tool for disposa lof such 

waste. The party states recognize that the safe and efficient management 

of low-level radioactive waste generated within the region requires that 

sufficient capacity to dispose of such waste be properly provided. 

It is the policy of the party states to: enter into a regional low-level 

radioactive waste management compact for the purpose of providing the 

instrument and framework for a cooperative effort; provide sufficient 

facilities for the proper management of low-level radioactive waste 

generated in the region; promote the health and safety of the region; limit 

the number of facilities required to effectively and efficiently manage 

low-level radioactive waste generated in the region; encourage the 

reduction of the amounts of low-level waste generated in the region; 

distribute the costs, benefits, and obligations of successful low-level 

radioactive waste management equitably among the party states; and 

ensure the ecological and economical management of low-level 

radioactive wastes. 

Regulations. Implicit in the Congressional consent to this compact is the 

expectation by Congress and the party states that the appropriate federal 

agencies will actively assist the Compact Commission and the individual 

party states to this compact by: 

1. expeditious enforcement of federal rules, regulations, and laws; 

2. imposing sanctions against those found to be in violation of 

federal rules, regulations, and laws; 

3. timely inspection of their licensees to determine their capability 

to adhere to such rules, regulations, and laws; 

42 USC 2021b 4. timely provision of technical assistance to this compact in 

note. carrying out their obligations under the Low-Level Radioactive Waste 

Policy Act, as amended.

8-16
ARTICLE 1I-DEFINITIONS 

As used in this compact, unless the context clearly requires a different 

construction: 

1. "Commission" or "Compact Commission" means the Southeast 

Interstate Low-Level Radioactive Waste Management Commission. 

2. "Facility" means a parcel of land, together with the structure, 

equipment, and improvements thereon or appurtenant thereto, which is 

used or is being developed for the treatment, storage, or disposal of 

low-level radioactive waste. 

3. "Generator" means any person who produces or processes 

low-level radioactive waste in the course of, or as an incident to, 

manufacturing, power generation, processing, medical diagnosis and 

treatment, research, or other industrial or commercial activity. This 

does not include persons who provide a service to generators by 

arranging for the collection, transportation, storage, or disposal of 

wastes with respect to such waste generated outside the region. 

4. "High-level waste" means irradiated reactor fuel, liquid wastes 

from reprocessing irradiated reactor fuel, and solids into which such 

liquid wastes have been converted, and other high-level radioactive 

waste as defined by the U.S. Nuclear Regulatory Commission. 

5. "Host state" means any state in which a regional facility is 

situated or is being developed. 

6. "Low-level radioactive waste" or "waste" means radioactive 

waste not classified as high-level radioactive waste, transuranic waste, 

spent nuclear fuel, or by-product material as defined in Section 1 le(2) 

of the Atomic Energy Act of 1954, or as may be further defined by 

Federal law or regulation. 

7. "Party state" means any state which is a signatory party to this 

compact. 

8. "Person" means any individual, corporation, business 

enterprise, or other legal entity (either public or private). 

9. "Region ' means the collective party states. 

10. 'Regional facility" means (1) a facility as defined in this article 

which has been designated, authorized, accepted, or approved by the 

Commission to receive waste or (2) the disposal facility in Barnwell 

County, South Carolina, owned by the State of South Carolina and as 

licensed for the burial of low-level radioactive waste on July 1, 1982, 

but in no event shall this disposal facility serve as a regional facility 

beyond December 31, 1992. 

11. "State" means a state of the United States, the District of 

Columbia, the Commonwealth of Puerto Rico, the Virgin Islands, or 

any other territorial possession of the United States. 

12. "Transuranic wastes" means waste material containing 

transuranic elements with contamination levels as determined by the 

regulations of (1) the U.S. Nuclear Regulatory Commission or (2) any 

host state, if it is an agreement state under Section 274 of the Atomic 

Energy Act of 1954. 

13. "Waste management" means the storage, treatment, or disposal 

of waste.

8-17

42 USC 2014. 

42 USC 2021.
Prohibition. 

Regulations. 

Transportation.

Southeast Interstate 

Low-Level 

Radioactive Waste 

Management 

Commission, 

establishment.

ARTICLE III-RIGHTS AND OBLIGATIONS 

The rights granted to the party states by this compact are additional to 

the rights enjoyed by sovereign states, and nothing in this compact shall 

be construed to infringe upon, limit, or abridge those rights. 

(A) Subject to any license issued by the U.S. Nuclear Regulatory 

Commission or a host state, each party state shall have the right to 

have all wastes generated within its borders stored, treated, or 

disposed of, as applicable, at regional facilities and, additionally, shall 

have the right of access to facilities made available to the region 

through agreements entered into by the Commission pursuant to article 

4(e)(9). The right of access by a generator within a party state to any 

regional facility is limited by its adherence to applicable state and 

federal law and regulation. 

(B) If no operating regional facility is located within the borders of 

a party state and the waste generated within its borders must therefore 

be stored, treated, or disposed of at a regional facility in another party 

state, the party state without such facilities may be required by the host 

state or states to establish a mechanism which provides compensation 

for access to the regional facility according to terms and conditions 

established by the host state or states and approved by a two-thirds 

vote of the Commission. 

(C) Each party state must establish the capability to regulate, 

license, and ensure the maintenance and extended care of any facility 

within its borders. Host states are responsible for the availability, the 

subsequent post-closure observation and maintenance, and the 

extended institutional control of their regional facilities in accordance 

with the provisions of Article 5, Section (b). 

(D) Each party state must establish the capability to enforce any 

applicable federal or state laws and regulations pertaining to the 

packaging and transportation of waste generated within or passing 

through its borders. 

(E) Each party state must provide to the Commission on an annual 

basis any data and information necessary to the implementation of the 

Commission's responsibilities. Each party state shall establish the 

capability to obtain any data and information necessary to meet its 

obligation. 

(F) Each party state must, to the extent authorized by federal law, 

require generators within its borders to use the best available waste 

management technologies and practices to minimize the volumes of 

waste requiring disposal. 

ARTICLE IV-THE COMMISSION

(A) There is hereby created the Southeast Interstate Low-Level 

Radioactive Waste Management Commission ("Commission" or 

"Compact Commission"). The Commission shall consist of two voting 

members from each party state to be appointed according to the laws of 

each state. The appointing authorities of each state must notify the 

Commission in writing of the identity of its members and any alternates. 

An alternate may act on behalf of the member only in the member's 

absence. 

(B) Each commission member is entitled to one vote. No action of 

the Commission shall be binding unless a majority of the total

8-18
Report. 

Health. 

Safety. 

Environmental 

protection. 

Health. 

Safety. 

Transportation. 

Reports. 

Studies. 

Prohibition.

membership cast their vote in the affirmative, or unless a greater than 

majority vote is specifically required by any other provision of this 

compact. 

(C) The Commission must elect from among its members a presiding officer. The Commission shall adopt and publish, in convenient form, bylaws which are consistent with this compact. (D) The Commission must meet at least once a year and also meet 

upon the call of the presiding officer, by petition of a majority of the party states, or upon the call of a host state. All meetings of the Commission 

must be open to the public. 

(E) The Commission has the following duties and powers: 1. To receive and approve the application of a nonparty state to 

become an eligible state in accordance with the provisions of Article 

7(b). 

2. To receive and approve the application of a nonparty state to 

become an eligible state in accordance with the provisions of Article 

7(c). 

3. To submit an annual report and other communications to the 

Governors and to the presiding officer of each body of the legislature of the party states regarding the activities of the Commission. 

4. To develop and use procedures for determining, consistent with 

consideration for public health and safety, the type and number of 

regional facilities which are presently necessary and which are 

projected to be necessary to manage waste generated within the 

region. 

5. To provide the party states with reference guidelines for 

establishing the criteria and procedures for evaluating alternative 

locations for emergency or permanent regional facilities. 

6. To develop and adopt, within one year after the Commission is 

constituted as provided in Article 7(d) procedures and criteria for 

identifying a party state as a host state for a regional facility as 

determined pursuant to the requirements of this article. In accordance 

with these procedures and criteria, the Commission shall identify a 

host state for the development of a second regional disposal facility within three years after the Commission is constituted as provided for 

in Article 7(d), and shall seek to ensure that such facility is licensed 

and ready to operate as soon as required but in no event later than 

1991. 

In developing criteria, the Commission must consider the following; the health, safety, and welfare of the citizens of the party states; the 

existence of regional facilities within each party state; the minimization of 

waste transportation; the volumes and types of wastes generated within 

each party state; and the environmental, economic, and ecological impacts 

on the air, land, and water resources of the party states. 

The Commission shall conduct such hearings, require such reports, studies, evidence, and testimony, and do what is required by its approved procedures in order to identify a party state as a host state for a needed 

facility. 

7. In accordance with the procedures and criteria developed pursuant to Section (e)(6) of this Article, to designate, by a two-thirds 

vote, a host state for the establishment of a needed regional facility. The Commission shall not exercise this authority unless the party 

states have failed to voluntarily pursue the development of such

8-19
facility. The Commission shall have the authority to revoke the 

membership of a party state that willfully creates barriers to the siting 

of a needed regional facility. 

8. To require of and obtain from party states, eligible states 

seeking to become party states, and nonparty states seeking to become 

eligible states, data and information necessary to the implementation 

of Commission responsibilities. 

Contracts. 9. Notwithstanding any other provision of this compact, to enter 

Imports. into agreements with any person, state, or similar regional body or 

group of states for the importation of waste into the region and for the 

right of access to facilities outside the region for waste generated 

within the region. The authorization to import requires a two-thirds 

majority vote of the Commission, including an affirmative vote of 

both representatives of a host state in which any affected regional 

facility is located. This shall be done only after an assessment of the 

affected facility's capability to handle such wastes. 

10. To act or appear on behalf of any party state or states, only 

upon written request of both members of the Commission for such 

state or states as an intervenor or party in interest before Congress, 

state legislatures, any court of law, or any federal, state, or local 

agency, board, or commission which has jurisdiction over the 

management of wastes. The authority to act, intervene, or otherwise 

appear shall be exercised by the Commission, only after approval by a 

majority vote of the Commission. 

11. To revoke the membership of a party state in accordance with 

Article 7(f). 

F. The Commission may establish any advisory committees as it 

deems necessary for the purpose of advising the Commission on any 

matters pertaining to the management of low-level radioactive waste. 

G. The Commission may appoint or contract for and compensate such 

limited staff necessary to carry out its duties and functions. The staff 

shall serve at the commission's pleasure irrespective of the civil service, 

personnel, or other merit laws of any of the party states or the federal 

government and shall be compensated from funds of the Commission. In 

selecting any staff, the Commission shall assure that the staff has 

adequate experience and formal training to carry out such functions as 

may be assigned to it by the Commission. If the Commission has a 

headquarters it shall be in a party state. 

H. Funding for the Commission must be provided as follows: 

1. Each eligible state, upon becoming a party state, shall pay 

twenty-five thousand dollars to the Commission which shall be used 

for costs of the Commission's services. 

2. Each state hosting a regional disposal facility shall annually 

levy special fees or surcharges on all users of such facility, based upon 

the volume of wastes disposed of at such facilities, the total of which: 

a. must be sufficient to cover the annual budget of the Commission; 

b. must represent the financial commitments of all party states to the 

Commission; 

c. must be paid to the Commission; 

Provided, however, That each host state collecting such fees or 

surcharges may retain a portion of the collection sufficient to cover its 

administrative costs of collection and that the remainder be sufficient only 

to cover the approved annual budgets of the Commission.

8 -20
3. The Commission must set and approve its first annual budget as 

soon as practicable after its initial meeting. Host states for disposal 

facilities must begin imposition of the special fees and surcharges 

provided for in this section as soon as practicable after becoming party 

states and must remit to the Commission funds resulting from 

collection of such special fees and surcharges within sixty days of 

their receipt. 

Audit report. I. The Commission must keep accurate accounts of all receipts and 

disbursements. An independent certified public accountant shall annually 

audit all receipts and disbursements of Commission funds and submit an 

audit report to the Commission. The audit report shall be made a part of 

the annual report of the Commission required by Article 4(e)(3). 

Grants. J. The Commission may accept for any of its purposes and functions 

any and all donations, grants of money, equipment, supplies, materials, 

and services (conditional or otherwise) from any state, or the United 

States, or any subdivision or agency thereof, or interstate agency, or from 

any institution, person, firm, or corporation, and may receive, utilize, and 

Report. dispose of the same. The nature, amount, and condition, if any, attendant 

upon any donation or grant accepted pursuant to this section, together 

with the identity of the donor, grantor, or lender shall be detailed in the 

annual report to the Commission. 

K. The Commission is not responsible for any costs associated with: 

(1) the creation of any facility, 

(2) the operation of any facility, 

(3) the stabilization and closure of any facility, 

(4) the post-closure observation and maintenance of any facility, or 

(5) the extended institutional control, after post-closure 

observation and maintenance of any facility. 

L. As of January 1, 1986, the management of wastes at regional 

facilities is restricted to wastes generated within the region, and to wastes 

generated within nonparty states when authorized by the Com mission 

Exports. pursuant to the provisions of this compact. After January 1, 1986, the 

Prohibition. Commission may prohibit the exportation of waste from the region for the 

purposes of management. 

M. 1. The Commission herein established is a legal entity separate 

and distinct from the party states capable of acting in its own behalf and is 

liable for its actions. Liabilities of the Commission shall not be deemed 

liabilities of the party states. Members of the Commission shall not 

personally be liable for action taken by them in their official capacity. 

Prohibition. 2. Except as specifically provided in this compact, nothing in this 

compact shall be construed to alter the incidence of liability of any 

kind for any act, omission, course of conduct, or on account of any 

casual or other relationships. Generators and transporters of wastes 

and owners and operators of sites shall be liable for their acts, 

omissions, conduct, or relationships in accordance with all laws 

relating thereto. 

ARTICLE V-DEVELOPMENT AND OPERATION OF 

FACILITIES 

A. Any party state which becomes a host state in which a regional 

facility is operated shall not be designated by the Compact Commission as 

a host state for an additional regional facility until each party state has

8-21
Health. 

Safety. 

Prohibition.

Prohibition. 

42 USC 2021. 

Prohibition. 

42 USC 2021b 

note. 

Research and 

development.

fulfilled its obligation, as determined by the Commission, to have a 

regional facility operated within its borders. 

B. A host state desiring to close a regional facility located within its 

borders may do so only after notifying the Commission in writing of its 

intention to do so and the reasons therefor. Such notification shall be 

given to the Commission at least four years prior to the intended date of 

closure. Notwithstanding the four-year notice requirement herein 

provided, a host state is not prevented from closing its facility or 

establishing conditions of its use and operations as necessary for the 

protection of the health and safety of its citizens. A host state may 

terminate or limit access to its regional facility if it determines that 

Congress has materially altered the conditions of this compact. 

C. Each party state designated as a host state for a regional facility 

shall take appropriate steps to ensure that an application for a license to 

construct and operate a facility of the designated type is filed with and 

issued by the appropriate authority. 

D. No party state shall have any form of arbitrary prohibition on the 

treatment, storage, or disposal of low-level radioactive waste within its 

borders. 

E. No party state shall be required to operate a regional facility for 

longer than a 20-year period, or to dispose of more than 32,000,000 cubic 

feet of low-level radioactive waste, whichever first occurs.2 

ARTICLE VI-OTHER LAWS AND REGULATIONS 

A. Nothing in this compact shall be construed to: 

(1) Abrogate or limit the applicability of any act of Congress or 

diminish or otherwise impair the jurisdiction of any federal agency 

expressly conferred thereon by the Congress. 

(2) Abrogate or limit the regulatory responsibility and authority of 

the U.S. Nuclear Regulatory Commission or of an agreement state 

under Section 274 of the Atomic Energy Act of 1954 in which a 

regional facility is located. 

(3) Make inapplicable to any person or circumstance any other law 

of a party state which is not inconsistent with this compact. 

(4) Make unlawful the continued development and operation of 

any facility already licensed for development or operation on the date 

this compact becomes effective, except that any such facility shall 

comply with Article 3, Article 4, and Article 5 and shall be subject to 

any action lawfully taken pursuant thereto. 

(5) Prohibit any storage or treatment of waste by the generator on 

its own premises. 

(6) Affect any judicial or administrative proceeding pending on the 

effective date of this compact. 

(7) Alter the relations between, and the respective internal 

responsibilities of, the government of a party state and its 

subdivisions. 

(8) Affect the generation, treatment, storage, or disposal of waste 

generated by the atomic energy defense activities of the Secretary of 

the United States Department of Energy or federal research and 

development activities as defined in Public Law 96-573.

2

P.L. 101-171 (103 Stat. 1289), November 22, 1989 added new section E.

8 -22
Prohibition. 

Regulation. 

Prohibition. 

Regulation. 

Alabama. 

Florida. 

Georgia. 

Mississippi. 

North Carolina. 

South Carolina. 

Tennessee. 

Virginia.

(9) Affect the rights and powers of any party state and its political 

subdivisions to regulate and license any facility within its borders or to 

affect the rights and powers of any party state and its political subdivisions to tax or impose fees on the waste managed at any 

facility within its borders. 

B. No party shall pass any law or adopt any regulation which is 

inconsistent with this compact. To do so may jeopardize the membership 

status of the party state. 

C. Upon formation of the compact no law or regulation of a party 

state or of any subdivision or instrumentality thereof may be applied so as 

to restrict or make more inconvenient access to any regional facility by the 

generators of another party state than for the generators of the state where 

the facility is situated. 

D. Restrictions of waste management of regional facilities pursuant to 

Article 4 shall be enforceable as a matter of state law. 

ARTICLE VII-ELIGIBLE PARTIES; WITHDRAWAL; 

REVOCATION; ENTRY INTO FORCE; TERMINATION 

A. This compact shall have as initially eligible parties the States of 

Alabama, Florida, Georgia, Mississippi, North Carolina, South Carolina, 

Tennessee, and Virginia. 

B. Any state not expressly declared eligible to become a party state to 

this compact in Section (A) of this Article may petition the Commission, 

once constituted, to be declared eligible. The Commission may establish 

such conditions as it deems necessary and appropriate to be met by a state 

wishing to become eligible to become a party state to this compact 

pursuant to such provisions of this section. Upon satisfactorily meeting the conditions and upon the affirmative vote of two-thirds of the 

Commission, including the affirmative vote of both representatives of a 

host state in which any affected regional facility is located, the petitioning 

state shall be eligible to become a party state to this compact and may become a party state in the manner as those states declared eligible in 

Section (a) of this Article. 

C. Each state eligible to become a party state to this compact shall be 

declared a party state upon enactment of this compact into law by the state 

and upon payment of the fees required by Article 4(H)(1). The 

Commission is the judge of the qualifications of the party states and of its 

members and of their compliance with the conditions and requirements of 

this compact and the laws of the party states relating to the enactment of 

this compact. 

D. 1. The first three states eligible to become party states to this 

compact which enact this compact into law and appropriate the fees 

required by Article 4(H)(1) shall immediately, upon the appointment of 

their Commission members, constitute themselves as the Southeast 

Low-Level Radioactive Waste Management Commission; shall cause 

legislation to be introduced in Congress which grants the consent of 

Congress to this compact; and shall do those things necessary to organize the commission and implement the provisions of this compact. 2. All succeeding states eligible to become party states to this 

compact shall be declared party states pursuant to the provisions of 

Section (C) of this Article.

8 -23
Effective date. 

Prohibition. 

South Carolina.

3. The consent of Congress shall be required for the full 

implementation of this compact. The provisions of Article 5 Section 

(D) shall not become effective until the effective date of the import 

ban authorized by Article 4, Section (L) as approved by Congress. 

Congress may by law withdraw its consent only every five years. 

E. No state which holds membership in any other regional compact 

for the management of low-level radioactive waste may be considered by 

the Compact Commission for eligible state status or party state status. 

F. Any party state which fails to comply with the provisions of this 

compact or to fulfill the obligations incurred by becoming a party state to 

this compact may be subject to sanctions by the Commission, including 

suspension of its rights under this compact and revocation of its status as 

a party state. Any sanction shall be imposed only upon the affirmative 

vote of at least two-thirds of the Commission members. Revocation of 

party statestatus may take effect on the date of the meeting at which the 

Commission approves the resolution imposing such sanction, but in no 

event shall revocation take effect later than ninety days from the date of 

such meeting. Rights and obligations incurred by being declared a party 

state to this compact shall continue until the effective date of the sanction 

imposed or as provided in the resolution of the Commission imposing the 

sanction. 

The Commission must, as soon as practicable after the meeting at 

which a resolution revoking status as a party state is approved, provide 

written notice of the action, along with a copy of the resolution, to the 

Governors, the Presidents of the Senates, and the Speakers of the Houses 

of Representatives of the party states, as well as chairmen of the 

appropriate committees of Congress. 

G. Subject to the provisions of Article 7 section H., any party state 

may withdraw from the compact by enacting a law repealing the compact, 

provided that if a regional facility is located within such state, such 

regional facility shall remain available to the region for four years after 

the date the Commission receives verification in writing from the 

Governor of such party state of the rescission of the Compact. The 

Commission, upon receipt of the verification, shall as soon as practicable 

provide copies of such verification to the Governor, the presidents of the 

Senates, and the Speakers of the Houses of Representatives of the party 

states as well as the chairmen of the appropriate committees of the 

Congress.3 

H. The right of a party state to withdraw pursuant to section G. shall 

terminate thirty days following the commencement of operation of the 

second host state disposal facility. Thereafter a party state may withdraw 

only with the unanimous approval of the Commission and with the 

consent of Congress. For purposes of this section, the low-level 

radioactive waste disposal facility located in Barnwell County, South 

Carolina shall be considered the first host state disposal facility.4

3

P.L. 101-171 (103 Stat. 1290) November 22, 1989 added new language to section G. 4

P.L. 101-171 (103 Stat. 1290) November 22, 1989 added new language to section H.

8 -24
Regulation.

Provisions held 

invalid. 

42 USC 2021d 

note. 

Illinois. 

Kentucky.

42 USC 2021b 

note.

I. This compact may be terminated only by the affirmative action of 

the Congress or by rescission of all laws enacting the compact in each 

party state.5 

ARTICLE VIII-PENALTIES 

A. Each party state, consistently with its own law, shall prescribe and 

enforce penalties against any person not an official of another state for 

violation of any provisions of this compact. 

B. Each party state acknowledges that the receipt by a host state of 

waste packaged or transported in violation of applicable laws and 

regulations can result in the imposition of sanctions by the hose state 

which may include suspension or revocation of the violator's right of 

access to the facility in the host state. 

ARTICLE IX-SEVERABILITY AND CONSTRUCTION 

The provisions of this compact shall be severable and if any phrase, clause, sentence, or provision of this compact is declared by a court of 

competent jurisdiction to be contrary to the Constitution, of any participating state or of the United States, or the applicability thereof to 

any government, agency, person, or circumstance is held invalid, the 

validity of the remainder of this compact and the applicability thereof to 

any other government, agency, person, or circumstance shall not be 

affected thereby. If any provision of this compact shall be held contrary 

to the Constitution of any State participating therein, the compact shall 

remain in full force and effect as to the state affected as to all severable 

matters. The provisions of this compact shall be liberally construed to 

give effect to the purposes thereof. 

Sec. 224. CENTRAL MIDWEST INTERSTATE LOW-LEVEL 

RADIOACTIVE WASTE COMPACT. 

In accordance with section 4(a)(2) of the Low-Level Radioactive 

Waste Policy Act (42 USC 202ld(a)(2)), the consent of the Congress hereby is given to the States of Illinois and Kentucky to enter into the 

Central Midwest Interstate Low-Level Radioactive Waste Compact. Such 

compact is substantially as follows: 

CENTRAL MIDWEST INTERSTATE LOW-LEVEL 

RADIOACTIVE WASTE COMPACT 

ARTICLE I-POLICY AND PURPOSE 

There is created the Central Midwest Interstate Low-Level 

Radioactive Waste Compact. 

The states party to this compact recognize that the Congress of the 

United States, by enacting the Low-Level Radioactive Waste Policy Act 

(42 USC 2021), has provided for and encouraged the development of 

low-level radioactive waste compacts as a tool for managing such waste. 

The party states also recognize that the management of low-level 

radioactive waste is handled most efficiently on a regional basis; and, that 

the safe and efficient management of low-level radioactive waste

5

P.L. 101-171 (103 Stat. 1290) November 22, 1989 added new section I.

8-25
generated within the region requires that sufficient capacity to manage 

such waste be properly provided.' 

a) It is the policy of the party states to enter into a regional low-level 

radioactive waste management compact for the purpose of: 

1) providing the instrument and the framework for a cooperative 

effort; 

2) providing sufficient facilities for the proper management of 

low-level radioactive waste generated in the region; 

Health. 3) protecting the health and safety of the citizens of the region; 

Safety. 4) limiting the number of facilities required to manage low-level 

radioactive waste generated in the region effectively and efficiency; 

5) promoting the volume and source reduction of low-level 

radioactive waste generated in the region; 

6) distributing the costs, benefits and obligations of successful 

low-level radioactive waste management equitably among the party 

states and among generators and other persons who use regional 

facilities to manage their waste; 

7) ensuring the ecological and economical management of 

low-level radioactive waste, including the prohibition of shallow-land 

burial of waste; and 

8) promoting the use of above-ground facilities and other disposal 

technologies providing greater and safer confinement of low-level 

radioactive waste than shallow-land burial facilities. 

Regulations. b) Implicit in the Congressional consent to this compact is the 

expectation by the Congress and the party states that the appropriate 

federal agencies will actively assist the Compact Commission and the 

individual party states to this compact by: 

1) expeditious enforcement of federal rules, regulations and laws; 

2) imposition of sanctions against those found to be in violation of 

federal rules, regulations and laws; and 

3) timely inspection of their licensees to determine their 

compliance with these rules, regulations and laws. 

ARTICLE II-DEFINITIONS 

As used in this compact, unless the context clearly requires a different 

construction: 

a) "Commission" means the Central Midwest Interstate Low-Level 

Radioactive Waste Commission. 

b) "Decommissioning" means the measures taken at the end of a 

facility's operating life to assure the continued protection of the public 

from any residual radioactivity or other potential hazards present at a 

facility. 

c) "Disposal" means the isolation of waste from the biosphere in a 

permanent facility designed for that purpose. 

d) "Eligible" state means either the State of Illinois or the 

Commonwealth of Kentucky. 

e) "Extended care" means the continued observation of a facility after 

closure for the purpose of detecting a need for maintenance, ensuring 

environmental safety, and determining compliance with applicable 

licensure and regulatory requirements and includes undertaking any action 

'P.L. 103-439 (108 Stat. 4607) Nov. 2, 1994

8-26
or clean-up necessary to protect public health and the environment from 

radioactive releases from a regional facility. 

f) "Facility" means a parcel of land or site, together with the 

structures, equipment and improvements on or appurtenant to the land or 

site, which is used or is being developed for the treatment, storage or 

disposal of low-level radioactive waste. 

g) "Generator" means a person who produces or possesses low-level 

radioactive waste in the course of or incident to manufacturing, power 

generation, processing medical diagnosis and treatment, research, or other 

industrial or commercial activity and who, to the extent required by law, is 

licensed by the U. S. Nuclear Regulatory Commission or a party state, to 

produce or possess such waste. 

h) "Host state" means any party state that is designated by the 

Commission to host a regional facility, provided that a party state with a 

total volume of waste recorded on low-level radioactive waste manifests 

for any year that is less than 10 percent of the total volume recorded on 

such manifests for the region during the same year shall not be designated 

a host state. 

i) "Institutional control" means those activities carried out by the host 

state to physically control access to the disposal site following transfer of 

control of the disposal site from the disposal site operator to the state or 

federal government. These activities must include, but need not be limited 

to, environmental monitoring, periodic surveillance, minor custodial care, 

and other necessary activities at the site as determined by the host state, 

and administration of funds to cover the costs for these activities. The 

period of institutional control will be determined by the host state, but 

institutional control may not be relied upon for more than 100 years following transfer of control of the disposal site to the state or federal 

government. 

j) "Long-term liability" means the financial obligation to compensate 

any person for medical and other expenses incurred from damages to 

human health, personal injuries suffered from damages to human health 

and damages or losses to real or personal property, and to provide for the 

costs for accomplishing any necessary corrective action or clean-up on 

real or personal property caused by radioactive releases from a regional 

facility. 

k) "Low-level radioactive waste" or "waste" means radioactive waste 

not classified as (1) high-level radioactive waste, (2) transuranic waste, 

(3) spent nuclear fuel, or (4) by-product material as defined in 

Section 1 le.(2) of the Atomic Energy Act of 1954. This definition shall 

apply notwithstanding any declaration by the federal government, a state 

or any regulatory agency that any radioactive material is exempt from any 

regulatory control. 

1) "Management plan" means the plan adopted by the Commission 

for the storage, transportation, treatment and disposal of waste within 

the region. 

m) "Manifest" means a shipping document identifying the generator 

of waste, the volume of waste, the quantity of radionuclides in the 

shipment, and such other information as may be required by the 

appropriate regulatory agency.

7

Public Law 103-439 (108 Stat. 4608), November 2, 1994, amended section k.

8 -27

42 USC 2014.
n) "Party state" means any eligible state which enacts the compact into 

law and pays the membership fee. 

o) "Person" means any individual, corporation, business enterprise or 

other legal entity, either public or private, and any legal successor, 

representative, agent or agency of that individual, corporation, business 

enterprise, or legal entity. 

p) "Region" means the geographical area of the party states. 

q) "Regional facility" means any facility as defined in Article II(f) that 

is (1) located within the region, and (2) established by a party state 

pursuant to designation of that state as a host state by the Commission. 8 

r) "Shallow-land burial" means a land disposal facility in which 

radioactive waste is disposed of in or within the upper 30 meters of the 

earth's surface; however, this definition shall not include an enclosed, 

engineered, strongly structurally enforced and solidified bunker that 

extends below the earth's surface. 

s) "Site" means the geographic location of a facility. 

t) "Source reduction" means those administrative practices that reduce 

the radionuclide levels in low-level radioactive waste or that prevent the 

generation of additional low-level radioactive waste. 

u) "State" means a state of the United States, the District of Columbia, 

the Commonwealth of Puerto Rico, the Virgin Islands or any other 

territorial possession of the United States. 

v) "Storage" means the temporary holding of waste for treatment or 

disposal. 

w) "Treatment" means any method, technique or process, including 

storage for radioactive decay, designed to change the physical, chemical 

or biological characteristics or composition of any waste in order to 

render the waste safer for transport or management, amenable to recovery, 

convertible to another usable material or reduced in volume. 

x) "Volume reduction" means 'those methods including, but not 

limited to, biological, chemical, mechanical and thermal methods used to 

reduce the amount of space that waste materials occupy and to put them 

into a form suitable for storage or disposal. 

y) "Waste management" means the source and volume reduction, 

storage, transportation, treatment or disposal of waste. 

ARTICLE IH-THE COMMISSION 

Central Midwest a) There is created the Central Midwest Interstate Low-Level 

Interstate Low- Radioactive Waste Commission. Upon the eligible states becoming party 

Level Radioactive states, the Commission shall consist of two voting Commissioners from 

Waste Commission each state eligible to be designated a host state under Article VI(b), one 

establishment, voting Commissioner from any other party state, and for each regional 

facility, one non-voting Commissioner who is an elected official of local 

government and a resident of the county where that regional facility is 

'Public Law 103-439 (108 Stat. 4608), November 2, 1994, amended section q.

8 -28
Public information. 

Public inspection. 

Records. 

Contracts. 

Prohibitions.

located. The Governor of each party state shall notify the Commission in 

writing of its Commissioners and any alternates.' 

b) Each voting Commissioner is entitled to one vote. No action of the 

Commission is binding unless a majority of the voting membership casts 

its vote in the affirmative. In addition, no agreement by the Commission 

under Article III(i)(1), Article III(i)(2), or Article III(i)(3) is valid unless 

all voting Commissioners from the party state in which the facility where 

waste would be sent cast their votes in the affirmative.'" 

c) The Commission shall elect annually from among its members a 

chairperson. The Commission shall adopt and publish, in convenient 

form, by-laws and policies that are not inconsistent with this compact, including procedures that conform with the provisions of the Federal 

Administrative Procedure Act (5 USC ss. 500 to 559) to the greatest 

extent practicable in regard to notice, conduct and recording of meetings; 

access by the public to records; provision of information to the public; 

conduct of adjudicatory hearings; and issuance of decisions. 

d) The Commission shall meet at least once annually and shall also 

meet upon the call of any voting Commissioner." 

e) All meetings of the Commission and its designated committees shall 

be open to the public with reasonable advance notice. The Commission 

may, by majority vote, close a meeting to the public for the purpose of 

considering sensitive personnel or legal strategy matters. However, all 

Commission actions and decisions shall be made in open meetings and 

appropriately recorded. A roll call may be required upon request of any 

voting Commissioner. 2 

f) The Commission may establish advisory committees for the purpose 

of advising the Commission on any matters pertaining to waste 

management, waste generation and source and volume reduction. 

g) The Office of the Commission shall be in Illinois. The Commission 

may appoint or contract for and compensate such staff necessary to carry 

out its duties and functions. The staff shall serve at the Commission's 

pleasure with the exception that staff hired as the result of securing 

federal funds shall be hired and governed under applicable federal statutes 

and regulations. In selecting any staff, the Commission shall assure that 

the staff has adequate experience and formal training to carry out the 

functions assigned to it by the Commission.'3 

h) All files, records and data of the Commission shall be open to 

reasonable public inspection and may be copied upon payment of 

reasonable fees to be established where appropriate by the Commission, 

except for information privileged against introduction in judicial proceedings. Such fees may be waived or shall be reduced substantially 

for not-for-profit organizations. 

i) The Commission may: 

1) Enter into an agreement with any person to allow waste from 

outside the region to be disposed of at facilities in the region. 

However, no such agreement shall be effective unless and until 

ratified by a law enacted by the party state to which the waste would 

be sent for disposal.

9

Public Law 103-439 (108 Stat. 4608), November 2, 1994, amended section a. "

0

Public Law 103-439 (108 Stat. 4608), November 2, 1994, amended section b. 

"Public Law 103-439 (108 Stat. 4608), November 2, 1994, amended section d. 

'

2

Public Law 103-439 (108 Stat. 4608), November 2, 1994, amended section e. "

3

Public Law 103-439 (108 Stat. 4608), November 2, 1994, amended section g.

8-29
2) Enter into an agreement with any person to allow waste 

described in Article VII(a)(6) to be treated, stored, or disposed of at 

regional facilities. However, no such agreement shall be effective 

unless and until ratified by a law enacted by the host state of the 

regional facility to which the waste would be sent for treatment, 

storage, or disposal. 

3) Enter into an agreement with any person to allow waste from 

outside the region to be treated or stored at facilities in the region. 

Reports. However, any such agreement shall be revoked as a matter of law if, 

within one year of the effective date of the agreement, a law is enacted 

ordering such revocation by the party state to which the waste would 

be sent for treatment or storage. 

Prohibition. 4) Approve, or enter into an agreement with any person for, the 

export of waste from the region. 

5) Approve the disposal of waste generated within the region at a 

facility in the region other than a regional facility, subject to the 

limitations of Articles V(f) and VII(a)(6). 

6) Require that waste generated within the region be treated or 

stored at available regional facilities, subject to the limitations of 

Articles V(f), VII(a)(3) and VII(a)(6). 

7) Appear as an intervenor or party in interest before any court of 

law or any federal, state or local agency, board or commission in any 

matter related to waste management. In order to represent its views, 

the Commission may arrange for any expert testimony, reports, 

evidence or other participation. 

8) Review the emergency closure of a regional facility, determine 

the appropriateness of that closure, and take whatever actions are 

necessary to ensure that the interests of the region are protected, 

provided that a party state with a total volume of waste recorded on 

low-level radioactive waste manifests for any year that is less than 10 

percent of the total volume recorded on such manifests for the region 

during the same year shall not be designated a host state or be required 

to store the region's waste. In determining the 10 percent exclusion, 

there shall not be included waste recorded on low-level radioactive 

waste manifests by a person whose principal business is providing a 

service by arranging for the collection, transportation, treatment, 

storage or disposal of such waste. 

9) Take any action which is appropriate and necessary to perform 

its duties and functions as provided in this compact. 

10) Suspend the privileges or revoke the membership of a party 

state. 4 

j) The Commission shall: 

Report. 1) Submit within 10 days of its execution to the governor and the 

appropriate officers of the legislative body of the party state in which 

any affected facility is located a copy of any agreement entered into by 

the Commission under Article III(i)(1), Article III(i)(2) or Article 

III(i)(3). 

2) Submit an annual report to, and otherwise communicate with, 

the governors and the appropriate officers of the legislative bodies of 

the party states regarding the activities of the Commission. The 

annual report shall include a description of the status of the activities 

"

14

Public Law 103-439 (108 Stat. 4609), November 2, 1994, amended section i.

8-30
taken pursuant to any agreement entered into by the Commission 

under Article I1(i)(1), Article I1(i)(2) or Article III(i)(3) and any violation of any provision thereof, and a description of the source, 

volume, activity, and current status of any waste from outside the 

region or waste described under Article VII(a)(6) that was treated, 

stored, or disposed of in the region in the previous year. 

3) Hear, negotiate, and, as necessary, resolve by final decision 

disputes which may arise between the party states regarding this 

compact. 

4) Adopt and amend, as appropriate, a regional management plan 

that plans for the establishment of needed regional facilities. 

5) Adopt an annual budget."5 

k) Funding of the budget of the Commission shall be provided as 

follows: 

1) Each state, upon becoming a party state, shall pay $50,000 to 

the Commission which shall be used for the administrative costs of the 

Commission. 

2) Each state hosting a regional facility shall levy surcharges on 

each user of the regional facility based upon its portion of the total 

volume and characteristics of wastes managed at that facility. The 

surcharges collected at all regional facilities shall: 

A) be sufficient to cover the annual budget of the Commission; and 

B) be paid to the Commission, provided, however, that each host state 

collecting surcharges may retain a portion of the collection sufficient to 

cover its administrative costs of collection. 

Audit. 1) The Commission shall keep accurate accounts of all receipts and 

Contracts. disbursements. The Commission shall contract with an independent 

Reports. certified public accountant to annually audit all receipts and 

disbursements of Commission funds and to submit an audit report to the 

Commission. The audit report shall be made a part of the annual report of 

the Commission required by this Article. 

Grants. m) The Commission may accept for any of its purposes and functions 

Report. and may utilize and dispose of any donations, grants of money, 

equipment, supplies, materials and services from any state or the United 

States (or any subdivision or agency thereof), or interstate agency, or from 

any institution, person, firm or corporation. The nature, amount and 

condition, if any, attendant upon any donation or grant accepted or 

received by the Commission together with the identity of the donor, 

grantor, or lender, shall be detailed in the annual report of the 

Commission. The Commission shall establish guidelines for the 

acceptance of donations, grants, equipment, supplies, materials and 

services and shall review such guidelines annually. 

n) The Commission is not liable for any costs associated with any of 

the following: 

1) the licensing and construction of any facility; 

2) the operation of any facility; 

3) the stabilization and closure of any facility; 

4) the extended care of any facility; 

5) the institutional control, after extended care of any facility; or 

6) the transportation of waste to any facility. 

"

5

Public Law 103-439 (108 Stat. 4609), November 2, 1994, amended section j.

8-31
Transportation.

Health. 

Safety.

o) The Commission is a legal entity separate and distinct from the 

party states and is liable for its actions as a separate and distinct legal 

entity. Commissioners are not personally liable for actions taken by them 

in their official capacity.16 

p) Except as provided under Article I1(n), Article III(o), Article VI(p) 

and Article VI(q), nothing in this compact alters liability for any action, 

omission, course of conduct or liability resulting from any causal or other 

relationships. 7 

q) Any person aggrieved by a final decision of the Commission, which 

adversely affects the legal rights, duties or privileges of such person, may 

petition a court of competent jurisdiction, within 60 days after the 

Commission's final decision, to obtain judicial review of said final 

decision. 

ARTICLE IV-REGIONAL MANAGEMENT PLAN 

"The Commission shall adopt a regional management plan designed to 

ensure the safe and efficient management of waste generated within the 

region. In adopting a regional waste management plan the Commission 

shall: 

a) Adopt procedures for determining, consistent with considerations of 

public health and safety, the type and number of regional facilities which 

are presently necessary and which are projected to be necessary to 

manage waste generated within the region. 

b) Develop and adopt policies promoting source and volume reduction 

of waste generated within the region. 

c) Develop alternative means for the treatment, storage and disposal of 

waste, other than shallow-land burial or underground injection well. 

d) Prepare a draft regional management plan that shall be made 

available in a convenient form to the public for comment. The 

Commission shall conduct one or more public hearings in each party state 

prior to the adoption of the regional management plan. The regional 

management plan shall include the Commission's response to public and 

party state comment.

ARTICLE V-RIGHTS AND OBLIGATIONS OF PARTY STATES 

a) Each party state shall act in good faith in the performance of acts 

and courses of conduct which are intended to ensure the provision of 

facilities for regional availability and usage in a manner consistent with 

this compact. 

b) Other than the provisions of Article V(f) and VII(a)(6), each party 

state has the right to have all wastes generated within borders managed at 

regional facilities. This right shall be subject to the provisions of this 

Compact. All party states have an equal right of access to any facility 

"

6

Public Law 103-439 (108 Stat. 4610), November 2, 1994, changed after the first sentence "Members of 

the Commission" to "Commissioners." "

7

Public Law 103-439 (108 Stat. 4610), November 2, 1994, amended section p.

8-32
Exports. 

Contracts. 

Prohibition. 

Regulations. 

Transportation. 

Kentucky. 

Prohibition. 

Prohibition.

outside the region made available to the region by any agreement entered 

into by the Commission pursuant to Article III(i)(4).. 

c) Party states or generators may negotiate for the right of access to a 

facility outside the region and may export waste outside the region subject 

to Commission approval under Article flI(i)(4). 9 

d) To the extent permitted by federal law, each party state may enforce 

any applicable federal and state laws, regulations and rules pertaining to 

the packaging and transportation of waste generated within or passing through its borders. Nothing in this Section shall be construed to require a 

party state to enter into any agreement with the U. S. Nuclear Regulatory 

Commission. 

e) Each party state shall provide to the Commission any data and 

information the Commission requires to implement its responsibilities. 

Each party state shall establish the capability to obtain any data and 

information required by the Commission. 

f) Waste originating from the Maxey Flats nuclear waste disposal site 

in Fleming County, Kentucky shall not be shipped to any facility in 

Illinois for storage, treatment or disposal. Disposition of these wastes 

shall be the sole responsibility of the Commonwealth of Kentucky and 

such waste shall not be subject to the provisions of Articles IX(b)(3) and 

(4) of this compact."0 

ARTICLE VI-DEVELOPMENT AND OPERATION OF 

FACILITIES 

a) Any party state may volunteer to become a host state, and the 

Commission may designate that state as a host state. 

b) If all regional facilities required by the regional management plan 

are not developed pursuant to Article VI(a), or upon notification that an 

existing regional facility will be closed, the Commission may designate a 

party state as a host state. A party state shall not be designated as a host 

state for any regional facility under this Article VI(b) unless that state's 

total volume of waste recorded on low-level radioactive waste manifests 

for any year is more than 10% of the total volume recorded on such 

manifests for the region during the same year. In determining the 10% 

exclusion, there shall not be included waste recorded on low-level 

radioactive waste manifests by a person whose principal business is 

providing a service by arranging for the collection, transportation, 

treatment, storage or disposal of such waste, or waste described in Article 

VII(a)(6). 

c) Each party state designated as host state is responsible for 

determining possible facility locations within its borders. The selection of 

a facility site shall not conflict with applicable federal and host state laws, 

regulations and rules not inconsistent with this compact and shall be

"

8

Public Law 103-439 (108 Stat. 4610), November 2, 1994, amended section b. "

9

Public Law 103-439 (108 Stat. 4610), November 2, 1994, amended section c. "

20

Public Law 103-439 (108 Stat. 4610), November 2, 1994, amended section f. "

21

Public Law 103-439 (108 Stat. 4610), November 2, 1994, amended section b.

8-33
based on factors including, but not limited to, geological, environmental, 

engineering and economic viability of possible facility locations.2

" 

d) Any party state designated as a host state may request the 

Commission to relieve that state of the responsibility to serve as a host 

state. The Commission may relieve a party state of this responsibility 

upon a showing by the requesting party state that no feasible potential 

regional facility site of the type it is designated to host exists within its 

borders or for other good cause shown and consistent with the purposes 

of this Compact.23 

e) After a state is designated a host state by the Commission, it is 

responsible for the timely development and operation of a regional 

facility.2 4 

f) To the extent permitted by federal and state law, a host state shall 

regulate and license any facility within its borders and ensure the 

extended care of that facility.2 

g) The Commission may designate a party state as a host state while a 

regional facility is in operation if the Commission determines that an 

additional regional facility is or may be required to meet the needs of the 

26 region. 

h) Designation of a host state is for a period of 20 years or the life of 

the regional facility which is established under that designation, 

whichever is shorter. Upon request of a host state, the Commission may 

modify the period of its designation.27 

i) A host state may establish a fee system for any regional facility 

within its borders. The fee system shall be reasonable and equitable. This 

fee system shall provide the host state with sufficient revenue to cover 

any costs including, but not limited to, the planning, siting, licensing, 

operation, pre-closure corrective action or clean-up, monitoring, 

inspection, decommissioning, extended care and long-term liability, 

associated with such facilities. This fee system may provide for payment 

to units of local government affected by a regional facility for costs 

incurred in connection with such facility. This fee system may also 

include reasonable revenue beyond the costs incurred for the host state, 

subject to approval by the Commission. The fee system shall include 

incentives for source or volume reduction and may be based on the hazard 

of the waste. A host state shall submit an annual financial audit of the 

operation of the regional facility to the Commission.2t 

j) A host state shall ensure that a regional facility located within its 

borders which is permanently closed is properly decommissioned. A host 

state shall also provide for the extended care of a closed or 

decommissioned regional facility within its borders so that the public 

health and safety of the state and region are ensured, unless, pursuant to 

the federal Nuclear Waste Policy Act of 1982, the federal government has 

assumed title and custody of the regional facility and the federal

"

2Public Law 103-439 (108 Stat. 4611), November 2, 1994, repealed section c and renumbered section d to 

section c. 

'Public Law 103-439 (108 Stat. 4611), November 2, 1994, amended and renumbered section "e" to 

section "d." 24

Public Law 103-439 (108 Stat. 4612), November 2, 1994, renumbered section f to e. 

•Public Law 103-439 (108 Stat. 4612), November 2, 1994, renumbered section g to f. 

26Public Law 103-439 (108 Stat. 4612), November 2, 1994, renumbered section h to g. 

"

27

Public Law 103-439 (108 Stat. 4612), November 2, 1994, renumbered section i to h. 28

Public Law 103-439 (108 Stat. 4612), November 2, 1994, renumbered section j to i.

8 -34

42 USC 10101 

note. 

Health. 

Safety.
Environmental 

protection. 

Health. 

Prohibition. 

Safety. 

Prohibition. 

Transportation. 

Environmental. 

Health. 

Protection. 

Contracts. 

Gifts and property. 

Health. 

Insurance. 

Real property.

government thereby has assumed responsibility to provide for the 

extended care of such facility.29 

k) A host state intending to close a regional facility located within its 

borders shall notify the Commission in writing of its intention and the 

reasons. Notification shall be given to the Commission at least five years 

prior to the intended date of closure. This Section shall not prevent an 

emergency closing of a regional facility by a host state to protect its air, 

land and water resources and the health and safety of its citizens. 

However, a host state which has an emergency closing of a regional 

facility shall notify the Commission in writing within 3 working days of 

its action and shall, within 30 working days of its action, demonstrate 

justification for the closing.3" 

1) If a regional facility closes before an additional or new facility 

becomes operational, waste generated within the region may be shipped temporarily to any location agreed on by the Commission until a regional 

facility is operational, provided that the region's waste shall not be stored 

in a party state with a total volume of waste recorded on low-level 

radioactive waste manifests for any year which is less than 10% of the 

total volume recorded on the manifests for the region during the same 

year. In determining the 10% exclusion, there shall not be included waste 

recorded on low-level radioactive waste manifests by a person whose 

principal business is providing a service by arranging for the collection, 

transportation, treatment, storage or disposal of such waste, or waste 

described in Article VII(a)(6).3 

m) A party state which is designated as a host state by the Commission 

and fails to fulfill its obligations as a host state may have its privileges 

under the compact suspended or membership in the compact revoked by 

the Commission.32 

n) The host state shall create an "Extended Care and Long-Term 

Liability Fund" and shall allocate sufficient fee revenues, received 

pursuant to Article VI(i), to provide for the costs of: 

1) decommissioning and other procedures required for the proper 

closure of a regional facility; 

2) monitoring, inspection and other procedures required for the 

proper extended care of a regional facility; 

3) undertaking any corrective action or clean-up necessary to 

protect human health and the environment from radioactive releases 

from a regional facility; and 

4) compensating any person for medical and other expenses incurred from damages to human health, personal injuries suffered 

from damages to human health and damages or losses to real or 

personal property, and accomplishing any necessary corrective action 

or clean-up on real or personal property caused by radioactive releases 

from a regional facility; the host state may allocate monies in this 

Fund in amounts as it deems appropriate to purchase insurance or to 

make other similar financial protection arrangements consistent with 

the purposes of this Fund; this Article VI(n) shall in no manner limit

"

29

Public Law 103-439 (108 Stat. 4612), November 2, 1994, renumbered section k toj. 3°Public Law 103-439 (108 Stat. 4611), November 2, 1994, amended section I and renumbered it to 

become section k. "

3 1

Public Law 103-439 (108 Stat. 4611), November 2, 1994, amended section m and renumbered it to 

become section 1. "

32

Public Law 103-439 (108 Stat. 4612), November 2, 1994, renumbered section n to m.

8 - 35
Health. 

Real property 

Insurance. 

Contracts. 

Prohibition. 

Prohibitions.

"

3

Public Law 103-439 (108 Stat. 4611), November 2, 1994, amended section "o" and renumbered it to 

become section n. 34

Public Law 103-439 (108 Stat. 4612, November 2, 1994, amended section p and renumbered it to 

become section o. 

"

53

Public Law 103-439 (108 Stat. 4612), November 2, 1994, amended section q and renumbered it to 

become section p. 

"

36

Public Law 103-439 (108 Stat. 4612), November 2, 1994, added a new section q.

8-36

the financial responsibilities of the site operator under Article VI(o), 

the party states under Article VI(p), or any person who sends waste to 

a regional facility, under Article VI(q).33 

o) The operator of a regional facility shall purchase an amount of 

property and third-party liability insurance deemed appropriate by the host 

state, pay the necessary periodic premiums at all times and make periodic 

payments to the Extended Care and Long-Term Liability Fund as set forth 

in Article VI(n) for such amounts as the host state reasonably determines 

is necessary to provide for future premiums to continue such insurance 

coverage, in order to pay the costs of compensating any person for 

medical and other expenses incurred from damages to human health, 

personal injuries suffered from damages to human health and damages or 

losses to real or personal property, and accomplishing any necessary 

corrective action or clean-up on real or personal property caused by 

radioactive releases from a regional facility. In the event of such costs 

resulting from radioactive releases from a regional facility, the host state 

should, to the maximum extent possible, seek to obtain monies from such 

insurance prior to using monies from the Extended Care and Long-Term 

Liability Fund.34 

p) All party states shall be liable for the cost of extended care and 

long-term liability in excess of monies available from the Extended Care 

and Long-Term Liability Fund, as set forth in Article VI(n) and from the 

property and third-party liability insurance as set forth in Article VI(o). A 

party state may meet such liability for costs by levying surcharges upon 

generators located in the party state. The extent of such liability shall be 

based on the proportionate share of the total volume of waste placed in 

the regional facility by generators located in each such party state. Such 

liability shall be joint and several among the party states with a right of 

contribution between the party states. However, this Section shall not 

apply to a party state with a total volume of waste recorded on low-level 

radioactive waste manifests for any year that is less than 10% of the total 

volume recorded on such manifests for the region during the same year." 

q) Any person who sends waste from outside the region or waste 

described in Article VII(a)(6) for treatment, storage or disposal at a 

regional facility shall be liable for the cost of extended care and long-term 

liability of that regional facility in excess of the monies available from the 

Extended Care and Long-Term Liability Fund as set forth in Article VI(n) 

and from the property and third-party liability insurance as set forth in 

Article VI(o). The extent of the liability for the person shall be based on 

the proportionate share of the total volume of waste sent by that person to 

the regional facility.36 

ARTICLE VIl-OTHER LAWS AND REGULATIONS 

a) Nothing in this compact:
Research and 

development. 

Taxes. 

Transportation. 

Contracts. 

Prohibition. 

Regulations. 

Prohibition. 

Illinois. 

Kentucky.

1) abrogates or limits the applicability of any act of Congress or 

diminishes or otherwise impairs the jurisdiction of any federal agency 

expressly conferred thereon by the Congress; 

2) prevents the enforcement of any other law of a party state which 

is not inconsistent with this compact; 

3) prohibits any storage or treatment of waste by the generator on 

its own premises; 

4) affects any administrative or judicial proceeding pending on the 

effective date of this compact; 

5) alters the relations between the respective internal responsibility 

of the government of a party state and its subdivisions; 

6) establishes any right to the treatment, storage or disposal at any 

facility in the region or provides any authority to prohibit export from 

the region of waste that is owned or generated by the United States 

Department of Energy, owned or generated by the United States Navy 

as a result of the decommissioning of vessels of the United States 

Navy, or owned or generated as the result of any research, 

development, testing or production of any atomic weapon; or.37 

7) affects the rights and powers of any party state or its political 

subdivisions, to the extent not inconsistent with this compact, to 

regulate and license any facility or the transportation of waste within 

its borders or affects the rights and powers of any state or its political 

subdivisions to tax or impose fees on the waste managed at any 

facility within its borders; 

8) requires a party state to enter into an agreement with the U. S. 

Nuclear Regulatory Commission; or 

9) alters or limits liability of transporters of waste and owners and 

operators of sites for their acts, omissions, conduct or relationships in 

accordance with applicable laws. 

b) For purposes of this compact, all state laws or parts of laws in 

conflict with this compact are hereby superseded to the extent of the 

conflict. 

c) No law, rule, regulation, fee or surcharge of a party state, or of any 

of its subdivisions or instrumentalities, may be applied in a manner which 

discriminates against the generators of another party state. 

d) No person who provides a service by arranging for collection, 

transportation, treatment, storage or disposal of waste from outside the 

region shall be allowed to dispose of any waste, regardless of origin, in 

the region unless specifically permitted under an agreement entered into 

by the Commission in accordance with the requirements of Article III(i)(1).31 

ARTICLE VIII-ELIGIBLE PARTIES, WITHDRAWAL, 

REVOCATION, ENTRY INTO FORCE, TERMINATION 

a) Eligible parties to this compact are the State of Illinois and 

Commonwealth of Kentucky. Eligibility terminates on April 15, 1985. 

b) An eligible state becomes a party state when the state enacts the 

compact into law and pays the membership fee required in Article 

11(k)(1).

"

73

Public Law 103-439 (108 Stat. 4613), November 2, 1994, amended section 6. "

83

Public Law 103-439 (108 Stat. 4613), November 2, 1994, amended section d.

8-37
c) The Commission is formed upon the appointment of the 

Commissioners and the tender of the membership fee payable to the 

Commission by the eligible states. The Governor of Illinois shall convene 

the initial meeting of the Commission. The Commission shall cause 

legislation to be introduced in the Congress which grants the consent of 

the Congress to this compact, and shall take action necessary to organize 

the Commission and implement the provisions of this compact.' 

d) Other than the special circumstances for withdrawal in Section (f) 

of this Article, either party state may withdraw from this compact at any 

time by repealing the authorizing legislation, but no withdrawal may take 

effect until 5 years after the governor of the withdrawing state gives 

notice in writing of the withdrawal to the Commission and to the governor 

of the other state. Withdrawal does not affect any liability already 

incurred by or chargeable to a party state prior to the time of such 

withdrawal. Any host state which grants a disposal permit for waste 

generated in a withdrawing state shall void the permit when the 

withdrawal of that state is effective. 

Effective date. e) This compact becomes effective July 1, 1984, or at any date 

subsequent to July 1, 1984, upon enactment by the eligible states. 

However, Article IX(b) shall not take effect until the Congress has by law 

consented to this compact. The Congress shall have an opportunity to 

withdraw such consent every 5 years. Failure of the Congress 

affirmatively to withdraw its consent has the effect of renewing consent 

Exports. for an additional 5 year period. The consent given to this compact by the 

Prohibition. Congress shall extend to the power of the region to ban the shipment of 

waste into the region pursuant to Article III(i)(1) and to prohibit 

exportation of waste generated within the region under Article III(i)(4).' 

f) A state which has been designated a host state may withdraw from 

the compact. The option to withdraw must be exercised within 90 days of 

the date the governor of the designated state receives written notice of the 

Effective date. designation. Withdrawal becomes effective immediately after notice is 

given in the following manner. The governor of the withdrawing state 

shall give notice in writing to the Commission and to the governor of each 

party state. A state which withdraws from the compact under this Section 

forfeits any funds already paid pursuant to this compact. A designated 

host state which withdraws from the compact after 90 days and prior to 

fulfilling its obligations shall be assessed a sum the Commission 

determines to be necessary to cover the costs borne by the Commission 

and remaining party states as a result of that withdrawal. 

ARTICLE IX-PENALTIES 

a) Each party state shall prescribe and enforce penalties against any 

person who is not an official of another state for violation of any 

provision of this compact. 

b) Unless authorized by the Commission pursuant to Article III(i), or 

otherwise provided in this Compact, after January 1, 1986 it is a violation 

of this Compact: 

1) for any person to deposit at a facility in the region waste from 

outside the region; 

"

39

Public Law 103-439 (108 Stat. 4613), November 2, 1994, amended section c. 4

'Public Law 103-439 (108 Stat. 4613), November 2, 1994, amended section e.

8-38
Regulation.

Provisions held 

invalid. 

42 USC 2021d 

note. 

Iowa. 

Indiana. 

Michigan. 

Minnesota. 

Missouri. 

Ohio. 

Wisconsin.

2) for any facility in the region to accept waste from outside the 

region; 

3) for any person to export from the region waste that is generated 

within the region; 

4) for any person to dispose of waste at a facility other than a 

regional facility; 

5) for any person to deposit at a regional facility waste described 

in Article VII(a)(6); or 

6) for any regional facility to accept waste described in Article 

VII(a)(6).4 

c) It is a violation of this compact for any person to treat or store 

waste at a facility other than a regional facility if such treatment or storage is prohibited by the Commission under Article III(i)(6).42 

(d) Each party state acknowledges that the receipt by a host state of 

waste packaged or transported in violation of applicable laws, rules or 

regulations may result in the imposition of sanctions by the host state 

which may include suspension or revocation of the violator's right of 

access to the facility in the host state. 

e) Each party state has the right to seek legal recourse against any 

party state which acts in violation of this compact. 

ARTICLE X-SEVERABILITY AND CONSTRUCTION 

The provisions of this compact shall be severable and if any phrase, clause, sentence or provision of this compact is declared by a court of 

competent jurisdiction to be contrary to the Constitution of any participating state or the United States, or if the applicability thereof to 

any government, agency, person or circumstance is held invalid, the 

validity of the remainder of this compact and the applicability thereof to 

any government, agency, person or circumstance shall not be affected 

thereby. If any provision of this compact shall be held contrary to the 

Constitution of any state participating therein, the compact shall remain in 

full force and effect as to the state affected as to all severable matters. 

Sec. 225. MIDWEST INTERSTATE LOW-LEVEL RADIO 

ACTIVE WASTE MANAGEMENT COMPACT. 

The consent of Congress is hereby given to the States of Iowa, 

Indiana, Michigan, Minnesota, Missouri, Ohio, and Wisconsin to enter 

into the Midwest Interstate Compact on Low-Level Radioactive Waste 

Management. Such compact is as follows: 

MIDWEST INTERSTATE LOW-LEVEL RADIO ACTIVE 

WASTE MANAGEMENT COMPACT 

ARTICLE I-POLICY AND PURPOSE

There is created the Midwest Interstate Low-Level Radioactive Waste 

Compact. Research and The states party to this compact recognize that the Congress of the 

development. United States, by enacting the Low-Level Radioactive Waste Policy Act 

(42 USC 2021b to 2021d), has provided for and encouraged the 41

42

Public Law 103-439 (108 Stat. 4613), November 2, 1994, amended section b. Public Law 103-439 (108 Stat. 4614), November 2, 1994, added new section c, and redesignated the old 

sections c and d as sections d and e, respectively. 

8-39
development of low-level radioactive waste compacts as a tool for 

managing such waste. The party states acknowledge that the Congress has declared that each state is responsible for providing for the 

availability of capacity either within or outside the state for the disposal of 

low-level radioactive waste generated within its borders, except for waste 

generated as a result of certain defense activities of the federal 

government or federal research and development activities. The party 

states also recognize that the management of low-level radioactive waste 

is handled most efficiently on a regional basis; and, that the safe and 

efficient management of low-level radioactive waste generated within the 

region requires that sufficient capacity to manage such waste be properly 

provided. 

a. It is the policy of the party states to enter into a regional low-level 

radioactive waste management compact for the purpose of: 

1. Providing the instrument and framework for a cooperative 

effort; 

2. Providing sufficient facilities for the proper management of 

low-level radioactive waste generated in the region; Health. 3. Protecting the health and safety of the citizens of the region; Safety. 4. Limiting the number of facilities required to effectively and 

efficiently manage low-level radioactive waste generated in the region; 

5. Encouraging the reduction of the amounts of low-level 

radioactive waste generated in the region; 

6. Distributing the costs, benefits and obligations of successful 

low-level radioactive waste management equitably among the party 

states, and among generators and other persons who use regional 

facilities to manage their waste; and 

7. Ensuring the ecological and economical management of 

low-level radioactive wastes. 

Regulations. b. Implicit in the Congressional consent to this compact is the 

expectation by the Congress and the party states that the appropriate 

federal agencies will actively assist the Compact Commission and the 

individual party states to this compact by: 

1. Expeditious enforcement of federal rules, regulations and laws; 2. Imposition of sanctions against those found to be in violation of 

federal rules, regulations and laws; and 

3. Timely inspection of their licensees to determine their 

compliance with these rules, regulations and laws. 

ARTICLE II-DEFINITIONS 

As used in this compact, unless the context clearly requires a different 

construction: 

a. "Care" means the continued observation of a facility after closure 

for the purposes of detecting a need for maintenance, ensuring 

environmental safety, and determining compliance with applicable licensing and regulatory requirements and including the correction of 

problems which are detected as a result of that observation. 

b. "Commission" means the Midwest Interstate Low-Level 

Radioactive Waste Commission. 

c. "Decommissioning" means the measures taken at the end of a 

facility's operating life to assure the continued protection of the public

8-40
from any residual radioactivity or other potential hazards present at a 

facility. 

d. "Disposal" means the isolation of waste from the biosphere in a 

permanent facility designed for that purpose. 

e. "Eligible state" means a state qualified to be a party state to this 

compact as provided in Article VIII. 

f. "Facility" means a parcel of land or site, together with the 

structures, equipment and improvements on or appurtenant to the land or 

site, which issued or is being developed for the treatment, storage or 

disposal of low-level radioactive waste. 

g. "Generator" means any person who produces or possesses 

low-level radioactive waste in the course of or incident to manufacturing, 

power generation, processing, medical diagnosis and treatment, research, 

or other industrial or commercial activity and who, to the extent required 

by law, is licensed by the U. S. Nuclear Regulatory Commission or a 

party state, to produce or possess such waste. Generator does not include 

a person who provides a service by arranging for the collection, 

transportation, treatment, storage or disposal of wastes generated outside 

the region. 

h. "Host state" means any state which is designated by the 

Commission to host a regional facility. 

i. "Low-Level radioactive waste" or "waste" means radioactive waste 

not classified as high-level radioactive waste, transuranic waste, spent 

nuclear fuel or by-product material as defined in Section 11 (e)(2) of the 

Atomic Energy Act of 1954 (42 USC 2014). 

j. "Management plan" means the plan adopted by the Commission for 

the storage, transportation, treatment and disposal of waste within the 

region. 

k. "Party state" means any eligible state which enacts the compact 

into law. 

1. "Person" means any individual, corporation, business enterprise or 

other legal entity either public or private and any legal successor, 

representative, agent or agency of that individual, corporation, business 

enterprise or legal entity. 

m. "Region" means the area of the party states. 

n. "Regional facility" means a facility which is located within the 

region and which is established by a party state pursuant to designation of 

that state as a host state by the Commission. 

o. "Site" means the geographic location of a facility. 

p. "State" means a state of the United States, the District of 

Columbia, the commonwealth of Puerto Rico, the Virgin Islands, or any 

other territorial possession of the United States. 

q. "Storage" means the temporary holding of waste for treatment or 

disposal. 

r. "Treatment" means any method, technique or process, including 

storage for radioactive decay, designed to change the physical, chemical 

or biological characteristics or composition of any waste in order to 

render the waste safer for transport or management, amenable to recovery, 

convertible to another usable material, or reduced in volume. 

s. "Waste management" means the storage, transportation, treatment, 

or disposal of waste.

8-41
Midwest Interstate 

Low-Level 

Radioactive Waste 

Commission, 

establishment. 

Prohibition. 

Contracts. 

Contracts. 

Reports.

ARTICLE rI-THE COMMISSION 

a. There is hereby created the Midwest Interstate Low-Level 

Radioactive Waste Commission. The Commission consists of one voting 

member from each party state. The Governor of each party state shall 

notify the Commission in writing of its member and any alternates. An 

alternate may act on behalf of the member only in that member's absence. 

The method for selection and the expenses of each Commission member 

shall be the responsibility of the member's respective state. 

b. Each Commission member is entitled to one vote. No action of the 

Commission is binding unless a majority of the total membership cast 

their vote in the affirmative. 

c. The Commission shall elect annually from among its members a 

chairperson. The Commission shall adopt and publish, in convenient 

form, bylaws, and policies which are not inconsistent with this compact, 

including procedures which substantially conform with the provisions of 

federal law on administrative procedure compiled at 5 USC 500 to 559 in 

regard to notice, conduct and recording of meetings; access by the public 

to records; provision! of information to the public; conduct of adjudicatory 

hearings; and issuance of decisions. 

d. The Commission shall meet at least onceý annually and shall also 

meet upon the call of the chairperson or a Commission member. 

e. All meetings of the commission shall be open to the public with 

reasonable advance notice. The Commission may, by majority vote, close 

a meeting to the public for the purpose of considering sensitive personnel 

or legal strategy matters. However, all Commission actions and decisions 

shall be made in open meetings and appropriately recorded. 

f. The Commission may establish advisory committees for the 

purpose of advising the Commission on any matters pertaining to waste 

management. 

g. The office of the Commission shall be in a party state. The 

Commission may appoint or contract for and compensate such limited 

staff necessary to carry out ils duties and functions. The staff shall serve 

at the Commission's pleasure with the exception that staff hired as the 

result of securing federal funds shall be hired and governed under 

applicable federal statutes and regulations. In selecting any staff, the 

Commission shall assure that the staff has adequate experience and formal 

training to carry out the functions assigned to it by the Commission. 

h. The Commission may: 

1. Enter into an agreement with any person, state, or group of 

states for the right to use regional facilities for waste generated outside 

of the region and for the right to use facilities outside the region for 

waste generated within the region. The right of any person to use a 

regional facility for waste generated outside of the region requires an 

affirmative vote of a majority of the Commission, including the 

affirmative vote of the member of the host state in which any affected 

regional facility is located. 

2. Approve the disposal of waste generated within the region at a 

facility other than a regional facility. 

3. Appear as an intervenor or party in interest before any court of 

law or any federal, state or local agency, board or commission in any 

matter related to waste management. In order to represent its views,

8 -42
the Commission may arrange for any expert testimony, reports, 

evidence or other participation. 

4. Review the emergency closure of a regional facility, determine 

the appropriateness of that closure, and take whatever actions are 

necessary to ensure that the interests of the region are protected. 

5. Take any action which is appropriate and necessary to perform 

its duties and functions as provided in this compact. 

6. Suspend the privileges or revoke the membership of a party 

state by a two-thirds vote of the membership in accordance with 

Article VIII. 

i. The Commission shall: 

1. Receive and act on the petition of a nonparty state to become an 

eligible state. 

Report. 2. Submit an annual report to, and otherwise communicate with, 

the governors and the appropriate officers of the legislative bodies of 

the party states regarding the activities of the Commission. 

3. Hear, negotiate, and, as necessary, resolve by final decision 

disputes which may arise between the party states regarding this 

compact. 

4. Adopt and amend, by a two-thirds vote of the membership, in 

accordance with the procedures and criteria developed pursuant to 

Article IV, a regional management plan which designates host states 

for the establishment of needed regional facilities. 

5. Adopt an annual budget. 

j. Funding of the budget of the Commission shall be provided as 

follows: 

1. Each state, upon becoming a party state, shall pay $50,000 or 

$1,000 per cubic meter of waste shipped from that state in 1980, 

whichever is lower, to the Commission which shall be used for the 

administrative costs of the Commission; 

2. Each state hosting a regional facility shall levy surcharges on all 

users of the regional facility based upon its portion of the total volume 

and characteristics of wastes managed at that facility. The surcharges 

collected at all regional facilities shall: 

(a) Be sufficient to cover the annual budget of the Commission; and 

(b) Represent the financial commitments of all party states to the 

Commission; and 

(c) Be paid to the Commission, provided, however, that each host state 

collecting surcharges may retain a portion of the collection sufficient to 

cover its administrative costs of collection, and that the remainder be 

sufficient only to cover the approved annual budget of the Commission. 

Audit. k. The Commission shall keep accurate accounts of all receipts and 

Contracts. disbursements. The Commission shall contract with an independent 

Report. certified public accountant to annually audit all receipts and 

disbursements of Commission funds, and to submit an audit report to the 

Commission. The audit report shall be made a part of the annual report of 

the Commission required by this Article. 

Grants. 1. The Commission may accept for any of its purposes and functions 

and may utilize and dispose of any donations, grants of money, 

equipment, supplies, materials and services from any state or the United 

States (or any subdivision or agency thereof), or interstate agency, or from 

Report. any institution, person, firm or corporation. The nature, amount and 

condition, if any, attendant upon any donation or grant accepted or

8-43
Transportation. 

Prohibition.

Health. 

Safety.

Health. 

Safety.

Transportation.

Reports. 

Studies.

received by the Commission together with the identity of the donor, 

grantor or lender, shall be detailed in the annual report of the 

Commission. 

m. The Commission is not liable for any costs associated with any of 

the following: 

I. The licensing and construction of any facility. 2. The operation of any facility, 3. The stabilization and closure of any facility, 4. The care of any facility, 

5. The extended institutional control, after care of any facility, or 

6. The transportation of waste to any facility. 

n. 1. The Commission is a legal entity separate and distinct from the 

party states and is liable for its actions as a separate and distinct legal entity. Liabilities of the Commission are not liabilities of the party states. 

Members of the Commission are not personally liable for actions taken by them in their official capacity. 

2. Except as provided under sections m. and n. 1. of this article, nothing in this compact alters liability for any act, omission, course of 

conduct or liability resulting from any causal or other relationships. 

o. Any person aggrieved by a final decision of the Commission may obtain judicial review of such decision in any court of competent jurisdiction by filing in such court a petition for review within 60 days after the Commission's final decision. 

ARTICLE IV-REGIONAL MANAGEMENT PLAN 

The Commission shall adopt a regional management plan designed to 

ensure the safe and efficient management of waste generated within the 

region. In adopting a regional waste management plan the Commission 

shall: 

a. Adopt procedures for determining, consistent with considerations 

for public health and safety, the type and number of regional facilities 

which are presently necessary and which are projected to be necessary to 

manage waste generated within the region. b. Develop and consider policies promoting source reduction of waste 

generated within the region. 

c. Develop and adopt procedures and criteria for identifying a party state as a host state for a regional facility. In developing these criteria, the 

Commission shall consider all the following: 

1. The health, safety, and welfare of the citizens of the party 

states. 

2. The existence of regional facilities within each party state. 

3. The minimization of waste transportation. 4. The volumes and types of wastes generated within each party state. 

5. The environmental, economic, and ecological impacts on the 

air, land and water resources of the party states. 

d. Conduct such hearings, and obtain such reports, studies, evidence 

and testimony required by its approved procedures prior to identifying a 

party state as a host state for a needed regional facility. 

e. Prepare a draft management plan, including procedures, criteria and 

host states, including alternatives, which shall be made available in a 

convenient form to the public for comment. Upon the request of a party

8-44
Exports. 

Prohibition. 

Regulations. 

Transportation. 

Prohibition.

state, the Commission shall conduct a public hearing in that state prior to 

the adoption of the management plan. The management plan shall include 

the Commission's response to public and party state comment. 

ARTICLE V-RIGHTS AND OBLIGATIONS OF PARTY STATES 

a. Each party state shall act in good faith in the performance of acts 

and courses of conduct which are intended to ensure the provision of 

facilities for regional availability and usage in a manner consistent with 

this compact. 

b. Each party state has the right to have all wastes generated within its 

borders managed at regional facilities subject to the provisions contained 

in Article IX.c. All party states have an equal right of access to any 

facility made available to the region by any agreement entered into by the 

Commission pursuant to Article III. 

c. Party states or generators may negotiate for the right of access to a 

facility outside the region and may export waste outside the region subject 

to Commission approval under Article HI. 

d. To the extent permitted by federal law, each party state may 

enforce any applicable federal and state laws, regulations and rules 

pertaining to the packaging and transportation of waste generated within 

or passing through its borders. Nothing in this section shall be construed 

to require a party state to enter into any agreement with the U. S. Nuclear 

Regulatory Commission. 

e. Each party state shall provide to the Commission any data and 

information the Commission requires to implement its responsibilities. 

Each party state shall establish the capability to obtain any data and 

information required by the Commission. 

ARTICLE VI-DEVELOPMENT AND OPERATION OF 

FACILITIES 

a. Any party state may volunteer to become a host state, and the 

Commission may designate that state as a host state upon a two-thirds 

vote of its members. 

b. If all regional facilities required by the regional management plan 

are not developed pursuant to section a., or upon notification that an 

existing regional facility will be closed, the Commission may designate a 

host state. 

c. Each party state designated as a host state is responsible for 

determining possible facility locations within its borders. The selection of 

a facility site shall not conflict with applicable federal and host state laws, 

regulations and rules not inconsistent with this compact and shall be 

based on factors including but not limited to geological, environmental 

and economic viability of possible facility locations. 

d. Any party state designated as a host state may request the 

Commission to relieve that state of the responsibility to serve as a host 

state. The Commission may relieve a party state of this responsibility 

only upon a showing by the requesting party state that no feasible 

potential regional facility site of the type it is designated to host exists 

within its borders. 

e. After a state is designated a host state by the Commission, it is 

responsible for the timely development and operation of a regional 

facility.

8-45
f. To the extent permitted by federal and state law, a host state shall 

regulate and license any facility within its borders and ensure the 

extended care of that facility. 

g. The Commission may designate a party state as a host state while a 

regional facility is in operation if the Commission determines that an 

additional regional facility is or may be required to meet the needs of the 

region. The Commission shall make this designation following the 

procedures established under Article IV. 

h. Designation of a host state is for a period of 20 years or the life of 

the regional facility which is established under that designation, 

whichever is longer. Upon request of a host state, the Commission may 

modify the period of its designation. 

i. A host state may establish a fee system for any regional facility 

within its borders. The fee system shall be reasonable and equitable. This 

fee system shall provide the host state with sufficient revenue to cover 

any cost, including but not limited to the planning, siting, licensure, 

operation, decommissioning, extended care and long-term liability, 

associated with such facilities. This fee system may also include 

reasonable revenue beyond costs incurred for the host state, subject to 

Audit. approval by the Commission. A host state shall submit an annual financial 

audit of the operation of the regional facility to the Commission. The fee 

system may include incentives for source reduction and may be based on 

the hazard of the waste as well as the volume. 

Health. j. A host state shall ensure that a regional facility located within its 

Safety. borders which is permanently closed is properly decommissioned. A host 

state shall also provide for the care of a closed or decomimissioned 

regional facility within its borders so that the public health and safety of 

the state and region are ensured. 

k. A host state intending to close a regional facility located within its 

borders shall notify the Commission in writing of its intention and the 

reasons. Notification shall be given to the Commission at least five years 

Prohibition. prior to the intended date of closure. This section shall not prevent an 

emergency closing of a regional facility by a host state to protect its air, 

land and water resources and the health and safety of its citizens. 

However, a host state which has an emergency closing of a regional 

facility shall notify the Commission in writing within three working days 

of its action and shall, within 30 working days of its action, demonstrate 

justification for the closing. 

1. If a regional facility closes before an additional or new facility 

becomes operational, waste generated within the region may be shipped 

temporarily to any location agreed on by the Commission until a regional 

facility is operational. 

m. A party state which is designated as a host state by the 

Commission and fails to fulfill its obligations as a host state may have its 

privileges under the compact suspended or membership in the compact 

revoked by the Commission. 

ARTICLE VII-OTHER LAWS AND REGULATIONS 

Prohibitions. a. Nothing in this compact: 

1. Abrogates or limits the applicability of any act of Congress or 

diminishes or otherwise impairs the jurisdiction of any federal agency 

expressly conferred thereon by the Congress;

8 -46
Research and 

development. 

Taxes. 

Transportation. 

Contracts. 

Prohibition. 

Regulations. 

Delaware. 

Illinois. 

Indiana. 

Iowa. 

Kansas. 

Kentucky. 

Maryland. 

Michigan. 

Minnesota. 

Missouri. 

Nebraska. 

North Dakota. 

Ohio. 

South Dakota. 

Virginia. 

Wisconsin.

2. Prevents the enforcement of any other law of a party state 

which is not inconsistent with this compact; 

3. Prohibits any storage or treatment of waste by the generator on 

its own premises; 

4. Affects any administrative or judicial proceedings pending on 

the effective date of this compact; 

5. Alters the relations between and the respective internal 

responsibility of the government of a party state and its subdivisions; 

6. Affects the generation, treatment, storage or disposal of waste 

generated by the atomic energy defense activities of the Secretary of 

the U. S. Department of Energy or successor agencies or federal 

research and development activities as described in section 31 of the 

Atomic Energy Act of 1954 (42 USC 2051); or 

7. Affects the rights and powers of any party state or its political 

subdivisions to the extent not inconsistent with this compact, to 

regulate and license any facility or the transportation of waste within 

its borders or affects the rights and powers of any party state and its 

political subdivisions to tax or impose fees on the waste managed at 

any facility within its borders. 

8. Requires a party state to enter into any agreement with the U. S. 

Nuclear Regulatory Commission. 

9. Alters or limits liability of transporters of waste, owners and 

operators of sites for their acts, omissions, conduct or relationships in 

accordance with applicable laws. 

b. For purposes of this compact, all state laws or parts of laws in 

conflict with this compact are hereby superseded to the extent of the 

conflict. 

c. No law, rule or regulation of a party state or of any of its 

subdivisions or instrumentalities may be applied in a manner which 

discriminates against the generators of another party state. 

ARTICLE VIII-ELIGIBLE PARTIES, WITHDRAWAL, 

REVOCATION, ENTRY INTO FORCE, TERMINATION 

a. Eligible parties to this compact are the states of Delaware, Illinois, 

Indiana, Iowa, Kansas, Kentucky, Maryland, Michigan, Minnesota, 

Missouri, Nebraska, North Dakota, Ohio, South Dakota, Virginia and 

Wisconsin. Eligibility terminates on July 1, 1984. 

b. Any state not eligible for membership in the compact may petition 

the Commission for eligibility. The Commission may establish 

appropriate eligibility requirements. These requirements may include but 

are not limited to, an eligibility fee or designation as a host state. A 

petitioning state becomes eligible for membership in the compact upon 

the approval of the Commission, including the affirmative vote of all host 

states. Any state becoming eligible upon the approval of the Commission 

becomes a member of the compact in the same manner as any state 

eligible for membership at the time this compact enters into force. 

c. An eligible state becomes a party state when the state enacts the 

compact into law and pays the membership fee required in Article IIIj.1. 

d. The Commission is formed upon the appointment of Commission 

members and the tender of the membership fee payable to the 

Commission by three party states. The Governor of the first state to enact 

this compact shall convene the initial meeting of the Commission. The

8-47
Prohibition. 

Effective date.

8-48

Commission shall cause legislation to be introduced in the Congress 

which grants the consent of the Congress to this compact, and shall take 

action necessary to organize the Commission and implement the provision 

of this compact. 

e. Any party state may withdraw from this compact by repealing the 

authorizing legislation but no withdrawal may take effect until five years 

after the governor of the withdrawing state gives notice in writing of the 

withdrawal to the Commission and to the governor of each party state. 

Withdrawal does not affect any liability already incurred by or chargeable 

to a party state prior to the time of such withdrawal. Any host state which 

grants a disposal permit for waste generated in a withdrawing state shall 

void the permit when the withdrawal of that state is effective. 

f. Any party state which fails to comply with the terms of this 

compact or fails to fulfill its obligations may have its privileges suspended 

or its membership in the compact revoked by the Commission in 

accordance with Article III.h.6. Revocation takes effect one year from the 

date the affected party state receives written notice from the Commission 

of its action. All legal rights of the affected party state established under 

this compact cease upon the effective date of revocation but any legal 

obligations of that party state arising prior to revocation continue until 

they are fulfilled. The chairperson of the Commission shall transmit 

written notice of a revocation of a party states's membership in the 

compact immediately following the vote of the Commission to the 

governor of the affected party state, all other governors of the party states 

and the Congress of the United States. 

g. This compact becomes effective upon enactment by at least three 

eligible states and consent to this compact by Congress. The Congress 

shall have an opportunity to withdraw such consent every five years. 

Failure of the Congress to affirmatively withdraw its consent has the 

effect of renewing consent for an additional five year period. The consent 

given to this compact by the Congress shall extend to any future 

admittance of new party states under sections b. and c. of this article and 

to the power of the Commission to ban the shipment of waste from the 

region pursuant to Article IlI. 

h. The withdrawal of a party state from this compact under section e. 

of this article or the suspension or revocation of a state's membership in 

this compact under section f. of this article does not affect the 

applicability of this compact to the remaining party states. 

i. A state which has been designated by the Commission to be a host 

state has 90 days from receipt by the Governor of written notice of 

designation to withdraw from the compact without any right to receive 

refund of any funds already paid pursuant to this compact, and without 

any further payment. Withdrawal becomes effective immediately upon 

notice as provided in section e. of this article. A designated host state 

which withdraws from the compact after 90 days and prior to fulfilling its 

obligations shall be assessed a sum the Commission determines to be 

necessary to cover the costs borne by the Commission and remaining 

party states as a result of that withdrawal.
Exports. 

Regulations.

Provisions held 

invalid. 

42 USC 2021d 

note. 

Arizona. 

Colorado. 

Nevada. 

New Mexico. 

Utah. 

Wyoming.

ARTICLE IX-PENALTIES 

a. Each party state shall prescribe and enforce penalties against any 

person who is not an official of another state for violation of any 

provision of this compact. 

b. Unless otherwise authorized by the Commission pursuant to 

Article III.h. after January 1, 1986, it is a violation of this compact: 

1. For any person to deposit at a regional facility waste not 

generated within the region; 

2. For any regional facility to accept waste not generated within 

the region; 

3. For any person to export from the region waste which is 

generated within the region; or 

4. For any person to dispose of waste at a facility other than a 

regional facility. 

c. Each party state acknowledges that the receipt by a host state of 

waste packaged or transported in violation of applicable laws, rules and 

regulations may result in the imposition of sanctions by the host state 

which may include suspension or revocation of the violator's right of 

access to the facility in the host state. 

d. Each party state has the right to seek legal recourse against any 

party state which acts in violation of this compact. 

ARTICLE X-SEVERABILITY AND CONSTRUCTION 

The provisions of this compact shall be severable and if any phrase, 

clause, sentence or provision of this compact is declared by a court of 

competent jurisdiction to be contrary to the Constitution of any 

participating state or of the United States or the applicability thereof to 

any government, agency, person or circumstance is held invalid, the 

validity of the remainder of this compact and the applicability thereof to 

any government, agency, person or circumstance shall not be affected 

thereby. If any provision of this compact shall be held contrary to the 

Constitution of any state participating therein, the compact shall remain in 

full force and effect as to the state affected as to all severable matters. 

Sec. 226. ROCKY MOUNTAIN LOW-LEVEL RADIOACTIVE 

WASTE COMPACT. 

In accordance with section 4(a)(2) of the Low-Level Radioactive 

Waste Policy Act (42 USC 2021d(a)(2)), the consent of the Congress 

hereby is given to the States of Arizona, Colorado, Nevada, New Mexico, 

Utah, and Wyoming to enter into the Rocky Mountain Interstate 

Low-Level Radioactive Waste Compact. Such compact is substantially as 

follows: 

ROCKY MOUNTAIN LOW-LEVEL RADIOACTIVE 

WASTE COMPACT

ARTICLE I-FINDINGS AND PURPOSE 

Research and (a) The party states agree that each state is responsible for providing 

development, for the management of low-level radioactive waste generated within its 

borders, except for waste generated as a result of defense activities of the 

federal government or federal research and development activities.

8-49
42 USC 2021b 

note. 

Health. 

Safety.

Moreover, the party states find that the United States Congress, by 

enacting the "Low-Level Radioactive Waste Policy Act" (P. L. 96-573), 

has encouraged the use of interstate compacts to provide for the 

establishment and operation of facilities for regional management of 

low-level radioactive waste. 

(b) It is the purpose of the party states, by entering into an interstate 

compact, to establish the means for cooperative effort in managing 

low-level radioactive waste; to ensure the availability and economic 

viability of sufficient facilities for the proper and efficient management of 

low-level radioactive waste generated within the region while preventing 

unnecessary and uneconomic proliferation of such facilities; to encourage 

reduction of the volume of low-level radioactive waste requiring disposal 

within the region; to restrict management within the region of low-level 

radioactive waste generated outside the region; to distribute the costs, 

benefits and obligations of low-level radioactive waste management 

equitably among the party states; and by these means to promote the 

health, safety and welfare of the residents within the region. 

ARTICLE II-DEFINITIONS 

As used in this compact, unless the context clearly indicates 

otherwise: 

(a) "Board" means the Rocky Mountain low-level radioactive 

waste board; 

(b) "Carrier" means a person who transports low-level waste; 

(c) "Disposal" means the isolation of waste from the biosphere, 

with no intention of retrieval, such as by land burial; 

(d) "Facility" means any property, equipment or structure used or 

to be used for the management of low-level waste; 

(e) "Generate" means to produce low-level waste; 

(f) "Host state" means a party state in which a regional facility is 

located or being developed; 

(g) "Low-level waste" or "waste" means radioactive waste other 

than: 

(i) Waste generated as a result of defense activities of the 

federal government or federal research and development activities; 

(ii) High-level waste such as irradiated reactor fuel, liquid 

waste from reprocessing irradiated reactor fuel, or solids into 

which any such liquid waste has been converted; 

(iii) Waste material containing transuranic elements with 

contamination levels greater than ten (10) nanocuries per gram of 

waste material; 

(iv) By-product material as defined in Section 1 le.(2) of the 

"Atomic Energy Act of 1954," as amended November 8, 1978; or (v) Wastes from mining, milling, smelting or similar processing 

of ores and mineral-bearing material primarily for minerals other 

than radium. 

(h) "Management" means collection, consolidation, storage, 

treatment, incineration or disposal; 

(i) "Operator" means a person who operates a regional facility; 

j) "Person" means an individual, corporation, partnership or other 

legal entity, whether public or private;

8 -50
(k) "Region" means the combined geographic area within the 

boundaries of the party states; and 

(1) "Regional facility" means a facility within any party state which 

either: 

(i) has been approved as a regional facility by the board; or 

Nevada. (ii) is the low-level waste facility in existence on January 1, 

1982, at Beatty, Nevada. 

ARTICLE Ill-RIGHTS, RESPONSIBILITIES, AND 

OBLIGATIONS 

Nevada. (a) There shall be regional facilities sufficient to manage the low-level 

waste generated within the region. At least one (1) regional facility shall 

be open and operating in a party state other than Nevada within six (6) 

years after this compact becomes law in Nevada and in one (1) other state. 

Health. (b) Low-level waste generated within the region shall be managed at 

Safety. regional facilities without discrimination among the party states; provided, however, that a host state may close a regional facility when necessary for 

public health or safety. 

(c) Each party state which, according to reasonable projections made 

by the board, is expected to generate twenty percent (20%) or more in 

cubic feet except as otherwise determined by the board of the low-level 

waste generated within the region has an obligation to become a host state 

in compliance with subsection (d) of this article. 

(d) A host state, or a party state seeking to fulfill its obligation to 

become a host state, shall: 

(i) Cause a regional facility to be developed on a timely basis as 

determined by the board, and secure the approval of such regional facility by the board as provided in Article IV before allowing site 

preparation or physical construction to begin; Health. (ii) Ensure by its own law, consistent with any applicable federal 

Safety. law, the protection and preservation of public health and safety in the 

siting, design, development, licensure or other regulation, operation, closure, decommissioning and long-term care of the regional facilities 

within the state; (iii) Subject to the approval of the board, ensure that charges for 

management of low-level waste at the regional facilities within the 

state are reasonable; (iv) Solicit comments from each other party state and the board 

regarding siting, design, development, licensure or other regulation, 

operation, closure, decommissioning and long-term care of the 

regional facilities within the state and respond in writing to such 

comments; 

Report. (v) Submit an annual report to the board which contains 

projections of the anticipated future capacity and availability of the 

regional facilities within the state, together with other information 

required by the board; and 

Report. (vi) Notify the board immediately if any exigency arises requiring the possible temporary or permanent closure of a regional facility within the state at a time earlier than was projected in the state's most 

recent annual report to the board.

8-51
Nevada. 

Regulations. 

Transportation. 

Regulations. 

Transportation. 

Regulations.

(e) Once a party state has served as a host state, it shall not be 

obligated to serve again until each other party state having an obligation 

under subsection (c) of this article has fulfilled that obligation. Nevada, 

already being a host state, shall not be obligated to serve again as a host 

state until every other party state has so served. 

(f) Each party state: 

(i) Agrees to adopt and enforce procedures requiring low-level 

waste shipments originating within its borders and destined for a 

regional facility to conform to packaging and transportation 

requirements and regulations. Such procedures shall include but are 

not limited to: 

(A) Periodic inspection of packaging and shipping practices; 

(B) Periodic inspections of waste containers while in the 

custody of carriers; and 

(C) Appropriate enforcement actions with respect to violations. 

(ii) Agrees that after receiving notification from a host state that a 

person in the party state has violated packaging, shipping or 

transportation requirements or regulations, it shall take appropriate 

action to ensure that violations do not recur. Appropriate action may 

include but is not limited to the requirement that a bond be posted by 

the violator to pay the cost of repackaging at the regional facility and 

the requirement that future shipments be inspected; 

(iii) May impose fees to recover the cost of the practices provided 

for in paragraph (i) and (ii) of this subsection; 

(iv) Shall maintain an inventory of all generators within the state 

that may have low-level waste to be managed at a regional facility; and 

(v) May impose requirements or regulations more stringent than 

those required by this subsection. 

ARTICLE IV-BOARD APPROVAL OF REGIONAL FACILITIES 

(a) Within ninety (90) days after being requested to do so by a party 

state, the board shall approve or disapprove a regional facility to be 

located within that state. 

(b) A regional facility shall be approved by the board if and only if the 

board determines that: 

(i) There will be, for the foreseeable future, sufficient demand to 

render operation of the proposed facility economically feasible 

without endangering the economic feasibility of operation of any other 

regional facility; and 

(ii) The facility will have sufficient capacity to serve the needs of 

the region for a reasonable period of years. 

ARTICLE V-SURCHARGES 

(a) The board shall impose a "compact surcharge" per unit of waste 

received at any regional facility. The surcharge shall be adequate to pay 

the costs and expenses of the board in the conduct of its authorized 

activities and may be increased or decreased as the board deems 

necessary. 

(b) A host state may impose a "state surcharge" per unit of waste 

received at any regional facility within the state. The host state may fix 

and change the amount of the state surcharge subject to approval by the 

board. Money received from the state surcharge may be used by the host

8-52
Prohibition. 

Rocky Mountain 

Low-Level 

Radioactive Waste 

Board, 

establishment. 

Contracts. 

Audit. 

Report.

state for any purpose authorized by its own law, including but not limited 

to costs of licensure and regulatory activities related to the regional facility, reserves for decommissioning and long-term care of the regional facility and local impact assistance. 

ARTICLE VI-THE BOARD 

(a) The "Rocky Mountain low-level radioactive waste board", which 

shall not be an agency or instrumentality of any party state, is created. 

(b) The board shall consist of one (1) member from each party state. 

The governor shall determine how and for what term its member shall be 

appointed, and how and for what term any alternate may be appointed to 

perform that member's duties on the board in the member's absence. 

(c) Each party state is entitled to one (1) vote. A majority of the board 

constitutes a quorum. Unless otherwise provided in this compact, a 

majority of the total number of votes on the board is necessary for the 

board to take any action. 

(d) The board shall meet at least once a year and otherwise as its 

business requires. Meetings of the board may be held in any place within 

the region deemed by the board to be reasonably convenient for the 

attendance of persons required or entitled to attend and where adequate accommodations may be found. Reasonable public notice and 

opportunity for comment shall be given with respect to any meeting; provided, however, that nothing in this subsection shall preclude the 

board from meeting in executive session when seeking legal advice from 

its attorneys or when discussing the employment, discipline or termination 

of any of its employees. 

(e) The board shall pay necessary travel and reasonable per diem 

expenses of its members, alternates, and advisory committee members. 

(f) The board shall organize itself for the efficient conduct of its 

business. It shall adopt and publish rules consistent with this compact regarding its organization and procedures. In special circumstances the 

board, with unanimous consent of its members, may take actions by telephone; provided, however, that any action taken by telephone shall be 

confirmed in writing by each member within thirty (30) days. Any action 

taken by telephone shall be noted in the minutes of the board. 

(g) The board may use for its purposes the services of any personnel 

or other resources which may be offered by any party state. 

(h) The board may establish its offices in space provided for that 

purpose by any of the party states, or, if space is not provided or is 

deemed inadequate, in any space within the region selected by the board. 

(i) Consistent with available funds, the board may contract for 

necessary personnel services to carry out its duties. Staff shall be 

employed without regard for the personnel, civil service, or merit system laws of any of the party states and shall serve at the pleasure of the board. 

The board may provide appropriate employee benefit programs for its 

staff. 

(j) The board shall establish a fiscal year which conforms to the extent 

practicable to the fiscal years of the party states. 

(k) The board shall keep an accurate account of all receipts and 

disbursements. An annual audit of the books of the board shall be 

conducted by an independent certified public accountant, and the audit 

report shall be made a part of the annual report of the board.

8-53
Report. (1) The board shall prepare and include in the annual report a budget 

showing anticipated receipts and disbursements for the ensuing year. 

(m) Upon legislative enactment of this compact, each party state shall 

consider the need to appropriate seventy thousand dollars ($70,000.00) to 

the board to support its activities prior to the collection of sufficient funds 

through the compact surcharge imposed pursuant to subsection (a) of 

article V of this compact. 

Grants. (n) The board may accept any donations, grants, equipment, supplies, 

Report. materials or services, conditional or otherwise, from any source. The 

nature, amount and condition, if any, attendant upon any donation, grant 

or other resources accepted pursuant to this subsection, together with the 

identity of the donor or grantor, shall be detailed in the annual report of 

the board. 

(o) In addition to the powers and duties conferred upon the board 

pursuant to other provisions of this compact, the board: 

Report. (i) Shall submit communications to the governors and to the 

presiding officers of the legislatures of the party states regarding the 

activities of the board, including an annual report to be submitted by 

December 15; 

(ii) May assemble and make available to the governments of the 

party states and to the public through its members information 

concerning low-level waste management needs, technologies and 

problems; 

(iii) Shall keep a current inventory of all generators within the 

region, based upon information provided by the party states; 

(iv) Shall keep a current inventory of all regional facilities, 

including information on the size, capacity, location, specific wastes 

capable of being managed and the projected useful life of each 

regional facility; 

(v) May keep a current inventory of all low-level waste facilities in 

the region, based upon information provided by the party states; 

(vi) Shall ascertain on a continuing basis the needs for regional 

facilities and capacity to manage each of the various classes of 

low-level waste; 

(vii) May develop a regional low-level waste management plan; 

(viii) May establish such advisory committees as it deems 

necessary for the purpose of advising the board on matters pertaining 

to the management of low-level waste; 

Contracts. (ix) May contract as it deems appropriate to accomplish its duties 

Prohibition. and effectuate its powers, subject to its projected available resources; 

but no contract made by the board shall bind any party state; 

(x) Shall make suggestions to appropriate officials of the party 

states to ensure that adequate emergency response programs are 

available for dealing with any exigency that might arise with respect to 

low-level waste transportation or management; 

(xi) Shall prepare contingency plans, with the cooperation and 

approval of the hose state, for management of low-level waste in the 

event any regional facility should be closed; 

Records. (xii) May examine all records of operators of regional facilities 

pertaining to operating costs, profits or the assessment or collection of 

any charge, fee or surcharge; 

(xiii) Shall have the power to sue; and

8-54
(xiv) When authorized by unanimous vote of its members, may intervene as of right in any administrative or judicial proceeding 

involving low-level waste. 

ARTICLE VII-PROHIBITED ACTS AND PENALTIES 

(a) It shall be unlawful for any person to dispose of low-level waste 

within the region, except at a regional facility; provided, however, that a 

generator who, prior to January 1, 1982, had been disposing of only his 

own waste on his own property may, subject to applicable federal and 

state law, continue to do so. 

Exports. (b) After January 1, 1986, it shall be unlawful for any person to export low-level waste which was generated within the region outside the region 

unless authorized to do so by the board. In determining whether to grant such authorization, the factors to be considered by the board shall include, 

but not be limited to, the following: (i) The economic impact of the export of the waste on the regional 

facilities; 

(ii) The economic impact on the generator of refusing to permit the 

export of the waste; and 

(iii) The availability of a regional facility appropriate for the 

disposal of the waste involved. 

(c) After January 1, 1986, it shall be unlawful for any person to 

manage any low-level waste within the region unless the waste was 

generated within the region or unless authorized to do so both by the 

board and by the state in which said management takes place. In 

determining whether to grant such authorization, the factors to be 

considered by the board shall include, but not be limited to, the following: Imports. (i) the impact of importing waste on the available capacity and 

projected life of the regional facilities; 

(ii) the economic impact on the regional facilities; and 

(iii) the availability of a regional facility appropriate for the 

disposal of the type of waste involved. 

(d) It shall be unlawful for any person to manage at a regional facility 

any radioactive waste other than low-level waste as defined in this 

compact, unless authorized to do so both by the board and the host state. 

In determining whether to grant such authorization, the factors to be 

considered by the board shall include, but not be limited to, the following: (i) the impact of allowing such management on the available 

capacity and projected life of the regional facilities; 

(ii) the availability of a facility appropriate for the disposal of the 

type of waste involved; 

(iii) the existence of transuranic elements in the waste; and 

(iv) the economic impact on the regional facilities. 

(e) Any person who violates subsection (a) or (b) of this article shall 

be liable to the board for a civil penalty not to exceed ten (10) times the 

charges which would have been charged for disposal of the waste at a 

regional facility. 

(f) Any person who violates subsection (c) or (d) of this article shall 

be liable to the board for a civil penalty not to exceed ten (10) times the 

charges which were charged for management of the waste at a regional 

facility.

8 -55
(g) The civil penalties provided for in subsections (e) and (f) of this 

article may be enforced and collected in any court of general jurisdiction 

within the region where necessary jurisdiction is obtained by an 

appropriate proceeding commenced on behalf of the board by the attorney 

general of the party state wherein the proceeding is brought or by other 

counsel authorized by the board. In any such proceeding, the board, if it 

prevails, is entitled to recover reasonable attorney's fees as part of its 

costs. 

(h) Out of any civil penalty collected for a violation of subsection (a) 

or (b) of this article, the board shall pay to the appropriate operator a sum 

sufficient in the judgment of the board to compensate the operator for any 

loss of revenue attributable to the violation. Such compensation may be 

subject to state and compact surcharges as if received in the normal 

course of the operator's business. The remainder of the civil penalty 

collected shall be allocated by the board. In making such allocation, the 

board shall give first priority to the needs of the long-term care funds in 

the region. 

(i) Any civil penalty collected for a violation of subsection (c) or (d) 

of this article shall be allocated by the board. In making such allocation, 

the board shall give first priority to the needs of the long-term care funds 

in the region. 

(j) Violations of subsection (a), (b), (c), or (d) of this article may be 

enjoined by any court of general jurisdiction within the region where 

necessary jurisdiction is obtained in any appropriate proceeding 

commenced on behalf of the board by the attorney general of the party 

state wherein the proceeding is brought or by other counsel authorized by 

the board. In any such proceeding, the board, if it prevails, is entitled to 

recover reasonable attorney's fees as part of its costs. 

(k) No state attorney general shall be required to bring any proceeding 

under any subsection of this article, except upon his consent. 

ARTICLE VIII-ELIGIBILITY, ENTRY INTO EFFECT, 

CONGRESSIONAL CONSENT, WITHDRAWAL, EXCLUSION 

(a) Arizona, Colorado, Nevada, New Mexico, Utah, and Wyoming are 

eligible to become parties to this compact. Any other state may be made 

eligible by unanimous consent of the board. 

(b) An eligible state may become a party state by legislative enactment 

of this compact or by executive order of its governor this adopting 

compact; provided, however, a state becoming a party by executive order 

shall cease to be a party state upon adjournment of the first general 

session of its legislature convened thereafter, unless before such 

adjournment the legislature shall have enacted this compact. 

(c) This compact shall take effect when it has been enacted by the 

legislatures of two (2) eligible states. However, subsections (b) and (c) of 

article VII shall not take effect until Congress has by law consented to 

this compact. Every five (5) years after such consent has been given, 

Congress may by law withdraw its consent. 

(d) A state which has become a party state by legislative enactment 

may withdraw by legislation repealing its enactment of this compact; but 

not such repeal shall take effect until two (2) years after enactment of the 

repealing legislation. If the withdrawing state is a host state, any regional 

facility in that state shall remain available to receive low-level waste

8-56

Prohibition.

Arizona. 

Colorado. 

Nevada. 

New Mexico. 

Utah. 

Wyoming. 

Effective date. 

Nevada.
Prohibition. 

Provisions held 

invalid. 

42 USC 2021d 

note. 

42 USC 2021d. 

Connecticut. 

Delaware. 

Maryland. 

New Jersey.

generated within the region until five (5) years after the effective date of the withdrawal; provided, however, this provision shall not apply to the existing facility in Beatty, Nevada. 

(e) A party state may be excluded from this compact by a two-thirds 

(2/3) vote of the members representing the other party states, acting in a meeting, on the ground that the state to be excluded has failed to carry out its obligation under this compact. Such an exclusion may be terminated 

upon a two-thirds (2/3) vote of the members acting in a meeting. 

ARTICLE IX-CONSTRUCTION AND SEVERABILITY 

(a) The provisions of this compact shall be broadly construed to carry out the purposes of the compact. (b) Nothing in this compact shall be construed to affect any judicial proceeding pending on the effective date of this compact. (c) If any part or application of this compact is held invalid, the remainder, or its application to other situations or persons, shall not be affected. 

Sec. 227. NORTHEAST INTERSTATE LOW-LEVEL 

RADIOACTIVE WASTE MANAGEMENT COMPACT. 

In accordance with section 4(a)(2) of the Low-Level Radioactive 

Waste Policy Act, the consent of the Congress is hereby given to the States of Connecticut, New Jersey, Delaware, and Maryland to enter into the Northeast Interstate Low-Level Radioactive Waste Management Compact. Such compact is substantially as follows: 

NORTHEAST INTERSTATE LOW-LEVEL RADIOACTIVE 

WASTE MANAGEMENT COMPACT 

ARTICLE I-POLICY AND PURPOSE

Research and There is hereby created the Northeast Interstate Low-Level development. Radioactive Waste Management Compact. The party states recognize that the Congress has declared that each state is responsible for providing for the availability of capacity, either within or outside its borders, for disposal of low-level radioactive waste generated within its borders, except for waste generated as a result of atomic energy defense activities 42 USC 2021d of the federal government, as defined in the Low-Level Radioactive note. Waste Policy Act (P. L. 96-573, "The Act"), or federal research and 

development activities. They also recognize that the management of low-level radioactive waste is handled most efficiently on a regional basis. The party states further recognize that the Congress of the United States, by enacting the Act has provided for and encouraged the development of regional low-level radioactive waste compacts to manage such waste. The party states recognize that the long-term, safe and efficient management of low-level radioactive waste generated within the region requires that sufficient capacity to manage such waste be properly provided. Health. In order to promote the health and safety of the region, it is the policy Safety. of the party states to: enter into a regional low-level radioactive waste 

management compact as a means of facilitating an interstate cooperative effort, provide for proper transportation of low-level waste generated in the region, minimize the number of facilities required to effectively and

8 -57
efficiently manage low-level radioactive waste generated in the region, 

encourage the reduction of the amounts of low-level waste generated in 

the region, distribute the costs, benefits, and obligations of proper 

low-level radioactive waste management equitably among the party states, 

and ensure the environmentally sound and economical management of 

low-level radioactive waste. 

ARTICLE II-DEFINITIONS 

As used in this compact, unless the context clearly requires a different 

construction: 

a. "commission" means the Northeast Interstate Low-Level 

Radioactive Waste Commission established pursuant to Article IV of this 

compact; 

b. "custodial agency" means the agency the government designated to 

act on behalf of the government owner of the regional facility; 

c. "disposal" means the isolation of low-level radioactive waste from 

the biosphere inhabited by man and his food chains; 

d. "facility" means a parcel of land, together with the structures, 

equipment and improvements thereon or appurtenant thereto, which is 

used or is being developed for the treatment, storage or disposal of 

low-level waste, but shall not include on-site treatment or storage by a 

generator; 

e. "generator" means a person who produces or processes low-level 

waste, but does not include persons who only provide a service by 

arranging for the collection, transportation, treatment, storage or disposal 

of wastes generated outside the region; 

f. "high-level waste" means 1) the highly radioactive material 

resulting from the reprocessing of spent nuclear fuel, including liquid 

waste produced directly in reprocessing and any solid material derived 

from such liquid waste that contains fission products in sufficient 

concentration; and 2) any other highly radioactive material determined by 

the federal government as requiring permanent isolation; 

g. "host state" means a party state in which a regional facility is 

located or being developed; 

h. "institutional control" means the continued observation, 

monitoring, and care of the regional facility following transfer of control 

of the regional facility from the operator to the custodial agency; 

i. "low-level waste" means radioactive waste that 1) is neither 

high-level waste nor transuranic waste, nor spent nuclear fuel, nor 

by-product material as defined in section lIe (2) of the Atomic Energy 

Act of 1954 as amended; and 2) is classified by the federal government as 

low-level waste, consistent with existing law; but does not include waste 

generated as a result of atomic energy defense activities of the federal 

government, as defined in P. L. 96-573, or federal research and 

development activities; 

j. "party state" means any state which is a signatory party in good 

standing to this compact; 

k. "person" means an individual, corporation, business enterprise or 

other legal entity, either public or private and their legal successors; 

1. "post-closure observation and maintenance" means the continued 

monitoring of a closed regional facility to ensure the integrity and 

environmental safety of the site through compliance with applicable

8-58
Exports. 

