UNUREGo09o

* U S R Vol. 2, No. 9

Unieed Srares Nuclear Regulatory (•mmission

Protecting People and the Environment

Nuclear Regulatory

Legislation

1 1 1 th Congress; 2 nd Session

Office of the General Counsel
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*U.S.NRC

United States Nuclear Regulatory Commission

Protecting People and the Environment

NUREG-0980

Vol. 2, No. 9

Nuclear Regulatory

Legislation

1111h Congress; 2nd Session

Prepared by:

Office of the General Counsel

U.S. Nuclear Regulatory Commission

Washington, DC 20555-0001

Date Published: February 2011

FOREWORD

This compilation of statutes and materials pertaining to nuclear regulatory

legislation through the 111 th 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, although every effort has been made to ensure the

completeness and accuracy of this material, neither the United States

Government, the U.S. Nuclear Regulatory Commission, nor any of their

employees makes any expressed or implied warranty or assumes liability for the

accuracy or completeness of the material presented in this compilation.

If you have any questions concerning this compilation, please contact:

Anthony de Jesils

Legislative Specialist

Office of the General Counsel

U.S. Nuclear Regulatory Commission

Washington, DC 20555-0001

Anthony.deJesus@nrc.gov

This document is available from the U.S. Nuclear Regulatory

Commission Web site at

http://www.nrc.gov/reading-rm/doc-collections/nuregs/staff/sr0980/

and is published in three bound volumes.

iii

Contents - Volume 2

PART I: DOMESTIC LEGISLA TION ....................... ix

1. Transportation of Hazardous Materials ............... 531

A. HAZARDOUS MATERIALS TRANSPORTATION UNIFORM

SAFETY ACT OF 1990, AS AM ENDED ............................................................ 535

B. AIR TRANSPORTATION OF PLUTONIUM (P.L. 94-79) ............................. 568

C. AIR TRANSPORTATION OF PLUTONIUM (P.L. 94-187) ........................... 568

D. SECTION 5062 OF OMNIBUS BUDGET RECONCILIATION ACT OF

1987 REGARDING AIR TRANSPORTATION OF PLUTONIUM, (P.L.

100-202 A N D 100-203) ........................................................................................... 569

E. SHIPMENTS OF PLUTONIUM BY SEA (P.L. 102-486) ................................ 571

F. SECTION 411 OF RAIL SAFETY IMPROVEMENT ACT OF 2008 ............. 572

2. User Fees ............................................................... 5 73

A. TITLE V OF THE INDEPENDENT OFFICES APPROPRIATIONS

A C T O F 1952 ......................................................................................................... 577

B. PERTINENT PROVISIONS OF THE OMNIBUS BUDGET

RECONCILIATION ACT OF 1990, AS AMENDED ........................................ 578

3. Administrative Law Statutes ................................. 581

A. ADMINISTRATIVE PROCEDURES-5 USC 551-559 .................................. 587

B. NEGOTIATED RULEMAKING ACT OF 1990-5 USC 561-570 .................. 629

C. ADMINISTRATIVE DISPUTE RESOLUTION ACT, AS AMENDED ......... 636

D. REGULATORY FLEXIBILITY ACT, AS AMENDED-5 USC 601-612 ..... 648

E. JUDICIAL REVIEW - 5 USC 701-706 .............................................................. 656

F. CONGRESSIONAL REVIEW-5 USC 801-808 ............................................... 658

G. FEDERAL ADVISORY COMMITTEE ACT, AS AMENDED ...................... 664

H. ALTERNATIVE DISPUTE RESOLUTION ACT OF 1998 ............................ 673

1. FEDERAL CIVIL PENALTIES INFLATION ADJUSTMENT ACT OF

1990, A S A M E N D E D ............................................................................................. 678

4. NRC Appropriation Acts ....................................... 681

TABLE: ANNUAL NRC APPROPRIATION ACTS THROUGH FISCAL

Y E A R 2 0 10 ............................................................................................................. 7 3 8