Prohibition. 

Prohibition. 

Regulations. 

Transportation.

licensing and regulatory requirements; prevention of unwarranted 

intrusion, and correction of problems; 

m. "region" means the entire area of the party states; 

n. "regional facility" means a facility as defined in this section which 

has been designated or accepted by the Commission; 

o. "state" means a state of the United States, the District of Columbia, the Commonwealth of Puerto Rico, the Virgin Islands or any other 

territory subject to the laws of the United States; 

p. "storage" means the holding of waste for treatment or disposal; 

q. "transuranic waste" means waste material containing radionuclides 

with an atomic number greater than 92 which are excluded from shallow 

land burial byý the federal government; 

r. "treatment" means any method, technique or process, including 

storage for decay, designed to change the physical, chemical or biological characteristics or composition of any waste in order to render such waste 

safer for transport or disposal, amenable for recovery, convertible to 

another usable material or reduced in volume; 

s. "waste" means low-level radioactive waste as defined in this 

section; 

t. "waste management" means the storage, treatment, transportation, and disposal, where applicable, of waste. 

ARTICLE HI-RIGHTS AND OBLIGATIONS 

a. There shall be provided within the region one or more regional facilities which, together with such other facilities as may be made 

available to the region, will provide sufficient capacity to manage all 

wastes generated within the region. 

1. Regional facilities shall be entitled to waste generated within 

the region, unless otherwise provided by the Commission. To the 

extentiregional facilities are available, no waste generated within a 

party state shall be exported to facilities outside the region unless such 

exportation is approvedby the Commission and the affected host 

state(s). 

2. After January 1, 1986, no person shall deposit at a regional facility waste generated outside the region, and further, no regional facility shall accept waste generated outside the region, unless 

approved by the Commission and the affected host state(s). b. The rights, responsibilities and obligations of each party state to 

this compact are as follows: 

1. Each party state shall have the right to have all wastes 

generated within its borders managed at regional facilities, and shall 

have the right of access to facilities made available to the region through:agreements entered into by the Commission pursuant to 

Article IV(i)(1 1). The right of access by a generator within a party 

state to any regional facility is limited by the generator's adherence to 

applicable state and federal laws and regulations and the provisions of 

this compact. 

2. To the extent not prohibited by federal law, each party state 

shall institute procedures which will require shipments of low-level 

waste generated within or passing through its borders to be consistent 

with applicable federal packaging and transportation regulations and 

applicable host state packaging and transportation regulations for

8 -59
Prohibition. 

Transportation. 

Prohibition. 

Prohibition. 

Regulations.

management of low-level waste; provided, however, that these 

practices shall not impose unreasonable, burdensome impediments to 

the management of low-level waste in the region. Upon notification by 

a host state that a generator, shipper, or carrier within the party state is 

in violation of applicable packaging or transportation regulations, the 

party state shall take appropriate action to ensure that such violations 

do not recur. 

3. Each party state may impose reasonable fees upon generators, 

shippers, or carriers to recover the cost of inspections and other 

practices under this compact. 

4. Each party state shall encourage generators within its borders to 

minimize the volumes of waste requiring disposal. 

5. Each party state has the right to rely on the good faith 

performance by every other party state of acts which ensure the 

provision of facilities for regional availability and their use in a 

manner consistent with this' compact. 

6. Each party state shall provide to the Commission any data and 

information necessary for the implementation of the Commission's 

responsibilities, and shall establish the capability to obtain any data 

and information necessary to meet its obligation as herein defined. 

7. Each party state shall have the capability to host a regional 

facility in a timely manner and to ensure the post-closure observation 

and maintenance, and institutional control of any regional facility 

within its borders. 

8. No non-host party state shall be liable for any injury to persons 

or property resulting from the operation of a regional facility or the 

transportation of waste to a regional facility; however, if the host state 

itself is the operator of the regional facility, its liability shall be that of 

any private operator. 

c. The rights, responsibilities and obligations of a host state are as 

follows: 

1. To the extent not prohibited by federal law, a host state shall 

ensure the timely development and the safe operation, closure, 

post-closure observation and maintenance, and institutional control of 

any regional facility within its borders. 

2. In accordance with procedures established in Articles V and IX, 

the host state shall provide for the establishment of a reasonable 

structure of fees sufficient to cover all costs related to the 

development, operation, closure, post-closure observation and 

maintenance, and institutional control of a regional facility. It may 

also establish surcharges to cover the regulatory costs, incentives, and 

compensation associated with a regional facility; provided, however, 

that without the express approval of the Commission, no distinction in 

fees or surcharges shall be made between persons of the several states 

party to this compact. 

3. To the extent not prohibited by federal law, a host state may 

establish requirements and regulations pertaining to the management 

of waste at a regional facility; provided, however, that such 

requirements shall not impose unreasonable impediments to the 

management of low-level waste within the region. Nor may a host 

state or a subdivision impose such restrictive requirements on the 

siting or operation of a regional facility that, along or as a whole, they

8-60
Report. 

Audit.

Northeast Interstate a. There is hereby created the Northeast Interstate Low-Level Low-Level Radioactive Waste Commission. The Commission shall consist of one Radioactive Waste member from each party state to be appointed by the Governor according Commission, to procedures of each party state, except that a host state shall have two establishment. members during the period that it has an operating regional Governor 

shall notify the Commission in writing of the identity of the facility. The member and one alternate, who may act on behalf of the member only in 

the member's absence. 

Prohibition. b. Each Commission member shall be entitled to one vote. No action 

of the Commission shall be binding unless a majority of the total 

membership cast their vote in the affirmative. Regulations. c. The Commission shall elect annually from among its members a 

presiding officer and such other officers as it deems appropriate. The Commission shall adopt and publish, in convenient form, such rules and regulations as are necessary for due process in the performance of its 

duties and powers under this compact. d. The Commission shall meet at least once a year and shall also meet 

upon the call of the presiding officer, or upon the call of a party state 

member. 

e. All meetings of the Commission shall be open to the public' with 

reasonable prior public notice. The Commission may, by majority vote, close a meeting to the public for the purpose of considering sensitive 

personnel or legal matters. All Commission actions and decisions shall be 

made in open meetings and appropriately recorded. A roll call vote may be required upon request of any party state or the presiding officer. 

f. The Commission may establish such committees as it deems 

necessary. Contracts. g. The commission may appoint, contract for, and compensate such limited staff as it determines necessary to carry out its duties and 

functions. The staff shall serve at the Commission's pleasure irrespective of the civil service, personnel or other merit laws of any of the party states

8-61

serve as unreasonable barriers or prohibitions to the siting or operation of such a facility. 

4. Each host state shall submit to the Commission annually a 

report concerning each operating regional facility within its borders. 

The report shall contain projections of the anticipated future capacity and availability of the regional facility, a financial audit of its 

operations, and other information as may be required by the 

Commission; and in the case of regional facilities in institutional 

control or otherwise no longer operating, the host states shall furnish 

such information as may be required on the facilities still subject to 

their jurisdiction. 

5. A host state shall notify the Commission immediately if any exigency arises which requires the permanent, temporary, or possible closure of any regional facility located therein at a time earlier than 

projected in its most recent annual report to the Commission. The 

Commission may conduct studies, hold hearings, or take such other 

measures to ensure that the actions taken are necessary and compatible with the obligations of the host state under this compact. 

ARTICLE IV-THE COMMISSION

Report. 

Studies.
or the federal government and shall be compensated from funds of the 

Commission. 

h. The Commission shall adopt an annual budget for its operations. 

i. The Commission shall have the following duties and powers: 

1. The Commission shall receive and act on the application of a 

non-party state to become an eligible state in accordance with Article 

VII(e). 

2. The Commission shall receive and act on the application of an 

eligible state to become a party state in accordance with Article 

VII(b). 

Report. 3. The commission shall submit an annual report to and otherwise 

communicate with the governors and the presiding officer of each 

body of the legislature of the party states regarding the activities of the 

Commission. 

4. Upon request of party states, the Commission shall meditate 

disputes which arise between the party states regarding this compact. 

5. The Commission shall develop, adopt and maintaini a regional 

management plan to ensure safe and effective management of waste 

within the region, pursuant to Article V. 

Report. 6. The Corrmnission may conduct such legislative or adjudicatory 

Studies. hearings, and require such reports, studies, evidence and testimony as 

are necessary to perform its duties and functions. 

Regulation. 7. The Commission shall establish by regulation, after public 

notice and opportunity for comment, such procedural regulations as 

deemed necessary to ensure efficient operation, the orderly gathering 

of information, and the protection of the rights of due process of 

affected persons. 

8. In accordance with the procedures and criteria set forth in 

Article V, the Commission shall accept a host state's proposed facility 

as a regional facility. 

9. In accordance with the procedures and criteria set forth in 

Article V, the Commission may designate, by a two-thirds vote, host 

Prohibition. states for the establishment of needed regional facilities. The 

Commission shall not exercise this authority unless the party states 

have failed to voluntarily pursue the development of such facilities. 

10. The commission may require of and obtain from party states, 

eligible states seeking to become party states, and non-party states 

seeking to become eligible states, data and information necessary for 

the implementation of Commission responsibilities. 

Contracts. 11. The Commission may enter into agreements with any 

Imports. person, state, regional body, or group of states for the importation of 

waste into the region and for the right of access to facilities outside the 

region for waste generated within the region. Such authorization to 

import requires a two-thirds majority vote of the Commission, 

including an affirmative vote of the representatives of the host state in 

which any affected regional facility is located. This shall be done only 

after the Commission and the host state have made an assessment of 

the affected facilities' capability to handle such wastes and of relevant 

environmental, economic, and public health factors, as defined by the 

appropriate regulatory authorities. 

Exports. 12. The Commission may, upon petition, grant an individual 

generator or group of generators in the region the right to export 

wastes to a facility located outside the region. Such grant of right

8-62
shall be for a period of time and amount of waste and on such other 

terms and conditions as determined by the Commission and approved 

by the affected host states. 

13. The Commission may appear as an intervenor or party in 

interest before any court of law, federal, state or local agency, board 

or commission that has jurisdiction over the management of wastes. 

Such authority to intervene or otherwise appear shall be exercised 

Report. only after a two-thirds vote of the Commission. In order to represent its views, the Commission may arrange for any expert testimony, 

reports, evidence or other participation as it deems necessary. 14. The Commission may impose sanctions, including but not 

limited to, fines, suspension of privileges and revocation of the 

membership of a party state in accordance with Article VII. The 

Commission shall have the authority to revoke, in accordance with 

Article VII(g), the membership of a party state that creates 

unreasonable barriers to the siting of a needed regional facility or 

refuses to accept host state responsibilities upon designation by the 

Commission. 

Regulation. 15. The Commission shall establish by regulation criteria for and 

shall review the fee and surcharge systems in accordance with Articles 

V and IX. 

16. The Commission shall review the capability of party states to 

ensure the siting, operation, post-closure observation and 

maintenance, and institutional control of any facility within its 

borders. 

17. The Commission shall review the compact legislation every five years prior to federal congressional review provided for in the 

Act, and may recommend legislative action. 

Regulations. 18. The Commission has the authority to develop and provide to 

party states such rules, regulations and guidelines as it deems 

appropriate for the efficient, consistent, fair and reasonable 

implementation of the compact. j. There is hereby established a Commission operating account. The 

Commission is authorized to expend monies from such account for the 

expenses of any staff and consultants designated under section (g) of this 

Article and for official Commission business. Financial support of the 

Commission account shall be provided as follows: 

1. Each eligible state, upon becoming a party state, shall pay $70,000 to the Commission, which shall be used for administrative 

cost of the Commission. 

2. The commission shall impose a "commission surcharge" per unit of waste received at any regional facility as provided in Article V. 

3. Until such time as at least one regional facility is in operation and accepting waste for management, or to the extent that revenues 

under paragraphs (1) and (2) of this section are unavailable or 

insufficient to cover the approved annual budget of the Commission, 

each party state shall pay an apportioned amount of the difference 

between the funds available and the total budget in accordance with 

the following formula: 

(a) 20 percent in equal shares; 

(b) 30 percent in the proportion that the population of the party 

state bears to the total population of all party states, according to 

the most recent U. S. census;

8-63
(c) 50 percent in the proportion that the waste generated for 

management in each party state bears to the total waste generated 

for management in the region for the most recent calendar year in 

which reliable data are available, as determined by the 

Commission. 

k. The Commission shall keep accurate accounts of all receipts and 

Audit. disbursements. An independent certified public accountant shall annually 

Report. audit all receipts and disbursements of Commission accounts and funds 

and submit an audit report to the Commission. Such audit report shall be 

made a part of the annual report of the Commission required by 

Article IV(i)(3). 

Grants. 1. The Commission may accept, receive, utilize and dispose for any of 

Loans. this purposes and functions any and all donations, loans, grants of money, 

equipment, supplies, materials and services (conditional or otherwise) 

from any state or the United States or any subdivision or agency thereof, 

or interstate agency, or from any institution, person, firm or corporation. 

Report. The nature, amount and condition, if any, attendant upon any donation, 

loans, or grant accepted pursuant to this paragraph, together with the 

identity of the donor, grantor, or lender, shall be detailed in the annual 

report of the Commission. The Commission shall by rule establish 

guidelines for the acceptance of donations, loans, grants of money, 

equipment, supplies, materials and services. This shall provide that no 

donor, grantor or lender may derive unfair or unreasonable advantage in 

any proceeding before the Commission. 

Prohibitions. m. The Commission herein established is a body corporate and 

politic, separate and distinct from the party states and shall be so liable for 

its own actions. Liabilities of the Commission shall not be deemed 

liabilities of the party states, nor shall members of the Commission be 

personally liable for action taken by them in their official capacity. 

1. The Commission shall not be responsible for any costs or 

expenses associated with the creation, operation, closure, post-closure 

observation and maintenance, and institutional control of any regional 

facility, or any associated regulatory activities of the party states. 

2. Except as otherwise provided herein, this compact shall not be 

construed to alter the incidence of liability of any kind for any act, 

omission, or course of conduct. Generators, shippers and carriers of 

wastes, and owners and operators of sites shall be liable for their acts, 

omissions, conduct, or relationships in accordance with all laws 

relating thereto. 

Courts, U.S. n. The United States district courts in the District of Columbia shall 

District of have original jurisdiction of all actions brought by or against the 

Columbia. Commission. Any such action initiated in a state court shall be removed 

to the designated United States district court in the manner provided by 

Prohibition. Act of June 25, 1948 as amended (28 USC 14446). This section shall not 

alter the jurisdiction of the United States Court of Appeals for the District 

of Columbia Circuit to review the final administrative decisions of the 

Commission as set forth in the paragraph below. 

Courts, U.S. o. The United States Court of Appeals for the District of Columbia 

Circuit shall have jurisdiction to review the final administrative decisions 

of the Commission. 

1. Any person aggrieved by a final administrative decision may 

obtain review of the decision by filing a petition for review within 

60 days after the Commission's final decision.

8-64
2. In the event that review is sought of the Commission's 

decision relative to the designation of a host state, the Court of 

Appeals shall accord the matter an expedited review, and, if the Court 

does not rule within 90 days after a petition for review has been filed, 

the Commission's decision shall be deemed to be affirmed. 

Prohibition. 3. The courts shall not substitute their judgement for that of the 

Commission as to the decisions of policy or weight of the evidence on 

questions of fact. The Court may affirm the decision of the 

Commission or remand the case for further proceedings if it finds that 

the petitioners has been aggrieved because the finding, inferences, 

conclusions or decisions of the Commission are: 

a. in violation of the Constitution of the United States; 

b. in excess of the authority granted to the Commission by this 

compact; 

c. made upon unlawful procedure to the detriment of any 

person; 

d. arbitrary or capricious or characterized by abuse of 

discretion or clearly unwarranted exercise of discretion. 

Regulations. 4. The Commission shall be deemed to be acting in a legislative capacity except in those instances where it decides, pursuant to its 

rules and regulations, that its determinations are adjudicatory in 

nature. 

ARTICLE V-HOST STATE SELECTION AND DEVELOPMENT 

AND OPERATION OF REGIONAL FACILITIES 

a. The Commission shall develop, adopt, maintain, and implement a 

regional management plan to ensure the safe and efficient management of 

waste within the region. The plan shall include the following: 1. a current inventory of all generators within the region; 2. a current inventory of all facilities within the region, including 

information on the size, capacity, location, specific waste being 

handled, and projected useful life of each facility; Health. 3. consistent with considerations for public health and safety as 

Safety. defined by appropriate regulatory authorities, a determination of the 

type and number of regional facilities which are presently necessary 

and projected to be necessary to manage waste generated within the 

region; 

4. reference guidelines, as defined by appropriate regulatory 

authorities, for the party states for establishing the criteria and 

procedures to evaluate locations for regional facilities. 

b. The Commission shall develop and adopt criteria and procedures for reviewing a party state which volunteers to host a regional facility within its borders. These criteria shall be developed with public notice 

and shall include the following factors: the capability of the volunteering 

party state to host a regional facility in a timely manner and to ensure its 

post-closure observation and maintenance, and institutional control; and 

the anticipated economic feasibility of the proposed facility. 1. Any party state may volunteer to host a regional facility within 

its borders. The Commission may set terms and conditions to 

encourage a party state to volunteer to be the first host state.

8 - 65
Health. 

Safety.

Transportation. 

Studies. 

Report.

2. Consistent with the review required above, the Commission 

shall, upon a two-thirds affirmative vote, designate a volunteering 

party state to serve as a host state. 

c. If all regional facilities required by the regional management plan 

are not developed pursuant to section (b), or upon notification that an 

existing facility will be closed, or upon determination that an additional 

regional facility is or may be required, the Commission shall convene to 

consider designation of a host state. 

1. The Commission shall develop and adopt procedures for 

designating a party state to be a host state for a regional facility. The 

Commission shall base its decision on the following criteria: 

a. the health, safety and welfare of citizens of the party states 

as defined by the appropriate regulatory authorities; 

b. the environmental, economic, and social effects of a 

regional facility on the party states; 

The Commission shall also base its decision on the following 

criteria: 

c. economic benefits and costs; 

d. the volumes and types of waste generated within each party 

state; 

e. the minimization of waste transportation; and 

f. the existence of regional facilities within the party states. 

2. Following its established criteria and procedures, the 

Commission shall designate by a two-thirds affirmative vote a party 

state to serve as a host state. A current host state shall have the right 

of first refusal for a succeeding regional facility. 

3. The Commission shall conduct such hearings arid studies, and 

take such evidence and testimony as is required by its approved 

procedures prior to designating a host state. Public hearings shall be 

held upon request in each candidate host state prior to final evaluation 

and selection. 

4. A party state which has been designated as a host state by the 

Commission and which falls to fulfill its obligations as a host state 

may have its privileges under the compact suspended or membership 

in the compact revoked by the Commission. 

d. Each host state shall be responsible for the timely identification of 

a site and the time development and operation of a regional facility. The 

proposed facility shall meet geologic, environmental and economic 

criteria which shall not conflict with applicable federal and host state laws 

and regulations. 

1. To the extent not prohibited by federal law, a host state may 

regulate and license any facility within its borders. 

2. To the extent not prohibited by federal law, a host state shall 

ensure the safe operation, closure, post-closure observation and 

maintenance, and institutional control of a facility, including adequate 

financial assurances by the operator and adequate emergency response 

procedures. It shall periodically review and report to the Commission 

on the status of the post-closure and institutional control funds and the 

remaining useful life of the facility. 

3. A host state shall solicit comments from each party state and 

the Commission regarding the siting, operation, financial assurances, 

closure, post-closure observation and maintenance, and institutional 

control of a regional facility.

8 -66
e. A host state intending to close a regional facility within its borders 

shall notify the Commission in writing of its intention and reasons 

therefore. 

1. Except as otherwise provided, such notification shall be given to 

the Commission at least five years prior to the scheduled date of 

closure. 

Health. 2. A host state may close a regional facility within its borders in 

Safety. the event of an emergency of if a condition exists which constitutes a 

substantial threat to public health and safety. A host state shall notify 

the Commission in writing within three days of its action and shall 

within 30 working days, show justification for the closing. 

3. In the event that a regional facility closes before an additional 

or new facility becomes operational, the Commission shall make 

interim arrangements for the storage or disposal of waste generated 

within the region until such time that a new regional facility is 

operational. 

f. Fees and surcharges shall be imposed equitably upon all users of a 

regional facility, based upon criteria established by the Commission. 

Regulations. 1. A host state shall, according to its lawful administrative 

procedures, approve fee schedules to be charged to all users of the 

regional facility within its borders. Except as provided herein, such fee 

schedules shall be established by the operator of a regional facility, 

under applicable state regulations, and shall be reasonable and 

sufficient to cover all costs related to the development, operation, 

closure, post-closure observation and maintenance, institutional 

control of the regional facility. The host state shall determine a 

schedule for contributions to the post-closure observation and 

maintenance, and institutional control funds. Such fee schedules shall 

not be approved unless the Commission has been given reasonable 

opportunity to review and make recommendations on the proposed fee 

schedules. 

Regulation. 2. A host state may, according to its lawful administrative 

procedures impose a state surcharge per unit of waste received at any 

regional facility within its borders. The state surcharge shall be in 

addition to the fees charged for waste management. The surcharge 

shall be sufficient to cover all reasonable costs associated with 

administration and regulation of the facility. The surcharge shall not 

be established unless the Commission has been provided reasonable 

opportunity to review and make recommendations on the proposed 

state surcharge. 

3. The Commission shall impose a commission surcharge per unit 

of waste received at any regional facility. The total monies collected 

shall be adequate to pay the cost and expenses of the Commission and 

shall beremitted to the Commission on a timely basis as determined 

by the Commission. The surcharge may be increased or decreased as 

the Commission deems necessary. 

4. Nothing herein shall be construed to limit the ability of the 

host state, or the political subdivision in which the regional facility is 

situated, to impose surcharges for purposes including, but not limited 

to, host community compensation and host community development 

incentives. Such surcharges shall be reasonable and shall not be 

imposed unless the Commission has been provided reasonable 

opportunity to review and make recommendations on the proposed

8 -67
42 USC 2021. 

Prohibition. 

Prohibition. 

Prohibition. 

Prohibition. 

42 USC 2021b 

note. 

Research and 

development. 

Taxes. 

Transportation. 

Prohibition. 

Prohibition. 

Prohibition.

surcharge. Such surcharge may be recovered through the approved fee 

and surcharge schedules provided for in this section. 

ARTICLE VI-OTHER LAWS AND REGULATIONS 

a. Nothing in this compact shall be construed to abrogate or limit the 

regulatory responsibility or authority of the U.S. Nuclear Regulatory 

Commission or of an Agreement State under Section 274 of the Atomic 

Energy Act of 1954, as amended. 

b. The laws or portions of those laws of a party state that are not 

inconsistent with this compact remain in full force. 

c. Nothing in this compact shall make unlawful the continued 

development and operation of any facility already licensed for 

development or operation on the date this compact becomes effective. 

d. No judicial or administrative proceeding pending on the effective 

date of the compact shall be affected by the compact. 

e. Except as provided for in Article III(b)(2) and (c)(3), this compact 

shall not affect the relations between and the respective internal 

responsibilities of the government of a party state and its subdivisions. 

f. The generation, treatment, storage, transportation, or disposal of 

waste generated by the atomic energy defense activities of the federal 

government, as defined in P.L. 96-573, or federal research and 

development activities are not affected by this compact. 

g. To the extent that the rights and powers of any state or political 

subdivision to license and regulate any facility within its borders and to 

impose taxes, fees, and surcharges on the waste managed at that regional 

facility do not operate as an unreasonable impediment to the 

transportation, treatment or disposal of waste, such rights and powers 

shall not be diminished by this compact. 

h. No party state shall enact any law or regulation or attempt to 

enforce any measure which is inconsistent with this compact. Such 

measures may provide the basis for the Commission to suspend or 

terminate a party state's membership and privileges under this compact. 

i. All laws and regulations, or parts thereof of any party state or 

subdivision or instrumentality thereof which are inconsistent with this 

compact are hereby repealed and declared null and void. Any legal right, 

obligation, violation or penalty arising under such laws or regulations 

prior to the enactment of this compact, or not in conflict with it, shall not 

be affected. 

j. Subject to Article III(c)(2), no law or regulation of a party state or 

subdivision or instrumentality thereof may be applied so as to restrict or 

make more costly or inconvenient access to any regional facility by the 

generators of another party state than for the generators of the state where 

the facility is situated. 

k. No law, ordinance, or regulation of any party state or any 

subdivision or instrumentality thereof shall prohibit, suspend, or 

unreasonably delay, limit or restrict the operation of a siting or licensing 

agency in the designation, siting, or licensing of a regional facility. Any 

such provision in existence at the time of ratification of this compact is 

hereby repealed.

8-68
Connecticut. 

Delaware. 

Maine. 

Maryland. 

Massachusetts. 

New Hampshire. 

New Jersey. 

New York. 

Pennsylvania. 

Rhode Island. 

Vermont. 

Effective date.

ARTICLE VH-ELIGIBLE PARTIES, WITHDRAWAL, 

REVOCATION, ENTRY INTO FORCE, TERMINATION 

a. The initially eligible parties to this compact shall be the eleven 

states of Connecticut, Delaware, Maine, Maryland, Massachusetts, New 

Hampshire, New Jersey, New York, Pennsylvania, Rhode Island, and 

Vermont. Initial eligibility will expire June 30, 1984. 

b. Each state eligible to become a party state to this compact shall be 

declared a party state upon enactment of this compact into law by the 

state, repeal of all statutes or statutory provisions that pose unreasonable 

impediments to the capability of the state to host a regional facility in a 

timely manner, and upon payment of the fees required by Article IV(j)(1). 

An eligible state may become a party to this compact by an executive 

order by the governor of the state and upon payment of the fees required 

by Article IV(j)(1). However, any state which becomes a party state by 

executive order shall cease to be a party state upon the final adjournment 

of the next general or regular session of its legislature, unless this 

compact has by then been enacted as a statute by the state and all statutes 

and statutory provisions that conflict with the compact have been 

repealed. 

c. The compact shall become effective in a party state upon enactment 

by that state. It shall not become initially effective in the region until 

enacted into law by three party states and consent given to it by the 

Congress. 

d. The first three states eligible to become party states to this compact 

which adopt this compact into law as required in Article VII(b) shall 

immediately, upon the appointment of their Commission members, 

constitute themselves as the Northeast Interstate Low-Level Radioactive 

Waste Commission. They shall cause legislation to be introduced in the 

Congress which grants the consent of the Congress to this compact, and 

shall do those things necessary to organize the Commission and 

implement the provisions of this compact. 

1. The Commission shall be the judge of the qualifications of the 

party states and of its members and of their compliance with the 

conditions and requirements of this compact and of the laws of the 

party states relating to the enactment of this compact. 

2. All succeeding states eligible to become party states to this 

compact shall be declared party states pursuant to the provisions of 

section (b) of this Article. 

e. Any state not expressly declared eligible to become a party state to 

this compact in section (a) of this Article may petition the Commission to 

be declared eligible. The Commission may establish such conditions as it 

deems necessary and appropriate to be met by a state requesting eligibility 

as a party state to this compact pursuant to the provisions of this section, 

including a public hearing on the application. Upon satisfactorily meeting 

such conditions and upon the affirmative vote of two-thirds of the 

Commission, including the affirmative vote of the representatives of the 

host states in which any affected regional facility is located, the 

petitioning state shall be eligible to become a party state to this compact 

and may become a party state in the same manner as those states declared 

eligible in section (a) of this Article.

8-69
Prohibition. f. No state holding membership in any other regional compact for the 

management of low-level radioactive waste may become a member of this 

compact. 

g. Any party state which fails to comply with the provisions of this 

compact or to fulfill its obligations hereunder may have its privileges 

suspended or, upon a two-thirds vote of the Commission, after full 

opportunity for hearing and comment, have its membership in the 

compact revoked. Revocation shall take effect one year from the date the 

affected party state receives written notice from the Commission of its 

action. All legal rights of the affected party state established under this 

compact shall cease upon the effective date of revocation, except that any legal obligations of that party state arising prior to revocation will not 

cease until they have been fulfilled. As soon as practicable after a 

Commission decision suspending or revoking party state status, the 

Commission shall provide written notice of the action and a copy of the 

resolution to the governors and the presiding officer of each body of the 

state legislatures of the party states, and to chairmen of the appropriate 

committees of the Congress. 

h. Any party state may withdraw from this compact by repealing its 

authorization legislation, and all legal rights under this compact of the 

party state cease upon repeal. However, no such withdrawal shall take 

effect until five years after the Governor of the withdrawing state has 

given notice in writing of such withdrawal to the Commission and to the 

governor of each party state. No withdrawal shall affect any liability already incurred by or chargeable to a party state prior to that time. 

1. Upon receipt of the notification, the Commission shall, as soon 

as practicable, provide copies to the governors and the presiding 

officer of each body of the state legislatures of the party states, and to 

the chairmen of the appropriate committees of the Congress. 2. A regional facility in a withdrawing state shall remain available 

to the region for five years after the date the Commission receives 

written notification of the intent to withdraw or until the prescheduled 

dates of closure, whichever occurs first. 

i. This compact may be terminated only by the affirmative action of 

the Congress or by the repeal of all laws enacting the compact in each 

party state. The Congress may by law withdraw its consent every five 

years after the compact takes effect. 

1. The consent given to this compact by the Congress shall extend 

to any future admittance of new party states under sections (b) and (e) 

of this Article. 

2. The withdrawal of a party state from this compact under section 

(h) or the revocation of a state's membership in this compact under 

section (g) of this Article shall not affect the applicability of the 

compact to the remaining party states. 

ARTICLE VUI-PENALTIES 

a. Each party state, consistent with federal and host state regulations and laws, shall enforce penalties against any person not acting as an 

official of a party state for violation of this compact in the party state. 

Each party state acknowledges that the shipment to a host state of waste 

packaged or transported in violation of applicable laws and regulations 

can result in the imposition of sanctions by the host state. These sanctions

8 -70
may include, but are not limited to, suspension or revocation of the 

violator's rights of access to the facility in the host state. 

Regulations. b. Without the express approval of the Commission, it shall be 

unlawful for any person to dispose of any low-level waste within the 

region except at a regional facility; provided, however, that this restriction 

shall not apply to waste which is permitted by applicable federal or state 

regulations to be discarded without regard to its radioactivity. 

c. Unless specifically approved by the Commission and affected host 

state(s) pursuant to Article IV, it shall be a violation of this compact for: 

1) any person to deposit at a regional facility waste not generated within 

the region; 2) any regional facility to accept waste not generated within 

the region; and 3) any person to export from the region waste generated 

within the region. 

d. Primary responsibility for enforcing provisions of the law will rest 

with the affected state or states. The Commission, upon a two-thirds vote 

of its members, may bring action to seek enforcement or appropriate remedies against violators of the provisions and regulations for this 

compact as provided for in Article IV. 

ARTICLE IX-COMPENSATION PROVISIONS 

a. The responsibility for ensuring compensation and clean-up during the operational and post-closure periods rests with the host state, as set 

forth herein. 

1. The host state shall ensure the availability of funds and 

procedures for compensation of injured persons, including facility 

employees, and property damage (except any possible claims for 

diminution of property values) due to the existence and operation of a 

regional facility, and for clean-up and restoration of the facility and 

surrounding areas. 

2. The state may satisfy this obligation by requiring bonds, 

insurance, compensation funds, or any other means or combination of 

means, imposed either on the facility operator or assumed by the state 

Prohibition. itself, or both. Nothing in this article alters the liability of any person 

or governmental entity under applicable state and federal laws. 

b. The Commission shall provide a means of compensation for 

persons injured or property damaged during the institutional control 

period due to the radioactive and waste management nature of the 

regional facility. This responsibility may be met by a special fund, 

insurance, or other means. 

Contracts. 1. The Commission is authorized, at its discretion, to impose a 

Insurance. waste management surcharge, to be collected by the operator or owner 

of the regional facility; to establish a separate insurance entity, formed 

by but separate from the Commission itself, but under such terms and 

conditions as it decides, and exempt from state insurance regulation; 

to contract with this company or other entity for coverage; or to take 

any other measures, or combination of measures, to implement the 

goals of this section. 

Regulations. 2. The existence of this fund or other means of compensation shall 

not imply liability by the Commission, the non-host party states, or 

any of their officials and staff, which are exempted from liability by 

other provisions of this compact. Claims or suits for compensation

8-71
Provisions held 

invalid. 

a

shall be directed against the fund, the insurance company, or other 

entity, unless the Commission, by regulation, directs otherwise. 

c. Not withstanding any other provisions, the Commission fund, 

insurance, or other means of compensation shall also be available for third 

party relief during the operational and post-closure periods, as the 

Commission may direct, but only to the extent that no other funds, 

insurance, tort compensation, or other means are available from the host 

state or other entities, under section a. of this Article or otherwise; 

provided, that this Commission contribution shall not apply to clean-up or 

restoration of the regional facility and its environs during the operational 

and post-closure period. 

d. The liability of the Commission's fund, insurance entity, or any 

other means of compensation shall be limited to the amount currently 

contained therein; provided that the Commission may set some lower limit 

to ensure the integrity and availability of the fund or other entity for 

liability. 

ARTICLE X-SEVERABILITY AND CONSTRUCTION 

The provisions of this compact shall be severable, and if any phrase, 

clause, sentence or provision of this compact is declared by a federal 

court of competent jurisdiction to be contrary to the Constitution of the 

United States or the applicability thereof to any government, agency, 

person or circumstance is held invalid, the validity of the remainder of 

this compact and the applicability thereof to any other government, 

agency, person or circumstance shall not be affected thereby. The 

provisions of this compact shall be liberally construed to give effect to the 

purpose thereof.43 

Approved January 15, 1986.

"

43

Amends P.L. 96-573 by striking out sections 1, 2, 3, 4 and inserting in lieu thereof P.L. 99-240

8 -72
APPALACHIAN STATES LOW-LEVEL RADIOACTIVE WASTE 

COMPACT CONSENT ACT 

TABLE OF CONTENTS 

PAGE 42 USC 

Sec. 

Sec. 1. Short Title .................................... 2 2021d 

Sec. 2. Congressional Finding ............................. 2 2021d 

Sec. 3. Conditions of Consent to Compact .................... 2 2021d 

Sec. 4. Congressional Review . ............................ 2 2021d 

Sec. 5. Appalachian States Low-level Radioactive Waste Compact 2 2021d 

APPALACHIAN STATES LOW-LEVEL RADIOACTIVE WASTE COMPACT 

Pream ble ....................................... 2 

Article I. Definitions ...................................... 3 

Article III. Rights, Responsibilities and Obligations 

of Party States ................................ 8 

Article IV. Prohibited Acts and Penalties ...................... 11 

Article V. Eligibility, Entry into Effect, Congressional Consent, 

W ithdrawal ................................. 12 

Article VI. Construction and Severability ...................... 13

9-1
APPALACHIAN STATES LOW-LEVEL RADIOACTIVE 

WASTE COMPACT CONSENT ACT

Public Law 100-319

Appalachian States 

Low-Level 

Radioactive Waste 

Compact Consent 

Act. 

42 USC 2021d 

note. 

42 USC 2021d 

note. 

42 USC 2021d 

note. 

42 USC 2021d 

note. 

42 USC 2021d 

note. 

Delaware. 

Maryland. 

Pennsylvania. 

West Virginia. 

Waste disposal.

102 Stat. 471

May 19, 1988 

An Act 

To grant the consent of the Congress to the Appalachian States 

Low-Level Radioactive Waste Compact. 

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 "Appalachian States Low-Level 

Radioactive Waste Compact Consent Act." 

Sec. 2. CONGRESSIONAL FINDINGs/ 

The Congress finds that the compact set forth in section 5 is in 

furtherance of the Low-Level Radioactive Waste Policy Act. 

Sec. 3. CONDITIONS OF CONSENT TO COMPACT. 

The consent of the Congress to the compact set forth in section 5

(1) shall become effective on the date of the enactment of this Act, 

(2) is granted subject to the provisions of the Low-Level 

Radioactive Waste Policy Act, and 

(3) is granted only for so long as the Appalachian States 

Low-Level Radioactive Waste Commission, advisory committees, and 

regional boards established in the compact comply with all the 

provisions of such Act. 

Sec. 4. CONGRESSIONAL REVIEW. 

The Congress may alter, amend, or repeal this Act with respect to the 

compact set forth in section 5 after the expiration of the 10-year period following the date of the enactment of this Act, and at such intervals 

thereafter as may be provided for in such compact. Sec. 5. APPALACHIAN STATES LOW-LEVEL RADIOACTIVE 

WASTE COMPACT. 

In accordance with section 4(a)(2) of the Low-Level Radioactive 

Waste Policy Act (42 U.S.C. 2021d(A)(2)), the consent of Congress is 

given to the States of Pennsylvania, West Virginia, and any eligible States 

as defined in Article 5(A) of the Appalachian States Low-Level 

Radioactive Waste Compact to enter into such compact. Such compact is 

substantially as follows: 

APPALACHIAN STATES LOW-LEVEL RADIOACTIVE WASTE 

COMPACT 

PREAMBLE 

Whereas, The United States Congress, by enacting the Low-Level 

Radioactive Waste Policy Act (42 USC §§2021b-2021d) has encouraged the use of interstate compacts to provide for the establishment and 

operation of facilities for regional management of low-level radioactive 

waste;

9-2
Publichealth and Whereas, Under section 4(a)(1)(A) of the Low-Level Radioactive 

safety. Waste Policy Act (42 USC § 2021d(a)(1)(A)), each state is responsible for providing for the capacity for disposal of low-level radioactive waste 

generated within its borders; 

Whereas, To promote the health, safety and welfare of residents 

within, the Commonwealth of Pennsylvania and other eligible states as 

defined in Article 5(A) of this compact shall enter into a compact for the 

regional management and disposal of low-level radioactive waste. 

Now, therefore, the Commonwealth of Pennsylvania and the state of 

West Virginia and other eligible states hereby agree to enter into the 

Appalachian States Low-Level Radioactive Waste Compact. 

ARTICLE I-DEFINITIONS 

As used in this compact, unless the context clearly indicates 

otherwise: 

(a) "Broker" means any intermediate person who handles, treats, 

processes, stores, packages, ships or otherwise has responsibility for 

or possesses low-level waste obtained from a generator. (b) "Carrier" means a person who transports low-level waste to a 

regional facility. (c) "Commission" means the Appalachian States Low-Level 

Radioactive Waste Commission. 

(d) "Disposal" means the isolation of low-level waste from the 

biosphere. 

(e) "Facility" means any real personal property within the region, and improvements thereof or thereon, and any and all plant structures, machinery and equipment acquired, constructed, operated or 

maintained for the management or disposal of low-level waste. 

(f) "Generate" means to produce low-level waste requiring disposal. 

(g) "Generator" means a person whose activity results in the 

production of low-level waste requiring disposal. (h) "Hazardous life" means the time required for radioactive 

materials to decay to safe levels, as defined by the time period for the 

concentration of radioactive materials within a given container or 

package to decay to maximum permissible concentrations as defined 

by Federal law or by standards to be set by a host state, whichever is 

more restrictive. 

(i) "Host state" means Pennsylvania or other party state so 

designated by the Commission in accordance with Article 3 of this 

compact. (j) "Institutional control period" means the time of the continued 

observation, monitoring and care of the regional facility following transfer of control from the operator to the custodial agency. (k) "Low-level waste" means radioactive waste that: 

(1) is neither high-level waste or transuranic waste, nor spent nuclear fuel, nor by-product material as defined in Section 1I (e)(2) of the Atomic Energy Act of 1954 as amended; and 

(2) is classified by the Federal Government as low-level waste, 

consistent with existing law; but does not include waste generated 

as a result of atomic energy defense activities of the Federal

9-3
Government, as defined in Public Law 96-573, or Federal research 

and development activities. 

(1) "Management" means the reproduction, collection, 

consolidation, storage, packaging or treatment of low-level waste. 

(m) "Operator" means a person who operates a regional facility. (n) "Party state" means any state that has become a party in 

accordance with Article 5 of this compact. 

(o) "Person" means an individual, corporation, partnership or other 

legal entity, whether public or private. 

(p) "Region" means the combined geographic area within the 

boundaries of the party states. 

(q) "Regional facility" means a facility within any party state 

which has been approved by the Commission for the disposal of 

low-level waste. 

(r) "Shallow land burial" means the disposal of low-level 

radioactive waste directly in subsurface trenches without additional 

confinement in engineered structures or-by proper packaging in 

containers as determined by the law of the host state. 

(s) "Transuranic waste" means low-level waste containing radionuclides with an atomic number greater than 92 which are 

excluded from shallow-land burial by the Federal Government. 

(A) Creation and Organization. 

(1) Creation-There is hereby created the Appalachian States 

Low-Level Radioactive Waste Commission. The Commission is 

hereby created as a body corporate and politic, with succession for the 

duration of this compact, as an agency and instrumentality of the 

governments of the respective signatory parties, but separate and 

distinct from the respective signatory party states. The Commission 

shall have central offices located in Pennsylvania. 

(2) Commission Membership-The Commission shall consist of 

two voting members from each party state to be appointed according 

to the laws of each party state and two additional voting members 

from each host state to be appointed according to the laws of each host 

state. Upon selection of the site of the regional facility, an additional 

voting member shall be appointed to the Commission who shall be a 

resident of the county or municipality where the facility is to be 

located. The appointing authority of each party state shall notify the 

Commission in writing of the identities of the members and of any alternates. An alternate may vote and act in the member's absence. No 

member shall have a financial interest in any industry which generates low-level radioactive waste, any low-level radioactive waste regional facility or any related industry for the duration of the member's term. 

No more than one-half the members and alternates from any party 

state shall have been employed by or be employed by a low-level 

waste generator or related industry upon appointment to or during their tenure of office; provided, that no member shall have been 

employed by or be employed by a regional facility operator. No 

member or alternate from any party state shall accept employment from any regional facility operator or brokers for at least three years 

after leaving office. 

(3) Compensation-Members of the Commission and alternates 

shall serve without compensation from the Commission but may be

9-4

Establishment.
Public information. 

Records. 

Public Information.

reimbursed for necessary expenses incurred in and incident to the 

performance of their duties. 

(4) Voting Power-Each Commission member is entitled to one 

vote. Unless otherwise provided in this compact, affirmative votes by 

a majority of a host state's members are necessary for the Commission 

to take any action related to the regional facility and the disposal and 

management of low-level waste within that host state. 

(5) Organization and 

(a) The Commission shall provide for its own organization and 

procedures and shall adopt by-laws not inconsistent with this 

compact and any rules and regulations necessary to implement this 

compact. It shall meet at least once a year in the county selected to 

host a regional facility and shall elect a chairman and vice 

chairman from among its members. In the absence of the chairman, 

the vice chairman shall serve. 

(b) All meetings of the Commission shall be open to the public 

with at least 14 days' advance notice, except that the chairman may 

convene an emergency meeting with less advance notice. Each 

municipality and county selected to host a regional facility shall be 

specifically notified in advance of all Commission meetings. All 

meetings of the Commission shall be conducted in a manner that 

substantially conforms to the Administrative Procedure Act (5 

U.S.C. Ch. 5, Subch. II, and Ch. 7). The Commission may, by a 

two-thirds vote, including approval of a majority of each host 

state's Commission members, hold an Executive Session closed to 

the public for the purpose of: considering or discussing legally 

privileged or proprietary information; to consider dismissal, 

disciplining of or hearing complaints or charges brought against an 

employee or other public agents unless such person requests such 

public hearing; or to consult with its attorney regarding 

information or strategy in connection with specific litigation. The 

reason for the Executive Session must be announced at least 14 

days prior to the Executive Session, except that the chairman may 

convene an emergency meeting with less advance notice, in which 

case the reason for the Executive Session must be announced at 

the open meeting immediately subsequent to the Executive 

Session. All action taken in violation of this open meeting shall be 

null and void. 

(c) Detailed written minutes shall be kept of all meetings of the 

Commission. All decisions, files, records and data of the 

Commission, except for information privileged against 

introduction in judicial proceedings, personnel records and 

minutes of a properly convened Executive Session, shall be open 

to public inspection subject to a procedure that substantially 

conforms to the Freedom of Information Act (Public Law 89-554, 

5 USC §552) and applicable Pennsylvania law and may be copied 

upon request and payment of fees which shall be no higher than 

necessary to recover copying costs. 

(d) The Commission shall select an appropriate staff, including 

an Executive Director, to carry out the duties and functions 

assigned by the Commission. Notwithstanding any other provision 

of law, the Commission may hire and/or retain its own legal 

counsel.

9-5
(e) Any person aggrieved by a final decision of the 

Commission which adversely affects the legal rights, duties or 

privileges of such person may petition a court of competent 

jurisdiction, within 60 days after the Commission's final decision, 

to obtain judicial review of said final decisions. 

(f) Liabilities of the Commission shall not be deemed liabilities 

of the party states. Members of the Commission shall not be 

personally liable for actions taken in their official capacity. 

(B) Powers and Duties. 

The Commission: 

Regulations. (a) Shall conduct research and establish regulations to promote a 

Research and reasonable reduction of volume and curie content of low-level wastes 

development, generated in the region. The regulations shall be reviewed and, if 

necessary, revised by the Commission at least annually. 

(b) Shall ensure, to the extent authorized by Federal law, that 

low-level wastes are safely disposed of within the region except that 

the Commission shall have no power or authority to license, regulate 

or otherwise develop a regional facility, such powers and authority being reserved for the host state(s) as permitted under the law. 

(c) Shall designate as "host states" any party state which generates 25 percent or more of Pennsylvania's volume or total curie content of 

low-level waste generated based on a comparison of averages over 

three successive years, as determined by the Commission. This 

determination shall be based on volume or total curie content, 

whichever is greater. 

(d) Shall ensure, to the extent authorized by Federal law, that 

low-level waste packages brought into the regional facility for 

disposal conform to applicable state and Federal regulations. Low-level waste brokers or generators who violate these regulations will be subject to a fine or other penalty imposed by the Commission, 

including restricted access to a regional facility. The Commission may impose such fines and/or penalties in addition to any other penalty levied by the party states pursuant to Article 4(D). 

(e) Shall establish such advisory committees as it deems necessary for the purpose of advising the Commission on matters pertaining to 

the management and disposal of low-level waste. 

Contracts. (f) May contract to accomplish its duties and effectuate its powers subject to projected available resources. No contract made by the 

Commission shall bind a party state. 

(g) Shall prepare contingency plans for management and disposal of low-level waste in the event any regional facility should be closed 

or otherwise unavailable. 

Records. (h) Shall examine all records of operators of regional facilities 

pertaining to operating costs, profits or the assessment or collection of 

any charge, fee or surcharge and may make recommendations to the 

host state(s) which shall review the recommendations in accordance 

with its (their) own sovereign laws. 

(i) Shall have the power to sue and be sued subject to 

Article (2)(A)(5)(e) and may seek to intervene in any administrative or 

judicial proceeding. 

(j) Shall assemble and make available, to the party states and to the 

public, information concerning low-level waste management and 

disposal needs, technologies, and problems.

9-6
Records. (k) Shall keep current and annual inventories of all generators by 

name and quantity of low-level waste generated within the region, 

based upon information provided by the party states. Inventory information shall include both volume in cubic feet and total curie 

content of the low-level waste and all available information on 

chemical composition and toxicity of such wastes. 

Records. (1) Shall keep an inventory of all regional facilities and specialized 

facilities, including, but not necessarily restricted to, information on 

their size, capacity and location, as well as specific wastes capable of 

being managed, and the projected useful life of each regional facility. 

Reports. (in) Shall make and publish an annual report to the governors of 

the signatory party states and to the public detailing its programs, 

operations and finances, including copies of the annual budget and the 

independent audit required by this compact. 

Contracts. (n) Notwithstanding any other provision of this compact to the 

contrary, may, with the unanimous approval of the Commission 

members of the host state(s), enter into temporary agreements with 

non-party states or other regional boards for the emergency disposal of 

low-level waste at the regional facility, if so authorized by law(s) of 

the host state(s), or other disposal facilities located in states that are 

not parties to this agreement. 

Regulations. (o) Shall promulgate regulations, pursuant to host state law, to 

specifically govern and define exactly what would constitute an 

emergency situation and exactly what restrictions and limitations 

would be placed on temporary agreements. 

(p) Shall not accept any donations, grants, equipment, supplies, materials or services, conditional or otherwise, from any source, 

except from any Federal agency and from party states which are 

certified as being legal and proper under the laws of the donating party 

state. 

(C) Budget and Operation. (1) Fiscal Year-The Commission shall establish a fiscal year 

which conforms to the fiscal year of the Commonwealth of 

Pennsylvania. 

(2) Current Expense Budget-Upon legislative enactment of this 

compact by two party states and each year until the regional facility becomes available, the Commission shall adopt a current expense 

budget for its fiscal year. The budget shall include the Commission's 

estimated expenses for administration. Such expenses shall be 

allocated to the party states according to the following formula: 

Each designated initial host state will be allocated costs equal 

to twice the costs of the other party states, but such costs will not 

exceed $200,000. 

Each remaining party state will be allocated a cost of one half 

the cost of the initial host state, but such cost will not exceed 

$100,000. 

The party states will include the amounts allocated above in 

their respective budgets, subject to such review and approval as 

may be required by their respective budgetary processes. Such 

amounts shall be due and payable to the Commission in quarterly installments during the fiscal year. (3) Annual Budget Request-For continued funding of its activities, 

the Commission shall submit an annual budget request to each party

9-7
Reports. 

Public information.

Public health and 

safety.

state for funding, based upon the percentage of the region's waste 

generated in each state in the region, as reported in the latest available 

annual inventory required under Article 2(B)(k). The percentage of 

waste shall be based on volume of waste or total curie content as 

determined by the Commission. 

(4) Annual Report to Include Budget-The Commission shall 

prepare and include in the annual report a budget showing anticipated 

receipts and disbursements for the ensuing year. 

(5) Annual Independent Audit

(a) As soon as practible after the closing of the fiscal year, an 

audit shall be made of the financial accounts of the Commission. 

The audit shall be made by qualified certified public accountants 

selected by the Commission, who have no personal direct or 

indirect interest in the financial affairs of the Commission or any 

of its officers or employees. The report of audit shall be prepared 

in accordance with accepted accounting practices and shall be filed 

with the chairman and such other officers as the Commission shall 

direct. Copies of the report shall be distributed to each 

Commission member and shall be made available for public 

distribution. 

(b) Each signatory party, by its duly authorized officers, shall 

be entitled to examine and audit at any time all of the books, 

documents, records, files and accounts and all other papers, things 

or property of the Commission. The representatives of the 

signatory parties shall have access to all books, documents, 

records, accounts, reports, files and all other papers, things or 

property belonging to or in use by the Commission and necessary 

to facilitate the audit; and they shall be afforded full facilities for 

verifying transactions with the balances or securities held by 

depositaries, fiscal agents and custodians. 

ARTICLE Ill-RIGHTS, RESPONSIBILITIES AND 

OBLIGATIONS OF PARTY STATES 

(A) Regional Facilities. 

There shall be regional facilities sufficient to dispose of the low-level 

waste generated within the region. Each regional facility shall be capable 

of disposing of such low-level waste but in the form(s) required by 

regulations or license conditions. Specialized facilities for particular types 

of low-level waste management, reduction or treatment may not be 

developed in any party state unless they are in accordance with the laws 

and regulations of such state and applicable Federal laws and regulations. 

(B) Equal Access to Regional Facilities. 

Each party state shall have equal access as other party states to 

regional facilities located within the region and accepting low-level waste, 

provided, however, that the host state may close the regional facility 

located within its borders when necessary for public health and safety. 

However, a host state shall send notification to the Commission in writing 

within three (3) days of this action and shall, within thirty (30) working 

days, provide in writing the reasons for the closing. 

(C) Initial Host State. 

Pennsylvania and party states which generate 25 percent or more of 

the volume or curies of low-level waste generated by Pennsylvania, based

9-8
Environmental 

protection. 

Public health and 

safety.

on a comparison of averages over the three years 1982 through 1984, are 

designated as "initial host states" and are required to develop and host 

low-level waste sites as regional facilities. The percentage of waste from 

each state shall be determined by cubic foot volume or total curie content, 

whichever is greater. 

(D) Exemption From Being Initial Host State. 

Party states which generate less than 25 percent of the volume or 

curies of low-level waste generated by Pennsylvania, based on a 

comparison of averages over the years 1982 through 1984, shall be 

exempt from initial host state responsibilities. These states shall continue 

to be exempt as long as they generate less that 25 percent threshold over 

successive 3-year periods. Once a state generates an average of 25 percent 

or more of the volume or curies generated by Pennsylvania over a 

successive 3-year period, it shall be designated as a "host state" for a 

30-year period by the Commission and shall immediately initiate 

development of a regional facility to be operational within five years. Such host state shall be prepared to accept at its regional facility low-level 

waste at least equal to that generated in the state. With Commission 

approval, any party state may volunteer to host a regional facility. The 

percentage of waste from each state shall be determined by either a cubic 

foot volume or total curie content, whichever is greater. 

(E) Useful Life of Regional Facilities. 

Pennsylvania and other host states are obligated to develop regional facilities for the duration of this compact. All regional facilities shall be 

designed for at least a 30-year useful life. At the end of the facility's life, 

normal closure and maintenance procedures shall be initiated in 

accordance with the applicable requirements of the host state and the 

Federal Government. Each host state's obligation for operating regional facilities shall remain as long as the state continues to produce over a 

3-year period 25 percent or more of the volume or curies of low-level 

waste generated by Pennsylvania. 

(F) Duties of Host State. 

Each host state shall: 

(a) Cause a regional facility to be sited and developed on a timely basis. 

(b) Ensure by law, consistent with applicable state and Federal 

law, the protection and preservation of public health, safety and 

environmental quality in the siting, design, development, licensure or 

other regulation, operation, closure, decommissioning, long-term care 

and the institutional control period of the regional facility within the 

state. To the extent authorized by Federal law, a host state may adopt 

more stringent laws, rules or regulations than required by Federal law. 

(c) Ensure and maintain a manifest system which documents all 

waste-related activities of generators, brokers, carriers and related 

activities of generators, brokers, carriers and operators, and establish 

the chain of custody of waste from its initial generation to the end of 

its hazardous life. Copies of all such manifests shall be submitted to 

the Commission on a timely basis. 

(d) Ensure that charges for disposal of low-level waste at the 

regional facility are sufficient to fully fund the safe disposal and 

perpetual care of the regional facility and that charges are assessed 

without discrimination as to the party state of origin.

9-9
Reports. (e) Submit an annual report to the Commission on the status of the 

regional facility which contains projections of the anticipated future 

capacity. 

(f) Notify the Commission immediately if any exigency arises 

requiring the possible temporary or permanent closure of a regional 

facility within the state at a time earlier than was projected in the 

state's most recent annual report to the Commission. 

(g) Require that the institutional control period of any disposal 

facility be at least as long as the hazardous life, as defined in Article 

1(h), of the radioactive materials that are disposed at that facility. 

(h) Prohibit the use of any shallow land burial, as defined in 

Article 1(r), and develop alternative means for treatment, storage and 

disposal of low-level waste. 

(i) Establish by law, to the extent not prohibited by Federal law, 

requirements for financial responsibility, including, but not limited to: 

(i) Requirements for the purchase and maintenance of adequate 

insurance by generators, brokers, carriers and operators of the 

regional facility; 

(ii) Requirements for the establishment of a long-term care 

fund to be funded by a fee placed on generators to pay for 

preventative or corrective measures of low-level waste to the 

regional facility; and 

(iii) Any further financial responsibility requirements that shall 

be submitted by generators, brokers, carriers and operators as 

deemed necessary by the host state. 

(G) Duties of Party State. 

Each party state: 

(a) Shall appropriate its portion of the Commission's initial and 

annual budgets as set out in Article 2(C)(2) and (3). 

(b) To the extent authorized by Federal law shall develop and 

enforce procedures requiring low-level waste shipments originating 

within its borders and destined for a regional facility to conform to 

volume reduction, packaging and transportation requirements and 

regulations as well as any other requirements specified by the regional 

facility. Such procedures shall include, but are not limited to: 

(i) Periodic inspections of packaging and shipping practices; 

(ii) Periodic inspections of low-level waste containers while in 

custody of cariers; and 

(iii) Appropriate enforcement actions with respect to 

violations. 

(c) To the extent authorized by Federal law, shall, after receiving 

notification from a host state or other person that a person in a party 

state has violated volume reduction, packaging, shipping or 

transportation requirements or regulations, take appropriate action to 

ensure that violations do not recur. Appropriate action shall include, 

but is not limited to, the requirement that a bond be posted by the 

violator to pay the cost of repackaging at the regional facility and the 

requirement that future shipments be inspected. Appropriate action 

may also include suspension of the violator's use of the regional 

facility. Should such suspension be imposed, the suspension shall 

remain in effect until such time as the violator has, to the satisfaction 

of the party state imposing such suspension, complied with the 

appropriate requirements or regulations upon which the suspension

9-10
Records. 

Claims.

Public health and 

safety. 

Environmental 

protection.

was based and has taken appropriate action to ensure that such 

violation or violations do not recur. 

(d) Shall maintain a registry of all generators and quantities generated within the state. 

(H) Liability. 

In the event of liability arising from the operation of any regional facility and during and after closure of that facility, each party state shall 

share in that liability in an amount equal to that state's share of the 

region's low-level waste disposed of at the facility. If such liability arises 

from negligence, malfeasance or neglect on the part of a host state or any party state, then any other host or party state(s) may make any claim 

allowable under law for that negligence, malfeasance or neglect. If such 

liability arises from a particular waste shipment or shipments to, or 

quantity of waste or condition at, the regional facility, then any host or 

party state may make any claim allowable under law for such liability. The percentage of waste shall be based on volume of waste or total curie 

content. 

(I) Failure of Party State to Fulfill Obligations. A party state which fails to fulfill its obligations, including timely funding of the Commission, may have its privileges under the Compact suspended or its membership in the Compact revoked by the Commission 

and be subject to any other legal equitable remedies available to the party states. 

ARTICLE IV-PROHIBITED ACTS AND PENALTIES 

(A) Prohibition. 

It shall be unlawful for any person to dispose of low-level waste 

within the region except at a regional facility unless authorized by the 

Commission. 

(B) Waste Disposed of Within Region. After establishment of the regional facility(s), it shall be unlawful for 

any person to dispose of any low-level waste within the region unless the 

waste was generated within the region or unless authorized to do so both 

by the Commission and by law of the host state in which said disposal takes place. For the purpose of this compact, waste generated within the 

region excludes radioactive material shipped from outside the party states 

to a waste management facility within the region. In determining whether 

to grant such authorization, the factors to be considered by the 

Commission shall include, but not be limited to, the following: (a) The impact on the health, safety and environmental quality of 

the citizens of the party states; 

(b) The impact of importing waste on the available capacity and 

projected life of the regional facility; 

(c) The availability of a regional facility appropriate for the safe 

disposal of the type 'of low-level waste involved. 

(C) Waste Generated Within Region. 

Any and all low-level waste generated within the region shall be 

disposed of at a regional facility, except for specific cases agreed upon by the Commission, with the affirmative votes by a majority of the 

Commission members of the host state(s) affected by the decision.

9-11
Employment and 

unemployment. 

Contracts.

Delaware. 

Maryland 

Pennsylvania. 

West Virginia. 

Effective dates.

(D) Liability. 

Generators, brokers and carriers of wastes, and owners and operators 

of sites shall be liable for their acts, omissions, conduct or relationships in 

accordance with all laws relating thereto. The party states shall impose a 

fine for any violation in an amount equal to the present and future costs 

associated with correcting any harm caused by the violation and shall 

assess punitive fines or penalties if it is deemed necessary. In addition, 

the host state shall bar any person who violates host state or Federal 

regulations from using the regional facility until that person demonstrates 

to the satisfaction of the host state the ability and willingness to comply 

with the law. 

(E) Conflict of Interest. 

(1) Prohibitions

No commissioner, officer or employee shall: 

(a) Be financially interested, either directly or indirectly, in a 

contract, sale, purchase, lease or transfer of real or personal 

property to which the Commission is a party. 

(b) Solicit or accept money or any other thing of value in 

addition to the expenses paid to him by the Commission for 

services performed within the scope of his official duties. 

(c) Offer money or anything of value for or in consideration of 

obtaining an appointment, promotion or privilege in his 

employment with the Commission. 

(2) Forfeiture of Office or Employment-Any officer or employee 

who shall willfully violate any of the provisions of this section shall 

forfeit his office or employment. 

(3) Agreement Void-Any contract or agreement knowingly made 

in contravention of this section is void. 

(4) Criminal and Civil Sanctions

Officers and employees of the Commission shall be subject, in 

addition to the provisions of this section, to such criminal and civil 

sanctions for misconduct in office as may be imposed by Federal law 

and the law of the signatory state in which such misconduct occurs. 

ARTICLE V-ELIGIBILITY, ENTRY INTO EFFECT, 

CONGRESSIONAL CONSENT, WITHDRAWAL 

(A) Eligibility. 

Only the States of Pennsylvania, West Virginia, Delaware and 

Maryland are eligible to become parties to this compact. 

(B) Entry into Effect. 

An eligible state may become a party state by legislative enactment of 

this compact or by executive order of the governor adopting this compact; 

provided, however, a state becoming a party state by executive order shall 

cease to be a party state upon adjournment of the first federal session of 

its legislature convened thereafter, unless the legislature shall have 

enacted this compact before such adjournment. 

(C) Congressional Consent. 

This compact shall take effect when it has been enacted by the 

legislatures of Pennsylvania and one or more eligible states. However, 

Article 4 (B) and (C) shall not take effect until Congress has consented to 

this compact. Every fifth year after such consent has been given, Congress 

may withdraw consent.

9-12
(D) Withdrawal. 

A party state may withdraw from the compact by repealing the 

enactment of this compact, but no such withdrawal shall become effective 

until two years after enactment of the repealing legislation. If the 

withdrawing state is a host state, any regional facility in that state shall 

remain available to receive low-level waste generated within the region until five years after the effective date of the withdrawal. 

ARTICLE VI-CONSTRUCTION AND SEVERABILITY 

(A) Construction. 

The provisions of this compact shall be broadly construed to carry out 

the purposes of the compact, but the sovereign powers of a party state 

shall not unnecessarily be infringed. 

(B) Severability. 

If any part or application of this compact is held invalid, the 

remainder, or its application to other situations or persons, shall not be 

affected. 

Approved May 19, 1988

9-13
FElo
SOUTHWESTERN LOW-LEVEL RADIOACTIVE WASTE DISPOSAL 

COMPACT CONSENT ACT 

TABLE OF CONTENTS 

PAGE 42 USC 

Sec. 

Sec. 1. Short Title.................................... 2 2021d Sec. 2. Congressional Finding ............................. 2 2021d Sec. 3. Conditions of Consent to Compact .................... 2 2021d Sec. 4. Congressional Review ........................... 2 2021d Sec. 5. Southwestern Low-Level Radioactive Waste 

Com pact ..................................... 2 

Article I Compact Policy and Formation ...................... 2 Article II Definitions ...................................... 3 Article III The Commission ................................. 4 Article IV Rights, Responsibilities, and Obligations of Party States .. 8 Article V Approval of Regional Facilities ..................... 10 Article VI Prohibited Acts and Penalties ...................... 10 Article VII Eligibility, Entry into Effect, Congressional Consent, 

W ithdrawal, Exclusion ........................ 10 Article VIII Construction And Severability ...................... 11

10-1
SOUTHWESTERN LOW-LEVEL RADIOACTIVE WASTE 

DISPOSAL COMPACT CONSENT ACT

Public Law 100-712

Southwestern 

Low-Level 

Radioactive Waste 

Disposal Compact 

Consent Act. 

42 USC 2021d 

note. 

Environmental 

protection. 

42 USC 2021d 

note. 

42 USC 2021d 

note. 

42 USC 2021d 

note. 

State listing.

102 Stat. 4773

Nov. 23, 1988 

An Act 

To grant the consent of the Congress to the Southwestern Low-Level 

Radioactive Waste Disposal Compact. 

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 "Southwestern Low-Level Radioactive 

Waste Disposal Compact Consent Act." 

Sec. 2. CONGRESSIONAL FINDING. 

The Congress finds that the compact set forth in section 5 is in 

furtherance of the Low-Level Radioactive Waste Policy Act. 

Sec. 3. CONDITIONS OF CONSENT TO COMPACT. 

The consent of the Congress to the compact set forth in section 5

(1) shall become effective on the date of the enactment of this Act; 

(2) is granted subject to the provisions of the Low-Level 

Radioactive Waste Policy Act; and 

(3) is granted only for so long as the regional commission 

established in the compact complies with all of the provisions of such 

Act. 

Sec. 4. CONGRESSIONAL REVIEW. 

The Congress may alter, amend, or repeal this Act with respect to the 

compact set forth in section 5 after the expiration of the 10-year period 

following the date of enactment of this Act, and at such intervals 

thereafter as may be provided in such compact. 

Sec. 5. SOUTHWESTERN LOW-LEVEL RADIOACTIVE WASTE 

COMPACT. 

In accordance with section 4(a)(2) of the Low-Level Radioactive 

Waste Policy Act (42 USC 202 1d(a)(2)), the consent of Congress is given 

to the states of Arizona, California, and any eligible states, as defined in 

article VII of the Southwestern Low-Level Radioactive Waste Disposal 

Compact, to enter into such compact. Such compact is substantially as 

follows: 

ARTICLE I-COMPACT POLICY AND FORMATION 

The party states hereby find and declare all of the following: 

(A) The United States Congress, by enacting the Low-Level 

Radioactive Waste Policy Act, Public Law 96-573, as amended by the 

Low-Level Radioactive Waste Policy Amendments Act of 1985 

(42 USC sec. 2021b to 2021j, incl.), has encouraged the use of 

interstate compacts to provide for the establishment and operation of 

facilities for regional management of low-level radioactive waste.

10-2
Public health and 

safety.

(B) It is the purpose of this compact to provide the means for such 

a cooperative effort between or among party states to protect the citizens of the states and the states' environments. 

(C) It is policy of party states to this compact to encourage the reduction of the volume of low-level radioactive waste requiring disposal within the compact region. (D) It is the policy of the party states that the protection of the health and safety of their citizens and the most ecological and economical management of low-level radioactive wastes can be accomplished through cooperation of the states by minimizing the 

amount of handling and transportation required to dispose of these 

wastes and by providing facilities that serve the compact region. (E) Each party state, if an agreement state pursuant to section 2021 of title 42 of the United States Code, or the Nuclear Regulatory Commission if not an agreement state, is responsible for the primary regulation of radioactive materials within its jurisdiction. 

ARTICLE II-DEFINITIONS 

As used in this compact, unless the context clearly indicates otherwise, the following definitions apply: (A) "Commission" means the Southwestern Low-Level 

Radioactive Waste Commission established in article III of this 

compact. 

(B) "Compact region" or "region" means the combined 

geographical area with the boundaries of the party states. 

(C) "Disposal" means the permanent isolation of low-level 

radioactive waste pursuant to requirements established by the Nuclear Regulatory Commission and the Environmental Protection Agency under applicable laws, or by a party state if the state hosts a disposal facility. 

(D) "Generate," when used in relation to low-level radioactive 

waste, means to produce low-level radioactive waste. 

(E) "Generator" means a person whose activity, excluding the 

management of low-level radioactive waste, results in the production of low-level radioactive waste. 

(F) "Host county" means a county, or similar political subdivision of a party state, in which a regional disposal facility is located or being developed. 

(G) "Host state" means a party state in which a regional disposal facility is located or being developed. The state of California is the host state under this compact for the first thirty years from the date the California regional disposal facility commences operations. (H) "Institutional control period" means that period of time in which the facility license is transferred to the disposal site owner in compliance with the appropriate regulations for long-term observation and maintenance following the postclosure period. (I) "Low-level radioactive waste" means regulated radioactive 

material that meets all of the following requirements: (1) The waste is not high-level radioactive waste, spent nuclear fuel, or by-product material (as defined in section I1 e(2) of the Atomic Energy Act of 1954 (42 USC sec. 2014(e)(2)). (2) The waste is not uranium mining or mill tailings.

10-3
(3) The waste is not any waste for which the Federal 

Government is responsible pursuant-to subdivision (b) of section 3 

of the Low-Level Radioactive Waste Policy Amendments Act of 

1985 (42 USc Sec. 2021c(b)). 

(4) The waste is not an alpha emitting transuranic nuclide with 

a half-life greater than five years and with a concentration greater 

than one hundred nanocuries per gram, or plutonium-241 with a 

concentration greater than three thousand five hundred nanocuries 

per gram, or curium-242 with a concentration greater than twenty 

thousand nanocuries per gram. 

(J) "Management" means collection, consolidation, storage, 

packaging, or treatment. 

(K)"Major generator state" means a party state which generates 

10 percent of the total amount of low-level radioactive waste produced 

within the compact region and disposed of at the regional disposal 

facility. If no party state other than California generates at least ten 

percent of the total amount, "Major generator state" means the party 

state which is second to California in the amount of waste produced 

within the compact region and disposed of at the regional disposal 

facility. 

(L) "Operator" means a person who operates a regional disposal 

facility. 

(M) "Party state" means any state that has become a party in 

accordance with article VII of this compact. 

(N) "Person" means an individual, corporation, partnership, or 

other legal entity, whether public or private. 

(0) "Postclosure period" means that period of time after 

completion of closure of a disposal facility during which the licensee 

shall observe, monitor, and carry out necessary maintenance and 

repairs at the disposal facility to assure that the disposal facility will 

remain stable and will not need ongoing active maintenance. This 

period ends with the beginning of the institutional control period. 

(P) "Regional disposal facility" means a non-Federal low-level 

radioactive waste disposal facility established and operated under this 

compact. 

(Q) "Site closure and stabilization" means the activities of the 

disposal facility operator taken at the end of the disposal facility's 

operating life to assure the continued protection of the public from any 

residual radioactive or other potential hazards present at the disposal 

facility. 

(R) "Transporter" means a person who transports low-level 

radioactive waste. 

(S) "Uranium mine and mill tailings" means waste resulting from 

mining and processing of ores containing uranium. 

ARTICLE III-THE COMMISSION 

Establishment. (A) There is hereby established the Southwestern Low-Level 

Radioactive Waste Commission. 

(1) The Commission shall consist of one voting member from each 

party state to be appointed by the governor, confirmed by the senate of 

that party state, and to serve at the pleasure of the governor of each 

party state, and one voting member from the host county. The 

appointing authority of each party state shall notify the Commission in

10-4
Public information. 

Records.

writing of the identity of the member and any alternates. An alternate 

may act in the member's absence. 

(2) The host state shall also appoint that number of additional 

voting members of the Commission which is necessary for the host 

state's members to compose at least 51 percent of the membership on 

the Commission. The host state's additional members shall be 

appointed by the host state governor and confirmed by the host state 

senate. 

If there is more than one host state, only the state in which is 

located the regional disposal facility actively accepting low-level 

radioactive waste pursuant to this compact may appoint these 

additional members. 

(3) If the host county has not been selected at the time the 

Commission is appointed, the governor of the host state shall appoint 

an interim local government member, who shall be an elected 

representative of a local government. After a host county is selected, 

the interim local government member shall resign and the governor 

shall appoint the host county member pursuant to paragraph (4). 

(4) The governor shall appoint the host county member from a list 

of at least seven candidates compiled by the board of supervisors of 

the host county. 

(5) In recommending and appointing the host county member 

pursuant to paragraph (4), the board of supervisors and the governor 

shall give first consideration to recommending and appointing the 

members of the board of supervisors in whose district the regional disposal facility is located or being developed. If the board of 

supervisors of the host county does not provide a list to the governor 

of at least seven candidates from which to choose, the governor shall 

appoint a resident of the host county as the host county member. 

(6) The host county member is subject to confirmation by the 

senate of that party and shall serve at the pleasure of the governor of 

the host state. 

(B) The Commission is a legal entity separate and distinct from the 

party states and shall be so liable for its actions. Members of the 

Commission shall not be personally liable for actions taken in their 

official capacity. The liabilities of the Commission shall not be deemed 

liabilities of the party states. 

(C) The Commission'shall conduct its business affairs pursuant to the 

laws of the host state and disputes arising out of Commission action shall 

be governed by the laws of the host state. The Commission shall be 

located in the capital city of the host state in which the regional disposal 

facility is located. 

(D) The Commission's records shall be subject to the host state's 

public records law, and the meetings of the Commission shall be open and 

public in accordance with the host state's open meeting law. 

(E) The Commission members are public officials of the appointing 

state and shall be subject to the conflict of interest laws, as well as any other law, of the appointing state. The Commission members shall be 

compensated according to the appointing state's law. 

(F) Each Commission member is entitled to one vote. A majority of 

the Commission constitutes a quorum. Unless otherwise provided in this 

capacity, a majority of the total number of votes on the Commission is 

necessary for the Commission to take any action.

10-5
Records. 

Reports. 

Gifts and property.

(G) The Commission has all of the following duties and authority: (1) The Commission shall do, pursuant to the authority granted by this compact, whatever is reasonably necessary to ensure that 

low-level radioactive wastes are safely disposed of and managed within the region. 

(2) The Commission shall meet at least once a year and otherwise 

as business requires. 

(3) The Commission shall establish a compact surcharge to be 

imposed upon party state generators. The surcharge shall be based 

upon the cubic feet of low-level radioactive waste and the 

radioactivity of the low-level radioactive waste and shall be collected 

by the operator of the disposal facility. 

The host state shall set, and the Commission shall impose, the 

surcharge after congressional approval of the compact. The amount of 

the surcharge shall be sufficient to establish and maintain at a 

reasonable level funds for all of the following purposes: 

(a) The activities of the Commission and Commission staff. 

(b) At the discretion of the host state, a third-party liability fund to provide compensation for injury to persons or property during the operational, closure, stabilization, and postclosure and 

institutional control periods of the regional disposal facility. This 

subparagraph does not limit the responsibility or liability of the 

operator, who shall comply with any federal or host state statutes 

or regulations regarding third-party liability claims. 

(c) A local government reimbursement fund, for the purpose of 

reimbursing the local government entity or entities hosting the 

regional disposal facility for any costs or increased burdens on the 

local governmental entity for services, including, but not limited 

to, general fund expenses, the improvement and maintenance of 

roads and bridges, fire protection, law enforcement, monitoring by local health officials, and emergency preparation and response 

related to the hosting of the regional disposal facility. 

(4) The surcharges imposed by the Commission for purposes of 

subparagraphs (b) and (c) of paragraph (3) and surcharges pursuant to 

paragraph (3) of subdivision (E) of article IV shall be transmitted on a 

monthly basis to the host state for distribution to the proper accounts. 

(5) The Commission shall establish a fiscal year which conforms 

to the fiscal years of the party states to the extent possible. 

(6) The Commission shall keep an accurate account of all receipts and disbursements. An annual audit of the books of the Commission 

shall be conducted by an independent certified public accountant, and 

the audit report shall be made a part of the annual report of the 

Commission. 

(7) The Commission shall prepare and include in the annual report 

a budget showing anticipated receipts and disbursements for the 

subsequent fiscal year. 

(8) The Commission may accept any grants, equipment, supplies, materials, or services, conditional or otherwise, from the federal or 

state government. The nature, amount and condition, if any, of any donation, grant or other resources accepted pursuant to this paragraph and the identity of the donor or grantor shall be detailed in the annual 

report of the Commission.

10-6
Reports. 

Public information. 

Records. 

Records.

However, the host state shall receive, for the uses specified in 

subparagraph (E) of paragraph (2) of subsection (d) of section 2021e 

of title 42 of the United States Code, any payments paid from the 

special escrow account for which the Secretary of Energy is trustee 

pursuant to subparagraph (A) of paragraph (2) of subsection (d) of 

section 2021e of title 42 of the United States Code. 

(9) The Commission shall submit communications to the governors 

to the presiding officers of the legislatures of the party states regarding 

the activities of the Commission, including an annual report to be 

submitted on or before January 15 of each year. The Commission 

shall include in the annual report a review of, and recommendations 

for, low-level radioactive waste disposal methods which are 

alternative technologies to the shallow land burial of low-level 

radioactive waste. 

(10) The Commission shall assemble and make available to the 

party states, and to the public, information concerning low-level 

radioactive waste management needs, technologies, and problems. 

(11) The Commission shall keep a current inventory of all 

generators within the region, based upon information provided by the 

party states. 

(12) The Commission shall keep a current inventory of all regional 

disposal facilities, including information on the size, capacity, 

location, specific low-level radioactive wastes capable of being 

managed, and the projected useful life of each regional disposal 

facility. 

(13) The Commission may establish advisory committees for the 

purpose of advising the Commission on the disposal and management 

of low-level radioactive waste. 

(14) The Commission may enter into contracts to carry out its 

duties and authority, subject to projected resources. No contract made 

by the Commission shall bind a party state. 

(15) The Commission shall prepare contingency plans, with the 

cooperation and approval of the host state, for the disposal and 

management of low-level radioactive waste in the event that any 

regional disposal facility should be closed. 

(16) The Commission may sue and be sued and, when authorized 

by a majority vote of the members, may seek to intervene in an 

administrative or judicial proceeding related to this compact. 

(17) The Commission shall be managed by an appropriate staff, 

including an executive director. Notwithstanding any other provision 

of law, the Commission may hire or retain, or both, legal counsel. 

(18) The Commission may, subject to applicable federal and state 

laws, recommend to the appropriate host state authority suitable land 

and rail transportation routes for low-level radioactive waste carriers. 

(19) The Commission may enter into an agreement to import 

low-level radioactive waste into the region only if both of the 

following requirements are met

(a) The Commission approves the importation agreement by a 

two-thirds vote of the Commission. 

(b) The Commission and the host state assess the affected 

regional disposal facilities' capability to handle imported low-level 

radioactive wastes and any relevant environmental or economic

10-7
Public health and 

safety. 

Public health and 

safety.

factors, as defined by the host state's appropriate regulatory 

authorities. 

(20) The Commission may, upon petition, allow an individual 

generator, a group of generators, or the host state of the compact, to 

export low-level radioactive wastes to a low-level radioactive waste 

disposal facility located outside the region. The Commission may 

approve the petition only by a two-thirds vote of the Commission. The 

permission to export low-level radioactive wastes shall be effective for 

that period of time and for the amount of low-level radioactive waste, 

and subject to any other term or condition, which may be determined 

by the Commission. 

(21) The Commission may approve, only by a two-thirds vote of 

the Commission, the exportation outside the region of material, which 

otherwise meets the criteria of low-level radioactive waste, if the sole 

purpose of the exportation is to process the material for recycling. (22) The Commission shall, not later than 10 years before the 

closure of the initial or subsequent regional disposal facility, prepare a 

plan for the establishment of the next regional disposal facility. 

ARTICLE IV-RIGHTS, RESPONSIBILITIES, AND 

OBLIGATIONS OF PARTY STATES 

(A) There shall be regional disposal facilities sufficient to dispose of 

the low-level radioactive waste generated within the region. 

(B) Low-level radioactive waste generated within the region shall be 

disposed of at regional disposal facilities and each party state shall have 

access to any regional disposal facility without discrimination. 

(C)(1) Upon the effective date of this compact, the State of California 

shall serve as the host state and shall comply with the requirements of 

subdivision (E) for at least 30 years from the date the regional disposal 

facility begins to accept low-level radioactive waste for disposal. The 

extension of the obligation and duration shall be at the option of the State 

of California. 

If the State of California does not extend this obligation, the party 

state, other than the State of California, which is the largest major 

generator state shall then serve as the host state for the second regional 

disposal facility. 

The obligation of a host state which hosts the second regional disposal 

facility shall also run for thirty years from the date the second regional 

disposal facility begins operations. 

(2) The host state may close its regional disposal facility when 

necessary for public health or safety. 

(D) The party states of this compact cannot be members of another 

regional low-level radioactive waste compact entered into pursuant to the 

Low-Level Radioactive Waste Policy Act, as amended by the Low-Level 

Radioactive Waste Policy Amendments Act of 1985 (42 USC secs. 2021 b 

to 2021j, incl.). 

(E) A host state shall do all of the following: 

(1) Cause a regional disposal facility to be developed on a timely 

basis. 

(2) Ensure by law, consistent with any applicable federal laws, the 

protection and preservation of public health and safety in the siting, 

design, development, licensing, regulation, operation, closure,

10-8
Reports. 

Commerce and 

trade. 

Transportation. 

Utilities. 

Records.

decommissioning, and long-term care of the regional disposal facilities 

within the state. 

(3) Ensure that charges for disposal of low-level radioactive waste 

at the regional disposal facility are reasonably sufficient to do all of 

the following: 

(a) Ensure the safe disposal of low-level radioactive waste and long-term care of the regional disposal facility. (b) Pay for the cost of inspection, enforcement, and 

surveillance activities at the regional disposal facility. (c) Assure that charges are assessed without discrimination as 

to the party state of origin. 

(4) Submit an annual report to the Commission on the status of the regional disposal facility including projections of the facility's anticipated future capacity. 

(5) The host state and the operator shall notify the Commission 

immediately upon the occurrence of any event which could cause a 

possible temporary or permanent closure of a regional disposal facility. 

(F) Each party state is subject to the following duties and authority: 

(1) To the extent authorized by federal law, each party state shall develop and enforce procedures requiring low-level radioactive waste 

shipments originating within its borders and destined for a regional disposal facility to conform to packaging and transportation requirements and regulations. These procedures shall include, but are 

not limited to, all of the following requirements: (a) Periodic inspections of packaging and shipping practices. (b) Periodic inspections of low-level radioactive waste containers 

while in the custody of transporters. 

(c) Appropriate enforcement actions with respects to violations. 

(2) A party state may impose a surcharge on the low-level 

radioactive waste generators within the state to pay for activities 

required by paragraph (1). 

(3) To the extent authorized by federal law, each party state shall, after receiving notification from a host state that a person in a party state has violated packaging, shipping, or transportation requirements 

or regulations, take appropriate actions to ensure that these violations do not continue. Appropriate actions may include, but are not limited 

to, requiring that a bond be posted by the violator to pay the cost of repackaging at the regional disposal facility and prohibit future 

shipments to the-regional disposal facility. (4) Each party state shall maintain a registry of all generators within the state that may have low-level radioactive waste to be 

disposed of at a regional disposal facility, including, but not limited to, the amount of low-level radioactive waste and the class of low-level 

radioactive waste generated by each generator. (5) Each party state shall encourage generators within its borders 

to minimize the volume of low-level radioactive waste requiring disposal. 

(6) Each party state may rely on the good faith performance of the other party states to perform those acts which are required by this 

compact to provide regional disposal facilities, including the use of the regional disposal facilities in a manner consistent with this compact.

10-9
(7) Each party state shall provide the Commission with any data 

and information necessary for the implementation of the 

Commission's responsibilities, including taking those actions 

necessary to obtain this data or information. 

(8) Each party state shall agree that only low-level radioactive 

waste generated within the jurisdiction of the party states shall be 

disposed of in the regional disposal facility, except as provided in 

paragraph (19) of subdivision (G) of article III. 

(9) Each party state shall agree that if there is any injury to persons 

or property resulting from the operation of a regional disposal facility, 

the damages resulting from the injury may be paid from the third-party 

liability fund pursuant to subparagraph (b) of paragraph (3) of 

subdivision (G) of article HI, only to the extent that the damages 

exceed the limits of liability insurance carried by the operator. No 

party state, by joining this compact, assumes any liability resulting 

from the siting, operation, maintenance, long-term care, or other 

activity relating to a regional facility, and no party state shall be liable 

for any harm or damage resulting from a regional facility not located 

within the state. 

ARTICLE V-APPROVAL OF REGIONAL FACILITIES 

A regional disposal facility shall be approved by the host state in 

accordance with its laws. This compact does not confer any authority on 

the Commission regarding the siting, design, development, licensing, or 

other regulation, or the operation, closure, decommissioning, or long-term 

care of, any regional disposal facility within a party state. 

ARTICLE VI-PROHIBITED ACTS AND PENALTIES 

(A) No person shall dispose of low-level radioactive waste within the 

region unless the disposal is at a regional disposal facility, except as 

otherwise provided in paragraphs (20) and (21) of subdivision (G) of 

article IH. 

(B) No person shall dispose of or manage any low-level radioactive 

waste within the region unless the low-level radioactive waste was 

generated within the region, except as provided in paragraphs (19), (20), 

and (21) of subdivision (G) of article IlI. 

(C) Violations of this section shall be reported to the appropriate law 

enforcement agency within the party state's jurisdiction. 

(D) Violations of this section may result in prohibiting the violator 

from disposing of low-level radioactive waste in the regional disposal 

facility, as determined by the Commission or the host state. 

ARTICLE VII-ELIGIBILITY, ENTRY INTO EFFECT, 

CONGRESSIONAL CONSENT, WITHDRAWAL, EXCLUSION 

(A) The States of Arizona, North Dakota, South Dakota, and 

California are eligible to become parties to this compact. Any other state 

may be made eligible by a majority vote of the Commission and 

ratification by the legislatures of all of the party states by statute, and 

upon compliance with those terms and conditions for eligibility which the 

host state may establish. The host state may establish all terms and 

conditions for the entry of any state, other than the states named in this 

subparagraph, as a member of this compact.

10-10
(B) Upon compliance with the other provisions of this compact, an 

eligible state may become a party state by legislative enactment of this 

compact or by executive order of the governor of the state adopting this 

compact. A state becoming a party state by executive order shall cease to 

be a party state upon adjournment of the first general session of its 

legislature convened after the executive order is issued, unless before the 

adjournment the legislature enacts this compact. 

(C) A party state, other than the host state, may withdraw from the 

compact by repealing the enactment of this compact, but this withdrawal 

shall not become effective until two years after the effective date of the 

repealing legislation. If a party state which is a major generator of 

low-level radioactive waste voluntarily withdraws from the compact 

pursuant to this subdivision, that state shall make arrangements for the 

disposal of the other party states' low-level radioactive waste for a time 

period equal the period of time it was a member of this compact. 

If the host state withdraws from the compact, the withdrawal shall not 

become effective until five years after the effective date of the repealing 

legislation. 

(D) A party state may be excluded from this compact by a two-thirds 

vote of the Commission members, acting in a meeting, if the state to be 

excluded has failed to carry out any obligations required by compact. 

(E) This compact shall take effect upon the enactment by statute by 

the legislatures of the State of California and at least 1 other eligible state 

and upon the consent of Congress and shall remain in effect until 

otherwise provided by federal law. This compact is subject to review by 

Congress and the withdrawal of the consent of Congress every 5 years 

after its effective date, pursuant to federal law. 

ARTICLE VIII-CONSTRUCTION AND SEVERABILITY 

(A) The provisions of this compact shall be broadly construed to carry 

out the purposes of the compact, but the sovereign powers of a party state 

shall not be infringed unnecessarily. 

(B) This compact does not affect any judicial proceeding pending on 

the effective date of this compact. 

(C) If any provision of this compact or the application thereof to any 

person or circumstances is held invalid, that invalidity shall not affect 

other provision or applications of the compact which can be given effect 

without the invalid provision or application, and to this end the provisions 

of this compact are severable. 

(D) Nothing in this compact diminishes or otherwise impairs the 

jurisdiction, authority, or discretion of either of the following: 

(1) The Nuclear Regulatory Commission pursuant to the Atomic 

Energy Act of 1954, as amended (42 USC sec. 2011 et seq.). 

(2) An agreement state under section 274 of the Atomic Energy 

Act of 1954, as amended (42 USC sec. 2021). 

(E) Nothing in this compact confers any new authority on the states or 

Commission to do any of the following: 

(1) Regulate the packaging or transportation of low-level 

radioactive waste in a manner inconsistent with the regulations of the 

Nuclear Regulatory Commission or the United States Department of 

Transportation.

10-11

Effective date.
(2) Regulate health, safety, or environmental hazards from source, 

by-product, or special nuclear material. 

(3) Inspect the activities of licensees of the agreement states or of 

the Nuclear Regulatory Commission. 

Approved November 23, 1988 

10-12
TEXAS LOW-LEVEL RADIOACTIVE WASTE DISPOSAL COMPACT 

CONSENT ACT 

TABLE OF CONTENTS 

PAGE 42 USC 

Sec. 

Sec. 1. Short Title ................... ................... 2 2021d 

Sec. 2. Congressional Finding ........................... 2 2021d 

Sec. 3. Conditions of Consent to Compact .................... 2 2021d 

Sec. 4. Congressional Review . ............................ 2 2021d 

Sec. 5. Texas Low-Level Radioactive Waste 

Com pact ..................................... 2 

Article I Policy and Purpose ................................ 2 

Article II Definitions ................................... 3 

Article III The Commission ................................. 4 

Article IV Rights, Responsibilities, and Obligations of Party ....... 6 

Article V Party State Contributions ........................... 8 

Article VI Prohibited Acts and Penalties ....................... 8 

Article VII Eligibility, Entry into Effect, Congressional Consent, 

Withdrawal, Exclusion ........................ 9 

Article VIII Construction And Severability ...................... 10

11 - 1
TEXAS LOW-LEVEL RADIOACTIVE WASTE DISPOSAL 

COMPACT CONSENT ACT

Public Law 105-236

Texas Low-Level 

Radioactive Waste 

Disposal Compact 

Consent Act. 

42 USC 2021d 

note. 

42 USC 2021d 

note. 

42 USC 2021d 

note. 

Effective date. 

42 USC 2021 d 

note. 

42 USC 2021d 

note. 

Maine, Vermont.

112 Stat. 1542

September 20, 1998 

An Act 

To grant the consent of the Congress to the Texas Low-Level Radioactive 

Waste Disposal Compact. 

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 "Texas Low-Level Radioactive Waste 

Disposal Compact Consent Act." 

SEC. 2. CONGRESSIONAL FINDING. 

The Congress finds that the compact set forth in section 5 is in 

furtherance of the Low-Level Radioactive Waste Policy Act (42 USC 

2021b et seq.). 

SEC. 3. CONDITIONS OF CONSENT TO COMPACT. 

The Consent of the Congress to the compact set forth in section 5

(1) shall become effect on the date of the enactment of this Act; 

(2) is granted subject to the provisions of the Low-level 

Radioactive Waste Policy Act (42 USC 2021 b et seq.); and 

(3) is granted only for so long as the regional commission 

established in the compact complies with all of the provisions of such 

Act. 

SEC. 4. CONGRESSIONAL REVIEW. 

The Congress may alter, amend, or repeal this Act with respect to the 

compact set forth in section 5 after the expiration of the 10-year period 

following the date of the enactment of this Act, and at such intervals 

thereafter as may be provided in such compact. 

SEC. 5. TEXAS LOW-LEVEL RADIOACTIVE WASTE 

COMPACT. 

(a) CONSENT OF CONGRESS.-In accordance with section 4(a)(2) 

of the Low-Level Radioactive Waste Policy Act (42 USC 2021d(a)(2)), 

the consent of Congress is given to the States of Texas, Maine, and 

Vermont to enter into the compact set forth in subsection (b). 

ARTICLE I. POLICY AND PURPOSE 

SEC. 1.01. The party states recognize a responsibility for each state 

to seek to manage low-level radioactive waste generated within its 

boundaries, pursuant to the Low-Level Radioactive Waste Policy Act, as 

amended by the Low-Level Radioactive Waste Policy Amendments Act 

of 1985 (42 USC 2021b-2021j). They also recognize that the United 

States Congress, by enacting the Act, has authorized and encouraged 

states to enter into compacts for the efficient management and disposal of 

low-level radioactive water. It is the policy of the party states to 

cooperate in the protection of the health, safety, and welfare of their

11-2
citizens and the environment and to provide for and encourage the 

economical management and disposal of low-level radioactive waste. It is 

the purpose of this compact to provide the framework for such a 

cooperative effort; to promote the health, safety, and welfare of the 

citizens and the environment of the party states; to limit the number of 

facilities needed to effectively, efficiently, and economically manage low-level radioactive waste and to encourage the reduction of the 

generation thereof; and to distribute the costs, benefits, and obligations 

among the party states; all in accordance with the terms of this compact. 

ARTICLE H. DEFINITIONS 

SEC. 2.01. As used in this compact, unless the context clearly 

indicates otherwise, the following definitions apply: 

(1) "Act" means the Low-Level Radioactive Waste Policy Act, as 

amended by the Low-Level Radioactive Waste Policy Amendments 

Act of 1985 (42 USC 202 1b-2021j). 

(2) "Commission" means the Texas Low-Level Radioactive Waste 

Disposal compact Commission established in Article III of this 

compact. 

(3) "Compact facility" or "facility" means any site, location, 

structure, or property located in and provided by the host state for the 

purpose of management or disposal of low-level radioactive waste for 

which the party states are responsible. 

(4) "Disposal" means the permanent isolation of low-level 

radioactive waste pursuant to requirements established by the United 

States Nuclear Regulatory Commission and the United States 

Environmental Protection Agency under applicable laws, or by the 

host state. 

(5) "Generate" when used in relation to low-level radioactive 

waste, means to produce low-level radioactive waste. 

(6) "Generator" means a person who produces or processes 

low-level radioactive waste in the course of its activities, excluding 

persons who arrange for the collection, transportation, management, 

treatment, storage, or disposal of waste generated outside the party 

states, unless approved by the commission. 

(7) "Host county" means a county in the host state in which a 

disposal facility is located or is being developed. 

(8) "Host state" means a party state in which a compact facility is 

located or is being developed. The State of Texas is the host state 

under this compact. 

(9) "Institutional control period" means that period of time 

following closure of the facility and transfer of the facility license 

from the operator to the custodial agency in compliance with the 

appropriate regulations for long-term observation and maintenance. 

(10) "Low-Level radioactive waste" has the same meaning as that 

term is defined in Section 2(9) of the Act (42 USC 2021b(9)), or in 

the host state statute so long as the waste is not incompatible with 

management and disposal at the compact facility. (11) "Management" means collection, consolidation, storage, 

packaging, or treatment. 

(12) "Operator" means a person who operates a disposal facility.

11-3
Establishment. 

Records. 

Records. 

Reports. 

Deadlines.

11-4

(13) "Party state" means any state that has become a party in 

accordance with Article VII of this compact. Texas, Maine, and 

Vermont are initial party states under this compact. 

(14) "Person" means an individual, corporation, partnership or 

other legal entity, whether public or private. 

(15) "Transporter" means a person who transports low-level 

radioactive waste. 

ARTICLE III. THE COMMISSION 

SEC. 3.01. There is hereby established the Texas Low-Level 

Radioactive Waste disposal Compact Commission. The commission shall 

consist of one voting member from each party state except that the host 

state shall be entitled to six voting members. Commission members shall 

be appointed by the party state governors, as provided by the laws of each 

party state. Each party state may provide alternates for each appointed member. 

SEC. 3.02. A quorum of the commission consists of a majority of the 

members. Except as otherwise provided in this compact, an official act of 

the commission must receive the affirmative vote of a majority of its 

members. 

SEC. 3.03. The commission is a legal entity separate and distinct 

from the party states and has governmental immunity to the same extent 

as an entity created under the authority of Article XVI, Section 59, of the 

Texas Constitution. Members of the commission shall not be personally liable for actions taken in their official capacity. The liabilities of the 

commission shall not be deemed liabilities of the party states. 

SEC. 3.04. The Commission shall: 

(1) Compensate its members according to the host state's law. 

(2) Conduct its business, hold meetings, and maintain public records pursuant to laws of the host state, except that notice of public meetings shall be given in the non-host party states in accordance with 

their respective statutes. 

(3) Be located in the capital city of the host state. 

(4) Meet at least once a year and upon the call of the chair, or any member. The governor of the host state shall appoint a chair and 

vice-chair. 

(5) Keep an accurate account of all receipts and disbursements. 

An annual audit of the books of the commission shall be conducted by 

an independent certified public accountant, and the audit report shall 

be made a part of the annual report of the commission. 

(6) Approve a budget each year and establish a fiscal year that 

conforms to the fiscal year of the host state. 

(7) Prepare, adopt, and implement continency plans for the 

disposal and management of low-level radioactive waste in the event 

that the compact facility should be closed. Any plan which requires the host state to store or otherwise manage the low-level radioactive 

waste from all the party states must be approved by at least four host 

state members of the commission. The commission, in a contingency plan or otherwise, may not require a non-host party state to store 

low-level radioactive waste generated outside of the state. 

(8) Submit communications to the governors and to the presiding officers of the legislatures of the party states regarding the activities of
Public information. 

Records. 

Deadlines.

the commission, including an annual report to be submitted on or 

before January 31 of each year. 

(9) Assembly and make available to the party states, and to the 

public, information concerning low-level radioactive waste 

management needs, technologies, and problems. 

(10) Keep a current inventory of all generators within the party 

states, based upon information provided by the party states. 

(11) By no later than 180 days after all members of the 

commission are appointed under Section 3.01 of this article, establish 

by rule the total volume of low-level radioactive waste that the host 

state will dispose of in the compact facility in the years 1995-2045, 

including decommissioning waste. The shipments of low-level 

radioactive waste from all non-host party states shall not exceed 20 

percent of the volume estimated to be disposed of by the host state 

during the 50-year period. When averaged over such 50-year period, 

the total of all shipments from non-host party states shall not exceed 

20,000 cubic feet a year. The commission shall coordinate the 

volumes, timing, and frequency of shipments from generators in the 

non-host party states in order to assure that over the life of this 

agreement shipments from the non-host party states do not exceed 

20 percent of the volume projected by the commission under this 

paragraph. 

SEC 3.05. The commission may: 

(1) Employ staff necessary to carry out its duties and functions. 

The commission is authorized to use to the extent practicable the 

services of existing employees of the party states. Compensation shall 

be as determined by the commission. 

(2) Accept any grants, equipment, supplies, materials, or services, 

conditional or otherwise, from the federal or state government. The 

nature, amount and condition , if any, of any donation, grant or other 

resources accepted pursuant to this paragraph and the identity of the 

donor or grantor shall be detailed in the annual report of the 

commission. 

(3) Enter into contracts to carry out its duties and authority, subject 

to projected resources. No contract made by the commission shall 

bind a party state. 

(4) Adopt, by a majority vote, bylaws and rules necessary to carry 

out the terms of this compact. Any rules promulgated by the 

commission shall be adopted in accordance with the Administrative 

Procedure and Texas Register Act (Article 6252-13a, Vernon's Texas 

Civil Statutes). 

(5) Sue and be sued and, when authorized by a majority vote of the 

members, seek to intervene in administrative or judicial proceedings 

related to this compact. 

(6) Enter into an agreement with any person, state, regional body, 

or group of states for the importation of low-level radioactive waste 

into the compact for management or disposal, provided that the 

agreement receives a majority vote of the commission. The 

commission may adopt such conditions and restrictions in the 

agreement as it deems advisable. 

(7) Upon petition, allow an individual generator, a group of 

generators, or the host state of the compact, to export low-level waste 

to a low-level radioactive waste disposal facility located outside the

11-5
party states. The commission may approve the petition only by a 

majority vote of its members. The permission to export low-level 

radioactive waste shall be effective for that period of time and for the 

specified amount of low-level radioactive waste, and subject to any 

other term or condition, as is determined by the commission. 

(8) Monitor the exportation outside of the party states of material, 

which otherwise meets the criteria of low-level radioactive waste, 

where the sole purpose of the exportation is to manage or process the 

material for recycling or waste reduction and return it to the party 

states for disposal in the compact facility. 

SEC. 3.06. Jurisdiction and venue of any action contesting any action 

of the commission shall be in the United States District Court in the 

district where the commission maintains its office. 

ARTICLE IV. RIGHTS, RESPONSIBILITIES, AND 

OBLIGATIONS OF PARTY 

SEC. 4.01. The host state shall develop and have full administrative 

control over the development, management and operation of a facility for 

the disposal of low-level radioactive waste generated within the party 

states. The host state shall be entitled to unlimited use of the facility over 

its operating life. Use of the facility by the non-host party states for 

disposal of low-level radioactive waste, including such waste resulting 

from decommissioning of any nuclear electric generation facilities located 

in the party states, is limited to the volume requirements of 

Section 3.04(11) of Article III. 

SEC. 4.02. Low-level radioactive waste generated within the party 

states shall be disposed of only at the compact facility, except as provided 

in Section 3.05(7) of Article III. 

SEC. 4.03. The initial states of this compact cannot be members of 

another low-level radioactive waste compact entered into pursuant to the 

Act. 

SEC. 4.04. The host state shall do the following 

(1) Cause a facility to be developed in a timely manner and 

operated and maintained through the institutional control period. 

(2) Ensure, consistent with any applicable federal and host state 

laws, the protection and preservation of the environment and the 

public health and safety in the siting, design, development, licensing, 

regulation, operation, closure, decommissioning, and long-term care of 

the disposal facilities within the host state. 

Notification. (3) Close the facility when reasonably necessary to protect the 

public health and safety of its citizens or to protect its natural 

resources from harm. However, the host state shall notify the 

commission of the closure within three days of its action and shall, 

within 30 working days of its action, provide a written explanation to 

the commission of the closure, and implement any adopted 

contingency plan. 

(4) Establish reasonable fees for disposal at the facility of 

low-level radioactive waste generated in the party states based on 

disposal fee criteria set out in Sections 402,272 and 402,273, Texas 

Health and Safety Code. The same fees shall be charged for the 

disposal of low-level radioactive waste that was generated in the host

11-6
state and in the non-host party states. Fees shall also be sufficient to 

reasonably support the activities of the Commission. 

Reports. (5) Submit an annual report to the commission on the status of the 

facility, including projections of the facility's anticipated future 

capacity, and on the related funds. 

Notification. (6) Notify the Commission immediately upon the occurrence of 

any event which could cause a possible temporary or permanent 

closure of the facility and identify all reasonable options for the 

disposal of low-level radioactive waste at alternate compact facilities 

or, by arrangement and commission vote, at non-compact facilities. 

Notification. (7) Promptly notify the other party states of any legal action 

involving the facility. 

(8) Identify and regulate, in accordance with federal and host state 

law, the means and routes of transportation of low-level radioactive 

waste in the host state. 

SEC. 4.05. Each party state shall do the following: 

(1) Develop and enforce procedures requiring low-level 

radioactive waste shipments originating within its borders and 

destined for the facility to conform to packaging, processing, and 

waste form specifications of the host state. 

(2) Maintain a registry of all generators within the state that may 

have low-level radioactive waste to be disposed of at a facility, 

including, but not limited to, the amount of low-level radioactive 

waste and the class of low-level radioactive waste generated by each 

generator. 

(3) Develop and enforce procedures requiring generators within its 

borders to minimize the volume of low-level radioactive waste 

requiring disposal. Nothing in this compact shall prohibit the storage, 

treatment, or management of waste by a generator. 

(4) Provide the commission with any data and information 

necessary for the implementation of the commission's responsibilities, 

including taking those actions necessary to obtain this data or 

information. 

(5) Pay for community assistance projects designated by the host 

county in an amount for each non-host party state equal to 10 percent 

of the payment provided for in Article V for each such state. One-half 

of the payment shall be due and payable to the host county on the first 

day of the month following ratification of this compact agreement by 

Congress and one-half of the payment shall be due and payable on the 

first day of the month following the approval of a facility operating 

license by the host state's regulatory body. 

(6) Provide financial support for the commission's activities prior 

to the date of facility operation and subsequent to the date of 

congressional ratification of this compact under Section 7.07 of 

Article VII. Each party state will be responsible for annual payments 

equaling its pro-rata share of the commission's expenses, incurred for 

administrative, legal, and other purposes of the commission. 

(7) If agreed by all parties to a dispute, submit the dispute to 

arbitration or other alternate dispute resolution process. If arbitration 

is agreed upon, the governor of each party state shall appoint an 

arbitrator. If the number of party states is an even number, the 

arbitrators so chosen shall appoint an additional arbitrator. The 

determination of a majority of the arbitrators shall be binding on the

11-7
party states. Arbitration proceedings shall be conducted in accordance 

with the provisions of 9 USC Sections 1 to 16. If all parties to a 

dispute do not agree to arbitration or alternate dispute resolution 

process, the United States District Court in the district where the 

commission maintains its office shall have original jurisdiction over 

any action between or among parties to this compact. (8) Provide on a regular basis to the commission and host state

(A) an accounting of waste shipped and proposed be 

shipped to the compact facility, by volume and curies; 

(B) proposed transportation methods and routes; and 

(C) proposed shipment schedules. 

(9) Seek to join in any legal action by or against the host state to 

prevent nonparty states or generators from disposing of low-level 

radioactive waste at the facility. 

SEC. 4.06. Each party state shall act in good faith and may rely on the 

good faith performance of the other party states regarding requirements of 

this compact. 

ARTICLE V. PARTY STATE CONTRIBUTIONS 

SEC. 5.01. Each party state, except the host state, shall contribute a 

total of $25 million to the host state. Payments shall be deposited in the 

host state treasure to the credit of the low-level waste fund in the 

Deadline. following manner except as otherwise provided. Not later than the 60th 

day after the date of congressional ratification of this compact, each 

non-host party state shall pay to the host state $12.5 million. Not later 

than the 60th day after the date of the opening of the compact facility, 

each non-host party state shall pay to the host state an additional $12.5 

million. 

SEC. 5.02. As an alternative, the host state and the non-host states 

may provide for payments in the same total amount as stated above to be 

made to meet the principal and interest expense associated with the bond 

indebtedness or other form of indebtedness issued by the appropriate 

agency of the host state for purposes associated with the development, operation, and post-closure monitoring of the compact facility. In the 

event the member states proceed in this manner, the payment schedule 

shall be determined in accordance with the schedule of debt repayment. 

This schedule shall replace the payment schedule described in 

Section 5.01 of this article. 

ARTICLE VI. PROHIBITED ACTS AND PENALTIES 

SEC. 6.01. No person shall dispose of low-level radioactive waste 

generated within the party states unless the disposal is at the compact facility, except as otherwise provided in Section 3.05(7) of Article III.. 

SEC. 6.02. No person shall manage or dispose of any low-level 

radioactive waste within the party states unless the low-level radioactive 

waste was generated within the party states, except as provided in 

Section 3.05(6) of Article III. Nothing herein shall be construed to 

prohibit the storage or management of low-level radioactive waste by a 

generator, nor its disposal pursuant to 10 CFR Part 20.302. 

SEC. 6.03. Violations of this article may result in prohibiting the 

violator from disposing of low-level radioactive waste in the compact

11-8
Effective Date. 

Effective date.

facility, or in the imposition of penalty surcharges on shipments to the 

facility, as determined by the commission. 

ARTICLE VII. ELIGIBILITY, ENTRY INTO EFFECT; 

CONGRESSIONAL CONSENT; WITHDRAWAL; EXCLUSION 

SEC. 7.01. The states of Texas, Maine, and Vermont are party states 

to this compact. Any other state may be made eligible for party status by a 

majority vote of the commission and ratification by the legislature of the 

host state, subject to fulfillment of the rights of the initial non-host party 

states under Section 3.04(11) of Article III and Section 4.01 of Article IV 

and upon compliance with those terms and conditions for eligibility that 

the host state may establish. The host state may establish all terms and 

conditions for the entry of any state, other than the states names in this 

section, as a member of this compact; provided, however, the specific provisions of this compact, except for those pertaining to the composition 

of the commission and those pertaining to Section 7.09 of this article, may 

not be changed except upon ratification by the legislatures of the party 

states. 

SEC. 7.02. Upon compliance with the other provisions of this 

compact, a state made eligible under Section 7.01 of this article may become a party state by legislative enactment of this compact or by executive order of the governor of the state adopting this compact. A state 

becoming a party state by executive order shall cease to be a party state 

upon adjournment of the first general session of its legislature convened 

after the executive order is issued, unless before the adjournment, the 

legislature enacts this compact. 

SEC. 7.03. Any party state may withdraw from this compact by repealing enactment of this compact subject to the provisions herein. In 

the event the host state allows an additional state or additional states to 

join the compact, the host state's legislature, without the consent of the 

non-host party states,. shall have the right to modify the composition of the 

commission so that the host state shall have a voting majority on the 

commission, provided, however, that any modification maintains the right of each initial party state to retain one voting member on the commission. 

SEC. 7.04. If the host state withdraws from the compact, the 

withdrawal shall not become effective until five years after enactment of 

the repealing legislation and the non-host party states may continue to use 

the facility during that time. The financial obligation of the non-host 

party states under Article V shall cease immediately upon enactment of 

the repealing legislation. If the host state withdraws from the compact or 

abandons plans to operate a facility prior to the date of any non-host party 

state payment under Sections 4.05(5) and (6) of Article IV or Article V, 

the non-host party states are relieved of any obligations to make the 

contributions. This section sets out the exclusive remedies for the 

non-host party states if the host state withdraws from the compact or is 

unable to develop and operate a compact facility. 

SEC. 7.05. A party state, other than the host state, may withdraw from 

the compact by repealing the enactment of this compact, but this 

withdrawal shall not become effective until two years after the effective 

date of the repealing legislation. During this two-year period the party 

state will continue to have access to the facility. The withdrawing party 

shall remain liable for any payments under Sections 4.05(5) and (6) of

11-9
Article IV that were due during the two-year period, and shall not be 

entitled to any refund of payments previously made. 

SEC. 7.06. Any party state that substantially fails to comply with the 

terms of the compact or to fulfill its obligations hereunder may have its 

membership in the compact revoked by a seven-eighths vote of the 

commission following notice that a hearing will be scheduled not less 

than six months from the date of the notice. In all other respects, 

revocation proceedings undertaken by the commission will be subject to 

the Administrative Procedure and Texas Register Act (Article 6252-13a, 

Vernon's Texas Civil Statutes), except that a party state may appeal the 

commission's revocation decision to the United States District Court in 

accordance with Section 3.06 of Article III. Revocation shall take effect 

one year from date such party state receives written notice from the 

commission of a final action. Written notice of revocation shall be 

transmitted immediately following the vote of the commission, by the 

chair, to the governor of the affected party state, all other governors of 

party states, and to the United States Congress. 

SEC. 7.07. This compact shall take effect following its enactment 

under the laws of the host state and any other party state and thereafter 

upon the consent of the United States Congress and shall remain in effect 

until otherwise provided by federal law. If Texas and either Maine or 

Vermont ratify this compact, the compact shall be in full force and effect 

as to Texas and the other ratifying state, and this compact shall be 

interpreted as follows: 

(1) Texas and the other ratifying state are the initial party states. 

(2) The commission shall consist of two voting members from the 

other ratifying state and six from Texas. 

(3) Each party state is responsible for its pro-rata share of the 

commission's expenses. 

SEC. 7.08. This compact is subject to review by the United States 

Congress and the withdrawal of the consent of Congress every five years 

after its date, pursuant to federal law. 

SEC. 7.09. The host state legislature, with the approval of the 

governor, shall have the right and authority, without the consent of the 

non-host party states, to modify the provisions contained in 

Section 3.04(11) of Article III to comply with Section 402.219(c)(1), 

Texas Health & Safety Code, as long as the modification does not impair the rights of the initial non-hose party states. 

ARTICLE VIII. CONSTRUCTION AND SEVERABILITY 

SEC. 8.01. The provisions of this compact shall be broadly construed 

to carry out the purposes of the compact, but the sovereign powers of a 

party shall not be infringed upon unnecessarily. SEC. 8.02. This compact does not affect any judicial proceeding 

pending on the effective date of this compact. SEC. 8.03. No party state acquires any liability, by joining this 

compact, resulting from the siting, operation, maintenance, long-term care 

or any other activity relating to the compact facility. No non-host party 

state shall be liable for any harm or damage from the siting, operation, 

maintenance, or long-term care relating to the compact facility. Except as 

otherwise expressly provided in this compact, nothing in this compact shall be construed to alter the incidence of liability of any kind for any act

11-10

Effective date. 

Notice. 

Effective date.
or failure to act. Generators, transporters, owners and operators of the 

facility shall be liable for their acts, omissions, conduct or relationships in 

accordance with applicable law. By entering, into this compact and 

securing the ratification by Congress of its terms, no party state acquires a 

potential liability under Section 5(d)(2)(C) of the Act (42 USC 

Sec. 2021e(d)(2)(C)) that did not exist prior to entering into this compact. SEC. 8.04. If a party state withdraws from the compact pursuant to 

Section 7.03 of Article VII or has its membership in this compact revoked 

pursuant to Section 7.06 of Article VII, the withdrawal or revocation shall 

not affect any liability already incurred by or chargeable to the affected 

state under Section 8.03 of this article. 

SEC. 8.05. The provisions of this compact shall be severable and if 

any phrase, clause, sentence, or provision of this compact is declared by a 

court of competent jurisdiction to be contrary to the constitution of any participating state or of the United States or the applicability thereof to 

any government, agency, person or circumstances is held invalid, the 

validity of the remainder of this compact and the applicability thereof to 

any government, agency, person, or circumstance shall not be affected 

thereby to the extent the remainder can in all fairness be given effect. If 

any provision of this compact shall be held contrary to the constitution of 

any state participating therein, the compact shall remain in full force and 

effect as to the state affected as to all severable matters. 

SEC. 8.06. Nothing in this compact diminishes or otherwise impairs 

the jurisdiction, authority, or discretion of either of the following: 

(1) The United States Nuclear Regulatory Commission pursuant to 

the Atomic Energy Act of 1954, as amended (42 USC Sec. 2011 et 

seq.). 

(2) An agreement state under Section 274 of the Atomic Energy 

Act of 1954, as amended (42 USC 2021). SEC. 8.07. Nothing in this compact confers any new authority on the 

states or commission to do any of the following: 

(1) Regulate the packaging or transportation of low-level 

radioactive waste in a manner inconsistent with the regulations of the 

United States Nuclear Regulatory Commission or the United States 

Department of Transportation. 

(2) Regulate health, safety, or environmental hazards from source, 

by-product, or special nuclear material. 

(3) Inspect the activities of licensees of the agreement states or of 

the United States Nuclear Regulatory Commission. 

Approved September 20, 1998

11-11

SELECTED SECTIONS OF THE CLEAN AIR ACT OF 1977, 

AS AMENDED 

TABLE OF CONTENTS 

PAGE 42 USC 

Sec. 

Sec. 302. Definitions ...................................... 2 7412 

TITLE III 

Sec. 301. Hazardous Air Pollutants ............................ 4 7412 

Sec. 112. Hazardous Air Pollutants ............................ 4 7412 

Sec. 116. Retention of State Authority ......................... 16 7416 

Sec. 122. Listing of Certain Unregulated Pollutants .............. 16 7422 

TITLE IV 

Sec. 501. Perm its ......................................... 17 7661 

TITLE V 

Sec. 501. Definitions ...................................... 17 7661 

Sec. 502. Permit Programs .................................. 17 7661a 

Sec. 503. Permit Applications ........................... 23 7661b 

Sec. 504. Permit Requirements and Conditions..... ........... 24 7661c 

Sec. 505. Notification to Administrator and Contiguous States ....... 25 7661d 

Sec. 506. Other Authorities ................................. 27 7661e 

Sec. 507. Small Business Stationary Source Technical and 

Environmental Compliance Assistance Program. 278 7661f

12-1
SELECTED 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.

12-2
(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 

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. 

(1) The term "standard of performance" means a requirement of 

continuous emission reduction, including any requirement relating to the 

operation or maintenance of a source to assure continuous 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

12-3
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 

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'. 

TITLE III 

SEC. 301. HAZARDOUS AIR POLLUTANTS 

42 USC 7412. 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 

'July 14, 1955, c. 360, Title 111, 302, formerly 9, as added Dec. 17, 1963, Pub.L. 88-206, 1, 77 Stat. 400, 

renumbered Oct. 20, 1965, Pub.L. 89-272, Title I, 101(4), 79 Stat. 992, and amended Nov. 21, 1967, Pub.L. 

90-48,2, 81 Stat. 504; Dec. 31, 1970, Pub.L. 91-604, 15(a)(l), (c)(1), 84 Stat. 1710, 1713; Aug. 7, 1977, 

Pub.L- 95-95, Title 11, 218(c), Title III, 301, 91 Stat. 761, 769; Nov. 16, 1977, Publ. 95-190, 14(a)(76), 91 Stat. 

1404, Publ. 101-549. Title I, 101(d)(4), 107(a), (b), 108(i), 109(b), Title III, 302(e), Title VII, 709, Nov. 15, 

1990, 104 Stat. 2409, 2464, 2468, 2470, 2574, 2684.

12-4
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, 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:

12-5
0 Radionuclides (including radon) 2 

(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 

2

A type of atom which spontaneously undergoes radioactive decay.

12-6
substance may not reasonably be anticipated to cause any adverse 

effects to the human health or adverse environmental effects. 

(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). Regulations. (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

12-7
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 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).

12-8
The Administrator shall grant or denya petition under this paragraph within 1 year after the petition is filed. 

(d) EMISSION STANDARDS.

(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

12-9
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 

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 ani 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.

12-10
(q) SAVINGS PROVISION.

(1) Standard Previously Promulgated.-Any standard under this 

section in effect before the date of enactment of the Clean Air Act 

Amendments of 1990 shall remain in force and effect after such date 

unless modified as provided in this section before the date of 

enactment of such Amendments or under such 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 1 12(d)(9). (r) PREVENTION OF ACCIDENTAL RELEASES.-

12-11
(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 

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. 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

12-12
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 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 shall consider each of the following 

criteria

(A) the severity of any acute adverse health effects associated 

with accidental releases of the substance. 

(B) the likelihood of accidental releases of the substance; and 

(C) the potential magnitude of human exposure to accidental 

releases of the substance. 

(5) Threshold Quantity.-At the time any substance is listed 

pursuant to paragraph (3), the Administrator shall establish by rule, a 

threshold quantity for the substance, taking into 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 

Administrator, assuring compliance as expeditiously as 

practicable. 

Regulations. (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

12-13
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 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.

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(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 sections 113, 114, 116, 120, 304, and 307 and other 

enforcement provisions of this Act, be treated as a standard in 

effect under subsection (d). 

(F) Notwithstanding the provisions of title V or this section, no 

stationary source shall be required to apply for, or operate pursuant to, a permit issued under such title solely because such source is 

subject to regulations or requirements under this subsection. 

(G) In exercising any authority under this subsection, the 

Administrator shall not, for purposes of section 653(b)(1) of title 

29 of the United States Code, be deemed to be exercising statutory

12-15
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.' 

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 

741 l(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. 

(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, 

'July 14, 1955, ch. 360, title I, 112, as added Dec. 31, 1970, Pub.L. 91-604, 4(a), 84 Stat. 1685, and 

amended Aug. 7, 1977, Pub.L. 95-95, title I, 109(d)(2), 110, title 401(c), 91 Stat. 701,703, 791; Nov. 9, 1978, 

Pub.L. 95- 623, 13(b), 92 Stat. 3458; Nov. 15, 1990, Pub.L. 101-549, title 111, 301, 104 Stat. 2531. 

4

July 14, 1955, ch. 360, title 1, §116, formerly § 109, as added Nov. 21, 1967, P.L. 90-148, § 2,81 Stat. 

497, renumbered and amended Dec. 31, 1970, P.L. 91-604, §4(a),(c), 84 Stat. 1678, 1689; June 22, 1974, P.L. 

93-319, §6(b), 88 Stat. 259, Nov. 16, 1978, P.L. 95-190, §14(a)(24), 91 Stat. 1400.

12-16
42 USC 7661. 

42 USC 7661a.

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 

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

5

July 14, 1955, ch. 360, title I, § 122, as added Aug. 7, 1977, P.L. 95-95, title I, § 120(a), 91 Stat. 720.

12-17
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. 

(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

12-18
$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 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 

12-19
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. 

(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

12-20
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 

timeframie 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 conditions as are 

applicable in the case of a determination, disapproval, or finding 

under section 179(a).

12-21
(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 2 

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

12-22
42 USC 7661b. 

Reports.

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

12-23
Public information. 

42 USC 7661c.

this title for consideration of such applications), and shall issue or deny 

the permit, within 18 months after the date of receipt thereof, except that 

the permitting authority shall establish a phased schedule for acting on 

permit applications submitted within the first full 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

12-24
42 USC 7661d.

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 

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

12-25
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 

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.

12-26
42 USC 7661e. 

42 USC 7661 f.

(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. 

(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 PERMITrING 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 7

Approved November 14, 1990 

6See P.L. 101-549. 'July 14, 1955, ch. 360, title V, 507, as added Nov. 15, 1990, Pub. L 101 -549, 501, 105 Stat. 2645.

12-27
"13
SECTION 511 OF THE FEDERAL WATER POLLUTION CONTROL 

ACT OF 1972 

TABLE OF CONTENTS 

PAGE USC - Sec. 

Sec. 511. Other Affected Authority ......................... 2 33 USC 1371 

42 USC 4321

13-1
30 Stat. 1151. 

33 USC 1371. 

72 Stat. 970. 

42 USC 4321 note. 

aE

SECTION 511 OF THE FEDERAL WATER POLLUTION 

CONTROL ACT OF 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 441-45 lb) 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

Public Law 93-243 (87 Stat. 1069)(1974) sec. 3, added subsec. (d).

13-2
NATIONAL ENVIRONMENTAL POLICY ACT OF 1969, 

AS AMENDED 

TABLE OF CONTENTS 

PAGE 42 USC 

Sec. 

Sec. 1. Short Title ........................................ 2 4321 

Sec. 2. Purpose .......................................... 2 4321 

TITLE I 

Sec. 101. Declaration of National Environmental Policy ............ 2 4321 

Sec. 102. Interpretation and Administration ..................... 3 

Sec. 103. Review ........................................... 4 

Sec. 104. Statutory Obligations ................................ 5 

Sec. 105. Policy and Goals ................................... 5 

TITLE H 

Sec. 201. Council on Environmental Quality Report to Congress ..... 5 4321 

Sec. 202. Council on Environmental Quality ..................... 5 4321 

Sec. 203. Employment/Compensation......................... 6 4321 

Sec. 204. Duties and Functions ................................ 6 4321 

Sec. 205. Power ............................................ 6 4321 

Sec. 206. Tenure and Compensation ............................ 7 4321 

Sec. 207. Acceptance of Travel Reimbursement ................... 7 4346a 

Sec. 208. Expenditures or International Travel .................... 7 4346b 

Sec. 209. Appropriations ..................................... 7 4321

14- 1
NATIONAL ENVIRONMENTAL POLICY ACT OF 1969, AS AMENDED

Public Law 91-190

National 

Environmental 

Policy Act of 1969. 

Policies and goals.

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;

14-2
Administration. 

Copies of 

statements, etc.; 

availability.

(2) assure for all Americans safe, healthful, productive, and 

aesthetically and culturally pleasing surroundings; 

(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. 

See. 102. (INTERPRETATION AND ADMINISTRATION) 

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

14-3
States Code, and shall accompany the proposal through the existing 

agency review processes; 

(D) Any detailed statement required under subparagraph (C) after 

January 1, 1970, for any major Federal action funded under a program 

of grants to States shall not be deemed to be legally insufficient solely 

by reason of having been prepared by a State agency or officials, if: 

(i) the State agency or official has statewide jurisdiction and 

has the responsibility for such action, 

(ii) the responsible Federal official furnishes guidance and 

participates in such preparation, 

(iii) the responsible Federal official, independently evaluates 

such statement prior to its approval and adoption, and 

(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.' 

(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. (REVIEW) 

Review. 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 

'Public Law 94-83 (89 Stat. 424) (1975) amended Sec. 102 (2) by redesignating subparagraphs (D), (E) 

(F), (G), and (H) as subparagraphs (E), (F), (G), (H), and (1), respectively; and added a new subparagraph (D).

14-4
Report to Congress. 

Council on 

Environmental 

Quality. 

Report to Congress

to bring their authority and policies into conformity with the intent, 

purposes, and procedures set forth in this Act. 

Sec. 104. (STATUTORY OBLIGATIONS) 

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. (POLICY AND GOALS) 

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 

(REPORT TO CONGRESS) 

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. (COUNCIL ON ENVIRONMENTAL QUALITY) 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.

14-5
Vol 

unc 

sen 

80 

Dut 

fun.

See

Sec. 203. (EMPLOYMENT/COMPENSATION) 

(a)2 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). 

luntary and (b) Notwithstanding section 3679(b) of the Revised Statutes (31 USC 

ompensated 665(b)), the Council may accept and employ voluntary and 

vices. uncompensated services in furtherance of the purposes of the Council. 

Sec. 204. (DUTIES AND FUNCTIONS) 

Stat. 416. It shall be the duty and function of the Council

ties and (1) to assist and advise the President in the preparation of the 

ctions. 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 deternining 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. (POWER) 

34 F.R. 8693. 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 2

Public Law 94-52 (89 Stat. 258) (1975), Sec. 2 added (a) immediately after Sec. 203. 3

Public Law 94-52 (89 Stat. 258) (1975), Sec. 2 added a new subsec. (b).

14-6
80 Stat. 460. 

80 Stat. 461. 

81 Stat. 638. 

Tenure and 

compensation. 

42 USC 4346a. 

42 USC 4346b. 

Appropriations.

(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) 

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. ACCEPTANCE OF TRAVEL REIMBURSEMENT 

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.4

" 

See. 208. EXPENDITURES OR INTERNATIONAL TRAVEL 

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. (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

Approved January 1, 1970 

4

Public Law 94-52 (89 Stat. 258) (1975), Sec. 3 redesignated Sec. 207 as Sec. 209. 5

Public Law 94-52 (89 Stat. 258) (1975), Sec. 3 added new subsections 207 and 208. 

'Public Law 94-52 (89 Stat. 258) (1975), Sec. 3 redesignated Sec. 207 as Sec. 209.

14-7

HAZARDOUS MATERIALS TRANSPORTATION UNIFORM SAFETY 

ACT OF 1990 

TABLE OF CONTENTS 

PAGE 49 USC 

Sec. 

Sec. 1. Short Title; Reference; Table of Contents .............. 3 5101 

Sec. 2. Findings ................. ................ 4 5101 Sec. 103. Definitions ............................. 5 5102 

Sec. 104. Designation of Hazardous Materials ................. 6 5103 Sec. 105. Regulations Governing Transportation of Hazardous 

M aterials .................................... 6 5103 Sec. 106. Handling of Hazardous Materials .................... 12 5106 Sec. 107. Exemptions ..................................... 17 5117 Sec. 108. Transportation of Radioactive Materials on Passenger Carrying Aircraft ............................. 18 5114 

Sec. 109. Powers and Duties of the Secretary ................... 19 5121 Sec. 110. Penalties ....................................... 20 5121 Sec. 111. Specific Relief ................................... 21 5122 Sec. 112. Relationship to Other Laws ......................... 22 5125 

Sec. 113. Conforming Amendments .......................... 23 5101 Sec. 114. Effective Date ................................... 25 5101 Sec. 115. Authorization for Appropriations ..................... 25 5127 

Sec. 116. Transportation of Certain Highly Radioactive Materials .... 25 5105 Sec. 117a. Public Sector Training and Planning .................. 27 5116 

Sec. 18. Hazmat Employee Training Grant Program ........... 33 5107 

Sec. 118. Hazmat Employee Training Grant Program ............. 33 5107 Sec. 19. Railroad Tank Cars ............................... 34 Sec. 119. Railroad Tank Cars ........................... 34 5111 

Sec. 20. Application of Federal, State, and Local Law to Federal 

Contractors .................................. 34 5126 Sec. 120. Application of Federal, State, and Local Law to Federal 

Contractors .................................. 34 5126 Sec. 21. Railroad Tank Car Study ........................... 35 5111 

Sec. 22. Uniformity of State Motor Carrier Registration and Permitting Forms And Procedures ............. 35 5119 Sec. 23. Financial Responsibility ............................ 36 10927 Sec. 24. Federally Leased Commercial Motor Vehicles ........... 37 31142 

Sec. 25. Improvements to Hazardous Materials Identification 

System s ..................................... 37 5112; 5120 

PAGE USC - Sec. 

Sec. 26. Continually Monitored Telephone Systems ...... 40 40 USC App. 5103 

Sec. 27. Shipper Responsibility Report ................ 40 49 USC 5110 

Sec. 28. State Participation in Investigations and 

Surveillance .......................... 41 45 USC 435(a) Sec. 29. Retention of Markings and Placards ............ 41 29 USC 655

15-1
PAGE USC - Sec.

45 USC 434 49 USC 5101 

42 USC 5841

Sec. 30. Relationship to Federal Railroad Safety Act 

of 1970 .............................. 42 

Sec. 31. Effective Date ............................ 42 

TITLE V OF PUBLIC LAW 94-187 

TITLE V 

AIR TRANSPORTATION OF PLUTONIUM 

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

of Plutonium by Sea ..................... 43 

Sec. 5602 Transportation of Plutonium by Aircraft Through 

United States Air Space .................. 43

15-2
HAZARDOUS MATERIALS TRANSPORTATION 

UNIFORM SAFETY ACT OF 1990

Nov. 16, 1990 

An Act

104 Stat. 3244

NOTE: This Act was recodified in Pub. L. 103-272 (108 Stat. 759); July 5, 1994. Prior to this recodification this Act was found at 49 

USC Sections 1801-1819. 

To amend the Hazardous Materials Transportation Act to authorize 

appropriations for fiscal year 1990, 1991, and 1992, 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. SHORT TITLE; REFERENCE; TABLE OF 

CONTENTS. 

49 USC 5101 note. (a) SHORT TITLE. 

Hazardous This Act may be cited as the "Hazardous Materials Transportation Materials Uniform Safety Act of 1990."' 

Transportation (b) REFERENCE.-Except as otherwise specifically provided, Uniform Safety Act whenever in this Act an amendment or repeal is expressed in terms of an 

of 1990. amendment to, or repeal of, a section or other provision, the reference 

shall be considered to be made to a section or other provision of the 

Hazardous Materials Transportation Act. 

(c) TABLE OF CONTENTS.

Sec. 1. Short title; reference, table of contents. 

Sec. 2. Findings. 

Sec. 3. Definitions. 

Sec. 4. Federal regulations governing transportation of hazardous 

materials. 

Sec. 5. Representation and tampering. 

Sec. 6. Disclosure. 

Sec. 7. Handling of hazardous materials. 

Sec. 8. Hazardous materials transportation registration; motor carrier 

safety permits. 

Sec. 9. Exemptions. 

Sec. 10. Definition of certain materials. 

Sec. 11. Secretary's powers. 

Sec. 12. Penalties. 

Sec. 13. Relationship to other laws. 

Sec. 14. Funding. 

Sec. 15. Transportation of certain highly radioactive materials. 

Sec. 16. Inspectors. 

'P.L. 93-633, "Transportation Safety Act of 1974," Title I was cited as the "Hazardous Materials 

Transportation Act." 

P.L. 101-615, "Hazardous Materials Transportation Uniform Safety Act of 1990" amends sections of the 

1974 Act and added a new section, 1 17A.

15-3

Public Law 101-615
Sec. 17. Public sector training and planning. 

Sec. 18. Hazmat employee training grant program. 

Sec. 19. Railroad tank cars. 

Sec. 20. Application of Federal, State, and local law to Federal 

contractors. 

Sec. 21. Railroad tank car study. 

Sec. 22. Uniformity of State motor carrier registration and permitting 

forms and procedures. 

Sec. 23. Financial responsibility. 

Sec. 24. Federally leased commercial motor vehicles. 

Sec. 25. Improvements to hazardous materials identification systems. 

Sec. 26. Continually monitored telephone systems. 

Sec. 27. Shipper responsibility report. 

Sec. 28. State participation in investigations and surveillance. 

Sec. 29. Retention of markings and placards. 

Sec. 30. Relationship to Federal Railroad Safety Act of 1970. 

Sec. 31. Effective date. 

Sec. 2. FINDINGS 

49 USc 5101. The Congress finds that

(1) the Department of Transportation estimates that approximately 

4 billion tons of regulated hazardous materials are transported each 

year and that approximately 500,000 movements of hazardous 

materials occur each day, 

(2) accidents involving the release of hazardous materials are a 

serious threat to public health and safety, 

(3) many States and localities have enacted laws and regulations 

which vary from Federal laws and regulations pertaining to the 

transportation of hazardous materials, thereby creating the potential 

for unreasonable hazards in other jurisdictions and confounding 

shippers and carriers which attempt to comply with multiple and 

conflicting registration, permitting, routing, notification, and other 

regulatory requirements, 

(4) because of the potential risks to life, property, and the 

environment posed by unintentional releases of hazardous materials, 

consistency in laws and regulations governing the transportation of 

hazardous materials is necessary and desirable, 

(5) in order to achieve greater uniformity and to promote the public 

health, welfare, and safety at all levels, Federal standards for 

regulating the transportation of hazardous materials in intrastate, 

interstate, and foreign commerce are necessary and desirable, 

(6) in order to provide reasonable, adequate, and cost-effective 

protection from the risks posed by the transportation of hazardous 

materials, a network of adequately trained State and local emergency 

response personnel is required, 

(7) the Office of Technology Assessment has estimated that 

approximately 1,500,000 emergency response personnel need better 

basic or advanced training for responding to the unintentional release 

of hazardous materials at fixed facilities and in transportation, and 

(8) the movement of hazardous materials in commerce is necessary 

and desirable to maintain economic vitality and meet consumer 

demands, and shall be conducted in a safe and efficient manner.

15-4
Sec. 103. DEFINITIONS 

For purposes of this title, the following definitions apply: (1) Administrator.-The term "Administrator" means the Administrator of the Environmental Protection Agency. (2) Commerce.-The term "commerce" means trade, or transportation within the jurisdiction of the United States (A) between 

a place in a State and any place outside of such State; or (B) which affects trade, between a place in a State and a place outside of the State. 

(3) Director.-The term "Director" means the Director of the Federal Emergency Management Agency. (4) Hazardous material.-The term "hazardous material" means a substance or material designated by the Secretary of Transportation under section 5103 (a) of this Title. 

(5) Hazmat employee.-The term "hazmat employee" means an individual who is employed by a hazmat employer and who in the 

course of the individual's employment directly affects hazardous materials transportation safety as determined by the Secretary by regulation. Such term includes an owner-operator of a motor vehicle which transports in commerce hazardous materials. Such term includes, at a minimum, an individual who is employed by a hazmat employer and who in the course of the individual's employment (A) loads, unloads, or handles hazardous materials; (B) manufactures, reconditions, or tests containers, drums, and packages represented as qualified for use in the transportation of hazardous materials; 

(C) prepares hazardous materials for transportation; (D) is responsible for the safety of the transportation of hazardous materials; or 

(E) operates a vehicle used to transport hazardous materials. (6) Hazmat employer.-The term "hazmat employer" means a 

person (A)(i) who transports in commerce hazardous materials, (ii) who causes to be transported or shipped in commerce hazardous materials, or 

(iii) who manufactures, reconditions, or tests containers, drums, and packages represented as qualified for use in the transportation of hazardous materials; and 

(B) who utilizes 1 or more of its employees in connection with such activity. Such term includes an owner-operator of a motor vehicle which transports in commerce hazardous materials. Such term includes any department, agency, or instrumentality of the United States, a State, a political subdivision of a State, or an Indian tribe engaged in an activity described in subparagraph (A)(i), (A)(ii), or (A)(iii). (7) Imminent hazard.-The term "imminent hazard" means the existence of a condition which presents a substantial likelihood that death, serious illness, severe personal injury, or substantial 

endangerment to health, property, or the environment may occur before the reasonably foreseeable completion of an administrative hearing or other formal proceeding initiated to abate the risks of those effects.

15-5
(8) Indian tribe.-The term "Indian tribe" shall have the meaning 

given that term under section 4 of the Indian Self-Determination and 

Education Assistance Act (25 USC 450b). 

(9) Motor Carrier.-The term "motor carrier" means a motor 

common carrier, motor contract carrier, motor private carrier, and 

freight forwarder as those terms are defined in section 10102 of 

title 49, United States Code. 

(10) National response team.-The term "National Response Team" 

means the national response team established pursuant to the National 

Contingency Plan as established under section 105 of the 

Comprehensive Environmental Response, Compensation, and 

Liability Act of 1980. 

(11) Person.-The term "person" means an individual, firm, 

copartnership, corporation, company, association, joint-stock 

association, including any trustee, receiver, assignee, or similar 

representative thereof, or government, Indian tribe, or agency or 

instrumentality of any government or Indian tribe when it offers 

hazardous materials for transportation in commerce or transports 

hazardous materials in furtherance of a commercial enterprise, but 

such term does not include (A) the United States Postal Service, or (B) 

for the purposes of sections 110 and 111 of 

Sec. 104. DESIGNATION OF HAZARDOUS MATERIALS 

Upon a finding by the Secretary, in his discretion, that the 

transportation of particular quantity and form of material in commerce 

may pose an unreasonable risk to health and safety or property, he shall 

designate such quantity and form of materials or group or class of such 

materials as a hazardous material. The materials so designated may 

include, but are not limited to explosives, radioactive materials, etiologic 

agents, flammable liquids or solids, combustible liquids or solids, 

poisons, oxidizing or corrosive materials, and compressed gases. 

See. 105. REGULATIONS GOVERNING TRANSPORTATION OF 

HAZARDOUS MATERIALS 

(a) GENERAL. 

(1) Issuance.-The Secretary shall issue regulations for the safe 

transportation of hazardous materials in intrastate, interstate, and 

foreign commerce. The regulations issued under this section shall 

govern any aspect of hazardous materials transportation safety which 

the Secretary deems necessary or appropriate. 

(2) Procedures.-Regulations issued under paragraph (1) shall be 

issued in accordance with section 553 of title 5, United States Code, 

including an opportunity for informal oral presentation. 

(3) Applicability.-Regulations issued under paragraph (1) shall be 

applicable to any person who transports, ships, causes to be 

transported or shipped, or who manufacturers, fabricates, marks, 

maintains, reconditions, repairs, or tests a package or container which 

is represented, marked, certified, or sold by such person as qualified 

for use in the transportation in commerce of hazardous materials. 

(4) Preemption.

(A) General rule.-Except as provided in subsection (b) and 

unless otherwise authorized by Federal law, any law, regulation, 

order, ruling, provision, or other requirement of a State or political 

subdivision thereof or an Indian tribe, which concerns a subject 

listed in subparagraph (B) and which is not substantively the same

15-6

49 USC 5103. 

49 USC 5103.
Indians. 

State governments. 

Indians. 

Federal Register 

publication. 

State Governments. 

Indians. 

Regulations.

as any provision of this Act or any regulation under such provision 

which concerns such subject, is preempted. 

(B) Covered subjects.-The subjects referred to in 

subparagraph (A) are the following: 

(i) The designation, description, and classification of 

hazardous materials. 

(ii) The packing, repacking, handling, labeling, marking, 

and placarding of hazardous materials.' 

(iii) The preparation, execution, and use of shipping 

documents pertaining to hazardous materials and requirements 

respecting the number, content, and placement of such 

documents. 

(iv) The written notification, recording, and reporting of the 

unintentional release in transportation of hazardous materials. 

(v) The design, manufacturing, fabrication, marking, 

maintenance, reconditioning, repairing, or testing of a package 

or container which is represented, marked, certified, or sold as 

qualified for use in the transportation of hazardous materials. 

(C) Limitation on fines and penalties.-If a State or political 

subdivision or Indian tribe assesses any fine or penalty determined 

by the Secretary to be appropriate for a violation concerning a 

subject listed in subparagraph (B), no additional fine or penalty 

may be assessed for such violation by any other authority. 

(5) State laws which are substantively the same as federal law.

(A) Continuation.-If the Secretary issues under this section 

before, on, or after' the date of the enactment of the Hazardous 

Materials Transportation Uniform Safety Act of 1990, a 

regulation, rule, or standard concerning any subject set forth in 

paragraph (4), a State, political subdivision of a State, or Indian 

tribe may only establish, maintain, and enforce a law, regulation, 

rule, standard, or order concerning such subject which is 

substantively the same as any provision of this Act or any 

regulation, rule, or order issued under such provision. 

(B) Effective date of federal preemption.-The Secretary shall 

determine and publish in the Federal Register the effective date of 

paragraph (1) with respect to any regulation, rule, or publication 

standard described in subparagraph (A) and which is issued after 

such date of enactment by the Secretary; except that such effective 

date may not be earlier than the 90th day following the date of 

such issuance and may not be later than the last day of the 2-year 

period beginning on the date of such issuance. 

(b) HIGHWAY ROUTING.

(1) State authority.-Subject to paragraphs (4) and (5), each State 

and Indian tribe may establish, maintain, and enforce (A) specific 

highway routes over which hazardous materials may and may not be 

transported by motor vehicles in the area which is subject to the 

jurisdiction of such State or Indian tribe, and (B) limitations and 

requirements with respect to highway routing. 

(2) Issuance of federal standards.-Not later than 18 months after 

the date of the enactment of the Hazardous Materials Transportation 

Uniform Safety Act of 1990, the Secretary, in consultation with the 

States, shall establish by regulation standards for States and Indian 

tribes to use in establishing, maintaining, and enforcing (A) specific

15-7
Motor vehicles.

highway routes over which hazardous materials may and may not be 

transported by motor vehicles, and (B) limitations and requirements 

with respect to highway routing. 

(3) Contents of standards.-The Federal standards established 

pursuant to paragraph (2) shall include the following: 

(A) Enhancement of public safety.-A requirement that 

highway routing designations, limitations, and requirements 

established, maintained, and enforced by a State or Indian tribe 

shall enhance public safety (i) in the area subject to the jurisdiction 

of the State or Indian tribe, and (ii) in areas of the United States 

not subject to such jurisdiction which are directly affected by such 

designations, limitations, and requirements. 

(B) Public participation.-Minimum procedural requirements 

for ensuring public participation in the establishment by a State or 

Indian tribe of highway routing designations, limitations, and 

requirements. 

(C) Consultation with other governments.-A requirement that, 

in establishing highway routing designations, limitations, and 

requirements, the State or Indian tribe shall consult with 

appropriate State, local, and tribal officials having jurisdiction over 

areas of the United States not subject to the jurisdiction of the 

establishing State or Indian tribe and affected industries. 

(D) Through routing.-A requirement that highway routing 

designations, limitations, and requirements established, 

maintained, and enforced by a State or Indian tribe shall assure 

through highway routing for the transportation of hazardous 

materials between adjacent areas. 

(E) Agreement of other states; burden on commerce.-A 

requirement that a highway routing designation, limitation, or 

requirement which affects the transportation of hazardous 

materials in another State or Indian tribe may only be established, 

maintained, and enforced by a State or Indian tribe if (i) it is 

agreed to by the other State or Indian tribe within a reasonable 

period or has been approved by the Secretary under paragraph (5), 

and (ii) does not unreasonably burden commerce. 

(F) Timeliness.-A requirement that the establishment of 

highway routing designations, limitations, and requirements by a 

State or Indian tribe shall be completed in a timely manner. 

(G) Reasonable routes to terminals.-A requirement that 

highway routing designations, limitations, and requirements 

established, maintained, and enforced by a State or Indian tribe 

shall provide reasonable routes for motor vehicles transporting 

hazardous materials to reach terminals, facilities for food, fuel, 

repairs, and rest, and points for the loading and unloading of 

hazardous materials. 

(H) State responsibility for local compliance.-A requirement 

that the State shall be responsible (i) for ensuring that political 

subdivisions of the State comply with the Federal standards in 

establishing, maintaining, and enforcing highway routing 

designations, limitations, and requirements, and (ii) for resolving 

disputes between or among such political subdivisions.

15-8
(I) Factors to consider.-A requirement that, in establishing, 

maintaining, and enforcing highway routing designations, 

limitations, and requirements, a State or Indian tribe consider

(i) population density, 

(ii) type of highways, 

(iii) type and quantities of hazardous materials, 

(iv) emergency response capabilities, 

(v) results of consultations with affected persons, 

(vi) exposure and other risk factors, 

(vii) terrain considerations, 

(viii) continuity of routes, 

(ix) alternative routes, 

(x) effects on commerce, 

(xi) delays in transportation, and 

(xii) such other factors as the Secretary considers 

appropriate 

(4) Preemption.

(A) General rule.-Except as otherwise provided in this 

paragraph, after the last day of the 2-year period beginning on the 

date of the issuance of the regulations establishing the Federal 

standards pursuant to paragraph (2), no State or Indian tribe may establish, maintain, or enforce

(i) any highway route designation over which hazardous 

materials may or may not be transported by motor vehicles, or 

(ii) any limitation or requirement with respect to such 

routing, unless such designation, limitation, or requirement is 

made in accordance with the procedural requirements of the 

Federal standards and complies with the substantive 

requirements of the Federal standards. 

(B) Grandfather clause.-Designations, limitations, and 

requirements established before the date of issuance referred to in 

subparagraph (A) do not have to be in accordance with procedural requirements of the Federal standards established pursuant to 

paragraphs (3)(B), (3)(C), and (3)(F). 

(C) Limitation with respect to consideration of 

factors.-Nothing in this subsection shall be construed as requiring 

a State or Indian tribe to comply with paragraph (3)(1) with respect 

to designations, limitations, and requirements established before 

the date of the enactment of the Hazardous Materials 

Transportation Uniform Safety Act of 1990. 

(D) Continuation of effectiveness during dispute resolution.-The Secretary may permit a highway route designation 

or limitation or requirement of a State or Indian tribe to continue in 

effect pending the resolution of a dispute under paragraph (5) relating to such designation, limitation, or requirement. (5) Dispute resolution.

(A) Petition of secretary.-If a dispute over a matter relating to 

through highway routing or a dispute relating to agreement with a 

proposed highway route designation, limitation, or requirement 

arises between or among States, political subdivisions of different 

States, or Indian tribes, 1 or more of such States or Indian tribes 

may petition the Secretary to resolve the dispute.

15-9
Regulations. 

Motor vehicles. 

Motor vehicles.

(B) Procedure.-The Secretary shall, within 18 months of the 

date of the enactment of the Hazardous Materials Transportation 

Uniform Safety Act of 1990, issue regulations for resolving 

disputes under this paragraph. 

(C) Time period.-The Secretary shall resolve a dispute under 

this paragraph within 1 year after the date the Secretary receives 

the petition for resolution of such dispute. 

(D) Standard.-Resolution of a dispute under this paragraph 

shall provide the greatest level of highway safety without 

unreasonably burdening commerce and shall ensure compliance 

with the Federal standards established pursuant to paragraph (2). 

(E) Limitation on judicial review.-After a petition is filed 

under this paragraph to resolve a dispute, no court action may be 

brought with respect to the subject matter of such dispute until a 

final decision of the Secretary is issued under this paragraph or the 

last day of the 1-year period beginning on the day the Secretary 

receives such petition, whichever occurs first. 

(F) Judicial review.-Any State or Indian tribe which is 

adversely affected by a decision of the Secretary under this 

paragraph may, at any time before the 90th day following the date 

such decision becomes final, bring an action for judicial review in 

an appropriate district court of the United States. 

(6) Limitation on statutory construction.-Nothing in this 

subsection and the regulations issued under this subsection shall be 

construed as superseding or otherwise affecting application of section 

127 of title 23, United States Code, relating to vehicle weight 

limitations, or section 411 or 416 of the Surface Transportation 

Assistance Act of 1982, relating to vehicle length and vehicle width 

limitations, respectively. 

(7) Limitation on applicability.

(A) Placarded motor vehicles.-Subject to subparagraph (B), 

this subsection only applies to a motor vehicle if the vehicle is 

transporting in commerce a hazardous material for which 

placarding of the vehicle is required in accordance with the 

regulations issued under this title. 

(B) Authority to extend applicability.-The Secretary may, by 

regulation, extend application of this subsection or any Federal 

standard established pursuant to paragraph (2)

(i) to any use of a vehicle described in subparagraph (A) to 

provide transportation in commerce of any hazardous material; 

and 

(ii) to any motor vehicle used to transport in commerce 

hazardous materials. 

(8) Existing regulations relating to radioactive materials.-Nothing 

in this subsection shall be construed to require the Secretary to amend, 

modify, or reissue regulations issued by the Department of 

Transportation before the date of the enactment of this paragraph and 

in effect on such date with respect to highway route designations over 

which radioactive materials may and may not be transported by motor 

vehicles and limitations and requirements with respect to such routing. 

(9) Limitation on authority of secretary.-The Secretary may not 

assign any specific weight to be given by the States and Indian tribes 

in considering factors pursuant to paragraph (3)(I).

15-10
Foreign trade. 

Regulations. 

Motor carriers.

15- 11

(c) LIST OF ROUTE DESIGNATIONS.-The Secretary, in 

coordination with the States, shall periodically update and publish a list of 

currently effective hazardous materials highway route designations. 

(d) INTERNATIONAL UNIFORMITY.

(1) DOT participation in international forums.-Subject to guidance 

and direction from the Secretary of State, the Secretary shall 

participate in international forums that establish or recommend 

mandatory standards and requirements for the transportation of 

hazardous materials in international commerce. 

(2) Consultation.-The Secretary may consult with interested 

agencies to assure that, to the extent practicable, regulations issued by 

the Secretary pursuant to this section shall be consistent with 

standards adopted by international bodies applicable to the 

transportation of hazardous materials. Nothing in this subsection shall 

require the Secretary to issue a standard identical to a standard 

adopted by an international body, if the Secretary determines the 

standard to be unnecessary or unsafe, nor shall the Secretary be 

prohibited from establishing safety requirements that are more 

stringent than those included in a standard adopted by an international 

body, if the Secretary determines that such requirements are necessary 

in the public interest. 

(e) UNLAWFUL REPRESENTATION.-No person shall, by marking 

or otherwise, represent that

(1) a container or package for the transportation of hazardous 

materials is safe, certified, or in compliance with the requirements of 

this title unless it meets the requirements of all applicable regulations 

issued under this title; or 

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

vehicle, rail freight car, aircraft, or vessel, if the hazardous material is 

not present. 

(f) UNLAWFUL TAMPERING.-No person shall unlawfully alter, 

remove, deface, destroy, or otherwise tamper with

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

required by this title or a regulation issued under this title; or 

(g) DISCLOSURE.

(1) Maintenance of shipping paper.-Each person who offers for 

transportation in commerce a hazardous material that is subject to the 

shipping paper requirements of the Secretary shall provide the carrier 

who is providing such transportation any shipping paper that makes 

the disclosure established by the Secretary under paragraph (2) for the 

carrier to maintain on the vehicle to be used to provide such 

transportation. If the person offering such material for transportation is also a private motor carrier, such person shall maintain such 

shipping paper on the vehicle. 

(2) Considerations and contents.-In carrying out paragraph (1), the 

Secretary shall consider and may require the following: (A) a description of the hazardous material, including the 

proper shipping name of the material, 

(B) the hazard class of the hazardous material, 

(C) the identification number (UN/NA) of the material, 

(D) immediate first action emergency response information or 

a means for appropriate reference to such information which must 

be immediately available, and
(E) a telephone number for the purpose of obtaining more 

specific handling and mitigation information concerning the 

hazardous material at any time during its transportation. 

(3) Specification of location .- The shipping paper referred to in 

paragraph (1) shall be kept in a location, to be specified by the 

Secretary, in the motor vehicle, train, vessel, aircraft, or facility until 

the hazardous material is no longer in transportation or the documents 

have been made available to a representative of a Federal, State, or 

local government agency responding to an accident or incident 

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

(4) Disclosure to emergency response authorities.-Any person 

who transports a hazardous material in commerce shall, in the event of 

an incident involving such material, immediately disclose to 

appropriate emergency response authorities, upon their request, 

information on the hazardous material being transported. 

Sec. 106. HANDLING OF HAZARDOUS MATERIALS 

49 USC 1805. (a) CRITERIA.-The Secretary is authorized to establish criteria for 

handling hazardous materials. Such criteria may include, but need not be 

limited to, a minimum number of personnel; a minimum level of training 

and qualification for such personnel; type and frequency of inspection; 

equipment to be used for detection, warning, and control of risks posed by 

such materials; specifications regarding the use of equipment and 

facilities used in the handling and transportation of such materials; and a 

system of monitoring safety assurance procedures for the transportation of 

such materials. The Secretary may revise such criteria as required. 

Manpower training (b) TRAINING CRITERIA FOR SAFE HANDLING AND 

programs. TRANSPORTATION.

Regulations. (1) Federal requirements.-Within 18 months after the date of the 

enactment of the Hazardous Materials Transportation Uniform Safety 

Act of 1990, the Secretary shall issue, by regulation, requirements for 

training to be given by all hazmat employers to their hazmat 

employees regarding the safe loading, unloading, handling, storing, 

and transporting of hazardous materials and emergency preparedness 

for responding to accidents or incidents involving the transportation of 

hazardous materials. 

(2) Different training requirements.-The regulations issued under 

paragraph (1) may provide for different training for different classes 

or categories of hazardous materials and hazmat employees. 

(3) Coordination of emergency response training regulations.-In 

consultation with the Administrator and the Secretary of Labor, the 

Secretary shall take such actions as may be necessary to ensure that 

the training requirements established under this subsection do not 

conflict with the requirements of the regulations issued by the 

Occupational Safety and Health Administration of the Department of 

Labor relating to hazardous waste operations and emergency response 

contained in part 1910 of title 29 of the Code of Federal Regulations 

(and amendments thereto) and the regulations issued by the 

Environmental Protection Agency relating to worker protection 

standards for hazardous waste operations contained in part 311 of title 

Occupational safety 40 of such Code (and amendments thereto). For purposes of section 

and health. 4(b)(1) of the Occupational Safety and Health Act of 1970 (29 USC 

Regulations. 653(b)(1), no action taken by the Secretary pursuant to this section 

shall be deemed to be an exercise of statutory authority to prescribe or

15-12
enforce standards or regulations affecting occupational safety or 

health. 

(4) Commencement of training.-Within 6 months after the date on 

which the Secretary issues regulations under this subsection, each 

hazmat employer shall have commenced training of its hazmat 

employees in accordance with the requirements established by such 

regulations. 

(5) Completion of training.-Regulations issued under this 

subsection shall establish the date by which training of hazmat 

employees shall be completed in order to comply with requirements established by such regulations. Such date shall be within a reasonable 

period of time after (A) 6 months following the date of the issuance of 

such regulations, or (B) in the case of an individual employed as a 

hazmat employee after such 6-month period, the date on which the 

individual is to begin carrying out a duty of a hazmat employee. 

(6) Certification.-After completion of training of its hazmat 

employees in accordance with the requirements established under this 

subsection, each hazmat employer shall certify, with such appropriate documentation as may be required by regulation by the Secretary, that 

the employer's hazmat employees have received training and have 

been tested on appropriate transportation areas of responsibility, including one or more of the following areas: 

(A) Recognition and understanding of the Department of 

Transportation hazardous materials classification system. 

(B) Use and limitations of the Department of Transportation 

hazardous materials placarding, labeling, and marking systems. 

(C) General handling procedures, loading and unloading 

techniques, and strategies to reduce the probability of release or 

damage during or incidental to transportation of hazardous 

materials. 

(D) Health, safety, and risk factors associated with hazardous 

materials and their transportation. 

(E) Appropriate emergency response and communication 

procedures for dealing with accidents and incidents involving 

hazardous materials transportation. (F) Use of the Department of Transportation Emergency 

Response Guidebook and recognition of its limitations or use of 

equivalent documents and recognition of the limitations of such 

documents. 

(G) Applicable hazardous materials transportation regulations. 

(H) Personal protection techniques. 

(I) Preparation of shipping documents for transportation of 

hazardous materials. 

(7) Applicability of information management requirements.-Chapter 35 of title 44, United States Code (relating to 

coordination of Federal information policy) shall not apply to 

activities of the Secretary under this subsection. 

(c) REGISTRATION.

(1) Mandatory filings.-Each person who carries out one or more of 

the following activities shall file with the Secretary a registration 

statement in accordance with the provisions of this subsection: 

(A) Transporting or causing to be transported or shipped in 

commerce highway-route controlled quantities of radioactive

15 - 13
materials, more than 25 kilograms of class A or class B explosives 

in a motor vehicle, rail car, or transport container, or more than 1 

liter per package of a hazardous material which has been 

designated by the Secretary as extremely toxic by inhalation. 

(B) Transporting or causing to be transported or shipped in 

commerce a hazardous material in a bulk package, container, or 

tank as defined by the Secretary if the package, container, or tank 

has a capacity of 3,500 or more gallons or more than 468 cubic 

feet. 

(C) Transporting or causing to be transported or shipped in 

commerce a shipment of 5,000 pounds or more (in other than a 

bulk packaging) of a class of a hazardous material for which 

placarding of a vehicle, rail car, or freight container is required in 

accordance with the regulations issued under this title. 

(2) Cooperation of EPA.-The Administrator shall assist the 

Secretary in carrying out this subsection by furnishing the Secretary 

with such information as the Secretary may request in order to carry 

out the objectives of this section. 

(3) Discretionary filings.-The Secretary may require each person 

who carries out one or more of the following activities to file a 

registration statement with the Secretary in accordance with the 

provisions of this subsection: 

(A) Transporting or causing to be transported or shipped in 

commerce hazardous materials and who is not required to file a 

registration statement under paragraph (1). 

(B) Manufacturing, fabricating, marking, maintaining, 

reconditioning, repairing, or testing packages or containers which 

are represented, marked, certified, or sold by such person for use 

in the transportation in commerce of hazardous materials 

designated by the Secretary. 

(4) Requirement.-No person required to file a registration 

statement by or under this subsection may transport or cause to be 

transported or shipped hazardous materials, or manufacture, fabricate, 

mark, maintain, recondition, repair, or test packages or containers for 

use in the transportation of hazardous materials, unless such person 

has on file a registration statement in accordance with this subsection. 

(5) Filing deadlines.

(A) Initial filings.-Each person who is required to file a 

registration statement by or under this subsection shall file an 

initial registration statement by March 31, 1992. The Secretary 

may extend such date to September 30, 1992, with respect to the 

requirements of paragraph (1). 

(B) Renewals.-Subject to the provisions of this subsection, 

each person who is required to file a registration statement by or 

under this section shall renew such registration statement 

periodically in accordance with regulations issued by the 

Secretary, but no less frequently than every 5 years and no more 

frequently than annually. 

(6) Amendments.-The Secretary shall by regulation determine 

when and under what circumstances a registration statement filed 

under this subsection with the Secretary must be amended and the 

procedures to be followed in amending such statement.

15 - 14
(7) Contents.-A registration statement under this subsection shall 

be in such form and contain such information as the Secretary may 

require by regulation. The Secretary may utilize existing forms of the 

Department of Transportation and the Environmental Protection 

Agency in carrying out this subsection. At a minimum, such statement 

shall include

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

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

which filing of a registration statement is required by or under this 

section; and 

(C) the State or States in which such person carries out each 

such activity. 

(8) Limitation on number of filings.-A person who carries out 

more than one activity or carries out an activity at more than one 

location for which filing of a registration statement is required by or 

under this subsection only needs to file one registration statement in 

order to comply with this subsection. 

(9) Streamlined process.-The Secretary may take such action as 

may be necessary to streamline and simplify the registration process 

under this subsection and to minimize with respect to a person who is 

required to file a registration statement under this subsection the 

number of applications, documents, and other information which such 

person is required to file with the Department of Transportation under 

this title and any other laws of the United States. 

(10) Disclosure.-The Secretary shall make a registration statement 

filed under this subsection available for inspection by any person, for 

a fee to be established by the Secretary; except that nothing in this 

sentence shall be considered to require the release of any information 

described in section 552(f) of title 5, United States Code, or which is 

otherwise protected by law from disclosure to the public. 

(11) Fees.-The Secretary may establish, assess, and collect such 

fees from persons required to file registration statements by or under 

this subsection as may be necessary to cover the costs of the 

Department of Transportation in processing such registration 

statements. 

Regulations. (12) Proof of registration and payment of fees.-The Secretary may 

issue regulations requiring a person required to file a registration 

statement by or under this subsection to maintain proof of the filing of 

such statement and the payment of any fees assessed under this 

subsection and section 117A(h). 

(13) Applicability of information management 

requirements.-Chapter 35 of title 44, United States Code (relating to 

coordination of Federal information policy) shall be not apply to 

activities of the Secretary under this subsection. 

(14) Nonapplicability to employees.-Notwithstanding any other 

provisions of this subsection, an employee of a hazmat employer is not 

required to file a registration statement by or under this section. 

(15) Exemption of government agencies and employees.-Agencies 

of the Federal Government, agencies of States, and agencies of 

political subdivisions of States, and employees of such agencies with 

respect to their official duties do not have to file registration 

statements under this subsection. 

(d) MOTOR CARRIER SAFETY PERMITS.-

15 - 15
(1) Requirement.-Except as provided in this subsection, a motor 

carrier may transport or cause to be transported by motor vehicle in 

commerce a hazardous material only if the motor carrier holds a safety 

permit issued by the Secretary under this section authorizing the 

transportation and keeps a copy of such permit, or other proof 

establishing the existence of such permit, in the motor vehicle used to 

provide such transportation. 

(2) Issuance.-Except as provided in this subsection, the Secretary 

shall issue a safety permit to a motor carrier authorizing that carrier to 

transport or cause to be transported by motor vehicle in commerce a 

hazardous material if the Secretary finds that the carrier is fit, willing, 

and able

(A) to provide the transportation to be authorized by the 

permit; 

(B) to comply with this title and the regulations issued by the 

Secretary to carry out this title; and 

(C) to comply with any applicable Federal motor carrier safety laws and regulations and any applicable Federal minimum 

financial responsibility laws and regulations. 

(3) Shipper's responsibility.-Each person who offers a hazardous 

material for motor vehicle transportation in commerce may offer that 

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

under this subsection authorizing such transportation. 

(4) Amendment, suspension, and revocation.-A safety permit 

issued to a motor carrier under this subsection may, after notice and an 

opportunity for hearing, be amended, suspended, or revoked by the 

Secretary in accordance with procedures established under paragraph (6) whenever the Secretary determines that such carrier has failed to 

comply with a requirement of this title, any regulation issued under 

this title, any applicable Federal motor carrier safety law or regulation, 

or any applicable Federal minimum financial responsibility law or 

regulation. If the Secretary determines that an imminent hazard exists, 

the Secretary may amend, suspend, or revoke the safety permit before 

scheduling a hearing thereon. 

Regulations. (5) Covered transportation.-The Secretary shall establish by 

regulation the hazardous materials and quantities thereof to which this 

subsection applies; except that this subsection shall apply, at a 

minimum, to all transportation by a motor carrier, in quantities 

established by the Secretary, of a class A or B explosive, a liquefied 

natural gas, a hazardous material which has been designated by the 

Secretary as extremely toxic by inhalation, or a highway route 

controlled quantity of radioactive materials as defined by the 

Secretary. Regulations. (6) Procedures.-The Secretary shall establish by regulation

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

necessary to recover the full costs of administering this subsection; 

(B) standards for determining the duration, terms, conditions, 

or limitations of a safety permit; 

(C) procedures for the amendment, suspension, or revocation 

of a safety permit issued under this section; and 

(D) any other procedures the Secretary deems appropriate to 

implement this subsection.

15 - 16
(7) Application.-A motor carrier shall file an application with the 

Secretary for a safety permit to provide transportation under this 

subsection. The Secretary may approve any part of the application or 

deny the application. The application shall

(A) be under oath; and 

(B) contain such information as the Secretary may require by 

regulation. 

(8) Conditions.-A motor carrier may provide transportation under 

a safety permit issued under this subsection only if the carrier 

complies with such conditions as the Secretary finds are required to 

protect public safety. 

49 USC 5109. (b) SAFETY PERMITS.-Section 106(d) of the Hazardous Materials 

Effective date. Transportation Act, relating to motor carrier safety permits, shall take 

Regulations. effect 2 years after the date of the enactment of this Act; except that the 

Secretary shall issue regulations necessary to carry out such section not 

later than 1 year after such date of enactment. 

(c) REPEAL OF EXISTING PROGRAM.-Subsections (e) and (W) of 

section 106 of the Hazardous Materials Transportation Act (49 USC 

1805), as redesignated by section 7 of this Act, are repealed effective 

March 31, 1992. 

(e) REGISTRATION.-Each person who transports or causes to be 

transported or shipped in commerce hazardous materials or who 

manufactures, fabricates, marks, maintains, reconditions, repairs, or tests 

packages or containers which are represented, marked, certified, or sold 

by such person for use in the transportation in commerce of certain 

hazardous materials (designated by the Secretary) may be required by the 

Secretary to prepare and submit to the Secretary a registration statement 

not more often than once every 2 years. Such a registration statement shall 

include, but need not be limited to, such person's name; principal place of 

business; the location of each activity handling such hazardous materials; 

a complete list of all such hazardous materials handled; and an averment 

that such person is in compliance with all applicable criteria established 

under subsection (a) of this section. The Secretary shall by regulation 

prescribe the form of any such statement and the information required to 

be included. The Secretary shall make any registration statement filed 

pursuant to this subsection available for inspection by any person, without 

charge, except that nothing in this sentence shall be deemed to require the 

release of any information described by subsection (c) of section 552 of 

title 5, United States Code, or which is otherwise protected by law from 

disclosure to the public. 

(f) REQUIREMENT.-No person required to file a registration 

statement under subsection (e) of this section may transport or cause to be 

transported or shipped hazardous materials, or manufacture, fabricate, 

mark, maintain, recondition, repair, or test packages or containers for use 

in the transportation of hazardous materials, unless he has on file a 

registration statement.2 

Sec. 107. EXEMPTIONS 

49 USC 5117. (a) GENERAL.-The Secretary, in accordance with procedures 

prescribed by regulation, is authorized to issue or renew, to any person 

subject to the requirements of this title, an exemption from the provisions 

of this title, and from regulations issued under section 105 of this title, if 

'Public Law 94-474 (90 Stat. 2068)(1976), sec. 2, amended sec. 106(c), by striking out "extremely" each 

time it appears.

15-17
Publication in 

Federal Register. 

Exclusion. 

49 USC 5114. 

Regulations.

such person transports or causes to be transported or shipped hazardous 

materials in a manner so as to achieve a level of safety (1) which is equal 

to or exceeds that level of safety which would be required in the absence 

of such exemption, or (2) which would be consistent with the public 

interest and the policy of this title in the event there is no existing level of 

safety established. The maximum period of an exemption issued or 

renewed under this section shall not exceed 2 years, but any such 

exemption may be renewed upon application to the Secretary. Each 

person applying for such an exemption or renewal shall, upon application, 

provide a safety analysis as prescribed by the Secretary to justify the grant 

of such exemption. A notice of an application for issuance of such 

exemption shall be published in the Federal Register. The Secretary shall 

afford access to any such safety analysis and an opportunity for public 

comment on any such application, except that nothing in this sentence 

shall be deemed to require the release of any information described by 

subsection (b) of section 552 of title 5, United States Code, or which is 

otherwise protected by law from disclosure to the public. 

(b) VESSELS.-The Secretary shall exclude, in whole or in part, from 

any applicable provisions and regulations under this title, any vessel 

which is excepted from the application of section 201 of the Ports and 

Waterways Safety Act of 1972 by paragraph (2) of such section (46 USC 

391a(2)), or any other vessel regulated under such Act, to the extent of 

such regulation. 

(c) FIREARMS AND AMMUNITION.-Nothing in this title, or in 

any regulation issued under this title, shall be construed to prohibit or 

regulate the transportation by any individual, for personal use, of any 

firearms (as defined in paragraph (4) of section 232 of title 18, United 

States Code) or any ammunity therefor, or to prohibit any transportation 

of firearms or ammunition in commerce. 

(d) LIMITATION ON AUTHORITY.-Except when the Secretary 

determines that an emergency exists, exemptions or renewals granted 

pursuant to this section shall be the only means by which a person subject 

to the requirements of this title may be exempted from or relieved of the 

obligation to meet any requirements imposed under this title. 

Sec. 108. TRANSPORTATION OF RADIOACTIVE MATERIALS 

ON PASSENGER-CARRYING AIRCRAFT 

(a) GENERAL.-Within 120 days after the date of enactment of this 

section, the Secretary shall issue regulations, in accordance with this 

section and pursuant to section 105 of this title, with respect to the 

transportation of radioactive materials on any passenger-carrying aircraft 

in air commerce, as defined in section 101(4) of the Federal Aviation Act 

of 1958, as amended (49 USC 1301(4)). Such regulations shall prohibit 

any transportation of radioactive materials on any such aircraft unless the 

radioactive materials involved are intended for use in, or incident to, 

research, or medical diagnosis or treatment, so long as such materials as 

prepared for and during transportation do not pose an unreasonable 

hazard to health and safety. The Secretary shall further establish effective 

procedures for monitoring and enforcing the provisions of such 

regulations. 

(b) DEFINITION.-As used in this section, "radioactive materials" 

means any materials or combination of materials which spontaneously 

emit ionizing radiation. The term does not include any material which the

15-18
Secretary determines is of such low order of radioactivity that when 

transported does not pose a significant hazard to health or safety. 

Sec. 109. POWERS AND DUTIES OF THE SECRETARY 

49 USC 5121. (a) GENERAL.-The Secretary is authorized, to the extent necessary to 

carry out his responsibilities under this title, to conduct investigations, 

make reports, issue subpoenas, conduct hearings, require the production 

of relevant documents, records, and property, take depositions, and 

conduct, directly or indirectly, research, development, demonstration, and 

Jurisdiction. training activities. The Secretary is further authorized, after notice and an 

Notice, hearing opportunity for a hearing, to issue orders directing compliance with this 

opportunity, title or regulations issued under this title; the district courts of the United 

States shall have jurisdiction upon petition by the Attorney General, to 

enforce such orders by appropriate means. 

(b) RECORDS.-Each person subject to requirements under this title 

shall establish and maintain such records, make such reports, and provide 

such information as the Secretary shall by order or regulation prescribe, 

and shall submit such reports and shall make such records and 

information available as the Secretary may request. 

(c) INSPECTION.-The Secretary may authorize any officer, 

employee, or agent to enter upon, inspect, or examine, at reasonable times 

and in a reasonable manner, the records and properties of persons to the 

extent such records and properties relate to

(1) the manufacture, fabrication, marking, maintenance, 

reconditioning, repair, testing, or distribution of packages or 

containers for use by any person in the transportation of hazardous 

materials in commerce; or 

(2) the transportation or shipment by any person of hazardous 

materials in commerce. Any such officer, employee, or agent shall, 

upon request, display proper credentials. 

(d) FACILITIES AND DUTIES.

(1) The Secretary shall

(a) establish and maintain facilities and technical staff sufficient to 

provide, within the Federal Government, the capability of evaluating risks 

connected with the transportation of hazardous materials and materials 

alleged to be hazardous; 

(b) establish and maintain a central reporting system and data center 

so as to be able to provide the law-enforcement and firefighting personnel 

of communities, and other interested persons and government officers, 

with technical and other information and advice for meeting emergencies 

connected with the transportation of hazardous materials; and 

(c) conduct a continuing review of all aspects of the transportation of 

hazardous materials in order to determine and to be able to take 

appropriate steps to assure the safe transportation of hazardous materials. 

(2) Nothing in this subsection shall be construed to limit the 

authority of the Secretary to enter into a contract with a private entity

15 - 19
for use of a supplemental reporting system and data center operated 

and maintained by such entity.' 

Contents. (e) ANNUAL REPORT.-The Secretary shall prepare and submit to 

Report to the President for transmittal to the Congress on or before June 1 of each 

President, year a comprehensive report on the transportation of hazardous materials 

transmittal to during the preceding calendar year. Such report shall include, but need 

Congress. not be limited to

(1) a thorough statistical compilation of any accidents and 

casualties involving the transportation of hazardous materials; 

(2) a list and summary of applicable Federal regulations, criteria, 

orders, and exemptions 

in effect; 

(3) a summary of the basis for any exemptions granted or 

maintained; 

(4) an evaluation of the effectiveness of enforcement activities and 

the degree of voluntary compliance with applicable regulations; 

(5) a summary of outstanding problems confronting the 

administration of this title, in order of priority;, and 

(6) such recommendations for additional legislation as are deemed 

necessary or appropriate. 

Sec. 110. PENALTIES 

49 USC 5121. (a) CIVIL.-(l) Any person who is determined by the Secretary, after 

notice and an opportunity for a hearing, to have knowingly committed an 

act which is a violation of a provision of this title, an order, or regulation 

issued under this title, shall be liable to the United States for a civil 

penalty. Whoever knowingly commits an act which is a violation of any 

order or regulation, applicable to any person who transports to causes to 

be transported or shipped hazardous materials, shall be subject to a civil 

penalty of not more than $25,000 and not less than $250 for each 

violation, and if any such violation is a continuing one, each day of 

violation constitutes a separate offense. Whoever knowingly commits an 

act which is a violation of any order or regulation applicable to any person 

who manufactures, fabricates, marks, maintains, reconditions, repairs, or 

tests a package or container which is represented, marked, certified, or 

sold by such person for use in the transportation in commerce of 

hazardous materials shall be subject to a civil penalty of not more than 

$25,000 and not less than $250 for each violation. The amount of any 

such penalty shall be assessed by the Secretary by written notice. In 

determining the amount of such penalty, the Secretary shall take into 

"

5

P.L. 98-559, 98 Stat. 2907, amends sec. 109, subsection (d). Prior to amendments, sec. 109(d) read as 

follows: 

(D)FACILITIES AND DUTIES.-The Secretary shall

(1) establish and maintain facilities and technical staff sufficient to provide, within the Federal 

Government, the capability of evaluating risks connected with the transportation of hazardous materials and 

materials alleged to be hazardous; 

(2) establish and maintain a central reporting system and data center so as to be able to provide the law

enforcement and firefighting personnel of communities, and other interested persons and government officers, 

with technical and other information and advice for meeting emergencies connected with the transportation of 

hazardous materials; and 

(3) conduct a continuing review of all aspects of the transportation of hazardous materials in order to 

determine and to be able to recommend appropriate steps to assure the safe transportation of hazardous 

materials. 4

Public Law 98-559, 98 Stat. 2907, amends sec 109, subsection (e). The amendment changed the date of 

submittal.

15-20
49 USC 5122. 

Imminent hazard.

account the nature, circumstances, extent, and gravity of the violation 

committed and, with respect to the person found to have committed such 

violation, the degree of culpability, any history of prior offenses, ability to 

pay, effect on ability to continue to do business, and such other matters as 

justice may require. 

(2) Such civil penalty may be recovered in an action brought by the 

Attorney General on behalf of the United States in the appropriate 

district court of the United States or, prior to referral to the Attorney 

General, such civil penalty may be compromised by the Secretary. The 

amount of such penalty, when finally determined (or agreed upon in 

compromise), may be deducted from any sums owned by the United 

States to the person charged. All penalties collected under this 

subsection shall be deposited in the Treasury of the United States as 

miscellaneous receipts. 

(b) CRIMINAL.-A person is guilty of an offense if he willfully 

violates a provision of this title or a regulation issued under this title. 

Upon conviction, such person shall be subject, for each offense, to a fine 

of not more than $25,000, imprisonment for a term not to exceed 5 years, 

or both. 

(3) Acting knowingly.-For purposes of this section, a person shall 

be considered to have acted knowingly if

(A) such person has actual knowledge of the facts giving rise 

to the violation, or 

(B) a reasonable person acting in the circumstances and 

exercising due care would have such knowledge. 

(b) CRIMINAL PENALTIES.-Subsection (b) of section 110 (49 USC 

5123) is amended to read as follows: 

(b) CRIMINAL.-A person who knowingly violates section 105(0 of 

this title or willfully violates a provision of this title or an order or 

regulation issued under this title shall be fined under title 18, United 

States Code, or imprisoned for not more than 5 years, or both. 

Sec. 111. SPECIFIC RELIEF 

(a) GENERAL.-The Attorney General, at the request of the Secretary, 

may bring an action in an appropriate district court of the United States 

for equitable relief to redress a violation by any person of a provision of 

this title, or an order or regulation issued under this title. Such district 

courts shall have jurisdiction to determine such actions and may grant 

such relief as is necessary or appropriate, including mandatory or 

prohibitive injunction relief, interim equitable relief, and punitive 

damages. 

(b) IMMINENT HAZARD.-If the Secretary has reason to believe that 

an imminent hazard exists, he may petition an appropriate district court of 

the United States, or upon his request the Attorney General shall so 

petition, for an order suspending or restricting the transportation of the 

hazardous material responsible for such imminent hazard, or for such 

other order as is necessary to eliminate or ameliorate such imminent 

hazard. As used in this subsection, an "imminent hazard" exists if there is 

substantial likelihood that serious harm will occur prior to the completion 

of an administrative hearing or other formal proceeding initiated to abate 

the risk of such harm.

15-21
49 USC 5125. 

Indians. 

State governments. 

Federal Register 

publication. 

Regulations.

Sec. 112. RELATIONSHIP TO OTHER LAWS 

(a) IN GENERAL.-Except as provided in subsection (d) and unless 

otherwise authorized by Federal law, any requirement of a State or 

political subdivision thereof or Indian tribe is preempted if

(1) compliance with both the State or political subdivision or 

Indian tribe requirement and any requirement of this title or of a 

regulation based under this title is not possible, 

(2) the State or political subdivision or Indian tribe requirement as 

applied or enforced creates an obstacle to the accomplishment and 

execution of this title or the regulations issued under this title, or 

(3) it is preempted under section 105(a)(4) or section 105(b). 

(b) FEES.-A State or political subdivision thereof or Indian tribe may 

not levy any fee in connection with the transportation of hazardous 

materials that is not equitable and not used for purposes related to the 

transportation of hazardous materials, including enforcement and the 

planning, development, and maintenance of a capability for emergency 

response. 

(c) DETERMINATION OF PREEMPTION.

(1) Administrative determination.-Any person, including a State or 

political subdivision thereof or Indian tribe, directly affected by any 

requirement of a State or political subdivision or Indian tribe, may 

apply to the Secretary, in accordance with regulations prescribed by 

the Secretary, for a determination of whether that requirement is 

preempted by section 105(a)(4) or 105(b) or subsection (a). The 

Secretary shall publish notice of the application in the Federal 

Register. Once the Secretary has published such notice, no applicant 

for such determination by the Secretary may seek relief with respect to 

the same or substantially the same issue in any court until the 

Secretary has taken final action on the application or until 180 days 

after filing of the application, whichever occurs first. The Secretary, 

in consultation with States, politicMi subdivisions, and Indian tribes, 

shall issue regulations which set forth procedures for carrying out this 

paragraph. 

(2) Judicial Determination.-Nothing in subsection (a) prohibits a 

State or political subdivision thereof or Indian tribe, or any other 

person directly affected by any requirement of a State or political 

subdivision thereof or Indian tribe, from seeking a determination of 

preemption in any court of competent jurisdiction in lieu of applying 

to the Secretary under paragraph (1). 

(d) WAIVER OF PREEMPTION.-Any State or political subdivision 

or Indian tribe may apply to the Secretary for a waiver of preemption with 

respect to any requirements that the State or political subdivision or 

Indian tribe acknowledges to be preempted by section 105(a)(4) or 105(b) 

or subsection (a). The Secretary, in accordance with procedures 

prescribed by regulation, may waive preemption with respect to such 

requirement upon a determination that such requirement

(1) affords an equal or greater level of protection to the public than 

is afforded by the requirements of this title or regulations issued under 

this title, and 

(2) does not unreasonably burden commerce. 

(e) JUDICIAL REVIEW.-A party to a proceeding under subsection 

(c) or (d) may seek review by the appropriate district court of the United 

States of a decision of the Secretary under such proceeding only by filing

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a petition with such court within 60 days after such decision becomes 

final. 

(f) OTHER FEDERAL LAWS.-This title shall not apply to pipelines 

which are subject to regulation under the Natural Gas Pipeline Safety Act 

of 1968 (49 USC 1671 et seq.), to pipelines which are subject to 

regulation under the Hazardous Liquid Pipeline Safety Act of 1979 

(49 USC 2001 et seq.), or to any matter which is subject to the Federal 

postal laws or regulations under this title or under title 18 or title 39 of the 

United States Code. 

Sec. 113. CONFORMING AMENDMENTS 

(a) Section 4472 of title 52 of the Revised Statutes of the United 

States, as amended (46 USC 170) is amended

(1) by inserting, in the first sentence of paragraph (14) thereof, "criminal" before the word "penalty" and "or imprisoned not more 

than 5 years, or both" before the phrase "for each violation", and 

Penalty. (2) by adding at the end thereof the following new paragraph: 

(17)(A) Any person (except an employee who acts without 

knowledge) who is determined by the Secretary, after notice and an 

opportunity for a hearing, to have knowingly committed an act which 

is a violation of any provision of this section, or of any regulation 

issued under this section, shall be liable to the United States for a civil 

penalty of not more than $10,000 for each day of each violation. The 

amount of such civil penalty shall be assessed by the Secretary by 

written notice. In determining the amount of such penalty, the 

Secretary shall take into account the nature, circumstances, extent, and 

gravity of the violation committed and, with respect to the person 

found to have committed such violation, the degree of culpability, any 

history of prior offenses, ability to pay, effect on ability to continue to 

do business, and such other matters as justice may require. 

(B) Such civil penalty may be recovered in an action brought 

by the Attorney General on behalf of the United States, in the 

appropriate district court of the United States or, prior to the 

referral to the Attorney General, such civil penalty may be 

compromised by the Secretary. The amount of such penalty, when 

finally determined (or agreed upon in compromise), may be 

deducted from any sums owned by the United States to the person 

charged. All penalties collected under this subsection shall be 

deposited in the Treasury of the United States as miscellaneous 

receipts. 

(b) Section 901(a)(1) of the Federal Aviation Act of 1958 (49 USC 

147(a)(1)) is amended

(1) by inserting immediately before the period at the end of the 

first sentence thereof and inserting in lieu thereof: ", except that the 

amount of such civil penalty shall not exceed $10,000 for each such 

violation which relates to the transportation of hazardous materials."; 

and 

(2) by deleting in the second sentence thereof ": Provided, That 

this" and inserting in lieu thereof the following: ". The amount of any 

such civil penalty which relates to the transportation of hazardous 

materials shall be assessed by the Secretary, or his delegate, upon 

written notice upon a finding of violation by the Secretary, after notice 

and an opportunity for a hearing. In determining the amount of such 

penalty, the Secretary shall take into account the nature,

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circumstances, extent, and gravity of the violation committed, and 

with respect to the person found to have committed such violation, the 

degree of culpability, and history of prior offenses, ability to pay, 

effect on ability to continue to do business, and such other matters as 

justice may required. This." 

(c) Section 902(h) of the Federal Aviation Act of 1958, as amended 

(49 USC 1472(h)) is amended to read as follows: 

HAZARDOUS MATERIALS 

Ante, p. 2157. (h)(1) In carrying out his responsibilities under this Act, the Secretary 

of Transportation may exercise the authority vested in him by section 105 

of the Hazardous Materials Transportation Act to provide by regulation 

for the safe transportation of hazardous materials by air. 

Penalty. (2) A person is guilty of an offense if he willfully delivers or 

causes to be delivered to an air carrier or to the operator of a civil 

aircraft for transportation in air commerce, or if he recklessly causes 

the transportation in air commerce of, any shipment, baggage, or other 

property which contains a hazardous material, in violation of any rule, 

regulation, or requirement with respect to the transportation of 

hazardous materials issued by the Secretary of Transportation under 

this Act. Upon conviction, such person shall be subject, for each 

offense, to a fine of not more than $25,000, imprisonment for a term 

not to exceed 5 years, or both. 

(3) Nothing in this subsection shall be construed to prohibit or 

regulate the transportation by any individual, for personal use, of any 

firearm (as defined in paragraph (4) of section 232 of title 18, United 

States Code) or any ammunition therefor." 

(d) Section 6(c)(1) of the Department of Transportation Act (49 USC 

1655(c)(1)) is amended by inserting in the first sentence thereof after 

"aviation safety" and before "as set forth in" the following: (other than 

those relating to the transportation, packaging, marking, or description of 

hazardous materials). 

(e)(1) Section 6(1(3)(A) of the Department of Transportation Act 

(49 USC 1655(f)(3)(A)) is amended by striking out the period at the end 

thereof and by inserting in lieu thereof "(other than subsection (e)(4))." 

(2) Section 6(f)(3)(B) of the Department of Transportation Act 

(49 USC 1655(f)(3)(B)) is amended by striking out the period at the 

end thereof and by inserting in lieu thereof "(other than 

subsection (e)(4))." 

(f) Subsection (6) of section 4472 of the Revised Statutes, as amended 

(46 USC 170(6)) is amended

(1) in paragraph (a) thereof, by striking out "inflammable" each 

place it appears and inserting in lieu thereof at each such place 

"flammable"; by inserting before "liquids" the following: "or 

combustible"; and by deleting the colon and the proviso in its entirety 

and by inserting in lieu thereof a period and the following two new 

sentences: "The provisions of this subsection shall apply to the 

transportation, carriage, conveyance, storage, stowing, or use on board 

any passenger vessel of any barrel, drum, or other package containing 

any flammable or combustible liquid which has a lower flash point 

than that which is defined as safe pursuant to regulations establishing 

the defining flash-point criteria for flammable and combustible 

liquids. Such regulations shall be prescribed and revised as necessary, 

by the Secretary of Transportation." (2) in paragraph (b) thereof, by

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striking out in clause (iv) thereof "inflammable liquids" and inserting 

in lieu thereof "flammable or combustible liquids." 

Repeal. (g) The Hazardous Materials Transportation Control Act of 1970 

(Pub. L. 91-458, title III; 49 U.S. 1761-1762) is repealed. 

Sec. 114. EFFECTIVE DATE 

49 USC 5101. (a) Except as provided in this section, the provisions of the title shall 

take effect on the date of enactment. 

(b)(1) Except as provided in section 108 of this title or paragraph (2) 

of this subsection, any order, determination, rule, regulation, permit, 

contract, certificate, license, or privilege issued, granted, or otherwise 

authorized or allowed prior to the date of enactment of this title, pursuant 

to any provision of law amended or repealed by this title, shall continue in 

effect according to its terms or until repealed, terminated, withdrawn, 

amended, or modified by the Secretary or a court of competent 

jurisdiction. 

(2) The Secretary shall take all steps necessary to bring orders, 

determinations, rules, and regulations into conformity with the 

purposes and provisions of this title as soon as practicable, but in any 

event no permits, contracts, certificates, licenses, or privileges granted 

prior to the date of enactment of this title, or renewed or extended 

thereafter, shall be of any effect more than 2 years after the date of 

enactment of this title, unless there is full compliance with the 

purposes and provisions of this Act and regulations thereunder. 

(c) Proceedings pending upon the date of enactment of this title shall 

not be affected by the provisions of this title and shall be completed as if 

this title had not been enacted, unless the Secretary makes a determination 

that the public health and safety otherwise require. 

Sec. 115. AUTHORIZATION FOR APPROPRIATIONS 

49 USC 5127. (a) IN GENERAL.-There is authorized to be appropriated for 

carrying out this title (other than sections 117, 117A, 118, and 121) not to 

exceed $13,000,000 for fiscal year 1991, $16,000,000 for fiscal year 

1992, and $18,000,000 for fiscal year 1993. 

(b) CREDITS.-The Secretary may credit to any appropriation to carry 

out this title funds received from States, Indian tribes, or other public 

authorities and private entities for expenses incurred by the Secretary in 

providing training to such States, public authorities, and private entities. 

Sec. 116. TRANSPORTATION OF CERTAIN HIGHLY 

RADIOACTIVE MATERIALS 

49 USC 5105. (a) RAILROAD TRANSPORTATION STUDY.-The Secretary, in 

consultation with the Department of Energy, the Nuclear Regulatory 

Commission, potentially, affected States and Indian tribes, representatives 

of the railroad transportation industry and shippers of high-level 

radioactive waste and spent nuclear fuel, shall undertake a study 

comparing the safety of using trains operated exclusively for transporting 

high-level radioactive waste and spent nuclear fuel (hereinafter in this 

section referred to as "dedicated trains") with the safety of using other 

Reports. methods of rail transportation for such purposes. The Secretary shall 

report the results of the study to Congress not later than one year after the 

date of enactment of this section. 

Regulations. (b) SAFE RAIL TRANSPORT OF CERTAIN RADIOACTIVE 

MATERIALS.-Within 24 months after the date of enactment of this 

section, taking into consideration the findings of the study conducted 

pursuant to subsection (a), the Secretary shall amend existing regulations

15-25
as the Secretary deems appropriate to provide for the safe transportation 

by rail of high-level radioactive waste and spent nuclear fuel by various 

methods of rail transportation, including by dedicated train. 

(c) MODE AND ROUTE STUDY.-The Secretary shall, within 12 

months after the date of enactment of this section, undertake a study to 

determine which factors, if any, should be taken into consideration by 

shippers and carriers in order to select routes and modes which, in 

combination, would enhance overall public safety related to the 

transportation of high-level radioactive waste and spent nuclear fuel. Such 

study shall include notice and opportunity for public comment, and shall 

include assessing the degree to which various factors, including 

population densities, types and conditions of modal infrastructures (such 

as highways, railbeds, and waterways), quantities of high-level radioactive 

waste and spent nuclear fuel, emergency response capabilities, exposure 

and other risk factors, terrain considerations, continuity of routes, 

available alternative routes and environmental impact factors, affect the 

overall public safety of such shipments. 

(d) INSPECTIONS OF VEHICLES TRANSPORTING HIGHWAY 

ROUTE CONTROLLED QUANTITY RADIOACTIVE MATERIALS.

Regulations. (1) Requirement.-Not later than one year after the date of the 

enactment of the Hazardous Materials Transportation Uniform Safety 

Act of 1990, the Secretary shall require by regulation that, before each 

use of a motor vehicle to transport in commerce any highway route 

controlled quantity radioactive material, such vehicle shall be 

inspected and certified to be in compliance with this title and 

applicable Federal motor carrier safety laws and regulations. 

(2) Use of federal and state inspectors.-The Secretary may require 

that inspections under this subsection be carried out by duly 

authorized inspectors of the United States or in accordance with 

appropriate State procedures. 

(3) Self-certification.-The Secretary may permit a person who 

transports or causes to be transported or shipped any highway route 

controlled quantity radioactive material to inspect the motor vehicle to 

be used to provide such transportation and to certify that the motor 

vehicle is in compliance with this title. The inspector qualification 

requirements for individuals performing inspections of motor vehicles 

issued by the Secretary shall apply to individuals conducting 

inspections under this paragraph. 

(e) DEFINITIONS.-For purposes of this section, the following 

definitions apply: 

(2) Spent nuclear fuel.-The term "spent nuclear fuel" has the 

meaning given such term in section 2(23) of the Nuclear Waste Policy 

Act of 1982 (42 USC 10101(23)). 

Intergovernmental relations. 

(1) High-level radioactive waste.-The term "high-level radioactive 

waste" has the meaning given such term in section 2(12) of the 

Nuclear Waste Policy Act of 1982 (42 USC10101(12)). 

(a) IN GENERAL.-The Secretary of Transportation, in fiscal year 

1991, shall employ and maintain thereafter an additional 30 hazardous 

materials safety inspectors above the number of safety inspectors 

authorized for fiscal year 1990, in the aggregate, for the Federal Railroad 

Administration, the Federal Highway Administration, and the Research 

and Special Programs Administration. The Secretary shall take such

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Grant Programs. 

State governments. 

49 USC 5116.

action as may be necessary to assure that the activities of 10 such 

additional inspectors focus on promoting safety in the transportation of 

radioactive materials, as defined by the Secretary. Such activities shall 

include

(1) the inspection at the point of origin of shipments of high-level radioactive waste or nuclear spent fuel, as those terms are defined in 

section 116 of the Hazardous Materials Transportation Act, as added 

by section 15 of this Act; and 

(2) the inspection, to the maximum extent practicable, of 

shipments of radioactive materials that are not high-level radioactive 

waste or nuclear spent fuel. 

(b) COOPERATION.-In carrying out their duties, the 10 additional 

inspectors authorized by this section to focus on promoting safety in the 

transportation of radioactive materials shall, to the maximum extent 

possible, cooperate with safety inspectors of the Nuclear Regulatory Commission and appropriate State and local government officials. 

(c) ALLOCATION OF INSPECTORS OR RADIOACTIVE 

MATERIALS.-Of the 10 additional inspectors authorized by subsection 

(a) to focus on promoting safety in the transportation of radioactive 

materials

(1) not less than 1 shall be allocated to the Research and Special Programs Administration; 

(2) not less than 3 shall be allocated to the Federal Railroad 

Administration; 

(3) not less than 3 shall be allocated to the Federal Highway Administration; and 

(4) the remainder shall be allocated, at the discretion of the 

Secretary, among the agencies referred to in paragraphs (1), (2) 

and (3). 

(d) ALLOCATION OF OTHER SAFETY INSPECTORS.-The 20 

additional inspectors authorized by subsection (a) not referred to in 

subsection (c) shall be allocated, at the discretion of the Secretary, among the agencies referred to in paragraphs (1), (2), and (3). 

(e) DEFINITIONS.-As used in this section

(1) High-level radioactive waste.-The term "high-level radioactive 

waste" has the meaning given such term in section 2(12) of the 

Nuclear Waste Policy Act of 1982 (42 USC 10101(12)). 

(2) Spent nuclear fuel.-The term "spent nuclear fuel" has the 

meaning given such term in section 2(23) of the Nuclear Waste Policy Act of 1982 (42 USC 10101(23)). 

Sec. 117A. PUBLIC SECTOR TRAINING AND PLANNING 

(a) PLANNING GRANT PROGRAM.

(1) In general.-The Secretary shall make grants to States

(A) for developing, improving, and implementing emergency 

plans under the Emergency Planning and Community Right-To-Know Act of 1986, including determination of flow 

patterns of hazardous materials within a State and between a State 

and another State; and 

(B) for determining the need for regional hazardous materials 

emergency response teams. 

(2) Maintenance of effort.-The Secretary may not make a grant to 

a State under this subsection in a fiscal year unless such State certifies 

that the aggregate expenditure of funds of the State, exclusive of

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Indians. 

Intergovernmental 

relations.

Federal funds, for developing, improving, and implementing 

emergency plans under the Emergency Planning and Community 

Right- To-Know Act of 1986 will be maintained at a level which does 

not fall below the average level of such expenditure for its last 2 fiscal 

years. 

(3) Funding of planning by local emergency planning 

committees.-The Secretary may not make a grant to a State under this 

subsection in a fiscal year unless such State agrees to make available 

not less than 75 percent of the funds granted to the State under this 

subsection in the fiscal year to local emergency planning committees 

established pursuant to section 301(c) of the Emergency Planning and 

Community Right-To-Know Act of 1986 by the State emergency 

response commission. Such funds shall be made available to the local 

committees for developing emergency plans under such Act. 

(b) TRAINING GRANT PROGRAM.

(1) In general.-The Secretary shall make grants to States and 

Indian tribes for training public sector employees to respond to 

accidents and incidents involving hazardous materials. 

(2) Maintenance of effort.-The Secretary may not make a grant to 

a State or Indian tribe under this subsection in a fiscal year unless the 

State or Indian tribe certifies that the aggregate expenditure of funds 

of the State or Indian tribe, exclusive of Federal funds, for training 

public sector employees to respond to accidents and incidents 

involving hazardous materials will be maintained at a level which does 

not fall below the average level of such expenditure for its last 2 fiscal 

years. 

(3) Funding of training by politic subdivisions.-The Secretary may 

not make a grant to a State under this subsection in a fiscal year unless 

such State agrees to make available at least 75 percent of the funds 

granted to the State under this subsection in the fiscal year for the 

purposes of training public sector employees employed or used by the 

political subdivisions. 

(4) Use of training courses.-The Secretary may only make a grant 

to a State or Indian tribe under this subsection in a fiscal year if the 

State or Indian tribe enters into an agreement with the Secretary to use 

in such fiscal year

(A) a course of courses developed or identified under 

subsection (g); or 

(B) other courses which the Secretary determines are consistent 

with the objectives of this section; for training public sector 

employees to response to accidents and incidents involving 

hazardous materials. 

(5) Use of training funds.-Funds granted to a State or Indian tribe 

for training public sector employees under this subsection may be used 

to pay tuition costs of such employees for such training, travel 

expenses of such employees to and from the training facility, room 

and board of such employees while they are at the training facility, and 

travel expenses of persons who are to provide such training. 

(6) Training by others.-Funds granted to a State or Indian tribe for 

training public sector employees under this subsection

(A) may be used by the State or a political subdivision thereof 

or the Indian tribe to provide such training; or

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(B) may be used to enter into an agreement, approved by the 

Secretary, to authorize a person (including a department, agency, 

or instrumentality of a State or political subdivision thereof or an 

Indian tribe) to provide such training

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

Indian tribe to conduct random examinations, inspections and 

audits of such training without prior notification; and 

(ii) if the State or Indian tribe conducts at least annually 1 

on-site observation of such training. 

(7) Allocation of training funds.-The Secretary shall allocate funds 

made available for grants under this subsection for a fiscal year among 

States and Indian tribes which are eligible to receive such grants in 

such fiscal year based upon the needs of such States and Indian tribes 

for emergency response training. In determining such needs, the 

Secretary shall consider the number of hazardous materials facilities in 

the State or on lands under the jurisdiction of the Indian tribe, the 

types and amounts of hazardous materials transported in the State or 

on such lands, whether or not the State or Indian tribe assesses and 

collects fees on the transportation of hazardous materials, whether or 

not such fees are used solely to carry out purposes related to the 

transportation of hazardous materials, and such other factors as the 

Secretary determines are appropriate to carry out the objectives of this 

subsection. 

(c) ADOPTION OF FEDERAL STANDARDS AND COMPLIANCE 

WITH EMERGENCY PLANNING REQUIREMENTS.- The Secretary 

may only make a grant to a State under this section in a fiscal year if the 

State certifies that the State is complying with sections 301 and 303 of the 

Emergency Planning and Community Right-To-Know Act of 1986, 

including compliance with such sections with respect to accidents and 

incidents involving the transportation of hazardous materials. 

(d) FEDERAL SHARE.-By a grant under this section, the Secretary shall reimburse any State or Indian tribe an amount not to exceed 80 

percent of the cost incurred by the State or Indian tribute in the fiscal year 

for carrying out the activities for which the grant is made. The funds of 

the State or Indian tribe which are required to be expended under such 

sections (a)(2) and (b)(2) shall not be considered to be part of the 

non-Federal share. 

(e) APPLICATIONS.-A State or Indian tribe interested in receiving a 

grant under this section shall submit an application to the Secretary for 

such grant. Such applications shall be submitted at such times and contain 

such information as the Secretary may require by regulation to carry out 

the objectives of this subsection. 

(f) DELEGATION OF AUTHORITY.-For the purpose of minimizing 

administrative costs and for coordinating Federal grant programs for 

emergency response training and planning, the Secretary may delegate to 

the Director, Chairman of the Nuclear Regulatory Commission, 

Administrator, Secretary of Labor, Secretary of Energy, and Director of 

the National Institute of Environmental Health Sciences of the 

Department of Health and Human Services one or more of the following 

functions. 

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

(2) Authority to review applications for technical compliance with 

this section.

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(3) Authority to review applications for the purpose of making 

recommendation on approval or disapproval of such applications. 

(4) Any other ministerial function associated with the grant 

programs under this section. 

(g) TRAINING CURRICULUM.

(1) Curriculum committee.-Not later than 24 months after the date 

of the enactment of the hazardous Materials Transportation Uniform 

Safety Act of 1990, the Secretary, in coordination with the Director, 

Chairman of the Nuclear Regulatory Commission, Administrator, 

Secretary of Labor, Secretary of Energy, Secretary of Health and 

Human Services, and Director of the National Institute of 

Environmental Health Sciences and using the existing coordinating 

mechanisms of the National Response Team and, for radioactive 

materials, the Federal Radiological Preparedness Coordinating 

Committee, shall develop and update periodically a curriculum which 

consists of a list of courses necessary to train public sector emergency 

response and preparedness teams. 

(2) Mandatory curriculum recommendations.-The curriculum to be 

developed under this subsection shall include

(A) a recommended course of study

(i) for training public sector employees to respond to 

accidents and incidents involving the transportation of 

hazardous materials, 

(ii) for planning such responses; 

(B) recommended basic courses and minimum numbers of 

hours of instruction necessary for public sector employees to be 

able

(i) to respond safely and efficiently to accidents and 

incidents involving the transportation of hazardous materials, 

and 

(ii) to plan for such responses; 

(C) appropriate emergency response training and planning 

programs for public sector employees developed under other 

Federal grant programs, including those developed with grants 

made under section 126 of the Superfund Amendments and 

Reauthorization Act of 1986. 

(3) Optional curriculum recommendations.-The curriculum to be 

developed under this subsection may include recommendations 

concerning materials appropriate for use in the recommended courses 

described in paragraph (2)(B). 

(4) Compliance with OSHA and EPA regulations and NFPA 

standards.-The recommended courses described in paragraph (2)(B) 

shall provide such training to public sector employees as may be 

necessary to comply

(A) with the regulations issued by the Occupational Safety and 

Health Administration of the Department of Labor relating to 

hazardous waste operations and emergency response contained in 

part 1910 of title 29 of the Code of Federal Regulations, and any 

amendments thereto; 

(B) with the regulations issued by the Environmental 

Protection Agency relating to worker protection standards for 

hazardous waste operations contained in part 311 of title 40 of the 

Code of Federal Regulations, and any amendments thereto; and

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(C) with standards issued by the National Fire Protection 

Association, relating to emergency response training, including standards 471 and 472. 

(5) Consultation requirement.-In developing the curriculum under 

this subsection, the Secretary shall consult the regional response teams 

established pursuant to the National Contingency Plan established 

under section 105 of the Comprehensive Environmental Response, Compensation, and Liability Act of 1980, representatives of 

commissions established pursuant to section 301 of the Emergency Planning and Community Right-To-Know Act of 1986 (42 USC 

11001), persons (including governmental entities) who provide training for responding to accidents and incidents involving the 

transportation of hazardous materials, and representatives of persons who respond to such accidents and incidents. 

(6) Dissemination.-The Director, in conjunction with the National 

Response Team, shall disseminate the curriculum developed under 

this section and any amendments thereto to the regional response 

teams established pursuant to the National Contingency Plan 

established under section 105 of the Comprehensive Environmental 

Response, Compensation, and Liability Act of 1980 and to all 

committees and commissions established pursuant to section 301 of 

the Emergency Planning and Community Right-to-Know Act of 1986 

(42 USC 11001). 

(7) Monitoring and technical assistance.

(A) Monitoring.-The Director, in coordination with the 

Secretary, Administrator, Secretary of Energy, and Director of the 

National Institute of Environmental Health Sciences, shall monitor 

public sector emergency response training and planning for 

accidents and incidents involving hazardous materials. 

(B) Technical assistance.-Taking into account the results of 

monitoring under subparagraph (A), the Secretary, Director, Administrator, Secretary of Energy, and Director of the National 

Institute of Environmental Health Sciences shall each provide technical assistance to States and political subdivisions thereof 

Indian tribes for carrying out emergency response training and 

planning for accidents and incidents involving hazardous materials 

and shall coordinate the provision of such technical assistance 

using the existing coordinating mechanisms of the national 

response team and, for radioactive materials, the Federal 

Radiological Preparedness Coordinating Committee. 

(8) Publication of list of training programs.-The Secretary, in 

conjunction with the national response team, may publish a list of 

programs for training public sector employees to respond to accidents 

and incidents involving the transportation of hazardous materials 

which utilize one or more of the courses developed under this 

subsection. 

(9) Minimization of duplication of effort.-The Secretary, Director, Chairman of the Nuclear Regulatory Commission, Administrator, 

Secretary of Labor, Secretary of Energy, and the Director of the 

National Institute of Environmental Health Sciences, in conjunction with the heads of other Federal departments, agencies, and 

instrumentalities, shall review periodically all emergency response and 

preparedness training programs of the Federal department, agency, or

15-31
instrumentality which such person heads for the purpose of 

minimizing duplication of effort and expense of such departments, 

agencies, and instrumentalities in carrying out such training programs 

and shall take such actions, including coordination of training 

programs, as may be necessary to minimize such duplication of effort 

and expense. 

(h) FEES FOR TRAINING AND PLANNING.

Regulations. (1) Establishment and collection.-Not later than September 30, 

1992, the Secretary shall establish and assess by regulation and collect 

an annual fee from each person who is required by or under section 

106 to file a registration statement. 

(2) Factors for determining amount of fees.-Subject to paragraph 

(3), the amount of annual fees to be collected under this subsection 

shall be determined by the Secretary based on 1 or more of the 

following factors: 

(A) The gross revenues from transportation of hazardous 

materials. 

(B) The types of hazardous materials transported or caused to 

be transported. 

(C) The quantities of hazardous material transported or caused 

to be transported. 

(D) The number of shipments of hazardous materials. 

(E) The number of activities which the person carries out and 

for which filing of a registration statement is required by or under 

section 106. 

(F) The threat to property, persons, and the environment from 

an accident or incident involving the hazardous materials 

transported or caused to be transported. 

(G) The percentage of gross revenues which are derived from 

the transportation of hazardous materials. 

(H) The amount of funds which are to be made available to 

carry out this section and section 118. 

(I) Such other factors as the Secretary considers appropriate. 

(3) Limitations of fee amounts.

(A) Maximum and minimum amount.-Subject to subparagraph 

(B), the amount of a fee which may be collected from a person 

under this section in a year may not be less than $250 and may not 

exceed $5,000. 

(B) Adjustments.-The Secretary shall adjust the amount of fees 

being collected from persons under this section to reflect any 

unspent balances in the account established under paragraph (6); 

except that nothing in this subsection shall be construed as 

requiring the Secretary to refund any fees collected under this 

subsection. 

(4) Treatment of fees.-Fees collected under this subsection shall 

be in addition to any fees which the Secretary may collect under 

section 106. 

(5) Transfer to Secretary of Treasury.-The Secretary shall transfer 

to the Secretary of the Treasury amounts collected under this 

subsection for deposit in the account established under paragraph (6). 

(6) Use of amounts.

(A) Establishment of account.-The Secretary of the Treasury 

shall establish in the Treasury an account into which the Secretary

15-32
of the Treasury shall deposit amounts transferred by the Secretary of Transportation under paragraph (5). (B) Purposes.-Amounts in the account established under 

subparagraph (A) shall be available, without further appropriation (i) for making grants under this section and section 118, (ii) for monitoring and providing technical assistance under 

subsection (g)(7), and 

(iii) for paying the administrative costs of carrying out this 

section and section 118, but not to exceed 10 percent of the 

amounts made available from the account in any fiscal year. (i) FUNDING.

(1) Planning grants.-There shall be available to the Secretary for 

carrying out subsection (a), from amounts in the account established 

pursuant to subsection (h), $5,000,000 per fiscal year for each of 

fiscal years 1993, 1994, 1995, 1996, 1997, and 1998. 

(2) Training grants.-There shall be available to the Secretary for 

carrying out subsection (b), from amounts in the account established 

pursuant to subsection (h), $7,800,000 per fiscal year for each of 

fiscal years 1993, 1994, 1995, 1996, 1997, and 1998. 

(3) Curriculum.

(A) From general revenues.-There is authorized to be 

appropriated to the Secretary to carry out subsection (g) (other than paragraph (7)) $1,000,000 per fiscal year for each of fiscal 

years 1991 and 1992. 

(B) From fee account.-There shall be available to the Secretary 

to carry out subsection (g) (other than paragraph (7)), from 

amounts in the account established pursuant to subsection (h), $1,000,000 per fiscal year for each of fiscal years 1993, 1994, 

1995, 1996, 1997, and 1998. 

(C) Transfers.-The Secretary may transfer from amounts made 

available under this paragraph such amounts as may be necessary 

to the Director to carry out subsection (g)(6), relating to 

dissemination of the curriculum. 

(4) Monitoring and technical assistance.-There shall be available 

for carrying out subsection (g)(7), from amounts in the account 

established pursuant to subsection (h)

(A) to each of the Secretary, Director, Administrator, and 

Secretary of Energy $750,000; and 

(B) to the Director of the National Institute of Environmental 

Health Sciences $200,000; 

per fiscal year for each of fiscal years 1993, 1994, 1995, 1996, 1997, 

and 1998. 

(5) Availability.-Funds made available pursuant to this subsection 

shall remain available until expended. Sec. 18. HAZMAT EMPLOYEE TRAINING GRANT PROGRAM 

-The Act (49 USC App. 1801-1813), as amended by section 17 of this 

Act, is further amended by adding at the end the following new section: 

Sec. 118. HAZMAT EMPLOYEE TRAINING GRANT PROGRAM 

(a) GRANT PURPOSES.-Grants for training and education of hazmat 

employees regarding the safe loading, unloading, handling, storage, and 

transportation of hazardous materials and emergency preparedness for responding to accidents or incidents involving the transportation of

15-33

49 USC 5107.
hazardous materials in order to meet the requirements issued under 

section 106(b) may be made under this section. 

(b) ADMINISTRATION.-Grants under this section shall be 

administered by the National Institute of Environmental Health Sciences 

in consultation with the Secretary, the Administrator, and the Secretary of 

Labor. 

(c) GRANT Recipients.-Grants under this section shall be awarded to 

nonprofit organizations which demonstrate expertise in implementing and 

operating training and education programs for hazmat employees and 

demonstrate the ability to reach and involve in training programs target 

populations of hazmat employees. 

(d) FUNDING.-There shall be available to the Director of the 

National Institute of Environmental Health Sciences to carry out this 

section, from amounts in the account established pursuant to 

section 117A(h), $250,000 per fiscal year for each of fiscal years 1993, 

1994, 1995, 1996, 1997, and 1998. 

Sec. 19. RAILROAD TANK CARS 

-The Act (49 USC App. 1801 et seq.), as amended by section 18 of this 

Act, is further amended by adding at the end the following new section: 

Sec. 119. RAILROAD TANK CARS 

49 USC 5111. (a) PROHIBITIONS FOR CERTAIN MATERIALS.-No railroad 

tank car constructed before January 1, 1971, may be used for the 

transportation in commerce of any class A or B explosives, any hazardous 

material which has been designated by the Secretary as toxic by 

inhalation, or any other hazardous material the Secretary determines 

should be subject to such requirement, unless the air brake equipment 

support attachments of such tank car at a minimum comply with the 

standards for attachments set forth in part 179.100-16 and part 

179.200-19 of title 49, Code of Federal Regulations, as in effect on the 

date of enactment of this section. 

(b) APPLICABILITY TO OTHER MATERIALS.-No railroad tank 

car constructed before January 1, 1971, may be used for the transportation 

in commerce of any hazardous material after July 1, 1991, unless the air 

brake equipment support attachments of such tank car comply with the 

standards for attachments set forth in part 179.100-16 and part 

179.200-19 of tidle 49, Code of Federal Regulations, as in effect on the 

date of enactment of this section. 

Sec. 20. APPLICATION OF FEDERAL, STATE, AND LOCAL 

LAW TO FEDERAL CONTRACTORS 

49 USC 5126. The Act (49 USC 5101-5127), as amended by section 19 of this Act, 

is further amended by adding at the end thereof the following new 

section: 

Sec. 120. APPLICATION OF FEDERAL, STATE, AND LOCAL 

LAW TO FEDERAL CONTRACTORS 

Any person who, under contract with any department, agency, or 

instrumentality of the executive, legislative, or judicial branch of the 

Federal government, transports, or causes to be transported or shipped, a 

hazardous material or manufacturers, fabricates, marks, maintains, 

reconditions, repairs, or tests a package or container which is represented, 

marked, certified, or sold by such person as qualified for use in the 

transportation of hazardous materials shall be subject to any comply with 

all provisions of this title, all orders and regulations issued under this title, 

and all other substantive and procedural requirements of Federal, State,

15-34
49 USC 5111 note. 

Government 

contracts. 

49 USC 5119 

49 USC 5127.

and local governments and Indian tribes (except any such requirements that have been preempted by this title or any other Federal law), in the 

same manner and to the same extent as any person engaged in such 

activities that are in or affect commerce is subject to such provisions, orders, regulations, and requirements. 

Sec. 21. RAILROAD TANK CAR STUDY 

(a) STUDY.-The Secretary of Transportation shall enter into a 

contract with an appropriate disinterested expert body for a study of

(1) the railroad tank car design process, including specifications development, design approval, repair process approval, repair 

accountability, and the process by which designs and repairs are 

presented, weighted, and evaluated, and 

(2) railroad tank car design criteria, including whether headshields 

should be installed on all tank cars which carry hazardous materials. 

In carrying out the study described in paragraph (1), such expert body shall also make recommendations as to whether public safety considerations require greater control by and input from the Secretary with respect to the railroad tank car design process, especially in the early 

stages, and such other recommendations as such expert body considers 

appropriate. 

(b) REPORT.-The Secretary of Transportation shall report the results 

of such study and such recommendations to the Congress within 1 year 

after the date of enactment of this Act. 

Sec. 22. UNIFORMITY OF STATE MOTOR CARRIER 

REGISTRATION AND PERMITTING FORMS AND 

PROCEDURES 

-The Act (49 USC 5101-5127), as amended by section 29 of this Act, is 

further amended by adding at the end the following new section: 

Sec. 121. UNIFORMITY OF STATE MOTOR CARRIER 

REGISTRATION AND PERMITTING FORMS AND 

PROCEDURES 

(a) WORKING GROUP.-As soon as practicable after the date of the 

enactment of this section, the Secretary shall establish a working group comprised 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, and the National Conference of State Legislatures, 

for the purpose of

(1) establishing uniform forms and procedures for a State to 

register persons who transport, cause to be transported, or ship a 

hazardous material by motor vehicle in such State and for a State to 

permit the transportation of hazardous materials in such State, and 

(2) determining whether or not to limit the filing of any State 

registration and permit forms and collection of fees therefor to the 

State in which a person resides or has its principal place of business. 

(b) CONSULTATION REQUIREMENT.-The working group 

established under this section shall consult with persons who are subject 

to the registration and permit requirements described in subsection (a) in 

establishing uniform forms and procedures and making the determination 

described in subsection (a). 

(c) REPORT.-The working group established under this section shall 

transmit a final report to the Secretary and to the Committee on 

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

15-35
on Public Works and Transportation of the House of Representatives not 

later than 36 months after the date of the enactment of this section. The 

final report shall contain a detailed statement of the findings and 

conclusions of the working group, together with its joint 

recommendations concerning the matters referred to in subsection (a). 

(d) REGULATIONS.

(1) General Rule.-Subject to the provisions of this subsection, the 

Secretary shall issue regulations implementing those recommendations 

contained in the report transmitted to the Secretary under subsection 

(c) with which the Secretary agrees. 

(2) Deadline.-Regulations required to be issued by this subsection 

shall be issued by the later of the following dates: 

(A) The last day of the 3-year period beginning on the date the 

organizations referred to in subsection (a) transmit their final joint 

report to the Secretary. 

(B) The last day of the 90-day period beginning on the date on 

which 26 or more States adopt all of such recommendations. 

(3) No limit of amount of fees.,Regulations issued under this 

section shall not define or limit the amounts of any fees which may be 

imposed or collected by any State. 

Effective date. (e) UNIFORMITY.-A regulation issued pursuant to this section shall 

take effort I year after the date of its issuance; except that the Secretary 

may extend such 1-year period for an additional 1-year period for good 

cause. After the effective date of such regulation, no State shall establish, 

maintain, or enforce any requirement which relates to the subject matter 

of such regulation unless such requirement is the same as such regulation. 

(f) IMPLEMENTATION EFFICIENCY.-The Secretary, in 

consultation with the working group established under this section, shall 

develop a procedure to eliminate any differences in State implementation 

of regulations issued pursuant to this section. 

(g) APPLICABILITY OF ADVISORY COMMITTEE ACT.-The 

working group established under this section shall not be subject to the 

Federal Advisory Committee Act. 

(h) AUTHORIZATION OF APPROPRIATION.-There is authorized 

to be appropriated for carrying out this section $400,000 per fiscal year 

for each of fiscal years 1991, 1992, and 1993. Such sums shall remain 

available until expended. Sec. 23. FINANCIAL RESPONSIBILITY 

Section 30(b)(2) of the Motor Carrier Act of 1980 (49 USC 10927 

note) is amended to read as follows: 

(2) Hazardous materials transportation

(A) General rule.-Except as provided in subparagraphs (B) and 

(C), the minimal level of financial responsibility established by the 

Secretary under paragraph (1) of this subsection for any vehicle 

transporting in interstate or intrastate commerce

(i) hazardous substances (as defined by the Administrator 

of the Environmental Protection Agency) in cargo tanks, 

portable tanks, or hopper-type vehicles, with capacities in 

excess of 3,500 water gallons, 

(ii) in bulk class A explosives, poison gas, liquefied gas, or 

compressed gas, or 

(iii) large quantities of radioactive materials, shall not be 

less than $5,000,000. 

15-36
49 USC 5112. 

49 USC 5120 note. 

Motor vehicles. 

Telecommunica

tions.

(B) Phase-in reduction.-The Secretary, by regulation, may reduce the $5,000,000 amount under subparagraph (A) (but not to 

an amount less than $1,000,000) for any class of vehicles or operations for the 3+-year period beginning on the effective date of the regulations issued under this subsection or any part of such period if the Secretary finds that such reduction will not adversely affect public safety and will prevent a serious disruption in transportation service. 

(C) Territory reduction.-The Secretary, by regulation, may reduce the $5,000,000 amount under subparagraph (A) (but not to 

an amount less than $1,000,000) for transportation described in subparagraph (A) in the Commonwealth of Puerto Rico, the Virgin Islands, American Samoa, Guam, and the Commonwealth of the Northern Mariana Islands if the chief executive officer of such territory requests the reduction and if the reduction will not adversely affect public safety, will prevent a serious disruption in transportation service, and insurance at the $5,000,000 level is not readily available. 

Sec. 24. FEDERALLY LEASED COMMERCIAL MOTOR VEHICLES 

Section 210 of the Motor Carrier Safety Act of 1984 (49 USC 31142) is amended by adding at the end the following new subsection: 

(g) FEDERALLY LEASED COMMERCIAL MOTOR 

VEHICLES.-Any State which receives Federal financial assistance under section 402 of the Surface Transportation Assistance Act of 1982 in a fiscal year may apply and enforce in such fiscal year any regulations pertaining to commercial motor vehicle safety adopted by such State with 

respect to commercial motor vehicles and operators leased to the United States. 

Sec. 25. IMPROVEMENTS TO HAZARDOUS MATERIALS IDENTIFICATION SYSTEMS 

(a) RULEMAKING PROCEEDING.

(1) Initiation.-In order to develop methods of improving the 

current system of identifying hazardous materials being transported in vehicles for safeguarding the health and safety of persons responding to emergencies involving such hazardous materials and the public and 

to facilitate the review and reporting process required by subsection (d), the Secretary of Transportation shall initiate a rulemaking proceeding not later than 30 days after the date of the enactment of this Act. 

(2) Primary purposes.-The primary purposes of the rulemaking proceeding initiated under this subsection are

(A) to determine methods of improving the current system of placarding vehicles transporting hazardous materials; and (B) to determine methods for establishing and operating a central reporting system and computerized telecommunications data center described in subsection (b)(1). 

(3) Methods of improving placarding system.-The methods of improving the current system of placarding to be considered under the rulemaking proceeding initiated under this subsection shall include methods to make such placards more visible, methods to reduce the number of improper and missing placards, alternative methods of marking vehicles for the purpose of identifying the hazardous

15-37
materials being transported, methods of modifying the composition of 

placards in order to ensure their resistance to flammability, methods of 

improving the coding system used with respect to such placards, 

identification of appropriate emergency response procedures through 

symbols on placards, and whether or not telephone numbers of any 

continually monitored telephone systems which are established under 

the Hazardous Materials Transportation Act are displayed on vehicles 

transporting hazardous materials. 

(4) Completion of rulemaking proceeding with respect to reporting 

system and data center.-Not later than 19 months after the date of the 

enactment of this Act, the Secretary of Transportation shall complete 

the rulemaking proceeding initiated with respect to the central 

reporting system and computerized telecommunications data center 

described in subsection (b). 

(5) Final rule with respect to placarding.-Not later than 30 months 

after the date of the enactment of this Act, the Secretary of 

Transportation shall issue a final rule relating to improving the current 

system for placarding vehicles transporting hazardous materials. 

(b) CENTRAL REPORTING SYSTEM AND COMPUTERIZED 

TELECOMMUNICATIONS DATA CENTER STUDY.

(1) Arrangements with National Academy of Sciences.-Not later 

than 30 days after the date of the enactment of this Act, the Secretary 

of Transportation shall undertake to enter into appropriate 

arrangements with the National Academy of Sciences to conduct a 

study of the feasibility and necessity of establishing and operating a 

central reporting system and computerized telecommunications data 

center that is capable of receiving, storing, and retrieving data 

concerning all daily shipments of hazardous materials, that can 

identify hazardous materials being transported by any mode of 

transportation, and that can provide information to facilitate responses 

to accidents and incidents involving the transportation of hazardous 

materials. 

(2) Consultation and report.-In entering into any arrangements 

with the National Academy of Sciences for conducting the study 

under this section, the Secretary of Transportation shall request the 

National Academy of Sciences

(A) to consult with the Department of Transportation, the 

Department of Health and Human Services, the Environmental 

Protection Agency, the Federal Emergency Management Agency, 

and the Occupational Safety and Health Administration, shippers 

and carriers of hazardous materials, manufacturers of 

computerized telecommunications systems, State and local 

emergency preparedness organizations (including law enforcement 

and firefighting organizations), and appropriate international 

organizations in conducting such study; and 

(B) to submit, not later than 19 months after the date of the 

enactment of this Act, to the Secretary, the Committee on 

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

Committees on Energy and Commerce and Public Works and 

Transportation of the House of Representatives a report on the 

results of such study. 

Such report shall include recommendations of the National Academy 

of Sciences with respect to establishment and operation of a central

15-38
reporting system and computerized telecommunications data center 

described in paragraph (1). 

(3) Authorization of appropriation.-In addition to amounts 

authorized under section 115 of the Hazardous Materials 

Transportation Act, there is authorized to be appropriated to the 

Secretary of Transportation to carry out this subsection $350,000. (c) ADDITIONAL PURPOSES OF RULEMAKING PROCEEDING 

AND STUDY.-Additional purposes of the rulemaking proceeding initiated under subsection (a) with respect to a central reporting system and computerized telecommunications data center described in subsection 

(b) and the study conducted under subsection (b) are

(1) to determine whether such a system and center should be 

established and operated by the United States Government or by a 

private entity, either on its own initiative or under contract with the 

United States; 

(2) to determine, on an annualized basis, the estimated cost for 

establishing, operating, and maintaining such a system and center and 

for carrier and shipper compliance with such a system; (3) to determine methods for financing the cost of establishing operating, and maintaining such a system and center; 

(4) to determine projected safety benefits of establishing and 

operating such a system and center; 

(5) to determine whether or not shippers, carriers, and handlers of 

hazardous materials', in addition to law enforcement officials and 

persons responsible for responding to emergencies involving hazardous materials, should have access to such system for obtaining information concerning shipments of hazardous materials and 

technical and other information and advice with respect to such 

emergencies; 

(6) to determine methods for ensuring the security of the 

information and data stored in such a system; (7) to determine types of hazardous materials and types of 

shipments for which information and data should be stored in such a 

system; 

(8) to determine the degree of liability of the operator of such a 

system and center for providing incorrect, false, or misleading information; 

(9) to determine deadlines by which shippers, carriers, and 

handlers of hazardous materials should be required to submit 

information to the operator of such a- system and center and minimum 

standards relating to the form and contents of such information; (10) to determine measures (including the imposition of civil and 

criminal penalties) for ensuring compliance with the deadlines and 

standards referred to in paragraph (9); and 

(11) to determine methods of accessing such a system through mobile satellite service or other technologies having the capability to 

provide 2-way voice, data, or facsimile services. 

(d) REVIEW AND REPORT TO CONGRESS.

(1) In general.-Not later than 25 months after the date of the 

enactment of this Act, the Secretary of Transportation shall review the 

report of the National Academy of Sciences submitted under 

subsection (b) and the results of rulemaking proceeding initiated under 

subsection (a) with respect to a central reporting system and

15-39
40 USC App. 5103 

note.

computerized telecommunications data center and shall prepare and 

submit to Congress a report summarizing the report of the National 

Academy of Sciences and the results of such rulemaking proceeding, 

together with the Secretary's recommendations concerning the 

establishment and operation of such a system and center and the 

Secretary's recommendations concerning implementation of the 

recommendations contained in the report of the National Academy of 

Sciences. 

(2) Weight to be given to recommendations of NAS.-In 

conducting the review and preparing the report under this subsection, 

the Secretary shall give substantial weight to the recommendations 

contained in the report of the National Academy of Sciences 

submitted under subsection (b). 

(3) Inclusion of reasons for not following recommendations.-If the 

Secretary does not include in the report prepared for submission to 

Congress under this subsection a recommendation for implementation 

of a recommendation contained in the report of the National Academy 

of Sciences submitted under subsection (b), the Secretary shall include 

in the report to Congress under this subsection the Secretary's reasons 

for not recommending implementation of the recommendation of the 

National Academy of Sciences. 

Sec. 26. CONTINUALLY MONITORED TELEPHONE SYSTEMS 

(a) RULEMAKING PROCEEDING.-Not later than 90 days after the 

date of the enactment of this Act, the Secretary of Transportation shall 

initiate a rulemaking proceeding on the feasibility, necessity, and safety 

benefits of requiring carriers involved in the hazardous materials 

transportation industry to establish continually monitored telephone 

systems equipped to provide emergency response information and 

assistance with respect to accidents and incidents involving hazardous 

materials. Additional objectives of such proceeding shall be to determine 

which hazardous materials, if any, should be covered by such a 

requirement and which segments of such industry (including persons who 

own and operate motor vehicles, trains, vessels, aircraft, and in-transit 

storage facilities) should be covered by such a requirement. 

(b) COMPLETION OF PROCEEDING.-Not later than 30 months 

after the date of the enactment of this Act, the Secretary of Transportation 

shall complete the proceeding under this section and may issue a final rule 

relating to establishment of continually monitored telephone systems 

described in subsection (a). 

Sec. 27. SHIPPER RESPONSIBILITY REPORT 

-Not later than 90 days after the date of the enactment of this Act, the 

Secretary of Transportation shall transmit to Congress a report on

(1) the safety benefits of a law which provides that if a person 

causes a hazardous material to be transported in bulk in commerce by 

a motor carrier, which is involved in a hazardous material incident and 

which has an unsatisfactory safety rating issued by the Secretary or 

which has a conditional safety rating issued by the Secretary which 

has been in effect for a period of more than 12 months, such person 

shall be liable for at least 50 percent of the costs, damages, and 

attorney's fees assessed against the motor carrier for any hazardous 

material incident involving such transportation;

15-40
29 USC 655 note.

(2) such other systems as the Secretary of Transportation may determine would assure responsible actions by a person who causes 

the transportation of hazardous material in bulk in commerce; and 

(3) the safety benefits of a law which provides that the liability of 

the person or persons who caused such a shipment of hazardous 

materials may not be transferred by indemnification, hold harmless, or 

similar agreements. 

Sec. 28. STATE PARTICIPATION IN INVESTIGATIONS AND 

SURVEILLANCE 

(a) AMENDMENT OF SECTION 206(a) OF FRSA.-Section 206(a) 

of the Federal Railroad Safety Act of 1970 (45 USC 435(a)) is amended

(1) by inserting "related to railroad safety" after "standard 

prescribed"; 

(2) by striking "under this title" the first place it appears; 

(3) by striking "established under this title" in paragraph (2); and 

(4) by striking "prescribed by the Secretary under section 202(a) of 

this title" and inserting "relating to railroad safety prescribed by the 

Secretary." 

(b) AMENDMENT OF SECTION 206(b) OF FRSA.-Section 206(b) of the Federal Railroad Safety Act of 1970 (45 USC 435(b)) is amended 

by striking "prescribed by him under section 202(a) of this title" and 

inserting "relating to railroad safety prescribed by the Secretary." (c) AMENDMENT OF SECTION 206(1) OF FRSA.-Section 206(f) of the Federal Railroad Safety Act of 1970 (45 USC 435(f)) is amended 

by striking "under this title." 

(d) AMENDMENT TO SECTION 206 OF FRSA.-Section 206 of the 

Federal Railroad Safety Act of 1970 (45 USC 435) is amended by adding 

at the end the following: 

(h) There is authorized to be appropriated for carrying out this section 

$5,000,000 per fiscal year for each of fiscal years 1991, 1992, and 1993. 

(e) AMENDMENT OF SECTION 207(a)(1) OF FRSA.

Section 207(a)(1) of the Federal Railroad Safety Act of 1970 (45 USC 

436(a)(1)) is amended

(1) by striking "under section 209 of this title with respect"; and 

(2) by striking "issued under this title or under any law transferred 

by section 6(e)(1), (e)(2), or (e)(6)(A) of the Department of 

Transportation Act." 

(f) AMENDMENT OF SECTION 210(a) OF FRSA.-Section 210(a) 

of the Federal Railroad Safety Act of 1970 (45 USC 439(a)) is amended 

by striking "this title or to enforce rules, regulations, orders, or standards 

established under this title" and inserting "or to enforce rules, regulations, orders, or standards relating to railroad safety." Sec. 29. RETENTION OF MARKINGS AND PLACARDS 

Not later than 18 months after the date of enactment of this Act, the 

Secretary of Labor, in consultation with the Secretary of Transportation and the Secretary of the Treasury, shall issue under section 6(b) of the 

Occupational Safety and Health Act of 1970 (29 USC 655(b)) standards 

requiring any employer who receives a package, container, motor vehicle, 

rail freight car, aircraft, or vessel which contains a hazardous material and 

which is required to be marked, placarded, or labeled in accordance with 

regulations issued under the Hazardous Materials Transportation Act to 

retain the markings, placards, and labels, and any other information as 

may be required by such regulations on the package, container, motor

15-41
vehicle, rail freight car, aircraft, or vessel, until the hazardous materials 

have been removed therefrom. 

Sec. 30. RELATIONSHIP TO FEDERAL RAILROAD SAFETY 

ACT OF 1970 

45 USC 434 note. Nothing in this Act, including the amendments made by this Act, shall 

be construed to alter, amend, modify, or otherwise affect the scope of 

section 205 of the Federal Railroad Safety Act of 1970. 

Sec. 31. EFFECTIVE DATE 

49 USC 5101. (a) GENERAL RULE.-Except as provided in this Act, this Act 

(including the amendments made by this Act) shall take effect on the date 

of the enactment of this Act. 

(b) CONTINUATION OF EXISTING REGULATIONS.-Any 

regulation or ruling issued before the date of the enactment o this Act 

pursuant to the Hazardous Materials Transportation Act and any authority 

granted under such a regulation shall continue in effect according to its 

terms until repealed, terminated, amended, or modified by the Secretary of 

Transportation or a court of competent jurisdiction. 

Approved November 16, 1990. 

TITLE V OF PUBLIC LAW 94-187 

TITLE V-AIR TRANSPORTATION OF PLUTONIUM

42 USC 5817 note 

42 USC 5817 note.

Sec. 501. The Energy Research and Development Administration shall 

not ship plutonium in any form by aircraft whether exports, imports or 

domestic shipment: Provided, That any exempt shipments of plutonium, 

as defined by section 502, are not subject to this restriction. This 

restriction shall be in force until the Energy Research and Development 

Administration has certified to the Joint Committee on 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.5 

Sec. 502. For the purposes 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.

5

This title consists of sections 501 and 502 of Pub. L. 94-187 (89 Stat. 1077) enacted on Dec. 31, 1975. 

The sections appear in the United States Code at 42 USC 5817 note. Bracketed notes are used at the end of 

each section for the convenience of the reader to indicate the United States Code citation.

15-42
42 USC 5841 note.

SECTION 2904 OF ENERGY POLICY ACT OF 1992 

SEC. 2904. STUDY AND IMPLEMENTATION PLAN ON 

SAFETY OF SHIPMENT OF PLUTONIUM BY SEA. 

(a)6 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. 

SECTION 5062 OF OMNIBUS BUDGET RECONCILIATION ACT 

OF 1987 

SEC. 5062. TRANSPORTATION OF PLUTONIUM BY 

AIRCRAFT THROUGH UNITED STATES AIR SPACE. 

(a) 7 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), 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 

shall6

'is section consists of section 2904 of Pub. L. 102-486 (106 Stat. 2776) enacted on Oct. 24, 1992, and 

does not appear in the United States Code. 7

This section consists of section 5062 of Pub. L. 100-203 (101 Stat. 1330-251) enacted on Dec. 22, 1987, and was also enacted in identical form by Pub. L. 100-202 (101 Stat. 1329-121) on the same date. The section 

appears in the United States Code at 42 USC 5841 note.

15-43
42 USC 4321 et 

seq.

(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) 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 

(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.

15-44
42 USC 5841 note. 

42 USC 5841 note.

(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). (j) PAYMENT OF COSTS.-AII 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.

15-45

WEST VALLEY DEMONSTRATION PROJECT ACT 

TABLE OF CONTENTS 

PAGE 42 USC 

Sec. 

Sec. 1. Title ............................................. 2 2021a 

Sec. 2. Purpose .......................................... 2 2021a 

Sec. 3. Appropriation/Authorization .......................... 4 2021a 

Sec. 4. Report ............ I............................... 4 2021a 

Sec. 5. Rights and Obligations ............................. 4 2011 

Sec. 6. Definitions ........................................ 5 2021a

16-1
WEST VALLEY DEMONSTRATION PROJECT ACT

Public Law 96-368

42 USC 2021a 

note. 

West Valley 

Demonstration 

Project Act. 

42 USC 2021a 

note. 

Activities. 

Hearings.

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, 

Section 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 for 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

16-2
41 USC 501 note. 

State costs, 

percentage. 

Licensing 

amendment 

application. 

42 USC 2011 note. 

42 USC 5801 note. 

Publications in 

Federal Register.

located of the activities proposed to be undertaken under the project 

and to receive their comments on the project. 

,(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 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, 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, the Energy Reorganization Act of 1974, as amended, 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

16-3
Reports and other 

information to 

Commission. 

Consultation with 

EPA and others. 

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 2021 a 

note. 

42 USC 2011 note. 

42 USC 5801 note.

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 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 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. 

See. 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.

16-4
42 USC 2021a 

note. 

Definitions. 

42 USC 2014.

(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. 

(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 1 le.(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. 

Approved October 1, 1980

16-5

NUCLEAR NON-PROLIFERATION AND EXPORT LICENSING 

TABLE OF CONTENTS 

Public 

Law Section 

Nuclear Non-proliferation Act of 1978 ........................ 95-242.. 17.1 

International Atomic Energy Agency Participation Act of 1957 

(Including the Statute of the IAEA) ......................... 85-177 .. 17.2 

International Security Assistance and Arms Export Control 

Act of 1976 ............................................ 94-329 .. 17.3 

International Security And Development Cooperation 

Act of 1980 ............................................ 96-533 .. 17.4 

International Security, and Development Cooperation Act of 1981 . 97-113 .. 17.5 

Convention on the Physical Protection of Nuclear Material 

Implementation Act of 1982 .............................. 97-351 17.6

17.0- 1
NUCLEAR NON-PROLIFERATION ACT OF 1978 

TABLE OF CONTENTS 

PAGE 22 USC 

Sec. 

Sec. 1 Short Title ........................................ 3 

Sec. 2. Statement of Policy ................................. 3 3201 

Sec. 3. Statement of Purpose ................................ 3 3202 

Sec. 4. Definitions ......... I ........ ...................... 4 3203 

TITLE I 

UNITED STATES INITIATIVES TO PROVIDE 

ADEQUATE NUCLEAR FUEL SUPPLY 

Sec. 101. Policy ............................................ 4 3221 

Sec. 102. Uranium Enrichment Capacity ........................ 5 3222 

Sec. 103. Report ........................................... 5 3222 

Sec. 104. International Undertaking ............................ 5 3223 

Sec. 105. Reevaluation of Nuclear Fuel Cycle .................... 6 3224 

TITLE II 

UNITED STATES INITIATIVES TO STRENGTHEN THE INTERNATIONAL 

SAFEGUARDS SYSTEM 

Sec. 201. Policy ............................................ 7 3241 

Sec. 202. Training Program ................................... 7 3242 

Sec. 203. Negotiations ....................................... 7 3243 

PAGE 42 USC 

Sec. 

TITLE III 

EXPORT ORGANIZATION AND CRITERIA 

Sec. 301. Government-to-government Transfers .................. 8 2074 

Sec. 302. Special Nuclear Material Production .................... 9 2077 

Sec. 303. Subsequent Arrangements ........................... 10 2160 

Sec. 304. Export Licensing Procedures ......................... 14 2155 

Sec. 305. Criteria Governing United States Nuclear Exports ........ 19 2156 

Sec. 306. Additional Export Criterion And Procedures ............ 20 2157 

Sec. 307. Conduct Resulting in Termination of Nuclear Exports ..... 21 2158 

Sec. 308. Congressional Review Procedures .................... 22 2159 

Sec. 309. Component And Other Parts of Facilities ............... 24 2139 

TITLE IV 

NEGOTIATION OF FURTHER EXPORT CONTROLS 

Sec. 401. Cooperation With Other Nations ...................... 25 2153 

Sec. 402. Additional Requirements ............................ 28 2153a 

Sec. 403. Peaceful Nuclear Activities .......................... 29 2153b 

Sec. 404. Renegotiation of Agreements For Cooperation ........... 30 2153c 

Sec. 405. Authority to Continue Agreements .................... 31 2153d 

Sec. 406. Review .......................................... 31 2160a 

Sec. 407. Protection of The Environment ....................... 31 2153e

17.1-1
PAGE 22 USC 

Sec. 

TITLE V 

UNITED STATES ASSISTANCE TO DEVELOPING COUNTRIES 

Sec. 501. Policy: Report .................................... 32 3261 

Sec. 502. Programs ........................................ 32 2151a 

Sec. 503. Report .......................................... 33 3262 

TITLE VI 

EXECUTIVE REPORTING 

Sec. 601. Reports of The President ............................ 33 3281 

Sec. 602. Additional Reports ................................ 38 3282 

Sec. 603. Savings Clause .................................... 39 3201

17.1-2
NUCLEAR NON-PROLIFERATION ACT OF 1978

Public Law 95-242

22 USC 3201 note. 

Nuclear 

Non-Proliferation 

Act of 1978. 

22 USC 3201. 

22 USC 3202.

92 Stat. 120

March 10, 1978 

An Act 

To provide for more efficient and effective control over the proliferation 

of nuclear explosive capability. 

Be it enacted by the Senate and House of Representatives of the 

United States of America in Congress assembled, 

(Section 1. Short Title) 

That this Act may be cited as the "Nuclear Non-Proliferation Act of 

1978." 

Sec. 2. STATEMENT OF POLICY .The Congress finds and declares that the proliferation of nuclear 

explosive devices or of the direct capability to manufacture or otherwise 

acquire such devices poses a grave threat to the security interests of the 

United States and to continue international progress toward world peace 

and development. Recent events emphasize the urgency of this threat and 

the imperative need to increase the effectiveness of internatiohal 

safeguards and controls on peaceful nuclear activities to prevent 

proliferation. Accordingly, it is the policy of the United States to 

(a) actively pursue through international initiatives mechanisms for 

fuel supply assurances and the establishment of more effective 

international controls over the transfer and use of nuclear materials and 

equipment and nuclear technology for peaceful purposes in order to 

prevent proliferation, including the establishment of common 

international sanctions; 

(b) take such actions as are required to confirm the reliability of the 

United States in meeting its commitments to supply nuclear reactors and 

fuel to nations which adhere to effective non-proliferation policies by 

establishing procedures to facilitate the timely processing of requests for 

subsequent arrangements and export licenses; 

(c) strongly encourage nations which have not ratified the Treaty on 

the Non-Proliferation of Nuclear Weapons to do so at the earliest possible 

date; and 

(d) cooperate with foreign nations in identifying and adapting suitable 

technologies for energy production and, in particular, to identify 

alternative options to nuclear power in aiding such nations to meet their 

energy needs, consistent with the economic and material resources of 

those nations and environmental protection. 

Sec. 3. STATEMENT OF PURPOSE 

It is the purpose of this Act to promote the policies set forth above by

(a) establishing a more effective framework for international 

cooperation to meet the energy needs of all nations and to ensure that the 

worldwide development of peaceful nuclear activities and the export by 

any nation of nuclear materials and equipment and nuclear technology 

intended for use in peaceful nuclear activities do not contribute to 

proliferation;

17.1-3
22 USC 3203. 

Post, p. 141. 

42 USC 2011 note.

(b) authorizing the United States to take such actions as are required to 

ensure that it will act reliably in meeting its commitment to supply nuclear 

reactors and fuel to nations which adhere to effective non-proliferation 

policies; 

S(c) providing incentives to the other nations of the world to join in 

such international cooperative efforts and to ratify the Treaty; and 

(d) ensuring effective controls by the United States over its exports of 

nuclear materials and equipment and of nuclear technology. 

Sec. 4. DEFINITIONS 

(a) As used in this Act, the term

(1) "Commission" means the Nuclear Regulatory Commission; 

(2) "IAEA" means International Atomic Energy Agency;' (3) "nuclear materials and equipment" means source material, 

special nuclear material, production facilities, utilization facilities, and 

components, items or substances determined to have significance for 

nuclear explosive purposes pursuant to subsection 109b. of the 1954 

Act; 

(4) "physical security measures" means measures to reasonably 

ensure that source or special nuclear material will only be used for 

authorized purposes and to prevent theft and sabotage; 

(5) "sensitive nuclear technology" means any information 

(including information incorporated in a production or utilization 

facility or important component part thereof) which is not available to 

the public and which is important to the design, construction, 

fabrication, operation or maintenance of a uranium enrichment of 

nuclear fuel reprocessing facility or a facility for the production of 

heavy water, but shall not include Restricted Data controlled pursuant 

to chapter 12 of the 1954 Act; 

(6) "1954 Act" means the Atomic Energy Act of 1954, as 

amended; and 

(7) "the Treaty" means the Treaty on the Non-Proliferation of 

Nuclear Weapons. 

(b) All other terms used in this Act not defined in this section shall 

have the meanings ascribed to them by the 1954 Act, the Energy 

Reorganization Act of 1974, and the Treaty. 

TITLE I-UNITED STATES INITIATIVES TO PROVIDE 

ADEQUATE NUCLEAR FUEL SUPPLY

Sec. 101. POLICY 

22 USC 3221. The United States, as a matter of national policy, shall take such 

42 USC 5801 note. actions and institute such measures as may be necessary and feasible to 

assure other nations and groups of nations that may seek to utilize the 

benefits of atomic energy for peaceful purposes that it will provide a 

reliable supply of nuclear fuel to those nations and groups of nations 

42 USC 2201. which adhere to policies designed to prevent proliferation. Such nuclear 

fuel shall be provided under agreements entered into pursuant to section 

161 of the 1954 Act or as otherwise authorized by law. The United States 

shall ensure that it will have available the capacity on a long-term basis to 

enter into new fuel supply commitments consistent with its 

nonproliferation policies and domestic energy needs. The Commission 

'P.L. 105-277, Div. G, Title XI1, sec. 1225(e)(I), (112 Stat. 2681-775), Oct. 21,1998.

17.1-4
shall, on a timely basis, authorize the export of nuclear materials and 

equipment when all the applicable statutory requirements are met. 

Sec. 102. URANIUM ENRICHMENT CAPACITY 

22 USC 3222. The Secretary of Energy is directed to initiate construction planning and design, construction, and operation activities for expansion of 

uranium enrichment capacity, as elsewhere provided by law. Further the 

Secretary as well as the Nuclear Regulatory Commission, and the 

Secretary of State2 are directed to establish and implement procedures which will ensure to the maximum extent feasible, consistent with this 

Act, orderly processing of subsequent arrangements and export licenses 

with minimum time delay. 

Sec. 103. REPORT 

22 USC 3222 note. The President shall promptly undertake a study to determine the need Study. for additional United States enrichment capacity to meet domestic and 

foreign needs and to promote United States non-proliferation objectives Report to Congress. abroad. The President shall report to the Congress on the results of this 

study within twelve months after the date of enactment of this Act. 

Sec. 104. INTERNATIONAL UNDERTAKING 

22 USC 3223. (a) Consistent with section 105 of this Act, the President shall Discussions and institute prompt discussions with other nations and groups of nations, negotiations. including both supplier and recipient nations, to develop international 

approaches for meeting future worldwide nuclear fuel needs. In particular, the President is authorized and urged to seek to negotiate as soon as 

practicable with nations possessing nuclear fuel production facilities or 

material, and such other nations and groups of nations, such as the IAEA, 

as may be deemed appropriate, with a view toward the timely establishment of binding international undertakings providing for

(1) the establishment of an international nuclear fuel authority (INFA) with responsibility for providing agreed fuel services and 

allocating agreed upon quantities of fuel resources to ensure fuel 

supply on reasonable terms in accordance with agreements between 

INFA and supplier and recipient nations; 

(2) a set of conditions consistent with subsection (d) under which 

international fuel assurances under INFA auspices will be provided to 

recipient nations. including conditions which will ensure that the 

transferred materials will not be used for nuclear explosive devices; (3) devising, consistent with the policy goals set forth in section 

403 of this Act, feasible and environmentally sound approaches for the siting, development, and management under effective international 

auspices and inspection of facilities for the provision of nuclear fuel 

services, including the storage of special nuclear material; 

(4) the establishment of repositories for the storage of spent nuclear reactor fuel under effective international auspices and 

inspection; 

(5) the establishment of arrangements under which nations placing spent fuel in such repositories would receive appropriate compensation for the energy content of such spent fuel if recovery of 

such energy content is deemed necessary or desirable; and 

(6) sanctions for violations of the provisions of or for abrogation of such binding international undertakings.

2

P.L. 105-277, Div. G, Title XI1, sec. 1225(e)(2), (112 Stat. 2681-775), Oct. 26, 1998.

17.1-5
Proposals, 

submitted to 

Congress. 

Proposed 

legislation. 

22 USC 3224.

17.1-6

(b) The President shall submit to Congress not later than six months 

after the date of enactment of this Act proposals for initial fuel 

assurances, including creation of an interim stockpile of uranium enriched 

to less than 20 percent in the uranium isotope 235 (low-enriched uranium) 

to be available for transfer pursuant to a sales arrangement to nations 

which adhere to strict policies designed to prevent proliferation when and 

if necessary to ensure continuity of nuclear fuel supply to such nations. 

Such submission shall include proposals for the transfer of low-enriched 

uranium up to an amount sufficient to produce 100,000 NWe years of 

power from light water nuclear reactors, and shall also include proposals 

for seeking contributions from other supplier nations to such an interim 

stockpile pending the establishment of INFA. 

(c) The President shall, in the report required by section 103, also 

address the desirability of and options for foreign participation, including 

investment, in new United States uranium enrichment facilities. This 

report shall also address the arrangements that would be required to 

implement such participation and the commitments that would be required 

as a condition of such participation. This report shall be accompanied by 

any proposed legislation to implement these arrangements. 

(d) The fuel assurances contemplated by this section shall be for the 

benefit of nations that adhere to policies designed to prevent proliferation. 

In negotiating the binding international undertakings called for in this 

section, the President shall, in particular, seek to ensure that the benefits 

of such undertakings are available to non-nuclear

weapon states only if such states accept IAEA safeguards on all their 

peaceful nuclear activities, do not manufacture or otherwise acquire any 

nuclear explosive device; do not establish any new enrichment or 

reprocessing facilities under their de facto or de jure control, and place 

any such existing facilities under effective international auspices and 

inspection. 

(e) The report required by section 601 shall include information on the 

progress made in any negotiations pursuant to this section. 

(f)(1) The President may not enter into any binding international 

undertaking negotiated pursuant to subsection (a) which is not a treaty 

until such time as such proposed undertaking has been submitted to the 

Congress and has been approved by concurrent resolution. 

(2) The proposals prepared pursuant to subsection (b) shall be 

submitted to the Congress as part of an annual authorization Act for 

the Department of Energy. 

Sec. 105. REEVALUATION OF NUCLEAR FUEL CYCLE 

The President shall take immediate initiatives to invite all nuclear 

supplier and recipient nations to reevaluate all aspects of the nuclear fuel 

cycle, with emphasis on alternatives to an economy based on the 

separation of pure plutonium or the presence of high enriched uranium, 

methods to deal with spent fuel storage, and methods to improve the 

safeguards for existing nuclear technology. The President shall, in the 

first report required by section 601, detail the progress of such 

international reevaluation.
TITLE 1I-UNITED STATES INITIATIVES TO 

STRENGTHEN THE INTERNATIONAL SAFEGUARDS 

SYSTEM

17.1-7

Sec. 201. POLICY 

22 USC 3241. The United States is committed to continued strong support for the 

principles of the Treaty on the Non-Proliferation of Nuclear Weapons, to 

a strengthened and more effective International Atomic Energy Agency 

and to a comprehensive safeguards system administered by the Agency to 

deter proliferation. Accordingly, the United States shall seek to act with 

other nations to

(a) continue to strengthen the safeguards program of the IAEA and, in 

order to implement this section, contribute funds, technical resources, and 

other support to assist the IAEA in effectively implementing safeguards; 

(b) ensure that the IAEA has the resources to carry out the provisions 

of Article XII of the Statute of the IAEA; 

(c) improve the IAEA safeguards system (including accountability) to 

ensure

(1) the timely detection of a possible diversion of source or special 

nuclear materials which could be used for nuclear explosive devices; 

(2) the timely dissemination of information regarding such 

diversion; and 

(3) the timely implementation of internationally agreed procedures 

in the event of such diversion; 

(d) ensure that the IAEA receives on a timely basis the data needed for 

it to administer an effective comprehensive international safeguards 

program and that the IAEA provides timely notice to the world 

community of any evidence of a violation of any safeguards agreement to 

which it is a party; and 

(e) encourage the IAEA, to the maximum degree consistent with the 

Statute, to provide nations which supply nuclear materials and equipment 

with the data needed to assure such nations of adherence to bilateral 

commitments applicable to such supply. 

Sec. 202. TRAINING PROGRAM 

22 USC 3242. The Department of Energy, in consultation with the Commission, shall 

establish and operate a safeguards and physical security training program 

to be made available to persons from nations and groups of nations which 

have developed or acquired, or may be expected to develop or acquire, 

nuclear materials and equipment for use for peaceful purposes. Any such 

program shall include training in the most advanced safeguards and 

physical security techniques and technology consistent with the national 

security interests of the United States. 

Sec. 203. NEGOTIATIONS 

22 USC 3243. The United States shall seek to negotiate with other nations and 

groups of nations to

(1) adopt general principles and procedures, including common 

international sanctions, to be followed in the event that a nation 

violates any material obligation with respect to the peaceful use of 

nuclear materials and equipment or nuclear technology, or in the event 

that any nation violates the principles of the Treaty, including the 

detonation by a non-nuclear-weapon state of a nuclear explosive 

device; and
42 USC 2074. 

Post, p. 131. 

42 USC 2094. 

42 USC 2141. 

42 USC 2112. 

Supra. 

Post, p. 136. 

Post, p. 137.

17.1-8

(2) establish international procedures to be followed in the event 

of diversion, theft, or sabotage of nuclear materials or sabotage of 

nuclear facilities, and for recovering nuclear materials that have been 

lost or stolen, or obtained or used by a nation or by any person or 

group in contravention of the principles of the Treaty. 

TITLE III-EXPORT ORGANIZATION AND CRITERIA 

Sec. 301. GOVERNMENT-TO-GOVERNMENT TRANSFERS 

(a) Section 54 of the 1954 Act is amended by adding a new 

subsection d. thereof as follows: 

d. The authority to distribute special nuclear material under this 

section other than under an export license granted by the Nuclear 

Regulatory Commission shall extend only to the following small 

quantities of special nuclear material (in no event more than five hundred 

grams per year of the uranium isotope 233, the uranium isotope 235, or 

plutonium contained in special nuclear material to any recipient): 

(1) which are contained in laboratory samples, medical devices, or 

monitoring or other instruments; or 

(2) the distribution of which is needed to deal with an emergency 

situation in which time is of the essence. 

(b) Section 64 of the 1954 Act is amended by inserting the following immediately after the second sentence thereof: "The authority to distribute 

source material under this section other than under an export license 

granted by the Nuclear Regulatory Commission shall in no case extend to 

quantities of source material in excess of three metric tons per year per 

recipient." 

(c) Chapter 10 of the 1954 Act is amended by adding a new 

section 111 as follows: 

Sec. 111 .a. The Nuclear Regulatory Commission is authorized to 

license the distribution of special nuclear material, source material, and 

byproduct material by the Department of Energy pursuant to section 54, 

64, and 82 of this Act, respectively, in accordance with the same 

procedures established by law for the export licensing of such material by 

any person: Provided. That nothing in this section shall require the 

licensing of the distribution of byproduct material by the Department of 

Energy under section 82 of this Act. 

b. The Department of Energy shall not distribute any special nuclear 

material or source material under section 54 or 64 of this Act other than 

under an export license issued by the Nuclear Regulatory Commission 

until (1) the Department has obtained the concurrence of the Department 

of State and has consulted with the Arms Control and Disarmament 

Agency, the Nuclear Regulatory Commission, and the Department of 

Defense under mutually agreed procedures which shall be established 

within not more than ninety days after the date of enactment of this 

provision and (2) the Department finds based on a reasonable judgment of 

the assurances provided and the information available to the United States 

Government, that the criteria in section 127 of this Act or their equivalent 

and any applicable criteria in subsection 128 are met, and that the 

proposed distribution would not be inimical to the common defense and 

security.
Special nuclear 

material, 

production. 

42 USC 2077. 

Standards and 

criteria. 

Technology 

transfers. 

Post, p. 127. 

Post, p. 142. 

Authorization 

requests, 

procedures. 

Trade secrets, 

protection. 

42 USC 2014. 

Post, pp. 131, 141. 

42 USC 7172. 

Ante, p. 125. 

42 USC 2074. 

42 USC 2094.

Sec. 302. (Special Nuclear Material Production) 

Subsection 57b. of the 1954 Act is amended to read as follows: 

b. It shall be unlawful for any person to directly or indirectly engage in 

the production of any special nuclear material outside of the United States 

except (1) as specifically authorized under an agreement for cooperation 

made pursuant to section 123, including a specific authorization in a 

subsequent arrangement under section 131 of this Act, or (2) upon 

authorization by the Secretary of Energy after a determination that such 

activity will not be inimical to the interest of the United States: Provided. 

That any such determination by the Secretary of Energy shall be made 

only with the concurrence of the Department of State and after 

consultation with the Arms Control and Disarmament Agency, the 

Nuclear Regulatory Commission, the Department of Commerce, and the 

Department of Defense. The Secretary of Energy shall, within ninety days 

after the enactment of the Nuclear Non-Proliferation Act of 1978, 

establish orderly and expeditious procedures, including provision for 

necessary administrative actions and inter-agency memoranda of 

understanding, which are mutually agreeable to the Secretaries of State, 

Defense, and Commerce, the Director of the Arms Control and 

Disarmament Agency, and the Nuclear Regulatory Commission for the 

consideration of requests for authorization under this subsection. Such 

procedures shall include, at a minimum, explicit direction on the handling 

of such requests, express deadlines for the solicitation and collection of 

the views of the consulted agencies (with identified officials responsible 

for meeting such deadlines), an interagency coordinating authority to 

monitor the processing of such requests, predetermined procedures for the 

expeditious handling of intra-agency and inter-agency disagreements and 

appeals to higher authorities, frequent meetings of interagency 

administrative coordinators to review the status of all pending requests, 

and similar administrative mechanisms. To the extent practicable, an 

applicant should be advised of all the information required of the 

applicant for the entire process for every agency's needs at the beginning 

of the process. Potentially controversial requests should be identified as 

quickly as possible so that any required policy decisions or diplomatic 

consultations can be initiated in a timely manner. An immediate effort 

should be undertaken to establish quickly any necessary standards and 

criteria, including the nature of any required assurances or evidentiary 

showing, for the decision required under this subsection. The processing 

of any request proposed and filed as of the date of enactment of the 

Nuclear Non-Proliferation Act of 1978 shall not be delayed pending the 

development and establishment of procedures to implement the 

requirements of this subsection. Any trade secrets or proprietary 

information submitted by any person seeking an authorization under this 

subsection shall be afforded the maximum degree of protection allowable 

by law: Provided further, That the export of component parts as defined 

in subsection 1 Iv.(2) or 1 lcc.(2) shall be governed by sections 109 and 

126 of this Act: Provided further, That notwithstanding subsection 

402(d) of the Department of Energy Organization Act (Public Law 

95-91), the Secretary of Energy and not the Federal Energy Regulatory 

Commission, shall have sole jurisdiction within the Department of Energy 

over any matter arising from any function of the Secretary of Energy in 

this section, section 54d., section 64, or section 11 lb.

17.1-9
42 USC 2160. 

Consultation. 

42 USC 2121. 

42 USC 2164. 

Notice, publication 

in the Federal 

Register. 

Nuclear 

Proliferation 

Assessment 

Statement. 

Subsequent 

arrangements. 

Contracts. 

Ante, p. 125. 

Post, pp. 131, 141.

Sec. 303. SUBSEQUENT ARRANGEMENTS 

(a) Chapter 11 of the 1954 Act, as amended by sections 304, 305, 

306, 307, and 308, is further amended by adding at the end thereof the 

following: 

Sec. 131. SUBSEQUENT ARRANGEMENTS.

a. (1) Prior to entering into any proposed subsequent arrangement 

under an agreement for cooperation (other than an agreement for 

cooperation arranged pursuant to subsection 91c., 144b., or 144c. of this 

Act), the Secretary of Energy shall obtain the concurrence of the 

Secretary of State and shall consult with the Director, the Commission, 

and the Secretary of Defense: Provided, That the Secretary of State shall 

have the leading role in any negotiations of a policy nature pertaining to 

any proposed subsequent arrangement regarding arrangements for the 

storage or disposition of irradiated fuel elements or approvals for the 

transfer, for which prior approval is required under an agreement for 

cooperation, by a recipient of source or special nuclear material, 

production or utilization facilities, or nuclear technology. Notice of any proposed subsequent arrangement shall be published in the Federal 

Register, together with the written determination of the Secretary of 

Energy that such arrangement will not be inimical to the common defense 

and security, and such proposed subsequent arrangement shall not take 

effect before fifteen days after publication. Whenever the Director 

declares that he intends to prepare a Nuclear Proliferation Assessment 

Statement pursuant to paragraph (2) of this subsection, notice of the 

proposed subsequent arrangement which is the subject of the Director's 

declaration shall not be published until after the receipt by the Secretary of Energy of such Statement or the expiration of the time authorized by 

subsection c. for the preparation of such Statement, whichever occurs 

first. 

(2) If in the Director's view a proposed subsequent arrangement 

might significantly contribute to proliferation, he may prepare an 

unclassified Nuclear Proliferation Assessment Statement with regard 

to such proposed subsequent arrangement regarding the adequacy of 

the safeguards and other control mechanisms and the application of 

the peaceful use assurances of the relevant agreement to ensure that 

assistance to be furnished pursuant to the "subsequent arrangement" 

will not be used to further any military or nuclear explosive purpose. 

For the purposes of this section, the term "subsequent arrangements" 

means arrangements entered into by any agency or department of the 

United States Government with respect to cooperation with any nation 

or group of nations (but not purely private or domestic arrangements) 

involving

(A) contracts for the furnishing of nuclear materials and 

equipment; 

(B) approvals for the transfer, for which prior approval is 

required under an agreement for cooperation, by a recipient of any 

source or special nuclear material, production or utilization 

facility, or nuclear technology; 

(C) authorization for the distribution of nuclear materials and 

equipment pursuant to this Act which is not subject to the 

procedures set forth in section 11 lb., section 126, or section 109b.; 

(D) arrangements for physical security;

17.1 - 10
(E) arrangements for the storage or disposition of irradiated 

fuel elements; 

(F) arrangements for the application of safeguards with respect to nuclear materials and equipment; or 

(G) any other arrangement which the President finds to be important from the standpoint of preventing proliferation. (3) The United States will give timely consideration to all requests for prior approval, when required by this Act, for the reprocessing of material proposed to be exported, previously exported and subject to the applicable agreement for cooperation, or special nuclear material 

produced through the use of such material or a production or utilization facility transferred pursuant to such agreement for cooperation, or to the altering of irradiated fuel elements containing such material, and additionally, to the maximum extent feasible, will 

attempt to expedite such consideration when the terms and conditions 

for such actions are set forth in such agreement for cooperation or in 

some other international agreement executed by the United States and subject to congressional review procedures comparable to those set 

forth in section 123 of this Act. Post, p. 142. (4) All other statutory requirements under other sections of this 

Act for the approval or conduct of any arrangement subject to this 

subsection shall continue to apply and other such requirements for prior approval or conditions for entering such arrangement shall also be satisfied before the arrangements takes effect pursuant to 

subsection a. (1). b. With regard to any special nuclear material exported by the United 

States or produced through the use of any nuclear materials and equipment or sensitive nuclear technology exported by the United States Report to (1) the Secretary of Energy may not enter into any subsequent congressional arrangements for the retransfer of any such material to a third country committees, for reprocessing, for the reprocessing of any such material, or for the 

subsequent retransfer of any plutonium in quantities greater than 500 

grams resulting from the reprocessing of any such material until he has provided the Committee on International Relations of the House 

of Representatives and the Committee of Foreign Relations of the 

Senate with a report containing his reasons for entering into such Post, p. 139. arrangement and a period of 15 days of continuous session (as defined 

in subsection 130g. of this Act) has elapsed: Provided, however, That if in the view of the President an emergency exists due to unforeseen 

circumstances requiring immediate entry into a subsequent arrangement, such period shall consist of fifteen calendar days; (2) the Secretary of Energy may not enter into any subsequent arrangement for the reprocessing of any such material in a facility which has not processed power reactor fuel assemblies or been the 

subject of a subsequent arrangement therefor prior to the date of 

enactment of the Nuclear Non-Proliferation Act of 1978 or for 

subsequent retransfer to a non-nuclear-weapon state of any plutonium in quantities greater than 500 grams resulting from such reprocsessing, unless in his judgment, and that of the Secretary of State, such reprocessing or retransfer will not result in a significant increase of the risk of proliferation beyond that which exists at the time that approval is requested. Among all the factors in making this judgment, foremost 

consideration will be given to whether or not the reprocessing or

17.1 - 11
retransfer will take place under conditions that will ensure timely 

warning to the United States of any diversion well in advance of the 

time at which the non-nuclear-weapon state could transform the 

diverted material into a nuclear explosive device; and 

(3) the Secretary of Energy shall attempt to ensure, in entering into 

any subsequent arrangement for the reprocessing of any such material 

in any facility that has processed power reactor fuel assemblies or 

been the subject of a subsequent arrangement therefor prior to the date 

of enactment of the Nuclear Non-Proliferation Act of 1978, or for the 

subsequent retransfer to any non-nuclear-weapon state of any 

plutonium in quantities greater than 500 grams resulting from such 

reprocessing, that such reprocessing or retransfer shall take place 

under conditions comparable to those which in his view, and that of 

the Secretary of State, satisfy the standards set forth in paragraph (2). 

Nuclear materials, c. The Secretary of Energy shall, within ninety days after the 

reprocessing or enactment of this section, establish orderly and expeditious procedures, 

transfer procedures. including provisions for necessary administrative actions and interagency 

memoranda of understanding, which are mutually agreeable to the 

Secretaries of State, Defense, and Commerce, the Director of the Arms 

Control and Disarmament Agency, and the Nuclear Regulatory 

Commission for the consideration of requests for subsequent 

arrangements under this section. Such procedures shall include, at a 

minimum, explicit direction on the handling of such requests, express 

deadlines for the solicitation and collection of the views of the consulted 

agencies (with identified officials responsible for meeting such 

deadlines), an inter-agency coordinating authority to monitor the 

processing of such requests, predetermined procedures for the expeditious 

handling of intra-agency and inter-agency disagreements and appeals to 

higher coordinators to review the status of all pending requests, and 

similar administrative mechanisms. To the extent practicable, an applicant 

should be advised of all the information required of the applicant for the 

entire process for every agency's needs at the beginning of the process. 

Controversial Potentially controversial requests be should identified as quickly as 

requests, possible so that any required policy or decisions diplomatic consultations 

identification. can be initiated in a timely manner. An immediate effort should be 

Standards and undertaken to establish quickly as necessary standards and criteria, 

criteria, including the nature of any required assurance or evidentiary showings, 

Nuclear for the decisions required under this section. Further, such procedure 

Proliferation shall specify that if he intends to prepare a Nuclear Proliferation 

Assessment Assessment Statement, the Director shall so declare in his response to the 

Statement. Department of Energy. If the Director declares that he intends to prepare 

Presidential waiver, such a Statement, he shall do so within sixty days of his receipt of a copy 

Notice to of the proposed subsequent arrangement (during which time the Secretary 

congressional of Energy may not enter into the subsequent arrangement), unless 

committees. pursuant to the Director's request the President waives the sixty-day 

requirement and notifies the Committee on International Relations of the 

House of Representatives and the Committee on Foreign Relations of the 

Senate of such waiver and the justification therefor. The processing of 

any subsequent arrangement proposed and filed as of the date of 

enactment of this section shall not be delayed pending the development 

and establishment of procedures to implement the requirements of this 

section.

17.1 - 12
42 USC 7172. 

Presidential plan, 

submittal to 

Congress. 

Post, p. 139. 

Ante, p. 125. 

Post, p. 131. 

Notice to 

congressional 

committees.

d. Nothing in this section is intended to prohibit, permanently or 

unconditionally, the reprocessing of spent fuel owned by a foreign nation which fuel has been supplied by the United States, to preclude the United States from full participation in the International Nuclear Fuel Cycle Evaluation provided for in section 105 of the Nuclear Non-Proliferation 

Act of 1978; to in any way limit the presentation or consideration in that evaluation of any nuclear fuel cycle by the United States or any other participation; nor to prejudice open and objective consideration of the results of the evaluation. 

e. Notwithstanding subsection 402(d) of the Department of Energy Organization Act (Public Law 95-91), the Secretary of Energy, and not the Federal Energy Regulatory Commission, shall have sole jurisdiction within the Department of Energy every any matter arising from any function of the Secretary of Energy in this section. 

f.(1) With regard to any subsequent arrangement under 

subsection a.(2)(E) (for the storage or disposition of irradiated fuel 

elements), where such arrangement involves a direct or indirect 

commitment of the United States for the storage or other disposition, interim or permanent, of any foreign spent nuclear fuel in the United 

States, the Secretary of Energy may not enter into any such subsequent arrangement, unless: 

(A)(i) Such commitment of the United States has been 

submitted to the Congress for a period of sixty days of continuous session (as defined in subsection 130g. of this Act) and has been referred to the Committee on International Relations of the House of Representatives and the Committee on Foreign Relations of the 

Senate, but any such commitment shall not become effective if during such sixty-day period the Congress adopts a concurrent 

resolution stating in substance that it does not favor the commitment, any such commitment to be considered pursuant to the procedures set forth in section 130 of this Act for the 

consideration of Presidential submissions; or (ii) if the President 

has submitted a detailed generic plan for such disposition or 

storage in the United States to the Congress for period of sixty days of continuous session (as defined in subsection 130g. of this Act), which plan has been referred to the Committee on 

International Relations of the House of Representatives and the Committee on Foreign Relations of the Senate and has not been 

disapproved during such sixty-day period by the adoption of a 

concurrent resolution stating in substance that Congress does not favor the plan; and the commitment is subject to the terms of an effective plan. Any such plan shall be considered pursuant to the procedures set forth in section 130 of this Act for the consideration 

of Presidential submissions; 

(B) The Secretary of Energy has complied with subsection a.; and 

(C) The Secretary of Energy has complied, or in the 

arrangement will comply with all other statutory requirements of 

this Act, under sections 54 and 55 and any other applicable sections, and any other requirements of law. 

(2) Subsection (1) shall apply to the storage or other disposition in the United States of limited quantities of foreign spent nuclear fuel if the President determines that (A) a commitment under section 54 or

17.1 - 13
Plan, contents. 

Foreign spent 

nuclear fuel. 

Ante, p. 125. 

42 USC 2075. 

Ante, p. 127. 

42 USC 2155. 

Exemption. 

Ante, p. 125. 

Supra. 

42 USC 2112. 

Executive branch 

judgment, notice to 

Commission. 

Procedures.

55 of this Act of the United States for storage or other disposition of 

such limited quantities in the United States is required by an 

emergency situation, (B) it is in the national interest to take such 

immediate action, and (C) he notifies the Committees on International 

Relations and Science and Technology of the House of 

Representatives and the Committees on Foreign Relations and Energy 

and Natural Resources of the Senate of the determination and action, 

with a detailed explanation and justification thereof, as soon as 

possible. 

(3) Any plan submitted by the President under subsection f.(1) 

shall include a detailed discussion, with detailed information, and any 

supporting documentation thereof, relating to policy objectives, 

technical description, geographic information, costs data and 

justifications, legal and regulatory consideration, environmental 

impact information and any related international agreements, 

arrangements or understandings. 

(4) For the purposes of this subsection, the term "foreign spent 

nuclear fuel" shall include any nuclear fuel irradiated in any nuclear 

power reactor located outside of the United States and operated by any 

foreign legal entity, government or nongovermment, regardless of the 

legal ownership or other control of the fuel or the reactor and 

regardless of the origin or licensing of the fuel or reactor, but not 

including fuel irradiated in a research reactor. 

(b)(1) Section 54 of the 1954 Act is amended by adding new 

subsection e. as follows, 

e. The authority in this section to commit United States funds for any 

activities pursuant to any subsequent arrangement under section 

131a.(2)(E) shall be subject to the requirements of section 131. 

(2) Section 55 of the 1954 Act is amended by adding a proviso at 

the end of the section as follows, "Providing, That the authority in this 

section to commit United States funds for any activities pursuant to 

any subsequent arrangement under section 131 a.(2)(E) shall be subject 

to the requirements of section 131." 

Sec. 304. EXPORT LICENSING PROCEDURES 

(a) Chapter 11 of the 1954 Act is amended by adding a new section 

126 as follows: 

Sec 126.Export Licensing Procedures.

a. No license may be issued by the Nuclear Regulatory Commission 

(the "Commission") for the export of any production or utilization 

facility, or any source material or special nuclear material, including 

distributions of any material by the Department of Energy under 

section 54, 64, or 82, for which a license is required or requested, and no 

exemption from any requirement for such an export license may be 

granted by the Commission, as the case may be, until-"(1) the 

Commission has been notified by the Secretary of State that it is the 

judgment of the executive branch that the proposed export or exemption 

will not be inimical to the common defense and security, or that any 

export in the category to which the proposed export belongs would not be 

inimical to the common defense and security because it lacks significance 

for nuclear explosive purposes. The Secretary of State shall, within 

ninety days after the enactment of this section, establish orderly and 

expeditious procedures, including provision for necessary administrative 

actions and inter-agency memoranda of understanding, which are

17.1 -14
Contents. 

Standards and 

criteria.

mutually agreeable to the Secretaries of Energy, Defense, and Commerce, the Director of the Arms Control and Disarmament Agency, and the 

executive branch judgment on export applications under this section. 

Such procedures shall include, at a minimum, explicit direction on the 

handling of such applications, express deadlines for the solicitation and 

collection of the views of the consulted agencies (with identified officials 

responsible for meeting such deadlines), an inter-agency coordinating authority to monitor the processing of such applications, predetermined procedures for the expeditious handling of intra-agency and interagency disagreements and appeals to higher authorities, frequent meetings of 

inter-agency administrative coordinators to review the status of all 

pending applications, and similar administrative mechanisms. To the 

extent practicable, an applicant should be advised of all the information 

required of the applicant for the entire process for every agency's needs at 

the beginning of the process. Potentially controversial applications should 

be identified as quickly as possible so that any required policy decisions 

or diplomatic consultations can be initiated in a timely manner. 

An immediate effort should be undertaken to establish quickly any 

necessary standards and criteria, including the nature of any required 

assurances or evidentiary showing, for the decisions required under this 

section. The processing of any export application proposed and filed as of 

the date of enactment of this section shall not be delayed pending the 

development and establishment of procedures to implement the 

requirements of this section. The executive branch judgment shall be 

completed in not more than sixty days from receipt of the application or 

request unless the Secretary of State in his discretion specifically authorizes additional time for consideration of the application or request because it is in the national interest to allow such additional time. The 

Secretary shall notify the Committee on Foreign Relations of the Senate 

and the Committee on International Relations of the House of 

Representatives of any such authorization. In submitting any such 

judgment, the Secretary of State shall specifically address the extent to 

which the export criteria then in effect are met and the extent to which the 

cooperating party has adhered to the provisions of the applicable agreement for cooperation. In the event he considers it warranted, the 

Secretary may also address the following additional factors, among others:

(A) whether issuing the license or granting the exemption will 

materially advance the non-proliferation policy of the United 

States by encouraging the recipient nation to adhere to the Treaty, 

or to participate in the undertakings contemplated by section 403 

or 404(a) of the Nuclear Non-Proliferation Act of 1978; (B) whether failure to issue the license or grant the exemption would otherwise be seriously prejudicial to the non-proliferation objectives of the United States; and 

Post, p. 136. (C) whether the recipient nation or group of nations has agreed that conditions substantially identical to the export criteria set forth 

in section 127 of this Act will be applied by another nuclear 

supplier nation or group of nations to the proposed United States 

export, and whether in the Secretary's judgment those conditions 

will be implemented in a manner acceptable to the United States. Data and The Secretary of State shall provide appropriate data and 

recommendations, recommendations, subject to requests for additional data and

17.1 - 15
42 USC 2154. 

Extension, notice 

to Congress. 

Post, p. 139. 

Findings. 

Judicial review, 

exception.

recommendations, as required by the Commission or the Secretary of 

Energy, as the case may be ; and 

(2) the Commission finds, based on a reasonable judgment of the 

assurances provided and other information available to the Federal 

Government, including the Commission, that the criteria in 

section 127 of this Act or their equivalent, and any other applicable 

statutory requirements, are met: Provided, That continued 

cooperation under an agreement for cooperation as authorized in 

,accordance with section 124 of this Act shall not be prevented by 

failure to meet the provisions of paragraph (4) or (5) of section 127 

for a period of thirty days after enactment of this section, and for a 

period of twenty-three months thereafter if the Secretary of State 

notifies the Commission that the nation or group of nations bound by 

the relevant agreement has agreed to negotiations as called for in 

section 404(a) of the Nuclear Non-Proliferation Act of 1978; however, 

nothing in this subsection shall be deemed to relinquish any rights 

which the United States may have under agreements for cooperation in 

force on the date of enactment of this section: Provided further, That, 

if upon the expiration of such twenty-four month period, the President 

determines that failure to continue cooperation with any group of 

nations which has been exempted pursuant to the above proviso from 

the provisions of paragraph (4) or (5) of section 127 of this Act, but 

which has not yet agreed to comply with those provisions would be 

seriously prejudicial to the achievement of United States 

non-proliferation objectives or otherwise jeopardize the common 

defense and security, he may, after notifying the Congress of his 

determination, extend by Executive order the duration of the above 

proviso for a period of twelve months, and may further extend the 

duration of such proviso by one year, increments annually thereafter if 

he again makes such determination and so notifies the Congress. In 

the event that the Committee on International Relations of the House 

of Representatives or the Committee on Foreign Relations of the 

Senate reports a joint resolution to take any action with respect to any 

such extension, such joint resolution will be considered in the House 

or Senate, as the case may be, under procedures identical to those 

provided for the consideration of resolutions pursuant to section 130 

of this Act: And additionally provided, That the Commission is 

authorized to (A) make a single finding under this subsection for more 

than a single application or request, where the applications or requests 

involve exports to the same country, in the same general time frame, 

or similar significance for nuclear explosive purposes and under 

reasonably similar circumstances and (B) make a finding under this 

subsection that there is no material changed circumstance associated 

with a new application or request from those existing at the time of the 

last application or request for an export to the same country, where the 

prior application or request was approved by the Commission using all 

applicable procedures of this section, and such finding of no material 

changed circumstance shall be deemed to satisfy the requirement of 

this paragraph for findings of the Commission. The decision not to 

make any such finding in lieu of the findings which would otherwise 

be required to be made under this paragraph shall not be subject to 

judicial review: And provided further, That nothing contained in this 

section is intended to require the Commission independently to

17.1 - 16
conduct or prohibit the Commission from independently conducting 

country or site specific visitations in the Commission's consideration 

of the application of IAEA safeguards. 

b. (1) Timely consideration shall be given by the Commission to 

requests for export licenses and exemptions and such requests shall be 

granted upon a determination that all applicable statutory requirements 

have been met. 

Presidential review. (2) If, after receiving the executive branch judgment that the 

issuance of a proposed export license will not be inimical to the 

common defense and security, the Commission does not issue the 

proposed license on a timely basis because it is unable to make the 

statutory determinations required under this Act, the Commission shall 

publicly issue its decision to that effect, and shall submit the license 

application to the -President. The Commission's decision shall include 

an explanation of the basis for the decision and any dissenting or 

separate views. If, after receiving the proposed license application and 

reviewing the Commission's decision, the President determines that 

withholding the proposed export would be seriously prejudicial to the 

achievement of United States non-proliferation objectives, or would 

otherwise jeopardize the common defense and security, the proposed 

Report to Congress export may be authorized by Executive order: Provided, That prior to 

and congressional any such export, the President shall submit the Executive order, 

committees, together with his explanation of why in light of the Commission's 

Post, p. 139. decision, the export should nonetheless be made, to the Congress for a 

period of sixty days of continuous session (as defined in subsection 

130g.) and shall be referred to the Committee on International 

Relations of the House of Representatives and the Committee on 

Foreign Relations of the Senate, but any such proposed export shall 

not occur if during such sixty-day period the Congress adopts a 

concurrent resolution stating in substance that it does not favor the 

proposed export. Any such Executive order shall be considered 

pursuant to the procedures set forth in section 130 of this Act for the 

Review. consideration of Presidential submissions: And provided further, That 

the procedures established pursuant to subsection (b) of section 304 of 

the Nuclear Non-Proliferation Act of 1978 shall provide that the 

Commission shall immediately initiate review of any application for a 

license under this section and to the maximum extent feasible shall 

expeditiously process the application concurrently with the executive 

branch review, while awaiting the final executive branch judgment. In 

Concerns and initiating its review, the Commission may identify a set of concerns 

requests, and requests for information associated with the projected issuance of 

transmittal to such license and shall transmit such concerns and requests to the 

executive branch. executive branch which shall address such concerns and requests in its 

written communications with the Commission. Such procedures shall 

also provide that if the Commission has not completed action on the 

application within sixty days after the receipt of an executive branch 

judgment that the proposed export or exemption is not inimical to the 

common defense and security or that any export in the category to 

which the proposed export belongs would not be inimical to the 

common defense and security because it lacks significance for nuclear 

explosive purposes, the Commission shall inform the applicant in 

writing of the reason for delay and provide follow-up reports as 

appropriate. If the Commission has not completed action by the end of

17.1 - 17
Referral to 

congressional 

committees. 

42 USC 2155a. 

Post, p. 139. 

Regulations. 

42 USC 2155a. 

42 USC 2239. 

Hearings.

an additional sixty days (a total of one hundred and twenty days from 

receipt of the executive branch judgment), the President may authorize 

the proposed export by Executive order, upon a finding that further 

delay would be excessive and upon making the findings required for 

such Presidential authorization under this subsection, and subject to 

the Congressional review procedures set forth herein. However, if the 

Commission has commenced procedures for public participation 

regarding the proposed export under regulations promulgated pursuant 

to subsection (b) of section 304 of the Nuclear Non-Proliferation Act 

of 1978, or-within sixty days after receipt of the exectiive branch 

judgment on the proposed export-the Commission has identified and 

transmitted to the executive branch a set of additional concerns or 

requests for information, the President may not authorize the proposed 

export until sixty days after public proceedings are completed or sixty 

days after a full executive branch response to the Commission's 

additional concerns or requests has been made consistent with 

subsection a. (1) of this section: Provided fiurther, That nothing in this 

section shall affect the right of the Commission to obtain data and 

recommendations from the Secretary of State at any time as provided 

in subsection a.(1) of this section. 

c. In the event that the House of Representatives or the Senate passes 

a joint resolution which would adopt one or more additional export 

criteria, or would modify any existing export criteria under this Act, any 

such joint resolution shall be referred in the other House to the Committee 

on Foreign Relations of the Senate or the Committee on International 

Relations of the House of Representatives, as the case may be, and shall 

be considered by the other House under applicable procedures provided 

for the consideration of resolutions pursuant to section 130 of this Act. 

(b) Within one hundred and twenty days of the date of enactment of 

this Act, the Commission shall, after consultations with the Secretary of 

State, promulgate regulations establishing procedures (1) for the granting, 

suspending, revoking, or amending of any nuclear export license or 

exemption pursuant to its statutory authority; (2) for public participation 

in nuclear export licensing proceedings when the Commission finds that 

such participation will be in the public interest and will assist the 

Commission in making the statutory determinations required by the 1954 

Act, including such public hearings and access to information as the 

Commission deems appropriate: Provided, That judicial review as to any 

such finding shall be limited to the determination of whether such finding 

was arbitrary and capricious; (3) for a public written Commission opinion 

accompanied by the dissenting or separate views of any Commissioner, in 

those proceedings where one or more Commissioners have dissenting or 

separate views on the issuance of an export license; and (4) for public 

notice of Commission proceedings and decisions, and for recording of 

minutes and votes of the Commission: Provided further, That until the 

regulations required by this subsection have been promulgated, the 

Commission shall implement the provisions of this Act under temporary 

procedures established by the Commission. 

(c) The procedures to be established pursuant to subsection (b) shall 

constitute the exclusive basis for hearings in nuclear export licensing 

proceedings before the Commission and, notwithstanding section 189a. of 

the 1954 Act, shall not require the Commission to grant any person an 

on-the-record hearing in such a proceeding.

17.1 - 18
42 USC 2156a.' 

Regulations. 

Post, p. 136. 

42 USC 2156.

(d) Within sixty days of the date of enactment of this Act, the 

Commission shall, in consultation with the Secretary of State, the 

Secretary of Energy, the Secretary of Defense, and the Director, 

promulgate (and may from time to time amend) regulations establishing the levels of physical security which in its judgment are no less strict than 

those established by any international guidelines to which the United 

States subscribes and which in its judgment will provide adequate protection for facilities and material referred to in paragraph (3) of section 

127 of the 1954 Act taking into consideration variations in risks to 

security as appropriate. 

Sec. 305. CRITERIA GOVERNING UNITED STATES NUCLEAR 

EXPORTS 

Chapter 11 of the 1954 Act, as a amended by section 304, is further 

amended by adding at the end thereof the following: Sec. 127. CRITERIA GOVERNING UNITED STATES NUCLEAR 

EXPORTS

The United States adopts the following criteria which, in addition to 

other requirements of law, will govern exports for peaceful nuclear uses 

from the United States of source material, special nuclear material, 

production or utilization facilities, and any sensitive nuclear technology: (1) IAEA safeguards, as required by Article 111(2) of the Treaty will 

be applied with respect to any such material or facilities proposed to be 

exported, to any such material or facilities previously exported and 

subject to the applicable agreement for cooperation, and to any special nuclear material used in or produced through the use thereof. 

(2) No such material, facilities, or sensitive nuclear technology proposed to be exported or previously exported and subject to the 

applicable agreement for cooperation, and no special nuclear material 

producer through the use of such materials, facilities or sensitive 

nuclear technology, will be used for any nuclear explosive device or 

for research on or development of any nuclear explosive device. 

(3) Adequate physical security measures will be maintained with 

respect to such material or facilities proposed to be exported and to 

any special nuclear material used in or produced through the use 

thereof. Following the effective date of any regulations promulgated by the Commission pursuant to section 304(d) of the Nuclear 

Non-Proliferation Act of 1978, physical security measures shall be 

deemed adequate if such measures provide a level of protection equivalent to that required by the applicable regulations. 

(4) No such materials, facilities, or sensitive nuclear technology proposed to be exported, and no special nuclear material produced through the use of such material, will be retransferred to the 

jurisdiction of any other nation or group of nations unless the prior approval of the United States is obtained for such retransfer. In 

addition to other requirements of law, the United States may approve such retransfer only if the nation or group of nations designated to 

receive such retransfer agrees that it shall be subject to the conditions 

required by this section. 

(5) No such material proposed to be exported and no special 

nuclear material produced through the use of such material will be 

reprocessed, and no irradiated fuel elements containing such material 

removed from a reactor shall be altered in form or content, unless the

17.1 - 19
prior approval of the United States is obtained for such reprocessing 

or alteration. 

(6) No such sensitive nuclear technology shall be exported unless 

the foregoing conditions shall be applied to any nuclear material or 

equipment which is produced or constructed under the jurisdiction of 

the recipient nation or group of nations by or through the use of any 

such exported sensitive nuclear technology. 

Sec. 306. ADDITIONAL EXPORT CRITERION AND 

PROCEDURES 

Chapter 11 of the 1954 Act, as amended by sections 304 and 305, is 

further amended by adding at the end thereof the following: 

Sec. 128. ADDITIONAL EXPORT CRITERIA AND PRO

CEDURES

a. (1) As a condition of continued United States export source 

material, special nuclear material, production or utilization facilities, and 

any sensitive nuclear technology to non-nuclear-weapon states, no such 

export shall be made unless IAEA safeguards are maintained with respect 

to all peaceful nuclear activities in, under the jurisdiction of, or carried 

out under the control of such state at the time of the export. 

(2) The President shall seek to achieve adherence to the foregoing 

criterion by recipient non-nuclear-weapon states. 

b. The criterion set forth in subsection a. shall be applied as an export 

criterion with respect to any application for the export of materials, 

facilities, or technology specified in subsection a. which is filed after 

eighteen months from the date of enactment of this section, or for any 

such application under which the first export would occur at least 

twenty-four months after the date of enactment of this section, except as 

provided in the following paragraphs: 

(1) If the Commission or the Department of Energy, as the case 

may be, is notified that the President has determined that failure to 

approve an export to which this subsection applies because such 

criterion has not yet been met would be seriously prejudicial to the 

achievement of United States non-proliferation objectives or 

otherwise jeopardize the common defense and security, the license or 

authorization may be issued subject to other applicable requirements 

of law: Provided, That no such export of any production or utilization 

facility or of any source of special nuclear material (intended for use 

as fuel in any production or utilization facility) which has been 

licensed or authorized pursuant to this subsection shall be made to any 

non-nuclear-weapon state which has failed to meet such criterion until 

the first such license or authorization with respect to such state is 

submitted to the Congress (together with a detailed assessment of the 

reasons underlying the President's determination, the judgment of the 

executive branch required under section 126 of this Act, and any 

Commission opinion and views) for a period of sixty days of 

continuous session (as defined in subsection 130g. of this Act) and 

referred to the Committee on International Relations of the House of 

Representatives and the Committee on Foreign Relations of the 

Senate, but such export shall not occur if during such sixty-day period 

the Congress adopts a concurrent resolution stating in substance that 

the Congress does not favor the proposed export. Any such license or 

authorization shall be considered pursuant to the procedures set forth

17.1-20

42 USC 2157. 

Export 

applications, 

criterion 

enforcement. 

Report to 

congressional 

committees. 

Ante, p. 131. 

Post, p. 139.
Congressional 

disapproval, 

resolution. 

Export 

authorizations, 

congressional 

review. 

Export 

terminations, 

criterion. 

42 USC 2158.

in section 130 of this Act for the consideration of Presidential 

submissions. 

(2) If the Congress adopts a resolution of disapproval pursuant to 

paragraph (1), no further export of materials, facilities, or technology specified in subsection a. shall be permitted for the remainder of that 

Congress, unless such state meets the criterion or the President 

notifies the Congress that he has determined that significant progress has been made in achieving adherence to such criterion by such state 

or that United States foreign policy interests dictate reconsideration 

and the Congress, pursuant to the procedure of paragraph (1), does not 

adopt a concurrent resolution stating in substance that it disagrees with 

the President's determination. 

(3) If the Congress does not adopt a resolution of disapproval with 

respect to a license or authorization submitted pursuant to paragraph (1), the criterion set forth in subsection a. shall not be applied as an 

export criterion with respect to exports of materials, facilities and 

technology specified in subsection a. to that state: Provided, That the 

first license or authorization with respect to that state which is issued 

pursuant to this paragraph after twelve months from the elapse of the 

sixty-day period specified in paragraph (1), and the first such license 

or authorization which is issued after each twelve-month period thereafter, shall be submitted to the Congress for review pursuant to 

the procedures specified in paragraph (1): Provided further, That if 

the Congress adopts a resolution of disapproval during any review 

period provided for this paragraph, the provisions of paragraph (2) shall apply with respect to further exports to such state. 

Sec. 307. CONDUCT RESULTING IN TERMINATION OF 

NUCLEAR EXPORTS 

Chapter 11 of the 1954 Act, as amended by sections 304, 305, and 

306, is further amended by adding at the end thereof: 

Sec. 129. Conduct Resulting In Termination Of Nuclear Exports No nuclear materials and equipment or sensitive nuclear technology shall be export to

(1) any non-nuclear-weapon state that is found by the President to 

have, at any time after the effective date of this section, 

(A) detonated a nuclear explosive device; or 

(B) terminated or abrogated IAEA safeguards; or 

(C) materially violated an IAEA safeguards agreement; or 

(D) engaged in activities involving source or special nuclear 

material and having direct significance for the manufacture or 

acquisition of nuclear explosive devices, and has failed to take 

steps which, in the President's judgment, represent sufficient 

progress toward terminating such activities; or 

(2) any nation or group of nations that is found by the President to 

have, at any time after the effective date of this section, 

(A) materially violated an agreement for cooperation with the 

United States, or, with respect to material or equipment not 

supplied under an agreement for cooperation, materially violated 

the terms under which such material or equipment was supplied or 

the terms of any commitments obtained with respect thereto 

pursuant to section 402(a) of the Nuclear Non-Proliferation Act of 

1978; or

17.1-21
Report to Congress. 

Infra. 

42 USC 2159. 

Congressional 

committee reports. 

Post, p. 142. 

Ante, pp. 131, 137, 

138, 127. 

42 USC 2121. 

42 USC 2164.

(B) assisted, encouraged, or inducted any non-nuclear-weapon 

state to engage in activities involving source or special nuclear 

material and having direct significance for the manufacture or 

acquisition of nuclear explosive devices, and has failed to take 

steps which, in the President's judgment, represent sufficient 

progress toward terminating such assistance, encouragement, or 

inducement; or 

(C) entered into an agreement after the date of enactment of 

this section for the transfer of reprocessing equipment, materials, 

or technology to the sovereign control of a non-nuclear-weapon 

state except in connection with an international fuel cycle 

evaluation in which the United States is a participant or pursuant 

to a subsequent international agreement or understanding to which 

the United States subscribes; 

unless the President determines that cessation of such exports would be 

seriously prejudicial to the achievement of United States non-proliferation 

objectives or otherwise jeopardize the common defense and security: 

Provided, That prior to the effective date of any such determination, the 

President's determination, together with a report containing the reasons 

for his determination, shall be submitted to the Congress and referred to 

the Committee on International Relations of the House of 

Representatives and the Committee on Foreign Relations of the Senate for 

a period of sixty days of continuous session (as defined in subsection 

130g. of this Act), but any such determination shall not become effective 

if during such sixty-day period the Congress adopts a concurrent 

resolution stating in substance that it does not favor the determination. 

Any such determination shall be considered pursuant to the procedures set 

forth in section 130 of this Act for the consideration of Presidential 

submissions. 

See. 308. CONGRESSIONAL REVIEW PROCEDURES 

Chapter 11 of the 1954 Act, as amended by sections 304, 305, 306, 

and 307, is further amended by adding at the end thereof the following: 

Sec. 130. CONGRESSIONAL REVIEW PROCEDURES

a. Not later than forty-five days of continuous session of Congress 

after the date of transmittal to the Congress of any submission of the 

President required by subsection 123d., 126a.(2), 126b.(2), 128b., 129, 

131a.(3), or 131f.(1)(A) of this Act, the Committee on Foreign Relations 

of the Senate and the Committee on International Relations of the House 

of Representatives, and in addition, in the case of a proposed agreement 

agreement for cooperation arranged pursuant to subsection 91c., 144b., or 

144c., the Committee on Armed Services of the House of Representatives 

and the Committee on Armed Services of the Senate, shall each submit a 

report to its respective House on its views and recommendations 

respecting such Presidential submission together with a resolution, as 

defined in subsection f., stating in substance that the Congress approves 

or disapproves such submission, as the case may be: Provided, That if 

any such committee has not reported such a resolution at the end of such 

forty-five day period, such committee shall be deemed to be discharged 

from further consideration of such submission and if, in the case of a 

proposed agreement for cooperation arranged pursuant to subsection 9 1 c., 

144b., or 144c. of this Act, the other relevant committee of that House has 

reported such a resolution, such committee shall be deemed discharged 

from further consideration of that resolution. If no such resolution has

17.1-22
Resolution. 

Continuous session 

of Congress, 

computation.

been reported at the end of such period, the first resolution, as defined in 

subsection f., which is introduced within five days thereafter within such 

House shall be placed on the appropriate calendar of such House. 

b. When the relevant committee or committees have reported such a 

resolution (or have been discharged from further consideration of such a 

resolution pursuant to subsection a.) or when a resolution has been 

introduced and placed on the appropriate calendar pursuant to subsection 

a., as the case may be it is at any time thereafter in order (even though a 

previous motion to the same effect has been disagreed to) for any Member 

of the respective House to move to proceed to the consideration of the 

resolution. The motion is highly privileged and is not debatable. The 

motion shall not be subject to amendment, or to a motion to postpone, or 

to a motion to proceed to the consideration of other business. A motion to 

reconsider the vote by which the motion of other business. A motion to 

reconsider the vote by which the motion is agreed to or disagreed to shall 

not be in order. If a motion to proceed to the consideration of the 

resolution is agreed to, the resolution shall remain the unfinished business 

of the respective House until disposed of. 

c. Debate on the resolution, and on all debatable motions and appeals in connection therewith, shall be limited to not more than ten hours, which shall be divided equally between individuals favoring and 

individuals opposing the resolution. A motion further to limit debate is in 

order and not debatable. An amendment to a motion to postpone, or a 

motion to recommit the resolution, or a motion to proceed to the 

consideration of other business is not in order. A motion to reconsider the 

vote by which the resolution is agreed to or disagreed to shall not be in 

order. No amendment to any concurrent resolution pursuant to the 

procedures of this section is in order except as provided in subsection d. 

d. Immediately following (1) the conclusion of the debate on such 

concurrent resolution, (2) a single quorum call at the conclusion of debate 

if requested in accordance with the rules of the appropriate House, and (3) the consideration of an amendment introduced by the Majority Leader or 

his designee to insert the phrase, "does not" in lieu of the word "does" if 

the resolution under consideration is a current resolution of approval, the 

vote on final approval of the resolution shall occur. 

e. Appeals from the decisions of the Chair relating to the application of the rules of the Senate or the House of Representatives, as the case may be, to the procedure relating to such a resolution shall be decided without 

debate. 

f. For the purposes of subsections a. through e. of this section, the 

term "resolution" means a concurrent resolution of the Congress, the 

matter after the resolving clause of which is as follows: That the 

Congress (does or does not) favor the __ transmitted to the Congress by the President on, .... the blank spaces therein to be 

appropriately filled, and the affirmative or negative phrase within the 

parenthetical to be appropriately selected. 

g. For the purposes of this section

(1) continuity of session is broken only by an adjournment of 

Congress sine die; and 

(2) the days on which either House is not in session because of an 

adjournment of more than three days to a day certain are excluded in 

the computation of any period of time in which Congress is in 

continuous session.

17.1-23
42 USC 2139. 

Domestic activities 

licenses, issuance 

authorization. 

42 USC 2139. 

Export licenses. 

Ante, p. 131.

h. This section is enacted by Congress

(1) as an exercise of the rulemaking power of the Senate and the 

House of Representatives, respectively, and as such they are deemed 

part of the rules of each House, respectively, but applicable only with 

respect to the procedure to be followed in that House in case of 

resolutions described by subsection f. of this section; and they 

supersede other rules only to the extent that they are inconsistent 

therewith; and 

(2) with full recognition of the constitutional right of either House 

to change the rules (so far as relating to the procedures 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. 309. COMPONENT AND OTHER PARTS OF FACILITIES 

(a) Section 109 of the 1954 Act is amended to read as follows: 

Sec. 109. Component And Other Parts Of Facilities

a.With respect to those utilization and production facilities which are 

so determined by the Commission pursuant to subsection I1 v.(2) or 

1 lcc.(2) the Commission may issue general licenses for domestic 

activities required to be licensed under section 101, if the Commission 

determines in writing that such general licensing will not constitute an 

unreasonable risk to the common defense and security. 

b. After consulting with the Secretaries of State, Energy, and 

Commerce, the Commission is authorized and directed to determine 

which component parts as defined in subsection I1 v.(2) or 1 cc.(2) and 

which other items or substances are especially relevant from the 

standpoint of export control because of their significance for nuclear 

explosive purposes. Except as provided in section 126 b.(2), no such 

component, substance, or item which is so determined by the Commission 

shall be exported unless the Commission issues a general or specific 

license for its export after finding, based on a reasonable judgment of the 

assurances provided and other information available to the Federal 

Government, including the Commission, that the following criteria or 

their equivalent are met: (1) IAEA safeguards as required by 

Article 111(2) of the Treaty will be applied with respect to such 

component, substance, or item; (2) no such component, substance, or item 

will be used for any nuclear explosive device or for research on or 

development of any nuclear explosive device; and (3) no such component, 

substance, or item will be retransferred to the jurisdiction of any other 

nation or group of nations unless the prior consent of the United States is 

obtained for such retransfer; and after determining in writing that the 

issuance of each such general or specific license or category of licenses 

will not be inimical to the common defense and security: Provided, That 

a specific license shall not be required for an export pursuant to this 

section if the component, item or substance is covered by a facility license 

issued pursuant to section 126 of this Act.3 

c. The Commission shall not issue an export license under the 

authority of subsection b. if it is advised by the executive branch, in 

accordance with the procedures established under subsection 126a., that 

the export would be inimical to the common defense and security of the 

United States.

3P.L. 105-277, Div. G, Title XII, Ch. 3, sec. 1225(d)(2), (112 Stat. 2681-774).

17.1-24
42 USC 2139a. 

Regulations. 

Supra. 

42 USC 2139a. 

Export control 

procedures, 

Presidential 

publications. 

42 USC 2139 note. 

Ante, p. 141. 

Savings provisions.

42 USC 2153. 

42 USC 2073. 

42 USC 2074. 

42 USC 2077. 

42 USC 2094. 

42 USC 2112 

42 USC 2121. 

42 USC 2133. 

42 USC 2134. 

42 USC 2164. 

Cooperative 

agreements, 

submittal to 

President. 

Contents.

(b) The Commission, not later than one hundred and twenty days after 

the date of the enactment of this Act, shall publish regulations to 

implement the provisions of subsections b. and c. of section 109 of the 

1954 Act. Among other things, these regulations shall provide for the 

prior consultation by the Commission with the Department of State, the 

Department of Energy, the Department of Defense, the Department of 

Commerce, and the Arms Control and Disarmament Agency. 

(c) The President, within not more than one hundred and twenty days 

after the date of enactment of the Act, shall publish procedures regarding 

the control by the Department of Commerce over all export items, other 

than those licensed by the Commission, which could be, if used for 

purposes other than those for which the export is intended, of significance 

for nuclear explosive purposes. Among other things, these procedures 

shall provide for prior consultations, as required, by the Department of 

Commerce with the Department of State, the Arms Control and 

Disarmament Agency, the Commission, the Department of Energy, and 

the Department of Defense. 

(d) The amendments to section 109 of the 1954 Act made by this 

section shall not affect the approval of exports contracted for prior to 

November 1, 1977, which are made within one year of the date of 

enactment of such amendments. 

TITLE IV-NEGOTIATION OF FURTHER EXPORT 

CONTROLS 

Sec. 401. COOPERATION WITH OTHER NATIONS 

Section 123 of the 1954 Act is amended to read as follows: 

Sec. 123. Cooperation With Other Nations

No cooperation with any nation, group of nations or regional defense 

organizations pursuant to section 53, 54a., 57, 64, 82, 91,103, 104, or 

144 shall be undertaken until-"a. the proposed agreement for cooperation 

has been submitted to the President, which proposed agreement shall 

include the terms, conditions, duration, nature, and scope of the 

cooperation; and shall include the following requirements: 

(1) a guaranty by the cooperating party that safeguards as set forth 

in the agreement for cooperation will be maintained with respect to all 

nuclear materials and equipment transferred pursuant thereto, and with 

respect to all specialnuclear material used in or produced through the 

use of such nuclear materials and equipment, so long as the material or 

equipment remains under the jurisdiction or control of the cooperating 

party, irrespective of the duration of other provisions in the agreement 

or whether the agreement is terminated or suspended for any reason; 

(2) in the case of non-nuclear-weapon states, a requirement, as a 

condition of continued United States nuclear supply under the 

agreement for cooperation, that IAEA safeguards be maintained with 

respect to all nuclear materials in all peaceful nuclear activities within 

the territory of such state, under its jurisdiction, or carried out under 

its control anywhere; 

(3) except in the case of those agreements for cooperation 

arranged pursuant to subsection 91c., a guaranty by the cooperating 

party that no nuclear materials and equipment or sensitive nuclear 

technology to be transferred pursuant to such agreement, and no 

special nuclear material produced through the use of any nuclear

17.1-25
materials and equipment or sensitive nuclear technology transferred 

pursuant to such agreement, will be used for any nuclear explosive device, or for research on or development of any nuclear explosive 

device, or for any other military purpose; 

(4) except in the case of those agreements for cooperation arranged 

pursuant to subsection 91 c. and agreements for cooperation with 

nuclear-weapon states, a stipulation that the United States shall have 

the right to require the return of any nuclear materials and equipment transferred pursuant thereto and any special nuclear material produced through the use thereof if the cooperating party detonates a nuclear 

explosive device or terminates or abrogates an agreement providing for IAEA safeguards; 

(5) a guaranty by the cooperating party that any material or any Restricted Data transferred pursuant to the agreement for cooperation 

and, except in the case of agreements arranged pursuant to 

subsection 91c., 144b., or 144c., any production or utilization facility transferred pursuant to the agreement for cooperation or any special 

nuclear material produced through the use of any such facility or 

through the use of any material transferred pursuant to the agreement, will not be transferred to unauthorized persons or beyond the 

jurisdiction or control of the cooperating party without the consent of 

the United States; 

(6) guaranty by the cooperating party that adequate physical security will be maintained with respect to any nuclear material 

transferred pursuant to such agreement and with respect to any special nuclear material used in or produced through the use of any material, 

production facility, or utilization facility transferred pursuant to such 

agreement; 

(7) except in the case of agreements for cooperation arranged 

pursuant to subsection 91c., 144b., or 144c., a guaranty by the 

cooperating party that no material transferred pursuant to the 

agreement for cooperation and no material used in or produced through the use of any material, production facility, or utilization 

facility transferred pursuant to the agreement for cooperation will be 

reprocessed, enriched or (in the case of plutonium, uranium 233, or 

uranium enriched to greater than twenty percent in the isotope 235, or 

other nuclear materials which have been irradiated) otherwise altered 

in form or content without the prior approval of the United States; 

(8) except in the case of agreements for cooperation arranged 

pursuant to subsection 91c., 144b., or 144c., a guaranty by the 

cooperating party that no plutonium, no uranium 233, and no uranium 

enriched to greater than twenty percent in the isotope 235, transferred 

pursuant to the agreement for cooperation, or recovered from any 

source or special nuclear material so transferred or from any source or 

special nuclear material used in any production facility or utilization 

facility transferred pursuant to the agreement for cooperation, will be 

stored in any facility that has not been approved in advance by the 

United States; and 

(9) except in the case of agreements for cooperation arranged 

pursuant to subsection 91c., 144b., or 144c., a guaranty by the 

cooperating party that any special nuclear material, production facility, 

or utilization facility produced or constructed under the jurisdiction of 

the cooperating party by or through the use of any sensitive nuclear

17.1-26

42 USC 2121. 

42 USC 2164.
42 USC 2121. 

42 USC 2164. 

Agreement 

requirements, 

Presidential 

exemptions. 

Nuclear 

Proliferation 

Assessment 

Statement. 

Proposed 

cooperation 

agreements, 

submitted to 

President. 

Submittal to 

congressional 

committees. 

Ante, p. 139. 

42 USC 2073. 

42 USC 2074. 

42 USC 2133. 

42 USC 2073. 

42 USC 2074. 

42 USC 2133. 

42 USC 2134.

17.1-27

technology transferred pursuant to such agreement for cooperation 

will be subject to all the requirements specified in this subsection. 

The President may exempt a proposed agreement for cooperation 

(except an agreement arranged pursuant to subsection 91c., 144b., or 

144c.) from any of the requirements of the foregoing sentence if he 

determines that inclusion of any such requirement would be seriously 

prejudicial to the achievement of United States non-proliferation 

objectives or otherwise jeopardize the common defense and security. 

Except in the case of those agreements for cooperation arranged pursuant 

to subsection 91c., 144b., or 144c., any proposed agreement for 

cooperation shall be negotiated by the Secretary of State, with the 

technical assistance and concurrence of the Secretary of Energy and in 

consultation with the Director of the Arms Control and Disarmament 

Agency ("the Director"); and after consultation with the Commission 

shall be submitted to the President jointly by the Secretary of State and 

the Secretary of Energy accompanied by the views and recommendations 

of the Secretary of State, the Secretary of Energy, the Nuclear Regulatory 

Commission, and the Director, who shall also provide to the President an 

unclassified Nuclear Proliferation Assessment Statement regarding the 

adequacy of the safeguards and other control mechanisms and the 

peaceful use assurances contained in the agreement for cooperation to 

ensure that any assistance furnished thereunder will not be used to further 

any military or nuclear explosive purpose. In the case of those agreements 

for cooperation arranged pursuant to subsection 91c., 144b., or 144c., any 

proposed agreement for cooperation shall be submitted to the President by 

the Secretary of Energy or, in the case of those agreements for 

cooperation arranged pursuant to subsection 91c., or 144b. which are to 

be implemented by the Department of Defense, by the Secretary of 

Defense; 

b. the President has approved and authorized the execution of the 

proposed agreement for cooperation and has made a determination in 

writing that the performance of the proposed agreement will promote, and 

will not constitute an unreasonable risk to, the common defense and 

security; 

c. the proposed agreement for cooperation (if not an agreement subject 

to subsection d,), together with the approval and determination of the 

President, has been-submitted to the Committee on International Relations 

of the House of Representatives and the Committee on Foreign Relations 

of the Senate for a period of thirty days of continuous session (as defined 

in subsection 130g.): Provided, however, That these committees, after 

having received such agreement for cooperation, may by resolution in 

writing waive the conditions of all or any portion of such thirty-day 

period; and 

d. the proposed agreement for cooperation (if arranged pursuant to 

subsection 91c., 144b., or 144c., or if entailing implementation of 

section 53, 54a., 103, or 104 in relation to a reactor that may be capable of 

producing more than five thermal megawatts or special nuclear material 

for use in connection therewith) has been submitted to the Congress, together with the approval and determination of the President, for a period 

of sixty days of continuous session (as defined in subsection 130 g. of this 

Act) of the House of Representatives and the Committee on Foreign 

Relations of the Senate, and in addition, in the case of a proposed 

agreement for cooperation arranged pursuant to subsection 91c., 144b., or
Ante, p. 142. 

Ante, p. 139. 

42 USC 2121. 

42 USC 2164. 

Agency views to 

congressional 

committees. 

Ante, p. 131. 

Ante, p. 137. 

42 USC 2153a. 

Nuclear material 

enrichment, 

approval. 

Ante, p. 127.

144c., the Committee on Armed Services of the House of Representatives 

and the Committee on Armed Services of the Senate, but such proposed 

agreement for cooperation shall not become effective if during such 

sixty-day period the Congress adopts a concurrent resolution stating in 

substance that the Congress does not favor the proposed agreement for 

cooperation: Provided, That the sixty-day period shall not begin until a 

Nuclear Proliferation Assessment Statement prepared by the Director of 

the Arms Control and Disarmament Agency, when required by subsection 

123a., has been submitted to the Congress. Any such proposed agreement for cooperation shall be considered pursuant to the procedures set forth in 

section 130 of this Act for the consideration of Presidential submissions. 

Following submission of a proposed agreement for cooperation (except an agreement for cooperation arranged pursuant to 

subsection 91c., 144b., or 144c.) to the Committee on International 

Relations of the House of Representatives and the Committee on Foreign Relations of the Senate, the Nuclear Regulatory Commission, the 

Department of State. the Department of Energy, the Arms Control and 

Disarmament Agency, and the Department of Defense shall, upon the 

request of either of those committees, promptly furnish to those 

committees their views as to whether the safeguards and other controls 

contained therein provide an adequate framework to ensure that any 

exports as contemplated by such agreement will not be inimical to or 

constitute an unreasonable risk to the common defense and security. If, after the date of enactment of the Nuclear Non-Proliferation Act of 

1978, the Congress fails to disapprove a proposed agreement for 

cooperation which exempts the recipient nation from the requirement set 

forth in subsection 123a.(2), such failure to act shall constitute a failure to 

adopt a resolution of disapproval pursuant to subsection 128b.(3) for 

purposes of the Commission's consideration of applications and requests under section 126a.(2) and there shall be no congressional review 

pursuant to section 128 of any subsequent license or authorization with 

respect to that state until the first such license or authorization which is 

issued after twelve months from the elapse of the sixty-day period in 

which the agreement for cooperation in question is reviewed by the 

Congress. 

Sec. 402. ADDITIONAL REQUIREMENTS 

(a) Except as specifically provided in any agreement for cooperation, 

no source or special nuclear material hereafter exported from the United 

States may be enriched after export without the prior approval of the 

United States for such enrichment: Provided, That the procedures governing such approvals shall be identical to those set forth for the 

approval of proposed subsequent arrangements under section 131 of the 

1954 Act, and any commitments from the recipient which the Secretary of 

Energy and the Secretary of State deem necessary to ensure that such 

approval will be obtained prior to such enrichment shall be obtained prior 

to the submission of the executive branch judgment regarding the export in question and shall be set forth in such submission: And provided further, That no source or special nuclear material shall be exported for 

the purpose of enrichment or reactor fueling to any nation or group of 

nations which has, after the date of enactment of this Act, entered into a 

new or amended agreement for cooperation with the United States, except 

pursuant to such agreement.

17.1-28
42 USC 2121. (b) In addition to other requirements of law, no major critical 

42 USC 2164. component of any uranium enrichment, nuclear fuel reprocessing, or 

Enrichment facility heavy water production facility shall be exported under any agreement for 

components, export cooperation (exempt an agreement for cooperation pursuant to subsection 

prohibition. 91c., 144b., 144c. of the 1954 Act) unless such agreement for cooperation specifically designates such components as items to be exported pursuant Major critical to the agreement for cooperation. For purposes of this subsection, the 

component. term "major critical component" means any component part or group of 

component parts which the President determines to be essential to the 

operation of a complete uranium enrichment, nuclear fuel reprocessing, or 

heavy water production facility. 

Sec. 403. PEACEFUL NUCLEAR ACTIVITIES 

42 USC 2153b. The President shall take immediate and vigorous steps to seek 

Export policies, agreement from all nations and groups of nations to commit themselves to 

adhere to the following export policies with respect to their peaceful nuclear activities and their participation in international nuclear trade: 

(a) No nuclear materials and equipment and no sensitive nuclear 

technology within the territory of any nation or group of nations, under its 

jurisdiction, or under its control anywhere will be transferred to the 

jurisdiction of any other nation or group of nations unless the nation or 

group of nations receiving such transfer commits itself to strict 

undertakings including, but not limited to, provisions sufficient to ensure 

that

(1) no nuclear materials and equipment and no nuclear technology 

in, under the jurisdiction of, or under the control of any non-nuclear-weapon state, shall be used for nuclear explosive devices 

for any purpose or for research on or development of nuclear 

explosive devices for any purpose, except as permitted by Article V, 

the Treaty; 

(2) IAEA safeguards will be applied to all peaceful nuclear 

activities in, under the jurisdiction of, or under control of any non-nuclear-weapon state; 

(3) adequate physical security measures will be established and 

maintained by any nation or group of nations on all of its 

nuclear-activities; 

(4) no nuclear materials and equipment and no nuclear technology intended for peaceful purposes in, under the jurisdiction of, or under 

the control of any nation or group of nations shall be transferred to the 

jurisdiction of any other nation or group of nations which does not 

agree to stringent undertakings meeting the objectives of this section; 

and 

(5) no nation or group of nations will assist, encourage, or induce 

any non-nuclear-weapon state to manufacture or otherwise acquire any 

nuclear explosive device. 

42 USC 2104. (b)(1) No source or special nuclear material within the territory of any Enriched nuclear nation or group of nations, under its jurisdiction, or under its control 

material and anywhere will be enriched (as described in paragraph AA.(2) of 

sources, section 11 of the 1954 Act) or reprocessed, no irradiated fuel elements 

prohibition. containing such material which are to be removed from a reactor will be 

Proposed altered in form or content, and no fabrication or stockpiling involving international plutonium, uranium 233, or uranium enriched to greater than 20 percent in 

agreements. the isotope 235 shall be performed except in a facility under effective 

international auspices and inspection, and any such irradiated fuel

17.1-29
Enriched nuclear 

material, short-term 

storage. 

International 

inspection. 

42 USC 2153c. 

Ante, p. 136. 

Antep, .142.

elements shall be transferred to such a facility as soon as practicable after 

removal from a reactor consistent with safety requirements. Such facilities 

shall be limited in number to the greatest extent feasible and shall be 

carefully sited and managed so as to minimize the proliferation and 

environmental risks associated with such facilities. In addition, there shall 

be conditions to limit the access of non-nuclear-weapon states other than 

the host country to sensitive nuclear technology associated with such 

facilities. 

(2) Any facilities within the territory of any nation or group of 

nations, under its jurisdiction, or under its control anywhere for the 

necessary short-term storage of fuel elements containing plutonium, 

uranium 233, or uranium enriched to greater than 20 percent in the 

isotope 235 prior to placement in a reactor or of irradiated fuel 

elements prior to transfer as required in subparagraph (1) shall be 

placed under effective international auspices and inspection. 

(c) Adequate physical security measures will be established and 

maintained with respect to all nuclear activities within the territory of each 

nation and group of nations, under its jurisdiction, or under its control 

anywhere, and with respect to any international shipment of significant 

quantities of source or special nuclear material or irradiated source or 

special nuclear material, which shall also be conducted under 

international safeguards. 

(d) Nothing in this section shall be interpreted to require international 

control or supervision of any United States military activities. 

Sec. 404. RENEGOTIATION OF AGREEMENTS FOR 

COOPERATION 

(a) The President shall initiate a program immediately to renegotiate 

agreements for cooperation in effect on the date of enactment of this Act, 

or otherwise to obtain the agreement of parties to such agreements for 

cooperation to the undertakings that would be required for new agreement 

under the 1954 Act. To the extent that an agreement for cooperation in 

effect on the date of enactment of this Act with a cooperating party 

contains provisions equivalent to any or all of the criteria set forth in 

section 127 of the 1954 Act with respect to materials and equipment 

transferred pursuant thereto or with respect to any special nuclear material 

used in or produced through the use of any such material or equipment, 

any renegotiated agreement with that cooperating party shall continue to 

contain an equivalent provision with respect to such transferred materials 

and equipment and such special nuclear material. To the extent that an 

agreement for cooperation in effect on the date of enactment of this Act 

with a cooperating party does not contain provisions with respect to any 

nuclear materials and equipment which have previously been transferred 

under an agreement for cooperation with the United States and which are 

under the jurisdiction or control of the cooperating party and with respect 

to any special nuclear material which is used in or produced through the 

use thereof and which is under the jurisdiction or control of the 

cooperating party, which are equivalent to any or all of those required for 

new and amended agreements for cooperation under section 123a. of the 

1954 Act, the President shall vigorously seek to obtain the application of 

such provisions with respect to such nuclear materials and equipment and 

such special nuclear material. Nothing in this Act or in the 1954 Act shall 

be deemed to relinquish any rights which the United States may have

17.1- 30
under any agreement for cooperation in force on the date of enactment of 

this Act. 

Ante, p. 142. (b) The President shall annually review each of requirements (1) 

Export agreement through (9) set forth for inclusion in agreements for cooperation under 

conditions and section 123a. of the 1954 Act and the export policy goals set forth in 

policy, goals, section 401 to determine whether it is in the interest of United States 

Presidential review, non-proliferation objectives for any such requirements or export policies 

which are not already being applied as export criteria to be enacted as 

additional export criteria. 

Presidential export (c) If Presidential export criteria proposals, submittal to Congress. 

criteria proposals, the President proposes enactment of any such requirements or export 

submittal to policies as additional export criteria or to take any other action with 

Congress. respect to such requirements or export policy goals for the purpose of 

encouraging adherence by nations and groups of nations to such 

requirements and policies, he shallsubmit such a proposal together with 

an explanation thereof to the Congress. 

(d) If the Committee on Foreign Relations of the Senate or the 

Committee on International Relations of the House of Representatives, 

after reviewing the President's annual report or any proposed legislation, 

determines that it is in the interest of United States non-proliferation 

objectives to take any action with respect to such requirements or export 

policy goals, it shall report a joint resolution to implement such 

determination. Any joint resolution so reported shall be considered in the 

Senate and the House of Representatives, respectively, under applicable 

Ante, p. 139. procedures provided for the consideration of resolutions pursuant to 

subsection 130b. through g. of the 1954 Act. 

Sec. 405. AUTHORITY TO CONTINUE AGREEMENTS 

42 USC 2153d. (a) The amendments to section 123 of the 1954 Act made by this Act 

Savings provision, shall not affect the authority to continue cooperation pursuant to 

agreements for cooperation entered into prior to the date of enactment of 

this Act. 

(b) Nothing in this Act shall affect the authority to include dispute 

settlement provisions, including arbitration, in any agreement made 

pursuant to an Agreement of Cooperation. 

Sec. 406. REVIEW 

42 USC 2160a. No court or regulatory body shall have any jurisdiction under any law 

to compel the performance of or to review the adequacy of the 

performance of any Nuclear Proliferation Assessment Statement called 

for in this Act or in the 1954 Act. 

Sec. 407. PROTECTION OF THE ENVIRONMENT 

42 USC 2153e. The president shall endeavor to provide in any agreement entered into 

pursuant to section 123 of the 1954 Act for cooperation between the 

parties in protecting the international environment from radioactive, 

chemical or thermal contamination arising from peaceful nuclear 

activities.

17.1 -31
TITLE V-UNITED STATES ASSISTANCE TO 

DEVELOPING COUNTRIES 

Sec. 501. POLICY: REPORT 

22 USC 3261. The United States shall endeavor to cooperate with other nations, 

Nuclear and international institutions, and private organizations in establishing 

non-nuclear energy, programs to assist in the development of non-nuclear energy resources, to 

resource cooperate with both developing and industrialized nations in. protecting 

development, the international environment from contamination arising from both 

nuclear and non-nuclear energy activities, and shall seek to cooperate with 

and aid developing countries in meeting their energy needs through the 

development of such resources and the application of non-nuclear 

technologies consistent with the economic factors, the material resources 

of those countries, and environmental protection. The United States shall 

additionally seek to encourage other industrialized nations and groups of 

nations to make commitments for similar cooperation and aid to 

developing countries. The President shall report annually to Congress on 

the level of other nations' and groups of nations' commitments under 

such program and the relation of any such commitments to United States 

efforts under this title. In cooperating with and providing such assistance 

to developing countries, the United States shall give priority to parties to 

the Treaty. 

Sec. 502. PROGRAMS 

Developing (a) The United States shall initiate a program, consistent with the 

countries, energy aims of section 501, to cooperate with developing countries for the 

development purpose of

programs. (1) meeting the energy needs required for the development of such 

countries; 

(2) reducing the dependence of such countries on petroleum fuels, 

with emphasis given to utilizing solar and other renewable energy 

resources; and 

(3) expanding the energy alternatives available to such countries. 

Assessment and (b) Such program shall include cooperation in evaluating the energy 

cooperative alternatives of developing countries, facilitating international trade in 

projects. energy commodities, developing energy resources, and applying suitable 

energy technologies. The program shall include both general and 

country-specific energy assessments and cooperative projects in resource 

exploration and production, training, research and development. 

Experts, exchange. (c) As an integral part of such program, the Department of Energy, 

under the general policy guidance of the Department of State and in 

cooperation with the Agency for.International Development and other 

Federal agencies as appropriate, shall initiate, as soon as practicable, a 

program for the exchange of United States scientists, technicians, and 

energy experts with those of developing countries to implement the 

purposes of this section. 

Appropriation (d) For the purposes of carrying out this section, there is authorized to 

authorization, be appropriated such sums as are contained in annual authorization Acts 

for the Department of Energy, including such sums which have been 

authorized for such purposes under previous legislation. 

22 USC 2151a. (e) Under the direction of the President, the Secretary of State shall 

22 USC 215 1d. ensure the coordination of the activities authorized by this title with other 

22 USC 215 1q. related activities of the United States conducted abroad, including the

17.1- 32
22 USC 3262 note. 

Presidential report 

to Congress.

22 USC 3281. 

Governmental 

nuclear 

non-proliferation 

activities.

programs authorized by sections 103(c), 106(a)(2), and 119 of the Foreign 

Assistance Act of 1961. 

Sec. 503. REPORT 

Not later than twelve months after the date of enactment of this Act, 

the President shall report to the Congress on the feasibility of expanding 

the cooperative activities established pursuant to section 502(c) into an 

international cooperative effort to include a scientific peace corps 

designed to encourage large numbers of technically trained volunteers to 

live and work in developing countries for varying periods of time for the 

purpose of engaging in projects to aid in meeting the energy needs of such 

countries through the search for and utilization of indigenous energy 

resources and the application of suitable technology, including the 

widespread utilization of renewable and unconventional energy 

technologies. Such report shall also include a discussion of other 

mechanisms to conduct a coordinated international effort to develop, 

demonstrate, and encourage the utilization of such technologies in 

developing countries. 

TITLE VI-EXECUTIVE REPORTING 

Sec. 601. REPORTS OF THE PRESIDENT 

(a) The President shall review all activities of Government 

departments and agencies relating to preventing proliferation and shall 

make a report to Congress in January of 1979 and annually in January of 

each year thereafter on the Government's efforts to prevent proliferation. 

This report shall include but not be limited to

(1) a description of the progress made toward

(A) negotiating the initiatives contemplated in sections 104 

and 105 of this Act; 

(B) negotiating the international arrangements or other mutual 

undertakings contemplated in section 403 of this Act; 

(C) encouraging non-nuclear-weapons states that are not party 

to the Treaty to adhere to the Treaty or, pending such adherence, to 

enter into comparable agreements with respect to safeguards and to 

forswear the development of any nuclear explosive devices, and 

discouraging nuclear exports to non-nuclear-weapon states which 

have not taken such steps; 

(D) strengthening the safeguards of the IAEA as contemplated 

in section 201 of this Act; and 

(E) renegotiating agreements for cooperation as contemplated 

in section 404(a) of this Act; 

(2) an assessment of the impact of the progress, described in 

paragraph (1) on the non-proliferation policy of the United States; an 

explanation of the precise reasons why progress has not been made on 

any particular point and recommendations with respect to appropriate 

measures to encourage progress; and a statement of what legislative 

modifications, if any, are necessary in his judgment to achieve the 

non-proliferation policy of the United States; 

(3) a determination as to which non-nuclear-weapon states with 

which the United States has an agreement for cooperation in effect or 

under negotiation, if any, have

(A) detonated a nuclear device; or

17.1-33
(B) refused to accept the safeguards of the IAEA on all of 

their peaceful nuclear activities; or 

(C) refused to give specific assurances that they will not 

manufacture or otherwise acquire any nuclear explosive device; or 

(D) engaged in activities involving source or special nuclear 

material and having direct significance for the manufacture or 

acquisition of nuclear explosive devices; 

(4) an assessment of whether any of the policies set forth in this 

Act have, on balance, been counterproductive from the standpoint of 

preventing proliferation; 

(5) a description of the progress made toward establishing 

procedures to facilitate the timely processing of requests for 

subsequent arrangements and export licenses in order to enhance the 

reliability of the Unites States in meeting its commitments to supply 

nuclear reactors and fuel to nations which adhere to effective 

non-proliferation policies; 

Current civil (b) In the first report required by this section, the President shall 

agreements, analyze each civil agreement for cooperation negotiated pursuant to 

analysis. section 123 of the 1954 Act, and shall discuss the scope and adequacy of 

the requirements and obligations relating to safeguards and other control 

therein. 

(6) a description of the implementation of nuclear and 

nuclear-related dual-use export controls in the preceding calendar 

year, including a summary by type of commodity and destination of

(A) all transactions for which

(i) an export license was issued for any good controlled 

under section 309(c) of this Act; 

(ii) an export license was issued under section 109b. of the 

1954 Act; 

(iii) approvals were issued under the Export Administration 

Act of 1979, or section 109b.(3) of the 1954 Act, for the 

retransfer of any item, technical data, component, or substance; 

or 

(iv) authorizations were made as required by 

section 57b.(2) of the 1954 Act to engage, directly or 

indirectly, in the production of special nuclear material; 

(B) each instance in which

(i) a sanction has been imposed under section 821(a) or 

section 824 of the Nuclear Proliferation Prevention Act of 

1994 or section 102(b)(1) of the Arms Export Control Act; 

(ii) sales or leases have been denied under section 3(f) of 

the Arms Export Control Act or transactions prohibited by 

reason of acts relating to proliferation of nuclear explosive 

devices as described in section 40(d) of that Act; 

(iii) a sanction has not been imposed by reason of 

section 821(c)(2) of the Nuclear Proliferation Prevention Act 

of 1994 or the imposition of a sanction has been delayed under 

section 102(b)(4) of the Arms Export Control Act; or 

(iv) a waiver of a sanction has been made under

(I) section 821(f) or section 824 of the Nuclear 

Proliferation Prevention Act of 1994,

17.1-34
(II) section 620E(d) of the Foreign Assistance Act of 

1961, or paragraph (5) or (6)(B) of section 102(b) of the 

Arms Export Control Act, 

(III) section 40(g) of the Arms Export Control Act with 

respect to the last sentence of section 40(d) of that Act, or 

(IV) section 614 of the Foreign Assistance Act of 1961 

with respect to section 620E of that Act or section 3(f), the 

last sentence of section 40(d), or 102(b)(1) of the Arms 

Export Control Act; and 

(C) the progress of those independent states of the former 

Soviet Union that are non-nuclear-weapon states and of the Baltic 

states towards achieving the objective of applying full scope 

safeguards to all their peaceful nuclear activities. Portions of the 

information required by paragraph (6) may be submitted in 

classified form, as necessary. Any such information that may not 

be published or disclosed under section 12(c)(1) of the Export 

Administration Act of 1979 shall be submitted as confidential. 

(a) DETERMINATION BY THE PRESIDENT.

(1) IN GENERAL.-Except as provided in subsection (b)(2), the 

President shall impose the sanction described in subsection (c) if the 

President determines in writing that, on or after the effective date of 

this part, a foreign person or a United States person has materially and 

with requisite knowledge contributed, through the export from the 

United States or any other country of any goods or technology (as 

defined in section 830(2)), to the efforts by any individual, group, or 

non-nuclear-weapon state to acquire unsafeguarded special nuclear 

material or to use, develop, produce, stockpile, or otherwise acquire 

any nuclear explosive device. 

(2) PERSONS AGAINST WHICH THE SANCTION IS TO BE 

IMPOSED.-The sanction shall be.imposed pursuant to paragraph (1) 

on

(A) the foreign person or United States person with respect to 

which the President makes the determination described in that 

paragraph; 

(B) any successor entity to that foreign person or United States 

person; 

(C) any foreign person or United States person that is a parent 

or subsidiary of that person if that parent or subsidiary materially 

and with requisite knowledge assisted in the activities which were 

the basis of that determination; and 

(D) any foreign person or United States person that is an 

affiliate of that person if that affiliate materially and with requisite 

knowledge assisted in the activities which were the basis of that 

determination and if that affiliate: is controlled in fact by that 

person. 

(3) OTHER SANCTIONS AVAILABLE.-The sanction which is 

required to be imposed for activities described in this subsection is in 

addition to any other sanction which may be imposed for the same 

activities under any other provision of law. 

(4) DEFINITION.-For purposes of this subsection, the term 

"requisite knowledge" means situations in which a person "knows", as 

"knowing" is defined in section 104 of the Foreign Corrupt Practices 

Act of 1977 (15 USC 78dd-2).

17.1-35
(b) CONSULTATION WITH AND ACTIONS BY FOREIGN 

GOVERNMENT OF JURISDICTION.

(1) CONSULTATIONS.-If the President makes a determination 

described in subsection (a)(1) with respect to a foreign person, the 

Congress urges the President to initiate consultations immediately 

with the government with primary jurisdiction over that foreign person with respect to the imposition of the sanction pursuant to this section. 

(2) ACTIONS BY GOVERNMENT OF JURISDICTION.-In 

order to pursue such consultations with that government, the President 

may delay imposition of the sanction pursuant to this section for up to 

90 days. Following these consultations, the President shall impose the 

sanction unless the President determines and certifies in writing to the 

Congress that that government has taken specific and effective 

actions, including appropriate penalties, to terminate the involvement 

of the foreign person in the activities described in subsection (a)(1). 

The President may delay the imposition of the sanction for up to an 

additional 90 days if the President determines and certifies in writing 

to the Congress that that government is in the process of taking the 

actions described in the preceding sentence. 

(3) REPORT TO CONGRESS.-Not later than 90 days after 

making a determination under subsection (a)(1), the President shall 

submit to the Committee on Foreign Relations and the Committee on 

Governmental Affairs of the Senate and the Committee on Foreign 

Affairs of the House of Representatives a report on the status of 

consultations with the appropriate government under this subsection, 

and the basis for any determination under paragraph (2) of this 

subsection that such government has taken specific corrective actions. 

(c) SANCTION.

(1) DESCRIPTION OF SANCTION.-The sanction to be imposed 

pursuant to subsection (a)(1) is, except as provided in paragraph (2) of 

this subsection, that the United States Government shall not procure, or 

enter into any contract for the procurement of, any goods or services from 

any person described in subsection (a)(2). 

(2) EXCEPTIONS.-The President shall not be required to apply or 

maintain the sanction under this section

(A) in the case of procurement of defense articles or defense 

services

(i) under existing contracts or subcontracts, including the 

exercise of options for production quantities to satisfy requirements essential to the national security of the United 

States; 

(ii) if the President determines in writing that the person or 

other entity to which the sanction would otherwise be applied 

is a sole source supplier of the defense articles or services, that 

the defense articles or services are essential, and that 

alternative sources are not readily or reasonably available; or 

(iii) if the President determines in writing that such articles 

or services are essential to the national security under defense 

coproduction agreements; 

(B) to products or services provided under contracts entered 

into before the date on which the President publishes his intention 

to impose the sanction; 

(C) to

17.1-36
(i) spare parts which are essential to United States 

productsor production; 

(ii) component parts, but not finished products, essential to 

United States products or production; or 

(iii) routine servicing and maintenance of products, to the 

extent that alternative sources are not readily or reasonably 

available; 

(D) to information and technology essential to United States 

products or production; or 

(E) to medical or other humanitarian items. 

(d) ADVISORY OPINIONS.-Upon the request of any person, the 

Secretary of State may, in consultation with the Secretary of Defense, 

issue in writing an advisory opinion to that person as to whether a 

proposed activity by that person would subject that person to the sanction 

under this section. Any person who relies in good faith on such an 

advisory opinion which states that the proposed activity would not subject 

a person to such sanction, and any person who thereafter engages in such 

activity, may not be made subject to such sanction on account of such 

activity. 

(e) TERMINATION OF THE SANCTION.-The sanction imposed 

pursuant to this section shall apply for a period of at least 12 months 

following the imposition of the sanction and shall cease to apply thereafter only if the President determines and certifies in writing to the 

Congress that

(1) reliable information indicates that the foreign person or United 

States person with respect to which the determination was made under 

subsection (a)(1) has ceased to aid or abet any individual, group, or 

non-nuclear-weapon state in its efforts to acquire unsafeguarded 

special nuclear material or any nuclear explosive device, as described 

in that subsection; and 

(2) the President has received reliable assurances from the foreign 

person or United States person, as the case may be, that such person will not, in the future, aid or abet any individual, group, or 

non-nuclear-weapon state in its efforts to acquire unsafeguarded 

special nuclear material or any nuclear explosive device, as described 

in subsection (a)(1). 

(f) WAIVER.

(1) CRITERION FOR WAIVER.-The President may waive the 

application of the sanction imposed on any person pursuant to this 

section, after the end of the 12-month period beginning on the date on 

which that sanction was imposed on that person, if the President 

determines and certifies in writing to the Congress that the continued 

imposition of the sanction would have a serious adverse effect on vital 

United States interests. 

(2) NOTIFICATION OF AND REPORT TO CONGRESS.-If the 

President decides to exercise the waiver authority provided in 

paragraph (1), the President shall so notify the Congress not less than 

20 days before the waiver takes effect. Such notification shall include

17.1-37
22 USC 3282. 

Governmental 

nuclear 

non-proliferation 

activities. 

Reports to 

Congress. 

Nuclear 

non-proliferation 

policies, study. 

Reports to 

Congress.

a report fully articulating the rationale and circumstances which led 

the President to exercise the waiver authority. 4 

Sec. 602. ADDITIONAL REPORTS 

(a) The annual report to the Congress by the Commission and the 

Department of Energy which are otherwise required by law shall also 

include views and recommendations regarding the policies and actions of 

the United States to prevent proliferation which are the statutory 

responsibility of those agencies. The Department's report shall include a 

detailed analysis of the proliferation implications so advanced enrichment 

and reprocessing techniques, advanced reactors, and alternative nuclear 

fuel cycles. This part of the report shall include a comprehensive version 

which includes any relevant classified information and a summary 

unclassified version. 

(b) The reporting requirements of this title are in addition to and not to 

lieu of any other reporting requirements under applicable law. 

(c) The Department of State, the Department of Defense, the Arms 

Control and Disarmament Agency, the Department of Commerce, the 

Department of Energy, and the Commission shall keep the Committees on 

Foreign Relations and Governmental Affairs of the Senate and the 

Committee on International Relations of the House of Representatives 

fully and currently informed with respect to their activities to carry out the 

purposes and policies of this Act and to otherwise prevent proliferation, 

and with respect to the current activities of foreign nations which are of 

significance from the proliferation standpoint.5 

(d) Any classified portions of the reports required by this Act shall be 

submitted to the Senate Foreign Relations Committee and the House of 

International Relations Committee. 

(e) Three years after enactment of this Act, the Comptroller General 

shall complete a study and report to the Congress on the implementation 

and impact of this Act on the nuclear non-proliferation policies, purposes, 

and objectives of this Act. The Secretaries of State, Energy, Defense, and 

Commerce and the Commission and the Director shall cooperate with the 

Comptroller General in the conduct of the study. The report shall contain 

such recommendations as the Comptroller General deems necessary to 

support the nuclear non-proliferation policies, purposes, and objectives of 

this Act. 

(f) (1) The Secretary of Defense shall have access, on a timely basis, 

to all information regarding nuclear proliferation matters which the 

Secretary of State or the Secretary of Energy has or is entitled to have. 

Such access shall include access to all communications, materials, 

documents and records relating to nuclear proliferation matters. 

(2) This subsection does not apply to any intra-departmental 

document of the Department of State or the Department of Energy, or 

any portion of such document, that is solely concerned with internal,

4

Sec. 6 was added by P.L. 103-236 (108 Stat. 507-511); April 30, 1994. 5

Public Law 99-661 (100 Stat. 4004) (1986) amended Sec. 602(c) and added (f). 

17.1-38
42 USC 2153f. 

42 USC 2153f. 

42 USC 2121. 

42 USC 2164. 

22 USC 3201 note. 

Effective date.

confidential advice on policy concerning the conduct of interagency 

deliberations on nuclear proliferation matters.6 

Sec. 603. SAVINGS CLAUSE 

(a) All orders, determinations, rules, regulations, permits, contracts, 

agreements, certificates, licenses, and privileges

(1) which have been issued, made, granted, or allowed to become 

effective in the exercise of functions which are the subject of this Act, by (i) any agency or officer, or part thereof, in exercising the functions 

which are affected by this Act, or (ii) any court of competent 

jurisdiction, and 

(2) which are in effect at the time this Act takes effect, shall 

continue in effect according to their terms until modified, terminated, 

superseded, set aside, or repealed as the case may be, by the parties thereto or by any court of competent jurisdiction. 

(b) Nothing in this Act shall affect the procedures or requirements 

applicable to agreements for cooperation entered into pursuant to 

sections 91c., 144b., or 144c. of the 1954 Act or arrangements pursuant thereto as it was in effect immediately prior to the date of enactment of 

this Act. 

(c) Except where otherwise provided, the provisions of this Act shall 

take effect immediately upon enactment regardless of any requirement for 

the pumulgation of regulations to implement such provisions.

Approved March 10, 1978 

6

Public Law 99-661 (100 Stat. 4004) (1986) amended Sec. 602(c) and added (f).

17.1- 39
INTERNATIONAL ATOMIC ENERGY AGENCY PARTICIPATION 

ACT OF 1957 

TABLE OF CONTENTS 

PAGE 5 USC 

Sec. 

Sec. 1. Short Title ........................... 2 

Sec. 2. Representatives ................................. 2 

Sec. 3. Participation .................................... 3 5101 

Sec. 4. Voting ......................................... 3 5101 

Sec. 5. Salaries and Expenses ............................ 3 5101 

Sec. 6. CSR/FEGLI Status ............................... 4 8301 

Sec. 7. Special Nuclear Material Compensation .............. 5 

Sec. 8. Authority Termination ............................ 5 

STATUTE OF THE INTERNATIONAL ATOMIC ENERGY AGENCY 

Article I Establishment of the Agency ...................... 6 

Article II Objectives ................................... 6 

Article III Function .................................... 6 

Article IV Membership .................................. 7 

Article V General Conference .............................. 8 

Article VI Board of Governors .............................. 9 

Article VII Staff ......................................... 10 

Article VIII Exchange of Information ......................... 11 

Article IX Supplying of Materials ........................... 11 

Article X Services, Equipment, and Facilities ................. 13 

Article XI Agency Projects ................................ 13 

Article XII Agency Safeguards .............................. 14 

Article XIII Reimbursement of Members ..................... 16 

Article XIV Finance .................................... 16 

Article XV Privileges and Immunities ....................... 17 

Article XVI Relationship with Other Organizations .............. 17 

Article XVII Settlement of Disputes ........................... 18 

Article XVIII Amendments and Withdrawals .................... 18, 

Article XIX Suspension of Privileges ........................ 18 

Article XX Definitions .................................... 19 

Article XXI Signature, Acceptance, and Entry into Force .......... 19 

Article XXII Registration with the United Nations ................ 20 

Article XXIII Authentic Texts and Certified Copies ............... 20 

Annex I Preparatory Commission ......................... 20 

Summary of The Statute of the International 

Atomic Energy Agency ..................... 22

17.2-1
INTERNATIONAL ATOMIC ENERGY AGENCY 

PARTICIPATION ACT OF 1957 

Public Law 85-177 71 Stat. 5899 

August 28, 1957 

An Act 

To provide for the appointment of representatives of the United States of 

the organs of the International Atomic Energy Agency, and to make 

other provisions with respect to the participation of the United States 

in that Agency, and for other purposes. 

Be it enacted by the Senate and House of Representatives of the 

United States of America in Congress assembled, 

(Sec. 1. Short Title) 

That this Act may be cited as the "International Atomic Energy 

Agency Participation Act of 1957." 

Sec. 2. (Representatives) 

(a) The President, by and with the advice and consent of the Senate, 

shall appoint a representative and a deputy representative of the United 

States to the International Atomic Energy Agency (hereinafter referred to 

as the "Agency"), who shall hold office at the pleasure of the President. 

Such representative and deputy representative shall represent the United 

States on the Board of Governors of the Agency, may represent the 

United States at the General Conference, and may serve exofficio as 

United States representative on any organ of that Agency, and shall 

perform such other functions in connection with the participation of the 

United States in the Agency as the President may from time to time direct. 

(b) The President, by and with the advice and consent of the Senate, 

may appoint or designate from time to time to attend a specified session or 

specified sessions of the General Conference of the Agency a 

representative of the United States and such number of alternates as he 

may determine consistent with the rules of procedure of the General 

Conference. 

(c) The President may also appoint or designate from time to time 

such other persons as he may deem necessary to represent the United 

States in the organs of the Agency. The President may designate any 

officer of the United States Government, whose appointment is subject to 

confirmation by the Senate, to act, without additional compensation, for 

temporary periods as the representative of the United States on the Board 

of Governors or to the General Conference of the Agency in the absence 

or disability of the representative and deputy representative appointed 

under section 2(a) or in lieu of such representative in connection with a 

specified subject matter. 

(d) All persons appointed or designated in pursuance of authority 

contained in this section shall receive compensation at rates determined 

by the President upon the basis of duties to be performed but not in excess 

of rates authorized by sections 411 and 412 of the Foreign Service Act of 

1946, as amended (22 USC 866, 867), for Chiefs of Mission and Foreign 

Service officers occupying positions of equivalent importance, except that 

no Member of the Senate or House of Representatives or officer of the

17.2-2
5 USC 5101. 

5 USC 5701. 

5 USC 5731. 

22 USC 801 note. 

TIAS 3873.

United States who is designated under'subsection (b) or subsection (c) of 

this section as a delegate or representative of the United States or as an 

alternate to attend any specified session or specified sessions of the 

General Conference shall be entitled to receive such compensation. Any 

person who receives compensation pursuant to the provisions of this 

subsection may be granted allowances and benefits not the exceed those 

received by Chiefs of Mission and Foreign Service officers occupying positions of equivalent importance. 

See. 3. (Participation) 

The participation of the United States in the International Atomic 

Energy Agency shall be consistent with and in furtherance of the purposes of the Agency set forth in its Statute and the policy concerning the 

development, use, and control of atomic energy set forth in the Atomic 

Energy Act of 1954, as amended. [The President shall, from time to time 

as occasion may require, but not less that once each year, make reports to 

the Congress on the activities of the International Atomic Energy Agency and on the participation of the United States therein.]' In addition to any other requirements of law the Department of State and the Atomic Energy Commission shall keep the Joint Committee on Atomic Energy, the House 

Committee on Foreign Affairs, and the Senate Committee on Foreign Relations, as appropriate, currently informed with respect to the activities 

of the Agency and the participation of the United States therein. 

Sec. 4. (Voting) 

The representatives provided for in section 2 hereof, when 

representing the United States in the organs of the Agency, shall, at all 

times, act in accordance with the instructions of the President, and such 

representatives shall, in accordance with such instructions, cast any and 

all votes under the Statute of the International Atomic Energy Agency. Sec. There 5. (Salaries and Expenses) is hereby authorized to be appropriated annually to the 

Department of State, out of any money in the Treasury not otherwise 

appropriated, such sums as may be necessary for the payment by the 

United States of its share of the expenses of the International Atomic 

Energy Agency as apportioned by the Agency in accordance with 

paragraph (D) of article XIV of the Statute of the Agency, and for all 

necessary salaries and expenses of the representatives provided for in 

section 2 hereof and of their appropriate staffs, including personal services without regard to the civil service laws and the Classification Act 

of 1949, as amended, travel expenses without regard to the Standardized 

Government Travel Regulations, as amended, the Travel Expense Act of 

1949, as amended, and section 10 of the Act of March 3, 1933, as 

amended; salaries as authorized by the Foreign Service Act of 1946, as 

amended, or as authorized by the Atomic Energy Act of 1954, as 

amended, and expenses and allowances of personnel and dependents as 

authorized by the Foreign Service Act of 1946, as amended; services as

'Public Law 89-348 (79 Stat. 1310), see. 1(20), amended Public Law 85-177 by repealing the requirement of a report to the Congress by the President not less than once each year on the activities of the International 

Atomic Energy Agency and on the participation of the United States therein.

17.2-3
authorized by section 15 of the Act of August 2, 1946 (5 USC 55a);2 

translating and other services, by contract; hire of passenger motor 

vehicles and other local transportation; printing and binding without 

regard to section II of the Act of March 1, 1919 (44 USC 111); official 

functions and courtesies; such sums as may be necessary to defray the 

expenses of United States participation in the Preparatory Commission for 

the Agency, established pursuant to annex I of the Statute of the Agency; 

and such other expenses as may be authorized by the Secretary of State. 

See. 6. (CSR/FEGLI Status) 

5 USC 8301. (a) Notwithstanding any other provision of law, Executive order or 

5 USC 8701. regulation, a Federal employee who, with the approval of the Federal 

agency or the head of the department by which he is employed, leaves his 

position to enter the employ of the Agency shall not be considered for the 

purposes of the Civil Service Retirement Act, as amended, and the 

Federal Employees' Group Life Insurance Act of 1954, as amended, as 

separated from his Federal position during such employment with the 

Agency but not to extend beyond the first three consecutive years of his 

entering the employ of the Agency: Provided; (1) That he shall pay to the 

Civil Service Commission within ninety days from the date he is 

separated without prejudice from the Agency all necessary deductions and 

agency contributions for coverage under the Civil Service Retirement Act 

for the period of his employment by the Agency, and (2) That all 

deductions and agency contributions necessary for continued coverage 

under the Federal Employees' Group life Insurance Act of 1954, as 

amended, shall be made during the term of his employment with the 

International Atomic Energy Agency. If such employee, within three 

years from the date of his employment with the Agency, and within ninety 

days from the date he is separated without prejudice from the Agency, 

applies to be restored to his Federal position, he shall within thirty days of 

such application be restored to such position or to a position of like 

seniority, status and pay.3 

(b) Notwithstanding any other provision of law, Executive order or 

regulation, and Presidential appointee or elected officer who leaves his 

position to enter, or who within ninety days after the termination of his 

position enters, the employ of the Agency, shall be entitled to the 

coverage and benefits of the Civil Service Retirement Act, as amended, 

and the Federal Employees' Group Life insurance Act of 1954, as 

amended, but not beyond the earlier of either the termination of his 

employment with the Agency or the expiration of three years from the 

date he entered employment with the Agency: Provided, (1) That he shall 

pay to the Civil Service Commission within ninety days from the date he 

is separated without prejudice from the Agency all necessary deductions 

and agency contributions for coverage under the Civil Service Retirement 

Act for the period of his employment by the Agency and (2) That all 

deductions and agency contributions necessary for continued coverage 

under the Federal Employees' Group Life Insurance Act of 1954, as 

2

Public Law 89-554 (80 Stat. 416) codified sec. 15 of the Act of August 2, 1946, as 5 USC 3109. 3

Sec. 7 of Public Law 85-795 (72 Stat. 959), approved Aug. 28, 1958, repealed sec. 6(a), "except that it 

shall be considered to remain in effect with respect to any employee subject thereto who is serving as an 

employee of the International Atomic Energy Agency on the date of enactment of this Act and who does not 

make the election referred to in section 6 and for the purposes of any rights and benefits vested thereunder prior 

to such date."

17.2-4
amended, shall be made during the term of his employment with the 

Agency. 

(c) The President is authorized to prescribe such regulations as may be necessary to carry out the provisions of this section and to protect the 

retirement, insurance and such other civil service rights and privileges as 

the President may find appropriate. 

Sec. 7. (Special Nuclear Material Compensation) Section 54 of the Atomic Energy Act of 1954, as amended, is 

amended by adding the following new sentences: "Unless hereafter 

otherwise authorized by law the Commission shall be compensated for special nuclear material so distributed at not less than the Commission's 

published charges applicable to the domestic distribution of such material, except that the Commission to assist and encourage research on peaceful 

uses or for medical therapy may so distribute without charge during any calendar year only a quantity of such material which at the time of transfer 

does not exceed in value $10,000 in the case of one nation or $50,000 in the case of any group of nations. The Commission may distribute to the 

International Atomic Energy Agency, or to any group of nations, only such amounts of special nuclear materials and for such periods of time as 

are authorized by Congress: Provided, however, That, notwithstanding this provision, the Commission is hereby authorized subject to the 

provisions of section 123, to distribute to the Agency five thousand 

kilograms of contained uranium 235, together with the amounts of special nuclear material which will match in amount the sum of all quantities of 

special nuclear materials made available by all other members of the 

Agency to July 1, 1960." 

Sec. 8. (Authority Termination) 

In the event of an amendment to the Statute of the Agency being adopted in accordance with article XVIII-C of the Statute to which the 

Senate by formal vote shall refuse its advice and consent, upon notification by the Senate to the President of such refusal to advise and 

consent, all further authority under sections 2, 3, 4, and 5 of this Act, as amended, shall terminate: Provided, however, That the Secretary of State, under such regulations as the President shall promulgate, shall have the 

necessary authority to complete the prompt and orderly settlement of 

obligations and commitments to the Agency already incurred and pay salaries, allowances, travel expenses, and other expenses required for a 

prompt and orderly termination of United States participation in the 

Agency: And provided further, That the representative and the deputy representative of the United States to the Agency, and such other officers 

or employees representing the United States in the Agency, under such regulations as the President shall promulgate, shall retain their authority under this Act for such time as may be necessary to complete the 

settlement of matters arising out of the United States participation in the 

Agency. 

August SApproved 28, 1957

17.2-5
STATUTE OF THE INTERNATIONAL ATOMIC ENERGY 

AGENCY 

ARTICLE I-ESTABLISHMENT OF THE AGENCY 

The Parties hereto establish an International Atomic Energy Agency 

(hereinafter referred to as "the Agency" upon the terms and conditions 

hereinafter set forth. 

ARTICLE I1-OBJECTIVES 

The Agency shall seek to accelerate and enlarge the contribution of 

atomic energy to peace, health, and prosperity throughout the world. It 

shall ensure, so far as it is able, that assistance provided by it or at its 

request or under its supervision or control is not used in such a way as to 

further any military purpose. 

ARTICLE Ill-FUNCTION 

A. The Agency is authorized: 

1. To encourage and assist research on, and development and practical 

applications of, atomic energy for peaceful uses throughout the world; 

and, if requested to do so, to act as an intermediary for the purposes of 

securing the performance of services or the supplying of materials, 

equipment, or facilities by one member of the Agency for another; and to 

perform any operation or service useful in research on, or development or 

practical application of, atomic energy for peaceful purposes. 

2. To make provision, in accordance with this Statute, for materials. 

services, equipment, and facilities to meet the needs of research on, and 

development and practical application of, atomic energy for peaceful 

purposes, including the production of electric power, with due 

consideration for the needs of the underdeveloped areas of the world.; 

3. To foster the exchange of scientific and technical information on 

peaceful use of atomic energy; 

4. To encourage the exchange of scientific and training of scientists 

and experts in the field of peaceful uses of atomic energy; 

5. To establish and administer safeguards designed to ensure that 

special fissionable and other materials, services, equipment, facilities, and 

information made available by the Agency or at its request or under its 

supervision or control are not used in a way as to further any military 

purposes; and to apply safeguards, at the request of the parties, to any 

bilateral or multilateral arrangement, or at the request of a State, to any of 

that State's activities in the field of atomic energy; 

6. To establish or adopt, in consultation and, where appropriate, in 

collaboration with the competent organs of the United Nations and with 

the specialized agencies concerned, standards of safety for protection of 

health and minimization of danger to life and property (including such 

standards for labour conditions), and to provide for the applications of 

these standards to its own operations as well as to the operations making 

use of materials, services, equipment, facilities, and information made 

available by the Agency or at its request or under its control or 

supervision; and to provide for the application of these standards, at the 

request of the parties, to operations under any bilateral or multilateral

17.2-6
arrangement, or, at the request of a State, to any of that State's activities 

in the field of atomic energy; 

7. To acquire or establish any facilities, plant and equipment useful in 

carrying out its authorized functions, whenever the facilities, plant, and 

equipment otherwise available to it in the area concerned are inadequate 

or available only on terms it deems unsatisfactory. B. In carrying out its functions, the Agency shall: 

1. Conduct its activities in accordance with the purposes and 

principles of the United Nations to promote peace and international 

cooperation, and in conformity with policies of the United Nations 

furthering the establishment of safeguarded worldwide disarmament and 

in conformity with any international agreements entered into pursuant to 

such policies; 

2. Establish control over the use of special fissionable materials 

received by the Agency, in order to ensure that these materials are used 

only for peaceful purposes; 

3. Allocate its resources in such a manner as to secure efficient 

utilization and the greatest possible general benefit in all areas of the 

world, bearing in mind the special needs of the underdeveloped areas of 

the world; 

4. Submit reports on the activities annually to the General Assembly of the United Nations and, when appropriate, to the Security Council, if in 

connection with the activities of the Agency there should arise questions that are within the competence of the Security Council, the Agency shall notify the Security Council, as the organ bearing the main responsibility for the maintenance of international peace and security, and may also take 

the measures open to it under this Statute, including those provided in 

paragraph C of Article XII; 

5. Submit reports to the Economic and Social Council and other 

organs of the United Nations on matters within the competence of these 

organs. 

C. In carrying out its functions, the Agency shall not make assistance 

to members subject to any political, economic, military, or other 

conditions incompatible with the provisions of this Statute. 

D. Subject to the provisions of this Statute and to the terms of 

agreement concluded between a State or a group of States and the Agency which shall be in accordance with the provisions of the Statute, the 

activities of the Agency shall be carried out with due observance of the 

sovereign rights of States. 

ARTICLE IV-MEMBERSHIP 

A. The initial members of the agency shall be those States Members 

of the Untied Nations or of any of the specialized agencies which shall have signed this Statute within ninety days after it is opened for signature and shall have deposited an instrument or ratification. 

B. Other members of the Agency shall be those States, whether or not Members of the United Nations or of any of the specialized agencies, which deposit an instrument of acceptance of this Statute after their 

membership has been approved by the General Conference upon the 

recommendation of the Board of Governors. In recommending and 

approving a State for membership, the Board of Governors and the 

General Conference shall determine that the State is able and willing to

17.2-7
carry out the obligations of membership in the Agency, giving due 

consideration to its ability and willingness to act in accordance with the 

purposes and principles of the Charter of the United Nations. 

C. The Agency is based on the principle of the sovereign equality of 

all its members, and all members, in order to ensure to all of them the 

rights and benefits resulting from membership, shall fulfill in good faith 

the obligations assumed by them in accordance with this Statute. 

ARTICLE V-GENERAL CONFERENCE 

A. A General Conference consisting of representatives of all 

members shall meet in regular annual session and in such special sessions 

as shall be convened by the District General at the request of the Board of 

Governors or of a majority of members. The sessions shall take place at 

the headquarters of the Agency unless otherwise determined by the 

General Conference. 

B. At such sessions, each member shall be represented by one 

delegate who may be accompanied by alternates and by advisers. The 

cost of attendance of any delegation shall be borne by the member 

concerned. 

C. The General Conference shall elect a President and such other 

officers as may be required at the beginning of each session. They shall 

hold office for the duration of the session. The General Conference, 

subject to the provisions of this Statute, shall adopt its own rules of 

procedure. Each member shall have one vote. Decisions pursuant to 

paragraph H of Article XIV, paragraph C of article XVIII, and 

paragraph B of Article XIX shall be made by a two-thirds majority of the 

members present and voting. Decisions on other questions, including the 

determination of additional questions or categories of questions to be 

decided by a two-thirds majority, shall be made by a majority of the 

members present and voting. A majority of members shall constitute a 

quorum. 

D. The General Conference may discuss any questions or any matters 

within the scope of this Statute or relating to the powers and functions of 

any organs provided for in this Statute, and may make recommendations 

to the membership of the Agency or to the Board of Governors or to both 

on any such questions or matters. 

E. The General Conference shall: 

1. Elect members of the Board of Governors in accordance with 

article VI; 

2. Approve States for membership in accordance with article IV; 

3. Suspend a member from the privileges and rights of membership in 

accordance with Article XIX; 

4. Consider the annual report of the Board; 

5. In accordance with Article XIV, approve the budget of the Agency 

recommended by the Board or return it with recommendations as to its 

entirety or parts to the Board, for resubmission to the General 

Conference; 

6. Approve reports to be submitted to the United Nations as required 

by the relationship agreement between the Agency and the United 

Nations, except report referred to in paragraph C of Article XII, or return 

them to the Board with its recommendations;

17.2-8
7. Approve any agreement or agreements between the Agency and the 

United Nations and other organizations as provided in Article XVI or 

return such agreements with its recommendations to the Board, for 

resubmission to the General Conference; 

8. Approve rules and limitations regarding the exercise of borrowing 

powers by the Board, in accordance with paragraph G of Article XIV; 

approve rules regarding the acceptance of voluntary contributions to the 

Agency; and approve, in accordance with paragraph F of Article XIV, the 

manner in which the general fund referred to in that paragraph may be 

used; 

9. Approve amendments to this Statute in accordance with 

paragraph C of Article XVIII. 

10. Approve the appointment of the Director General in accordance 

with paragraph A of Article VII. 

F. The General Corference shall have the authority: 1. To take decisions on any matter specifically referred to the General 

Conference for this purpose by the Board; 

2. To propose matters for consideration by the Board and request from the Board reports on any matter'relating to the functions of the 

Agency. 

ARTICLE VI-BOARD OF GOVERNORS 

A. The Board of Governors shall be composed as follows: 

1. The outgoing Board of Governors shall designate for membership 

on the Board the ten members most advanced in 'the technology of atomic 

energy including the production of source materials, and the member most 

advanced in the technology of atomic energy including the production of 

source materials in each of the following areas in which none of the 

aforesaid ten is located: 

(1) North America 

(2) Latin America 

(3) Western Europe 

(4) Eastern Europe 

(5) Africa 

(6) Middle East and South Asia 

(7) South East Asia and the Pacific 

(8) Far East 

2. The outgoing Board of Governors (or in the case of the first Board, the Preparatory Commission referred to in Annex I) shall designate for 

membership on the Board two members from among the following other 

producers of source materials: Belgium, Czechoslovakia, Poland, and 

Portugal; and shall also designate for membership on the Board one other 

member as a supplier of technical assistance. No member in this category in any one year Will be eligible for redesignation in the same category for 

the following year. 3. The General Conference shall elect ten members to membership on 

the Board of Governors, with due regard to equitable representation on 

the Board as a whole of the members in the areas listed in subparagraph A-1 of this article, so that the Board shall at all times include in this 

category a representative of each of those areas except North America. 

Except for the five members chosen for a term of one year in accordance 

with paragraph D of this article, no member in this category in any one

17.2-9
term of office will be eligible for reelection in this same category for the 

following term of office. 

B. The designations provided for in subparagraphs A-1 and A-2 of 

this article shall take place not less that sixty days before each regular 

annual session of the General Conference. The elections provided for in 

subparagraph A-3 of this article shall take place at regular annual sessions 

of the General Conference. 

C. Members represented on the Board of Governors in accordance 

with subparagraph A-i and A-2 of this article shall hold office from the 

end of the next regular annual session of the General Conference after 

their designation until the end of the following regular annual session for 

the General Conference. 

D. Members represented on the Board of Governors in accordance 

with subparagraph A-3 of this Article shall hold office from the end of the 

regular annual session of the General Conference at which they are 

elected until the end of the second regular annual session of the General 

Conference thereafter. In the election of these members for the first 

Board, however, five shall be chosen for a term of one year. 

E. Each member of the Board of Governors shall have one vote. 

Decisions on the amount of the Agency's budget shall be made by a 

two-thirds majority of those present and voting, as provided in 

paragraph H of Article XIV. Decisions on other questions, including the 

determination of additional questions or categories of questions to be 

decided by a two-thirds majority, shall be made by a majority of those 

present and voting. Two-thirds of all members of the Board shall 

constitute a quorum. 

F. The Board of Governors shall have authority to carry out the 

functions of the Agency in accordance with this Statute, subject to its 

responsibilities to the General Conference as provided in the Statute. 

G. The Board of Governors shall meet at such times as it may 

determine. The meetings shall take place at the headquarters of the 

Agency unless otherwise determined by the Board. 

H. The Board of Governors shall elect a Chairman and other officers 

from among its members and, subject to the provisions of this Statute, 

shall adopt its own rules of procedure. 

I. The Board of Governors may establish such committees as it deems 

advisable. The Board may appoint persons to represent it in its relations 

with other organizations. 

J. The Board of Governors shall prepare an annual report to the 

General Conference concerning the affairs of the Agency and any projects 

approved by the Agency. The Board shall also prepare for submission to 

the General Conference such reports as the Agency is or may be required 

to make to the United Nations or to any other organization the work of 

which is related to that of the Agency. These reports, along with the 

annual reports, shall be submitted to members of the Agency at least one 

month before the regular annual session of the General Conference. 

ARTICLE VII-STAFF 

A. The staff of the Agency shall be headed by a Director General. 

The Director General shall be appointed by the Board of Governors with 

the approval of the General Conference for a term of four years. He shall 

be the chief administrative officer of the Agency.

17.2-10
B. The Director General shall be responsible for the appointment, 

organization, and functioning of the staff and shall be under the authority 

of and subject to the control of the Board of Governors. He shall perform 

his duties in accordance with regulations adopted by the Board. 

C. The staff shall include such qualified scientific and technical and 

other personnel as may be required to fulfill the objectives and functions 

of the Agency. The Agency shall be guided by the principal that its 

permanent staff shall be kept to a minimum. 

D. The paramount consideration in the recruitment and employment 

of the staff and in the determination of the conditions of service shall be 

to secure employees of the highest standards of efficiency, technical 

competence, and integrity. Subject to this consideration, due regard shall 

be paid to the contributions of members of the Agency and to the 

importance of recruiting the staff on as wide a geographical basis as 

possible. 

E. The terms and conditions on which the staff shall be appointed, 

renumerated, and dismissed shall be in accordance with regulations made 

by the Board of Governors, subject to provisions of this Statute and to 

general rules approved by the General Conference on the recommendation 

of the Board. 

F. In the performance of their duties, the Director General and the 

staff shall not seek or receive instruction from any source external to the 

Agency. They shall refrain from any action which might reflect on their 

position as officials of the Agency; subject to their responsibilities to the 

Agency, they shall not disclose any industrial secret or other confidential 

information coming to their knowledge by reason of their official duties 

for the Agency. Each member undertakes to respect the international 

character of the responsibilities of the Director General and the staff shall 

not seek to influence them in the discharge of their duties. 

G. In this article the term "staff' includes guards. 

ARTICLE VIII-EXCHANGE OF INFORMATION 

A. Each member should make available such information as would, in 

the judgment of the member, be helpful to the Agency. 

B. Each member shall make available to the Agency all scientific 

information developed as a result of assistance extended by the Agency 

pursuant to article XI. 

C. The Agency shall assemble and make available in an accessible 

form the information made available to it under paragraphs A and B of 

this article. It shall take positive steps to encourage the exchange among 

its members of information relating to the nature and peaceful uses of 

atomic energy and shall serve as an intermediary among its members for 

this purpose. 

ARTICLE IX-SUPPLYING OF MATERIALS 

A. Members may make available to the Agency such quantities of 

special fissionable materials, as they deem advisable and on such terms as 

shall be agreed with the Agency. The materials made available to the 

Agency may, at the discretion of the member making them available, be 

stored either by the member concerned or, with the agreement of the 

Agency, in the Agency's depots.

17.2-11
B. Members may also make available to the Agency source materials 

as defined in article XX and other materials. The Board of Governors 

shall determine the quantities of such materials which the Agency will 

accept under agreements provided for in article XIII. 

C. Each member shall notify the Agency of the quantities, form, and 

composition of special fissionable materials, source materials, and other 

materials which that member is prepared, in conformity with its laws, to 

make available immediately or during a period specified by the Board of 

Governors. 

D. On request of the Agency a member shall, from the materials 

which it has made available, without delay deliver to another member or 

group of members such quantities of such materials as the Agency may 

specify, and shall without delay deliver to the Agency itself such 

quantities of such materials as are really necessary for operations and 

scientific research in the facilities of the Agency. 

E. The quantities, form and composition of materials made available 

by any member may be changed at any time by the member with the 

approval of the Board of Governors. 

F. An initial notification in accordance with paragraph C of this 

article shall be made within three months of the entry into force of this 

Statute with respect to the member concerned. In the absence of a 

contrary decision of the Board of Governors, the materials initially made 

available shall be for the period of the calendar year succeeding the year 

when this Statute takes effect with respect to the member concerned. 

Subsequent notifications shall likewise, in the absence of a contrary 

action by the Board, relate to the period of the calendar year following the 

notification and shall be made no later than the first day of November of 

each year. 

G. The Agency shall specify the place and method of delivery and, 

where appropriate, the form and composition, of materials which it has 

requested a member to deliver from the amounts which that member has 

notified the Agency it is prepared to make available. The Agency shall 

also verify the quantities of materials delivered and shall report those 

quantities periodically to the members. 

The Agency shall be responsible for storing and protecting materials 

in its possession. The Agency shall ensure that these materials shall be 

safeguarded against (1) hazards of the weather, (2) unauthorized removal 

or diversion, (3) damage or destruction, including sabotage, and 

(4) forcible seizure. In storing special fissionable materials in its 

possession, the Agency shall ensure the geographical distribution of these 

materials in any one country or region of the world. 

I. The Agency shall as soon as practicable establish or acquire such of 

the following as may be necessary: 

1. Plant, equipment, and facilities for the receipt, storage, and issue of 

materials; 

2. Physical safeguards; 

3. Adequate health and safety measures; 

4. Control laboratories for the analysis and verification of materials 

received; 

5. Housing and administrative facilities for any staff required for the 

foregoing. 

J. The materials made available pursuant to this article shall be used 

as determined by the Board of Governors in accordance with the

17.2-12
provisions of this Statute. No member shall have the right to require that 

the materials it makes available to the Agency be kept separately by the 

Agency or to designate the specific project in which they must be used. 

ARTICLE X-SERVICES, EQUIPMENT, AND FACILITIES 

Members may make available to the Agency services, equipment, and 

facilities which may be of assistance in fulfilling the Agency's objectives and functions. 

ARTICLE XI-AGENCY PROJECTS 

A. Any member or group of members of the Agency desiring to set up 

any project for research on, or development or practical application of 

atomic energy for peaceful purposes may request the assistance of the 

Agency in securing special fissionable and other materials, services, 

equipment, and facilities necessary for this purpose. Any such request shall be accompanied by an explanation of the purpose and extent of the 

project and shall be considered by the Board of Governors. 

B. Upon request, the Agency may also assist any member or group of 

members to make arrangements to secure necessary financing from 

outside sources to carry out such projects. In extending this assistance, 

the Agency will not be required to provide any guarantees or to assume 

any financial responsibility for the project. 

C. The Agency may arrange for the supplying of any materials, services, equipment, and facilities necessary for the project by one or 

more members or may itself undertake to provide any or all of these 

directly, taking into consideration the wishes of the member or members 

making the request. 

D. For the purpose of considering the request, the Agency may send 

into the territory of the member or group of members making the request a 

person or persons qualified to examine the project. For this purpose the 

Agency may, with the approval of the member or group of members 

making the request, use members of its own staff or employ suitably qualified nationals of any member. 

E. Before approving a project under this article, the Board of 

Governors shall give due consideration to: 

1. The usefulness of the project, including its scientific and technical 

feasibility; 

2. The adequacy of plans, funds, and technical personnel to assure the 

effective execution of the project; 3. The adequacy of proposed health and safety standards for handling 

and storing materials and for operating facilities; 

4. The inability of the member or group of members making the 

request to secure the necessary finances, materials, facilities, equipment, and services; 

5. The equitable distribution of materials and other resources 

available to the Agency; 

6. The special needs of the underdeveloped areas of the world; 

7. Such other matters as may be relevant. 

F. Upon approving a project, the Agency shall enter into an 

agreement with the member or group of members submitting the project, 

which agreement shall:

17.2-13
1. Provide for allocation to the project of any required special 

fissionable or other materials; 

2. Provide for transfer of special fissionable materials from their then 

place of custody, whether the materials be in the custody of the Agency or 

of the member making them available for use in Agency projects, to the 

member or group of members submitting the project, under conditions 

which ensure the safety of any shipment required and meet applicable 

health and safety standards; 

3. Set forth the terms and conditions, including charges, on which any 

materials, services, equipment, and facilities are to be provided by the 

Agency itself, and, if any such materials, services, equipment, and 

facilities are to be provided by a member, the terms and conditions as 

arranged for by the member or group of members submitting the project 

and the supplying member; 

4. Include undertakings by the member or group of members 

submitting the project: (a) that the assistance provided shall not be used in 

such a way as to further any military purpose; and (b) that the project 

shall be subject to the safeguards provided for in article XII, the relevant 

safeguards being specified in the agreement; 

5. Make appropriate provisions regarding the rights and interests of 

the Agency and the member or members concerned in any inventions or 

discoveries, or any patents therein, arising from the project; 

6. Make appropriate provision regarding settlement of disputes; 

7. Include such other provisions as may be appropriate. 

G. The provisions of this article shall also apply where appropriate to 

a request for materials, services, facilities, or equipment in connection 

with an existing project. 

ARTICLE XII-AGENCY SAFEGUARDS 

A. With respect to any Agency project, or other arrangement where 

the Agency is requested by the parties concerned to apply safeguards, the 

Agency shall have the following rights and responsibilities to the extent 

relevant to the project or arrangement: 

1. To examine the design of specialized equipment and facilities, 

including nuclear reactors, and to approve it only from the viewpoint of 

assuring that it will not further any military purpose, that it complies with 

applicable health and safety standards, and that it will permit effective 

application of the safeguards provided for in this article; 

2. To require the observance of any health and safety measures 

prescribed by the Agency; 

3. To require the maintenance and production of operating records to 

assist in ensuring accountability for source and special fissionable 

materials used or produced in the project or arrangement; 

4. To call for and receive progress reports; 

5. To approve the means to be used for the chemical processing of 

irradiated materials solely to ensure that this chemical processing will not 

lend itself to diversion of materials for military purposes and will comply 

with applicable health and safety standards; to require that special 

fissionable materials recovered or produced as a by-product be used for 

peaceful purposes under, continuing Agency safeguards for research or in 

reactors, existing or under construction, specified by the member or 

members concerned; and to require deposit with the Agency of any excess

17.2-14
of any special fissionable materials recovered or produced as a by-product 

over what is needed for the above-stated uses in order to prevent stockpiling of these materials, provided that thereafter at the request of the 

member or members concerned special fissionable materials so deposited with the Agency shall be returned promptly to the member or members 

concerned for use under the same provisions as stated as above; 

6. To send into the territory of the recipient State or States inspectors, 

designated by the Agency after consultation with the State or States 

concerned, who shall have access at all times to all places and data and to 

any person who by reason of his occupation deals with materials, 

equipment, or facilities which are required by this Statute to be 

safeguarded, as necessary to account for source and special fissionable 

materials supplied and fissionable products and to determine whether 

there is a compliance with the undertaking against use in furtherance of 

any military purpose referred to in subparagraph F-4 of article XI, with 

the health and safety measures referred to in subparagraph A-2 of this 

article, and with any other conditions prescribed in the agreement between 

the Agency and the State or States concerned. Inspectors designated by the Agency shall be accompanied by representatives of the authorities of 

the State concerned, if that State so requests, provided that the inspectors shall not thereby be delayed or otherwise impeded in the exercise of their 

functions. 

7. In the event of noncompliance and failure by the recipient State or 

States to take requested corrective steps within a reasonable time, to 

suspend or terminate assistance and withdraw any materials and 

equipment made available by the Agency or a member in furtherance of 

the project. 

B. The Agency shall, as necessary, establish a staff of inspectors. The staff of inspectors shall have the responsibility of examining all 

operations conducted by the Agency itself to determine whether the 

Agency is complying with the health and safety measures prescribed by it 

for application to projects subject to its approval, supervision or control, and whether the Agency is taking adequate measures to prevent the source 

and special fissionable materials in its custody or used or produced in its 

own operations from being used in furtherance of any military purpose. The Agency shall take remedial action forthwith to correct any noncompliance or failure to take adequate measures. 

C. The staff of inspectors shall also have the responsibility of 

obtaining and verifying the accounting referred to in subparagraph A-6 of 

this article and'of determining whether there is compliance with the 

undertaking referred to in subparagraph A-2 of this article, and with all 

other conditions of the project prescribed in the agreement between the 

Agency and the State or States concerned. The inspectors shall report any noncompliance to the Director General who shall thereupon transmit the 

report to the Board of Governors. The Board shall call upon the recipient State or States to remedy forthwith any noncompliance which it finds to 

have occurred. The Board shall report the noncompliance to all members 

and to the Security Council and General Assembly of the United Nations. 

In the event of failure of the recipient State or States to take fully corrective action within a reasonable time, the Board may take one or both 

of the following measures: direct curtailment or suspension of assistance 

being provided by the Agency or by a member, and call for the return of 

materials and equipment made available to the recipient members or

17.2-15
groups of members. The Agency may also, in accordance with article 

XIX, suspend any noncomplying member from the exercise of the 

privileges and rights of membership. 

ARTICLE XIII-REIMBURSEMENT OF MEMBERS 

Unless otherwise agreed upon between the Board of Governors and 

the members furnishing to the Agency materials, services, equipment, or 

facilities, the Board shall enter into an agreement with such member 

providing for reimbursement for the items furnished. 

ARTICLE XIV-FINANCE 

A. The Board of Governors shall submit to the General Conference 

the annual budget estimates for the expenses of the Agency. To facilitate 

the work of the Board in this regard, the Director General shall initially 

prepare the budget estimates. If the General Conference does not approve 

the estimates, it shall return them together with its recommendations to the 

Board. The Board shall then submit further estimates to the General 

Conference for its approval. 

B. Expenditures of the Agency shall be classified under the following 

categories: 

1. Administrative expenses: These shall include: 

(a) Costs of the staff of the Agency other than the staff employed in 

connection with materials, services, equipment, and facilities referred to 

in subparagraph B-2 below; costs of meetings; and expenditures required 

for the preparation of Agency projects and for the distribution of 

information; 

(b) Costs of implementing the safeguards referred to in Article XII in 

relation to agency projects or, under subparagraph A-5 of article III, in 

relation to any bilateral or multilateral arrangement, together with the 

costs of handling and storage of special fissionable material by the 

Agency other than the storage and handling charges referred to in 

paragraph E below; 

2. Expenses, other than those included in subparagraph 1 of this 

paragraph in connection with any materials, facilities, plant, and 

equipment acquired or established by the Agency in carrying out its 

authorized functions, and the costs of materials, services, equipment, and 

facilities provided by it under agreements with one or more members. 

C. In fixing the expenditures under subparagraph B-l(b) above, the 

Board of Governors shall deduct such amounts as are recoverable under 

agreements regarding the application of safeguards between the Agency 

and parties to bilateral or multilateral arrangements. 

D. The Board of Governors shall apportion the expenses referred to 

in subparagraph B-I above, among members in accordance with a scale to 

be fixed by the General Conference. In fixing the scale the General 

Conference shall be guided by the principles adopted by the United 

Nations in assessing contributions of Member States to the regular budget 

of the United Nations. 

E. The Board of Governors shall establish periodically a scale of 

charges, including reasonable uniform storage and handling charges, for 

materials, services, equipment, and facilities furnished to members by the 

Agency. The scale shall be designed to produce revenues for the Agency 

adequate to meet the expenses and costs referred to in subparagraph B-2

17.2-16
above, less any voluntary contributions which the Board of Governors 

may, in accordance with paragraph F, apply for this purpose. The 

proceeds of such charges shall be placed in a separate fund which shall be 

used to pay members for any materials, services, equipment, or facilities 

furnished by them and to meet other expenses referred to in subparagraph 

B-2 above, which may be incurred by the Agency itself. 

F. Any excess of revenues referred to in paragraph E over the 

expenses and costs there referred to, and any voluntary contributions to 

the Agency, shall be placed in a general fund which may be used as the 

Board of Governors, with the approval of the General Conference, may 

determine. 

G. Subject to rules and limitations approved by the General 

Conference, the Board of Governors shall have the authority to exercise 

borrowing powers on behalf of the Agency without, however, imposing 

on members of the Agency any liability in respect of loans entered into 

pursuant to this authority, and to accept voluntary contributions made to 

the Agency. 

H. Decisions of the General Conference on financial questions and of 

the Board of Governors on the amount of the Agency's budget shall 

require a two-thirds majority of those present and voting. 

ARTICLE XV-PRIVILEGES AND IMMUNITIES 

A. The Agency shall enjoy in the territory of each member such legal 

capacity and such privileges and immunities as are necessary for the 

exercise of its functions. 

B. Delegates of members together with their alternates and advisers, 

Governors appointed to the Board together with their alternates and 

advisers, and the Director General and the staff of the Agency, shall enjoy 

such privileges and immunities as are necessary in the independent 

exercise of their functions in connection with the Agency. 

C. The legal capacity, privileges and immunities referred to in this 

article shall be defined in a separate agreement or agreements between the 

Agency, represented for this purpose by the Director General acting under 

instructions of the Board of Governors, and the members. 

ARTICLE XVI-RELATIONSHIP WITH OTHER 

ORGANIZATIONS 

A. The Board of Governors, with the approval of the General 

Conference, is authorized to enter into an agreement or agreements 

establishing an appropriate relationship between the Agency and the 

United Nations and any other organizations the work of which is related 

to that of the Agency. 

B. The agreement or agreements establishing the relationship of the 

Agency and the United Nations shall provide for: 

1. Submission by the Agency of reports as provided for in 

subparagraphs B-4 and B-5 of Article III; 

2. Consideration by the Agency of resolutions relating to it adopted by 

the General Assembly or any of the Councils of the United Nations and 

the submission of reports, when requested, to the appropriate organ of the 

United Nations on the action taken by the Agency or by its members in 

accordance with this Statute as a result of such consideration.

17.2-17
ARTICLE XVII-SETTLEMENT OF DISPUTES 

A. Any question or dispute concerning the interpretation or 

application of this Statute which is not settled by negotiation shall be 

referred to the International Court of Justice in conformity with the 

Statute of the Court unless the parties concerned agree on another mode 

of settlement. 

B. The General Conference and the Board of Governors are 

separately empowered, subject to authorization from the General 

Assembly of the United Nations, to request the International Court of 

Justice to give an advisory opinion on any legal question arising within 

the scope of the Agency's activities. 

ARTICLE XVIII-AMENDMENTS AND WITHDRAWALS 

A. Amendments to this Statute may be proposed by any member. 

Certified copies of the text of any amendment proposed shall be prepared by the Director General and communicated by him to all members at least 

ninety days in advance of its consideration by the General Conference. 

B. At the fifth annual session of the General Conference following the coming into force of this Statute, the question of a general review of 

the provisions of this Statute shall be placed on the agenda of that session. 

On approval by a majority of the members present and voting, the review 

will take place at the following General Conference. Thereafter, proposals 

on the question of a general review of this Statute may be submitted for 

decision by the General Conference under the same procedure. C. Amendments shall come into force for all members when: 

(i) Approved by the General Conference by a two-thirds 

majority of those present and voting after consideration of 

observations submitted by the Board of Governors on each 

proposed amendment, and 

(ii) Accepted by two-thirds of all the members in 

accordance with their respective constitutional processes. Acceptance by a member shall be effected by the deposit of an 

instrument of acceptance with the depository Government 

referred to in paragraph C of Article XXI. 

D. At any time after five years from the date when this Statute shall 

take effect in accordance with paragraph E of Article XXI or whenever a 

member is unwilling to accept an amendment to this Statute, it may withdraw from the Agency by notice in writing to that effect given to the 

depository Government referred to in paragraph C of Article XXI, which 

shall promptly inform the Board of Governors and all members. 

E. Withdrawal by a member from the Agency shall not affect its 

contractual obligations entered into pursuant to Article XI or its budgetary 

obligations for the year in which it withdraws. 

ARTICLE XIX-SUSPENSION OF PRIVILEGES 

A. A member of the Agency which is in arrears in the payment of its 

financial contributions to the agency shall have no vote in the Agency if 

the amount of its arrears equals or exceeds the amount of the 

contributions due from it for the preceding two years. The General 

Conference may, nevertheless, permit such a member to vote if it is 

17.2-18
satisfied that the failure to pay is due to conditions beyond the control of 

the member. 

B. A member which has persistently violated the provisions of this 

Statute or of any agreement entered into by it pursuant to this Statute may 

be suspended from the exercise of the privileges and rights of 

membership by the General Conference acting by a two-thirds majority of 

the members present and voting upon recommendation by the Board of 

Governors. 

ARTICLE XX-DEFINITIONS 

As used in this Statute: 

1. The term "special fissionable materials" means plutonium-239; 

uranium-233; uranium enriched in the isotopes 235 or 233; any material 

containing one or more of the foregoing; and such other fissionable 

material as the Board of Governors shall from time to time determine; but 

the term "special fissionable material" does not include source material. 

2. The term "uranium enriched in the isotopes 235 or 233" means 

uranium containing the isotopes 235 or 233 or both in an amount such as 

the abundance ratio of the sum of these isotopes to the isotope 238 is 

greater than the ratio of the isotope 235 to the isotope 238 occurring in 

nature. 

3. The term "source material" means uranium containing the mixture 

of isotopes occurring in nature; uranium depleted in the isotope 235; 

thorium; any of the foregoing in the form of metal, alloy, chemical 

compound, or concentrate; any other material containing one of more of 

the foregoing in such concentration as the Board of Governors shall from 

time to time determine; and such other materials as the Board of 

Governors shall from time to time determine. 

ARTICLE XXI-SIGNATURE, ACCEPTANCE, AND ENTRY 

INTO FORCE 

5 USC 5101. A. This Statute shall be open for signature on 26 October 1956 by all 

5 USC 5701. States Members of the United Nations or of any of the specialized 

5 USC 5731. agencies and shall remain open for signature by those States for a period 

of ninety days. 

B. The signatory States shall become parties to this Statute by deposit 

of an instrument of ratification. 

C. Instruments of ratification by signatory States and instruments of 

acceptance by States whose membership has been approved under 

paragraph B of article IV of this Statute shall be deposited with the 

Government of the United States of America, hereby designated as 

depository Government. 

D. Ratification or acceptance of this Statute shall be effected by 

States in accordance with their respective constitutional processes. 

E. This Statute, apart from the Annex, shall come into force when 

eighteen States have deposited instruments of ratification in accordance 

with paragraph B of this article, provided that such eighteen States shall 

include at least three of the following States: Canada, France, the Union 

of Soviet Socialist Republics, the United Kingdom of Great Britain and 

Northern Ireland, and the United States of America. Instruments of 

ratification and instruments of acceptance deposited thereafter shall take 

effect on the date of their receipt.

17.2-19
F. The depository Government shall promptly inform all States 

signatory to this Statute of the date of each deposit of ratification and the 

date of entry into force of the Statute. The depository Government shall promptly inform all signatories and members of the dates on which States 

subsequently become parties thereto. 

G. The Annex to this Statute shall come into force on the first day this Statute is open for signature. 

ARTICLE XXII-REGISTRATION WITH THE UNITED 

NATIONS 

A. This Statute shall be registered by the depository Government 

pursuant to Article 102 of the Charter of the United Nations. 

B. Agreements between the Agency and any member or members, 

agreements between the Agency and any organization or other 

organizations, and agreements between members subject to approval of 

the Agency, shall be registered with the Agency. Such agreements shall 

be registered by the Agency with the United Nations if registration is 

required under Article 102 of the Charter of the United Nations. 

ARTICLE XXIII-AUTHENTIC TEXTS AND CERTIFIED 

COPIES 

This Statute, done in the Chinese, English, French, Russian and 

Spanish languages, each being equally authentic, shall be deposited in the 

archives of the depository Government. Duly certified copies of this 

Statute shall be transmitted by the depository Government to the 

Governments of the other signatory States and to the Governments of 

States admitted to membership under paragraph B of Article IV. 

In witness whereof the undersigned, duly authorized, have signed this 

Statute. 

Done at the Headquarters of the United Nations, this twenty-sixth day of October, one thousand nine hundred and fifty-six. 

ANNEX I-PREPARATORY COMMISSION 

A. A Preparatory Commission shall come into existence on the first 

day this Statute is open for signature. It shall be composed of one 

representative each of Australia, Belgium, Brazil, Canada, Czechoslovakia, France, India, Portugal, Union of South Africa, Union of 

Soviet Socialist Republics, United Kingdom of Great Britain and 

Northern Ireland, and United States of America, and one representative each of six other States to be chosen by the International Conference on 

the Statute of the International Atomic Energy Agency. The Preparatory commission shall remain in existence until this Statute comes into force 

and thereafter until the general Conference has convened and a Board of 

Governors has been selected in accordance with Article VI. 

B. The expenses of the Preparatory Commission may be met by a loan 

provided by the United Nations and for this purpose the Preparatory Commission shall make the necessary arrangements with the appropriate authorities of the United Nations, including arrangements for repayment of the loan by the Agency. Should these funds be insufficient, the 

Preparatory Commission may accept advances from Governments. Such

17.2-20
advances may be set off against the contributions of the Governments 

concerned to the Agency. 

C. Preparatory commission shall

1. Elect its own officers, adopt its own rules of procedure, meet as 

often as necessary, determine its own place of meeting and establish such 

committees as it deems necessary. 

2. Appoint an executive secretary and staff as shall be necessary, who 

shall exercise such powers and performs such duties as the Commission 

may determine; 

3. Make arrangements for the first session of the General Conference, 

including the preparation of a provisional agenda and draft rules of 

procedure, such session to be held as soon as possible after the entry into 

force of this Statute; 

4. Make designations for membership on the first Board of Governors 

in accordance with subparagraph A-1 and A-2 and paragraph B of Article 

VI; 

5. Make studies, reports, and recommendations for the first session of 

the General conference and for the first meeting of the Board of 

Governors on subjects of concern to the Agency requiring immediate 

attention, including (a) the financing of the Agency; (b) the programs and 

budget for the first year of the Agency; (c) technical problems relevant to 

advance planning of Agency operations; (d) the establishment of a 

permanent Agency staff; and (e) the location of the permanent 

headquarters of the Agency; 

6. Make recommendations for the first meeting of the Board of 

Governors concerning the provisions of a headquarters agreement 

defining the status of the Agency and the rights and obligations which 

will exist in the relationship between the Agency and the host 

Government; 

7. (a) Enter into negotiations with the United Nations with a view to 

the preparation of a draft agreement in accordance with Article XVI of 

this Statute, such draft agreement to be submitted to the first session of 

the general Conference and to the first meeting of the Board of 

Governors; and (b) make recommendations to the first session of the 

General Conference and to the first meeting of the Board of Governors 

concerning the relationship of the Agency to other international 

organizations as contemplated in article XVI of this Statute.

17.2-21
SUMMARY OF THE STATUTE OF THE INTERNATIONAL 

ATOMIC ENERGY AGENCY 

ARTICLES I AND II 

The statute upon its entry into force will establish the International 

Atomic Energy Agency, the basic objective of which is to seek to 

accelerate and enlarge the contribution of atomic energy to peace, health, 

and prosperity throughout the world without at the same time furthering 

any military purpose. 

ARTICLE III 

The functions of the Agency set forth in article III of the statute are (a) 

to encourage and assist research on, and development and practical 

application of, atomic energy for peaceful purposes throughout the world; 

(b) to make provisions for materials, services, equipment, and facilities 

needed to carry out the foregoing purposes; (c) to foster the exchange of 

scientific and technical information on, and the exchange and training of 

scientist and experts in, the peaceful uses of atomic energy; (d) to 

establish and administer safeguards to ensure that fissionable or other 

materials, services, equipment, facilities, and information with which the 

Agency deals are not uses to further any military purpose; (e) to 

participate in the establishment, adoption, and application of standards of 

safety for the protection of health and the minimization of danger to life 

and property from activities in the field of atomic energy; and (f) to 

acquire or establish any facilities, plant, and equipment useful in carrying 

out its authorized functions. 

In carrying out its functions, the Agency is required by the statute (a) 

to conduct its activities in accordance with the purposes and principals of 

the United Nations and, in particular in conformity with United Nations 

policies furthering the establishment of a safeguarded worldwide 

disarmament; (b) to control the use of such fissionable materials as are 

received by the Agency so as to ensure that they are used only for 

peaceful purposes; (c) to allocate its resources so as to secure efficient 

utilization and wide distribution of their benefits throughout the world, 

bearing in mind the special needs of the underdeveloped areas; (d) to 

submit annual reports on its activities to the General Assembly of the 

United Nations; (e) when appropriate, to submit reports and information 

to the Security Council, Economic and Social Council, and other organs 

of the United Nations; (f) to refuse to give assistance to member countries 

under political economic, military, or other conditions that are 

inconsistent with the statute; and (g) subject to the terms of any 

agreements that may be made between a state or group of states and the 

Agency, to give due observance to the sovereign rights of states. 

ARTICLE IV 

Initial members of the Agency are to be states members of the United 

Nations or of any of the specialized agencies which signed the statute 

within 90 days after it was opened for signature and which deposit 

instruments of ratification. The following 30 states signed the statute 

during the period it was open for signature: (From Oct. 26, 1956 for a 

period of 90 days.)

17.2-22
NOTE: 

While the list of 30 initial member states is not provided here, eighteen 

ratifications were required to bring the IAEA's Statute into force. By 

July 29, 1957, the States in italics-as well as the former Czechoslovakia

had ratified the Statute. By the end of 1957, the following states had 

signed the Statute: (Names of States are not necessarily their historical 

designations.)

Afghanistan 

Argentina 

Austria 

Brazil 

Canada 

Denmark 

Egypt 

Ethiopia 

Germany 

Guatemala 

Holy See 

Iceland 

Indonesia 

Italy 

Republic of Korea 

Morocco 

Netherlands 

Norway 

Paraguay 

Poland 

Romania 

South Africa 

Sri Lanka 

Switzerland 

Tunisia 

Ukraine 

United States 

Viet Nam

Albania 

Australia 

Belarus 

Bulgaria 

Cuba 

Dominican Republic 

El Salvador 

France 

Greece 

Haiti 

Hungary 

India 

Israel 

Japan 

Monaco 

Myanmar 

New Zealand 

Pakistan 

Peru 

Portugal 

Russian Federation 

Spain 

Sweden 

Thailand 

Turkey 

United Kingdom 

Venezuela 

Yugoslavia

17.2-23
INTERNATIONAL SECURITY ASSISTANCE AND ARMS EXPORT 

CONTROL ACT OF 1976 

TABLE OF CONTENTS 

PAGE 22 USC 

Sec. 

TITLE H 

Sec. 38. Control of Arms Exports and Imports ................... 2 2778 

CODIFICATION ............... 6 

AMENDMENTS ............... 6 

TITLE III 

GENERAL LIMITATIONS 

Sec. 669. Nuclear Enrichment and Reprocessing Transfers: Nuclear 

Detonations .................................... 7 2304 

Sec. 670. Nuclear Reprocessing Transfers And Nuclear Detonations .. 8 2429a

17.3-1
INTERNATIONAL SECURITY ASSISTANCE AND ARMS 

EXPORT CONTROL ACT OF 1976

Public Law 94-329

International 

Security Assistance 

and Arms Export 

Control Act of 

1976. 

22 USC 2778.

90 Stat. 729

June 30, 1976 

An Act 

To amend the Foreign Assistance Act of 1961 and the Foreign Military 

Sales Act, and for other purposes. 

Be it enacted by the Senate and House of Representatives of the 

United States of America in Congress assembled, 

That this Act may be cited as the "International Security Assistance 

and Arms Export Control Act of 1976." 

TITLE II 

Sec. 38. CONTROL OF ARMS EXPORTS AND IMPORTS 

(a) Presidential Control of Exports and Imports of Defense Articles 

and Services, Guidance of Policy, Etc.; Designation of United States 

Munitions List; Issuance of Export Licenses; Condition for Export; 

Negotiations Information 

(1) In furtherance of world peace and the security and foreign 

policy of the United States, the President is authorized to control the 

import and the export of defense articles and defense services and to 

provide foreign policy guidance to persons of the United States 

involved in the export and import of such articles and services. The 

President is authorized to designate those items which shall be 

considered as defense articles and defense services for the purposes of 

this section and to promulgate regulations for the import and export of 

such articles and services. The items so designated shall constitute the 

United States Munitions List. 

(2) Decisions on issuing export licenses under this section shall 

take into account whether the export of an article would contribute to 

an arms race, aid in the development of weapons of mass destruction, 

support international terrorism, increase the possibility of outbreak or 

escalation of conflict, or prejudice the development of bilateral or 

multilateral arms control or nonproliferation agreement or other 

arrangements. 

(3) In exercising the authorities conferred by this section, the 

President may require that any defense article or defense service be 

sold under this chapter as a condition of its eligibility for export, and 

may require that persons engaged in the negotiation for the export of 

defense articles and services keep the President fully and currently 

informed of the progress and future prospects of such negotiations. 

(b) Registration and licensing requirements for manufacturers, 

exporters, or importers of designated defense articles and defense 

services; exceptions. 

(1)(A)(i) As prescribed in regulations issued under this section, 

every person (other than an officer or employee of the united States 

Government acting in an official capacity) who engages in the 

business of manufacturing, exporting, or importing any defense

17.3-2
articles or defense services designated by the President under 

subsection (a)(1) shall register with the United States Government 

agency charged with the administration of this section, and shall pay a 

registration fee which shall be prescribed by such regulations. Such 

regulations shall prohibit the return to the United States for sale in the 

United States (other than for the Armed Forces of the United States 

and its allies or for any State or local law enforcement agency) of any 

military firearms or ammunition of United States manufacture 

furnished to foreign governments by the United States under this Act 

or any other foreign assistance or sales program of the United States, 

whether or not enhanced in value or improved in condition in a 

foreign country. This prohibition shall not extend to similar firearms 

that have been so substantially transformed as to become, in effect, 

articles of foreign manufacture. 

(1)(A)(ii)(I) As prescribed in regulations issued under this section, 

every person (other than an officer or employee of the United States 

Government acting in an official capacity) who engages in the 

business of brokering activities with respect to the manufacturing, 

export, import, or transfer of any defense article or defense service 

designated by the President under subsection (a)(1), or in the business 

of brokering activities with respect to the manufacture, export, 

import, or transfer of any foreign defense article or defense service (as 

defined in subclause (IV)), shall register with the United States 

Government agency charged with the administration of this section, 

and shall pay a registration fee which shall be prescribed by such 

regulations. 

(1)(A)(ii)(II) Such brokering activities shall include the financing, 

transportation, freight forwarding, or taking of any other action that 

facilitates the manufacture, export, or import of a defense article or 

defense service. 

(1)(A)(ii)(III) No person may engage in the business of brokering 

activities described in subclause (I) without a license, issued in 

accordance with this Act, except that no license shall be required for 

such activities undertaken by or for an agency of the United States 

Government

(aa) for use by an agency of the United States Government; or 

(bb) for carrying out any foreign assistance or sales program 

authorized by law and subject to the control of the President by 

other means. 

(1)(A)(ii)(IV) For purposes of this clause, the term" "foreign 

defense article or defense service" includes any non-United States 

defense article or defense service of a nature described on the United 

States Munitions List regardless of whether such article or service is 

of United States origin or whether such article or service contains 

United States origin components., 

(c) CRIMINAL VIOLATIONS; PUNISHMENT 

Any person who willfully violates any provision of this section or 

section 2779 of this title, or any rule or regulation issued under either 

section, or who willfully, in a registration or license application or 

required report, makes any untrue statement of a material fact or omits to 

state a material fact required to be stated therein or necessary to make the 

'As amended by P.L. 105-277, Div G, Title XII, Ch. 3, sec. 1225(a)(2), (112 Stat. 2681).

17.3-3
statements therein not misleading, shall upon conviction be fined for each 

violation not more than $1,000,000 or imprisoned not more than ten years, 

or both. 

(d) REPEALED. PUB. L. 96-70, TITLE III, § 3303(a)(4), SEPT. 27, 

1979, 93 STAT. 499. 

(e) ENFORCEMENT POWERS OF PRESIDENT. 

In carrying out functions under this section with respect to the export of defense articles and defense services, the President is authorized to 

exercise the same powers concerning violations and enforcement which 

are conferred upon departments, agencies and officials by subsections (c), 

(d), (e), and (g) of section 11 of the Export Administration Act of 1979 

[50 App. USC 24 10(c), (d), (e), and (g)], and by subsections (a) and (c) of 

section 12 of such Act [50 App. USC 2411 (a) and (c)], subject to the 

same terms and conditions as are applicable to such powers under such 

Act [50 App. USC 2401 et seq.]. Nothing in this subsection shall be 

construed as authorizing the withholding of information from the 

Congress. Notwithstanding section 11 (c) of the Export Administration 

Act of 1979, the civil penalty for each violation involving controls 

imposed on the export of defense articles and defense services under this 

section may not exceed $500,000. (g)2 IDENTIFICATION OF PERSONS CONVICTED OR SUBJECT 

TO INDICTMENT FOR VIOLATIONS OF CERTAIN PROVISION 

(1) The President shall develop appropriate mechanisms to 

identify, in connection with the export licensing process under this 

section

(A) persons who are the subject of an indictment for, or have 

been convicted of, a violation under

(i) this section, 

(ix) section 57, 92, 101, 104, 222, 224, 225, or 226 of the 

Atomic Energy Act of 1954 (42 USC 2077, 2122, 2131, 2134, 

2272, 2274, 2275, and 2276), 

(xi) section 603 (b) or (c) of the Comprehensive Anti-Apartheid Act of 1986 (22 USC 5113(b) and (c)); 

(2) The President shall require that each applicant for a license to 

export an item on the United States Munitions List identify in the 

application all consignees and freight forwarders involved in the 

proposed export. 

(3) If the President determines

(A) that an applicant for a license to export under this section 

is the subject of an indictment for a violation of any of the statutes 

cited in paragraph (1), (B) that there is reasonable cause to believe that an applicant 

for a license to export under this section has violated any of the 

statutes cited in paragraph (1), or 

(C) that an applicant for a license to export under this section 

is ineligible to contract with, or to receive a license or other form 

of authorization to import defense articles or defense services 

from, any agency of the United States Government, the President 

may disapprove the application. The President shall consider 

requests by the Secretary of the Treasury to disapprove any export license application based on these criteria. 

2

Pub. L. 99-64 substituted (g) for (f).

17.3 -4
(4) A license to export an item on the United States Munitions 

List may not be issued to a person

(A) if that person, or any party to the export, has been 

convicted of violating a statute cited in paragraph (1), or 

(B) if that person, or any party to the export, is at the time of 

the license review ineligible to receive export licenses (or other 

forms of authorization to export) from any agency of the United 

States Government, except as may be determined on a 

case-by-case basis by the President, after consultation with the 

Secretary of the Treasury, after a thorough review of the 

circumstances surrounding the conviction or ineligibility to export and a finding by the President that appropriate steps have been 

taken to mitigate any law enforcement concerns. 

(5) A license to export an item on the United States Munitions 

List may not be issued to a foreign person (other than a foreign government). 

(6) The President may require a license (or other form of 

authorization) before any item on the United States Munitions List is 

sold or otherwise transferred to the control or possession of a foreign 

person or a person acting on behalf of a foreign person. (7) The President shall, in coordination with law enforcement and 

national security agencies, develop standards for identifying high-risk exports for regular end-use verification. These standards shall be 

published in the Federal Register and the initial standards shall be 

published not later than October 1, 1988. 

(8) Upon request of the Secretary of State, the Secretary of 

Defense and the Secretary of the Treasury shall detail to the office 

primarily responsible for export licensing functions under this section, 

on a nonreimbursable basis, personnel with appropriate expertise to 

assist in the initial screening of applications for export licenses under 

this section in order to determine the need for further review of those 

applications for foreign policy, national security, and law enforcement 

concerns. 

(9) For purposes of this subsection

(A) the term "foreign corporation" means a corporation that is 

not incorporated in the United States; 

(B) the term "foreign government" includes any agency or 

subdivision of a foreign government, including an official mission 

of a foreign government; 

(C) the term "foreign person" means any person who is not a 

citizen or national of the United States or lawfully admitted to the 

United States for permanent residence under the Immigration and 

Nationality Act [8 U.S.C. 1101 et seq.], and includes foreign corporations, international organizations, and foreign 

governments; 

(D) the term "party to the export" means

(i) the president, the chief executive officer, and other 

senior officers of the license applicant; (ii) the freight forwarders or designated exporting agent of 

the license application; and 

(iii) any consignee or end user of any item to be exported; 

and

17.3-5
(E) the term "person" means a natural person as well as a 

corporation, business association, partnership, society, trust, or any 

other entity, organization, or group, including governmental 

entities.3 

22 USC 2778a. EXPORTATION OF URANIUM DEPLETED IN THE ISOTOPE 

235.

Upon finding that an export of uranium depleted in the isotope 235 is 

incorporated in defense articles or commodities solely to take advantage 

of high density or pyrophoric characteristics unrelated to its radioactivity, 

such exports shall be exempt from the provisions of the Atomic Energy 

Act of 1954 [42 USC 2011 et seq.] and of the Nuclear Non-Proliferation 

Act of 1978 [22 USC 3201 et seq.] when such exports are subject to the 

controls established under the Arms Export Control Act [22 USC 2751 et 

seq.] or the Export Administration Act of 1979 [50 App. USC 2401 et 

seq]

4 

CODIFICATION 

Section was enacted as part of the International Security and 

Development Cooperation Act of 1980, and not as part of the Arms 

Export Control Act which comprises this chapter. 

AMENDMENTS 

1987 - Subsec. (b)(1). Pub. L. 100-204, w 1255(b), designated existing 

provisions as subpar. (A) and added subpar. (B) relating to review by 

Secretary of the Treasury of munitions control registrations. 

Pub. L. 100-202 designated existing provisions as subpar. (A) and 

added subpar. (B) relating to allowance of return to United States of 

certain military firearms, etc., under certain circumstances. 

Subsec. (b) (3). Pub. L. 100-204, § 1255(c), added par. (3). 

Subsec. (g). 

1985 - Subsec. (c), Pub. L. 99-83, § 119(a), inserted "for each 

violation" before "not more" and substituted "$1,000,000" for $100,000" 

and "ten" for "two." 

Subsec. (e). Pub. L. 99-83, § 119(b), inserted provisions relating to 

civil penalty for each violation. 

1981 - Subsec. (b)(3), Pub. L. 97-113, § 106, struck out par. (3), 

which placed a $100,000,000 ceiling on commercial arms exports of 

major defense equipment to all countries other than NATO countries, 

Japan, Australia, and New Zealand. 

Subsec. (f), Pub. L. 97-113, § 107, added subsec. (f). 

1980 - Subsec. (a)(3). Pub. L. 96-533, § 107(c), added para. (3). 

3

Pub. L. 90-629, ch. 3, § 38, as added Pub. L. 94-329, title IH, §212(a) (1), June 30, 1976, 90 Stat. 744, and 

amended Pub. L. 95-92, § 20, Aug. 4, 1977, 91 Stat. 623; Pub. L. 96-70, title In, § 3303(a)(4), Sept. 27, 1979, 

93 Stat. 499; Pub. L. 96-72, § 22(a), Sept. 29, 1979, 93 Stat. 535; Pub. L. 96-92, § 21, Oct. 29, 1979, 93 Stat. 

710; Pub. L. 96-533, title I, § 107(a), (c), Dec. 16, 1980, 94 Stat. 3136; Pub. L. 97-113, title I §§ 106, 107, 

Dec. 29, 1981, 95 Stat. 1522; Pub. L. 99-64, title I, § 123(a), July 12, 1985, 99 Stat. 156; Pub. L. 99-83, title 1, 

§ 119(a), (b), Aug. 8, 1985,99 Stat. 203, 204; Pub. L. 100-202, § 101(b) [title VIII § 8142(a)], Dec. 22, 1987, 

101 Stat. 1329-43, 1329-88; Pub. L. 100-204, title XII.§ 1255, Dec. 22, 1987, 101 Stat 1429; Pub. L. 101-222 

§§ 3(a), b, Dec. 12 1989, 103 Stat. 1896, 1899.) 

4

Pub. L. 96-533, title 1, § 110, Dec. 16, 1980. 94 Stat. 3138.

17.3-6
Subsec. (b)(3). Pub. L. 96-533, § 107(a), increased the limitation in 

the sale of major defense equipment exports to $100,000,000 from 

$35,000,000. 

1979 - Subsec. (b) (3), Pub. L. 96-92 increased the limitation in the 

sale of major defense equipment exports to $35,000,000 from 

$25,000,000. 

Subsec. (d). Pub. L. 96-70 struck out subsec. (d), which provided that 

this section applies to and within the Canal Zone. 

Subsec. (e). Pub. L. 96-72 substituted "subsections (c), (d), (e), and 

(f) of section 11 of the Export Administration Act of 1979, and by subsections (a) and (c) of section 12 of such Act" for "sections 6(c), (d), (e), and (f) and 7(a) and (c) of the Export Administration Act of 1969." 

1977 - Subsec. (b)(3). Pub. L. 95-92 added provisions relating to 

exceptions to prohibitions against issuance of licenses under this section 

and procedures applicable for implementation of such exceptions. 

TITLE HI-GENERAL LIMITATIONS 

Sec. 669. NUCLEAR ENRICHMENT AND REPROCESSING 

TRANSFERS: NUCLEAR DETONATIONS 

22 USC 2304 note. Nuclear Enrichment Transfers.'-(a) Except as provided in subsection 

22 USC 2429. (b), no funds authorized to be appropriated by this Act or the Arms 

22 USC 2751 note. Export Control Act may be used for the purpose of providing economic 

Assistance, 

agreements and 

safeguards. 

5

Public Law 95-92 (91 Stat. 620) (1977) sec. 12, struck out old sec. 669 and inserted new sec. 669. Before 

amendment, old sec. 669 read as follows: 

Sec. 669. NUCLEAR TRANSFERS.-(a) Except as provided in subsection (b), no funds authorized to be 

appropriated by this Act or the Arms Export Control Act may be used for the purpose of-

(1) providing economic assistance; 

(2) providing military or security supporting assistance or military education and training; or (3) extending military credits or making guarantees; to any country which-

(A) delivers nuclear reprocessing or enrichment equipment, materials, or technology to any other country, or (B) receives such equipment, materials or technology from any other country; unless before such delivery- (i) the supplying country and receiving country have reached agreement to place all such equipment, materials, and technology, upon delivery, under multilateral auspices and management when available; and 

(ii) the recipient country has entered into an agreement with the International Atomic Energy Agency to 

place all such equipment, materials, technology, and all nuclear fuel and facilities in such country under the 

safeguards system of such Agency. 

(b) (1) Notwithstanding the provisions of subsection (a) of this section, the President may, by Executive 

Order effective not less than 30 days following its date of promulgation, furnish assistance which would 

otherwise be prohibited under paragraph (1), (2), or (3) of such subsection if he determines and certifies in 

writing to the Speaker of the House of Representatives and the Committee on Foreign Relations of the Senate 

that-

(A) the termination of such assistance would have a serious adverse effect on vital United States interests; 

and (b) he has received reliable assurances that the country in question will not acquire or develop nuclear 

weapons or assist other nations in doing so. Such certification shall set forth the reasons supporting such determination in each particular case. (2) (A) The Congress may by join resolution terminate or restrict assistance described in paragraphs (1) through (3) of subsection (a) with respect to a country to which the prohibition in such subsection applies or take any other action with respect to such assistance for such country as it deems appropriate. 

(B) Any such joint resolution with respect to a country shall, if introduced within 30 days after the 

transmittal of a certification under paragraph (1) with respect to such country, be considered in the Senate in 

accordance with the provisions of section 601(b) of the International Security Assistance and Arms Export 

Control Act of 1976.

17.3-7
assistance (including assistance under chapter 4 of part I1)6 providing 

military assistance or grant military education and training, providing 

assistance under chapter 6 of part II,7 or extending military credits or 

making guarantees, to any country which, on or after the date of 

enactment of the International Security Assistance Act of 1977, delivers 

nuclear enrichment equipment, materials, or technology to any other 

country, or receives such equipment, materials, or technology from any 

other country, unless before such delivery

(1) the supplying country and receiving country have reached 

agreement to place all such equipment, materials, or technology, upon 

delivery, under multilateral auspices and management when available; 

and 

(2) the recipient country has entered into an agreement with the 

International Atomic Energy Agency to place all such equipment, 

materials, technology, and all nuclear fuel and facilities in such 

country under the safeguards system of such Agency. 

Presidential (b) (1) Notwithstanding subsection (a) of this section, the President 

cerification may furnish assistance which would otherwise be prohibited under such 

transmittal to subsection if he determines and certifies in writing to the Speaker of the 

Speaker of the House of Representatives and the Committee on Foreign Relations of the 

House and Senate that

congressional (A) the termination of such assistance would have a serious 

committee. adverse effect on vital United States interests; and 

(B) he has received reliable assurances that the country in 

question will not acquire or develop nuclear weapons or assist 

other nations in doing so. Such certification shall set forth the 

reasons supporting such determination in each particular case. 

Joint resolution. (2) Any joint resolution which would terminate or restrict 

assistance described in subsection (a) with respect to a country to 

which the prohibition in such subsection applies shall, if introduced 

within thirty days after the transmittal of a certification under 

paragraph (1) of this subsection with respect to such country, be 

considered in the Senate in accordance with the provisions of section 

601(b) of the International Security Assistance and Arms Export 

Control Act of 1976. 

Sec. 670. Nuclear Reprocessing Transfers And Nuclear Detonations 

22 USC 2429a. -(a) Except as provided in subsection (b), no funds authorized to be 

appropriated by this Act or the Arms Export Control Act may be used for 

the purpose of providing economic assistance, (including assistance under 

chapter 4 of part II) providing military or security supporting assistance or 

grant military education and training, providing assistance under chapter 6 

of part II, or extending military credits or making guarantees, to any 

country which on or after the date of enactment of the International 

Security Assistance Act of 1977

(1) delivers nuclear reprocessing equipment, materials, or 

technology to any other country or receives such equipment, materials, 

or technology from any other country (except for the transfer of 

reprocessing technology associated with the investigation, under 

international evaluation programs in which the United States 

'Public Law 95-384 (92 Stat. 734) (1978) sec. 534(a)(4), added the words "(including assistance under 

chapter 4 of part IR)" and striking "or security supporting." 

7Public Law 95-384 (92 Stat. 734) (1978) sec. 554(3), added the words: providing assistance under 

chapter 6 of part 11.

17.3-8
Presidential 

certification, 

submitted to 

Speaker of the 

House and 

congressional 

committee. 

Joint resolution.

participates, or technologies which are alternatives to pure plutonium reprocessing); or 

(2) is not a nuclear-weapon state as defined in Article IX (3) of 

the Treaty on the Non-Proliferation of Nuclear Weapons and which 

detonates a nuclear explosive device. 

(b) (1) Notwithstanding subsection (a) of this section, the President 

may furnish assistance which would otherwise be prohibited under such 

subsection if he determines and certifies in writing to the Speaker of the 

House of Representatives and the Committee on Foreign Relations of the 

Senate that the termination of such assistance would be seriously prejudicial to the achievement of United States nonproliferation objectives or otherwise jeopardize the common defense and security. The 

President shall transmit with such certification a statement setting forth 

the specific reasons therefor. 

(2) Any joint resolution which would terminate or restrict 

assistance described in subsection (a) with respect to a country to 

which the prohibition in such subsection applies shall, if introduced 

within thirty days after the transmittal of a certification under 

paragraph (1) of this subsection with respect to such country, be 

considered in the Senate in accordance with the provisions of 

section 601(b) of the International Security Assistance and Arms 

Export Control Act of 1976.8

Approved June 30, 1976 

'Public Law 95-92 (91 Stat. 620) (1977) sec. 12, added new sec. 670.

17.3-9
INTERNATIONAL SECURITY AND DEVELOPMENT COOPERATION 

ACT OF 1980 

TABLE OF CONTENTS 

PAGE 22 USC 

Sec. 

Sec. 1. Short Title ........................................ 2 2151 

TITLE I 

MILITARY AND RELATED ASSISTANCE AND SALES PROGRAMS 

Sec. 110. Exportation of Uranium Depleted in the Isotope 235 ....... 2 2751 

17.4-1
INTERNATIONAL SECURITY AND DEVELOPMENT 

COOPERATION ACT OF 1980

Public Law 96-533

22 USC 2151 note. 

International 

Security and 

Development 

Cooperation Act of 

1980. 

22 USC 2751 note. 

22 USC 2778a. 

22 USC 3201 note. 

42 USC 2011 note.

94 Stat. 3131

December 16, 1980 

An Act 

To authorize appropriations for the fiscal year 1981 for international 

security and development assistance, the Peace Corps, and refugee 

assistance, and for other purposes. 

Be it enacted by the Senate and House of Representatives of the 

United States of America in Congress assembled, 

Sec. 1. SHORT TITLE 

This Act may be cited as the "International Security and Development 

Cooperation Act of 1980." 

TITLE I-MILITARY AND RELATED ASSISTANCE AND SALES 

PROGRAMS 

Sec. 110. EXPORTATION OF URANIUM DEPLETED IN THE 

ISOTOPE 235 

Upon a finding that an export of uranium depleted in the isotope 235 

is incorporated in defense articles or commodities solely to take advantage 

of high density or pyrophoric characteristics unrelated to its radioactivity, 

such exports shall be exempt from the provisions of the Atomic Energy 

Act of 1954 and of the Nuclear Non-Proliferation Act of 1978 when such 

exports are subject to the controls established under theArms Export 

Control Act or the Export Administration Act of 1979. 

Approved December 16, 1980

17.4-2
INTERNATIONAL SECURITY, AND DEVELOPMENT COOPERATION 

ACT OF 1981 

TABLE OF CONTENTS 

PAGE 22 USC 

Sec. 

Sec. 1. Short Title ........................................ 2 2151 

TITLE VII-MISCELLANEOUS PROVISIONS 

Sec. 735. Report on Nuclear Activities .......................... 2 2429 

Sec. 737. Prohibitions Relating to Nuclear Transfers and Nuclear 

Detonations .................................... 2 2429a 

Sec. 670. Nuclear Reprocessing Transfers, Transfers of Nuclear 

Explosive Devices, and Nuclear Detonations ......... 3 2151

17.5-1
INTERNATIONAL SECURITY, AND DEVELOPMENT 

COOPERATION ACT OF 1981

Public Law 97-113 95 Stat. 1519

December 29, 1981 

An Act 

To authorize appropriations for the fiscal years 1982 and 1983 for 

international security and development assistance and for the Peace 

Corps, to establish the Peace Corps as an autonomous agency, and for 

other purposes. 

Be it enacted by the Senate and House of Representatives of the 

United States of America in Congress assembled,

22 USC 2151 note. 

International 

Security and 

Development 

Cooperation Act of 

1981. 

22 USC 2429a-1. 

Report to Congress. 

22 USC 2429. 

22 USC 2429a. 

22 USC 2429a 

note. 

22 USC 2429.

Sec. 1. SHORT TITLE 

This Act may be cited as the "International Security and Development 

Cooperation Act of 1981. 

TITLE VH-MISCELLANEOUS PROVISIONS 

Sec. 735. REPORT ON NUCLEAR ACTIVITIES 

Beginning with the fiscal year 1983 and for each fiscal year thereafter, 

the President shall prepare and transmit to the Congress, as part of the 

presentation materials for foreign assistance programs proposed for that 

fiscal year, a classified report describing the nuclear programs and related 

activities of any country for which a waiver of section 669 or 670 of the 

Foreign Assistance Act of 1961 is in effect, including an assessment of

(1) the extent and effectiveness of International Atomic Energy 

Agency safeguards at that country's nuclear facilities; and 

(2) the capability, actions, and intentions of the government of 

that country with respect to the manufacture or acquisition of a nuclear 

explosive device. 

Sec. 737. PROHIBITIONS RELATING TO NUCLEAR 

TRANSFERS AND NUCLEAR DETONATIONS 

(a) The Congress finds that any transfer of a nuclear explosive device 

to a non-nuclear-weapon state or, in the case of a non-nuclear-weapon 

state, any receipt or detonation of a nuclear explosive device would cause 

grave damage to bilateral relations between the United States and that 

country. 

(b) Section 669(b)(2) of the Foreign Assistance Act of 1961 is 

amended to read as follows: 

(2)(A) A certification under paragraph (1) of this subsection shall 

take effect on the date on which the certification is received by the 

Congress. However, if, within thirty calendar days after receiving this 

certification, the Congress adopts a concurrent resolution stating in 

substance that the Congress disapproves the furnishing of assistance 

pursuant to the certification, then upon the adoption of that resolution 

the certification shall cease to be effective and all deliveries of 

assistance furnished under the authority of that certification shall be 

suspended immediately.

17.5-2
90 Stat. 765. 

22 USC 2429a. 

22 USC 2151 note. 

22 USC 2346. 

22 USC 2348. 

22 USC 2751 note. 

22 USC 2751 note. 

Transmittal of 

certification to 

Congress. 

Congressional 

disapproval. 

90 Stat. 765.

(B) Any concurrent resolution under this paragraph shall be 

considered in the Senate in accordance with the provisions of 

section 601(b) of the International Security Assistance and Arms 

Export Control Act of 1976. 

(C) For the purpose of expediting the consideration and 

adoption of concurrent resolutions under this paragraph, a motion 

to proceed to the consideration of any such resolution after it has 

been reported by the appropriate committee shall be treated as 

highly privileged in the House of Representatives. (c) Section 670 of such Act is amended to read as follows: 

Sec. 670. Nuclear Reprocessing Transfers, Transfers Of Nuclear 

Explosive Devices, And Nuclear Detonations 

(a)(1) Except as provided in paragraph (2) of this subsection, no 

funds authorized to be appropriated by this Act or the Arms Export Control Act may be used for the purpose of providing economic 

assistance (including assistance under chapter 4 of part II), providing military assistance or grant military education and training, providing assistance under chapter 6 of part II, or extending military credits or 

making guarantees, to any country which on or after the date of enactment 

of the International Security Assistance Act of 1977 delivers nuclear 

reprocessing equipment, materials, or technology to any other country or 

receives such equipment, materials, or technology from any other country (except for the transfer of reprocessing technology associated with the 

investigation, under international evaluation programs in which the 

United States participates, of technologies which are alternatives to pure plutonium reprocessing). 

(2) Notwithstanding paragraph (1) of this subsection, the 

President may furnish assistance which would otherwise be prohibited under that paragraph if he determines and certifies in writing to the 

Speaker of the House of Representatives and the Committee on 

Foreign Relations of the Senate that the termination of such assistance 

would be seriously prejudicial to the achievement of United States 

nonproliferation objectives or otherwise jeopardize the common 

defense and security. The President shall transmit with such 

certification a statement setting forth the specific reasons therefor. 

(3)(A) A certification under paragraph (2) of this subsection shall 

take effect on the date on which the certification is received by the 

Congress. However, if, within 30 calendar days after receiving this 

certification, the Congress adopts a concurrent resolution stating in 

substance that the Congress disapproves the furnishing of assistance 

pursuant to the certification, then upon the adoption of that resolution 

the certification shall cease to be effective and all deliveries of 

assistance furnished under the authority of that certification shall be 

suspended immediately. 

(B) Any concurrent resolution under this paragraph shall be 

considered in the Senate in accordance with the provisions of 

section 601(b) of the International Security Assistance and Arms 

Export Control Act of 1976. 

(C) For the purpose of expediting the consideration and 

adoption of concurrent resolutions under this paragraph, a motion 

to proceed to the consideration of any such resolution after it has 

been reported by the appropriate committee shall be treated as 

highly privileged in the House of Representatives.

17.5-3
22 USC 2346. 

22 USC 2458. 

22 USC 2751 note. 

22 USC 2151 note. 

Transmittal of 

certification to 

Congress. 

Joint resolution. 

22 USC 2429a. 

Transmittal of 

certification to 

Congress.

(b)(1) Except as provided in paragraphs (2) and (3) of this subsection, 

no funds authorized to be appropriated by this Act or the Arms Export 

Control Act may be used for the purpose of providing economic 

assistance (including assistance under chapter 4 of part II), providing 

military assistance or grant military education and training, providing 

assistance under chapter 6 of part II, or extending military credits or 

making guarantees, to any country which on or after the date of enactment 

of the International Security Assistance Act of 1977

(A) transfers a nuclear explosive device to a 

non-nuclear-weapon state, or 

(B) is a non-nuclear-weapon state and either

(i) receives a nuclear explosive device, or 

(ii) detonates a nuclear explosive device. 

(2)(A) Notwithstanding paragraph (1) of this subsection, the 

President may, for a period of not more than 30 days of continuous 

session, furnish assistance which would otherwise be prohibited under 

paragraph (1) of this subsection if, before furnishing such assistance, 

the President transmits to the Speaker of the House of 

Representatives, and to the chairman of the Committee on Foreign 

Relations of the Senate, a certification that he has determined that an 

immediate termination of assistance to that country would be 

detrimental to the national security of the United States. Not more than 

one such certification may be transmitted for a country with respect to 

the same detonation, transfer, or receipt of a nuclear explosive device. 

(B) If the President transmits a certification to the Congress 

under subparagraph (A), a joint resolution which would permit the 

President to exercise the waiver authority of paragraph (3) of this 

subsection shall, if introduced in either House within thirty days of 

continuous session after the Congress receives this certification, be 

considered in the Senate and House of Representatives in 

accordance with subparagraphs (C) and (D) of this paragraph. 

(C) Any joint resolution under this paragraph shall be 

considered in the Senate in accordance with the provisions of 

section 601(b) of the International Security Assistance and Arms 

Export Control Act of 1976. 

(D) For the purpose of expediting the consideration and 

adoption of joint resolutions under this paragraph, a motion to 

proceed to the consideration of such a joint resolution after it has 

been reported by the appropriate committee shall be treated as 

highly privileged in the House of Representatives. 

(E) For purposes of this paragraph, the term "joint resolution" 

means a joint resolution the matter after the resolving clause of 

which is as follows: "That the Congress having received on a 

certification by the President under section 670(b)(2) of the 

Foreign Assistance Act of 1961 with respect to __ , the 

Congress hereby authorizes the President to exercise the waiver 

authority contained in section 670(b)(3) of that Act," with the date 

of receipt of the certification inserted in the first blank and the 

name of the country inserted in the second blank. 

(3) Notwithstanding paragraph (1) of this subsection, if the 

Congress enacts a joint resolution under paragraph (2) of this 

subsection, the President may furnish assistance which would 

otherwise be prohibited under paragraph (1) if he determines and

17.5-4
Non-nuclear 

weapon State. 

See 21 UST 483.

certifies in writing to the Speaker of the House of Representatives and 

the Committee on Foreign Relations of the Senate that the termination 

of such assistance would be seriously prejudicial to the achievement 

of United States nonproliferation objectives or otherwise jeopardize the common defense and security. The President shall transmit with 

such certification a statement setting forth the specific reasons 

therefor. 

(4) For purposes of this subsection, continuity of session is 

broken only by an adjournment of Congress sine die and the days on 

which either House is not in session because of an adjournment of 

more than three days to a day certain are excluded in the computation of any period of time in which Congress is in continuous session. 

(5) As used in this subsection, the term "non-nuclear-weapon state" means any country which is not a nuclear-weapon state, as 

defined in article IX(3) of the Treaty on the Non-Proliferation of 

Nuclear Weapons.

Approved December 29, 1981

17.5-5
CONVENTION ON THE PHYSICAL PROTECTION OF NUCLEAR 

MATERIAL IMPLEMENTATION ACT OF 1982 

TABLE OF CONTENTS 

PAGE 18 USC 

Sec. 

Sec. 1. Short Title ................. 2 831 

Sec. 2. Implementation of Convention and Prohibition of Related 

Offenses ....................................... 2 831 

Sec. 3. Amendment to Definition of International Organizations Used 

in Defining Offenses Against Internationally Protected 

Persons ........................................ 5

17.6-1
CONVENTION ON THE PHYSICAL PROTECTION OF 

NUCLEAR MATERIAL IMPLEMENTATION ACT OF 1982

Public Law 97-351 96 Stat. 1663

October 18, 1982 

An Act 

To amend title 18 of the United States Code to implement the Convention 

on the Physical Protection of Nuclear Material, and for other 

purposes. 

Be it enacted by the Senate and House of Representatives of the 

United States of America in Congress assembled, 

Section 1. SHORT TITLE 

18 USC 831 note. This Act may be cited as the "Convention on the Physical Protection 

Convention on the of Nuclear Material Implementation Act of 1982." 

Physical Protection Sec. 2. IMPLEMENTATION OF CONVENTION AND 

of Nuclear Material PROHIBITION OF RELATED OFFENSES 

Implementation Act (a) Chapter 39 of title 18 of the United States Code is amended by 

of 1982. inserting after the table of sections at the beginning of such chapter the 

following new section: 

§831. Prohibited transactions involving nuclear materials 

18 USC 831. (a) Whoever, if one of the circumstances described in subsection (c) 

of this section occurs

(1) without lawful authority, intentionally receives, possesses, 

uses, transfers, alters, disposes of, ordisperses any nuclear material 

and

(A) thereby knowingly causes the death of or serious bodily 

injury to any person or substantial damage to property; or 

(B) knows that circumstances exist which are likely to cause 

the death of or serious bodily injury to any person or substantial 

damage to property; 

(2) with intent to deprive another of nuclear material, knowingly

(A) takes and carries away nuclear material of another without 

authority; 

(B) makes an unauthorized uses, disposition, or transfer, of 

nuclear material belonging to another; or 

(C) uses fraud and thereby obtains nuclear material belonging 

to another; 

(3) knowingly

(A) uses force; or 

(B) threatens or places another in fear that any person other 

than the actor will imminently be subject to bodily injury; 

and thereby takes nuclear material belonging to another from the person 

or presence of any other; 

(4) intentionally intimidates any person and thereby obtains 

nuclear material belonging to another; 

(5) with intent to compel any person, international organization, or 

governmental entity to do or refrain from doing any act, knowingly 

threatens to engage in conduct described in paragraph (2)(A) or (3) of 

this subsection;

17.6-2
96 Stat. 1664.

17.6-3

(6) knowingly threatens to use nuclear material to cause death or 

serious bodily injury to any person or substantial damage to property under circumstances in which the threat may reasonably be understood 

as an expression of serious purposes; 

(7) attempts to commit an offense under paragraph (1), (2), (3), or 

(4) of this subsection; or 

(8) is a party to a conspiracy of two of more persons to commit an 

offense under paragraph (1), (2), (3), or (4) of this subsection, if any 

of the parties intentionally engages in any conduct in furtherance of 

such offense; 

shall be punished as provided in subsection (b) of this section. 

(b) The punishment for an offense under

(1) paragraphs (1) through (7) of subsection (a) of this section is

(A) a fine of not more than $250,000; and 

(B) imprisonment

(i) for any term of years or for life 

(I) if, while committing the offense, the offender 

knowingly causes the death of any person; or 

(II) if, while committing an offense under 

paragraph (1) or (3) of subsection (a) of this section, the 

offender, under circumstances manifesting extreme 

indifference to the life of an individual, knowingly 

engages in any conduct and thereby recklessly causes 

the death of or serious body injury to any person; and 

(ii) for not more than 20 years in any other case; and 

(2) paragraph (8) of subsection (a) of this section is

(A) a fine of not more than $250,000; and 

(B) imprisonment

(i) for not more than 20 years if the offense which is the 

object of the conspiracy is punishable under paragraph 

(1)(B)(i); and 

(ii) for not more than 10 years in any other case. 

(c) The circumstances referred to in subsection (a) of this section are 

that

(1) the offense is committed in the United States or the special 

maritime and territorial jurisdiction of the United States, or the special aircraft jurisdiction of the United States (as defined in section 101 of 

the Federal Aviation Act of 1958 (49 USC 1301); 

(2) the defendant is a national of the United States, as defined in 

section 101 of the Immigration and Nationality Act (8 USCI 101); 

(3) at the time of the offense the nuclear material is in use, storage, 

or transport, for peaceful purposes, and after the conduct required for 

the offense occurs the defendant is found in the United States, even if 

the conduct required for the offense occurs outside the United States; 

or 

(4) the conduct required for the offense occurs with respect to the 

carriage of a consignment of nuclear material for peaceful purposes by 

any means of transportation intended to go beyond the territory of the 

state where the shipment originates beginning with the departure from 

a facility of the shipper in that state and ending with the arrival at a 

facility of the receiver within the state of ultimate destination and 

either of such states is the United States.

96 Stat. 1665.
10 USC 371 et seq. 

18 USC 1385. 

Emergency 

situation. 

Definitions. 

96 Stat. 1666.

(d) The Attorney General may request assistance from the Secretary of 

Defense under chapter 18 of title 10 in the enforcement of this section and 

the Secretary of Defense may provide such assistance in accordance with 

chapter 18 of title 10, except that the Secretary of Defense may provide 

such assistance through any Department of Defense personnel. 

(e)(1) The Attorney General may also request assistance from the 

Secretary of Defense under this subsection in the enforcement of this 

section. Notwithstanding section 1385 of this title, the Secretary of 

Defense may, in accordance with other applicable law, provide such 

assistance to the Attorney General if

(A) an emergency situation exists (as jointly determined by the 

Attorney General and the Secretary of Defense in their discretion); 

and 

l(B) the provision of such assistance will not adversely affect 

the military preparedness of the United States (as determined by 

the Secretary of Defense in such Secretary's discretion). 

(3) As used in this subsection, the term "emergency situation" 

means a circumstance

(A) that poses a serious threat to the interests of the United 

States; and 

(B) in which

S(i) enforcement of the law would be seriously impaired if 

the assistance were not provided; and 

(ii) civilian law enforcements personnel are not capable of 

enforcing the law. 

(4) Assistance under this section may include

(A) use of personnel of the Department of Defense to arrest 

persons and conduct searches and seizures with respect to 

violations of this section; and 

(B) such other activity as is incidental to the enforcement of 

this section, or to the protection of persons or property from 

conduct that violates this section. 

(5) The Secretary of Defense may require reimbursement as a 

condition of assistance under this section. 

(6) The Attorney General may delegate the Attorney General's 

function under this subsection only to a Deputy, Associate, or 

Assistant Attorney General. 

(f) As used in this section

(1) the term "nuclear material" means material containing any

(A) plutonium with an isotopic concentration not in excess of 

80 percent plutonium 238; 

(B) uranium not in the form of ore or ore residue that contains 

the mixture of isotopes as occurring in nature; 

(C) uranium that contains the isotope 233 or 235 or both in 

such amount that the abundance ratio of the sum of those isotopes 

to the isotope 238 is greater than the ratio of the isotope 235 to the 

isotope 238 occurring in nature; or 

(D) uranium 233; 

(2) the term "international organization" means a public 

international organization designated as such pursuant to section 1 of 

the International Organizations Immunities Act(22 USC 288) or a 

public organization created pursuant to treaty or other agreement 

under international law as an instrument through or by which two or

17.6-4
more foreign governments engage in some aspect of their conduct of international affairs; 

(3) the term "serious bodily injury" means bodily injury which 

involves

(A) a substantial risk of death; 

(B) extreme physical pain; 

(C) protracted and obvious disfigurement; or 

(D) protracted loss or impairment of the function of bodily member, organ, or mental faculty; and 

(4) the term "bodily injury" means

(A) a cut, abrasion, bruise, burn, or disfigurement; (B) physical pain; 

(C) illness; 

(D) impairment of a function of a bodily member, organ, or mental faculty; or 

(E) any other injury to the body, no matter how temporary. (b) The table of sections for chapter 39 of title 18 of the United States Code is amended by striking out the items relating to sections 831 through 835 and inserting in lieu thereof the following: 831. Prohibited transactions involving nuclear materials. Sec. 3. AMENDMENT TO DEFINITION OF INTERNATIONAL ORGANIZATIONS USED IN DEFINING OFFENSES AGAINST INTERNATIONALLY PROTECTED PERSONS 

Section 11 16(b)(5) of title 18 of the United States Code is amended by inserting before the period the following: or a public organization created pursuant to treaty or other agreement under international law as an instrument through or by which two or more foreign governments engage in some aspect of their conduct of international affairs. 

Approved October 18, 1982

17.6-5

MISCELLANEOUS 

TABLE OF CONTENTS 

Section 

Non-Proliferation Treaty ............................................. 18.1 

Convention on the Physical Protection of Nuclear Material ................ 18.2 

Convention on Early Notification of a Nuclear Accident ................... 18.3 

Convention on Nuclear Safety ........................................ 18.4 

Convention on Assistance in the Case of a Nuclear Accident or 

Radiological Emergency .......................................... 18.5 

Additional Protocol I to the Treaty for the Prohibition of Nuclear Weapons 

in Latin Am erica ................................................. 18.6 

Agreement Between the United States of America and 

The International Atomic Energy Agency for the Application of 

Safeguards in the United States of America .......................... 18.7 

Additional Protocols to IAEA Safeguards Agreement ..................... 18.8 

IAEA Supply Agreements ............................................ 18.9 

United States List of Agreements for Peaceful Nuclear Cooperation ........ 18.10 

Agreements for Cooperation in the Use of Atomic Energy ................ 18.11 

Convention on the Prevention of Marine Pollution by Dumping of 

Wastes and Other Matters, with Annexes ........................... 18.12 

Executive Orders and Presidential Statements Concerning 

International Atomic Energy Cooperation .......................... 18.13

18.0-1
NON-PROLIFERATION TREATY 

TABLE OF CONTENTS 

Page 

Treaty on the Non-Proliferation of Nuclear Weapons ............... 2 

Table Signature, Ratification, Acceptance, Approval or Accession by 

States or Organizations ................................... 6

18.1-1
NON-PROLIFERATION TREATY

Treaty on the Non-Proliferation of Nuclear Weapons 

The States concluding this Treaty, hereinafter referred to as the "Parties to the Treaty", Considering the devastation that would be visited upon all mankind by a nuclear war 

and the consequent need to make every effort to avert the danger of such a war and to 

take measurements to safeguard the security of peoples, Believing that the proliferation of nuclear weapons would seriously enhance the 

danger of nuclear war, 

In conformity with resolutions of the United Nations General Assembly calling for 

the conclusion of an agreement on the prevention of wider dissemination of nuclear 

weapons, Undertaking to cooperate in facilitating the application of International Atomic 

Energy Agency safeguards on peaceful nuclear activities. 

Expressing their support for research, development and other efforts to further the 

application, within the framework of the International Atomic Energy Agency safeguards 

system, of the principle of safeguarding effectively the flow of source and special fissionable materials by use of instruments and other techniques at certain strategic points, 

Affirming the principle that the benefits of peaceful applications of nuclear 

technology, including any technological by-products which may be derived by nuclear-weapon States from the development of nuclear explosive devices, should be 

available for peaceful purposes to all Parties to the Treaty, whether nuclear-weapon or 

non-nuclear-weapon States, 

Convinced that, in furtherance of this principle, all Parties to the Treaty are entitled to 

participate in the fullest possible exchange of scientific information for, and to contribute 

alone or in cooperation with other States, to the further development of the applications of atomic energy for peaceful purposes, Declaring their intention to achieve at the earliest possible date the cessation of the 

nuclear arms race and to undertake effective measures in the direction of nuclear 

disarmament, 

Urging the cooperation of all States in the attainment of this objective, Recalling the determination expressed by the Parties to the 1963 Treaty banning nuclear weapon tests in the atmosphere in outer space and under water in its Preamble to 

seek to achieve the discontinuance of all test explosions of nuclear weapons for all time 

and to continue negotiations to this end, Desiring to further the easing of international tension and the strengthening of trust 

between States in order to facilitate the cessation of the manufacture of nuclear weapons, the liquidation of all their existing stockpiles, and the elimination from national arsenals 

of nuclear weapons and the means of their delivery pursuant to a treaty on general and 

complete disarmament under strict and effective international control, 

Recalling that, in accordance with the Charter of the United Nations, States must 

refrain in their international relations from the threat or use of force against the territorial 

integrity or political independence of any State, or in any other manner inconsistent with 

the Purposes of the United Nations, and that the establishment and maintenance of 

international peace and security are to be promoted with the least diversion for 

armaments of the world's human and economic resources, 

Have agreed as follows: 

ARTICLE I 

Each nuclear-weapon State Party to the Treaty undertakes not to transfer to any recipient whatsoever nuclear weapons or other nuclear explosive devices or control over 

18.1-2
such weapons or explosive devices directly, or indirectly; and not in any way to assist, 

encourage, or induce any non-nuclear-weapon State to manufacture or otherwise acquire nuclear weapons or other nuclear explosive devices, or control over such weapons or 

explosive devices. 

ARTICLE II 

Each non-nuclear weapon State Party to the Treaty undertakes not to receive the 

transfer from any transferor whatsoever of nuclear weapons or other nuclear explosive 

devices or of control over such weapons or explosive devices directly, or indirectly; not 

to manufacture or otherwise acquire nuclear weapons or other nuclear explosive devices; 

and not to seek or receive any assistance in the manufacture of nuclear weapons or other 

nuclear explosive devices. 

ARTICLE III 

1. Each non-nuclear-weapon State Party to the Treaty undertakes to accept 

safeguards, as set forth in an agrezment to be negotiated and concluded with the 

International Atomic Energy Agency in accordance with the Statute of the International 

Atomic Energy Agency and the Agency's safeguards system, for the exclusive purpose 

of verification of the fulfillment of its obligations assumed under this Treaty with a view 

to preventing diversion of nuclear energy from peaceful uses to nuclear weapons or other 

nuclear explosive devices. Procedures for the safeguards required by this article shall be 

followed with respect to source or special fissionable material whether it is being produced, processed or used in any principal nuclear facility or is outside any such 

facility. The safeguards required by this article shall be applied on all source or special fissionable material in all peaceful nuclear activities within the territory of such State, 

under its jurisdiction, or carried out under its control anywhere. 

2. Each State Party to the Treaty undertakes not to provide: (a) source or special 

fissionable material, or (b) equipment or material especially designed or prepared for the 

processing, use or production of special fissionable material, to any non-nuclear-weapon 

State for peaceful purposes, unless the source or special fissionable material shall be 

subject to the safeguards required by this article. 

3. The safeguards required by this article shall be implemented in a manner designed 

to comply with article IV of this Treaty, and to avoid hampering the economic or 

technological development of the Parties or international cooperation in the field of 

peaceful nuclear activities, including the international exchange of nuclear material and 

equipment for the processing, use or production of nuclear material for peaceful purposes in accordance with the provisions of this article and the principle of safeguarding set 

forth in the Preamble of the Treaty. 

4. Non-nuclear-weapon States Party to the Treaty shall conclude agreements with the 

International Atomic Energy Agency to meet the requirements of this article either 

individually or together with other States in accordance with the Statute of International 

Atomic Energy Agency. Negotiation of such agreements shall commence within 180 

days from the original entry into force of this Treaty. For States depositing their 

instruments of ratification or accession after the 180-day period, negotiation of such 

agreements shall commence not later than the date of such deposit. Such agreements shall 

enter into force not later than eighteen months after the date of initiation of negotiations. 

ARTICLE IV 

1. Nothing in this Treaty shall be interpreted as affecting the inalienable right of all 

the Parties to the Treaty to develop research, production and use of nuclear energy for 

peaceful purposes without discrimination and in conformity with articles I and II of this

18.1-3
Treaty. 2. All the Parties to the Treaty undertake to facilitate, and have the right to 

participate in, the fullest possible exchange of equipment, materials and scientific and 

technological information for the peaceful uses of nuclear energy. Parties to the Treaty in 

a position to do so shall also cooperate in contributing alone or together with other States 

or international organizations to the further development of the applications of nuclear 

energy for peaceful purposes, especially in the territories of non-nuclear- weapon States 

Party to the Treaty, with due consideration for the needs of the developing areas of the 

world. 

ARTICLE V 

Each Party to the Treaty undertakes to take appropriate measures to ensure that, in 

accordance with this Treaty, under appropriate international observation and through 

appropriate international procedures, potential benefits from any peaceful applications of 

nuclear explosions will be made available to non-nuclear-weapon States Party to the 

Treaty on a non-discriminatory basis and that the charge to such Parties for the explosive 

devices used will be as low as possible and exclude any charge for research and 

development. Non-nuclear-weapon States Party to the Treaty shall be able to obtain such 

benefits, pursuant to a special international agreement or agreements, through an 

appropriate international body with adequate representation of non-nuclear-weapon 

States. Negotiations on this subject shall commence as soon as possible after the Treaty 

enters into force. Non-nuclear-weapon States Party to the Treaty so desiring may also 

obtain such benefits pursuant to bilateral agreements. 

ARTICLE VI 

Each of the Parties to the Treaty undertakes to pursue negotiations in good faith on 

effective measures relating to cessation of the nuclear arms race at an early date and to 

nuclear disarmament, and on a treaty on general and compete disarmament under strict 

and effective international control. 

ARTICLE VII 

Nothing in this Treaty affects the right of any group of States to conclude regional 

treaties in order to assure the total absence of nuclear weapons in their respective 

territories. 

ARTICLE VIII 

1. Any Party to the Treaty may propose amendments to this Treaty. The text of any 

proposed amendment shall be submitted to the Depositary Governments which shall 

circulate it to all Parties to the Treaty. Thereupon, if requested to do so by one-third or 

moie of the Parties to the Treaty, the Depositary Governments shall convene a 

conference, to which they shall invite all the Parties to the Treaty, to consider such an 

amendment. 

2. Any amendment to this Treaty must be approved by a majority of the votes of all 

the Parties to the Treaty, including the votes of all nuclear-weapon States Party to the 

Treaty and all other Parties which, on the date the amendment is circulated, are members 

of the Board of Governors of the International Atomic Energy Agency. The amendment 

shall enter into force for each Party that deposits its instrument of ratification of the 

amendment upon the deposit of such instruments of ratification by a majority of all the 

Parties, including the instruments of ratification of all nuclear-weapon States Party to the 

Treaty and all other Parties which, on the date the amendment is circulated, are members 

of the Board of Governors of the International Atomic Energy Agency. Thereafter, it

18.1-4
shall enter into force for any other Party upon the deposit of its instrument of ratification 

of the amendment. 

3. Five years after the entry into force of this Treaty, a conference of Parties to the 

Treaty shall be held in Geneva, Switzerland, in order to review the operation of this 

Treaty with a view to assuring that the purposes of the Preamble and the provisions of the 

Treaty are being realized. At intervals of five years thereafter, a majority of the Parties to 

the Treaty may obtain, by submitting a proposal to this effect to the Depositary 

Governments, the convening of further conferences with the same objective of reviewing 

the operation of the Treaty. 

ARTICLE IX 

1. This Treaty shall be open to all States for signature. Any State which does not sign 

the Treaty before its entry into force in accordance with paragraph 3 of this article may 

accede to it at any time. 

2. This Treaty shall be subject to ratification by signatory States. Instruments of 

ratification and instruments of accession shall be deposited with the Governments of the 

United States of America, the United Kingdom of Great Britain and Northern Ireland and 

the Union of Soviet Socialist Republics, which are hereby designated the Depositary 

Governments. 

3. This Treaty shall enter into force after its ratification by the States, the 

Governments of which are designated Depositaries of the Treaty, and forty other States 

signatory to this Treaty and the deposit of their instruments of ratification. For the 

purposes of this Treaty, a nuclear-weapon State is one which has manufactured and 

exploded a nuclear weapon or other nuclear explosive device prior to January 1, 1967. 

4. For States whose instruments of ratification of accession are deposited subsequent 

to the entry into force of this Treaty, it shall enter into force on the date of the deposit of 

their instruments of ratification or accession. 

5. The Depositary Governments shall promptly inform all signatory and acceding 

States of the date of each signature, the date of deposit of each instrument of ratification 

or of accession, the date of the entry into force of this Treaty, and the date of receipt of 

any requests for convening a conference or other notices. 

6. This Treaty shall be registered by the Depositary Governments pursuant to article 

102 of the Charter of the United Nations. 

ARTICLE X 

1. Each Party shall in exercising its national sovereignty have the right to withdraw 

from the Treaty if it decides that extraordinary events, related to the subject matter of this 

Treaty, have jeopardized the supreme interests of its country. It shall give notice of such 

withdrawal to all other Parties to the Treaty and to the United National Security Council 

three months in advance. Such notice shall include a statement of the extraordinary 

events it regards as having jeopardized its supreme interests. 

2. Twenty-five years after the entry into force of the Treaty, a conference shall be 

convened to decide whether the Treaty shall continue to force indefinitely, or shall be 

extended for an additional fixed period or periods. This decision shall be taken by a 

majority of the Parties to the Treaty. 

ARTICLE XI 

This Treaty, the English, Russian, French, Spanish and Chinese texts of which are 

equally authentic, shall be deposited in the archives of the Depositary Governments. 

Duly certified copies of this Treaty shall be transmitted by the Depositary Governments 

to the Governments of the signatory and acceding States.

18.1-5
IN WITNESS WHEREOF the undersigned, duly authorized, have signed this Treaty. 

DONE in triplicate, at the cities of Washington, London and Moscow, this first day 

of July one thousand nine hundred sixty-eight. 

Signature, Ratification, Acceptance, Approval or Accession by States or 

Organizations 

Date ot 

Date of Deposit of 

Date of Deposit of Accession (A) or 

Country Signature Ratification .Successions (S) 

Afghanistan* ........................ 7/1/68 ......... 2/4/70 ......... Albania** .................................... 9/12/90(A) 

Algeria ............... . . . .............. 1/12/95(A) 

A ndorra .................................................... 6/07/96(A ) 

Angola .................. ............. 10/14/96(A) 

Antigua and Barbuda .......................................... 6/17/85(S) 

Argentina ............................................... 2/10/95(A) 

Armenia ................... ......... I .7/15/93(A) 

Australia* .......................... 2/27/70 ........ 1/23/73 .............. A ustria* ...... ; ..................... 7/1/68 ........ 6/27/69 .............. 

Azerbaijan ...................... ........................ 9/22/92(A) 

Bahamas, The ................................................ 8/11/76(S) 

Bahrain ..................................... 11/3/88(A) 

Bangladesh* ................ 8/31/79(A) Barbados ........................... 7/1/68 ........ 2/21/80 ......... 

Belarus ..................................................... 7/22/93(A ) 

Belgium * .......................... 8/20/68.......... 5/2/75 .............. Belize .......................................... ......... 8/9/85(S) 

Benin ............................ 7/1/68...,.,... 10/31/72......... 

Bhutan* ............................. ............ ......... 5/23/85(A) 

Bolivia ........................ 7/1/68 ........ 5/26/70 .............. Bosnia and Herzegovina ....................................... 8/15/94(S) 

Botswana ........................... 7/1/68 ........ 4/28/69 .............. 

Brazil ...................................................... 9/18/98(A ) 

Brunei* ..................................................... 3/26/85(A ) 

Bulgaria* ......................... 7/1/68 ........ 9/5/69 ............ 

Burkina Faso ..................... 11/25/68 ........ 3/3/70 ......... Burundi ......................................... .............. 3/19/71 (A ) 

Cambodia .................................... ............... 6/2/72(A) 

Cameroon ........................... 7/17/68 ......... 1/8/69 .............. 

Canada* ........................... 7/23/68 ......... 1/8/69 ............ Cape Verde ............................................ ..... 10/24/79(A) 

Central African Republic ...................................... 10/25/70(A) 

Chad ............................... 7/1/68 ........ 3/10/71 .............. Chile ....................................................... 5/25/95(A ) 

China ................................................... 3/9/92(A) 

Colombia** ......................... 7/1/68 ........ 4/8/86 ............ 

Com oros .................................................... 10/4/95(A) 

Congo ..................................................... 10/23/78(A ) 

Costa Rica* ......................... 7/1/68 ........ 3/3/70 ............. Cote d'Ivoire* ....................... 7/1/68 ......... 3/6/73 .............. Croatia ............................... ......... .............. 6/29/92(S) 

18.1-6
Date of 

Date of Deposit of 

Date of Deposit of Accession (A) or 

Country Signature Ratification Successions (S) 

Cyprus* .......................... 7/1/68 ........ 2/10/70 .............. 

Czech Republic ......................... 1/1/93(S) 

Denmark* ............................ 7/1/68 1/3/69.... 

Djibouti ................................................... 10/i 6/96(A ) 

Dominica ............................................... 8/10/84(S) 

Dominican Republic* .................. 7/1/68.......7/24/71............ 

Ecuador* .................... ..... 7/9/68 ........ 3/7/69 .............. 

Egypt* ........................... 7/1/68 ...... 2/26/81' ............ 

El Salvador* ....................... 7/1/68 ........ 7/11/72 .............. 

Equatorial Guinea ............................................ 11/1/84(A) 

Eritrea ....................................................... 3/3/95(A ) 

Estonia ......................................... ........ 1/7/92(A) 

Ethiopia* ........................... 9/5/682........ 

Fiji* ................................................... 7/14/72(S) 

Finland* .......................... 7/1/68 ......... 2/5/69 .............. 

Former Yugoslav Republic of 

M acedonia .................................................. 4/12/95(A) 

France ....................................................... 8/3/92(A ) 

Gabon ................................................. 2/19/74(A) 

Gambia*, The ........................ 9/4/68 5 . ......... 

Georgia ........................................... ..... ...... 3/7/94(A ) 

Germany*, Fed. Republic of .......... 11/28/69 ...... 5/2/75 1.2................ 

G hana* ............................. 7/1/68 ......... 5/4/70 .............. 

Greece* .......................... 7/1/68 ....... 3/11/70 ............ 

Grenada ................................................. 9/2/75(S) 

Guatemala* ........................ 7/26/68 ......... 

G uinea ..................................................... 4/29/85(A ) 

Guinea-Bissau ............................................... 8/20/76(S) 

G uyana .................................................... 10/19/93(A ) 

H aiti ............................... 7/1/68 ......... 6/2/70 .............. H oly See* .................................................. 2/25/71(A )' 

Honduras* .......................... 7/1/68 ........ 5/16/73 .............. 

Hungary*, Republic of ........... ..... 7/1/68 .... ... 5/27/69 .............. Iceland* .... ....................... 7/1/68 ........ 7/18/69 .............. Indonesia* ........................ 3/2/70 ...... 7/12/791 ............ Iran* ............................... 7/1/68 ......... 2/2/70 .............. Iraq* ............................... 7/1/68 ....... 10/29/69 .............. 

Ireland* ............................ 7/1/68 ......... 7/1/68 .............. 

Italy* ........................... 1/28/69 ....... 5/2/75' ............ Jam aica* ........................... 4/14/69 ......... 3/5/70 .............. 

Japan* ........................... 2/3/70 ....... 6/8/76' ............ 

Jordan* ............................ 7/10/68 ....... 2/11/70 ............ 

Kazakhstan .............................................. 2/14/94(A) 

Kenya ........................... ...... 6/11/70 ............. K iribati ..................................................... 4/18/85(S) 

Korea, Democratic People's 

Republic of ... ............................................. 12/12/85(A) 

Korea*, Republic of ................. 7/1/68 ........ 4/23/75 ............ 

18.1-7
Date of 

Date of Deposit of 

Date of Deposit of Accession (A) or 

Country Signature Ratification Successions (S) 

Kuwait ............................ 8/15/68....... 11/17/89 ....... 

Kyrgyzstan ............................................... 7/5/94(A) 

Laos .................. ....... ....... 2/070...... 

Latvia .................................................. 1/31/92(A) 

Lebanon* ........................... 7/1/68....... 7/15/70... ......... 

Lesotho* ............................ 7/9/68 ........ 5/20/70 .............. 

Liberia ........................... 7/1/68........ 3/5/70 ............ Libya* .......................... 7/18/68 ....... 5/26/75 ............ Liechtenstein* .............................................. 4/20/78(A), 

Lithuania .......................... ..................... 9/23/91(A) 

Luxembourg* ....................... 8/14/68...... .5/2/75. ......... 

M adagascar* ....................... 8/22/68 ........ 10/8/70 .............. Malawi* ................................................ 2/18/86(S) 

M alaysia* ........................... 7/1/68........ 3/5/70 ............. M aldive Islands* .................... 9/11/68 ......... 4/7/70 .............. 

Mali ............................ 7/14/69 ....... 2/10/70 ............ M alta* ............................ 4/17/69 ......... 2/6/70 ............ M arshall Islands .............................................. 1/30/95(A ) 

Mauritania ......................... . ................... 10/26/93(A) 

Mauritius* .......................... 7/1/68........4/8/69............ 

Mexico* ......................... 7/26/68 ....... 1/21/691 ............ M icronesia ................................. ................ 4/14/95(A) 

M oldova ............ ...................................... 10/11/94(A ) 

Monaco ........................ . . .. ......... .. . 3/13/95(A) 

M ongolia* .......................... 7/1/68 ....... 5/14/69.............. 

M orocco* ........................... 7/1/68 ....... 11/27/70 ....... 

M ozambique .................................................. 9/4/90(A) 

Myanmar (Burma) ............................................ 12/2/92(A) 

N am ibia .................................................... 10/2/92(A) 

Nauru* .................................................. 6/7/82(A) 

Nepal* ............................. 7/1/68. '1..15/70.......... 

Netherlands* ....................... 8/20/68 ........ 5/2/75 .............. New Zealand* ..................... 7/1/68 ....... 9/10/69 ............ 

Nicaragua* .......................... 7/1/68 ......... 3/6/73 .............. N iger ........ ............ ................................ 10/9/92(A ) 

Nigeria* .......................... 7/1/68 ....... 9/27/68 ............ 

Norway* ............................ 7/1/68 ......... 2/5/69 .............. 

O m an ...................................................... 1/23/97(A ) 

Palau .................... ............. 4/12/95(A) 

Panama .......................... ....... 1/13/77 .......... 

Papua New Guinea* ........................................... 1/13/82(A) 

Paraguay* ........................... 7/1/68 ......... 2/4/70 .............. 

Peru* .............................. 7/1/68 ......... 3/3/70 .............. Philippines* ......................... 7/1/68 ........ 10/5/72 .............. 

Poland* ............................. 7/1/68 .... ... 6/12/69 .............. Portugal* .................................................. 12/15/77(A ) 

Qatarv ................................ 4/3/89(A) 

Romania* ........................... 7/1/68........2/4/70............ 

Russia5 ... . . . . . . . . . . . . . . . . . . . . . . . . . . 7/1/68 ........ 3/5/70 ............ 

18.1-8
Date of 

Date of Deposit of 

Date of Deposit of Accession (A) or 

Country Signature Ratification Successions (S) 

Rwanda ... ............................................. 5/20/75(A) 

St. Kitts and Nevis ............................................ 3/22/93(S) 

St. Lucia* .............................................. 12/28/79(S) 

St. Vincent and the Grenadines ............................... 11/6/84(S) 

San Marino ....................... .... .8/10/70 ............ 

Sao Tome and Principe ........................................ 7/20/83(A) 

Saudi Arabia, ......................... 10/3/88(A) 

Senegal* ....................... .. 7/1/68........ 12/17/707............. 

Seychelles ................................................... 3/12/85(A) 

Sierra Leone ............................................. 2/26/75(A) 

Singapore* ........................ 2/5/70....... 3/10/76 .............. Slovakia ..................................................... 1/1/93(S) 

Slovenia ..................................................... 4/7/92(S) 

Solomon Islands ........................................... 6/17/81(S) 

Somalia .......................... 7 /1/68 ........ 3/5/70 ............ South Africa* ................................................ 7/10/91(A) 

Spain* ..................................................... 11/5/87(A ) 

Sri Lanka* .......................... 7/1/68 ......... 3/5/79 .............. 

Sudan* ........................... 12/24/68 ....... 10/31/73 .............. Suriname* ............................................. 6/30fl6(S)(b) 

Swaziland* ....................... ...... 12/169............ 

Sweden* ........................... 8/19/68 ........ 1/9/70 .............. Switzerland* ....................... 11/27/69 ........ 3/9/77 .............. Syrian Arab Republic .................. 7/1/68 ........ 9/24/69 .............. 

Taiwan7 . . . . . . . . . . . . . . . . . . . . . . . . . . .. 7/1/68 ........ 1/27/70 .............. Tajikistan ................................................... 1/17/95(A ) 

Tanzania .................................................... 5/31/91(A ) 

Thailand* ............................................... 12/2/72(A) 

Togo ............................ 7/1/68 ....... 2/26/70 ............ 

Tonga ....................................................... 7/7/71(S) 

Trinidad and Tobago ................. 8/20/68 ....... 10/30/86 .............. 

Tunisia* .......................... 7/1/68 ....... 2/26/70 ............ Turkey* ........................... 1/28/69 ....... 4/17/80 .............. Turkmenistan ................................................ 9/29/94(A) 

Tuvalu* .................................................... 1/19/79(S) 

Uganda .................................................... 10/20/82(A ) 

Ukraine .......................... ..................... .... 12/5/94(A) 

United Arab Emirates ....................... 9/26/95(A) 

United Kingdom .................... 7/1/68......1 1/27/68* .............. 

United States ........................ 7/1/68 ......... 3/5/70 .............. Uruguay* ........................... 7/1/68 ........ 831/70 .............. 

Uzbekistan* .................................................. 5/2/92(A) 

Vanuatu ......................................... 8/26/95(A) 

Venezuela* .......................... 7/1/68 ........ 9/25/75 .. ....... 

Vietnam*, Socialist Republic of ................................. 6/14/82(A) 

Western Samoa* ..... .... .................. 3/17/75(A) 

Yemen6 . . . . . . . . . . . . . . . . . . 11/14/8......... 6/1/79 ............ Yugoslavia, Socialist Federal 

Republic of ...................... 7/10/68 ........ 3/4/70 ............ 

18.1 -9
Date of 

Date of Deposit of 

Date of Deposit of Accession (A) or 

Country Signature Ratification Successions (S) 

Zaire* ............................. 7/22/68 ......... 8/4/70 ............ Zam bia ..................................................... 5/15/91(A ) Zimbabwe ............... 9/26/91 (A) 

TOTAL: 185 (Total does not include Taiwan or Yugoslavia, which has dissolved.) 

* - Entries with asterisk have NPT safeguards agreements that have entered into force 

as of 10/31/92. 

** - Non-NPT, full-scope safeguards agreement in force. 

a - Dates given are the earliest dates on which a country signed the Treaty or 

deposited its instrument of ratification or accession-whether in Washington, London, or 

Moscow. In the case of a country that was a dependent territory which became a party through succession, the date given is the date on which the country gave notice that it 

would continue to be bound by the terms of the Treaty. 

b - Effective 11/25/75. 

SWith Statement. 

2 The former German Democratic Republic, which united with the Federal Republic 

of Germany on 10/3/90, had signed the NPT on 7/1/68 and deposited its instrument of 

ratification on 10/31/69. 

' Extended to Netherlands Antilles and Aruba. 

4'Extended to Aguilla and territories under the territorial sovereignty of the United 

Kingdom. 

'Russia has given notice that it would continue to exercise the rights and fulfill the 

obligations of the former Soviet Union arising from the NPT. 

6 The Republic of Yemen resulted from the union of the Yemen Arab Republic and 

the People's Democratic Republic of Yemen. The table indicates the date of signature 

and ratification by the People's Democratic Republic of Yemen; the first of these two 

states to become a party to the NPT. The Yemen Arab Republic signed the NPT on 

9/23/68 and deposited its instrument of ratification on 5/14/86. 

7 On 1/27/70, an instrument of ratification was deposited in the name of the Republic of China. Effective 1/1/79, the United States recognized the People's Republic of China 

as the sole legal government of China. The authorities on Taiwan state that they will 

continue to abide by the provisions of the Treaty and the United States regards them as 

bound by the obligations imposed by the Treaty. 

December 3, 1998 

Treaty Affairs, 

Office of the Legal Advisor 

Department of State

18.1 - 10
THE CONVENTION ON THE PHYSICAL PROTECTION 

OF NUCLEAR MATERIAL 

THE STATES PARTIES TO THIS CONVENTION, 

RECOGNIZING the right of all States to develop and apply nuclear energy for peaceful 

purposes and their legitimate interests in the potential benefits to be derived from the 

peaceful application of nuclear energy, 

CONVINCED of the need for facilitating international co-operation in the peaceful 

application of nuclear energy, DESIRING to avert the potential dangers posed by the unlawful taking and use of 

nuclear material, 

CONVINCED that offences relating to nuclear material are a matter of grave concern 

and that there is an urgent need to adopt appropriate and effective measures to ensure the 

prevention, detection and punishment of such offences, 

AWARE OF THE NEED FOR international co-operation to establish, in conformity with the national law of each State Party and with this Convention, effective measures 

for the physical protection of nuclear material, 

CONVINCED that this Convention should facilitate the safe transfer of nuclear material, STRESSING also the importance of the physical protection of nuclear material in 

domestic use, storage and transport, RECOGNIZING the importance of effective physical protection of nuclear material used 

for military purposes, and understanding that such material is and will continue to be 

accorded stringent physical protection, 

HAVE AGREED as follows: 

Article 1 

For the purposes of this Convention: 

(a) "nuclear material" means plutonium except that with isotopic concentration 

exceeding 80% in plutonium-238; uranium-233; uranium enriched in the isotope 235 

or 233; uranium containing the mixture of isotopes as occurring in nature other than 

in the form of ore or ore-residue; any material containing one or more of the 

foregoing; 

(b) "uranium enriched in the isotope 235 or 233" means uranium containing the 

isotope 235 or 233 or both in an amount such that the abundance ratio of the sum of 

these isotopes to the isotope 238 is greater than the ratio of the isotope 235 to the 

isotope 238 occurring in nature; 

(c) "international nuclear transport" means the carriage of a consignment of nuclear 

material by any means of transportation intended to go beyond the territory of the 

State where the shipment originates beginning with the departure from a facility of 

the shipper in that State and ending with the arrival at a facility of the receiver within 

the State of ultimate destination. 

Article 2 

1. This Convention shall apply to nuclear material used for peaceful purposes while in 

international nuclear transport. 2. With the exception of articles 3 and 4 and paragraph 3 of article 5, this Convention 

shall also apply to nuclear material used for peaceful purposes while in domestic use, 

storage and transport. 

3. Apart from the commitments expressly undertaken by States Parties in the articles 

covered by paragraph 2 with respect to nuclear material used for peaceful purposes while 

in domestic use, storage and transport, nothing in this Convention shall be interpreted as

18.2-1
affecting the sovereign rights of a State regarding the domestic use, storage and transport 

of such nuclear material. 

Article 3 

Each State Party shall take appropriate steps within the framework of its national law and 

consistent with international law to ensure as far as practicable that, during international 

nuclear transport, nuclear material within its territory, or on board a ship or aircraft under 

its jurisdiction insofar as such ship or aircraft is engaged in the transport to or from that 

State, is protected at the levels described in Annex I. 

Article 4 

1. Each State Party shall not export or authorize the export of nuclear material unless the 

State Party has received assurances that such material will be protected during the 

international nuclear transport at the levels described in Annex I. 

2. Each State Party shall not import or authorize the import of nuclear material from a 

State not party to this Convention unless the State Party has received assurances that such 

material will during the international nuclear transport be protected at the levels 

described in Annex I. 

3. A State Party shall not allow the transit of its territory by land or internal waterways 

or through its airports or seaports of nuclear material between States that are not parties 

to this Convention unless the State Party has received assurances as far as practicable 

that this nuclear material will be protected during international nuclear transport at the 

levels described in Annex I. 

4. Each State Party shall apply within the framework of its national law the levels of 

physical protection described in Annex I to nuclear material being transported from a part 

of that State to another part of the same State through international waters or airspace. 

5. The State Party responsible for receiving assurances that the nuclear material will be 

protected at the levels described in Annex I according to paragraphs 1 to 3 shall identify 

and inform in advance States which the nuclear material is expected to transit by land or 

internal waterways, or whose airports or seaports it is expected to enter. 

6. The responsibility for obtaining assurances referred to in paragraph 1 may be 

transferred, by mutual agreement, to the State Party involved in the transport as the 

importing State. 

7. Nothing in this article shall be interpreted as in any way affecting the territorial 

sovereignty and jurisdiction of a State, including that over its airspace and territorial sea. 

Article 5 

1. States Parties shall identify and make known to each other directly or through the 

International Atomic Energy Agency their central authority and point of contact having 

responsibility for physical protection of nuclear material and for co-ordinating recovery 

and response operations in the event of any unauthorized removal, use or alteration of 

nuclear material or in the event of credible threat thereof. 

2. In the case of theft, robbery or any other unlawful taking of nuclear material or of 

credible threat thereof, States Parties shall, in accordance with their national law, provide 

co-operation and assistance to the maximum feasible extent in the recovery and 

protection of such material to any State that so requests. In particular: 

(a) a State Party shall take appropriate steps to inform as soon as possible other 

States, which appear to it to be concerned, of any theft, robbery or other unlawful 

taking of nuclear material or credible threat thereof and to inform, where appropriate, 

international organizations;

18.2-2
(b) as appropriate, the States Parties concerned shall exchange information with each 

other or international organizations with a view to protecting threatened nuclear 

material, verifying the integrity of the shipping container, or recovering unlawfully taken nuclear material and shall: 

(i) co-ordinate their efforts through diplomatic and other agreed channels; (ii) render assistance; if requested; (iii) ensure the return of nuclear material stolen or missing as a consequence of 

the above-mentioned events. 

The means of implementation of this co-operation shall be determined by the States 

Parties concerned. 

3. States Parties shall co-operate and consult as appropriate, with each other directly or through international organizations, with a view to obtaining guidance on the design, maintenance and improvement of systems of physical protection of nuclear material in 

international transport. 

Article 6 

1. States Parties shall take appropriate measures consistent with their national law to 

protect the confidentiality of any information which they receive in confidence by virtue 

of the provisions of this Convention form another State Party or through participation in 

an activity carried out for the implementation of this Convention. If States Parties 

provide information to international organizations in confidence, steps shall be taken to 

ensure that the confidentiality of such information is protected. 2. States Parties shall not be required by this Convention to provide any information 

which they are not permitted to communicate pursuant to national law or which would 

jeopardize the security of the State concerned or the physical protection of nuclear 

material. 

Article 7 

1. The intentional commission of: 

(a) an act without lawful authority which constitutes the receipt, possession, use, transfer, alteration, disposal or dispersal of nuclear material and which causes or is 

likely to cause death or serious injury to any person or substantial damage to 

property; 

(b) a theft of robbery of nuclear material; (c) an embezzlement or fraudulent obtaining of nuclear material; (d) an act constituting a demand for nuclear material by threat or use of force or by 

any other form of intimidation; 

(e) a threat: 

(i) to use nuclear material to cause death or serious injury to any person or 

substantial property damage, or 

(ii) to commit an offence described in sub-paragraph (b) in order to compel a 

natural or legal person, international organization or State to do or to refrain from 

doing any act; 

(f) an attempt to commit any offence described in paragraphs (a), (b) or (c); and 

(g) an act which constitutes participation in any offence described in paragraphs (a) to (f) shall be made a punishable offence by each State Party under its national law. 

2. Each State Party shall make the offences described in this article punishable by appropriate penalties which take into account their grave nature.

18.2- 3
Article 8 

1. Each State Party shall take such measures as may be necessary to establish its 

jurisdiction over the offences set forth in article 7 in the following cases; 

(a) when the offence is committed in the territory of that State or on board a ship or 

aircraft registered in that State; 

(b) when the alleged offender is a national of that State. 

2. Each State Party shall likewise take such measures as may be necessary to establish 

its jurisdiction over these offences in cases where the alleged offender is presented in its 

territory and it does not extradite him pursuant to article 11 to any of the States 

mentioned in paragraph 1. 

3. This Convention does not exclude any criminal jurisdiction exercised in accordance 

with national law. 

4. In addition to the States Parties mentioned in paragraphs 1 and 2, each State Party 

may, consistent with international law, establish its jurisdiction over the offences set 

forth in article 7 when it is involved in international nuclear transport as the exporting or 

importing State. 

Article 9 

Upon being satisfied that the circumstances so warrant, the State Party in whose territory 

the alleged offender is present shall take appropriate measures, including detention, 

under its national law to ensure his presence for the purpose of prosecution or 

extradition. Measures taken according to this article shall be notified without delay to 

the States required to establish jurisdiction pursuant to article 8 and, where appropriate, 

all other States concerned. 

Article 10 

The State Party in whose territory the alleged offender is present shall, if it does not 

extradite him, submit, without exception whatsoever and without undue delay, the case to 

its competent authorities for the purpose of prosecution, through proceedings in 

accordance with the laws of that State. 

Article 11 

1. The offences in article 7 shall be deemed to be included as extraditable offences in 

any extradition treaty existing between States Parties. States Parties undertake to include 

those offences as extraditable offences in every future extradition treaty to be concluded 

between them. 

2. If a State Party which makes extradition conditional on the existence of a treaty 

receives a request for extradition from another State Party with which it has no 

extradition treaty, it may at its option consider this Convention as the legal basis for 

extradition in respect of those offences. Extradition shall be subject to the other 

conditions provided by the law of the requested State. 

3. States Parties which do not make extradition conditional on the existence of a treaty 

shall recognize those offences as extraditable offences between themselves subject to the 

conditions provided by the law of the requested State. , 4. Each of the offences shall be treated, for the purpose of extradition between States 

Parties, as if it had been committed not only in the place in which it occurred but also in 

the territories of the States Parties required to establish their jurisdiction in accordance 

with paragraph 1 of article 8.

18.2-4
Article 12 

Any person regarding whom proceedings are being carried out in connection with any of 

the offences set forth in article 7 shall be guaranteed fair treatment at all stages of the 

proceedings. 

Article 13 

1. States Parties shall afford one another the greatest measure of assistance in 

connection with criminal proceedings brought in respect of the offences set forth in 

article 7, including the supply of evidence at their disposal necessary for the proceedings. The law of the State requested shall apply in all cases. 

2. The provisions of paragraph I shall not affect obligations under any other treaty, bilateral or multilateral, which governs or will govern, in whole or in part, mutual 

assistance in criminal matters. 

Article 14 

1. Each State Party shall inform the depositary of its laws and regulations which give effect to this Convention. The depositary shall communicate such information 

periodically to all States Parties. 

2. The State Party where an alleged offender is prosecuted shall, wherever practicable, first communicate the final outcome of the proceedings to the States directly concerned. 

The State Party shall also communicate the final outcome to the depositary who shall 

inform all States. 

3. Where an offence involves nuclear material used for peaceful purposes in domestic 

use, storage or transport, and both the alleged offender and the nuclear material remain in 

the territory of the State Party in which the offence was committed, nothing in this 

Convention shall be interpreted as requiring that State Party to provide information 

concerning criminal proceedings arising out of such an offence. 

Article 15 

The Annexes constitute an integral part of this Convention. 

Article 16 

1. A conference of States Parties shall be convened by the depositary of five years after 

the entry into force of this Convention to review the implementation of the Convention 

and its adequacy as concerns the preamble, the whole of the operative part and the 

annexes in the light of the then prevailing situation. 

2. At intervals of not less than five years thereafter, the majority of States Parties may obtain, by submitting a proposal to this effect to the depositary, the convening of further 

conferences with the same objective. 

Article 17 

1. In the event of a dispute between two or more States Parties concerning the 

interpretation or application of this Convention, such States Parties shall consult with a 

view to the settlement of the dispute by negotiation, or by any other peaceful means of 

settling disputes acceptable to all parties to the dispute. 2. Any dispute of this character which cannot be settled in the manner prescribed in 

paragraph 1 shall, at the request of any party to such dispute, be submitted to arbitration 

or referred to the International Court of Justice for decision. Where a dispute is 

submitted to arbitration, if, within six months from the date of the request, the parties to 

the dispute are unable to agree on the organization of the arbitration, a party may request

18.2 - 5
the President of the International Court of Justice or the Secretary-General of the United 

Nations to appoint one or more arbitrators. In case of conflicting requests by the parties 

to the dispute, the request to the Secretary-General of the United Nations shall have 

priority. Each State Party may at the time of signature, ratification, acceptance or 

approval of this Convention or accession thereto declare that it does not consider itself 

bound by either or both of the dispute settlement procedures provided for in paragraph 2. 

The other States Parties shall not be bound by a dispute settlement procedure provided 

for in paragraph 2, with respect to a State Party which has made a reservation to that 

procedure. 

3. Any State Party which has made a reservation in accordance with paragraph 3 may at 

any time withdraw that reservation by notification to the depositary. 

Article 18 

1. This Convention shall be open for signature by all States at the Headquarters of the 

International Atomic Energy Agency in Vienna and at the Headquarters of the United 

Nations in New York from 3 March 1980 until its entry into force. 

2. This Convention is subject to ratification, acceptance or approval by the signatory 

States. 

3. After its entry into force, this Convention will be open for accession by all States. 

(a) This Convention shall be open for signature or accession by international 

organizations and regional organizations of an integration or other nature, provided 

that any such organization is constituted by sovereign States and has competence in 

respect of the negotiation, conclusion and application of international agreements in 

matters covered by this Convention. 

(b) In matters within their competence, such organizations shall, on their own behalf, 

exercise the rights and fulfil the responsibilities which this Convention attributes to 

States Parties. 

(c) When becoming party to this Convention such an organization shall communicate 

to the depository a declaration indicating which States are members thereof and 

which articles of this Convention do not apply to it. 

(d) Such an organization shall not hold any vote additional to those of its Member 

States. 

4. Instruments of ratification, acceptance, approval or accession shall be deposited with 

depositary. 

Article 19 

1. This Convention shall enter into force on the thirtieth day following the date of 

deposit of the twenty-first instrument of ratification, acceptance or approval with the 

depositary. 

2. For each State ratifying, accepting, approving or acceding to the Convention after the 

date of deposit of the twenty-first instrument of ratification, acceptance or approval, the 

Convention shall enter into force on the thirtieth day after the deposit by such State of its 

instrument of ratification, acceptance, approval or accession. 

Article 20 

1. Without prejudice to article 16 a State Party may propose amendments to this 

Convention. The proposed amendment shall be submitted to the depositary who shall 

circulate it immediately to all States Parties. If a majority of States Parties request the 

depositary to convene a conference to consider the proposed amendments, the depositary 

shall invite all States Parties to attend such a conference to being not sooner than thirty 

days after the invitations are issued. Any amendment adopted at the conference by a

18.2-6
two-thirds majority of all States Parties shall be promptly circulated by the depositary to 

all States Parties. 

2. The amendment shall enter into force for each State Party that deposits its instrument 

of ratification, acceptance or approval of the amendment on the thirtieth day after the 

date on which two thirds of the States Parties have deposited their instruments of 

ratification, acceptance or approval with the depositary. Thereafter, the amendment shall 

enter into force for nay other State Party on the day on which that State Party deposits its 

instrument of ratification, acceptance or approval of the amendment. 

Article 21 

1. Any State Party any denounce this Convention by written notification to the 

depositary. 

2. Denunciation shall take effect one hundred and eighty days following the date on 

which notification is received by the depositary. 

Article 22 

The depositary shall promptly notify all States of: 

(a) each signature of this Convention; 

(b) each deposit of an instrument of ratification, acceptance, approval or accession; 

(c) any reservation or withdrawal in accordance with article 17; 

(d) any communication made by an organization in accordance with paragraph 4(c) 

of article 18; 

(e) the entry into force of this Convention; 

(f) the entry into force of any amendment to this Convention; and 

(g) any denunciation made under article 21. 

Article 23 

The original of this Convention, of which the Arabic, Chinese, English, French, Russian 

and Spanish texts are equally authentic, shall be deposited with the Director General of 

the International Atomic Energy Agency who shall send certified copies thereof to all 

States. 

IN WITNESS WHEREOF, the undersigned, being duly authorized, have signed this 

Convention, opened for signature at Vienna and at New York on 3 March 1980. 

ANNEX 1 

Levels of Physical Protection to be Applied in International Transport of Nuclear 

Materials as Categorized in Annex II 

1. Levels of physical protection for nuclear material during storage incidental to 

international nuclear transport include: 

(a) For Category III materials, storage within an area to which access is controlled; 

(b) For Category II materials, storage within an area under constant surveillance by guards or electronic devices, surrounded by a physical barrier with a limited number 

of points of entry under appropriate control or any area with an equivalent level of 

physical protection; 

(c) For Category I material, storage within a protected area as defined for Category II 

above, to which, in addition, access is restricted to persons whose trustworthiness has 

been determined, and which is under surveillance by guards who are in close 

communication with appropriate responses forces. Specific measures taken in this 

context should have as their object the detection and prevention of any assault, 

unauthorized access or unauthorized removal of material.

18.2-7
2. Levels of physical protection for nuclear material during international transport 

include: 

(a) For Category II and III materials, transportation shall take place under special 

precautions including prior arrangements among sender, receiver, and carrier, and 

prior agreement between natural or legal persons subject to the jurisdiction and 

regulation of exporting and importing States, specifying time, place and procedures 

for transferring transport responsibility; 

(b) For Category I materials, transportation shall take place under special precautions 

identified above for transportation of Category II and Ill materials, and in addition, 

under constant surveillance by escorts and under conditions which assure close 

communication with appropriate response forces; 

(c) For natural uranium other than in the form of ore or ore-residue; transportation 

protection for quantities exceeding 500 kilograms uranium shall include advance 

notification of shipment specifying mode of transport, expected time of arrival and 

confirmation of receipt of shipment.

18.2- 8
ANNEX II 

TABLE: CATEGORIZATION OF NUCLEAR MATERIAL

Material Form Category 

I II III1 

1. Plutonium2 Unirradiated3 2 kg or Less than 2 kg but 500 g or less but 

more more than 500 g more than 15 g 

2. Uranium-235 Unirradiated 3 

*uranium enriched to 5 kg or Less than 5 kg but 1 kg or less but more 20% 235

U or more more more than 1 kg than 15 g 

*uranium enriched to 10 kg or more Less than 10 kg but 

10% 235

U but less than 20% more than 1 kg 

,uranium enriched above 10 kg or more 

natural, but less than 

10% 235

U 

3. Uranium-233 Unirradiated3 2 kg or Less than 2 kg but 500 g or less but 

more more than 500 kg more than 15 g 

4. Irradiated Depleted or natural 

fuel uranium, thorium or 

low-enriched fuel 

(less than 10% 

fossile content)4 I

'Quantities not falling in Category III and natural uranium should be protected in accordance with prudent 

management practice. 2

All plutonium except that with isotopic concentration exceeding 80% in plutonium-238. 3

Material not irradiated in a reactor or material irradiated in a reactor but with a radiation level equal to or less than 100 rads/hour at one metr unshielded. 

'Although this level of protection is recommended, it would be open to States, upon evaluation of the 

specific circumstances, to assign a different category of physical protection. 'Other fuel which by virtue of its original fissile material content is classified as Category I and II before 

irradiation may be reduced one category level while the radiation level from the fuel exceeds 100 rads/hour at one metre unshielded.

18.2-9
CONVENTION ON THE PHYSICAL PROTECTION OF NUCLEAR MATERIAL 

Signature, Ratification, Acceptance, Approval or Accession by States or Organizations 

State/Organization Date of Means/Date of Deposit Entry into 

Signature of Expression of Force 

Consent to be Bound 

Antigua/Barbuda acceded 4 Aug 93 3 Sep 1993 

Argentina* 28 Feb 1986 ratified* 6 Apr 89 6 May 1989 

Armenia acceded 24 Aug 93 23 Sep 1993 

Australia 22 Feb 1984 ratified 22 Sep 87 22 Oct 1987 

Austria 3 Mar 1980 ratified 22 Dec 88 21 Jan 1989 

Belarus succession 9 Sep 93 8 Feb 1987 

Belgium 13 Jun 1980(*) ratfied(*) 6 Sep 91 6 Oct 1991 

Bosnia and Herzegovina succession 30 Jun 98 8 Feb 1987 

Brazil 15 May 1981 ratified 17 Oct 85 8 Feb 1987 

Bulgaria* 23 Jun 1981 ratified* 10 Apr 84 8 Feb 1987 

Canada 23 Sep 1980 ratified 21 Mar 86 8 Feb 1987 

Chile acceded 27 Apr 94 8 Feb 1987 

China acceded* 10 Jan 89 9 Feb 1989 

Croatia succession 29 Sep 92 effect from 

Po notified 8 Oct 1991 

k- Cuba acceded 27 Sep 97 8 Feb 1987 

Cyprus acceded 23 Jul 98 8 Fed 1987 

Czech Republic succession 24 Mar 93 effect from 

notified 1 Jan 1993 

Denmark 13 Jun 1980(*) ratified(*) 6 Sep 91 6 Oct 1991 

Dominican Republic 3 Mar 1980 

Ecuador 26 Jun 1986 ratified 17 Jan 96 8 Feb 1987 

Estonia acceded 9 May 94 8 Feb 1987 

EURATOM* 13 Jun 1980 confirmed 6 Sep 91 6 Oct 1991 

Finland 25 Jun 1981 accepted 22 Sep 89 22 Oct 1989 

France* 13 Jun 1980(*) approved(*) * 6 Sep 91 6 Oct 1991 

Germany 13 Jun 1980(*) ratified(*) 6 Sep 91 6 Oct 1991 

Greece 3 Mar 1980 ratified 6 Sep 91 6 Oct 1991 

Guatemala 12 Mar 1980 ratified 23 Apr 85 8 Feb 1987 

Haiti 9 Apr 1980 

Hungary* 17 Jun 1980 ratified* 1/ 4 May 84 8 Feb 1987 

Indonesia 3 Jul 1986 ratified* 5 Nov 86 8 Feb 1987 

Ireland 13 Jun 1980(*) ratified(*) 6 Sep 91 6 Oct 1991 

Israel* 17 Jun 1983 

Italy* 13 Jun 1980(*) ratified(*) * 6 Sep 91 6 Oct 1991 

Japan acceded 28 Oct 88 27 Nov 1988
CONVENTION ON THE PHYSICAL PROTECTION OF NUCLEAR MATERIAL (Continued) 

State/Organization Date of Means/Date of Deposit Entry into Signature of Expression of Force 

Consent to be Bound 

Korea, Rep.of* 29 Dec 1981 ratified* 7 Apr 82 8 Feb 1987 Lebanon acceded 16 Dec 97 8 Feb 1987 Liechtenstein 13 Jan 1986 ratified 25 Nov 86 8 Feb 1987 Lithuania acceded 7 Dec 93 8 Feb 1987 Luxembourg 

Mexico 

13 Jun 1980(*) ratified(*) 6 Sep 91 6 Oct 1991 

Monaco 

acceded 4 Apr 88 4 May 1988 

Mongolia* 

acceded 9 Aug 96 8 Feb 1987 23 Jan 1986 ratified* 1/ 28 May 86 8 Feb 1987 Morocco 25 Jul 1980 Netherlands 13 Jun 1980(*) accepted(*) * 6 Sep 91 6 Oct 1991 Niger 7 Jan 1985 Norway 26 Jan 1983 ratified 15 Aug 85 8 Feb 1987 Panama 18 Mar 1980 ratified 1 Apr 99 8 Feb 1987 Paraguay 21 May 1980 ratified 6 Feb 85 8 Feb 1987 Peru acceded 11 Jan 95 8 Feb 1987 Philippines 19 May 1980 ratified 22 Sep 81 8 Feb 1987 - Poland* 6 Aug 1980 ratified* 5 Oct 83 8 Feb 1987 Rep Rep. o of MPortugal Moldova 19 Sep 1984 ratified(*) 6 Sep 91 6 Oct 1991 acceded 7 May 98 8 Feb 1987 - Romania* 15 Jan 1981 - Russian Federation* 22 May 1980 ratified* 25 May 83 8 Feb 1987 

continued 26 Dec 91 Slovakia succession 10 Feb 93 effect from 

notified Slovenia 1 Jan 1993 succession notified 7 Jul 92 effect from 25 Jun 1991 

South Africa* 18 May 1981 

Spain* 7 Apr 1986(*) ratified(*) * 6 Sep 91 6 Oct 1991 Sweden 2 Jul 1980 ratified 1 Aug 80 8 Feb 1987 Switzerland 9 Jan 1987 ratified 9 Jan 87 8 web 1987 Tajikistan acceded I 1 Jul96 8 Feb 1987 The former Yugoslav succession 20 Sep 96 8 Feb 1987 Republic of Macedonia 

Tunisia acceded 8 Apr 93 8 May 1993 Turkey* 23 Aug 1983 ratified* 27 Feb 85 8 Feb 1987
CONVENTION ON THE PHYSICAL PROTECTION OF NUCLEAR MATERIAL (Continued) 

State/Organization Date of Means/Date of Deposit Entry into 

Signature of Expression of Force 

Consent to to Bound 

Ukraine acceded 6 Jul 93 5 Aug 1993 

United Kingdom of Great 13 Jun 1980(*) ratified 6 Sep 91 8,Feb 1987 

Britain and Northern 

Ireland 

United States of America 3 Mar 1980 ratified 13 Dec 82 8 Feb 1987 

Uzbekistan acceded 9 Feb 98 8 Feb 1987 

Yugoslavia 15 Jul 1980 ratified 14 May 86 8 Feb 1987 

continued 28 Apr 92 

*Indicates that a reservation/declaration was deposited upon signature/ratification/acceptance/approval/accession. 

(*) signed/ratified as EURATOM Member State 

1/ Indicates that reservation/declaration was subsequently withdrawn 

Note: The Convention entered into force on 8 February 1987, i. e., on the thirtieth day following the deposit of the twenty-first instrument of ratification, acceptance or 

t-) approval with the Director General pursuant to Article 19, paragraph 1. 

N September 1, 1993 

Status: 45 signatories 47 parties
CONVENTION ON EARLY NOTIFICATION OF A NUCLEAR 

ACCIDENT 

TABLE OF CONTENTS 

Page 

Article 1 Scope of Application ........................................ 2 

Article 2 Notification and Information .................................. 2 

Article 3 Other Nuclear Accidents ..................................... 2 

Article 4 Functions of the Agency ..................................... 3 

Article 5 Information to Be Provided ................................... 3 

Article 6 Consultations ... .......................................... 3 

Article 7 Competent Authorities and Points of Contact ..................... 3 

Article 8 Assistance to State Parties .................................... 4 

Article 9 Bilateral and Multilateral Arrangements ......................... 4 

Article 10 Relationship to Other International Agreements ................... 4 

Article 11 Settlement of Disputes ....................................... 4 

Article 12 Entry into Force ............................................ 4 

Article 13 Provisional Application ...................................... 5 

Article 14 Amendments .............................................. 5 

Article 15 Denunciation ... ........................................ 5 

Article 16 Depositary ................................................ 6 

Article 17 Authentic Texts and Certified Copies ........................... 6 

Table Signature, Ratification, Acceptance, Approval or Accession 

by States or Organizations ................................ 6

18.3-1
CONVENTION ON EARLY NOTIFICATION OF A NUCLEAR 

ACCIDENT 

Adopted September 26, 1986, Entered into Force October 27, 1986 

THE STATES PARTIES TO THIS CONVENTION, 

AWARE that nuclear activities are being carried out in a number of States, 

NOTING THAT comprehensive measures have been and are being taken to ensure a 

high level of safety in nuclear activities, aimed at preventing nuclear accidents and 

minimizing the consequences of any such accident, should it occur, 

DESIRING to strengthen further international co-operation on the safe development 

and use of nuclear energy, 

CONVINCED of the need for States to provide relevant information about nuclear 

accidents as early as possible in order that transboundary radiological consequences can 

be minimized, 

NOTING the usefulness of bilateral and multilateral arrangements on information 

exchange in this area, 

HAVE AGREED as follows: 

Article 1-Scope of Application 

1. This Convention shall apply in the event of any accident involving facilities or 

activities of a State Party or of persons or legal entities under its jurisdiction or control, 

referred to in paragraph 2 below, from which a release of radioactive material occurs or 

is likely to occur and which has resulted or may result in an international transboundary 

release that could be of radiological safety significance for another State. 

2. The facilities and activities referred to in paragraph 1 are the following: 

(a) any nuclear reactor wherever located; 

(b) any nuclear fuel cycle facility; 

(c) any radioactive waste management facility; 

(d) the transport and storage of nuclear fuels or radioactive wastes; 

(e) the manufacture, use, storage, disposal and transport of radioisotopes for 

agricultural, industrial, medical and related scientific and research purposes; and 

(f) the use of radioisotopes for power generation in space objects. 

Article 2-Notification and Information 

In the event of an accident specified in article I (hereinafter referred to as a "nuclear 

accident"), the State Party referred to in that article shall: 

(a) forthwith notify, directly or through the International Atomic Energy Agency 

(hereinafter referred to as the "Agency"), those States which are or may be physically 

affected as specified in article I and the Agency of the nuclear accident, its nature, the 

time of its occurrence and its exact location where appropriate; and 

(b) promptly provide the States referred to in subparagraph (a), directly or through 

the Agency, and the Agency with such available information relevant to minimizing the 

radiological consequences in those States, as specified in article 5. 

Article 3-Other Nuclear Accidents 

With a view to minimizing the radiological consequences, States Parties may notify in 

the event of nuclear accidents other than those specified in article 1.

18.3-2
Article 4-Functions of the Agency 

The Agency shall: 

(a) forthwith inform States Parties, Member States, other States which are or may be physically affected as specified in article I and relevant international 

intergovernmental organizations (hereinafter referred to as "international organizations") of a notification received pursuant to subparagraph (a) of article 2; and 

(b) promptly provide any State Party, Member State or relevant international 

organization, upon request, with the information received pursuant to sub-paragraph (b) of article 2. 

Article 5-Information to be Provided 

1. The information to be provided pursuant to subparagraph (b) of article 2 shall 

comprise the following data as then available to the notifying State Party: (a) the time, exact location where appropriate, and the nature of the nuclear 

accident; 

(b) the facility or activity involved; 

(c) the assumed or established cause and the foreseeable development of the 

nuclear accident relevant to the transboundary release of the radioactive materials; 

(d) the general characteristics of the radioactive release, including, as far as is 

practicable and appropriate, the nature, probable physical and chemical form and the 

quantity, composition and effective height of the radioactive release; 

(e) information on current and forecast meteorological and hydrological conditions, necessary for forecasting the transboundary release of the radioactive 

materials; 

(f) the results of environmental monitoring relevant to the transboundary release 

of the radioactive materials; 

(g) the off-site protective measures taken or planned; 

(h) the predicted behavior over time of the radioactive release. 

2. Such information shall be supplemented as appropriate intervals by further 

relevant information on the development of the emergency situation, including its 

foreseeable or actual termination. 

3. Information received pursuant to sub-paragraph (b) of article 2 may be used 

without restriction, except when such information is provided in confidence by the 

notifying State Party. 

Article 6-Consultations 

A State Party providing information pursuant to subparagraph (b) of article 2 shall, as 

far as is reasonably practicable, response promptly to a request for further information or 

consultations sought by an affected State Party with a view to minimizing the 

radiological consequences in that State. 

Article 7-Competent Authorities and Points of Contact 

1. Each State Party shall make known to the Agency and to other States Parties, 

directly or through the Agency, its competent authorities and point of contact responsible for issuing and receiving the notification and information referred to in article 

2. Such points of contact and a focal point within the Agency shall be available 

continuously. 2. Each State Party shall promptly inform the Agency of any changes that 

may occur in the information referred to in paragraph 1. 

3. The Agency shall maintain an up-to-date list of such national authorities and 

points of contact as well as points of contact of relevant international organizations and

18.3-3
shall provide it to States Parties and Member States and to relevant international 

organizations. 

Article 8-Assistance to State Parties 

The Agency shall, in accordance with its Statute and upon a request of a State Party 

which does not have nuclear activities itself and borders on a State having an active 

nuclear programme but not Party, conduct investigations into the feasibility and 

establishment of an appropriate radiation monitoring system in order to facilitate the 

achievement of the objectives of this Convention. 

Article 9-Bilateral and Multilateral Arrangements 

In furtherance of their mutual interests, States Parties may consider, where deemed 

appropriate, the conclusion of bilateral or multilateral arrangements relating to the 

subject matter of this Convention. 

Article 10-Relationship to Other International Agreements 

This Convention shall not affect the reciprocal rights and obligations of States Parties 

under existing international agreements which relate to the matters covered by this 

Convention, or under future international agreements concluded in accordance with the 

object and purpose of this Convention. 

Article 11-Settlement of Disputes 

1. In the event of a dispute between States Parties, or between a State Party and the 

Agency, concerning the interpretation or application of this Convention, the parties to the 

dispute shall consult with a view to the settlement of the dispute by negotiation or by any 

other peaceful means of settling disputes acceptable to them. 

2. If a dispute of this character between States Parties cannot be settled within one 

year from the request for consultation pursuant to paragraph 1, it shall, at the request of 

any party to such dispute, be submitted to arbitration or referred to the International 

Court of Justice for decision. Where a dispute is submitted to arbitration, if, within six 

months from the date of the request, the parties to the dispute are unable to agree on the 

organization of the arbitration, a party may request the President of the International 

Court of Justice or the Secretary-General of the United Nations to appoint one or more 

arbitrators. In cases of conflicting requests by the parties to the dispute, the request to the 

Secretary-General of the United Nations shall have priority. 

3. When signing, ratifying, accepting, approving or acceding to this Convention, a 

State may declare that it does not consider itself bound by either or both of the dispute 

settlement procedures provided for in paragraph 2. The other States Parties shall not be 

bound by a dispute settlement procedure provided for in paragraph 2 with respect to a 

State Party for which such a declaration is in force. 

4. A State Party which made a declaration in accordance with paragraph 3 may at 

any time withdraw it by notification to the depositary. 

Article 12-Entry into Force 

1. This Convention shall be open for signature by all States andNamibia, represented 

by the United Nations Council for Namibia, at the Headquarters of the International 

Atomic Energy Agency in Vienna and at the Headquarters of the United Nations in New 

York, from 26 September 1986 and 6 October 1986 respectively, until its entry into force 

or for twelve months, whichever period is longer.

18.3-4
2. A State and Namibia, represented by the United Nations Council for Namibia, 

may express its consent to be bound by this Convention either by signature, or by deposit of an instrument of ratification, acceptance or approval following signature made subject to ratification, acceptance or approval, or by deposit of an instrument of accession. The 

instruments of ratification, acceptance, approval or accession shall be deposited with the 

depositary. 

3. This Convention shall enter into force thirty days after consent to be bound has 

been expressed by three States. 

4. For each State expressing consent to be bound by this Convention after its entry into force, this Convention shall enter into force for that State thirty days after the date of 

expression of consent. 

5. (a) This Convention shall be open for accession, as provided for in this article, by international organizations and regional integration organizations constituted by sovereign States, which have competence in respect of the negotiation, conclusion and 

application of international agreements in matters covered by this Convention. 

(b) In matters within their competence such organizations shall, on their own 

behalf, exercise the rights and fulfill the obligations which this Convention attributes to 

States Parties. 

(c) When depositing its instrument of accession, such an organization shall 

communicate to the depositary a declaration indicating the extent of its competence in 

respect of matters covered by this Convention. 

(d) Such an organization shall not hold any vote additional to those of its Member 

States. 

Article 13-Provisional Application 

A State may, upon signature or at any later date before this Convention enters into 

force for it, declare that it will apply this Convention provisionally. 

Article 14-Amendments 

1. A State Party may propose amendments to this Convention. The proposed amendment shall be submitted to the depositary who shall circulate it immediately to all 

other States Parties. 

2. If a majority of the States Parties request the depositary to convene a 

conference to consider the proposed amendments, the depositary shall invite all States 

Parties to attend such a conference to begin not sooner than thirty days after the 

invitations are issued. Any amendment adopted at the conference by a two-thirds 

majority of all States Parties shall be laid down in a protocol which is open to signature in Vienna and New York by all States Parties. 

3. The protocol shall enter into force thirty days after consent to be bound has 

been expressed by three States. For each State expressing consent to be bound by the 

protocol after its entry into force, the protocol shall enter into force for that State thirty days after the date of expression of consent. 

Article 15-Denunciation 

1. A State Party may denounce this Convention by written notification to the 

depositary. 

2. Denunciation shall take effect one year following the date on which the 

notification is received by the depositary.

18.3-5
Article 16-Depositary 

1. The Director General of the Agency shall be the depositary of this Convention. 

2. The Director General of the Agency shall promptly notify States Parties and all 

other States of: 

(a) each signature of this Convention or any protocol of amendment; 

(b) each deposit of an instrument of ratification, acceptance, approval or accession 

concerning this Convention or any protocol of amendment; 

(c) any declaration or withdrawal thereof in accordance with article 11; 

(d) any declaration of provisional application of this Convention in accordance 

with article 13; 

(e) the entry into force of this Convention and of any amendment thereto; and 

(f) any denunciation made under article 15. 

Article 17-Authentic Texts and Certified Copies 

The original of this Convention, of which the Arabic, Chinese, English, French, 

Russian and Spanish texts are equally authentic, shall be deposited with the Director 

General of the International Atomic Energy Agency who shall send certified copies to 

States Parties andall other States. 

IN WITNESS WHEREOF the undersigned, being duly authorized, have signed 

this Convention, open for signature as provided for in paragraph 1 of article 12. 

ADOPTED by the General Conference of the International Atomic Energy 

Agency meeting in special session at Vienna on the twenty -sixth day of September one 

thousand nine hundred and eighty-six. 

CONVENTION ON EARLY NOTIFICATION OF A NUCLEAR ACCIDENT 

Signature, Ratification, Acceptance, Approval or Accession by States or 

Organizations

State/ 

Organization 

Afghanistan 

Algeria 

Argentina 

Armenia 

Australia 

Austria 

Bangladesh 

Belarus 

Belgium 

Bosnia and 

Herzegovina 

Brazil

Date of 

Signature 

26 Sep 1986 

24 Sep 1987

26 Sep 1986 

26 Sep 1986 

26 Sep 1986 

26 Sep 1986 

26 Sep 1986

Means and Date of 

Expression of 

Consent to be Bound

accession 

deposited: 17 Jan 90 

accession 

deposited: 24 Aug 93 

ratification 

deposited: 22 Sep 87 

ratification 

deposited: 18 Feb 88 

accession 

deposited: 7 Jan 88 

ratification 

deposited: 26 Jan 87 

ratification: 4 Jan 99 

succession: 30 Jun 88 

ratification 

deposited: 4 Dec 90

18.3-6

Entry into 

Force

17 Feb 1990 

24 Sep 1993 

23 Oct 1987 

20 Mar 1988 

7 Feb 1988 

26 Feb 1987 

4 Jan 1991
State/ 

Organization 

Bulgaria 

Cameroon 

Canada 

Chile 

China 

Costa Rica 

Cote d'Ivoire 

Croatia 

Cuba 

Cyprus 

Czech Republic 

Democratic Republic 

of the Congo 

Denmark 

Egypt 

Estonia 

Finland 

France 

Germany 

Greece 

Guatemala 

Holy See 

Hungary 

Iceland 

India 

Indonesia 

Iran, Islamic 

Republic of 

Iraq

18.3-7

Entry into 

Force

Date of 

Signature 

26 Sep 1986 

25 Sep 1987 

26 Sep 1986 

26 Sep 1986 

26 Sep 1986 

26 Sep 1986 

26 Sep 1986 

26 Sep 1986 

30 Sep 1986 

26 Sep 1986 

26 Sep 1986 

26 Sep 1986 

26 Sep 1986 

26 Sep 1986 

26 Sep 1986 

26 Sep 1986 

26 Sep 1986 

26 Sep 1986 

26 Sep 1986 

29 Sep 1986 

26 Sep 1986 

26 Sep 1986 

12 Aug 1987

21 Aue 1988

Means and Date of 

Expression of 

Consent to be Bound 

ratification 

deposited: 24 Feb 88 

ratification 

deposited: 18 Jan 90 

ratification 

deposited: 10 Sep 87 

ratification 

deposited: 16 Sep 91 

succession 

notified: 29 Sep 92 

ratification 

deposited: 8 Jan 91 

accession 

deposited: 4 Jan 89 

succession 

notified: 24 Mar 93 

signature, 26 Sep 86 

ratification 

deposited: 6 Jul 88 

accession 

deposited: 9 May 94 

approval 

deposited: 11 Dec 86 

approval 

deposited: 6 Mar 89 

ratification 

deposited: 14 Sep 89 

ratification 

deposited: 6 Jun 91 

ratification 

deposited: 8 Aug 88 

ratification 

deposited: 10 Mar 87 

ratification 

deposited: 27 Sep 89 

ratification 

deposited: 28 Jan 88 

ratification 

deposited: 12 Nov 93 

ratification 

deposited: 21 Jul 88

26 Mar 1988 

18 Feb 1990 

11 Oct 1987 

17 Oct 1991 

effect from 

8 Oct 1991 

8 Feb 1991 

4 Feb 1989 

1 Jan 1993 

27 Oct 1986 

6 Aug 1988 

9 Jun 1994 

11 Jan 1987 

6 Apr 1989 

15 Oct 1989 

7 Jul 1991 

8 Sep 1988 

10 Apr 1987 

28 Oct 1989 

28 Feb 1988 

13 Dec 1993 

21 Aue 1988 S[7 r --
Means and Date of 

State/ Date of Expression of Entry into 

Organization Signature Consent to be Bound Force

Ireland 26 Sep 1986

Israel 

Italy 

Japan 

Jordan 

Korea, Democratic 

People's Republic of 

Korea, Rep. of

26 Sep 1986 

26 Sep 1986 

6Mar 1987 

2 Oct 1986 

29 Sep 1986

Latvia

Lebanon 

Liechtenstein

Lithuania

Luxembourg 

Macedonia, the former 

Yugoslav Rep. of 

Malaysia 

Mali 

Mauritius

Mexico

Moldova, Rep. of 

Monaco 

Mongolia 

Morocco 

Myanmar 

Netherlands

New Zealand 

Nicaragua

Niger 

Nigeria

Norwav

26 Sep 1986 

26 Sep 1986 

29 Sep 1986 

1 Sep 1987 

2 Oct 1986 

26 Sep 1986 

26 Sep 1986 

8 Jan 1987 

26 Sep 1986 

26 Sep 1986

26 Sep 1986 

21 Jan 1987 

26 Sep 1986

ratification 

deposited: 13 Sep 91 

ratification 

deposited: 25 May 89 

ratification 

deposited: 8 Feb 90 

acceptance 

deposited: 9 Jun 87 

ratification 

deposited: 11 Dec 87 

accession 

deposited: 8 Jun 90 

accession 

deposited: 28 Dec 92 

ratification: 17 Apr 97 

ratification 

deposited: 19 Apr 94 

accession 

deposited: 16 Nov 94 

succession: 20 Sep 96

signature, 1 Sep 87 

accession 

deposited: 17 Aug 92 

ratification 

deposited: 10 May 88 

accession: 7 May 98 

approval 

deposited: 19 Jul 89 

ratification 

deposited: 11 Jun 87 

ratification 

deposited: 7 Oct 93 

accession: 18 Dec 97 

acceptance 

deposited: 23 Sep 91 

accession 

deposited: 11 Mar 87 

accession 

deposited: 11 Nov 93 

ratification 

deposited: 10 Aug 90 

signature, 26 Sep 86

18.3-8

14 Oct 1991

25 Jun 1989 

11 Mar 1990 

10 Jul 1987 

11 Jan 1988 

9 Jul 1990 

28 Jan 1993 

20 May 1994 

17 Dec 1994

2 Oct 1987 

17 Sep 1992 

10 Jun 1988 

19 Aug 1989 

12 Jul 1987 

7Nov 1993 

24 Oct 1991 

11 Apr 1987 

12 Dec 1993 

10 Sep 1990 

27 Oct 1986 iI I I I I I
Means and Date of 

State/ Date of Expression of Entry into 

Organization Signature Consent to be Bound Force 

Pakistan accession

Panama 

Paraguay 

Peru 

Poland 

Philippines 

Portugal 

Romania

Russian Federation

26 Sep 1986 

2 Oct 1986 

26 Sep 1986 

26 Sep 1986 

26 Sep 1986

Saudi Arabia

Senegal 

Sierra Leone 

Singapore 

Slovakia 

Slovenia 

South Africa 

Spain 

Sri Lanka 

Sudan 

Sweden 

Switzerland 

Syrian Arab Republic 

Thailand 

Tunisia 

Turkey 

Ukraine 

United Arab Emirates

15 Jun 1987 

25 Mar 1987 

10 Aug 1987 

26 Sep 1986 

26 Sep 1986 

26 Sep 1986 

26 Sep 1986 

2 Jul 1987 

26 Sep 1987 

24 Feb 1987 

26 Sep 1986 

26 Sep 1986

deposited: 11 Sep 89 

ratification: 1 Apr 99 

accession: 17 Jul 95 

ratification 

deposited: 24 Mar 88 

accession: 5 May 97 

ratification 

deposited: 30 Apr 93 

accession 

deposited: 12 Jun 90 

ratification 

deposited: 23 Dec 86 

continuation 

notified: 26 Dec 91 

accession 

deposited: 3 Nov 89 

accession: 15 Dec 97 

succession 

effect from 

notified: 10 Feb 93 

succession 

effect from 

notified: 7 Jul 92 

ratification 

deposited: 10 Aug 87 

ratification 

deposited: 13 Sep 89 

accession 

deposited: 11 Jan 91 

ratification 

deposited: 27 Feb 87 

ratification 

deposited: 31 May 88 

ratification 

deposited: 21 Mar 89 

ratification 

deposited: 24 Feb 89 

ratification 

deposited: 3 Jan 91 

ratification 

deposited: 26 Jan 87 

accession 

deposited: 2 Oct 87

12 Oct 1989 

24 Apr 1988 

31 May 1993 

13 Jul 1990 

24 Jan 1987 

4 Dec 1989 

1 Jan 1993 

25 Jun 1991 

10 Sep 1987 

14 Oct 1989 

11 Feb 1991 

30 Mar 1987 

1 Jul 1988 

21 Apr 1989 

27 Mar 1989 

3 Feb 1991 

26 Feb 1987 

2 Nov 1987

18.3-9
State/ 

Organization 

United Kingdom of 

Great Britain and 

Northern Ireland 

United States of 

America 

Uruguay

Date of 

Signature 

26 Sep 1986 

26 Sep 1986

Viet Nam

Yugoslavia 

Zimbabwe 

Food & Agriculture 

Organization 

World Health 

Organization 

World Meteorologial 

Organization

27 May 1987 

26 Sep 1986

Means and Date of 

Expression of 

Consent to be Bound 

ratification 

deposited: 9 Feb 90 

ratification 

deposited: 19 Sep 88 

accession 

deposited: 21 Dec 89 

accession 

deposited: 29 Sep 87 

ratification 

deposited: 8 Feb 89 

continuation 

notified: 28 Apr 92 

accession 

deposited: 19 Oct 90 

accession 

deposited: 10 Aug 88 

accession 

deposited: 17 Apr 90

Entry into 

Force

12 Mar 1990 

20 Oct 1988 

21 Jan 1990 

30 Oct 1987 

11 Mar 1989 

19 Nov 1990 

10 Sep 1988 

18 May 1990

1 April 99 

Number of Parties: 84 

Signatories: 70

18.3- 10

w
CONVENTION ON NUCLEAR SAFETY 

TABLE OF CONTENTS 

Page 

CHAPTER 1 

OBJECTIVES, DEFINITIONS AND SCOPE 

OF APPLICATION 

A rticle 1. O bjectives ................................................ 3 

A rticle 2. D efinitions ................................................ 4 

Article 3. Scope of Application ........................................ 4 

CHAPTER 2 

OBLIGATIONS 

(a) General Provisions 

Article 4. Implementing Measures ..................................... 4 

Article 5. Reporting ................................................ 4 

Article 6. Existing Nuclear Installations ................................. 4 

(b) Legislation and Regulation 

Article 7. Legislative and Regulatory Framework .......................... 5 

Article 8. Regulatory Body ........................................... 5 

Article 9. Responsibility of the License Holder ........................... 5 

(c) General Safety Considerations 

Article 10. Priority to Safety ........................................... 5 

Article 11. Financial and Human Resources .............................. 5 

Article 12. Human Factors ............................................. 5 

Article 13. Quality Assurance ......................................... 6 

Article 14. Assessment and Verification of Safety .......................... 6 

Article 15. Radiation Protection ........................................ 6 

Article 16. Emergency Preparedness ..................................... 6 

(d) Safety of Installations 

A rticle 17. Siting .......... ......................................... 6 

Article 18. Design and Construction ..................................... 7 

A rticle 19. Operation ................................................. 7 

CHAPTER 3 

MEETINGS OF THE CONTRACTING PARTIES 

Article 20. Review M eetings ........................................... 8 

A rticle 21. Tim etable ................................................. 8 

Article 22. Procedural Arrangements .................................... 8 

Article 23. Extraordinary M eetings ...................................... 8 

Article 24. Attendance ................................................ 8 

Article 25. Summary Reports .......................................... 9 

Article 26. Languages ................................................ 9 

Article 27. Confidentiality ............................................. 9 

A rticle 28. Secretariat ................................................ 9

18.4-1
CHAPTER 4 

FINAL CLAUSES AND OTHER PROVISIONS 

Article 29. Resolution of Disagreements ................................. 10 

Article 30. Signature, Ratification, Acceptance, Approval, Accession .......... 10 

Article 31. Entry Into Force ........................................... 10 

Article 32. Amendments to the Convention .............................. 10 

Article 33. Denunciation ............................................. 11 

Article 34. Depositary ............................................... 11 

Article 35. Authentic Texts ........................................... 11 

Table Signatories and Parties on the Convention on Nuclear Safety .... 12

18.4-2
CONVENTION ON NUCLEAR SAFETY

Adopted September 20, 1994, Entered into Force October 27, 1986 

PREAMBLE 

The Contracting Parties, 

(i) Aware of the importance to the international community of ensuring that the use of 

nuclear energy is safe, well regulated and environmentally sound; 

(ii) Reaffirming the necessity of continuing to promote a high level of nuclear safety 

worldwide; 

(iii) Reaffirming that responsibility for nuclear safety rests with the State having 

jurisdiction over a nuclear installation; 

(iv) Desiring to promote an effective nuclear safety culture; 

(v) Aware that accidents at nuclear installations have the potential for transboundary 

impacts; 

(vi) Keeping in mind the Convention on the Physical Protection of Nuclear Material 

(1979), the Convention on Early Notification of a Nuclear Accident (1986), and the 

Convention on Assistance in the Case of a Nuclear Accident or Radiological Emergency 

(1986); 

(vii) Affirming the importance of international cooperation for the enhancement of 

nuclear safety through existing bilateral and multilateral mechanisms and the 

establishment of this incentive Convention; 

(viii) Recognizing that this Convention entails a commitment to the application of 

fundamental safety principles for nuclear installations rather than of detailed safety 

standards and that there are internationally formulated safety guidelines which are 

updated from time to time and so can provide guidance on contemporary means of 

achieving a high level of safety; 

(ix) Affirming the need to begin promptly the development of an international 

convention on the safety of radioactive waste management as soon as the ongoing 

process to develop waste management safety fundamentals has resulted in broad 

international agreement; 

(x) Recognizing the usefulness of further technical work in connection with the safety 

of other parts of the nuclear fuel cycle, and that this work may, in time, facilitate the 

development of current or future international instruments; 

Have agreed as follows: 

CHAPTER 1 

OBJECTIVES, DEFINITIONS AND SCOPE 

OF APPLICATION 

Article 1-Objectives 

The objectives of this Convention are: 

(i) to achieve and maintain a high level of nuclear safety worldwide through the 

enhancement of national measures and international co-operation including, where 

appropriate, safety-related technical co-operation; 

(ii) to establish and maintain effective defenses in nuclear installations against 

potential radiological hazards in order to protect individuals, society and the environment 

from harmful effects of ionizing radiation from such installations; 

(iii) to prevent accidents with radiological consequences and to mitigate such 

consequences should they occur.

18.4-3
Article 2-Definitions 

For the purpose of this Convention: 

(i) "nuclear installation" means for each Contracting Party any land-based civil 

nuclear power plant under its jurisdiction including such storage, handling and treatment 

facilities for radioactive materials as are on the same site and are directly related to the 

operation of the nuclear power plant. Such a plant ceases to be a nuclear installation 

when all nuclear fuel elements have been removed permanently from the reactor core and 

have been stored safely in accordance with approved procedures, and a decommissioning 

program has been agreed to by the regulatory body; (ii) "regulatory body" means for each Contracting Party any body or bodies given the 

legal authority by that Contracting Party to grant licences and to regulate the siting, design, construction, commissioning, operation or decommissioning of nuclear 

installations; 

(iii) "licence" means any authorization granted by the regulatory body to the applicant 

to have the responsibility for the siting, design, construction, commissioning, operation 

or decommissioning of a nuclear installation. 

Article 3-Scope of Application 

This Convention shall apply to the safety of nuclear installations. 

CHAPTER 2 

OBLIGATIONS 

(a) General Provisions 

Article 4- Implementing Measures 

Each Contracting Party shall take, within the framework of its national law, the 

legislative, regulatory and administrative measures and other steps necessary for 

implementing its obligations under this Convention. 

Article 5-Reporting 

Each Contracting Party shall submit for review, prior to each meeting referred to in 

Article 20, a report on the measures it has taken to implement each of the obligations of 

this Convention. 

Article 6-Existing Nuclear Installations 

Each Contracting Party shall take the appropriate steps to ensure that the safety of 

nuclear installations existing at the time the Convention enters into force for that 

Contracting Party is reviewed as soon as possible. When necessary in the context of this 

Convention, the Contracting Party shall ensure that all reasonably practicable improvements are made as a matter of urgency to upgrade the safety of the nuclear 

installation. If such upgrading cannot be achieved, plans should be implemented to shut 

down the nuclear installation as soon as practically possible. The timing of the shutdown 

may take into account the whole energy context and possible alternatives as well as the 

social, environmental and economic impact.

18.4-4
(b) Legislation and Regulation

Article 7-Legislative and Regulatory Framework 

1. Each Contracting Party shall establish and maintain a legislative and regulatory 

framework to govern the safety of nuclear installations. 

2. The legislative and regulatory framework shall provide for: 

(i) the establishment of applicable national safety requirements and 

regulations; 

(ii) a system of licensing with regard to nuclear installations and the 

prohibition of the operation of a nuclear installation without a license; 

(iii) a system of regulatory inspection and assessment of nuclear installations 

to ascertain compliance with applicable regulations and the terms of licenses; 

(iv) the enforcement of applicable regulations and of the terms of licenses, 

including suspension, modification or revocation. 

Article 8-Regulatory Body 

1. Each Contracting Party shall establish or designate a regulatory body entrusted 

with the implementation of the legislative and regulatory framework referred to in 

Article 7, and provided with adequate authority, competence and financial and human 

resources to fulfill its assigned responsibilities. 

2. Each Contracting Party shall take the appropriate steps to ensure an effective 

separation between the functions of the regulatory body and those of any other body or 

organization concerned with the promotion or utilization of nuclear energy. 

Article 9-Responsibility of the License Holder 

Each Contracting Party shall ensure that prime responsibility for the safety of a 

nuclear installation rests with the holder of the relevant license and shall take the 

appropriate steps to ensure that each such license holder meets its responsibility. 

(c) General Safety Considerations 

Article 10-Priority to Safety 

Each Contracting Party shall take the appropriate steps to ensure that all organizations 

engaged in activities directly related to nuclear installations shall establish policies that 

give due priority to nuclear safety. 

Article 11-Financial and Human Resources 

1. Each Contracting Party shall take the appropriate steps to ensure that adequate 

financial resources are available to support the safety of each nuclear installation 

throughout its life. 

2. Each Contracting Party shall take the appropriate steps to ensure that sufficient 

numbers of qualified staff with appropriate education, training and retraining are 

available for all safety-related activities in or for each nuclear installation, throughout its 

life. 

Article 12-Human Factors 

Each Contracting Party shall take the appropriate steps to ensure that the capabilities 

and limitations of human performance are taken into account throughout the life of a 

nuclear installation.

18.4-5
Article 13-Quality Assurance 

Each Contracting Party shall take the appropriate steps to ensure that quality 

assurance programs are established and implemented with a view to providing confidence that specified requirements for all activities important to nuclear safety are 

satisfied throughout the life of a nuclear installation. 

Article 14-Assessment and Verification of Safety 

Each Contracting Party shall take the appropriate steps to ensure that: 

(i) comprehensive and systematic safety assessments are carried out before the 

construction and commissioning of a nuclear installation and throughout its life. Such 

assessments shall be well documented, subsequently updated in the light of operating experience and significant new safety information, and reviewed under the authority 

of the regulatory body; (ii) verification by analysis, surveillance, testing and inspection is carried out to 

ensure that the physical state and the operation of a nuclear installation continue to be 

in accordance with its design, applicable national safety requirements, and 

operational limits and conditions. 

Article 15-Radiation Protection 

Each Contracting Party shall take the appropriate steps to ensure that in all 

operational states the radiation exposure to the workers and the public caused by a 

nuclear installation shall be kept as low as reasonably achievable and that no individual 

shall be exposed to radiation doses which exceed prescribed national dose limits. 

Article 16-Emergency Preparedness 

1. Each Contracting Party shall take the appropriate steps to ensure that there are 

on-site and off-site emergency plans that are routinely tested for nuclear installations and 

cover the activities to be carried out in the event of an emergency. For any new nuclear 

installation, such plans shall be prepared and tested before it commences operation above 

a low power level agreed by the regulatory body. 2. Each Contracting Party shall take the appropriate steps to ensure that, insofar as 

they are likely to be affected by a radiological emergency, its own population and the 

competent authorities of the States in the vicinity of the nuclear installation are, provided with appropriate information for emergency planning and response. 3. Contracting Parties which do not have a nuclear installation on their territory, insofar as they are likely to be affected in the event of a radiological emergency at a 

nuclear installation in the vicinity, shall take the appropriate steps for the preparation and 

testing of emergency plans for their territory that cover the activities to be carried out in 

the event of such an emergency. 

(d) Safety of Installations 

Article 17-Siting 

Each Contracting Party shall take the appropriate steps to ensure that appropriate 

procedures are established and implemented: 

(i) for evaluating all relevant site-related factors likely to affect the safety of a 

nuclear installation for its projected lifetime; 

(ii) for evaluating the likely safety impact of a proposed nuclear installation on 

individuals, society and the environment;

18.4-6
(iii) for re-evaluating as necessary all relevant factors referred to in 

sub-paragraphs (i) and (ii) so as to ensure the continued safety acceptability of the 

nuclear installation; (iv) for consulting Contracting Parties in the vicinity of a 

proposed nuclear installation, insofar as they are likely to be affected by that 

installation and, upon request providing the necessary information to such 

Contracting Parties, in order to enable them to evaluate and make their own 

assessment of the likely safety impact on their own. 

territory of the nuclear installation. 

Article 18-Design and Construction 

Each Contracting Party shall take the appropriate steps to ensure that: 

(i) the design and construction of a nuclear installation provides for several 

reliable levels and methods of protection (defense in depth) against the release of 

radioactive materials, with a view to preventing the occurrence of accidents and to 

mitigating their radiological consequences should they occur; 

(ii) the technologies incorporated in the design and construction of a nuclear 

installation are proven by experience or qualified by testing or analysis; 

(iii) the design of a nuclear installation allows for reliable, stable and easily 

manageable operation, with specific consideration of human factors and the 

man-machine interface. 

Article 19-Operation 

Each Contracting Party shall take the appropriate steps to ensure that: 

(i) the initial authorization to operate a nuclear installation is based upon an 

appropriate safety analysis and a commissioning program demonstrating that the 

installation, as constructed, is consistent with design and safety requirements; 

(ii) operational limits and conditions derived from the safety analysis, tests and 

operational experience are defined and revised as necessary for identifying safe 

boundaries for operation; 

(iii) operation, maintenance, inspection and testing of a nuclear installation are 

conducted in accordance with approved procedures; 

(iv) procedures are established for responding to anticipated operational 

occurrences and to accidents; 

(v) necessary engineering and technical support in all safety related fields is 

available throughout the lifetime of a nuclear installation; 

(vi) incidents significant to safety are reported in a timely manner by the holder of 

the relevant license to the regulatory body; 

(vii) programs to collect and analyze operating experience are established, the 

results obtained and the conclusions drawn are acted upon and that existing 

mechanisms are used to share important experience with international bodies and 

with other operating organizations and regulatory bodies; 

.(viii) the generation of radioactive waste resulting from the operation of nuclear 

installation is kept to the minimum practicable for the process concerned, both in 

activity and in volume, and any necessary treatment and storage of spent fuel and 

waste directly related to the operation and on the same site as that of the nuclear 

installation take into consideration conditioning and disposal.

18.4-7
CHAPTER 3 

MEETINGS OF THE CONTRACTING PARTIES 

Article 20-Review Meetings 

1. The Contracting Parties shall hold meetings (hereinafter referred to as "review 

meetings") for the purpose of reviewing the reports submitted pursuant to Article 5 in 

accordance with the procedures adopted under Article 22. 

2. Subject to the provisions of Article 24 sub-groups comprised of representatives of 

Contracting Parties may be established and may function during the review meetings as 

deemed necessary for the purpose of reviewing specific subjects contained in the reports. 3. Each Contracting Party shall have a reasonable opportunity to discuss the reports submitted by other Contracting Parties and to seek clarification of such reports. 

Article 21-Timetable 

1. A preparatory meeting of the Contracting Parties shall be held not later than six 

months after the date of entry into force of this Convention. 

2. At this preparatory meeting, the Contracting Parties shall determine the date for 

the first review meeting. This review meeting shall be held as soon as possible, but not 

later than thirty months after the date of entry into force of this Convention. 

3. At each review meeting, the Contracting Parties shall determine the date for the 

next such meeting. The interval between review meetings shall not exceed three years. 

Article 22-Procedural Arrangements 

1. At the preparatory meeting held pursuant to Article 21 the Contracting Parties shall 

prepare and adopt by consensus Rules of Procedure and Financial Rules. The 

Contracting Parties shall establish in particular and in accordance with the Rules of 

Procedure: 

(i) guidelines regarding the form and structure of the reports to be submitted 

pursuant to Article 5; 

(ii) a date for the submission of such reports; 

(iii) the process for reviewing such reports; 

2. At review meetings the Contracting Parties may, if necessary, review the 

arrangements established pursuant to subparagraphs (i)-(iii) above, and adopt revisions 

by consensus unless otherwise provided for in the Rules of Procedure. They may also 

amend the Rules of Procedure and the Financial Rules, by consensus. 

Article 23-Extraordinary Meetings 

An extraordinary meeting of the Contracting Parties shall be held: 

(i) if so agreed by a majority of the Contracting Parties present and voting at a 

meeting, abstentions being considered as voting; or 

(ii) at the written request of a Contracting Party, within six months of this request having been communicated to the Contracting Parties and notification having been 

received by the secretariat referred to in Article 28, that the request has been 

supported by a majority of the Contracting Parties. 

Article 24-Attendance 

1. Each Contracting Party shall attend meetings of the Contracting Parties and be 

represented at such meetings by one delegate, and by such alternates, experts and 

advisers as it deems necessary.

18.4-8
2. The Contracting Parties may invite, by consensus, any intergovernmental 

organization which is competent in respect of matters governed by this Convention to 

attend, as an observers, any meeting, or specific sessions thereof. Observers shall be 

required to accept in writing, and in advance, the provisions of Article 27. 

Article 25-Summary Reports 

The Contracting Parties shall adopt, by consensus, and make available to the public a 

document addressing issues discussed and conclusions reached during a meeting. 

Article 26-Languages 

1. The languages of meetings of the Contracting Parties shall be Arabic, Chinese, 

English, French, Russian and Spanish unless otherwise provided in the Rules of 

Procedure. 

2. Reports submitted pursuant to Article 5 shall be prepared in the national language 

of the submitting Contracting Party or in a single designated language to be agreed in the 

Rules of Procedure. Should the report be submitted in a national language other than the 

designated language, a translation of the report into the designated language shall be 

provided by the Contracting Party. 

3. Notwithstanding the provisions of paragraph 2, if compensated, the secretariat will 

assume the translation into the designated language of reports submitted in any other 

language of the meeting. 

Article 27-Confidentiality 

1. The provisions of this Convention shall not affect the rights and obligations of the 

Contracting Parties under their law to protect information from disclosure. For the 

purposes of this Article, "information" includes, inter alia: 

(i) personal data; 

(ii) information protected by intellectual property rights or by industrial or 

commercial confidentiality; and 

(iii) information relating to national security or to the physical protection of 

nuclear materials or nuclear installations. 

2. When, in the context of this Convention, a Contracting Party provides information 

identified by it as protected as described in paragraph 1, such information shall be used 

only for the purposes for which it has been provided and its confidentiality shall be 

respected. 

3. The content of the debates during the reviewing of the reports by the Contracting 

Parties at each meeting shall be confidential. 

Article 28-Secretariat 

1. The International Atomic Energy Agency, (hereinafter referred to as the "Agency") 

shall provide secretariat for the meetings of the Contracting Parties. 

2. The secretariat shall: 

(i) convene, prepare and service the meetings of the Contracting Parties; 

(ii) transmit to the Contracting Parties information received or prepared in 

accordance with the provisions of this Convention. 

The costs incurred by the Agency in carrying out the functions referred to in 

subparagraphs (i) and (ii) above shall be borne by the Agency as part of its regular 

budget. 

3. The Contracting Parties may, by consensus, request the Agency to provide other 

services in support of meetings of the Contracting Parties. The Agency may provide such 

services if they can be undertaken within its program and regular budget. Should this not

18.4-9
be possible, the Agency may provide such services if voluntary funding is provided from 

another source. 

CHAPTER 4 

FINAL CLAUSES AND OTHER PROVISIONS 

Article 29-Resolution of Disagreements 

In the event of a disagreement between two or more Contracting Parties concerning the interpretation or application of this Convention, the Contracting Parties shall consult 

within the framework of a meeting of the Contracting Parties with a view to resolving the 

disagreement. 

Article 30-Signature, Ratification, Acceptance, Approval, Accession 

1. This Convention shall be open for signature by all States at the Headquarters of the 

Agency in Vienna from 20 September 1994 until its entry into force. 

2. This Convention is subject to ratification, acceptance or approval by the signatory States. 

3. After its entry into force, this Convention shall be open for accession by all States. 

4. (i) This Convention shall be open for signature or accession by regional organizations of an integration or other nature, provided that any such organization is 

constituted by sovereign States and has competence in respect of the negotiation, conclusion and application of international agreements in matters covered by this 

Convention. 

(ii) In matters within their competence, such organizations shall, on their own 

behalf, exercise the rights and fulfill the responsibilities which this Convention attributes 

to States Parties. 

(iii) When becoming party to this Convention, such an organization shall 

communicate to the Depositary referred to in Article 34, a declaration indicating which 

States are members thereof, which articles of this Convention apply to it, and the extent 

of its competence in the field covered by those articles. 

(iv) Such an organization shall not hold any vote additional to those of its 

Member States. 

5. Instruments of ratification, acceptance, approval or accession shall be deposited with the Depositary. 

Article 31-Entry Into Force 

1. This Convention shall enter into force on the ninetieth day after the date of deposit with the Depositary of the twenty-second instrument of ratification, acceptance or 

approval, including the instruments of seventeen States, each having at least one nuclear 

installation which has achieved criticality in a reactor core. 

2. For each State or regional organization of an integration or other nature which 

ratifies, accepts, approves or accedes to this Convention after the date of deposit of the 

last instrument required to satisfy the conditions set forth paragraph 1, this Convention 

shall enter into force on the ninetieth day after the date of deposit with the Depositary of 

the appropriate instrument by such a State or organization. 

Article 32-Amendments to the Convention 

1. Any Contracting Party may propose an amendment to this Convention. Proposed amendments shall be considered at a review meeting or an extraordinary meeting. 2. The text of any proposed amendment and the reasons for it shall be provided to the 

Depositary who shall communicate the proposal to the Contracting Parties promptly and

18.4-10
at least ninety days before the meeting for which it is submitted for consideration. Any 

comments received on such a proposal shall be circulated by the Depositary to the 

Contracting Parties. 

3. The Contracting Parties shall decide after consideration of the proposed 

amendment whether to adopt it by consensus, or, in the absence of consensus, to submit 

it to a Diplomatic Conference. A decision to submit a proposed amendment to a 

Diplomatic Conference shall require a two-thirds majority vote of the Contracting Parties 

present and voting at the meeting, provided that at least one half of the Contracting 

Parties are present at the time of voting. Abstentions shall be considered as voting. 

4. The Diplomatic Conference to consider and adopt amendments to this Convention 

shall be convened by the Depositary and held no later than one year after the appropriate 

decision taken in accordance with paragraph 3 of this Article. The Diplomatic 

Conference shall make every effort to ensure amendments are adopted by consensus. 

Should this not be possible, amendments shall be adopted with a two-thirds majority of 

all Contracting Parties. 

5. Amendments to this Convention adopted pursuant to paragraphs 3 and 4 above 

shall be subject to ratification, acceptance, approval, or confirmation by the Contracting 

Parties and shall enter into force for those Contracting Parties which have ratified, 

accepted, approved or confirmed them on the ninetieth day after the receipt by the 

Depositary of the relevant instruments by at least three fourths of the Contracting Parties. 

For a Contracting Party which subsequently ratifies, accepts, approves or confirms the 

said amendments, the amendments will enter into force on the ninetieth day after that 

Contracting Party has deposited its relevant instrument. 

Article 33-Denunciation 

1. Any Contracting Party may denounce this Convention by written notification to the 

Depositary. 

2. Denunciation shall take effect one year following the date of the receipt of the 

notification by the Depositary, or on such later date as may be specified in the 

notification. 

Article 34-Depositary 

1. The Director General of the Agency shall be the Depositary of this Convention. 

2. The Depositary shall inform the Contracting Parties of: 

(i) the signature of this Convention and of the deposit of instruments of 

ratification, acceptance, approval or accession, in accordance with Article 30; 

(ii) the date on which the Convention enters into force, in accordance with 

Article 31; 

(iii) the notifications of denunciation of the Convention and the date thereof, 

made in accordance with Article 33; 

(iv) the proposed amendments to this Convention submitted by Contracting 

Parties, the amendments adopted by the relevant Diplomatic Conference or by the 

meeting of the Contracting Parties, and the date of entry into force of the said 

amendments, in accordance with Article 32. 

Article 35-Authentic Texts 

The original of this Convention of which the Arabic, Chinese, English, French, 

Russian and Spanish texts are equally authentic, shall be deposited with the Depositary, 

who shall send certified copies thereof to the Contracting Parties.

18.4-11
IN WITNESS WHEREOF, the undersigned, being duly authorized to that effect, have 

signed this Convention. 

DONE AT VIENNA on the 20th day of September 1994. 

SIGNATORIES AND PARTIES ON THE 

CONVENTION ON NUCLEAR SAFETY 

Signature, Ratification, Acceptance, Approval or Accession by States or 

Organizations 

Means and Date of 

State/ Date of Expression of 

Organization Signature Consent to be Bound Entry into Force

Algeria 

Argentina* 

Armenia* 

Australia 

Austria 

Bangladesh 

Belarus 

Belgium* 

Brazil* 

Bulgaria* 

Canada* 

Chile 

China* 

Croatia 

Cuba 

Cyprus 

Czech Republic* 

Denmark 

Egypt 

Finland* 

France* 

Germany* 

Ghana 

Greece 

Hungary* 

Iceland 

India* 

Indonesia 

Ireland 

Israel 

Italy 

Japan* 

Jordan 

Kazakhstan* 

Korea*, Rep. of 

Latvia 

Lebanon 

Lithuania*

20 Sep 1994

20 Sep 1994 

20 Sep 1994 

6 Jul 1995 

21 Sep 1995 

20 Sep 1994 (* 

20 Sep 1994 

22 Sep 1994 

6 Dec 1994 

20 Sep 1996

17 Apr 1997, ratified 

21 Sep 1998, ratified 

24 Dec 1996, ratified 

26 Aug 1997, ratified 

21 Sep 1995, accepted 

29 Oct 1998, acceded 

13 Jan 1997, ratified 

4 Mar 1997, ratified 

8 Nov 1995, ratified 

12 Dec 1995, ratified 

20 Dec 1996, ratified 

9 Apr 1996, ratified 

18 Apr 1996, approved 

17 Mar 1999, acceded 

18 Sep 1995, approved 

13 Nov 1998, accepted * 

22 Jan 1996, accepted 

13 Sep 1995, approved 

20 Jan 1997, ratified 

20 Jun 1997, ratified 

18 Mar 1996, ratified 

11 Jul 1996, ratified 

15 Apr 1998, ratified 

12 May 1995, accepted 

19 Sep 1995, ratified 

25 Oct 1996, acceded 

5 Jun 1996, ratified 

12 Jun 1996. ratified

18.4-12

24 Oct 1996 

24 Oct 1996 

24 Oct 1996 

24 Oct 1996 

24 Oct 1996 

24 Oct 1996 

24 Oct 1996 

24 Oct 1996 

24 Oct 1996 

24 Oct 1996 

24 Oct 1996 

24 Oct 1996 

24 Oct 1996 

24 Oct 1996 

24 Oct 1996 

24 Oct 1996 

24 Oct 1996 

24 Oct 1996 

24 Oct 1996 

24 Oct 1996 

24 Oct 1996 

24 Oct 1996 

24 Oct 1996 

24 Oct 1996 

24 Oct 1996 

24 Oct 1996 

24 Oct 1996 

24 Oct 1996 

24 Oct 1996 

24 Oct 1996 

24 Oct 1996 

24 Oct 1996 

24 Oct 1996 

24 Oct 1996 

24 Oct 1996 

24 Oct 1996 

24 Oct 1996
Means and Date of 

State/ Date of Expression of 

Organization Signature Consent to be Bound

Luxembourg 

Mali 

Mexico* 

Monaco 

Morocco 

Netherlands* 

Nicaragua 

Nigeria 

Norway 

Pakistan* 

Peru 

Philippines 

Poland 

Portugal 

Republic of Moldova 

Romania* 

Russian Federation* 

Singapore 

Slovakia* 

Slovenia* 

South Africa* 

Spain* 

Sri Lanka 

Sudan 

Sweden* 

Switzerland* 

Syrian Arab Republic 

Tunisia 

Turkey 

Ukraine* 

United Kingdom* 

United States* 

Uruguav

16 Sep 1996 

1 Dec 1994 

23 Sep 1994 

21 Sep 1994 

14 Oct 1994 

20 Sept 1994 

23 Sep 1994 

20 Sep 1994 

28 Feb 1996

7 Apr 1997, ratified 

13 May 1996, ratified 

26 Jul 1996, ratified 

15 Oct 1996, accepted' 

29 Sep 1994, ratified 

30 Sep 1997, ratified 

1 Jul 1997, ratified 

14 Jun 1995, ratified 

20 May 1998, ratified 

7 May 1998, acceded 

1 Jun 1995, ratified 

12 Jul 1996, accepted 

15 Dec 1997, acceded 

7 Mar 1995, ratified 

20 Nov 1996, ratified 

24 Dec 1996, ratified 

4 Jul 1995, ratified 

11 Aug 1999, acceded 

11 Sep 1995, ratified 

12 Sep 1996, ratified 

8 Mar 1995, ratified 

8 Apr 1998, ratified(*) 

17 Jan 1996, ratified 2 

11 Apr 1999, ratified

Entry into Force 

24 Oct 1996 

24 Oct 1996 

24 Oct 1996 

24 Oct 1996 

24 Oct 1996 

24 Oct 1996 

24 Oct 1996 

24 Oct 1996 

24 Oct 1996 

24 Oct 1996 

24 Oct 1996 

24 Oct 1996 

24 Oct 1996 

24 Oct 1996 

24 Oct 1996 

24 Oct 1996 

24 Oct 1996 

24 Oct 1996 

24 Oct 1996 

24 Oct 1996 

24 Oct 1996 

24 Oct 1996 

24 Oct 1996 

24 Oct 1996 

24 Oct 1996 

24 Oct 1996 

24 Oct 1996 

24 Oct 1996 

24 Oct 1996 

24 Oct 1996 

24 Oct 1996 

24 Oct 1996 

24 Oct 1996

'For the Kingdom in Europe. 

2 For the United Kingdom of Great Britain and Northern Ireland, the Bailiwick of Guernsey, 

the Bailiwick of Jersey and the Isle of Man. 

* Indicates that the State has at least one nuclear installation which has achieved criticality in a 

reactor core; sources: Table I "Nuclear Power Reactors in Operation and Under Construction, 31 

Dec 1997", Apr 1998 Edition of "Nuclear Power Reactors in the World", Reference Data Series 

No. 2, IAEA, Vienna; Government notification. 

1*> Indicates reservation/declaration, was deposited. 

Note: The Convention, pursuant to Article 31.1, entered into force on the ninetieth day after 

the date of deposit with the Depositary of the twenty-second instrument of ratification, acceptance 

or approval, including the instruments of seventeen States, each having at least one nuclear 

installation which has achieved criticality in a reactor core, i.e. 24 Oct 1996.

18.4-13
CONVENTION ON ASSISTANCE IN THE CASE OF A NUCLEAR 

ACCIDENT OR RADIOLOGICAL EMERGENCY 

TABLE OF CONTENTS 

Page 

Article I General Provisions ...................................... 2 

Article 2 Provisions of Assistance ..................................... 2 

Article 3 Direction and Control of Assistance .......................... 3 

Article 4 Competent Authorities and Points of Contact ..................... 3 

Article 5 Functions of the Agency ..................................... 4 

Article 6 Confidentiality and Public Statements ............................ 4 

Article 7 Reimbursement of Costs ..................................... 4 

Article 8 Privileges, Immunities and Facilities ............................ 5 

Article 9 Transit of Personnel, Equipment and Property .................... 6 

Article 10 Claims and Compensation .................................... 6 

Article 11 Termination of Assistance .................................... 6 

Article 12 Relationship to Other International Agreements ................... 6 

Article 13 Settlement of Disputes ....................................... 7 

Article 14 Entry into Force ............................................ 7 

Article 15 Provisional Application ...................................... 8 

Article 16 Amendments .............................................. 8 

Article 17 Denunciation .............................................. 8 

Article 18 Depositary ................................................ 8 

Article 19 Authentic Texts and Certified Copies ........................... 8 

Table Signature, Ratification, Acceptance, Approval or Accession by States or Organizations ................................... 9

18.5-1
CONVENTION ON ASSISTANCE IN THE CASE OF A NUCLEAR 

ACCIDENT OR RADIOLOGICAL EMERGENCY 

ADOPTED SEPTEMBER 26,1986 

THE STATES PARTIES TO THIS CONVENTION, 

AWARE that nuclear activities are being carried out in a number of States, 

NOTING THAT comprehensive measures have been and are being taken to ensure a 

high level of safety in nuclear activities, aimed at preventing nuclear accidents and 

minimizing the consequences of any such accident, should it occur, 

DESIRING to strength further international co-operation in the safe development and 

use of nuclear energy, 

CONVINCED of the need for an international framework which will facilitate the 

prompt provision of assistance in the event of a nuclear accident or radiological 

emergency to mitigate its consequences, 

NOTING the usefulness of bilateral and multilateral arrangements on mutual 

assistance in this area, 

NOTING the activities of the International Atomic Energy Agency in developing 

guidelines for mutual emergency assistance arrangements in connection with a nuclear 

accident or radiological emergency, 

HAVE AGREED as follows: 

Article 1 - General provisions 

1. The States Parties shall cooperate between themselves and with the International 

Atomic Energy Agency (hereinafter referred to as the "Agency") in accordance with the 

provisions of this Convention to facilitate prompt assistance in the event of a nuclear 

accident or radiological emergency to minimize its consequences and to protect life, 

property and the environment from the effects of radioactive releases. 

2. To facilitate such cooperation States Parties may agree on bilateral or 

multilateral arrangements or, where appropriate, a combination of these, for preventing or 

minimizing injury and damage which may result in the event of a nuclear accident or 

radiological emergency. 

3. The States Parties request the Agency, acting within the framework of its 

Statute, to use its best endeavours in accordance with the provisions of this Convention 

to promote, facilitate and support the cooperation between States Parties provided for in 

this Convention. 

Article 2 - Provisions of Assistance 

I. If a State Party needs assistance in the event of a nuclear accident or radiological 

emergency, whether or not such accident or emergency originates within its territory, 

jurisdiction or control, it may call for such assistance from any other State Party, directly 

or through the Agency, and from the Agency, or, where appropriate, from other 

international intergovernmental organizations (hereinafter referred to as "international 

organizations"). 

2. A State Party requesting assistance shall specify the scope and type of 

assistance required and, where practicable, provide the assistance party with such 

information as may be necessary for that party to determine the extent to which it is able 

to meet the request. In the event that it is not practicable for the requesting State Party to 

specify the scope and type of assistance required, the requesting State Party and the 

assisting party shall, in consultation, decide upon the scope and type of assistance 

required. 

18.5-2
3. Each State Party to which a request for such assistance is directed shall 

promptly decide and notify the requesting State Party, directly or through the Agency, whether it is in a position to render the assistance requested, and the scope and terms of 

the assistance that might be rendered. 

4. States Parties shall, within the limits of their capabilities, identify and notify the 

Agency of experts, equipment and materials which could be made available for the 

provision of assistance to other States Parties in the event of a nuclear accident or 

radiological emergency as well as the terms, especially financial, under which such 

assistance could be provided. 

5. Any State Party may request assistance relating to medical treatment or 

temporary relocation into the territory of another State Party of people involved in a 

nuclear accident or radiological emergency. 

6. The Agency shall respond, in accordance with its Statute and as provided for in 

this Convention, to a requesting State Party's or a Member State's request for assistance 

in the event of a nuclear accident or radiological emergency by: (a) making appropriate resources allocated for this purpose; (b) transmitting promptly the request to other States and international 

organizations which, according to the Agency's information, may possess the necessary 

resources; and 

(c) if so requested by the requesting State, co-ordinating the assistance at the 

international level which may thus become available. 

Article 3 - Direction and Control of Assistance 

Unless otherwise agreed: 

(a) the overall direction, control, co-ordination and supervision of the assistance 

shall be the responsibility within its territory of the requesting State. The assisting party should, where the assistance involves personnel, designate in consultation with the 

requesting State, the person who should be in charge of and retain immediate operational supervision over the personnel and the equipment provided by it. The designated person should exercise such supervision in cooperation with the appropriate authorities of the 

requesting State; 

(b) the requesting State shall provide, to the extent of its capabilities, local 

facilities and services for the proper and effective administration of the assistance. It 

shall also ensure the protection of personnel, equipment and materials brought into its 

territory by or on behalf of the assisting party for such purpose; (c) ownership of equipment and materials provided by either party during the 

periods of assistance shall be unaffected, and their return shall be ensured; (d) a State Party providing assistance in response to a request under paragraph 5 

of article 2 shall co-ordinate that assistance within its territory. 

Article 4 - Competent authorities and Points of Contact 

1. Each State Party shall make known to the Agency and to other States Parties, 

directly or through the Agency, its competent authorities and point of contact authorized 

to make and receive requests for and to accept offers of assistance. Such points of 

contact and a focal point within the Agency shall be available continuously. 2. Each State Party shall promptly inform the Agency of any changes that may 

occur in the information referred to in paragraph 1. 

3. The Agency shall regularly and expeditiously provide to States Parties, Member 

States and relevant international organizations the information referred to in paragraphs 1 

and 2.

18.5-3
Article 5 - Functions of the Agency 

The States Parties request the Agency, in accordance with paragraph 3 of article I 

and without prejudice to other provisions of this Convention, to: 

(a) collect and disseminate to States Parties and Member States information 

concerning: 

(i) experts, equipment and materials which could be made available in the 

event of nuclear accidents or radiological emergencies; 

(ii) methodologies, techniques and available results of research relating to 

response to nuclear accidents or radiological emergencies; 

(b) assist a State Party or a Member State when requested in any of the following 

or other appropriate matters: 

(i) preparing both emergency plans in the case of nuclear accidents and 

radiological emergencies and the appropriate legislation; 

(ii) developing appropriate training programmes for personnel to deal with 

nuclear accidents and radiological emergencies; 

(iii) transmitting requests for assistance and relevant information in the 

event of nuclear accident or radiological emergency; 

(iv) developing appropriate radiation monitoring programmes, procedures 

and standards; 

(v) conducting investigations into the feasibility of establishing appropriate 

radiation monitoring systems; and public 

(c) make available to a State Party or a Member State requesting assistance in the 

event of a nuclear accident or radiological emergency appropriate resources allocated for 

the purpose of conducting an initial assessment of the accident or emergency; 

(d) offer its good offices to the States Parties and Member States in the event of a 

nuclear accident or radiological emergency; 

(e) establish and maintain liaison with relevant international organizations for the 

purposes of obtaining and exchanging relevant information and data, and make a list of 

such organizations available to States Parties, Member States and the aforementioned 

organizations. 

Article 6 - Confidentiality and Public Statements 

1. The requesting State and the assisting party shall protect the confidentiality of any 

confidential information that becomes available to either of them in connection with the 

assistance in the event of a nuclear accident or radiological emergency. Such information 

shall be used exclusively for the purpose of the assistance agreed upon. 

2. The assisting party shall make every effort to coordinate with the requesting 

State before releasing information to the public on the assistance provided in connection 

with a nuclear accident or radiological emergency. 

Article 7 - Reimbursement of Costs 

1. An assisting party may offer assistance without costs to the requesting State. When 

considering whether to offer assistance on such a basis, the assisting party shall take into 

account: 

(a) the nature of the nuclear accident or radiological emergency; 

(b) the place of origin of the nuclear accident or radiological emergency; 

(c) the needs of developing countries; 

(d) the particular needs of countries without nuclear facilities; and 

(e) any other relevant factors. 

2. When assistance is provided wholly or partly on a reimbursement basis, the 

requesting State shall reimburse the assisting party for the costs incurred for the services

18.5-4
rendered by persons or organizations acting on its behalf, and for all expenses in 

connection with the assistance to the extent that such expenses are not directly defrayed by the requesting State. Unless otherwise agreed, reimbursement shall be provided promptly after the assisting party has presented its request for reimbursement to the 

requesting State, and in respect of costs other than local costs, shall be freely transferable. 

3. Notwithstanding paragraph 2, the assisting party may at any time waive, or 

agree to the postponement of, the reimbursement in whole or in part. In considering such 

waiver or postponement, assisting parties shall give due consideration to the needs of 

developing countries. 

Article 8 - Privileges, Immunities and Facilities 

1. The requesting State shall afford to personnel of the assisting party and personnel acting on its behalf the necessary privileges, immunities and facilities for the 

performance of their assistance functions. 

2. The requesting State shall afford the following privileges and immunities to 

personnel of the assisting party or personnel acting on its behalf who have been duly notified to and accepted by the requesting State: 

(a) immunity from arrest, detention and legal process, including criminal, civil and 

administrative jurisdiction, of the requesting State, in respect of acts or omissions in the 

performance of their duties; and 

(b) exemption from taxation, duties or other charges, except those which are normally incorporated in the price of goods or paid for services rendered, in respect of the 

performance of their assistance functions. 

3. The requesting State shall: 

(a) afford the assisting party exemption from taxation, duties or other charges on 

the equipment and property brought into the territory of the requesting State by the 

assisting party for the purpose of the assistance; and 

(b) provide immunity from seizure, attachment, or requisition of such equipment and 

property. 

4. The requesting State shall ensure the return of such equipment and property. If requested by the assisting party, the requesting State shall arrange, to the extent it is able 

to do so, for the necessary decontamination of recoverable equipment involved in the 

assistance before its return. 

5. The requesting State shall facilitate the entry into, stay in and departure from its national territory of personnel notified pursuant to paragraph 2 and of equipment and 

property involved in the assistance. 

6. Nothing in this article shall require the require the requesting State to provide its nationals or permanent residents with the privileges and immunities provided for in 

the foregoing paragraphs. 

7. Without prejudice to the privileges and immunities, all beneficiaries enjoying such privileges and immunities under this article have a duty to respect the laws and 

regulations of the requesting State. They shall also have the duty not to interfere in the 

domestic affairs of the requesting State. 

8. Nothing in this article shall prejudice rights and obligations with respect to 

privileges and immunities afforded pursuant to other international agreements or the rules 

of customary international law. 

9. When signing, ratifying, accepting, approving or acceding to this Convention, a State may declare that it does not consider itself bound in whole or in part by paragraphs 

2 and 3. 

10. A State Party which has made a declaration in accordance with paragraph 9 

may at any time withdraw it by notification to the depositary.

18.5-5
Article 9 - Transit of Personnel, Equipment and Property 

Each State Party shall, at the request of the requesting State or the assisting party, 

seek to facilitate the transit through its territory of duly notified personnel, equipment and 

property involved in the assistance to and from the requesting State. 

Article 10 - Claims and Compensation 

1. The States Parties shall closely cooperate in order to facilitate the settlement of 

legal proceedings and claims under this article. 

2. Unless otherwise agreed, a requesting State shall in respect of death or injury to 

persons, damage to or loss of property, or damage to the environment caused within its 

territory or other area under its jurisdiction or control in the course of providing the 

assistance requested: 

(a) not bring any legal proceedings against the assisting party or persons or 

other legal entities acting on its behalf; 

(b) assume responsibility for dealing with legal proceedings and claims 

brought by third parties against the assisting party or against persons or other legal 

entities acting on its behalf; 

(c) hold the assisting party or persons or other legal entities acting on its 

behalf harmless in respect of legal proceedings and claims referred to in 

sub-paragraph (b); and 

(d) compensate the assisting party or persons or other legal entities acting on 

its behalf for: 

(i) death of or injury to personnel of the assisting party or persons acting 

on its behalf; 

(ii) loss of or damage to non-consumable equipment or materials related to 

the assistance; except in cases of willful misconduct by the individuals who 

caused the death, injury, loss or damage. 

3. This article shall not prevent compensation or indemnity available under any 

applicable international agreement or national law of any State. 

4. Nothing in this article shall require the requesting State to apply paragraph 2 in 

whole or in part to its nationals or permanent residents. 

5. When signing, ratifying, accepting, approving or acceding to this Convention, a 

State may declare: 

(a) that it does not consider itself bound in whole or in part by paragraph 2; 

(b) that it will not apply paragraph 2 in whole or in part in cases of gross 

negligence by the individuals who caused the death, injury, loss or damage. 

6. A State Party which has made a declaration in accordance with paragraph 5 

may at any time withdraw it by notification to the depositary. 

Article 11 - Termination of Assistance 

The requesting State or the assisting party may at any time, after appropriate 

consultations and by notification in writing, request the termination of assistance 

received or provided under this Convention. Once such a request has been made, the 

parties involved shall consult with each other to make arrangements for the proper 

conclusion of the assistance. 

Article 12 - Relationship to Other International Agreements 

This Convention shall not affect the reciprocal rights and obligations of States Parties 

under existing international agreements which relate to the matters covered by this 

Convention, or under future international agreements concluded in accordance with the 

object and purpose of this Convention.

18.5-6
Article 13 - Settlement of Disputes 

1. In the event of a dispute between States Parties, or between a State Party and the 

Agency, concerning the interpretation or application of this Convention, the parties to the 

dispute shall consult with a view to the settlement of the dispute by negotiation or by any other peaceful means of settling disputes acceptable to them. 

2. If a dispute of this character between States Parties cannot be settled within one 

year from the request for consultation pursuant to paragraph 1, it shall, at the request of 

any party to such dispute, be submitted to arbitration or referred to the International 

Court of Justice for decision. Where a dispute is submitted to arbitration, if, within six 

months from the date of the request, the parties to the dispute are unable to agree on the 

organization of the arbitration, a party may request the President of the International 

Court of Justice or the Secretary-General of the United Nations to appoint one or more 

arbitrators. In cases of conflicting requests by the parties to the dispute, the request to the 

Secretary-General of the United Nations shall have priority. 3. When signing, ratifying, accepting, approving or acceding to this Convention, a 

State may declare that it does not consider itself bound by either or both of the dispute settlement procedures provided for in paragraph 2. The other States Parties shall not be 

bound by a dispute settlement procedure provided for in paragraph 2 with respect to a 

State Party for which such a declaration is in force. 

4. A State Party which has made a declaration in accordance with paragraph 3 

may at any time withdraw it by notification to the depositary. 

Article 14 - Entry into Force 

1. This Convention shall be open for signature by all States and Namibia, represented by the United Nations Council for Namibia, at the Headquarters of the International 

Atomic Energy Agency in Vienna and at the Headquarters of the United Nations in New 

York, from 26 September 1986 and 6 October 1986 respectively, until its entry into force 

or for twelve months, whichever period is longer. 2. A State and Namibia, represented by the United Nations Council for Namibia, 

may express its consent to be bound by this Convention either by signature, or by deposit of an instrument of ratification, acceptance or approval following signature made subject to ratification, acceptance or approval, or by deposit of an instrument of accession. The 

instruments of ratification, acceptance, approval or accession shall be deposited with the 

depositary. 

3. This Convention shall enter into force thirty days after consent to be bound has 

been expressed by three States. 

4. For each State expressing consent to be bound by this Convention after its entry into force, this Convention shall enter into force for that Sate thirty days after the date of 

expression of consent. 

5. (a) This Convention shall be open for accession, as provided for in this article, by international organizations and regional integration organizations constituted by sovereign States, which have competence in respect of the negotiation, conclusion and 

application of international agreements in matters covered by this Convention. 

(b) In matters within their competence such organizations shall, on their own 

behalf, exercise the rights and fulfill the obligations which this Convention attributes 

to States Parties. 

(c) When depositing its instrument of accession, such an organization shall 

communicate to the depositary a declaration indicating the extent of its competence in 

respect of matters covered by this Convention. 

(d) Such an organization shall not hold any vote additional to those of its 

Member States.

18.5-7
Article 15 - Provisional Application 

A State may, upon signature or at any later date before this Convention enters into 

force for it, declare that it will apply this Convention provisionally. 

Article 16 - Amendments 

1. A State Party may propose amendments to this Convention. The proposed 

amendment shall be submitted to the depositary who shall circulate it immediately to all 

other States Parties. 

2. If a majority of the States Parties request the depositary to convene a 

conference to consider the proposed amendments, the depositary shall invite all States 

Parties to attend such a conference to begin not sooner than thirty days after the 

invitations are issued. Any amendment adopted at the conference by a two-thirds 

majority of all States Parties shall be laid down in a protocol which is open to signature 

in Vienna and New York by all States Parties. 

3. The protocol shall enter into force thirty days after consent to be bound has 

been expressed by three States. For each State expressing consent to be bound by the 

protocol after its entry into force, the protocol shall enter into force for that State thirty 

days after the date of expression of consent. 

Article 17 - Denunciation 

1. A State Party may denounce this Convention by written notification to the 

depositary. 

2. Denunciation shall take effect one year following the date on which the 

notification is received by the depositary. 

Article 18 - Depositary 

1. The Director General of the Agency shall be the depositary of this Convention. 

2. The Director General of the Agency shall promptly notify States Parties and all 

other States of: 

(a) each signature of this Convention or any protocol of amendment; 

(b) each deposit of an instrument of ratification, acceptance, approval or 

accession concerning this Convention or any protocol of amendment; 

(c) any declaration or withdrawal thereof in accordance with articles 8, 10 and 

13; 

(d) any declaration of provisional application of this Convention in accordance 

with article 15; 

(e) the entry into force of this Convention and of any amendment thereto; and 

(f) any denunciation made under article 17. 

Article 19 - Authentic Texts and Certified Copies 

The original of this Convention, of which the Arabic, Chinese, English, French, 

Russian and Spanish texts are equally authentic, shall be deposited with the Director 

General of the International Atomic Energy Agency who shall send certified copies to 

States Parties and all other States. 

IN WITNESS WHEREOF the undersigned, being duly authorized, have signed 

this Convention, open for signature as provided for in paragraph 1 of article 14. 

ADOPTED by the General Conference of the International Atomic Energy 

Agency meeting in special session at Vienna on the twenty-sixth day of September one 

thousand nine hundred and eighty-six.

18.5 - 8
CONVENTION ON ASSISTANCE IN THE CASE OF A 

NUCLEAR ACCIDENT OR RADIOLOGICAL EMERGENCY 

Signature, Ratification, Acceptance, Approval or Accession by States or 

Organizations 

Means and Date of 

State/ Date of Expression of 

Organization Signature Consent to be Bound Entry into Force

Afghanistan 

Algeria 

Argentina

Armenia 

Australia 

Austria 

Bangladesh 

Belarus 

Bosnia and 

Herzegovina 

Belgium 

Brazil 

Bulgaria 

Cameroon 

Canada 

Chile 

China 

Congo, Democratic 

Republic of 

Costa Rica 

Cote d'lvoire 

Croatia 

Cuba 

Cyprus 

Czech Republic

Denmark 

Egypt

26 Sep 1986 

24 Sep 1987 

accession 

deposited: 17 Jan 90 

accession 

deposited: 24 Aug 93 

26 Sep 1986 ratification 

deposited: 22 Sep 87 

26 Sep 1986 ratification 

deposited: 21 Nov 89 

accession 

deposited: 7 Jan 88 

26 Sep 1986 ratification 

deposited: 26 Jan 87 

succession, 30 Jun 98

26 Sep 1986 

26 Sep 1986 

26 Sep 1986 

25 Sep 1987 

26 Sep 1986 

26 Sep 1986 

26 Sep 1986 

30 Sep 86 

26 Sep 1986 

26 Sep 1986

ratification, 4 Jan 99 

ratification 

deposited: 4 Dec 90 

ratification 

deposited: 24 Feb 88 

ratification 

deposited: 10 Sep 87 

ratification 

deposited: 10 Sep 87 

ratification 

deposited: 16 Sep 91

succession 

notified: 29 Sep 92 

26 Sep 1986 ratification 

deposited: 8 Jan 91 

accession 

deposited: 4 Jan 89 

succession 

notified: 24 Mar 93

26 Sep 1986 

26 Sep 1986 ratification 

deposited: 17 Oct 88

18.5-9

17 Feb 1990 

24 Sep 1993 

23 Oct 1987 

22 Dec 1989 

7 Feb 1988 

26 Feb 1987 

4 Jan 1991 

26 Mar 1988

11 Oct 1987 

17 Oct 1991 

effect from 

8 Oct 1991 

8 Feb 1991 

4 Feb 1989 

effect from 

1 Jan 1993 

17 Nov 1988
State/ Date of 

Organization Signature 

Estonia

Finland 

France 

Germany 

Greece 

Guatemala 

Holy See 

Hungary 

Iceland 

India 

Indonesia 

Iran, Islamic 

Republic of 

Iraq 

Ireland 

Israel 

Italy 

Japan 

Jordan 

Korea, Democratic 

People's Republic of 

Korea, Rep. of 

Latvia 

Lebanon 

Libyan Arab 

Jamahiriya 

Liechtenstein 

Macedonia, the former 

Yugoslav Republic 

Malaysia 

Maldova, Reoublic of

26 Sep 1986 

26 Sep 1986 

26 Sep 1986 

26 Sep 1986 

26 Sep 1986 

26 Sep 1986 

26 Sep 1986 

26 Sep 1986 

29 Sep 1986 

26 Sep 1986 

26 Sep 1986 

12 Aug 1987 

26 Sep 1986 

26 Sep 1986 

26 Sep 1986 

6 Mar 1987 

2 Oct 1986 

29 Sep 1986

Means and Date of 

Expression of 

Consent to be Bound 

accession 

deposited: 9 May 94 

approval 

deposited: 27 Nov 90 

approval 

deposited: 6 Mar 89 

ratification 

deposited: 14 Sep 89 

ratification 

deposited: 6 Jun 91 

ratification 

deposited: 8 Aug 88 

ratification 

deposited: 10 Mar 87 

ratification 

deposited: 28 Jan 88 

ratification 

deposited: 12 Nov 93 

ratification, 13 Sep 91 

ratification 

deposited: 21 Jul 88 

ratification 

deposited: 13 Sep 91 

ratification 

deposited: 25 May 89 

ratification 

deposited: 25 Oct 90 

acceptance 

deposited: 9 Jun 87 

ratification 

deposited: 11 Dec 87

accession 

deposited: 8 Jun 90 

accession 

deposited: 28 Dec 92 

26 Sep 1986 ratification, 17 Apr 97 

accession 

deposited: 27 Jun 90 

26 Sep 1986 ratification 

deposited: 19 Apr 94 

succession, 20 Sep 96

1 Sep 1987

accession, 7 May 98

Entry into Force 

9 Jun 1994

28 Dec 1990 

6 Apr 1989 

15 Oct 1989 

7 Jul 1991 

8 Sep 1988 

10 Apr 1987 

28 Feb 1988 

13 Dec 1993 

21 Aug 1988 

14 Oct 1991 

25 Jun 1989 

24 Nov 1990 

10 Jul 1987 

11 Jan 1988 

9 Jul 1990 

28 Jan 1993 

28 Jul 1990 

20 May 1994 

2 Oct 1987

18.5-10

I
Means and Date of 

State/ Date of Expression of 

Organization Signature Consent to be Bound Entry into Force 

Mali 2 Oct 1986 

Mauritius accession

Mexico 

Monaco 

Mongolia 

Morocco 

Netherlands 

New Zealand 

Nicaragua

Niger 

Nigeria 

Norway 

Pakistan 

Panama 

Paraguay 

Peru 

Philippines 

Poland 

Portugal 

Romania 

Russian Federation 

Saudi Arabia 

Senegal 

Sierra Leone 

Slovakia 

Slovenia 

South Africa 

Spain

deposited: 17 Aug 92 

26 Sep 1986 ratification 

deposited: 10 May 88

26 Sep 1986 

8 Jan 1987 

26 Sep 1986 

26 Sep 1986 

26 Sep 1986 

21 Jan 1987 

26 Sep 1986 

26 Sep 1986 

2 Oct 1986 

26 Sep 1986 

26 Sep 1986

approval 

deposited: 19 Jul 89 

ratification 

deposited: 11 Jun 87 

ratification 

deposited: 7 Oct 93 

acceptance 

deposited: 23 Sep 91 

accession 

deposited: 11 Mar 87 

accession 

deposited: 11 Nov 93 

ratification 

deposited: 10 Aug 90 

accession 

deposited: 11 Sep 89 

ratification, 1 Apr 99 

accession, 17 Jul 95 

accession, 5 May 97 

ratification 

deposited: 24 Mar 88

accession 

deposited: 12 Jun 90 

26 Sep 1986 ratification 

deposited: 23 Dec 86 

continuation 

notified: 26 Dec 91 

accession 

deposited: 3 Nov 89 

15 Jun 1987 

25 Mar 1987 

succession 

notified: 10 Feb 93 

succession 

notified: 7 Jul 92 

10 Aug 1987 ratification 

deposited: 10 Aug 87 

26 Sep 1986 ratification 

deDosited: 13 Sen 89

18.5-11

17 Sep 1992 

10 Jun 1988 

19 Aug 1989 

12 Jul 1987 

7 Nov 1993 

24 Oct 1991 

11 Apr 1987 

12 Dec 1993 

10 Sep 1990 

27 Feb 1987 

12 Oct 1989 

24 Apr 1988 

13 Jul 1990 

26 Feb 1987 

4 Dec 1989 

effect from 

1 Jan 1993 

effect from 

25 Jun 1991 

10 Sep 1987 

14 Oct 1989
Means and Date of 

State/ Date of Expression of 

Organization Signature Consent to be Bound Entry into Force 

Sri Lanka accession

Sudan 

Sweden 

Switzerland 

Syrian Arab Republic 

Thailand 

Tunisia 

Turkey 

Ukraine 

United Arab Emirates 

United Kingdom of 

Great Britain and 

Northern Ireland 

United States of 

America 

Uruguay 

Viet Nam 

Yugoslavia 

Zimbabwe 

Food & Agriculture 

Organization 

World Health 

Organization 

World Meteorological 

Organization

26 Sep 1986 

26 Sep 1986 

26 Sep 1986 

2 Jul 1987

deposited: 11 Jan 91 

ratification 

deposited: 24 Jun 92 

ratification 

deposited: 31 May 88

25 Sep 1987 ratification 

deposited: 21 Mar 89 

24 Feb 1987 ratification 

deposited: 24 Feb 89 

26 Sep 1986 ratification 

deposited: 3 Jan 91 

26 Sep 1986 ratification 

deposited: 26 Jan 87 

accession 

deposited: 2 Oct 87 

26 Sep 1986 ratification 

deposited: 9 Feb 90 

26 Sep 1986 ratification 

deposited: 19 Sep 88 

accession 

deposited: 21 Dec 89 

accession 

deposited: 29 Sep 87

26 Sep 1986

accession 

deposited: 9 Apr 91 

continuation 

notified: 28 Apr 92 

accession 

deposited: 19 Oct 90 

accession 

deposited: 10 Aug 88 

accession 

deposited: 17 Apr 90

1 Apr 1999 

Number of Parties: 79 

Number of Signatories: 68

18.5- 12

11 Feb 1991 

25 Jul 1992 

1 Jul 1988 

21 Apr 1989 

27 Mar 1989 

3 Feb 1991 

26 Feb 1987 

2 Nov 1987 

12 Mar 1990 

20 Oct 1988 

21 Jan 1990 

30 Oct 1987 

10 May 1991 

19 Nov 1990 

10 Sep 1988 

18 May 1990
ADDITIONAL PROTOCOL I TO THE TREATY FOR THE 

PROHIBITION OF NUCLEAR WEAPONS IN LATIN AMERICA 

TABLE OF CONTENTS 

Page 

By the President of the United States of America 

A Proclam ation ............................................ 3 

Understandings and Declarations Attached by the United States 

to its Ratification of Additional Protocol II ..................... 4 

Additional Protocol I ........ ............................... 5 

Additional Protocol II to the Treaty for the Prohibition of Nuclear 

W eapons in Latin America ................................. 6 

By the President of the United States of America 

A Proclam ation ............................................ 6 

Additional Protocol II ....................................... 6 

TREATY FOR THE PROHIBITION OF NUCLEAR WEAPONS 

IN LATIN AMERICA 

Pream ble ......................................................... 9 

A rticle 1 Obligations .............................................. 10 

Article 2 Definition of the Contracting Parties .......................... 10 

Article 3 Definition of Territory ...................................... 10 

Article 4 Zone of Application ........................................ 10 

Article 5 Definition of Nuclear Weapons ............................... 11 

Article 6 Meeting of Signatories ...................................... 11 

Article 7 Organization ............................................. 11 

A rticle 8 O rgans .................................................. 11 

Article 9 The General Conference .................................... 11 

Article 10 The Council .............................................. 12 

Article 11 The Secretariat ........................................... 13 

Article 12 Control System ........................................... 13 

Article 13 1AEA Safeguards .......................................... 13 

Article 14 Reports of the Parties ...................................... 14 

Article 15 Special Reports Requested by the General Secretary .............. 14 

Article 16 Special Inspections ........................................ 14 

Article 17 Use of Nuclear Energy for Peaceful Purposes ................... 15 

Article 18 Explosions for Peaceful Purposes ............................. 15 

Article 19 Relations with Other International Organizations ................ 16 

Article 20 Measures in the Event of Violation of the Treaty ................. 16 

Article 21 United Nations and Organizations of American States ............. 16 

Article 22 Privileges and Immunities ................................... 16 

Article 23 Notification of Other Agreements ............................. 16 

Article 24 Settlement of Disputes ...................................... 17 

A rticle 25 Signature ................................................ 17 

Article 26 Ratification and Deposit .................................... 17 

Article 27 Reservations ............................................. 17 

Article 28 Entry into Force .......................................... 17 

Article 29 Amendments .......................................... 18 

Article 30 Duration and Denunciation .................................. 18

18.6-1
TREATY FOR THE PROHIBITION OF NUCLEAR WEAPON 

IN LATIN AMERICA (Continued) 

Page 

Article 31 Authentic Texts and Registration .............................. 18 

Transitional Article ........................................ 18 

Additional Protocol ........................................ 19 

Treaty for the Prohibition of Nuclear Weapons in Latin America 

Table Signature and Ratification by States or Organizations ............. 20 

Additional Protocol I to the Treaty for the Prohibition 

of Nuclear Weapons in Latin America 

Table Signature and Ratification by States or Organizations ............. 21 

Additional Protocol II to the Treaty for the Prohibition 

of Nuclear Weapons in Latin America 

Table Signature and Ratification by States or Organizations ............. 21

18.6-2
MULTILATERAL

Additional Protocol I to the Treaty for the Prohibition 

of Nuclear Weapons in Latin America 

Done at Mexico February 14, 1967; 

Transmitted by the President of the United States of America to the Senate May 24, 1978 

(S. Ex. I, 95th Cong., 2d Sess.); 

Reported favorably by the Senate Committee on Foreign Relations October 19, 1981 (S. Ex. Rep. No. 97-23, 97th Cong., 1st Sess.); Advice and consent to ratification by the Senate, with understandings, November 13, 

1981; 

Ratified by the President, with said understandings, November 19, 1981; Ratification of the United States of America deposited with Mexico November 23, 1981; Proclaimed by the President December 14, 1981; Entered into force with respect to the United States of America 

November 23, 1981. 

By the President of the United States of America 

A PROCLAMATION 

Considering that: 

Additional Protocol I to the Treaty for the Prohibition of Nuclear Weapons in Latin 

America was signed on behalf of the United States of America at Mexico City on May 26, 1977, a certified copy of which is hereto annexed; 

The Senate of the United States of America by its resolution of November 13, 1981, two-thirds of the Senators present concurring therein, gave its advice and consent to 

ratification of Additional Protocol I, subject to the following understandings: 1) That the provisions of the Treaty made applicable by this Additional Protocol do 

not affect the exclusive power and legal competence under international law of a State 

adhering to this Protocol to grant or deny transit and transport privileges to its own or any other vessels or aircraft irrespective of cargo or armaments. 

2) That the provisions of the Treaty made applicable by this Additional Protocol do 

not affect rights under the international law of a State adhering to this Protocol regarding the exercise of the freedom of the seas, or regarding passage through or over waters 

subject to the sovereignty of a State. 

3) That the understandings and declarations attached by the United States to its 

ratification of Additional Protocol II (text attached) 2 apply also to its ratification of 

Additional Protocol I. 

The President of the United States of America on November 19, 1981, ratified 

Additional Protocol I, subject to the said understandings, in pursuance of the advice and 

consent of the Senate, and the United States of America deposited its instrument of 

ratification with the Government of the United Mexican States on November 23, 1981; Pursuant to the provisions of Additional Protocol I, Additional Protocol I, subject to 

the said understandings, entered into force for the United States of America on 

November 23, 1981; 

Now, Therefore, I, Ronald Reagan, President of the United States of America, proclaim and make public Additional Protocol I, subject to the said understandings, to the end that 

it shall be observed and fulfilled with good faith by the United States of America and by 

'Texts of the English, French, Portuguese and Spanish languages as certified by the Department of Foreign 

Relations 2 of Mexico. 

See pp. 1794-1795.

18.6-3
the citizens of the United States of America and all other persons subject to the 

jurisdiction thereof. 

In testimony whereof, I have signed this proclamation and caused the seal of the 

United States of America to be affixed. 

(seal) 

Done at the city of Washington this fourteenth day of December in the year of our Lord 

one thousand nine hundred eighty-one and of the Independence of the United States 

of America the two hundred sixth. 

Ronald Reagan 

By the President: 

Alexander M. Hair, Jr. 

Secretary of State 

UNDERSTANDINGS AND DECLARATIONS ATTACHED BY THE UNITED 

STATES TO ITS RATIFICATION OF ADDITIONAL PROTOCOL II 

I.V That the United States Government understands the reference in Article 3 of the 

treaty to "its own legislation" to relate only to such legislation as is compatible with the 

rules of international law and as involves an exercise of sovereignty consistent with those 

rules, and accordingly that ratification of Additional Protocol II by the United States 

Government could not be regarded as implying recognition, for the purpose of this treaty 

and its protocols, or for any other purpose, of any legislation which did not, in the view 

of the United States, comply with the relevant rules of international law. 

That the United States Government takes note of the Preparatory Commission's 

interpretation of the treaty, as set forth in the Final Act, that, governed by the principles 

and rules of international law, each of the contracting parties retains exclusive power and 

legal competence, unaffected by the terms of the treaty, to grant or deny non-contracting 

parties transit and transport privileges. 

That as regards the undertaking in Article 3 of Protocol II not to use or threaten to use 

nuclear weapons against the Contracting Parties, the United States Government would 

have to consider that an armed attack by a Contracting Party, in which it was assisted by 

a nuclear-weapon state, would be incompatible with the Contracting Party's 

corresponding obligations under Article 1 of the treaty. 

II. That the United States Government considers that the technology of making 

nuclear explosive devices for peaceful purposes is indistinguishable from the technology 

of making nuclear weapons, and that nuclear weapons and nuclear explosive devices for 

peaceful purposes are both capable of releasing nuclear energy in an uncontrolled manner 

and have the common group of characteristics of large amounts of energy generated 

instantaneously from a compact source. Therefore the United States Government 

understands the definition contained in Article 5 of the treaty as necessarily 

encompassing all nuclear explosive devices. It also understood that Articles 1 and 5 

restrict accordingly the activities of the contracting parties under paragraph 1 of Article 

18. 

That the United States Government understands that paragraph 4 of Article 18 of the 

treaty permits, and that United States adherence to Protocol II will not prevent, 

collaboration by the United States with contracting parties for the purpose of carrying out 

explosions of nuclear devices for peaceful purposes in a manner consistent with a policy 

of not contributing to the proliferation of nuclear weapons capabilities. In this 

connection, the United States Government notes Article V of the Treaty on the 

3

May 8, 1971. TAIS 7137; 22 USED 760.

18.6-4
Non-Proliferation of Nuclear Weapons, under which it joined in an undertaking to take 

appropriate measures to ensure that potential benefits of peaceful applications of nuclear 

explosions would be made available to non-nuclear-weapons states party to that treaty, 

and reaffirms its willingness to extend such undertaking, on the same basis, to states 

precluded by the present treaty from manufacturing or acquiring any nuclear explosive 

device. 

III. That the United States Government also declares that, although not required by 

Protocol II, it will act with respect to such territories of Protocol I adherents as are within 

the geographical area defined in paragraph 2 of Article 4 of the treaty in the same manner 

as Protocol II requires it to act with respect to the territories of contracting parties. 

ADDITIONAL PROTOCOL I 

The undersigned Plenipotentiaries, furnished with full powers by their respective 

Governments, 

Convinced that the Treaty for the Prohibition of Nuclear Weapons in Latin America;4 

negotiated and signed in accordance with the recommendations of the General Assembly 

of the United Nations in Resolution .1911 (XVIII) of 27 November 1963, represents an 

important step towards ensuring the non-proliferation of nuclear weapons, 

Aware that the non-proliferation of nuclear weapons is not an end in itself but, rather, 

a means of achieving general and complete disarmament at a later stage, and 

Desiring to contribute, so far as lies in their power, towards ending the armaments 

race, especially in the field of nuclear weapons, and towards strengthening a world at 

peace, based on mutual respect and sovereign equality of States, 

Have agreed as follows: 

ARTICLE 1. To undertake to apply the status of denuclearization in respect of 

warlike purposes as defined in articles 1, 3, 5 and 13 of the Treaty for the Prohibition of 

Nuclear Weapons in Latin America in territories for which, dejure or de facto, they are 

internationally responsible and which lie within the limits of the geographical zone 

established in that Treaty. 

ARTICLE 2. The duration of this protocol shall be the same as that of the Treaty for 

the Prohibition of Nuclear Weapons in Latin America of which this Protocol is an annex, 

and the provisions regarding ratification and denunciation contained in the Treaty shall 

be applicable to it. 

ARTICLE 3. This Protocol shall enter into force, for the States which have ratified 

it, on the date of the deposit of their respective instruments of ratification. 

In witness whereof the undersigned Plenipotentiaries, having deposited their full 

powers, found in good and due form, sign this Protocol on behalf of their respective 

Governments. 

FOR THE UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND: 

N.J.A. Cheetham 

FOR THE KINGDOM OF THE NETHERLANDS: 

S. Van Heemstra 

FOR THE UNITED STATES OF AMERICA: 

Jimmy Carter 

'Done Feb. 14, 1967. TAIS 7137; 22 USED 762.

18.6- 5
NUCLEAR FREE ZONE-LATIN AMERICA5

NOTE: 

Additional protocol I to the treaty of February 14, 1967 for the prohibition of nuclear 

weapons in Latin America. Done at Mexico February 14, 1967; entered into force 

December 11, 1969; for the United States November 23, 1981. 33 USED 1792; TAIS 

10147; 634 UNTS 362. States which are parties: Netherlands,6 United Kingdom,7 United 

States8 

Additional protocol II to the treaty of February 14, 1967 for the prohibition of nuclear 

weapons in Latin America. Done at Mexico February 14, 1967; entered into force 

December 11, 1969; for the United States May 12, 1971. 22 USED 754; TAIS 7137; 634 UNTS 364. States which are parties: China,9 France,"° Union of Soviet Socialist Reps.," United Kingdom'" "3, United States' 4 

Additional Protocol II to the Treaty for the Prohibition 

of Nuclear Weapons in Latin America 

Signed by the United States at Mexico April 1, 1968 

Underlying Treaty signed by others at Mexico February 14, 1967 

U.S. ratification with understandings and declarations deposited May 12, 1971 

Entered into force for the United States May 12, 1971 "' 

BY THE PRESIDENT OF THE UNITED STATES OF AMERICA 

A PROCLAMATION 

CONSIDERING THAT: 

Additional Protocol II to the Treaty for the Prohibition of Nuclear Weapons in Latin America, done at the City of Mexico on February 14, 1967, was signed on behalf of the 

United States of America on April 1, 1968, the text of which Protocol is word for word 

as follows: 

ADDITIONAL PROTOCOL II 

The undersigned Plenipotentiaries, furnished with full powers by their respective Governments, Convinced that the Treaty for the Prohibition of Nuclear Weapons in Latin America, negotiated and signed in accordance with the recommendations of the General Assembly of the United Nations in Resolution 1911 (XVIII) of 27 November 1963, represents an 

important step towards ensuring the non-proliferation of nuclear weapons. Aware that the non-proliferation of nuclear weapons is not an end in itself but, rather, 

a means of achieving general and complete disarmament at a later stage, and 

Desiring to contribute, so far as lies in their power, towards ending the armaments 

5

The United States is not a party to the treaty for the prohibition of nuclear weapon in Latin America (the Treaty of Tlatelolco). For the English text of the treaty, see 22 UST 762; TIAS 7137; for the text in other 

languages, see 634 UNTS 281. 6

With statement(s). 7

Applicable to Anguilla, British Virgin Is., Cayman Is., Falkland Is., Montserrat, Turks and Caicos Is. 8

With understanding and declarations. 9

With statement(s). 

"°With statement(s). 

"With statement(s). 

"

2

With declaration. :

3

Applicable to Anguilla, British Virgin Is., Cayman Is., Falkland Is., Montserrat, Turks and Caicos Is. '

4

With understanding and declarations. "

5

The United Kingdom, France, and the People's Republic of China are also parties of Protocol II.

18.6-6
race, especially in the field of nuclear weapons, and towards promoting and 

strengthening a world at peace, based on mutual respect and sovereign equality of States. 

Have agreed as follows: 

Article 1. The statute of denuclearization of Latin America in respect of warlike 

purposes, as defined, delineated and set forth in the Treaty for the Prohibition of Nuclear 

Weapons in Latin American of which this instrument is an annex, shall be fully respected 

by the Parties to this Protocol in all its express aims and provisions. 

Article 2. The Governments represented by the undersigned Plenipotentiaries 

undertake, therefore, not to contribute in any way to the performance of acts involving a 

violation of the obligations of article 1 of the Treaty in the territories to which the Treaty 

applies in accordance with article 4 thereof. 

Article 3. The Governments represented by the undersigned Plenipotentiaries also 

undertake not to use or threaten to use nuclear weapons against the Contracting Parties of 

the Treaty for the Prohibition of Nuclear Weapons in Latin America. 

Article 4. The duration of this Protocol shall be the same as that of the Treaty for the 

Prohibition of Nuclear Weapons in Latin American of which this protocol is an annex, 

and the definitions of territory and nuclear weapons set forth in articles 3 and 5 of the 

Treaty shall be applicable to this Protocol, as well as the provisions regarding 

ratification, reservations, denunciation, authentic texts and registration contained in 

articles 26, 27, 30 and 31 of the Treaty. 

Article 5. The Protocol shall enter into force, for the States which have ratified it, on 

the date of the deposit of their respective instruments of ratification. 

In witness whereof the undersigned, Plenipotentiaries, having deposited their full 

powers, found in good and due form, sign this Additional Protocol on behalf of their 

respective Governments. 

The Senate of the United States of America by its resolution of April 19, 1971, 

two-thirds of the Senators present concurring, gave it advice and consent to the 

ratification of Additional Protocol II, with the following understandings and declarations: 

I 

That the United States Government understands the reference in Article 3 of the 

treaty to "its own legislation" to relate only to such legislation as is compatible with the 

rules of international law and as involves an exercise of sovereignty consistent with those 

rules, and accordingly that ratification of Additional Protocol II by the United States 

Government could not be regarded as implying recognition, for the purposes of this 

treaty and its protocols or for any other purpose, of any legislation which did not, in the 

view of the United States, comply with the relevant rules of international law. 

That the United States Government takes note of the Preparatory Commission's 

interpretation of the treaty, as set forth in the Final Act, that, governed by the principles 

and rules of international law, each of the Contracting Parties retains exclusive power 

and legal competence, unaffected by the terms of the treaty, to grant or deny 

n6n-Contracting Parties transit and transport privileges. 

That as regards the undertaking in Article 3 of Protocol II not to use or threaten to use 

nuclear weapons against the Contracting parties, the United States Government would 

have to consider that an armed attack by a Contracting Party, in which it was assisted by 

a nuclear-weapon state, would be incompatible with the Contracting Party's 

corresponding obligations under Article I of the Treaty. 

II 

That the United States Government considers that the technology of making nuclear 

explosive devices for peaceful purposes is indistinguishable from the technology of 

making nuclear weapons, and that nuclear weapons and nuclear explosive devices for

18.6-7
peaceful purposes are both capable of releasing nuclear energy in an uncontrolled manner 

and have the common group of characteristics of large amounts of energy generated instantaneously from a compact source. Therefore, the United States Government 

understands the definition contained in Article 5 of treaty as necessarily encompassing all 

nuclear explosive devices. It is also understood that Articles 1 and 5 restrict accordingly the activities of the Contracting Parties under paragraph 1 of Article 18. 

That the United States Government understands that paragraph 4 of Article 18 of the 

treaty permits, and the United States adherence to Protocol II will not prevent, collaboration by the United States with Contracting Parties for the purpose of carrying 

out explosions of nuclear devices for peaceful purposes in a manner consistent with a 

policy of not contributing to the proliferation of nuclear weapons capabilities. In this 

connection, the United States Government notes Article V of the Treaty on the 

Non-Proliferation of Nuclear Weapons, under which it joined in an undertaking to take 

appropriate measures to ensure that potential benefits of peaceful applications of nuclear 

explosions would be made available to non-nuclear-weapon states party to that treaty, and reaffirms its willingness to extend such undertaking, on the same basis, to states 

precluded by the present treaty from manufacturing or acquiring any nuclear explosive device. 

III 

That the United States Government also declares that, although not required by Protocol II, it will act with respect to such territories of Protocol I adherents as are within 

the geographical area defined in paragraph 2 of Article 4 of the treaty in the same manner 

as Protocol II requires it to act with respect to the territories of Contracting Parties. 

The President ratified Additional Protocol II on May 8, 1971, with the above-recited 

understandings and declarations, in pursuance of the advice and consent of the Senate. 

It is provided in Article 5 of Additional Protocol II that the Protocol shall enter into 

force, for the States which have ratified it, on the date of the deposit of their respective instruments of ratification. 

The instrument of ratification of the United Kingdom of Great Britain and Northern 

Ireland was deposited on December 11, 1969 with understandings and a declaration, and 

the instrument of ratification of the United States of America was deposited on May 12, 

1971 with the above-recited understandings and declarations. 

In accordance with Article 5 of Additional Protocol II, the Protocol entered into force 

for the United States of America on May 12, 1971, subject to the above recited 

understandings and declarations. 

Now, therefore, I, Richard Nixon, President of the United States of America, 

proclaim and make public Additional Protocol II to the Treaty for the Prohibition of 

Nuclear Weapons in Latin America to the end that it shall be observed and fulfilled with 

good faith, subject to the above-recited understandings and declarations, on and after 

May 12, 1971 by the United States of America and by the citizens of the United States of 

America and all other persons subject to the jurisdictions thereof. 

In testimony whereof, I have signed this proclamation and caused the Seal of the 

United States of America to be affixed. 

Done at the city of Washington this eleventh day of June in the year of our Lord one 

thousand nine hundred seventy-one and of the Independence of the United States of 

America the one-hundred ninety-fifth. 

(Seal)

18.6-8
Treaty for the Prohibition of Nuclear Weapons in Latin America 

Preamble 

In the name of their peoples and faithfully interpreting their desires and aspirations, the Governments of the States which sign the Treaty for the Prohibition of Nuclear 

Weapons in Latin America. 

Desiring to contribute, so far as lies in their power, towards ending the armaments 

race, especially in the field of nuclear weapons, and towards strengthening a world at 

peace, based on the sovereign equality of States, mutual respect and good neighbourliness, Recalling that the United Nations General Assembly, in its Resolution 808 (XI), 

adopted unanimously as one of the three points of a coordinated programme of 

disarmament "the total prohibition of the use and manufacture of nuclear weapons and 

weapons of mass destruction of every type", 

Recalling that militarily denuclearized zones are not an end in themselves but rather a 

means of achieving general and complete disarmament at a later stage, 

Recalling United Nations General Assembly Resolution 1911 (XVIII), which 

established that the measures that should be agreed upon for the denuclearization of Latin 

America should be taken "in the light of the principles of the Charter of the United 

Nations and of regional agreements", 

Recalling United Nations General Assembly Resolution 2028 (XX), which 

established the principle of an acceptable balance of mutual responsibilities and duties 

for the nuclear non-nuclear powers, and 

Recalling that the Charter of the Organization of American States proclaims that it is 

an essential purpose of the Organization to strengthen the peace and security of the hemisphere, 

Convinced: 

That the incalculable destructive power of nuclear weapons has made it imperative 

that the legal prohibition of war should be strictly observed in practice if the survival of 

civilization and of mankind itself is to be assured, 

That nuclear weapons, whose terrible effects are suffered, indiscriminately and 

inexorably, by military forces and civilian population alike, constitute, through the 

persistence of the radioactivity they release, and attack on the integrity of the human 

species and ultimately may even render the whole earth uninhabitable. 

That the general and complete disarmament under effective international control is a 

vital matter which all the peoples of the world equally demand, 

That the proliferation of nuclear weapons, which seems inevitable unless States, in 

the exercise of their sovereign rights, impose restrictions on themselves in order to 

prevent it, would make an agreement of disarmament enormously difficult and would 

increase the danger of the outbreak of a nuclear conflagration, 

That the establishment of militarily denuclearized zones is closely linked with the 

maintenance of peace and security in the respective regions, 

That the military denuclearization of vast geographical zones, adopted by the 

sovereign decision of the States comprised therein, will exercise a beneficial influence on 

other regions where similar conditions exist, 

That the privileged situation of the signatory States, whose territories are wholly free 

from nuclear weapons, imposes upon them the inescapable duty of preserving that 

situation both in their own interests and for the good of mankind, 

That the existence of nuclear weapons in any country of Latin America would make it 

a target for possible nuclear attacks and would inevitable set off, throughout the region, a 

ruinous race in nuclear weapons which would involve the unjustifiable diversion, for 

warlike purposes, of the limited resources required for economic and social development, 

That the foregoing reasons, together with the traditional peace-loving outlook of Latin 

America, give rise to an inescapable necessity that nuclear energy should be used in that 

region exclusively for peaceful purposes, and that the Latin American countries should

18.6-9
use their right to the greatest and most equitable access to this new source of energy in 

order to expedite the economic and social development of their peoples. Convinced finally: 

That the military denuclearization of Latin America-being understood to mean the 

undertaking entered into internationally in this Treaty to keep their territories forever free 

from nuclear weapons-will constitute a measure which will spare their peoples from the 

squandering of their limited resources on nuclear armaments and will protect them 

against possible nuclear attacks on their territories, and will also constitute a significant contribution towards preventing the proliferation of nuclear weapons and a powerful factor of general and complete disarmaments, and 

That Latin America, faithful to its tradition of universality, must not only endeavor to 

banish from its homelands the scourge of a nuclear war, but must also strive to promote the well-being and advancement of its peoples, at the same time co-operating in the 

fulfillment of the ideals of mankind, that is to say, in the consolidation of a permanent 

peace based on equal rights, economic fairness and social justice for all, in accordance 

with the principles and purposes set forth in the Charter of the United Nations and in the 

Charter of the Organization of American States, 

Have agreed as follows: 

ARTICLE 1 - Obligations 

1. The Contracting Parties hereby undertake to use exclusively for peaceful purposes the nuclear material and facilities which are under this jurisdiction, and to prohibit and 

prevent in their respective territories: 

(a) The testing, use, manufacture, production or acquisition by any means 

whatsoever of any nuclear weapons, by the Parties themselves, directly or indirectly, 

on behalf of anyone else or in any other way, and 

(b) The receipt, storage, installation, deployment and any form of possession of 

any nuclear weapons, directly or indirectly, by the Parties themselves, by anyone on 

their behalf or in any other way. 2. The Contracting Parties also undertake to refrain from engaging in, encouraging or 

authorizing, directly or indirectly, or in any way participating in the testing, use, 

manufacture, production, possession or control of any nuclear weapon. 

ARTICLE 2 -Definition of the Contracting Parties 

For the purposes of this Treaty, the Contracting Parties are those for whom the Treaty 

is in force. 

ARTICLE 3-Definition of Territory 

For the purposes of this Treaty, the term "territory" shall include the territorial sea, air 

space and any other space over which the State exercises sovereignty in accordance with 

its own legislation. 

ARTICLE 4 - Zone of Application 

1. The zone of application of this Treaty is the whole of the territories for which the 

Treaty is in force. 

2. Upon fulfillment of the requirements of Article 28, paragraph 1, the zone of 

application of the Treaty shall also be that which is situated in the western hemisphere with the following limits (except the continental part of the territory of the United States 

of America and its territorial waters): starting at a point located 35 0 north latitude, 75 ° 

west longitude; from this point directly southward to a point at 30' north latitude, 75' 

west longitude; from there, directly eastward to a point at 300 north latitude, 500 west

18.6-10
longitude; from there along a loxodromic line to a point at 50 north latitude, 200 west 

longitude; from there directly southward to a point at 600 south latitude, 200 west 

longitude; from there directly westward to a point at 600 south latitude, 115' west 

longitude; from there directly northward to a point at 00 latitude, 115 0 west longitude; 

from there, along a loxodromic line to a point at 350 north latitude, 1500 west longitude; 

from there, directly eastward to a point at 350 north latitude, 750 west longitude. 

ARTICLE 5 -Definition of Nuclear Weapons 

For the purposes of this Treaty, a nuclear weapon is any device which is capable of 

releasing nuclear energy in an uncontrolled manner and which has a group of 

characteristics that are appropriate for use for warlike purposes. An instrument that may 

be used for the transport or propulsion of the device is not included in this definition if it 

is separable from the device and not an indivisible part thereof. 

ARTICLE 6 -Meeting of Signatories 

At the request of any of the signatory States or if the Agency established by article 7 

should so decide, a meeting of all the signatories may be convoked to consider in 

common questions which may affect the very essence of this instrument, including 

possible amendments to it. In either case, the meeting will be convoked by the General 

Secretary. 

ARTICLE 7 - Organization 

1. In order to ensure compliance with the obligations of this Treaty, the Contracting 

Parties hereby establish an international organization to be known as the "Agency for the 

Prohibition of Nuclear Weapons in Latin America" hereinafter referred to as "the 

Agency." Only the Contracting Parties shall be affected by its decisions. 

2. The Agency shall be responsible for the holding of periodic or extraordinary 

consultations among Member States on matters relating to the purposes, measures and 

procedures set forth in this Treaty and to the supervision of compliance with the 

obligations arising therefrom. 

3. The Contracting Parties agree to extend to the Agency full and prompt cooperation 

in accordance with the provisions of this Treaty, of any agreements they may conclude 

with the Agency and of any agreements the Agency may conclude with any other 

international organization or body. 

4. The headquarters of the Agency shall be in Mexico City. 

ARTICLE 8 - Organs 

1. There are hereby established as principal organs of the Agency a General 

Conference, a Council and a Secretariat. 

2. Such subsidiary organs as are considered necessary by the General Conference 

may be established within the purview of this Treaty. 

ARTICLE 9 - The General Conference 

1. The General Conference; the supreme organ of the Agency, shall be composed of 

all the Contracting Parties; it shall hold regular sessions every two years and may also 

hold special sessions whenever this Treaty so provides or, in the opinion of the Council, 

the circumstances so require. 

2. The General Conference:

18.6-11
(a) May consider and decide on any matters or questions covered by this Treaty, within the limits thereof, including those referring to powers and functions of any 

* organ provided for in this Treaty. 

(b) Shall establish procedures for the control system to ensure observance of this 

Treaty in accordance with its provisions. (c) Shall elect the Members of the Council and the General Secretary. (d) May remove the General Secretary from office if the proper functioning of the 

Agency so requires. 

(e) Shall receive and consider the biennial and special reports submitted by the 

Council and the General Secretary. 

(f) Shall initiate and consider studies designed to facilitate the optimum fulfillment of the aims of this Treaty, without prejudice to the power of the General 

Secretary independently to carry out similar studies for submission to and 

consideration by the Conference. 

(g) Shall be the organ competent to authorize the conclusion of agreements with 

Governments and other international organizations and bodies. 

3. The General Conference shall adopt the Agency's budget and fix the scale of 

financial contributions to be paid by Member States, taking into account the systems and 

criteria used for the same purpose by the United Nations. 

4. The General Conference shall elect its officers for each session and may establish 

such subsidiary organs as it deems necessary for the performance of its functions. 

5. Each Member of the Agency shall have one vote. The decisions of the General 

Conference shall be taken by a two-thirds majority of the Members present and voting in 

the case of matters relating to the control system and measures referred to in article '20, the admission of new Members, the election or removal of the General Secretary, adoption of the budget and matters related thereto. Decisions on other matters, as well as 

procedural questions and also determination of which questions must be decided by a 

two-thirds majority, shall be taken by a simple majority of the Members present and 

voting. 

6. The General Conference shall adopt its own rules of procedure. 

ARTICLE 10- The Council 

1. The Council shall be composed of five Members of the Agency elected by the 

General Conference from among the Contracting Parties, due account being taken 

equitable geographic distribution. 

2. The Members of the Council shall be elected for a term of four years. However, in 

the first election three will be elected for two years. Outgoing Members may not be 

re-elected for the following period unless the limited number of States for which the 

Treaty is in force so requires. 

3. Each Member of the Council shall have one representative. 

4. The Council shall be so organized as to be able to function continuously. 5. In addition to the functions conferred upon it by this Treaty and to those which 

may be assigned to it by the General Conference, the Council shall, through the General 

Secretary, ensure the proper operation of the control system in accordance with the 

provisions of this Treaty and with the decisions adopted by the General Conference. 

6. The Council shall submit an annual report on its work to the General Conference 

as well as such special reports as it deems necessary or which the General Conference 

requests of it. 

7. The Council shall elect its officers for each session. 

8. The decisions of the Council shall be taken by a simple majority of its Members 

present and voting. 

9. The Council shall adopt its own rules of procedure.

18.6-12
ARTICLE 11 - The Secretariat 

1. The Secretariat shall consist of a General Secretary, who shall be the chief 

administrative officer of the Agency, and of such staff as the Agency may require. The 

term of office of the General Secretary shall be four years and he may be re-elected for a 

single additional term. The General Secretary may not be a national of the country in 

which the Agency has its headquarters. In case the office of General Secretary becomes 

vacant, a new election shall be held to fill the office for the remainder of the term. 

2. The staff of the Secretariat shall be appointed by the General Secretary, in 

accordance with rules laid down by the General Conference. 

3. In addition to the functions conferred upon him by this Treaty and to those which 

may be assigned to him by the General Conference-the General Secretary shall ensure, as 

provided by article 10, paragraph 5, the proper operation of the control system 

established by this Treaty, in accordance with the provisions of the Treaty and the 

decisions taken by the General Conference. 

4. The General Secretary shall act in that capacity in all meetings of the General 

Conference and of the Council and shall make an annual report to both bodies on the 

work of the Agency and any special reports requested by the General Conference or the 

Council or which the General Secretary may deem desirable. 

5. The General Secretary shall establish the procedures for distributing to all 

Contracting Parties information received by the Agency from governmental sources and 

such information from non-governmental sources as may be of interest to the Agency. 

6. In the performance of their duties the General Secretary and the staff shall not seek 

or receive instructions from any Government or from any other authority external to the 

Agency and shall refrain from any action which might reflect on their position as 

international officials responsible only to the Agency; subject to their responsibility to 

the Agency, they shall not disclose any industrial secrets or other confidential 

information coming to their knowledge by reason of their official duties in the Agency. 

7. Each of the Contracting Parties undertakes to respect the exclusively international 

character of the responsibilities of the General Secretary and the staff and not to seek to 

influence them in the discharge of their responsibilities. 

ARTICLE 12 - Control System 

1. For the purpose of verifying compliance with the obligations entered into by the 

Contracting Parties in accordance with article 1, a control system shall be established 

which shall be put into effect in accordance with the provisions of articles 13-18 of this 

Treaty. 

2. The control system shall be used in particular for the purpose of verifying: 

(a) That devices, services and facilities intended for peaceful uses of nuclear 

energy are not used in the testing or manufacture of nuclear weapons. 

(b) That none of the activities prohibited in article I of this Treaty are carried out 

in the territory of the Contracting Parties with nuclear materials or weapons 

introduced from abroad, and 

(c) That explosions for peaceful purposes are compatible with article 18 of this 

Treaty. 

ARTICLE 13- IAEA Safeguards 

Each Contracting Party shall negotiate multilateral or bilateral agreements with the 

International Atomic Energy Agency for the application of its safeguards to its nuclear 

activities. Each Contracting Party shall initiate negotiations within a period of 180 days 

after the date of the deposit of its instrument of ratification of this Treaty. These 

agreements shall enter into force, for each Party, not later than eighteen months after the

18.6-13
date of the initiation of such negotiations except in case of unforeseen circumstances or 

force majeure. 

ARTICLE 14 - Reports of the Parties 

1. The Contracting Parties shall submit to the Agency and to the International Atomic 

Energy Agency, for their information, semi-annual reports stating that no activity prohibited under this Treaty has occurred in their respective territories. 

2. The Contracting Parties shall simultaneously transmit to the Agency a copy of any report they may submit to the International Atomic Energy Agency which relates to 

matters that are the subject to this Treaty and to the application of safeguards. 3. The Contracting Parties shall also transmit to the Organization of American States, for its information, any reports that may be of interest to it, in accordance with the 

obligations established by the Inter-American System. 

ARTICLE 15 - Special Reports Requested by the General Secretary 

1. With the authorization of the Council, the General Secretary may request any of the Contracting Parties to provide the Agency with complementary or supplementary information regarding any event or circumstances connected with compliance with this 

Treaty, explaining his reasons. The Contracting Parties undertake to co-operate promptly and fully with the General Secretary. 2. The General Secretary shall inform the Council and the Contracting Parties 

forthwith of such requests and of the respective replies. 

ARTICLE 16 - Special Inspections 

1. The International Atomic Energy Agency and the Council established by this 

Treaty have the power of carrying out special inspections in the following cases: 

(a) In the case of the International Atomic Energy Agency, in accordance with the 

agreements referred to in article 13 of this Treaty; (b) In the case of the Council: 

(i) When so requested, the reasons for the request being stated, by any Party which suspects that some activity prohibited by this Treaty has been carried out or 

is about to be carried out, either in the territory of any other Party or in any other 

place on such latter Party's behalf, the Council shall immediately arrange for such 

an inspection in accordance with article 10, paragraph 5. 

(ii) When requested by any Party which has been suspected of or charged with 

having violated this Treaty, the Council shall immediately arrange for the special inspection requested in accordance with article 10, paragraph 5. The above 

requests will be made to the Council through the General Secretary. 2. The costs and expenses of any special inspection carried out under paragraph 1, sub-paragraph (b), sections (i) and (ii) of this article shall be borne by the requesting Party or Parties, except where the Council concludes on the basis of the report on the special inspection that, in view of the circumstances existing in the case, such costs and 

expenses should be borne by the Agency. 3. The General Conference shall formulate the procedures for the organization and execution of the special inspections carried out in accordance with paragraph 1, subparagraph (b), sections (i) and (ii) of this article. 

4. The Contracting Parties undertake to grant the inspectors carrying out such special inspections full and free access to all places and all information which may be necessary for the performance of their duties and which are directly and intimately connected with 

the suspicion of violation of this Treaty. If so requested by the authorities of the 

Contracting Party in whose territory the inspection is carried out, the inspectors

18.6-14
designated by the General Conference shall be accompanied by representatives of said 

authorities, provided that this does not in any way delay or hinder the work of the 

inspectors. 

5. The Council shall immediately transmit to all Parties, through the General 

Secretary, a copy of any report resulting from special inspections. 

6. Similarly, the Council shall send through the General Secretary to the 

Secretary-General of the United Nations, for transmission to the United Nations 

Secretary Council and General Assembly, and to the Council of the Organization of 

American States, for its information, a copy of any report resulting from any special 

inspection carried out in accordance with paragraph 1, sub-paragraph (b), sections (i) and 

(ii) of this article. 

7. The Council may decide, or any Contracting Party may request, the convening of a 

special session of the General Conference for the purpose of considering the reports 

resulting from any special inspection. In such a case, the General Secretary shall take 

immediate steps to convene the special session requested. 

8. The General Conference, convened in special session under this article, may make 

recommendations to the Contracting Parties, and submit reports to the Secretary-General 

of the United Nations to be transmitted to the United Nations Security Council and the 

General Assembly. 

ARTICLE 17 - Use of Nuclear Energy for Peaceful Purposes 

Nothing in the provisions of this Treaty shall prejudice the rights of the Contracting 

Parties, in conformity with this Treaty, to use nuclear energy for peaceful purposes, in 

particular for their economic development and social progress. 

ARTICLE 18 - Explosions for Peaceful Purposes 

1. Contracting Parties may carry out explosions of nuclear devices for peaceful 

purposes-including explosions which involve devices similar to those used in nuclear 

weapons-or collaborate with third parties for the same purpose, provide that they do so 

in accordance with the provisions of this article and the other articles of the Treaty, 

particularly articles I and 5. 

2. Contracting Parties intending to carry out, or to cooperate in carrying out, such an 

explosion shall notify the Agency and the International Atomic Energy Agency, as far in 

advance as the circumstances require, of the date of the explosion and shall at the same 

time provide the following information: 

(a) The nature of the nuclear device and the source from which it was obtained. 

(b) The place and purpose of the planned explosion, 

(c) The procedures which will be followed in order to comply with paragraph 3 of 

this article. 

(d) The expected force of the device, and 

(e) The fullest possible information on any possible radioactive fall-out that may 

result from the explosion or explosions, and measures which will be taken to avoid 

danger to the population, flora, fauna and territories of any other Party or Parties. 

3. The General Secretary and the technical personnel designated by the Council and 

the International Atomic Energy Agency may observe all the preparations, including the 

explosion of the device, and shall have unrestricted access to any area in the vicinity of 

the site of the explosion in order to ascertain whether the device and the procedures 

followed during the explosion are in conformity with the information supplied under 

paragraph 2 of this article and the other provisions of this Treaty. 

4. The Contracting Parties may accept the collaboration of third parties for the 

purpose set forth in paragraph 1 of the present article, in accordance with paragraphs 2 

and 3 thereof.

18.6-15
ARTICLE 19 - Relations with Other International Organizations 

1. The Agency may conclude such agreements with the International Atomic Energy Agency as are authorized by the General Conference and as it considers likely to 

facilitate the efficient operation of the control system established by this Treaty. 2. The Agency may also enter into relations with any international organization or 

body, especially any which may be established in the future to supervise disarmament or 

measures for the control of armaments in any part of the world. 

3. The Contracting Parties may, if they see fit, request the advice of the Inter-American Nuclear Energy Commission on all technical matters connected with the 

application of this Treaty with which the Commission is competent to deal under its 

Statute. 

ARTICLE 20- Measures in the Event of Violation of the Treaty 

1. The General Conference shall take note of all cases in which, in its opinion, any Contracting Party is not complying fully with its obligations under this Treaty and shall 

draw the matter to the attention to the Party concerned, making such recommendations as 

it deems appropriate. 2. If, in its opinion, such non-compliance constitutes a violation of this Treaty which 

might endanger peace and security, the General Conference shall report thereon 

simultaneously to the United Nations Security Council and the General Assembly through the Secretary-General of the United Nations and to the Council of the 

Organization of American States. The General Conference shall likewise report to the 

International Atomic Energy Agency for such purposes as are relevant in accordance 

with its Statute. 

ARTICLE 21 - United Nations and Organizations of American States 

None of the provisions of this Treaty shall be construed as impairing the rights and 

obligations of the Parties under the Charter of the United Nations or, in the case of States 

Members of the Organization of American States, under existing regional treaties. 

ARTICLE 22 -Privileges and Immunities 

1. The Agency shall enjoy in the territory of each of the Contracting Parties such 

legal capacity and such privileges and immunities as may be necessary for the exercise of 

its functions and the fulfillment of its purposes. 2. Representatives of the Contracting Parties accredited to the Agency and officials of the Agency shall similarly enjoy such privileges and immunities as are necessary for the 

performance of their functions. 

3. The Agency may conclude agreements with the Contracting Parties with a view to 

determining the details of the application of paragraphs 1 and 2 of this article. 

ARTICLE 23- Notification of Other Agreements 

Once this Treaty has entered into force, the Secretariat shall be notified immediately of any international agreement concluded by any of the Contracting Parties on matters with which this Treaty is concerned; the Secretariat shall register it and notify the other 

Contracting Parties.

18.6-16
ARTICLE 24 - Settlement of Disputes 

Unless the Parties concerned agree on another mode of peaceful settlement, any 

question or dispute concerning the interpretation or application of this Treaty which is 

not settled shall be referred to the International Court of Justice with the prior consent of 

the Parties to the controversy. 

ARTICLE 25 - Signature 

1. This Treaty shall be open indefinitely for signature by: 

(a) All the Latin American Republics, and 

(b) All other sovereign States situated in their entirety south of latitude 35x north 

in the western hemisphere; and, except as provided in paragraph 2 of this article, all 

such States which become sovereign, when they have admitted by the General 

Conference. 

2. The General Conference shall not take any decision regarding the admission of a 

political entity party or all of whose territory is the subject, prior to the date when this 

Treaty is opened for signature, of a dispute or claim between an extra-continental country 

and one or more Latin American States, so long as the dispute has not been settled by 

peaceful means. 

ARTICLE 26 - Ratification and Deposit 

1. This Treaty shall be subject to ratification by signatory States in accordance with 

their respective constitutional procedures. 

2. This Treaty and the instruments of ratification shall be deposited with the 

Government of the Mexican United States, which is hereby designated the Depositary 

Government. 

3. The Depositary Government shall send certified copies of this Treaty to the 

Governments of signatory States and shall notify them of the deposit of each instrument 

of ratification. 

ARTICLE 27 - Reservations 

This Treaty shall not be subject to reservations. 

ARTICLE 28 - Entry into Force 

1. Subject to the provisions of paragraph 2 of this article, this Treaty shall enter into 

force among the States that have ratified it as soon as the following requirements have 

been met: 

(a) Deposit of the instruments of ratification of this Treaty with the Depositary 

Government by the Governments of the States mentioned in article 25 which are in 

existence on the date when this Treaty is opened for signature and which are not 

affected by the provisions of article 25, paragraph 2; 

(b) Signature and ratification of Additional Protocol 1 annexed to this Treaty by 

all extra-continental or continental States have dejure or defacto international 

responsibility for territories situated in the zone of application of the Treaty; 

(c) Signature and ratification of the Additional Protocol II annexed to this Treaty 

by all powers possessing nuclear weapons; 

(d) Conclusion of bilateral or multilateral agreements on the agreements on the 

application of the Safeguards System of the International Atomic Energy Agency in 

accordance with article 13 of this Treaty. 

2. All signatory States shall have the imprescriptible right to waive, wholly or in part, 

the requirements laid down in the preceding paragraph. They may do so by means of a 

18.6-17
declaration which shall be annexed to their respective instrument of ratification and 

which may be formulated at the time of deposit of the instrument or subsequently. For 

those States which exercise this right, this Treaty shall enter into force upon deposit of 

the declaration, or as soon as those requirements have been met which have not been 

expressly waived. 

3. As soon as this Treaty has entered into force in accordance with the provisions of 

paragraph 2 for eleven States, the Depositary Government shall convene a preliminary meeting of those States in order that the Agency may be set up and commence its work. 

4. After the entry into force of this treaty for all the countries of the zone, the rise of a 

new power possessing nuclear weapons shall have the effect of suspending the execution 

of this Treaty for those countries which have ratified it without waiving requirements of 

paragraph 1, sub-paragraph (c) of this article, and which request such suspension; the 

Treaty shall remain suspended until the new power, on its own initiative or upon request by the General Conference ratifies the annexed Additional Protocol II. 

ARTICLE 29 -Amendments 

1. Any Contracting Party may propose amendments to this Treaty and shall submit its 

proposals to the Council through the General Secretary, who shall transmit them to all the 

other Contracting Parties and, in addition, to all other signatories in accordance with 

article 6. The Council, through the General Secretary, shall immediately following the 

meeting of signatories convene a special session of the General Conference to examine 

the proposals made, for the adoption of which a two-thirds majority of the Contracting 

Parties present and voting shall be required. 2. Amendments adopted shall enter into force as soon as the requirements set forth in 

article 28 of this Treaty have been complied with. 

ARTICLE 30 - Duration and Denunciation 

1. This Treaty shall be of a permanent nature and shall remain in force indefinitely, but any Party may denounce it by notifying the General Secretary of the Agency if, in the 

opinion of the denouncing State, there have arisen or may arise circumstances connected 

with the content of this Treaty or of the annexed Additional Protocols I and II which 

affect its supreme interests or the peace and security of one or more Contracting Parties. 

2. The denunciation shall take effect three months after the delivery to the General 

Secretary of the Agency of the notification by the Government of the signatory State 

concerned. The General Secretary shall immediately communicate such notification to 

the other Contracting Parties and to the Secretary-General of the United Nations for the 

information of the United Nations Security Council and the General Assembly. He shall 

also communicate it to the Secretary-General of the Organization of American States. 

ARTICLE 31 -Authentic Texts and Registration 

This Treaty, of which the Spanish, Chinese, English, French, Portuguese and Russian 

texts are equally authentic, shall be registered by the Depositary Government in 

accordance with article 102 of the United Nations Charter. The Depositary Government 

shall notify the Secretary-General of the United Nations of the signatures, ratifications 

and amendments relating to this Treaty and shall communicate them to the 

Secretary-General of the Organization of American States for its information.

18.6-18
TRANSITIONAL ARTICLE 

Denunciation of the declaration referred to in article 28, paragraph 2, shall be subject 

to the same procedures as the denunciation of this Treaty, except that it will take effect 

on the date of delivery of the respective notification. 

In Witness Whereof the undersigned Plenipotentiaries, having deposited their full 

powers, found in good and due form, sign this Treaty on behalf of their respective 

Governments. 

Done at Mexico, Distrito Federal, on the Fourteenth day of February, one thousand 

nine hundred and sixty-seven. 

ADDITIONAL PROTOCOL 

The undersigned Plenipotentiaries, furnished with full powers by their respective 

Governments."6 

Convinced that the Treaty for the Prohibition of Nuclear Weapons in Latin America, 

negotiated and signed in accordance with the recommendations of the General Assembly 

of the United Nations in Resolution 1911 (XVIII) of 27 November 1963, represents an 

important step towards ensuring the non-proliferation of nuclear weapons. 

Aware that the non-proliferation of nuclear weapons is not an end in itself but, rather, 

a means of achieving general and complete disarmament at a later stage, and 

Desiring to contribute, so far as lies in their power, towards ending the armaments 

race, especially in the filed of nuclear weapons, and towards strengthening a world at 

peace, based on mutual respect and sovereign equality of States. 

Have agreed as follows: 

Article 1. To undertake to apply the statute of denuclearization in respect of warlike 

purposes as defined in articles 2, 3, 5 and 13 of the Treaty for the Prohibition of Nuclear 

Weapons in Latin America in territories for which, dejure or defacto , they are internationally responsible and which lie within the limits of the geographical 

zone established in that treaty. 

Article 2. The duration of this Protocol shall be the same as that of the Treaty for the 

Prohibition of Nuclear Weapons in Latin America of which this Protocol is an annex, 

and the provisions regarding ratification and denunciation contained in the Treaty shall 

be applicable to it. 

Article 3. This Protocol shall enter into force, for the States which have ratified it, on the 

date of the deposit of their respective instruments of ratification. In Witness Whereof the 

undersigned Plenipotentiaries, having deposited their full powers, found in good and due 

form, sign this Protocol on behalf of their respective Governments. 

"

16

The United Kingdom and the Netherlands are parties to this Protocol. The United States has signed. 

18.6-19
TREATY FOR THE PROHIBITION OF NUCLEAR WEAPONS IN 

LATIN AMERICA 

Signature and Ratification by States or Organizations 

Date of 

Date of Deposit of 

Country Signature Ratification 

Antigua & Barbuda .................................. 10/11/83 ........ 10/11/83 ' 

Argentina ........................................... 9/27/67 .......... 1/18/94 

Bahamas, The ........................................... ......... 11/29/76 a 

Barbados ........................................... 10/18/68 .......... 4/25/69 

Belize .............................................. 2/14/92 ............... 

Bolivia ............................................. 2/14/67 .......... 2/18/69 

Brazil ............................................... 5/9/67 ......... 1/29/68 b 

Chile............................................2/14/67.......b Colombia ... ........................................ 2/14/67 ........... 8/4/72 

Costa Rica .......................................... 2/14/67 .......... 8/25/69 

Cuba .............................................................. 

Dominica ......................................... 5/2/89............. 

Dominican Republic ................................... 7/29/67 .......... 6/14/68 

Ecuador ............................................ 2/14/67 .......... 2/11/69 

El Salvador .......................................... 2/14/67 .......... 4/22/68 

Grenada ............................................ 4/29/75 .......... 6/20/75 

Guatemala ........................................... 2/14/67 ........... 2/6/70 

Haiti ............................................... 2/14/67 .......... 5/23/69 

Honduras ........................................... 2/14/67 .......... 9/23/68 

Jamaica ......................................... 10/26/67 .......... 6/26/69 

Mexico .......................................... 2/14/67 .......... 9/20/67 

Nicaragua ........................................ 2/15/67 ......... 10/24/68 

Panama .......................................... 2/14/67 .......... 6/11/71 

Paraguay ......................................... 4/26/67 .......... 3/19/69 

Peru ............................................ 2/14/67 ........... 3/4/69 

St. Lucia ......................................... 8/25/92 ............... 

St. Vincent/Grenadines ................................. 2/14/92 .......... 2/14/92 

Surinam e ........................................... 2/13/76 .......... 6/10/77 

Trinidad & Tobago .................................... 6/27/67 ......... 12/3/70 c 

Uruguay ............................................ 2/14/67 .......... 8/20/68 

Venezuela ........................................... 2/14/67 .......... 3/23/70 

TOTAL 29 26 (24 in force)

1 Dates give are the earliest dates on which countries signed the agreements or deposited their 

ratifications or accessions - whether in Washington, London, Moscow, or New York. In the case 

of a country that was a dependent territory which became a party through succession, the date given 

is the date on which the country gave notice that it would continue to be bound by the terms of the 

agreement. 

a This is date of notification of succession. The declaration of waiver was deposited 4/26/77, which 

is date of entry into force for The Bahamas. 

b Not in force. No declaration of waver under Art. 28, para 2. 

"M The declaration of waiver was deposited 6/27/75, which is date of entry into force for Trinidad 

and Tobago.

18.6-20
ADDITIONAL PROTOCOL I TO THE TREATY FOR THE 

PROHIBITION OF NUCLEAR WEAPONS IN LATIN AMERICA 

Signature and Ratification by States or Organizations 

Date of 

Date of Deposit of 

Country Signature Ratification 

France ................................................ 3/2/79 ................. 

Netherlands ............................................ 4/1/68 .......... 7/26/71 

United Kingdom ...................................... 12/20/67 ......... 12/11/69 

United States ......................................... 5/26/77 ......... 11/23/81 

ADDITIONAL PROTOCOL II TO THE TREATY FOR THE 

PROHIBITION OF NUCLEAR WEAPONS IN LATIN AMERICA 

Signature and Ratification by States or Organizations 

Date of 

Date of Deposit of 

Country Signature Ratification 

China, Peoples Republic of .............................. 8/21/73 .......... 6/12/74 

France ............................................... 7/18/73 .......... 3/22/74 

U SSR ............................................... 5/18/78 ........... 1/8/79 

United Kingdom ...................................... 12/20/67 ......... 12/11/69 

United States ....................................... 4/1/68 .......... 5/12/71

18.6-21
AGREEMENT BETWEEN THE UNITED STATES OF AMERICA AND 

THE INTERNATIONAL ATOMIC ENERGY AGENCY 

FOR THE APPLICATION OF SAFEGUARDS 

IN THE UNITED STATES OF AMERICA 

TABLE OF CONTENTS 

Page 

P artI ................................................................. 2 

P art II ................................................................ 8 

D efinitions ........................................................... 21 

Protocol ............................................................. 23

18.7-1
AGREEMENT BETWEEN THE UNITED STATES OF AMERICA AND 

THE INTERNATIONAL ATOMIC ENERGY AGENCY FOR THE 

APPLICATION OF SAFEGUARDS IN THE UNITED STATES OF 

AMERICA 

Whereas the United States of America (hereinafter referred to as the "United States") 

is a Party to the Treaty on the Non-Proliferation of Nuclear Weapons (hereinafter 

referred to as the "Treaty") which was opened for signature at London, Moscow and 

Washington on 1 July 1968 and which entered into force on 5 March 1970; 

Whereas States Parties to the Treaty undertake to co-operate in facilitating the 

application of International Atomic Energy Agency (hereinafter referred to as the 

"Agency") safeguards on peaceful nuclear activities; 

Whereas non-nuclear-weapon States Parties to the Treaty undertake to accept 

safeguards, as set forth in an agreement to be negotiated and concluded with the Agency, 

on all source or special fissionable material in all their peaceful nuclear activities for the 

exclusive purpose of verification of the fulfillment of their obligations under the Treaty 

with a view to preventing diversion of nuclear energy from peaceful uses to nuclear 

weapons or other nuclear explosive devices; 

Whereas the United States, a nuclear-weapon State as defined by the Treaty, has 

indicated that at such time as safeguards are being generally applied in accordance with 

paragraph 1 of Article III of the Treaty, the United States will permit the Agency to apply 

its safeguards to all nuclear activities in the United States-excluding only those with 

direct national security significance-by concluding a safeguards agreement with the 

Agency for that purpose; 

Whereas the United States has made this offer and has entered into this agreement for 

the purpose of encouraging widespread adherence to the Treaty by demonstrating to 

no-nuclear-weapon States that they would not be placed at a commercial disadvantage by 

reason of the application of safeguards pursuant to the Treaty; 

Whereas the purpose of a safeguard agreement giving effect to this offer by the 

United States would thus differ necessarily from the purposes of safeguards agreements 

concluded between the Agency and non-nuclear-weapon States Party to the Treaty; 

Whereas it is in the interest of Members of the Agency, that, without prejudice to the 

principles and integrity of the Agency's safeguards system, the expenditure of the 

Agency's financial and other resources for implementation of such an agreement not 

exceed that necessary to accomplish the purpose of the Agreement; 

Whereas the Agency is authorized, pursuant to Article III of the Statute of the 

International Atomic Energy Agency (hereinafter referred to as the "Statute"), to 

conclude such a safeguards agreement; 

Now, therefore, the United States and the Agency have agreed as follows: 

PART I 

ARTICLE 1 

(a) The United States undertakes to permit the Agency to apply safeguards, in 

accordance with the terms of this Agreement, on all source or special fissionable 

material in all facilities within the United States, excluding only those facilities 

associated with activities with direct national security significance to the United States, 

which a view to enabling the Agency to verify that such material is not withdrawn, 

except as provided for in this Agreement, from activities in facilities while such material 

is being safeguarded under this Agreement. 

(b) The United States shall, upon entry in force of this Agreement, provide the 

Agency with a list of facilities within the United States not associated with activities with 

direct national security significance to the United States and may, in accordance with the

18.7-2
procedures set forth in Part II of this Agreement, add facilities to or remove facilities 

from that list as it deems appropriate. 

(c) The United States may, in accordance with the procedures set forth in this 

Agreement, withdraw nuclear material from activities in facilities included in the list 

referred to in Article 1 (b). 

ARTICLE 2 

(a) The Agency shall have the right to apply safeguards in accordance with the terms 

of this Agreement on all source or special fissionable material in all facilities within the 

United States, excluding only those facilities associated with activities with direct 

national security significance to the United States, with a view to enable the Agency to 

verify that such material is not withdrawn, except as provided for in this Agreement, 

from activities in facilities while such material is being safeguarded under this 

Agreement. 

(b) The Agency shall, from time to time, identify to the United States those facilities, 

selected from the then current list provided by the United States in accordance with 

Article 1 (b) in which the Agency wishes to apply safeguards, in accordance with the 

terms of this Agreement. 

(c) In identifying facilities and in applying safeguards thereafter on source or special fissionable material in such facilities, the Agency shall proceed in a manner which the 

Agency and the United States mutually agrees takes into account the requirement on the 

United States to avoid discriminatory treatment as between United States commercial 

firms similarly situated. 

ARTICLE 3 

(a) The United States and the Agency shall co-operate to facilitate the 

implementation of the safeguards provided for in this Agreement. 

(b) The source or special fissionable material subject to safeguards under this 

Agreement shall be that material in those facilities which shall have been identified by 

the Agency at any given time pursuant to Article 2(b). 

(c) The safeguards to be applied by the Agency under this agreement on source or 

special fissionable materials in facilities in the United States shall be implemented by the 

same procedures followed by the Agency in applying its safeguards on similar material in 

similar facilities in non-nuclear-weapon States under agreement pursuant to paragraph 1 

of Article III of the Treaty. 

ARTICLE 4 

The safeguards provided for in this Agreement shall be implemented in a manner 

designed: 

(a) To avoid hampering the economic and technological development of the United 

States or international co-operation in the field of peaceful nuclear activities, including 

international exchange of nuclear material; 

(b) To avoid undue interference in peaceful nuclear activities of the United States 

and in particular in the operation of the facilities; and (c) To be consistent with prudent management practices required for the economic 

and safe conduct of nuclear activities. 

ARTICLE 5 

(a) The Agency shall take every precaution to protect commercial and industrial 

secrets and other confidential information coming to its knowledge in the implementation 

of this Agreement.

18.7-3
(b)(i) The Agency shall not publish or communicate to any State, organization or 

person any information obtained by it in connection with the implementation of this 

Agreement, except that specific information relating to the implementation thereof may 

be given to the Board of Governors of the Agency (hereinafter referred to as "the 

Board") and to such Agency staff members as require such knowledge by reason of their 

official duties in connection with safeguards, but only to the extent necessary for the 

Agency to fulfill its responsibilities in implementing this Agreement. 

(ii) Summarized information on nuclear material subject to safeguards under this 

Agreement may be published upon the decision of the Board if the United States 

agrees thereto. 

ARTICLE 6 

(a) The Agency shall, in implementing safeguards pursuant to this Agreement, take 

full account of technological developments in the field of safeguards, and shall make 

every effort to ensure optimum cost-effectiveness and the application of the principle of 

safeguarding effectively the flow of nuclear material subject to safeguards under this 

Agreement by use of instruments and other techniques at certain strategic points to the 

extent that present or future technology permits. 

(b) In order to ensure optimum cost-effectiveness, use shall be made, for example, of 

such means as: 

(i) Containment as a means of defining material balance areas for accounting 

purposes; 

(ii) Statistical techniques and random sampling in evaluating the flow of nuclear 

material; and 

(iii) Concentration of verification procedures on those stages in the nuclear fuel 

cycle involving the production, processing, use or storage of nuclear material from 

which nuclear weapons or other nuclear explosive devices could readily be made, and 

minimization of verification procedures in respect of other nuclear material, on 

condition that this does not hamper the Agency in applying safeguards under this 

Agreement. 

ARTICLE 7 

(a) The United States shall establish and maintain a system of accounting for and 

control of all nuclear material subject to safeguards under this Agreement. 

(b) The Agency shall apply safeguards in accordance with Article 3(c) in such a 

manner as to enable the Agency to verify, in ascertaining that there has been no 

withdrawal of nuclear material, except as provided for in this Agreement, from activities 

in facilities while such material is being safeguarded under this Agreement, findings of 

the accounting and control system of the United States. The Agency's verification shall 

include, inter alia, independent measurements and observations conducted by the Agency 

in accordance with the procedures specified in Part II. The Agency, in its verification, 

shall take due account of the technical effectiveness of the system of the United States. 

ARTICLE 8 

(a) In order to ensure the effective implementation of safeguards under this 

Agreement, the United States shall, in accordance with the provisions set out in Part II, 

provide the Agency with information concerning nuclear material subject to safeguards 

under this Agreement and the features of facilities relevant to safeguarding such material. 

(b)(i) The Agency shall require only the minimum amount of information and data 

consistent with carrying out its responsibilities under this Agreement.

18.7 -4
(ii) Information pertaining to facilities shall be the minimum necessary for 

safeguarding nuclear material subject to safeguards under this Agreement. 

(c) If the United States so requests, the Agency shall be prepared to examine on 

premises of the United States design information which the United States regards as 

being of particular sensitivity. Such information need not be physically transmitted to the 

Agency provided that it remains readily available for further examination by the Agency 

on premises of the United States. 

ARTICLE 9 

(a)(i) The Agency shall secure the consent of the United States to the designation of 

Agency inspectors to the United States. 

(ii) If the United States, either upon proposal of a designation or at any other time 

after designation has been made, objects to the designation, the Agency shall propose 

to the United States and alternative designation or designations. 

(iii) If, as a result of the repeated refusal of the United States to accept the 

designation of the Agency inspectors, inspections to be conducted under this 

Agreement would be impeded, such refusal shall be considered by the Board, upon referral by the Director General of the Agency (hereinafter referred to as "the 

Director General") with a view to its taking appropriate action. 

(b) The United States shall take the necessary steps to ensure that Agency inspectors 

can effectively discharge their functions under this Agreement. 

(c) The visits and activities of Agency inspectors shall be so arranged as: 

(i) To reduce to a minimum the possible inconvenience and disturbance to the 

United States and to the peaceful nuclear activities inspected; and 

(ii) To ensure protection of industrial secrets or any other confidential information 

coming to the inspectors' knowledge. 

ARTICLE 10 

The Provisions of the International Organizations Immunities Act of the United 

States of America shall apply to Agency inspectors performing functions in the United 

States under this Agreement and to any property of the Agency used by them. 

ARTICLE 11 

Safeguards shall terminate on nuclear material upon determination by the Agency that 

the material has been consumed, or has been diluted in such a way that it is no longer 

usable for any nuclear activity relevant from the point of view of safeguards, or has 

become practicably irrecoverable. 

ARTICLE 12 

(a) If the United States intends to exercise its right to withdraw nuclear material from 

activities in facilities identified by the Agency pursuant to Article 2(b) and 39(b) (other 

than those facilities removed, pursuant to Article 34(b)(i) from the list provided for by 

Article 1 (b)) and to transfer such material to a destination in the United States other than 

to a facility included in the list established and maintained pursuant to Article 1 (b) and 

34, the United States shall notify the Agency in advance of such withdrawal. Nuclear 

material in respect of which such notification has been given shall cease to be subject to 

safeguards under this Agreement as from the time of its withdrawal. 

(b) Nothing in this Agreement shall effect the right of the United States to transfer 

material subject to safeguards under this Agreement to destinations not within or under 

the jurisdiction of the United States. The United States shall provide the Agency with 

information with respect to such transfers in accordance with Article 89. The Agency

18.7-5
shall keep records of each such transfer and, where applicable, of the re-application of 

safeguards to the transferred nuclear material. 

ARTICLE 13 

Where nuclear material subject to safeguards under this Agreement is to be used in 

non-nuclear activities, such as the production of alloys or ceramics, the United States 

shall agree with the Agency, before the material is so used, on the circumstances under 

which the safeguards on such material may be terminated. 

ARTICLE 14 

The United States and the Agency will bear the expenses incurred by them in 

implementing their respective responsibilities under this Agreement. However if, the 

United States or persons under its jurisdiction incur extraordinary expenses as a result of 

a specific request by the Agency, the Agency shall reimburse such expenses provided 

that it has agreed in advance to do so. In any case the Agency shall bear the cost of any 

additional measuring or sampling which inspectors may request. 

ARTICLE 15 

In carrying out its functions under this Agreement within the United States, the 

Agency and its personnel shall be covered to the same extent as nationals of the United 

States by any protection against third-party liability provided under the Price-Anderson 

Act, including insurance or other indemnity coverage that may be required by the 

Price-Anderson Act with respect to nuclear incidents. 

ARTICLE 16 

Any claim by the United States against the Agency or by the Agency against the 

United States in respect of any damage resulting from the implementation of safeguards 

under this Agreement, other than damage arising out of a nuclear incident, shall be 

settled in accordance with international law. 

ARTICLE 17 

If the Board, upon report of the Director General, decides that an action by the United 

States is essential and urgent in order to ensure compliance with this Agreement, the 

Board may call upon the United States to take the required action without delay, 

irrespective of whether procedures have been invoked pursuant to Article 21 for the 

settlement of a dispute. 

ARTICLE 18 

"If the Board, upon examination of relevant information reported to it by the Director 

General, determines there has been any non-compliance with this Agreement, the Board 

may call upon the United States to remedy forthwith such non-compliance. In the event 

there is a failure to take fully corrective action within a reasonable time, the Board may 

make the reports provided for in paragraph C of Article XII of the Statute and may also 

take, where applicable, the other measures provided for in that paragraph. In taking such 

action the Board shall take account of the degree of assurance provided by the safeguards 

measures that have been applied and shall afford the United States every reasonable 

opportunity to furnish the Board with any necessary reassurance.

18.7-6
ARTICLE 19 

The United States and the Agency shall, at the request of either, consult about any 

question arising out of the interpretation or application of this Agreement. 

ARTICLE 20 

The United States shall have the right to request that any question arising out of the 

interpretation or application of this Agreement be considered by the Board. The Board 

shall invite the United States to participate in the discussion of any such question by the 

Board. 

ARTICLE 21 

Any dispute arising out of the interpretation or application of this Agreement, except 

a dispute with regard to a determination by the Board under Article 18 or an action taken 

by the Board pursuant to such a determination which is not settled by negotiation or 

another procedure agreed to by the United States and the Agency shall, at the request of 

either, be submitted to an arbitral tribunal composed as follows: The United States and 

the Agency shall each designate one arbitrators, and the two arbitrators so designated 

shall elect a third, who shall be the Chairman. If, within thirty days of the request for 

arbitration, either the United States or the Agency has not designated an arbitrator, either 

the United States or the Agency may request the President of the International Court of 

Justice to appoint an arbitrator. The same procedure shall apply if, within thirty days of 

the designation or appointment of the second arbitrator, the third arbitrator has not been 

elected. A majority of the members of the arbitral tribunal shall constitute a quorum, and 

all decisions shall require the concurrence of two arbitrators. The arbitral procedure shall 

be fixed by the tribunal. The decisions of the tribunal shall be binding on the United 

States and the Agency. 

ARTICLE 22 

The Parties shall institute steps to suspend the applications of Agency safeguards in 

the United States under other safeguards agreements with the Agency while this 

Agreement is in force. However, the United States and the Agency shall ensure that 

nuclear material being safeguarded under this Agreement shall be at all times at least 

equivalent in amount and composition to that which would be subject to safeguards in the 

United States under the agreements in question. The detailed arrangements for the 

implementation of this provision shall be specified in the subsidiary arrangements 

provided for in Article 39, and shall reflect the nature of any undertaking given under 

such other safeguards agreement. 

ARTICLE 23 

(a) The United States and the Agency shall, at the request of either, consult each 

other on amendments to this Agreement. 

(b) All amendments shall require the agreement of the United States and the Agency. 

ARTICLE 24 

This Agreement or any amendment thereto shall enter into force on the date on which 

the Agency receives from the United States written notification that statutory and 

constitutional requirements of the United States for entry into force have been met.

18.7-7
ARTICLE 25 

The Director General shall promptly inform all Member States of the Agency of the 

entry into force of this Agreement, or of any amendments thereto. 

ARTICLE 26 

The Agreement shall remain in force as long as the United States is a party to the 

Treaty except that the Parties to this Agreement shall, upon the request of either of them, 

consult and, to the extent mutually agreed, modify this Agreement in order to ensure that 

it continues to serve the purpose for which it was originally intended. If the Parties are 

unable after such consultation to agree upon necessary modifications, either Party may, 

upon six months' notice, terminate this Agreement. 

PART II 

ARTICLE 27 

The purpose of this part of the Agreement is to specify the procedures to be applied 

in the implementation of the safeguards provisions of Part I. 

ARTICLE 28 

The objective of the safeguards procedures set forth in this part of the Agreement is 

the timely detection of withdrawal, other than in accordance with the terms of this 

Agreement, of significant quantities of nuclear material from activities in facilities while 

such material is being safeguarded under this Agreement. 

ARTICLE 29 

For the purpose of achieving the objective set forth in Article 28, material 

accountancy shall be used as a safeguards measure of fundamental importance, with 

containment and surveillance as important complementary measures. 

ARTICLE 30 

The technical conclusion of the Agency's verification activities shall be a statement, 

in respect of each material balance area, of the amount of material unaccounted for over a 

specific period, and giving the limits of accuracy of the amounts stated. 

ARTICLE 31 

Pursuant to Article 7, the Agency, in carrying out its verification activities, shall make 

full use of the United States' system of accounting for and control of all nuclear material 

subject to safeguards under this Agreement and shall avoid unnecessary duplication of 

the United States' accounting and control activities. 

ARTICLE 32 

The United States' system of accounting for and control of all nuclear material 

subject to safeguards under this Agreement shall be based on a structure of material 

balance areas, and shall make provision, as appropriate and specified in the Subsidiary 

Arrangements, for the establishment of such measures as : 

(a) A measurement system for the determination of the quantities of nuclear material 

received, produced, shipped, lost or otherwise removed from inventory, and the 

quantities on inventory; 

(b) The evaluation of precision and accuracy of measurements and the estimation of 

measurement uncertainty;

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(c) Procedure for identifying, reviewing and evaluating differences in 

shipper/receiver measurements; 

(d) Procedure for taking a physical inventory; 

(e) Procedures for the evaluation of accumulations of unmeasured inventory and 

unmeasured losses; 

(f) A system of records and reports showing, for each material balance area, the 

inventory of nuclear material and the changes in that inventory including receipts into 

and transfers out of the material balance area; 

(g) Provisions to ensure that the accounting procedures and arrangements are being 

operated correctly; and 

(h) Procedures for the provision of reports to the Agency in accordance with Article 

57 through 63 and 65 through 67. 

ARTICLE 33 

Safeguards under this Agreement shall not apply to material in mining or ore 

processing activities. 

ARTICLE 34 

The United States may, at any time, notify the Agency of any facility or facilities to 

be added to or removed from the list provided for in Article 1(b): 

(a) In case of addition to the list, the notification shall specify the facility or facilities 

to be added to the list and the date upon which the addition is to take effect; 

(b) In the case of removal from the list of a facility or facilities then currently 

identified pursuant to Article 2(b) or 39(b): 

(i) The Agency shall be notified in advance and the notification shall specify: the 

facility or facilities being removed, the date of removal, and the quantity and 

composition of the nuclear material contained therein at the time of notification. In 

exceptional circumstances, the United States may remove facilities without giving 

advance notification; 

(ii) Any facility in respect of which notification has been given in accordance 

with sub-paragraph (i) shall be removed from the list and nuclear material contained 

therein shall cease to be subject to safeguards under this Agreement in accordance 

with and at the time specified in the notification by the United States. 

(c) In the case of removal from the list of a facility or facilities not then currently 

identified pursuant to Article 2(b) or 39(b), the notification shall specify the facility or 

facilities being removed and the date of removal. Such facility or facilities shall be 

removed from the list at the time specified in the notification by the United States. 

ARTICLE 35 

(a) Safeguards shall terminate on nuclear material subject to safeguards under this 

Agreement, under the conditions set forth in Article 11. Where the conditions of the 

Article are not met, but the United States considers that the recovery of safeguarded 

nuclear material from residues is not for the time being practicable or desirable, the 

United States and the Agency shall consult on the appropriate safeguards measures to be 

applied. 

(b) Safeguards shall terminate on nuclear material subject to safeguards under this 

Agreement, under the conditions set forth in Article 13, provided that the United States 

and the Agency agree that such nuclear material is practicably irrecoverable.

18.7-9
ARTICLE 36 

At the request of the United States, the Agency shall exempt from the safeguards 

nuclear material, which would otherwise be subject to safeguards under this Agreement, 

as follows: 

(a) Special fissionable material, when it is used in gram quantities or less as a 

sensing component in instruments; 

(b) Nuclear material, when it is used in non-nuclear activities in accordance with 

Article 13, if such nuclear material is recoverable; and 

(c) Plutonium with an isotopic concentration of plutonium-238 exceeding 80%. 

ARTICLE 37 

At the request of the United States, the Agency shall exempt from safeguards nuclear 

material that would otherwise be subject to safeguards under this Agreement, provided 

that the total quantity of nuclear material which has been exempt in the United States in 

accordance with this Article may not at any time exceed: 

(a) One kilogram in total of special fissionable material, which may consist of one or 

more of the following: 

(i) Plutonium; 

(ii) Uranium with an enrichment of 0.2 (20%) and above, taken account of by 

multiplying its weight by its enrichment; and 

(iii) Uranium with an enrichment below 0.2 (20%) and above that of natural 

uranium, taken account of by multiplying its weight by five times the square of its 

enrichment; 

(b) Ten metric tons in total of natural uranium and depleted uranium with an 

enrichment above 0.005 (0.5%); 

(c) Twenty metric tons of depleted uranium with and enrichment of 0.005 (0.5%) or 

below; and 

(d) Twenty metric tons of thorium; 

or such greater amounts as may be specified by the Board for uniform application. 

ARTICLE 38 

If exempted nuclear material is to be processed or stored together with nuclear 

material subject to safeguards under this Agreement, provision shall be made for the 

re-application of safeguards thereto. 

ARTICLE 39 

(a) The United States and the Agency shall make Subsidiary Arrangements which 

shall: 

(i) contain a current listing of those facilities identified by the Agency pursuant to 

Article 2(b) and thus containing nuclear material subject to safeguards under this 

Agreement; and 

(ii) specify in detail, to the extent necessary to permit the Agency to fulfill its 

responsibilities under this Agreement in an effective and efficient manner, how the 

procedures laid down in this Agreement are to be applied. 

(b)(i) After entry into force of this Agreement, the Agency shall identify to the 

United States, from the list provided in accordance with Article 1 (b), those facilities to be 

included in the initial Subsidiary Arrangements listing; 

(ii) The Agency may thereafter identify for inclusion in the Subsidiary 

Arrangements listing additional facilities from the list provided in accordance with 

Article 1 (b) as that list may have been modified in accordance with Article 34.

18.7-10
(c) The Agency shall also designate to the United States those facilities to be 

removed from the Subsidiary Arrangements listing which have not otherwise been 

removed pursuant to notification by the by the United States in accordance with Article 

34. Such facility or facilities shall be removed from the Subsidiary Arrangements listing 

upon such designation to the United States. 

(d) The Subsidiary Arrangements may be extended or charged by agreement between 

the Agency and the United States without amendment of this Agreement. 

ARTICLE 40 

(a) With respect to those facilities which shall have been identified by the Agency in 

accordance with Article 39(b)(i), such Subsidiary Arrangement shall enter into force at 

the same time as, or as soon as possible after, entry into force of this Agreement. The 

United States and the Agency shall make every effort to achieve their entry into force 

within 90 days after entry into force of this Agreement; an extension of that period shall 

require agreement between the United States and the Agency. 

(b) With respect to facilities which, after the entry into force of this Agreement, have 

been identified by the Agency in accordance with Article 39(b)(ii) for inclusion in the 

Subsidiary Arrangements listing, the United States and the Agency shall make every 

effort to achieve the entry into force of such Subsidiary Arrangements within ninety days following such identification to the United States; an extension of that period shall 

require agreement between the Agency and the United States. 

(c) Upon identification of a facility by the Agency in accordance with Article 39(b), 

the United States shall provide the Agency promptly with the information required for 

completing the Subsidiary Arrangements, and the Agency shall have the right to apply 

the procedures set forth in this Agreement to the nuclear material listed in the inventory 

provided for in Article 41, even if the Subsidiary Arrangements have not yet entered into 

force. 

ARTICLE 41 

The Agency shall establish, on the basis of the initial reports referred to in Article 

60(a) below, a unified inventory of all nuclear material in the United States subject to 

safeguards under this Agreement, irrespective of its origin, and shall maintain this 

inventory on the basis of subsequent reports concerning those facilities, of the initial 

reports referred to in Article 60(b), of subsequent reports concerning the facilities listed 

pursuant to Article 39(b)(ii), and of the results of its verification activities. Copies of the 

inventory shall be made available to the United States at intervals to be agreed. 

ARTICLE 42 

Pursuant to Article 8, design information in respect of facilities identified by the 

Agency in accordance with Article 39(b)(i) shall be provided to the Agency during the 

discussion of the Subsidiary Arrangements. The time limits for the provision of design 

information in respect of any facility which is identified by the Agency in accordance 

with Article 39(b)(ii) shall be specified in the Subsidiary Arrangements and such 

information shall be provided as early as possible after such identification. 

ARTICLE 43 

The design information to be provided to the Agency shall include, in respect of each 

facility identified by the Agency in accordance with Article 39(b), when applicable: 

(a) The identification of the facility, stating its general character, purpose, nominal 

capacity and geographic location, and the name and address to be used for routine 

business purposes;

18.7-11
(b) A description of the general arrangement of the facility with reference, to the 

extent feasible, to the form, location and flow of nuclear material and to the general 

layout of important items of equipment which use, produce or process nuclear material; 

(c) A description of features of the facilities relating to material accountancy, 

containment and surveillance; and 

(d) A description of the existing and proposed procedures at the facility for nuclear 

material accountancy and control, with special reference to material balance areas 

established by the operator, measurements of flow and procedures for physical inventory 

taking. 

ARTICLE 44 

Other information relevant to the application of safeguards shall also be provided to 

the Agency in respect of each facility identified by the Agency in accordance with Article 

39(b), in particular on organizational responsibility for material accountancy and control. 

The United States shall provide the Agency with supplementary information on the 

health and safety procedures which the Agency shall observe and with which the 

inspectors shall comply at the facility. 

ARTICLE 45 

The Agency shall be provided with design information in respect of a modification 

relevant for safeguards purposes, for examination, and shall be informed of any change 

in the information provided to it under Article 44, sufficiently in advance for the 

safeguards procedures to be adjusted when necessary. 

ARTICLE 46 

The design information provided to the Agency shall be used for the following 

purposes: 

(a) To identify the features of facilities and nuclear material relevant to the 

application of safeguards to nuclear material in sufficient detail to facilitate verification; 

(b) To determine material balance areas to be used for Agency accounting purposes 

and to select those strategic points which are key measurement points and which will be 

used to determine flow and inventory of nuclear material; in determining such material 

balance areas the Agency shall, inter alia, use the following criteria: 

(i) The size of the material balance area shall be related to the accuracy with 

which the material balance can be established; 

(ii) In determining the material balance area, advantage shall be taken of any 

opportunity to use containment and surveillance to help ensure the completeness of 

flow measurements and thereby to simplify the application of safeguards and to 

concentrate measurement efforts at key measurement points; 

(iii) A number if material balance areas in use at a facility or at distinct sites may 

be combined in one material balance area to be used for Agency accounting purposes 

when the Agency determines that this is consistent with its verification requirements; 

and 

(iv) A special material balance area may be established at the request of the 

United States around a process step involving commercially sensitive information; 

(c) To establish the nominal timing and procedure for taking of physical inventory of 

nuclear material for the Agency accounting purposes; 

(d) To establish the records and reports requirements and records evaluation 

procedures; 

(e) To establish requirements and procedures for verification of the quality and 

location of nuclear material; and

18.7-12
(f) To select appropriate combinations of containment and surveillance methods and 

techniques at the strategic points at which they are to be applied. 

The results of the examination of the design information shall be included in the 

Subsidiary Arrangements. 

ARTICLE 47 

Design information shall be re-examined in the light of changes in operating 

conditions, of developments in safeguards technology or of experience in the application 

of verification procedures, with a view to modifying the action the Agency has taken 

pursuant to Article 46. 

ARTICLE 48 

The Agency in co-operation with the United States, may send inspectors to facilities 

to verify the design information provided to the Agency pursuant to Article 42 through 

45, for the purposes stated in Article 46. 

ARTICLE 49 

In establishing a national system of materials control as referred to in Article 7, the 

United States shall arrange that records are kept in respect of each material balance area 

determined in accordance with Article 46(b). The records to be kept shall be described in 

the Subsidiary Arrangements. 

ARTICLE 50 

The United States shall make arrangements to facilitate the examination of records 

referred to in Article 49 by inspectors. 

ARTICLE 51 

Records referred to in Article 49 shall be retained for at least five years. 

ARTICLE 52 

Records referred to in Article 49 shall consist, as appropriate, of 

(a) Accounting records of all nuclear material subject to safeguards under this 

Agreement; and 

(b) Operating records for facilities containing such nuclear material. 

ARTICLE 53 

The system of measurements on which the record used for the preparation of reports 

are based shall either conform to the latest international standards or be equivalent in 

quality to such standards. 

ARTICLE 54 

The accounting records referred to in Article 52(a) shall set forth the following in 

respect of each material balance area determined in accordance with Article 46(b): 

(a) All inventory changes, so as to permit a determination of the book inventory at 

any time; 

(b) All measurement results that are used for determination of the physical inventory; 

and 

(c) All adjustments and corrections that have been made in respect of inventory 

changes, book inventories and physical inventories.

18.7-13
ARTICLE 55 

For all inventory changes and physical inventories the records referred to in Article 

52(a) shall show, in respect of each batch of nuclear material: material identification, 

batch data and source data. The records shall account for uranium, thorium and 

plutonium separately in each batch of nuclear material. For each inventory change, the 

data of the inventory change and, when appropriate, the originating material balance area 

and the receiving material balance area of the recipient shall be indicated. 

ARTICLE 56 

The operating records referred to in Article 52(b) shall set forth, as appropriate, in 

respect of each material balance area determined in accordance with Article 46(b): 

(a) Those operating data which are used to establish changes in the quantities and 

composition of nuclear material; 

(b) The data obtained from the calibration of tanks and instruments and from 

sampling and analyses, the procedures to control the quality of measurements and the 

derived estimates of random and systematic error; 

(c) A description of the sequence of the actions taken in preparing for, and in taking 

a physical inventory, in order to ensure that it is correct and complete; and 

(d) A description of the actions taken in order to ascertain the cause and magnitude 

of any accidental or unmeasured loss that might occur. 

ARTICLE 57 

The United States shall provide the Agency with reports as detailed in Article 58 

through 67 in respect of nuclear material subject to safeguards under this Agreement. 

ARTICLE 58 

Reports shall be made in English. 

ARTICLE 59 

Reports shall be based on the records kept in accordance with Article 49 through 56 

and shall consist, as appropriate, of accounting reports and special reports. 

ARTICLE 60 

The United States shall provide the Agency with an initial report on all nuclear 

material contained in each facility which becomes listed in the Subsidiary Arrangements 

in accordance with Article 39(b): 

(a) With respect to those facilities listed pursuant to Article 39(b)(i), such reports 

shall be dispatched to the Agency within thirty days of the last day of the calendar month 

in which this Agreement enters into force, and shall reflect the situations as of the last 

day of that month. 

(b) With respect to each facility listed pursuant to Article 39(b)(ii), an initial report 

shall be dispatched to the Agency within thirty days of the last day of the calendar month 

in which the Agency identifies the facility of the United States and shall reflect the 

situation as of the last day of the month. 

ARTICLE 61 

The United States shall provide the Agency with the following accounting reports for 

each material balance area determined in accordance with Article 46(b):

18.7-14
(a) Inventory change reports showing all charges in the inventory of nuclear material. 

The reports shall be dispatched as soon as possible and in any event within thirty days 

after the end of the month in which the inventory changes occurred or were established; 

and 

(b) Material balance reports showing the material balance based on a physical 

inventory of nuclear material actually present in the material balance area. The reports 

shall be dispatched as soon as possible and in any event within thirty days after the 

physical inventory has been taken. 

The reports shall be based on data available as of the date of reporting and may be 

corrected at a later date, as required. 

ARTICLE 62 

Inventory change reports submitted in accordance with Article 61(a) shall specify 

identification and batch data for each batch of nuclear material, the date of the inventory 

change, and, as appropriate, the originating material balance area and the receiving 

material balance area or the recipient. These reports shall be accompanied by concise 

notes: 

(a) Explaining the inventory changes, on the basis of the operating data contained in 

the operating records provided for under Article 56(a); and 

(b) Describing, as specified in the Subsidiary Arrangements, the anticipated 

operational programme, particularly the taking of a physical inventory. 

ARTICLE 63 

The United States shall report each inventory change, adjustment and correction, 

either periodically in a consolidated list or individually. Inventory changes shall be 

reported in terms of batches. As specified in the Subsidiary Arrangements, small changes 

in inventory of nuclear material, such as transfers of analytical samples, may be 

combined in one batch and reported as one inventory change. 

ARTICLE 64 

The Agency shall provide the United States with semi-annual statements of book 

inventory of nuclear material subject to safeguards under this Agreement, for each 

material balance area, as based on the inventory change reports for the period covered by 

each such statement. 

ARTICLE 65 

Material balance reports submitted in accordance with Article 61 (b) shall include the 

following entries, unless otherwise agreed by the United States and the Agency: 

(a) Beginning physical inventory; 

(b) Inventory changes(first increases, then decreases); 

(c) Ending book inventory; 

(d) Shipper/receiver differences; 

(e) Adjusted ending book inventory; 

(f) Ending physical inventory; and 

(g) Material unaccounted for. 

A statement of the physical inventory, listing all batches separately and specifying 

material identification and batch data for each batch, shall be attached to each material 

balance report.

18.7-15
ARTICLE 66 

The United States shall make special reports without delay: 

(a) If any unusual incident or circumstances lead the United States to believe that 

there is or may have been loss of nuclear material subject to safeguards under this 

Agreement that exceeds the limits specified for this purpose in the Subsidiary 

Arrangement; or 

(b) If the containment has unexpectedly changed from that specified in the 

Subsidiary Arrangement to the extent that unauthorized removal of nuclear material 

subject to safeguards under this Agreement has become possible. 

ARTICLE 67 

If the Agency so requests, the United States shall provide it with amplifications or 

clarifications of any report submitted in accordance with Article 57 through 63, 65 and 

66, in so far as relevant for the purpose of safeguards. 

ARTICLE 68 

The Agency shall have the right to make inspections as provided for in Article 69 

through 82. 

ARTICLE 69 

The Agency may make ad hoc inspections in order to: 

(a) Verify the information contained in the initial reports submitted in accordance 

with Article 60; 

(b) Identify and verify changes in the situation which have occurred since the date of 

the relevant initial report; and 

(c) Identify and if possible verify the quality and composition of the nuclear material 

subject to safeguards under this Agreement in respect of which the information referred 

to in Article 89(a) has been provided to the Agency. 

ARTICLE 70 

The Agency may make routine inspections in order to: 

(a) Verify that reports submitted pursuant to Articles 57 through 63, 65 and 66 are 

consistent with records kept pursuant to Articles 49 through 56; 

(b) Verify the location, identify, quantity and composition of all nuclear material 

subject to safeguards under this Agreement; and 

(c) Verify information on the possible causes of material unaccounted for, 

shipper/receiver differences and uncertainties in the book inventory. 

ARTICLE 71 

Subject to the procedures laid down in Article 75, the Agency may make special 

inspections: 

(a) In order to verify the information contained in special reports submitted in 

accordance with Article 66; or 

(b) If the Agency considers that information made available by the United States, 

including explanations from the United States and information obtained from routine 

inspections, is not adequate for the Agency to fulfill its responsibilities under this 

Agreement. 

An inspection shall be deemed to be special when it is either additional to the routine 

inspection effort provided for in Article 76 through 80, or involves access to information

18.7-16
or locations in addition to the access specified in Article 74 for ad hoc and routine 

inspections, or both. 

ARTICLE 72 

For the purposes specified in Article 69 through 71, the Agency may: 

(a) Examine the records kept pursuant to Articles 49 through 56; 

(b) Make independent measurements of all nuclear material subject to safeguards 

under this Agreement; 

(c) Verify the functioning and calibration of instruments and other measuring and 

control equipment; 

(d) Apply and make use of surveillance and containment measures; and 

(e) Use other objective methods which have been demonstrated to be technically 

feasible. 

ARTICLE 73 

Within the scope of Article 72, the Agency shall be enabled: 

(a) To observe that samples at key measurement points for material balance 

accountancy are taken in accordance with procedures which produce representative 

samples, to observe the treatment and analysis of the samples and to obtain duplicates of 

such samples; 

(b) To observe that the measurements of nuclear material at key measurement points 

for material balance accountancy are representative, and to observe the calibration of the 

instruments and equipment involved; 

(c) To make arrangements with the United States that, if necessary: 

(i) Additional measurements are made and additional samples taken for the 

Agency's use; 

(ii) The Agency's standard analytical samples are analyzed; 

(iii) Appropriate absolute standards are used in calibrating instruments and other 

equipment; and 

(iv) Other calibrations are carried out; 

(d) To arrange to use its own equipment for independent measurement and 

surveillance, and if so agreed and specified in the Subsidiary Arrangements to arrange to 

install such equipment; 

(e) To apply its seals and other identifying tamper-indicating devices to 

containments, if so agreed and specified in the Subsidiary Arrangements; and 

(f) To make arrangements with the United States for the shipping of samples taken 

for the Agency's use. 

ARTICLE 74 

(a) For the purposes specified in Article 69(a) and (b) and until such time as the 

strategic points have been specified in the Subsidiary Arrangements, Agency inspectors 

shall have access to any location where the initial report or any inspections carried out 

therewith indicate that nuclear material subject to safeguards under this Agreement is 

present. 

(b) For the purposes specified in Article 69(c), the inspectors shall have access to 

any facility identified pursuant to Article 2(b) or 39(b) in which nuclear material 

referred to in Article 69(c) is located. 

(c) For the purposes specified in Article 70 the inspectors shall have access only to 

the strategic points specified in the Subsidiary Arrangements and to the records 

maintained pursuant to Articles 49 through 56; and

18.7-17
(d) In the event of the United States concluding that any unusual circumstances 

require extended limitations on access by the Agency, the United States and the Agency 

shall promptly make arrangements with a view to enabling the Agency to discharge its 

safeguards responsibilities in the light of these limitations. The Director General shall 

report each such arrangement to the Board. 

ARTICLE 75 

In circumstances which may lead to special inspections for purposes specified in 

Article 71 the United States and the Agency shall consult forthwith. As a result of such 

consultations the Agency may: 

(a) Make inspections in addition to the routine inspection effort provided for in 

Article 76 through 80; and 

(b) Obtain access, in agreement with the United States, to information or locations in 

addition to those specified in Article 74. Any disagreement concerning the need for 

additional access shall be resolved in accordance with Articles 20 and 21; in case action 

by the United States is essential and urgent, Article 17 shall apply. 

ARTICLE 76 

The Agency shall keep the number, intensity and duration of routine inspections, 

applying optimum timing, to the minimum consistent with the effective implementation 

of the safeguards procedures set forth in this Agreement, and shall make the optimum 

and most economical use of inspection resources available-to it. 

ARTICLE 77 

The Agency may carry out one routine inspection per year in respect of facilities 

listed in the Subsidiary Arrangements pursuant to Article 39 with a content or annual 

throughput, whichever is greater, of nuclear material not exceeding five effective 

kilograms. 

ARTICLE 78 

The number, intensity, duration, timing and mode of routine inspections in respect of 

facilities listed in the Subsidiary Arrangements pursuant to Article 39 with a content or 

annual throughput of nuclear material exceeding five effective kilograms shall be 

determined on the basis that in the maximum or limiting case the inspection regime shall 

be no more intensive than is necessary and sufficient to maintain continuity of knowledge 

of the flow and inventory of nuclear material, and the maximum routine inspection effort 

in respect of such facilities shall be determined as follows: 

(a) For reactors and sealed storage installations the maximum total of routine 

inspection per year shall be determined by allowing one sixth of a man-year of inspection 

for each such facility. 

(b) For facilities, other than reactors or sealed storage installations, involving 

plutonium or uranium enriched to more than 5 percent, the maximum total of routine 

inspection per year shall be determined by allowing for each facility 30 x E mandays of 

inspection per year, where E is the inventory or annual throughput of nuclear material, 

whichever is greater, expressed in effective kilograms. The maximum established for any 

such facility shall not, however, be less than 1.5 man-years of inspection; and 

(c) For facilities not covered by paragraphs (a) or (b), the maximum total of routine 

inspection per year shall be determined by allowing for each such facility one third of a 

man-year of inspection plus 0.4 x E man-days of inspection per year, where E is the 

inventory or annual throughput of nuclear material, whichever is greater, expressed in 

effective kilograms.

18.7-18
The United States and the Agency may agree to amend the figures for the maximum 

inspection effort specified in this Article, upon determination by the Board that such 

amendment is reasonable. 

ARTICLE 79 

Subject to Articles 76 through 78 the criteria to be used for determining the actual 

number, intensity, duration, timing and mode of routine inspections in respect of any 

facility listed in the Subsidiary Arrangements pursuant to Article 39 shall include: 

(a) The form of the nuclear material, in particular, whether the nuclear material is in 

bulk form or contained in a number of separate items; its chemical composition and, in 

the case of uranium, whether it is of low or high enrichment; and its accessibility; 

(b) The effectiveness of the United States' accounting and control system, including 

the extent to which the operators of facilities are functionally independent of the United 

States' accounting and control system; the extent to which the measures specified in 

Article 32 have been implemented by the United States; the promptness of reports 

provided to the Agency; their consistency with the Agency's independent verification; 

and the amount and accuracy of the material unaccounted for, as verified by the Agency; 

(c) Characteristics of that part of the United States fuel cycle in which safeguards are 

applied under this Agreement, in particular, the number and types of facilities containing 

nuclear material subject to safeguards under this Agreement, the characteristics of such 

facilities relevant to safeguards, notably the degree of containment; the extent to which 

the design of such facilities facilitates verification of the flow and inventory of nuclear 

material; and the extent to which information from different material balance areas can 

be correlated; 

(d) International interdependence; in particular the extent to which nuclear material, 

safeguarded under this Agreement, is received from or sent to other States for use or 

processing; any verification activities by the Agency in connection therewith; and the 

extent to which activities in facilities in which safeguards are applied under this 

Agreement are interrelated with those of other States; and 

(e) Technical developments in the field of safeguards, including the use of statistical 

techniques and random sampling in evaluating the flow of nuclear material. 

ARTICLE 80 

The United States and the Agency shall consult if the United States considers that the 

inspection effort is being deployed with undue concentration on particular facilities. 

ARTICLE 81 

The Agency shall give advance notice to the United States of the arrival of inspectors 

at facilities listed in the Subsidiary Arrangements pursuant to Article 39, as follows: 

(a) For ad hoc inspections pursuant to Article 69(c), at least 24 hours; for those 

pursuant to Article 69 (a) and (b), as well as the activities provided for in Article 48, at 

least one week; 

(b) For special inspections pursuant to Article 71, as promptly as possible after the 

United States and the Agency have consulted as provided for in Article 75, it being 

understood that notification of arrival normally will constitute part of the consultations; 

and 

(c) For routine inspections pursuant to Article 70 at least twenty-four hours in 

respect of the facilities referred to in Article 78(b) and sealed storage installations 

containing plutonium or uranium enriched to more than 5 percent and one week in all 

other cases.

18.7-19
Such notice of inspections shall include the names of the inspectors and shall indicate the facilities to be visited and the periods during which they will be visited. If the 

inspectors are to arrive from outside the United States the Agency shall also give advance 

notice of the place and time of their arrival in the United States. 

ARTICLE 82 

Notwithstanding the provisions of Article 81, the Agency may, as a supplementary 

measure, carry out without advance notification a portion of the routine inspections pursuant to Article 78 in accordance with the principle of random sampling. In 

performing any unannounced inspections, the Agency shall fully take into account any operational programme provided by the United States pursuant to Article 62(b). Moreover, whenever practicable, and on the basis of the operational programme, it shall 

advise the United States periodically of its general programme of announced and 

unannounced inspections, specifying the general periods when inspections are foreseen. 

In carrying out any unannounced inspections, the Agency shall make every effort to minimize any practical difficulties for the United States and facilities operators bearing in 

mind the relevant provisions of Articles 44 and 87. Similarly the United States shall 

make every effort to facilitate the task of the inspectors. 

ARTICLE 83 

The following procedures shall apply to the designation of inspectors: (a) The Director General shall inform the United States in writing of the name, qualifications, nationality, grade and such other particulars as may be relevant, of each Agency official he proposes for designation as an inspector for the United States; (b) The United States shall inform the District General within thirty days of the 

receipt of such a proposal whether it accepts the proposal; (c) The Director General may designate each official who has been accepted by the 

United States as one of the inspectors for the United States as one of the inspectors for the United States, and shall inform the United States of such designations; and 

(d) The Director General, acting in response to a request by the United States or on his own initiative, shall immediately inform the United States of the withdrawal of the 

designation of any official as an inspector for the United States. 

However, in respect of inspectors needed for the activities provided for in Article 48 and to carry out ad hoc inspections pursuant to Article 69 (a) and (b) the designation procedures shall be completed if possible within thirty days after the entry into force of 

this Agreement. If such designation appears impossible within this time limit, inspectors for such purposes shall be designated on a temporary basis. 

ARTICLE 84 

The United States shall grant or renew a quickly as possible appropriate visas, where 

required, for each inspector designated for the United States. 

ARTICLE 85 

Inspectors, in exercising their functions under Articles 48 and 69 to 73, shall carry out their activities in a manner designed to avoid hampering or delaying the construction, commissioning or operation of facilities, or affecting their safety. In particular inspectors shall not operate any facility themselves or direct the staff of a facility to carry out any operation. If inspectors consider that in pursuance of paragraph 72 and 73, particular operations in a facility should be carried out by the operator, then shall make a request therefor.

18.7-20
ARTICLE 86 

When inspectors require services available in the United States, including the use of 

equipment, in connection with the performance of inspections, the United States shall 

facilitate the procurement of such services and the use of such equipment by inspectors. 

ARTICLE 87 

The United States shall have the right to have inspectors accompanied during their 

inspections by its representatives, provided that inspectors shall not thereby be delayed or 

otherwise impeded in the exercise of their functions. 

ARTICLE 88 

The Agency shall inform the United States of: 

(a) The results of inspections, at intervals to be specified in the Subsidiary 

Arrangements; and 

(b) The conclusions it has drawn from its verification activities in the United States, 

in particular by means of statements in respect of each material balance area determined 

in accordance with Article 46(b) which shall be made as soon as possible after a 

physical inventory has been taken and verified by the Agency and a material balance has 

been stuck. 

ARTICLE 89 

(a) Information concerning nuclear material exported from and imported into the 

United States shall be provided to the Agency in accordance with arrangements made 

with the Agency as, for example, those set forth in INFCIRC/207. 

(b) In the case of international transfers to or from facilities identified by the Agency 

pursuant to Articles 2(b) and 39(b) with respect to which information has been provided 

to the Agency in accordance with arrangements referred to in paragraph(a), a special 

report, as envisaged in Article 66, shall be made if any unusual incidents or 

circumstances lead the United States to believe that there is or may have been loss of 

nuclear material, including the occurrence of significant delay, during the transfer. 

DEFINITIONS 

ARTICLE 90 

For the purpose of this Agreement: 

A Adjustment means an entry into and accounting record or a report showing a 

shipper/receiver difference of material unaccounted for. 

B Annual throughput means, for the purposes of Article 77 and 78, the amount of 

nuclear material transferred annually out of a facility working at nominal capacity. 

C Batch means a portion of nuclear material handled as a unit for accounting 

purposes at a key measurement point and for which the composition and quantity are 

defined by a single set of specifications or measurements. The nuclear material may be in 

bulk form or contained in a number of separate items. 

D Batch data means the total weight of each element of nuclear material and, in the 

case of plutonium and uranium, the isotopic composition when appropriate. The units of 

account shall be as follows: 

(a) Grams of contained plutonium; 

(b) Grams of total uranium and grams of contained uranium-235 plus uranium-233 

for uranium enriched in these isotopes; and 

(c) Kilograms of contained thorium, natural uranium or deleted uranium.

18.7-21
For reporting purposes the weight of individual items in the batch shall be added 

together before rounding to the nearest unit. 

E Book inventory of a material balance area means the algebraic sum of the most 

recent physical inventory of that material balance area and of all inventory changes that 

have occurred since that physical inventory was taken. 

F Correction means an entry into an accounting record or a report to rectify an 

identified mistake or to reflect an improved measurement of a quantity previously entered 

into the record or report. Each corrections must identify the entry to which it pertains. G Effective kilogram means a special unit used in safeguarding nuclear material. 

The quantity in effective kilograms is obtained by taking: 

(a) For plutonium, its weight in kilograms; (b) For uranium with an enrichment of 0.01 (1 percent) and above, its weight in 

kilograms multiplied by the square of its enrichment; 

(c) For uranium with an enrichment below 0.01 (1 percent) and above 0.005 (0.5 

percent), its weight in kilograms multiplied by 0.0001; and 

(d) For depleted uranium with an enrichment of 0.005 (0.5 percent) or below, and for 

thorium, its weight in kilograms multiplied by 0.00005. 

H Enrichment means the ratio of the combined weight of the isotopes uranium-233 

and uranium-235 to that of the total uranium in question. 

I Facility means; 

(a) A reactor, a critical facility, a conversion plant, a fabrication plant, a reprocessing plant, an isotope separation plant or a separate storage installation; or 

(b) Any location where nuclear material in amounts greater than one effective 

kilogram is customarily used. 

J Inventory change means an increase or decrease, in terms of batches, of nuclear 

material in a material balance area; such a change shall involve one of the following: 

(a) Increases: 

(i) Import; (ii) Domestic receipt: receipts from other material balance areas, receipts from a 

non-safeguarded activity or receipts at the starting point of safeguards; (iii) Nuclear production: production of special fissionable material in a rector; 

and 

(iv) De-exemption: replication of safeguards on nuclear material previously 

exempted therefrom on account of its use or quantity. 

(b) Decreases: 

(i) Export; (ii) Domestic shipments: shipments to other material balance areas or shipments 

for a non-safeguarded activity; (iii) Nuclear loss: loss of nuclear material due to its transformation into other 

element(s) or isotope(s) as a result of nuclear reactions; 

(iv) Measured discard: nuclear material which has been measured, or estimated 

on the basis of measurement, and disposed of in such a way that it is not suitable for 

further nuclear use; 

(v) Retained waste: nuclear material generated from processing or from an 

operational accident, which is deemed to be unrecoverable for the time being but which 

is stored; 

(vi) Exemption: exemption of nuclear material from safeguards on account of its use 

or quantity; and 

(vii) Other loss: for example, accidental loss (that is, irretrievable and inadvertent loss 

of nuclear material as the result of an operational accident) or theft. 

K Key measurement point means a location where nuclear material appears in such a 

form that it may be measured to determined material flow or inventory. Key measurement

18.7-22
points thus include, but are not limited to, the inputs and outputs (including measured 

discards) and storages in material balance areas. 

L Man-year of inspection means, for the purposes of Article 78, 300 man-days of 

inspection, a man-day being a day during which a single inspector has access to a facility 

at any time for a total of not more than eight hours. 

M Material balance area means an area in our outside of a facility such that: 

(a) The quantity of nuclear material in each transfer into or out of each material 

balance area can be determined; and 

(b) The physical inventory of nuclear material in each material balance area can be 

determined when necessary in accordance with specified procedures, in order that the 

material balance for Agency safeguards purposes can be established. 

N Material unaccounted for means the difference between book inventory and 

physical inventory. 

0 Nuclear material means any source or any special fissionable material as defined 

in Article XX of the Statute. The term source material shall not be interpreted as applying 

to ore or ore residue. Any determination by the Board under Article XX of the Statute 

after the entry into force of this Agreement which adds to the materials considered to be 

source material or special fissionable material shall have effect under this Agreement 

only upon acceptance by the United States. 

P Physical inventory means the sum of all the measured or derived estimates of batch 

quantities of nuclear material on hand at a given time within a material balance area, 

obtained in accordance with specified procedures. 

Q Shipper/receiver difference means the difference between the quantity of nuclear 

material in a batch as stated by the shipping material balance area and as measured at the 

receiving balance area. 

R Source data means those data, recorded during measurement or calibration or used 

to derive empirical relationships, which identify nuclear material and provide batch data. 

Source data may include, for example, weight of compounds, conversion factors to 

determine weight of element, specific gravity, element concentration, isotopic ratios, 

relationship between volume and manometer readings and relationships between 

plutonium produced and power generated. 

S Strategic point means a location selected during examination of design information 

where, under normal conditions and when combined with the information from all 

strategic points taken together, the information necessary and sufficient for the 

implementation of safeguards measures is obtained and verified; a strategic point may 

include any location where key measurements related to material balance accountancy are 

made where containment and surveillance measures are executed. 

PROTOCOL 

ARTICLE 1 

This Protocol specifies the procedures to be followed with respect to facilities 

identified by the Agency pursuant to Article 2 of this Protocol. 

ARTICLE 2 

(a) The Agency may from time to time identify to the United States those facilities 

included in the list, established and maintained pursuant to Article 1(b) and 34 of the 

Agreement, of facilities not associated with activities having direct national security 

significance to the United States, other than those which are then currently identified by 

the Agency pursuant to Article 2(b) and 39(b) of the Agreement, to which the 

provisions of this Protocol shall apply. 

(b) the Agency may also include among the facilities identified to the United States 

pursuant to the foregoing paragraph, any facility which had previously been identified by

18.7-23
the Agency pursuant to Article 2(b) and 39(b) of the Agreement but which had 

subsequently been designated by the Agency pursuant to Article 39(c) of the Agreement for removal from the Subsidiary Arrangements listing. (c) In identifying facilities pursuant to the forgoing paragraphs and in the preparation 

of Transitional Subsidiary Arrangements pursuant to Article 3 of this Protocol, the 

Agency shall proceed in a manner which the Agency and the United States mutually 

agree takes into account the requirement on the United States to avoid discriminatory 

treatment as between United States commercial firms similarly situated. 

ARTICLE 3 

The United States and the Agency shall make Transitional Subsidiary Arrangements which shall: 

(a) contain a current listing of those facilities identified by the Agency pursuant to 

Article 2 of this Protocol; 

(b) specify in detail how the procedures set forth in this Protocol are to be applied. 

ARTICLE 4 

(a) The United States and the Agency shall make every effort to complete the 

Transitional Subsidiary Arrangements with respect to each facility identified by the 

Agency pursuant to Article 2 of this Protocol within ninety days following such 

identification to the United States. 

(b) With respect to any facility identified pursuant to Article 2(b) of this Protocol, 

the information previously submitted to the Agency in accordance with Article 42 

through 45 of the Agreement, the results of the examination of the design information 

and other provisions of the Subsidiary Arrangements relative to such facilities, to the 

extent that such information, results and provisions satisfy the provisions of this Protocol 

relating to the submission and examination of information and the preparation of 

Transitional Subsidiary Arrangements, shall constitute the Transitional Subsidiary Arrangements for such facility, until and unless the United States and the Agency shall 

otherwise complete Transitional Subsidiary Arrangements for such facility in accordance 

with the provisions of this Protocol. 

ARTICLE 5 

In the event that a facility currently identified by the Agency pursuant to Article 2(a) 

of this Protocol is identified by the Agency pursuant to Articles 2(b) and 39(b) of the 

Agreement, the Transitional Subsidiary Arrangements relevant to such facility shall, to 

the extent that such Transitional Subsidiary Arrangements satisfy the provisions of the 

Agreement, be deemed to have been made part of the Subsidiary Arrangements to the 

Agreement. 

ARTICLE 6 

Design information in respect of each facility identified by the Agency pursuant to 

Article 2 of this Protocol shall be provided to the Agency during the discussion of the 

relevant Transitional Subsidiary Arrangements. The information shall include, when 

applicable: 

(a) The identification of the facility, stating its general character, purpose, nominal 

capacity and geographic location, and the name and address to be used for routine 

business purpose; 

(b) A description of the general arrangement of the facility with reference, to the 

extent feasible, to the form, location and flow of nuclear material and to the general layout of important items of equipment which use, produce or process nuclear material;

18.7-24
(c) A description of features of the facility relating to material accountancy, 

containment and surveillance; and 

(d) A description of the existing and proposed procedures at the facility for nuclear 

material accountancy and control, with special reference to material balance areas 

established by the operator, measurements of flow and procedures for physical inventory 

taking. 

ARTICLE 7 

Other information relevant to the application of the provisions of this Protocol shall 

also be provided to the Agency in respect of each facility identified by the Agency in 

accordance with Article 2 of this Protocol in particular on organizational responsibility 

for material accountancy and control. The United States shall provide the Agency with 

supplementary information on the health and safety procedures which the Agency shall 

observe and with which inspectors shall comply when visiting the facility in accordance 

with Article II of this Protocol. 

ARTICLE 8 

The Agency shall be provided with design information in respect of a modification 

relevant to the application of the provisions of this Protocol, for examination, and shall 

be informed of any change in the information provided to it under Article 7 of this 

Protocol, sufficiently in advance for the procedures under this Protocol to be adjusted 

when necessary. 

ARTICLE 9 

The design information provided to the Agency in accordance with the provisions of 

this Protocol, in anticipation of the application of safeguards under the Agreement, shall 

be used for the following purposes: 

(a) To identity the features of facilities and nuclear material relevant to the 

application of safeguards to nuclear material in sufficient detail to facilitate verification; 

(b) To determine material balance areas to be used for Agency accounting purposes 

and to select those strategic points which are key measurement points and which will be 

used to determine flow and inventory of nuclear material; in determining such material 

balance areas the Agency shall, inter alia, use the following criteria: 

(i) The size of the material balance area shall be related to the accuracy with 

which the material balance can be established; 

(ii) In determining the material balance area, advantage shall be taken of any 

opportunity to use containment and surveillance to help ensure the completeness of 

flow measurements and thereby to simplify the application of safeguards and to 

concentrate measurement efforts at key measurement points; 

(iii) A number of material balance areas in use at a facility or at distinct sites may 

be combined in one material balance area to be used for Agency accounting purposes 

when the Agency determines that this is consistent with its verification requirements; 

and 

(iv) A special material balance area may be established at the request of the 

United States around a process step involving commercially sensitive information; 

(c) To establish the nominal timing and procedures for taking of physical inventory 

of nuclear material for Agency accounting purposes; 

(d) To establish the records and reports requirements and records evaluation 

procedures; 

(e) To establish requirements and procedures for verification of the quantity and 

location of nuclear material; and

18.7-25
(f) To select appropriate combinations of containment and surveillance methods and 

techniques and the strategic points at which they are to be applied. The results of the examination of the design information shall be included in the 

relevant Transitional Subsidiary Arrangements. 

ARTICLE 10 

Design information provided in accordance with the provisions of this Protocol shall 

be re-examined in the light of changes in operating conditions, of developments in 

safeguards technology or of experience in the application of verification procedures, with 

a view to modifying the action taken pursuant to Article 9 of this Protocol. 

ARTICLE 11 

(a) The Agency, in co-operation with the United States, may send inspectors to 

facilities identified by the Agency pursuant to Article 2 of this Protocol to verify the 

design information provided to the Agency in accordance with the provisions of this 

Protocol, for the purposes stated in Article 9 of this Protocol or for such other purposes 

as may be agreed between the United States and the Agency. (b) The Agency shall give notice to the United States with respect to each such visit 

at least one week prior to the arrival of inspectors at the facility to be visited. 

ARTICLE 12 

In establishing a national system of materials control as referred to in Article 7(a) of 

the Agreement, the United States shall arrange that records are kept in respect of each 

material balance area determined in accordance with Article 9(b) of this Protocol. The 

records to be kept shall be described in the relevant Transitional Subsidiary 

Arrangements. 

ARTICLE 13 

Records referred to in Article 12 of this Protocol shall be retained for at least five 

years. 

ARTICLE 14 

Records referred to in Article 12 of this Protocol shall consist, as appropriate, of: 

(a) Accounting records of all nuclear material stored, processed, used or produced in 

each facility; and 

(b) Operating records for activities within each facility. 

ARTICLE 15 

The system of measurements on which the records used for the preparation of reports 

are based shall either conform to the latest international standards or be equivalent in 

quality to such standards. 

ARTICLE 16 

The accounting records referred to in Article 14(a) of this Protocol shall set forth the 

following in respect of each material balance area determined in accordance with 

Article 9(b) of this Protocol: 

(a) All inventory changes, so as to permit a determination of the book inventory at 

any time;

18.7-26
(b) All measurement results that are used for determination of the physical inventory; 

and 

(c) All adjustments and corrections that have been made in respect of inventory changes, book inventories and physical inventories. 

ARTICLE 17 

For all inventory changes and physical inventories the records referred to in Article 

14(a) of this Protocol shall show, in respect of each batch of nuclear material: material 

identification, batch data and source data. The records shall account for uranium, 

thorium and plutonium separately in each batch of nuclear material. For each inventory 

change, the date of the inventory change and, when appropriate, the originating material 

balance area and the receiving material balance area or the recipient, shall be indicated. 

ARTICLE 18 

The operating records referred to in Article 14(b) of this Protocol shall set forth, as 

appropriate, in respect of each material balance area determined in accordance with 

Article 9(b) of this Protocol: 

(a) Those operating data which are used to establish changes in the quantities and 

composition of nuclear material; 

(b) The data obtained from the calibration of tanks and instruments and from 

sampling and analyses, the procedures to control the quality of measurements and the 

derived estimates of random and systematic error; 

(c) A description of the sequence of the actions taken in preparing for, and in taking, 

a physical inventory, in order to ensure that it is correct and complete; and 

(d) A description of the actions taken in order to ascertain the cause and magnitude 

of any accidental or unmeasured loss that might occur. 

ARTICLE 19 

The United States shall provide the Agency with accounting reports as detailed in 

Article 20 through 25 of this Protocol in respect of nuclear material in each facility 

identified by the Agency pursuant to Article 2 of this Protocol. 

ARTICLE 20 

The accounting reports shall be based on the records kept in accordance with Articles 

12 to 18 to this Protocol. They shall be made in English. 

ARTICLE 21 

The United States shall provide the Agency with an initial report on all nuclear 

material in each facility identified by the Agency pursuant to Article 2 of this Protocol. 

Such report shall be dispatched to the Agency within thirty days of the last day of the 

Calendar month in which the facility is identified by the Agency and shall reflect the 

situation as of the last day of that month. 

ARTICLE 22 

The United States shall provide the Agency with the following accounting reports for 

each material balance areas determined in accordance with Article 9(b) of this Protocol: 

(a) Inventory change reports showing all changes in the inventory of nuclear 

material. The reports shall be dispatched as soon as possible and in any event within 

thirty days after the end of the month in which the inventory changes occurred or were 

established; and

18.7-27
(b) Material balance reports showing the material balance based on a physical 

inventory of nuclear material actually present in the material balance area. The reports 

shall be dispatched as soon as possible and in any event within thirty days after the 

physical inventory has been taken. 

The reports shall be based on data available as of the date of reporting and may be 

corrected at a later date, as required. 

ARTICLE 23 

Inventory change reports submitted in accordance with Article 22(a) of this Protocol 

shall specify identification and batch data for each batch of nuclear material, the date of 

the inventory change, and, as appropriate, the originating material balance area and the 

receiving material balance area or the recipient. These reports shall be accompanied by 

concise notes: 

(a) Explaining the inventory changes, on the basis of the operating data contained in 

the operating records provided for in Article 18(a) of this Protocol; and 

(b) Describing, as specified in the relevant Transitional Subsidiary Arrangements, 

the anticipated operational programme, particularly the taking of a physical inventory. 

ARTICLE 24 

The United States shall report each inventory change, adjustment and correction, 

either periodically in a consolidated list or individually. Inventory changes shall be 

reported in terms of batches. As specified in the relevant Transitional Subsidiary 

Arrangements, small changes in inventory of nuclear material, such as transfers of 

analytical samples, may be combined in one batch and reported as one inventory change. 

ARTICLE 25 

Material balance reports submitted in accordance with Article 22(b) of this Protocol 

shall include the following entries, unless otherwise agreed by the United States and the 

Agency: 

(a) Beginning physical inventory; 

(b) Inventory changes (first increases, then decreases); 

(c) Ending book inventory; 

(d) Shipper/receiver differences; 

(e) Adjusted ending book inventory; 

(f) Ending physical inventory; and 

(g) Material unaccounted for. 

A statement of the physical inventory, listing all batches separately and specifying 

material identification and batch data for each batch, shall be attached to each material 

balance report. 

ARTICLE 26 

The Agency shall provide the United States with semi-annual statements of book 

inventory of nuclear material in facilities identified pursuant to Article 2 of this Protocol, 

for each material balance area, as based on the inventory change reports for the period 

covered by each such statement. 

ARTICLE 27 

(a) If the Agency so requests, the United States shall provide it with amplifications or 

clarifications of any report submitted in accordance with Article 19 of this Protocol, 

insofar as consistent with the purpose of the Protocol.

18.7-28
(b) The Agency shall inform the United States of any significant observations 

resulting from its examination of reports received pursuant to Article 19 of this Protocol 

and from visits of inspectors made pursuant to Article 11 of this Protocol. 

(c) The United States and the Agency shall, at the request of either, consult about any question arising out of the interpretation or application of this Protocol, including corrective action which, in the opinion of the Agency, should be taken by the United 

States to ensure compliance with its terms, as indicated by the Agency in its observations 

pursuant to paragraph (b) of this Article. 

ARTICLE 28 

The definition set forth in Article 90 of the Agreement shall apply, to the extent 

relevant, to this Protocol. 

Done in Vienna on the 18th day of November, 1977, in duplicate, in the English 

language. 

FOR THE UNITED STATES OF AMERICA: 

FOR THE INTERNATIONAL ATOMIC ENERGY AGENCY:

18.7-29
ADDITIONAL PROTOCOLS TO IAEA 

SAFEGUARDS AGREEMENTS 

The following States have signed or ratified Additional Protocols to their IAEA 

Safeguards Agreements for the Agency's application of strengthened safeguards.

State 

Armenia 

Australia 

Austria' 

Belgium' 

Bulgaria 

Canada 

China 

Croatia 

Cuba 

Cyprus 

Czech Republic 

Denmark' 

Ecuador 

Finland' 

France' 

Georgia 

Germany' 

Ghana 

Greece' 

Holy See 

Hungary 

Indonesia 

Ireland' 

Italy' 

Japan 

Jordan 

Lithuania 

Luxembourg' 

Monaco 

Netherlands' 

New Zealand 

Norway 

Peru 

Philippines 

Poland 

Portugal' 

Republic of Korea 

Romania 

Slovakia 

Slovenia

Board Approval 

23 Sept 1997 

23 Sept 1997 

11 June 1998 

11 June 1998 

14 Sept 1998 

11 June 1998 

25 Nov 1998 

14 Sept 1998 

20 Sept 1999 

25 Nov 1998 

20 Sept 1999 

11 June 1998 

20 Sept 1999 

11 June 1998 

11 June 1998 

23 Sept 1997 

11 June 1998 

11 June 1998 

11 June 1998 

14 Sept 1998 

25 Nov 1998 

20 Sept 1999 

11 June 1998 

11 June 1998 

25 Nov 1998 

18 March 1998 

1 Dec 1997 

11 June 1998 

25 Nov 1998 

11 June 1998 

14 Sept 1998 

24 March 1999 

10 Dec 1999 

23 Sept 1997 

23 Sept 1997 

11 June 1998 

24 March 1999 

9 June 1999 

14 Sept 1998 

25 Nov 1998

18.8-1

Date signed In Force

29 Sept 1997 

23 Sept 1997 

22 Sept 1998 

22 Sept 1998 

24 Sept 1998 

24 Sept 1998 

31 Dec 1998 

22 Sept 1998 

15 Oct 1999 

29 July 1999 

28 Sept 1999 

22 Sept 1998 

1 Oct 1999 

22 Sept 1998 

22 Sept 1998 

29 Sept 1997 

22 Sept 1998 

12 June 1998 

22 Sept 1998 

24 Sept 1998 

26 Nov 1998 

29 Sept 1999 

22 Sept 1998 

22 Sept 1998 

4Dec 1998 

28 July 1998 

11 March 1998 

22 Sept 1998 

30 Sept 1999 

22 Sept 1998 

24 Sept 1998 

29 Sept 1999 

30 Sept 1997 

30 Sept 1997 

22 Sept 1998 

21 June 1999 

11 June 1999 

27 Sept 1999 

26 Nov 1998

12 Dec 1997 

24 Sept 1998 

29 Sept 1999 

28 July 1998 

30 Sept 1999 

24 Sept 1998
State Board Approval Date signed In Force 

Spain' 11 June 1998 22 Sept 1998 

Sweden' 11 June 1998 22 Sept 1998 

United Kingdom of Great 11 June 1998 22 Sept 1998 

Britain and Northern Ireland 

United States of America 11 June 1998 12 June 1998 

Uruguay 23 Sept 1997 29 Sept 1997 

Uzbekistan 14 Sept 1998 22 Sept 1998 21 Dec 1998 

TOTALS 46 45 7 

'All 15 EU States have concluded Additional Protocols with EURATOM and the Agency.

18.8-2
IAEA SUPPLY AGREEMENTS 

Agreements between the International Atomic Energy Agency, the United States, and other countries for Supply of Nuclear 

Material or Equipment pursuant to the Agreement for Peaceful Nuclear Cooperation between the United States and the IAEA.

Agreement 

Argentina ............................. A rgentina ................................ Argentina-Peru ............................ Brazil .................................. 

Canada-Jamaica ........................... C hile .................................... 

C hile .................................... Finland .................................. 

Finland .................................. 

Finland .................................. Finland .................................. 

G reece ................................... G reece ................................... 

G reece ................................... India .................................... 

India ....... ............ ................. 

Ind ia ...... ............. ................. 

India ... .... ............................. India .................................... 

India .................................... Indonesia ................................ Indonesia ................................ Indonesia ................................ 

Indonesia ................................ Iran ...... .. ................... .......... 

Iraq .... .... .... ........ ........ ......... 

M alaysia ................................. 

M alaysia ................................. M exico .................................. M exico .................................. 

M exico .................................. 

M exico .................................. M exico .................................. 

M exico .................................. M exico .................................. 

M orocco .................................

Date Signed 

December 2, 1964 

December 13, 1964 

May 9, 1978 

January 12, 1971 

January 25, 1984 

December 19, 1969 

December 31, 1974 

December 30, 1960 

July 8, 1966 

November 5, 1967 

March I, 1972 

March 1, 1974 

December 15, 1977 

December 9, 1966 

July 2, 1970 

November 16, 1970 

July 1, 1971 

August 20, 1971 

October 1, 1971 

December 19, 1969 

April 7, 1975 

September 14, 1972 

December 7, 1979 

June 7, 1967 

December 28, 1972 

September 22, 1980 

June 12 and July 22, 

December 18, 1963 

June 20, 1966 

August 23, 1967 

October 4, 1972 

December 12, 1972 

February 12, 1974 

June 14, 1974 

December 2, 1983

IAEA Information 

Effective Date 

December 2, 1964 

December 30, 1965 

May 9, 1978 

January 12, 1971 

January 25, 1984 

December 19, 1969 

December 31, 1974 

December 30, 1960 

July 8, 1966 

November 5, 1967 

November 27, 1969 

March 1, 1972 

March 1, 1974 

December 15, 1977 

December 9, 1966 

July 2, 1970 

November 16, 1970 

July 1, 1971 

August 20, 1971 

October 1, 1971 

December 19, 1969 

April 7, 1975 

September 14, 1972 

December 7, 1979 

June 7, 1967 

December 28, 1972 

September 22, 1980 

July 22, 1981 

December 18, 1963 

June 20, 1966 

August 23, 1967 

October 4, 1972 

December 12, 1972 

February 12, 1974 

June 14, 1974 

December 2, 1983

Circular Number

62 

62/Add. 1 

266 

147, Part II 

315 

137 

137/Add. 1 

24 

24/Add. 2 

24/Add. 3 

24/Add. 4 

163 

163/Add. 1 

163/Add. 2, Part II 

94, Part II 

94/Add. 1, Part I 

94/Add. 1, Part I1 

94/Add. 2, Part I 

94/Add. 2, Part 11 

94/Add. 2, Part 11 

136 

135/Add. 1, Mod. 1 

136/Add. I 

136/Add. 2 

97 

195, Part II 

287 

287/Mod. 1 

52 

82 

102 

52/Add. 1 

194, Part II 

203 

203/Add. 1 

313

U.S. Citation

TIAS No. 9263, 30 UST 1539 

TIAS No. -, - UST 

TIAS No. 9705, 32 UST 361 

TIAS No. 9863, - UST 

TIAS No. 10202, - UST 

TIAS No. 9906, - UST 

TIAS No. 9906, - UST 

TIAS No. 10705, - UST 

TIAS No. 10705, - UST

TIAS No. -, - UST -

00
Agreement

Norw ay .................................. 

N orw ay .................................. 

N orw ay .................................. N orw ay .................................. Pakistan ................................. Pak istan ................................. 

Pak istan ................................. Pak istan ................................. Pakistan ................................. 

Pakistan ................................. Pakistan ................................. Philippines ............................... Philippines ............................... R om ania ................................. R om ania ................................. R om ania ................................. R om ania ................................. 

Spain ................................... 

Thailand ................................. Turkey .................................. T urkey .................................. 

U ruguay ................................. V enezuela ................................ Y ugoslavia ............................... 

Y ugoslavia ............................... 

Y ugoslavia ............................... Y ugoslavia ............................... Y ugoslavia ............................... Y ugoslavia ............................... Y ugoslavia ............................... Y ugoslavia ............................... Y ugoslavia ............................... Y ugoslavia ............................... Zaire .................................... Z aire .................................... Z aire .................................... Z aire .................................... 

March, 1989 

Office of the Legal Adviser 

Department of State

Date Signed 

April 10, 1961 

September 3, 1962 

April 8, 1964 

April 10, 1967 

March 5, 1962 

October 19, 1967 

June 17, 1968 

September 30, 1969 

June 16, 1971 

June 22, 1971 

November 16, 1971 

September 28, 1966 

August 23, 1968 

August 1, 1966 

March 30, 1973 

September 26, 1973 

July 24, 1975 

June 23, 1967

February 8, 1966 

May 17, 1974 

September 24, 1965 

November 7, 1975 

October 4, 1961 

September 28, 1965 

February 20, 1968 

December 30, 1970 

December 29, 1972 

June 14, 1974 

October 31, 1974 

January 16, 1980 

December 14, 15 and 20, 

February 23, 1983 

June 27, 1962 

February 14, 1968 

December 9, 1970 

April 15, 1971

Circular Number U.S. Citation

IAEA Information 

Effective Date 

June 15, 1961 

September 3, 1962 

April 8, 1964 

April 10, 1967 

March 5, 1962 

October 19, 1967 

June 17, 1968 

September 30, 1969 

June 16, 1971 

June 22, 1971 

November 16, 1971 

September 28, 1966 

August 23, 1968 

August 1, 1966 

March 30, 1973 

September 26, 1973 

July 24, 1975 

June 23, 1967 

September 30, 1986 

February 8, 1966 

May 17, 1974 

September 24, 1965 

November 7, 1975 

October 4, 1961 

September 28, 1965 

February 20, 1968 

December 30, 1970 

December 29, 1972 

June 14, 1974 

October 31, 1974 

July 14, 1980 

December 20, 1982 

February 23, 1983 

June 27, 1962 

February 14, 1968 

December 9, 1970 

April 15, 1971

00

29 

29/Add. I 

29/Add. 2, Part I & II 

29/Add. 3 

34 

34/Add. 1 

116 

34/Add. 2 

34/Add. 3 

116/Add. I 150/Add. 1 

88 

88/Add. 1 

95, Part II 

206 

95/Add. 2 

206/Mod. I 

99 

September 30, 1986 

83, Part 11 

212 

67 

238 

32 

32/Add. I 

32/Add. 2 

32/Add. 3 

32/Add. 3/Mod. I 

213 

32Add. 3/Mod. I 

32/Add. 4 

32/Add. 4/Mod. I 

32/Add. 5 

37, Part II 

37/Add. 2 

37/Add. 3 

37/Add. 

4

TIAS No. 9728, - UST 

TIAS No. 9767, 32 UST 1128 

TIAS No. 10621, - UST 

TIAS No. 10664, - UST 

-
UNITED STATES AGREEMENTS FOR PEACEFUL NUCLEAR COOPERATION 

List of Agreements

Agreement Date Signed Effective Date Termination Date Citation

Argentina 

Australia 

Brazil 

Bulgaria 

Canada 

amendment 

amendment 

amendment 

amendment 

extension 

China 

Colombia 

Czech Republic 

Egypt 

European Atomic Energy 

Community (EURATOM)1 

Hungary 

Indonesia 

extension 

International Atomic Energy 

Agency (IAEA) 

amendment 

Japan 

Kazakhstan 

Morocco 

Norway 

Peru 

Poland

June 25, 1969 

July 5, 1979 

October 14, 1997 

June 21, 1994 

June 15, 1955 

June 26, 1956 

June 11, 1960 

May 25, 1962 

April 23, 1980 

June 23, 1999 

July 23, 1985 

January 8, 1981 

June 13, 1991 

June 29, 1981 

November 7, 1995 & 

March 29, 1996 

June 10, 1991 

June 30, 1980 

August 23, 1991 

May 11, 1959 

February 12, 1974 

November 4, 1987 

November 18, 1997 

May 30, 1980 

January 12, 1984 

June 26, 1980 

Sentemher 18_ 1991

July 25, 1969 

January 16, 1981 

September 15, 1999 

March 29, 1996 

July 21, 1955 

March 4, 1957 

July 14, 1960 

July 12, 1962 

July 9, 1980 

December 30, 1985 

September 7, 1983 

February 13, 19922 

December 29, 1981 

April 12, 1996 

February 13, 1992 

December 30, 1981 

June 24, 1993 

August 7, 1959 

May 31, 1974 

July 17, 1988 

November 5, 1999 

May 16, 1981 

July 2, 1984 

April 15, 1982 

Sentember 3_ 1992

July 24, 1999 

January 15,2011 

September 14, 2029 

March 28, 2026

January 1, 2000 

December 29, 2015 

September 6, 2013 

February 12, 2022 

December 28, 2021 

February 12, 2022 

December 29, 2001 

August 6, 2014 

November 4, 2029 

May 15, 2001 

July 1, 2014 

April 14, 2002 

Sentember 2. 2022

TIAS No. 6721, 20 UST 2587 

TIAS No. 9893 

TIAS No. 7439, 23 UST 2477

TIAS No. 3304, 6 UST 2595 

TIAS No. 3771, 8 UST 275 

TIAS No. 4518, 11 UST 1780 

TIAS No. 5102, 13 UST 1400 

TIAS No. 9759, 32 UST 1079 

TIAS No. -, -UST

TIAS No. 10722, -UST

TIAS No. -, -UST

TIAS No. 10208, -UST

TIAS No. -, -UST

TIAS No. 10219, - UST 

TIAS No. 4291, 10 UST 1424 

TIAS No. 7852, 25 UST 1199 

TIA S No. -, -UST

TIAS No. 10018, -UST

TIAS No. 10979, -UST

TIAS No. 10300, -UST

TIAS No. -. -UST-

'Euratom comprises the following Member States: Austria, Belgium, Denmark, Finland, France, Germany, Greece, Ireland, Italy, Luxembourg, the Netherlands, 

Portugal, Spain, Sweden, and the United Kingdom.

C0
Agreement Date Signed Effective Date Termination Date Citation 

Romania July 15, 1998 August 25, 1999 August 24, 2029 

Slovakia June 13, 19912 February 13, 19922 February 12, 2022 TIAS No.-, -UST

South Africa July 8, 1957 August 22, 1957 TIAS No. 3885, 8 UST 1367 

amendment June 12, 1962 August 23, 1962 TIAS No. 5129, 13 UST 1812 

amendment July 17, 1967 August 17, 1967 TIAS No. 6312, 18 UST 1671 

amendment May 22, 1974 June 28, 1974 August 21, 2007 TIAS No. 7845, 25 UST 1158 

Switzerland 

Taiwan2 April 4, 1972 June 22, 1972 TIAS No. 7364, 23 UST 945 

amendment March 15, 1974 June 14, 1974 June 21, 2014 TIAS No. 7834, 25 UST 913 

Thailand May 14, 1974 June 27, 1974 June 26, 2014 TIAS No. 7850, 25 UST 1181 

Ukraine May 6, 1998 May 28, 1999 May 27, 2029 

July 1995

CD

2

Pursuant to Section 6 of the Taiwan Relations Act, P.L. 96-8, 93 Stat. 14, and Executive Order 12143, 44 F.R. 37191, all agreements concluded with the 

Taiwan authorities prior to January 1, 1979,are administered on a nongovernmental basis by the American Institute in Taiwan, a nonprofit District of Columbia 

corporation, and constitute neither recognition of Taiwan authorities nor the continuation of any official relationship with Taiwan.
AGREEMENTS FOR COOPERATION IN THE USE OF 

ATOMIC ENERGY 

TABLE OF CONTENTS 

Page 

Table Trilaterals Between the United States, the International Atomic 

Energy Agency and Other Countries for the Application of 

Safeguards by the International Atomic Energy Agency to 

Equipment, Devices, and Materials Supplied under the Bilateral 

Agreements for Cooperation Concerning Civil Uses of 

A tomic Energy . .......................................... 2 

Table Trilaterals Between the United States, the International Atomic 

Energy Agency and Other Countries for the Suspension of the 

Application of Safeguards Pursuant to the Nonproliferation Treaty .. 3 

U.S. Senate Resolution ..................................... 4

18.11-1
AGREEMENTS FOR COOPERATION IN THE USE OF ATOMIC 

ENERGY 

TRILATERALS BETWEEN THE UNITED STATES, THE INTERNATIONAL 

ATOMIC ENERGY AGENCY AND OTHER COUNTRIES FOR THE 

APPLICATION OF SAFEGUARDS BY THE INTERNATIONAL ATOMIC 

ENERGY AGENCY TO EQUIPMENT, DEVICES, AND MATERIALS 

SUPPLIED UNDER THE BILATERAL AGREEMENTS FOR COOPERATION 

CONCERNING CIVIL USES OF ATOMIC ENERGY.

Country 

Argentina .................... Australia.................... 

Austria ...................... 

Brazil ....................... Amended ................... China, Republic of ............... Colombia .................... Extended ..................... India .......................... 

Indonesia ...................... Iran ........................... 

Israel .......................... Extended ..................... Japan ......................... K orea ......................... Amended ...................... 

Philippines ..................... Portugal ....................... 

South Africa .................... Amended ..................... Spain ......................... 

Amended ..................... Sw eden ........................ Switzerland ..................... Turkey ........................ 

Venezuela ......................

Effective Date 

.......... July 25, 1969 

....... . Sep. 26, 1966 .' 

S......... 2Jan. 24, 1970 .......... Oct. 31, 1968 ......... July 27, 1972 ....... Dec. 6, 1971 . .......... Dec. 9, 1970 ......... Mar. 28, 1977 .......... Jan. 27, 1971 .......... Dec. 6, 1967 

S......... 3Aug. 20, 1969 .......... Apr. 4, 1975 .......... Apr. 7, 1977 .......... July 10, 1968 .......... Jan. 5, 1968 ......... Nov. 30, 1972 ......... 4july 19, 1968 ......... .

5July 19, 1969 .......... July 26, 1967 ......... June 20, 1974 .......... Dec. 9, 1966 ......... June 28, 1974 ......... 6

M ar. 1, 1972 ......... .

7Feb. 28, 1972 .......... June 5, 1969 ..... Mar. 27. 1968

'Suspended by agreement signed July 10, 1974 

'Suspended by agreement signed Sept. 21, 1971. 

'Suspended by agreement signed June 19, 1973. 4

Suspended by agreement signed Feb. 21, 1973. 

'Suspended by agreement signed Sept. 23, 1980. 6

Suspended by agreement signed Apr. 14, 1975. 

'Suspended by agreement signed Sept. 23, 1980.

18.11-2

TIAS No. 

6722 

6117 

6816 

6583 

7440 

7228 

7010 

8556 

7049 

6391 

6741 

8051 

8554 

6520 

6435 

7584 

6524 

6718 

6306 

7848 

6182 

7856 

7295 

7294 

6692 

6433
TRILATERALS BETWEEN THE UNITED STATES, THE INTERNATIONAL 

ATOMIC ENERGY AGENCY AND OTHER COUNTRIES FOR THE 

SUSPENSION OF THE APPLICATION OF SAFEGUARDS PURSUANT TO 

THE NONPROLIFERATION TREATY 

Country Effective Date TIAS No. 

Australia .............................. July 10, 1974 7865 

Austria ............................... July 23, 1972 7409 

Denmark .............................. M ar. 1, 1972 7289 

Greece ...................................... -00-. 7290 

Iran .................................. M ay 15, 1974 7829 

Norway ............................... Sept. 25, 1973 7721 

Philippines ............................ Oct. 16, 1974 7957 

Sweden ............................... M ay 6, 1975 8046 

Switzerland ............................ Sept. 23, 1980 9900 

Thailand .............................. June 27, 1974 7849 

Vietnam ............................... Jan. 9, 1974 7780

18.11-3
U.S. SENATE RESOLUTION 

Senate of the United States 

IN EXECUTIVE SESSION 

July 2, 1980 

Resolved, (two-thirds of the Senators present concurring therein), That the Senate 

advised and consent to the ratification of the Agreement between the United States of 

America and the International Atomic Energy Agency for the Application of the 

Safeguards in the United States of America, with attached Protocol, signed at Vienna on 

November 18, 1977 (Ex. B, Ninety-fifth Congress, second session, hereinafter referred to 

as "the Agreement"), subject to the following understandings: 1. That the President shall notify the Committee on Foreign Relations of the Senate 

and the Committee on Foreign Affairs of the House of Representatives of any proposed addition to the list, to be provided to the International Atomic Energy Agency pursuant to 

Article 1 (b) of the Agreement, of nuclear facilities within the United States eligible for 

International Atomic Energy Agency inspections, together with an explanation of the 

basis upon which the determination was made that any such facility did not have a direct 

national security significance, not less than 60 day prior to such proposed addition being provided to the International Atomic Energy Agency, during which period the Congress 

may disapprove such addition by joint resolution by reason of direct national security significance, under procedures identical to those provided for the consideration of 

resolutions pursuant to section 130 of the Atomic Energy Act of 1954 as amended. 

2. That the President shall assure that concerned licensees within the United States 

are consulted in advance of, and that their views and interests are considered in, any negotiations with the International Atomic Energy Agency concerning the application to 

a particular facility of Subsidiary Arrangements made pursuant to Article 39 of the 

Agreement. 3. That the President shall establish and maintain an appropriate interagency mechanism, comprised of the relevant Executive Branch agencies, and with the 

participation of the Nuclear Regulatory Commission, under the chairmanship of the 

Department of State, for the purpose of coordinating policy, and of resolving disputes, relating to the implementation of International Atomic Energy Agency safeguards under 

the Agreement, and, further, that the Congress shall be kept informed of the functions 

and procedures of such interagency mechanism. 

4. That in the event of any question of interpretation of the Agreement, the Nuclear 

Regulatory Commission shall seek and be bound by guidance from the President. 

Neither this understanding nor any other in this resolution shall in any way alter the 

responsibilities of the Nuclear Regulatory Commission under the Agreement or in any 

way limit the existing authority and responsibility of the Nuclear Regulatory 

Commission. 

5. That the Agreement shall not be constructed to require the communication to the 

International Atomic Energy Agency of "Restricted Data" controlled by the provisions of 

the Atomic Energy Act of 1954, as amended, including data concerning the design, manufacture, or utilization of atomic weapons. 

Attest: 

Secretary

18.11-4
CONVENTION ON THE PREVENTION OF MARINE POLLUTION BY 

DUMPING OF WASTES AND OTHER MATTERS, WITH ANNEXES 

TABLE OF CONTENTS 

Page 

Convention on the Prevention of Marine Pollution by Dumping of 

W astes and Other M atter ................................... 2 

Table Parties to the Convention on the Prevention of Marine Pollution by 

Dumping of Wastes and Other Matter, with Annexes ......... 11

18.12-1
CONVENTION ON THE PREVENTION OF MARINE POLLUTION BY DUMPING OF WASTES AND OTHER MATTERS 

Convention done at London, Mexico City, Moscow and Washington, December 29, 1972 

Ratification of the United States of America deposited at Washington, London and 

Mexico City, April 29, 1974 and at Moscow, May 6, 1974 

Entered into force, August 30, 1975 

The Contracting Parties to this Convention, 

Recognizing that the marine environment and the living organisms which it supports 

are of vital importance to humanity, and all people have an interest in assuring that it is 

so managed that its quality and resources are not impaired. Recognizing that the capacity of the sea to assimilate wastes and render them harmless and its ability to regenerate natural resources is not unlimited; Recognizing that States have in accordance with the Charter of the United Nations 

and the principles of international law, the sovereign right to exploit their own resources 

pursuant to their own environment policies, and the responsibility to ensure that activities within their jurisdiction or control do not cause damage to the environment of other 

States or of areas beyond the limits of national jurisdiction; Recalling Resolution 2749 (XXV) of the General Assembly of the United Nations on the principles governing the sea-bed and the ocean floor and the subsoil thereof, beyond the limits of national jurisdiction; Noting that marine pollution originates in many sources, such as dumping and discharges through the atmosphere, rivers, estuaries, outfalls and pipelines, and that it is 

important that States use the best practicable means to prevent such pollution and develop products and processes which will reduce the amount of harmful wastes to be 

disposed of; 

Being convinced that the international action to control the pollution of the sea by dumping can and must be taken without delay but that this action should not preclude discussion of measures to control other sources of marine pollution as soon as possible; and Wishing to improve protection of the marine environment by encouraging States with 

a common interest in particular geographical areas to enter into appropriate agreements supplementary to this Convention; 

Have agreed as follows: 

ARTICLE I 

Contracting Parties shall individually and collectively promote the effective control of all sources of pollution of the marine environment, and pledge themselves especially to 

take all practicable steps to prevent the pollution of the sea by the dumping of waste and other matter that is liable to create hazards to human health, to harm living resources and marine life, to damage amenities or to interfere with other legitimate uses of the sea. 

ARTICLE IH 

Contracting Parties shall, as provided for in the following Articles, take effective 

measures individually, according to their scientific, technical and economic capabilities, and collectively, to prevent marine pollution caused by dumping and shall harmonize 

their policies in this regard. 

ARTICLE III 

For the purposes of this Convention 

1. (a) "Dumping" means:

18.12-2
(i) any deliberate disposal at sea of wastes or other matter from vessels, 

aircraft, platforms or other man-made structures at sea; 

(ii) any deliberate disposal at sea of vessels, aircraft, platforms or other 

man-made structures at sea. 

(b) "Dumping" does not include: 

(i) the disposal at sea of wastes or other matter incidental to, or derived 

from the normal operations of vessels, aircraft, platforms or other man-made 

structures at sea and their equipment, other than wastes or other matter 

transported by or to vessels, aircraft, platforns or other man-made structures 

at sea, operating for the purpose of disposal of such matter or derived from the 

treatment of such wastes or other matter on such vessels, aircraft, platforms or 

structures; 

(ii) placement of matter for a purpose other than the mere disposal thereof, 

provided that such placement is not contrary to the aims of this Convention. 

(c) The disposal of wastes or other matter directly arising from, or related to the 

exploration, exploitation and associated off-shore processing of sea-bed mineral 

resources will not be covered by the provisions of this Convention. 

2. "Vessels and aircraft" means waterborne or airborne craft of any type whatsoever. 

This expression includes air cushioned craft and floating craft, whether self-propelled or 

not. 

3. "Sea" means all marine waters other than the internal waters of States. 

4. "Wastes or other matter" means material and substance of any kind, form of 

description. 

5. "Special permit" means permission granted specifically on application in advance 

and in accordance with Annex II and Annex III. 

6. "General permit" means permission granted in advance and in accordance with 

Annex III. 

7. "The Organisation" means the Organisation designated by the Contracting Parties 

in accordance with Article XIV(2). 

ARTICLE IV 

1. In accordance with the provisions of this Convention Contracting Parties shall 

prohibit the dumping of any wastes or other matter in whatever form or condition except 

as otherwise specified below: 

(a) the dumping of wastes or other matter listed in Annex I is prohibited; 

(b) the dumping of wastes or other matter listed in Annex II requires a prior 

special permit; 

(c) the dumping of all other wastes or matter requires a prior general permit. 

2. Any permit shall be issued only after careful consideration of all the factors set 

forth in Annex III, including prior studies of the characteristics of the dumping site, as 

set forth in Sections B and C of that Annex. 

3. No provision of this Convention is to be interpreted as preventing a Contracting 

Party from prohibiting, insofar as that Party is concerned, the dumping of wastes or other 

matter not mentioned in Annex I. That Party shall notify such measures to the 

Organisation. 

ARTICLE V 

1. The provisions of Article IV shall not apply when it is necessary to secure the 

safety of human life or of vessels aircraft, platforms or other man-made structures at sea 

in cases of force majeure caused by stress of weather, or in any case which constitutes a 

danger to human life or a real threat to vessels, aircraft, platforms or other man-made 

structures at sea, if dumping appears to be the only way of averting the threat and if there

18.12-3
is every probability that the damage consequent upon such dumping will be less than 

would otherwise occur. Such dumping shall be so conducted as to minimise the 

likelihood of damage to human or marine life and shall be reported forthwith to the 

organisation. 

2. A Contracting Party may issue a special permit as an exception to Article IV(1)(a), 

in emergencies, posing unacceptable risk relating to human health and admitting no other 

feasible solution. Before doing so the Party shall consult any other country or countries 

that are likely to be affected and the Organisation which, after consulting other Parties, 

and international organisations as appropriate, shall, in accordance with Article XIV 

promptly recommend to the Party the most appropriate procedures to adopt. The Party 

shall follow these recommendations to the maximum extent feasible consistent with the 

time within which action must be taken and with the general obligation to avoid damage 

to the marine environment and shall inform the Organisation of the action it takes. The 

Parties pledge themselves to assist one another in such situations. 

3. Any Contracting Party may waive its right under paragraph (2) at the time of, or 

subsequent to ratification of, or accession to this Convention. 

ARTICLE VI 

1. Each Contracting Party shall designate an appropriate authority or authorities to: 

(a) issue special permits which shall be required prior to, and for, the dumping of 

matter listed in Annex II and in the circumstances provided for in Article V(2); 

(b) issue general permits which shall be required prior to, and for, the dumping of 

all other matter; 

(c) keep records of the nature and quantities of all matter permitted to be dumped 

and the location, time and method of dumping; 

(d) monitor individually, or in collaboration with other Parties and competent international organisations, the condition of the seas for the purposes of this 

Convention. 

2. The appropriate authority or authorities of a Contracting Party shall issue prior special or general permits in accordance with paragraph (1) in respect of matter intended 

for dumping: 

(a) loaded in its territory; 

(b) loaded by a vessel or aircraft registered in its territory or flying its flag, when 

the loading occurs in the territory of a State not party to this Convention. 

3. In issuing permits under sub-paragraphs (1)(a) and (b) above, the appropriate 

authority or authorities shall comply with Annex III, together with such additional 

criteria, measures and requirements as they may consider relevant. 

4. Each Contracting Party, directly or through a Secretariat established under a 

regional agreement, shall report to the Organization, and where appropriate to other 

Parties, the information specified in sub-paragraphs (c) and (d) of paragraph (1) above, 

and the criteria, measures and requirements it adopts in accordance with paragraph (3) 

above. The procedure to be followed and the nature of such reports shall be agreed by the 

Parties in consultation. 

ARTICLE VU 

1. Each Contracting Party shall apply the measures required to implement the present 

Convention to all: 

(a) vessels and aircraft registered in its territory or flying its flag; (b) vessels and aircraft loading in its territory or territorial seas matter which is to 

be dumped; 

(c) vessels and aircraft and fixed or floating platforms under its jurisdiction 

believed to be engaged in dumping.

18.12-4
2. Each Party shall take in its territory appropriate measures to prevent and punish 

conduct in contravention of the provisions of this Convention. 

3. The Parties agree to co-operate in the development of procedures for the effective 

application of this Convention particularly on the high seas, including procedures for the 

reporting of vessels and aircraft observed dumping is contravention of the Convention. 

4. This Convention shall not apply to those vessels and aircraft entitled to sovereign 

immunity under international law. However each Party shall ensure by the adoption of 

appropriate measures that such vessels and aircraft owned or operated by it act in a 

manner consistent with the object and purpose of this Convention, and shall inform the 

Organisation accordingly. 

5. Nothing in this Convention shall affect the right of each Party to adopt other 

measures, in accordance with the principles of international law, to prevent dumping at 

sea. 

ARTICLE VIII 

In order to further the objectives of this Convention, the Contracting Parties with 

common interests to protect in the marine environment in a given geographical area shall 

endeavor, taking into account characteristic regional features, to enter into regional 

agreements consistent with this Convention for the prevention of pollution, especially by 

dumping. The Contracting Parties to the present Convention shall endeavor to act 

consistently with the objectives and provisions of such regional agreements, which shall 

be notified to them by the Organisation. Contracting Parties shall seek to co-operate with 

the Parties to regional agreements in order to develop harmonized procedures to be 

followed by Contracting Parties to the different conventions concerned. Special attention 

shall be given to cooperation in the field of monitoring and scientific research. 

ARTICLE IX 

The Contracting Parties shall promote, through collaboration within the Organization 

and other international bodies, support for those Parties which request it for: 

(a) the training of scientific and technical personnel; 

(b) the supply of necessary equipment and facilities for research and monitoring; 

(c) the disposal and treatment of waste and other measures to prevent or mitigate 

pollution caused by dumping; preferably within the countries concerned, so furthering 

the aims and purposes of this Convention. 

ARTICLE X 

In accordance with the principles of international law regarding State responsibility 

for damage to the environment of other States or to any other area of the environment, 

caused by dumping of wastes and other mater of all kinds, the Contracting Parties 

undertake to develop procedures for the assessment of liability and the settlement of 

disputes regarding dumping. 

ARTICLE XI 

The Contracting Parties shall at their first consultative meeting consider procedures 

for the settlement of disputes concerning the interpretation and application of this 

Convention.

18.12-5
ARTICLE XII 

The Contracting Parties pledge themselves to promote, within the competent specialised agencies and other international bodies, measures to protect the marine 

environment against pollution caused by: (a) hydrocarbons, including oil, and their wastes; 

(b) other noxious or hazardous matter transported by vessels for purposes other 

than dumping.; 

(c) wastes generated in the course of operation of vessels, aircraft, platforms and 

other man-made structures at sea; 

(d) radio-active pollutants from all sources, including vessels; 

(e) agents of chemical and biological warfare; 

(f) wastes or other matter directly arising from, or related to the exploration, exploitation and associated off-shore processing of sea-bed mineral resources. 

The Parties will also promote, within the appropriate international organization, the 

codification of signals to be used by vessels engaged in dumping. 

ARTICLE XIII 

Nothing in this Convention shall prejudice the codification and development of the 

law of the sea by the United Nations Conference on the Law of the Sea convened 

pursuant to Resolution 2750 C (XXV) of the General Assembly of the United Nations 

nor the present or future claims and legal views of any State concerning the law of the 

sea and the nature and extent of coastal and flag State jurisdiction. The Contracting Parties agree to consult at a meeting to be convened by the Organisation after the Law of 

the Sea Conference, and in any case not later than 1976, with a view to defining the 

nature and extent of the right and the responsibility of a coastal State to apply the 

Convention in a zone adjacent to its coast. 

ARTICLE XIV 

1. The Government of the United Kingdom of Great Britain and Northern Ireland as 

a depositary shall call a meeting of the Contracting Parties not later than three months 

after the entry into force of this Convention to decide on organisational matters. 

2. The Contracting Parties shall designate a competent Organisation existing at the 

time of that meeting to be responsible for Secretariat duties in relation to this 

Convention. Any Party to this Convention not being a member of this Organisation shall 

make an appropriate contribution to the expenses incurred by the Organisation in 

performing these duties. 

3. The Secretariat duties of the Organisation shall include: 

(a) the convening of consultative meetings of the Contracting Parties not less 

frequently than once every two years and of special meetings of the Parties at any time on the request of two-thirds of the Parties; 

(b) preparing and assisting, in consultation with the Contracting Parties and 

appropriate International Organisations, in the development and implementation of 

procedures referred to in sub-paragraph (4)(e) of this Article; 

(c) considering inquiries by, and information from the Contracting Parties, 

consulting with them and with the appropriate International Organisations and 

providing recommendations to the Parties on questions related to, but not specifically 

covered by the Convention; 

(d) conveying to the Parties concerned all notifications received by the 

Organisation in accordance with Articles IV(3), V(1) and (2), VI(4), XV, XX, and 

XXI.

18.12-6
Prior to the designation of the Organization these functions shall, as necessary, be 

performed by the depositary, who for this purpose shall be the Government of the United 

Kingdom of Great Britain and Northern Ireland. 

4. Consultative or special meetings of the Contracting Parties shall keep under 

continuing review the implementation of this Convention and may, inter alia: 

(a) review and adopt amendments to this Convention and its Annexes in 

accordance with Article XV; 

(b) invite the appropriate scientific body or bodies to collaborate with and to 

advise the Parties or the Organisation on any scientific or technical aspect relevant to 

this Convention, including particularly the content of this Annexes; 

(c) receive and consider reports made pursuant to article VI(4); 

(d) promote co-operation with and between regional organisations concerned with 

the prevention of marine pollution; 

(e) develop or adopt, in consultation with appropriate International Organisations, 

procedures referred to in Article V(2), including basic criteria for determining 

exceptional and emergency situations, and procedures for consultative advice and the 

safe disposal of matter in such circumstances, including the designation of 

appropriate dumping areas, and recommend accordingly; 

(f) consider any additional action that may be required. 

5. The Contracting Parties at their first consultative meeting shall establish rules of 

procedure as necessary. 

ARTICLE XV 

1. (a) At meetings of the Contracting Parties called in accordance with Article XIV 

amendments to this Convention may be adopted by a two-thirds majority of those 

present. An amendment shall enter into force for the Parties which have accepted it on 

the sixtieth day after two-thirds of the Parties shall have deposited an instrument of 

acceptance of the amendment with the Organisation. Thereafter the amendment shall 

enter into force for any other Party 30 days after that Party deposits its instrument of 

acceptance of the amendment. 

(b) The organisation shall inform all Contracting Parties of any request made for a 

special meeting under Article XIV and of any amendments adopted at meetings of the 

Parties and of the date on which each such amendment enters into force for each 

Party. 

2. Amendments to the Annexes will be based on scientific or technical 

considerations. Amendments to the Annexes approved by a two-thirds majority of those 

present at a meeting called in accordance with Article XIV shall enter into force for each 

Contracting Party immediately on notification of its acceptance to the Organisation ad 

100 days after approval by the meeting for all other Parties except for those which before 

the end of the 100 days make a declaration that they are not able to accept the amendment 

at that time. Parties should endeavour to signify their acceptance of an amendment to the 

Organisation as soon as possible after approval at a meeting. A Party may at any time 

substitiite an acceptance for a previous declaration of objection and the amendment 

previously objected to shall thereupon enter into force for that Party. 

3. An acceptance or declaration of objection under this Article shall be made by the 

deposit of an instrument with the Organization. The Organisation shall notify all 

Contracting Parties of the receipt of such instruments. 

4. Prior to the designation of the Organisation, the Secretarial unctions herein 

attributed to it, shall be performed temporarily by the Government of the United 

Kingdom of Great Britain and Northern Ireland, as one of the depositories of this 

Convention.

18.12-7
ARTICLE XVI 

This Convention shall be open for signature by any State at London, Mexico City, Moscow and Washington from 29 December 1972 until 31 December 1973. 

ARTICLE XVII 

This Convention shall be subject to ratification. The instruments of ratification shall be deposited with the Governments of Mexico, the Union of Soviet Socialist Republics, the United Kingdom of Great Britain and Northern Ireland, and the United States of America. 

ARTICLE XVIII 

After 31 December 1973, this Convention shall be open for accession by any State. The instruments of accession shall be deposited with the Governments of Mexico, the Union of Soviet Socialist Republics, the United Kingdom of Great Britain and Northern Ireland, and the United States of America. 

ARTICLE XIX 

1. This Convention shall enter into force on the thirtieth day following the date of deposit of the fifteenth instrument of ratification or accession. 2. For each Contracting Party ratifying or acceding to the Convention after the deposit of the fifteenth instrument of ratification or accession, the Convention shall enter into force on the thirtieth day after deposit by such Party of its instrument of ratification 

or accession. 

ARTICLE XX 

The depositories shall inform Contracting Parties: 

(a) of signatures to this Convention and of the deposit of instruments of ratification, accession or withdrawal, in accordance with Articles XVI, XVII, XVIII and XXI, and 

(b) of the date on which this Convention will enter into force, in accordance with Article XIX. 

ARTICLE XXI 

Any Contracting Party may withdraw from this Convention by giving six months' notice in writing to a depositary, which shall promptly inform all Parties of such notice. 

ARTICLE XXII 

The original of this Convention of which the English, French, Russian and Spanish texts are equally authentic, shall be deposited with the Governments of Mexico, the Union of Soviet Socialist Republics, the United Kingdom of Great Britain and Northern Ireland and the United States of America who shall send certified copies thereof to all States. 

In WITNESS WHEREOF the undersigned Plenipotentiaries, being duly authorised thereto by their respective Governments have signed the present Convention. DONE in quadruplicate at London, Mexico City, Moscow and Washington, this 

twenty-ninth day of December, 1972.

18.12-8
ANNEX I 

1. Organohalogen compounds. 

2. Mercury and mercury compounds. 

3. Cadmium and cadmium compounds. 

4. Persistent plastics and other persistent synthetic materials, for example, netting 

and ropes, which may float or may remain in suspension in the sea in such a manner as to 

interfere materially with fishing, navigation or other legitimate uses of the sea. 

5. Crude oil, fuel oil, heavy diesel oil, and lubricating oils, hydraulic fluids, and any 

mixtures containing any of these taken on board for the purpose of dumping. 

6. High-level radioactive wastes or other high-level radio-active matter, defined on 

public health, biological or other grounds, by the competent international body in this 

field, at present the International Atomic Energy Agency, as unsuitable for dumping at 

sea. 

7. Materials in whatever form (e.g. solids, liquids, semi liquids, gases or in a living 

sates) produced for biological and chemical warfare. 

8. The preceding paragraphs of this Annex do not apply to substances which are 

rapidly rendered harmless by physical, chemical or biological processes in the sea 

provided they do not: 

(i) make edible marine organisms unpalatable, or 

(ii) endanger human health or that of domestic animals. 

The consultative procedures provided for under Article XIV should be followed by a 

Party if there is doubt about the harmlessness of the substance. 

9. This Annex does not apply to wastes or other materials (e.g. sewage sludges and 

dredged spoils) containing the matters referred to in paragraphs 1-5 above as trace 

contaminants. Such wastes shall be subject to the provisions of Annexes II and III as 

appropriate. 

ANNEX II 

The following substances and materials requiring special care are listed for the 

purposes of Article VI(1)(a). 

A. Wastes containing significant amounts of the matters listed below: 

arsenic 

lead and their compounds 

copper 

zinc 

organosilicon compounds 

cyanides 

fluorides 

pesticides and their by-products not covered in Annex I. 

B. In the issue of permits for the dumping of large quantities of acids and alkalis, 

consideration shall be given to the possible presence in such wastes of the substances 

listed in paragraph A and to the following additional substances: 

beryllium 

chromium and their compounds 

nickel 

vanadium 

C. Containers, scrap metal and other bulky wastes liable to sink to the sea bottom may 

present a serious obstacle to fishing or navigation. 

D. Radioactive wastes or other radioactive matter not included in Annex I. In the 

issue of permits for the dumping of this matter, the Contracting Parties should take full 

account of the recommendations of the competent international body in this field, at 

present the International Atomic Energy Agency.

18.12-9
ANNEX III 

Provisions be considered in establishing criteria governing the issue of permits for the 

dumping of matter at sea, taking into account Article IV (2), include: 

A.-Characteristics and Composition of the Matter 

1. Total amount of average composition of matter dumped (e.g. per year). 2. Form, e.g. solid, sludge, liquid, or gaseous. 3. Properties: physical (e.g. solubility and density), chemical and biochemical (e.g. oxygen demand, nutrients) and biological (e.g. presence of viruses, bacteria, yeasts, parasites). 

4. Toxicity. 

5. Persistence: physical, chemical and biological. 6. Accumulation and biotransformation in biological materials or sediments. 

7. Susceptibility to physical, chemical and biochemical changes and interaction in the aquatic environment with other dissolved organic and inorganic materials. 

8. Probability of production of taints or other changes reducing marketability of 

resources (fish, shellfish, etc.). 

B.-Characteristics of Dumping Site and Method of Deposit 

1. Location (e.g. co-ordinates of the dumping area, depth and distance from the coast), location in relation to the other areas (e.g., amenity areas, spawning, nursery and 

fishing areas and exploitable resources). 2. Rate of disposal per specific period (e.g. quantity per day, per week, per month). 3. Methods of packaging and containment, if any. 4. Initial dilution achieved by proposed method of release. 

5. Dispersal characteristics (e.g. effects of currents, tides and wind on horizontal 

transport and vertical mixing). 6. Water characteristics (e.g. temperature, pH, salinity, stratification, oxygen indices of pollution-dissolved oxygen (DO), chemical oxygen demand (COD), biochemical 

oxygen demand (BOD)-nitrogen present in organic and mineral form including ammonia, suspended matter, other nutrients and productivity). 7. Bottom characteristics (e.g. topography, geochemical and geological characteristics and biological productivity). 8. Existence and effects of other dumpings which have been made in the dumping 

area (e.g. heavy metal background reading and organic carbon content). 9. In issuing a permit for dumping, Contracting Parties should consider whether an adequate scientific basis exists for assessing the consequences of such dumping, as 

outline in this Annex, taking into account seasonal variations. 

C.-General Considerations and Conditions 

1. Possible effects on amenities (e.g., presence of floating or stranded material, turbidity, objectionable odour, discolouration and foaming). 2. Possible effects on marine life, fish and shellfish culture, fish stocks and fisheries, seaweed harvesting and culture. 

3. Possible effects on other uses of the sea (e.g. impairment of water quality for industrial use, underwater corrosion of structures, interference with ship operations from floating materials, interference with fishing or navigation through deposit of waste or solid objects on the sea floor and protection of areas of special importance for scientific 

or conservation purposes). 4. The practical availability of alternative land-based methods of treatment, disposal 

or elimination, or of treatment to render the matter less harmful for dumping at sea.

18.12-10
Parties to the Convention on the Prevention of Marine Pollution by Dumping of 

Wastes and Other matter, with Annexes. 

Done at Washington, London, Mexico City and Moscow 

December 29, 1972; entered into force August 30, 1975. 

26 UST 2403; TIAS 8165; 1046 UNTS 120.

Parties: 

Afghanistan 

Antigua & Barbuda 

Argentina' 

Australia 

Barbados 

Belarus 

Belgium' 

Belize2 

Bosnia-Herzegovina 

Brazil 

Canada 

Cape Verde 

Chile 

China 

Costa Rica 

Cote d'Ivoire 

Cuba 

Cyprus 

Denmark3 

Dominican Republic 

Egypt 

Finland 

France'" 

Gabon 

Germany, Fed. Rep.5 

Greece4 

Guatemala 

Haiti 

Honduras 

Hungary 

Iceland 

Ireland 

Italy' 

Jamaica 

Japan 

Jordan 

Kenya 

Amendment: November 12, 1993. 

NOTES: 

'With statement.

Kiribati 

Libya 

Luxembourg 

Malta 

Mexico 

Monaco 

Morocco 

Nauru 

Netherlands6 

New Zealand7 

Nigeria 

Norway 

Oman 

Panama 

Papua New Guinea 

Philippines 

Poland 

Portugal 

St. Lucia 

Seychelles 

Slovenia 

Solomon Islands 

South Africa 

Spain 

Suriname 

Sweden 

Switzerland 

Tonga 

Tunisia 

Tuvalu2 

Ukraine 

Union of Soviet Socialist Reps.8 

United Arab Emirates 

United Kingdom9 

United States 

Yugoslavia'° 

Zaire

18.12-11
2

See under country heading in the bilateral section for information concerning 

acceptance of treaty obligations. 

3

Extended to Faroe Is. 

4

With reservation. 

5

See note under GERMANY, FEDERAL REPUBLIC OF in bilateral section. 

6

Applicable to Netherlands Antilles and Aruba. 

7

Not applicable to Cook Is., Niue, and Tokalau Is. 

8

See note under UNION OF SOVIET SOCIALIST REPUBLICS in bilateral section. 

9

Extended to Bailiwick of Guernsey, Bermuda, British Indian Ocean Territory, British Virgin Is., Cayman Is., Ducie and Osno Is., Falkland Is. and dependencies, 

Henderson, Hong Kong, Isle of Man, Bailiwick of Jersey, Montserrat, Pitcairn, St. 

Helena and dependencies, Turks and Caicos Is., and United Kingdom Sovereign Base 

Areas of Akrotiri and Dhekelia on the Island of Cyprus. 

"°See note under YUGOSLAVIA in bilateral section

18.12-12
EXECUTIVE ORDERS AND PRESIDENTIAL STATEMENTS 

CONCERNING INTERNATIONAL ATOMIC ENERGY COOPERATION 

TABLE OF CONTENTS 

Page 

Executive Order 10841 

Providing for the Carrying out of Certain Provisions of the Atomic 

Energy Act of 1954, as Amended, Relating to International 

Cooperation ............................ 2 

Executive Order 10956 

Amendment of Executive Order No 10841, Relating to International 

Cooperation under the Atomic Energy Act of 1954, as Amended ...... 3 

Executive Order No. 12058 

Functions Relating to Nuclear Non-Proliferation 

Sec. 1. Department of Energy . ...................................... 3 

Sec. 2. Department of State . ........................................ 3 

Sec. 3. Department of Commerce . ................................... 4 

Sec. 4. Coordination . ............................................. 4 

Sec. 5. Generalf.Prt.visions .......................................... 4 

Executive Order No. 12657 

Sec. 1. Scope. ................................................... 4 

Sec. 2. General Applicable Principles and Directives ................... 5 

Sec. 3. FEMA Participation in Emergency Preparedness Planning ......... 5 

Sec. 4. Evaluation of Plans ...................................... 6 

Sec. 5. Response to a Radiological Emergency........................ 6 

Sec. 6. Implementation of Order. .................................... 6 

Sec. 7. Amendm ents ............................................... 7 

Executive Order 12730 

Continuation of Export Control Regulations .............. 7

18.13- 1
EXECUTIVE ORDERS AND PRESIDENTIAL STATEMENTS 

CONCERNING INTERNATIONAL ATOMIC ENERGY COOPERATION 

EXECUTIVE ORDER 10841 

PROVIDING FOR THE CARRYING OUT OF CERTAIN PROVISIONS OF 

THE ATOMIC ENERGY ACT OF 1954, AS AMENDED, RELATING TO 

INTERNATIONAL COOPERATION 

By virtue of the authority vested in me by the Atomic Energy Act of 1954, as 

amended (42 USC 201 et seq.), hereinafter referred to as the Act, and section 301 of title 

3 of the United States Code, and as President of the United States, it is ordered as 

follows: 

Section 1. Whenever the President, pursuant to section 123 of the Act, has approved and 

authorized the execution of a proposed agreement providing for cooperation pursuant to 

section 91c, 144a, 144b, or 144c of the Act (42 USC 2121(c), 2164(a), 2164(b), 2164(c), such approval and authorization by the President shall constitute his authorization to 

cooperate to the extent provided for in the agreement and in the manner provided for in 

section 91c, 144a, 144b, or 144c, as pertinent. In respect of sections 91c, 144b, and 144c, authorizations by the President to cooperate shall be subject to the requirements of 

section 123d of the Act and shall also be subject to appropriate determinations made 

pursuant to section 2 of this order. 

Sec. 2. (a) The Secretary of Defense and the Atomic Energy Commission are hereby designated and empowered to exercise jointly, after consultation with executive agencies 

as may be appropriate, the following-described authority without the approval, ratification, or other action of the President: 

(1) The authority vested in the President by section 91c of the Act to determine 

that the proposed cooperation and each proposed transfer arrangement referred to in 

that section will promote and will not constitute an unreasonable risk to the common 

defense and security. (2) The authority vested in the President by section 144b of the Act to determine 

that the proposed cooperation and the proposed communication of Restricted Data 

referred to in that section will promote and will not constitute an unreasonable risk to 

the common defense and security. (3) The authority vested in the President by section 144c of the Act to determine 

that the proposed cooperation and the communication of the proposed Restricted Data 

referred to in that section will promote and not constitute an unreasonable risk to the 

common defense and security. 

(b) Whenever the Secretary of Defense and the Atomic Energy Commission are 

unable to agree upon a joint determination under the provisions of subsection (a) of this 

section, the recommendations of each of them, together with the recommendations of 

other agencies concerned, shall be referred to the President, and the determination shall 

be made by the President. 

Sec. 3. This order shall not be construed as delegating the function vested in the 

President by section 91 c of the Act of approving programs proposed under that section. 

Sec. 4. (a) The functions of negotiating and entering into international agreements under 

the Act shall be performed by or under the authority of the Secretary of State. 

(b) International cooperation under the Act shall be subject to the responsibilities of 

the Secretary of State with respect to the foreign policy of the United States pertinent 

thereto. 

DWIGHT D. EISENHOWER. 

THE WHITE HOUSE. 

September 30, 1959

18.13-2
EXECUTIVE ORDER 10956

AMENDMENT OF EXECUTIVE ORDER NO 10841, RELATING TO 

INTERNATIONAL COOPERATION UNDER THE ATOMIC ENERGY ACT OF 

1954, AS AMENDED 

By virtue of the authority vested in me by the Atomic Energy Act of 1954, as 

amended (42 U.S. C. 201 et seq.), and section 301 of title 3 of the United States Code, 

and as President of the United States, it is ordered as follows: 

Executive Order No. 10841 of September 30, 1959, entitled "providing for the 

Carrying Out of Certain Provisions of the Atomic Energy Act of 1954, as Amended, 

Relating to International cooperation," is hereby amended by changing the period at the 

end of paragraph 92) of section 2(a) thereof to a colon and adding to such paragraph the 

following: "Provided, that each determination made under this paragraph shall be 

referred to the President and, unless disapproved by him, shall become effective fifteen 

days after such referral or at such later time as may be specified in the determination." 

JOHN F. KENNEDY. 

THE WHITE HOUSE. 

August 10, 1961 

EXECUTIVE ORDER No. 12058 

May 11, 1978,43 F.R. 20947 

FUNCTIONS RELATING TO NUCLEAR NON-PROLIFERATION 

By virtue of the authority vested in me by the Nuclear Non-Proliferation Act of 1978 

(Public Law 95-242, 92 Stat. 120, 22 U.S.C. 3201) and the Atomic Energy Act of 1954, 

as amended (42 U.S.C. 2011 et seq.), and Section 301 of Title 3 of the United States 

Code, and as President of the United States of America, it is hereby ordered as follows: 

Section 1. Department of Energy. 

The following functions vested in the President by the Nuclear Non-Proliferation Act 

of 1978 (92 Stat. 120, 22 U.S.C. 3201), hereinafter referred to as the Act, and by the 

Atomic Energy Act of 1954, as amended (42 U.S.C. 2011 et seq.), hereinafter referred to 

as the 1954 Act, are delegated or assigned to the Secretary of Energy: 

(a) That function vested in Section 402(b) of the Act (92 Stat. 145, 42 U.S.C. 2153a). 

(b) Those functions vested by Sections 131 a(2)(G), 131 b(1), and 131 f(2) of the 1954 

Act (92 Stat. 127, 42 U.S.C. 2160). 

(c) That function vested by Section 131 f(1)(A)(ii) of the 1954 Act to the extent it 

relates to the preparation of a detailed generic plan. 

Section 2. Department of State. 

The Secretary of State shall be responsible for performing the following functions 

vested in the President: 

(a) Those functions vested by Sections 104(a), 104(d), 105, 403, 404, 407, and 501 of 

the Act (92 Stat. 122, 123, 146, 147, and 22 U.S.C. 3223(a), 3223(d), 3224, and 42 

U.S.C. 2153b, 2153b, 2153c, 2153e, and 22 U.S.C. 3261). 

(b) That function vested by Section 128a(2) of the 1954 Act (92 Stat. 137, 42 U.S.C. 

2157(a)(2)). 

(c) That function vested by Section 601 of the Act to the extent it relates to the 

preparation of an annual report.

18.13-3
(d) The preparation of timely information and recommendations related to the 

President's functions vested by Section 126, 128b, and 129 of the 1954 Act (92 Stat. 

131, 137, and 138, 42 U.S.C. 2155, 2157, and 2158). (e) That function vested by Section 131c of the 1954 Act (92 Stat. 129, 42 U.S.C. 

2160(c); except that, the Secretary shall not waive the 60-day requirement for the 

preparation of a Nuclear Non-Proliferation Assessment Statement for more than 60 days 

without the approval of the President. 

Section 3. Department of Commerce. 

The Secretary of Commerce shall be responsible for performing the function vested 

in the President by Section 309(c) of the Act (92 Stat. 141, 42 U.S.C. 2139a). 

Section 4. Coordination. 

In performing the functions assigned to them by this Order, the Secretary of Energy and the Secretary of State shall consult and coordinate their actions with each other and 

with the heads of other concerned agencies. 

Section 5. General Provisions. 

(a) Executive Order No. 11902 of February 2, 1976' entitled "Procedures for an 

Export Licensing Policy as to Nuc!ear Materials and Equipment," is revoked. 

(b) The performance of functions under either the Act or the 1954 Act shall not be 

delayed pending the development of procedures, even though as many as 120 days are 

allowed for establishing them. Except where it would be inconsistent to do so, such 

functions shall be carried out in accordance with procedures similar to those in effect 

immediately prior to the effective date of the Act. 

Jimmy Carter 

The White House, 

May 11, 1978 

EXECUTIVE ORDER No. 12657 

Executive Order 12657 of November 18, 1988 

Federal Emergency Management Agency Assistance in Emergency Preparedness 

Planning at Commercial Nuclear Power Plants 

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 Federal Emergency Management Agency ("FEMA") provided for in this Order, an affected nuclear power plant applicant or 

'1978 U.S. Code Cong, and Adm. News Pamph. No. 4, p. 1159.

18.13-4
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 Director of FEMA 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, FEMA: 

(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. FEMA 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 

FEMA 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. 

(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 FEMA 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 FEMA 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) FEMA 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) FEMA 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) FEMA shall focus planning of Federal response activities to ensure that:

18.13-5
(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) FEMA's 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) FEMA 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) FEMA 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, FEMA 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. 

(b) FEMA 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. FEMA 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) FEMA 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, FEMA 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) FEMA 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, FEMA shall review, and 

initiate necessary revisions of all FEMA regulations, directives, and guidance to conform 

them to the terms and policies of this Order.

18.13 -6
(c) Immediately upon the effective date of this Order, FEMA shall review, and 

initiate necessary renegotiations of, all interagency agreements to which FEMA 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, FEMA is directed to obtain full reimbursement, 

either jointly or severally, for services performed by FEMA 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 Regan 

The White House 

November 18, 1988 

EXECUTIVE ORDER No. 12730 

Executive Order 12730 of September 30, 1990 

Continuation of Export Control Regulations 

By the authority vested in me as President by the Constitution and the laws of the United 

States of America, including but not lim mited to section 203 of the International 

Emergency Economic Powers Act (50 U.S.C. 1702) (hereafter referred to as "the Act"), 

I, GEORGE BUSH, president of the United States of America, find that the unrestricted 

access of foreign parties to U.S. goods, technology, and technical data and the existence 

of certain boycott practices of foreign nations, in light of the expiration of the Export 

Administration Act of 1979, constitute an unusual and extraordinary threat to the national 

security, foreign policy, and economy of the United States and hereby declare a national 

emergency with respect to that threat. 

Accordingly, in order (a) to exercise the necessary vigilance over exports from the 

standpoint of their significance to the national security of the United States; (b) to further 

significantly the foreign policy of the United States, including it policy with respect to 

cooperation by U.S. persons with certain foreign boycott activities, and to fulfill its 

international responsibilities; and (c) to protect the domestic economy from the excessive 

drain of scarce materials and reduce the serious economic impact of foreign demand, it is 

hereby ordered as follows: 

Section 1. Notwithstanding the expiration of the Export Administration Act of 1979, as 

amended (50 U.S.C. App. 2401 et seq.), the provisions of that Act, the provisions for 

administration of that Act, and the delegations of authority set forth in Executive Order

18.13-7
12002 of July 7, 1977, Executive Order 122142 of May 2, 1980, and Executive Order 

No. 1213 1' of May 4, 1979, as amended by Executive Order No. 12551 of February 21, 

1986, shall, to the extend permitted by law, be incorporated in this order and shall 

continue in ful force and effect. 

Sec. 2. All rules and regulations issued or continued in effect by the Secretary of 

Commerce under the authority of the Export Administration Act of 1979, as amended, 

including those published in Title 15, Chapter III, Subchapter C, of the Code of Federal 

Regulations, Parts 768 to 799 inclusive, and all orders, regulations, licenses, and other 

forms of administrative action issued, taken, or continued in effect pursuant thereto, 

shall, until amended or revoked by the Secretary of Commerce, remain in full force and 

effect, the same as if issued or taken pursuant to this order, except that the provisions of 

sections 203(b)(2) and 206 of the Act (50 U.S.C. 1702(b)(2) and 1705) shall control over 

any inconsistent provisions in the regulations. Nothing in this section shall affect the 

continued applicability of administrative sanctions provided for by the regulations 

described above. 

Sec. 3. Provisions for administration of section 38(e) of the Arms Export Control Act 

(22 U.S.C. 2778(e)) may be made and shall continue in full force and effect until 

amended or revoked under the authority of section 203 of the Act (50 U.S.C. 1702). To 

the extent permitted by law, this order also shall constitute authority for the issuance and 

continuation in full force and effect all rules and regulations by the President or his 

delegate, and all orders, licenses, and other forms of administrative action issued, taken, 

or continued in effect pursuant thereto, relating to the administration of section 38(e). 

Sec. 4. This order shall be effective as of midnight between September 30, 1990, and 

October 1, 1990, and shall remain in effect until terminated. It is my intention to 

terminate this order upon the enactment into law of a bill reauthorizing the authorities 

contained in the Export Administration Act. 

George Bush 

THE WHITE HOUSE 

September 30, 1990 

250 App. U.S.C.A. § 2403 nt. 

150 App. U.S.C.A. § 2401 nt.

18.13-8
NRC FORM 338 U.S. NUCLEAR REGULATORY COMMISSION 1. REPORT NUMBER 

(2-45) (A".In.d by NRC. Add Vol. Supp., Rev., NRCM 110B A and AddeLHurn NUMbers, It any.) 3Ml, 3M BIBLIOGRAPHIC DATA SHEET t -imhx ons-ft-) NUREG-0980 

2. TITLE AND SUBTITLE Vol. 2, No. 5 

Nuclear Regulatory Legislation 

105th Congress DATE REPORT PUBYSHED 

December 1999 

4. FIN OR GRANT NUMBER 

5. AUTHOR(S) B. TYPE OF REPORT 

Compilation of Nuclear Legislation 

7. PERIOD COVERED arcf..N, DoW) 

Through 105th Congress, 2d Sea 

8. PERFORNING ORGANIZATION - NAME AND ADDRESS if , providC vl•eD is or Ro. US NuclooRogulakry Coio, ondo,.dng oddrev;ffvPv• 

proi ndn. .ad ,nfei tdd'n.) 

Office of The General Counsel 

U.S. Nuclear Regulatory Commission 

Washington, DC 20555-0001

9. SPONSORING ORGANIZATION - NAME AND ADDRESS (If NRC, & Sanas. boie a provide NRC D Oio or Region, U.S. Nuclan Regulnoy• Co,,ev-non. 

end maiing .d.oj) 

Same as 8. above

10. SUPPLEMENTARY NOTES

11. ABSTRACT r2~ooord-A Ia.) 

This document is a compilation of nuclear regulatory legislation and other relevant material through the 105th Congress, 2d 

Session. This compilation has been prepared for use as a resource document which the NRC intends to update at the end of 

every Congress. 

The contents of NUREG-0980 include The Atomic Energy Act of 1954, as amended; Energy Reorganization Act of 1974, as 

amended, Uranium Mill Tailings Radiation Control Act of 1978; Low-Level Radioactive Waste Policy Act; Nuclear Waste Policy Act 

of 1982; and NRC Authorization and Appropriations Acts. Other materials included are statutes and treaties on export licensing, 

nuclear non-proliferation, and environmental protection.

12. KEY WORDS/DESCRIPTORS (Lie ovrdsorph- V.1rvlves th sI--•t. ,, W.) 13. AVAILABELITY STATEMENT 

Nuclear Regulatory Legislation; Atomic Energy Act Energy Reorganization Act, Nuclear Waste Policy unlimited 

Act, NRC AuthorizatJon and Appropriations Acts; Statutes, Treaties, Agreements on Export Licensing and 14. SECURITY CLASFICATIN 

Nuclear Non-Proliferation (this Pag) unclassified 

(This Report) 

unclassified 

15. NUMBER OF PAGES 

16. PRICE

NRC FORM 335 (2-MR
Federal Recycling Program
Commissioner Tenure 

NRC Appropriations 

• Chief Financial Officers Act of 1990 

Information Technology Management Reform 

An Chief Information Officer 

Federal Civil Penalties 

i Alternative Dispute Resolution Act of 1998 

Papenrork Reduction Act of 1995 

SLow-Level Radioactive Waste Policy 

Amendments Act of 1985 

• Appalachian States Low-Level Radioactive 

Waste Compact Consent Act 

• Southwestern Low-Level Radioactive Waste 

Disposal Compact Consent Act 

Texas Low-Level Radioactive Waste 

Disposal Compact Consent Act 

7 Clean Air Act of 1977, as Amended 

Federal Water Pollution Control Act of 1972 

A National Environmental Policy Act of 1969 

Hazardous Materials Transportation Act 

West Valley Demonstration Project Act 

Nuclear Non-Proliferation and Export Licensing 

Miscellaneous

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