5. NRC A uthorization Acts ....................................... 741

A. NRC AUTHORIZATION ACT FOR FISCAL YEAR, 1984-1985 .................. 745

B. NRC AUTHORIZATION ACT FOR FISCAL YEAR, 1982-1983 .................. 749

C. NRC AUTHORIZATION ACT FOR FISCAL YEAR 1980 ............................ 764

D. NRC AUTHORIZATION ACT FOR FISCAL YEAR 1979 ............................ 777

E. NRC AUTHORIZATION ACT FOR FISCAL YEAR 1978 ............................ 785

F. NRC AUTHORIZATION ACT FOR FISCAL YEAR 1977 ............................. 788

G. NRC AUTHORIZATION ACT FOR FISCAL YEAR 1976 ............................ 789

H. NRC FISCAL YEAR 1975 SUPPLEMENTAL AUTHORIZATION ACT....791

V
1. AEC FISCAL YEAR 1975 SUPPLEMENTAL AUTHORIZATION ACT ..... 792

J. AEC AUTHORIZATION ACT FOR FISCAL YEAR 1975 ............................. 793

K. AEC AUTHORIZATION ACT FOR FISCAL YEAR 1974 ............................ 798

6. Chief Financial Officers Legislation ................... 799

A. CHIEF FINANCIAL OFFICERS ACT OF 1990, AS AMENDED ................. 803

B. REPORTS CONSOLIDATION ACT OF 2000 ................................................. 821

7. Inspector General Legislation .............................. 825

A. INSPECTOR GENERAL ACT OF 1978, AS AMENDED ............................... 829

8. Information Management Legislation ................. 869

A. INFORMATION TECHNOLOGY MANAGEMENT REFORM ACT OF

1 9 9 6 ......................................................................................................................... 8 7 5

B. PAPERWORK REDUCTION ACT OF 1995, AS AMENDED ....................... 884

C. GOVERNMENT PAPERWORK ELIMINATION ACT ................................. 916

D. CONSOLIDATED APPROPRIATIONS ACT, 2001 (DATA QUALITY) ..... 919

E. ELECTRONIC RECORDS AND SIGNATURES IN COMMERCE .............. 920

F. PLA IN W R ITING ACT O F 2010 ....................................................................... 932

9. Environmental Legislation ................................... 935

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

A M E N D E D ............................................................................................................ 939

B. SECTION 511 OF THE FEDERAL WATER POLLUTION CONTROL

A C T O F 19 7 2 ......................................................................................................... 9 6 5

C. NATIONAL ENVIRONMENTAL POLICY ACT OF 1969, AS

A M E N D E D ............................................................................................................ 966

D. WEST VALLEY DEMONSTRATION PROJECT ACT ................................. 972

10. Miscellaneous Domestic Legislation and

Executive Orders .................................................... 9 77

A. UNITING AND STRENGTHENING AMERICA BY PROVIDING

APPROPRIATE TOOLS REQUIRED TO INTERCEPT AND

OBSTRUCT TERRORISM (USA PATRIOT ACT) ACT OF 2001 ................ 981

B. NATIONAL DEFENSE AUTHORIZATION ACT FOR FISCAL YEAR

2002 (H O M ELAN D SEC UR ITY) ........................................................................ 983

C. PERTINENT SECTIONS OF THE INTELLIGENCE REFORM AND

TERRORISM PREVENTION ACT. OF 2004 .................................................... 984

D. NATIONAL DEFENSE AUTHORIZATION ACT FOR FISCAL YEAR

2000 (TR ITIUM PRO DUCTIO N) ....................................................................... 994

E. STROM THURMOND NATIONAL DEFENSE AUTHORIZATION

ACT FOR FISCAL YEAR 1999 (LICENSING MOX FUEL FACILITIES)..995

F. NATIONAL DEFENSE AUTHORIZATION ACT FOR FISCAL YEAR

2002 (M O X F U E L ) ................................................................................................ 996

G. MISCELLANEOUS DEPARTMENT OF ENERGY NUCLEAR

PROVISIONS, ENACTED BY PUBLIC LAW 109-58, THE ENERGY

PO L IC Y A C T O F 2005 ......................................................................................... 998

vi
H. EXECUTIVE ORDER 12656-ASSIGNMENT OF EMERGENCY

PREPAREDNESS RESPONSIBILITIES ......................................................... 1012

I. EXECUTIVE ORDER 12657-DEPARTMENT OF HOMELAND

SECURITY ASSISTANCE IN EMERGENCY PREPAREDNESS

PLANNING AT COMMERCIAL NUCLEAR POWER PLANTS ................ 1019

vii

PART I: DOMESTIC

LEGISLATION

ix
Transportation of Hazardous Materials 531

TrnprainoIaadu aeil 3

1.Transportation of Hazardous

Materials

Transportation 1 of Hazardous Materials 533

1. Transportation of Hazardous Materials

Contents

A. HAZARDOUS MATERIALS TRANSPORTATION UNIFORM

SAFETY ACT OF 1990, AS AMENDED ............................................................ 535

49 USCA, Chapter 51. - Transportation Of Hazardous Material .................. 535

S ec. 5 10 1. P u rp ose .......................................................................................... 535

S ec. 5 102. D efin itions ..................................................................................... 535

Sec. 5103. G eneral Regulatory Authority .................................................... 537

Sec. 5103a. Limitation On Issuance Of Hazmat Licenses .......................... 538

Sec. 5104. Representation And Tam pering ................................................. 541

Sec. 5105. Transporting Certain Highly Radioactive Material .................. 541

Sec. 5106. H andling C riteria ......................................................................... 542

Sec. 5107. HAZMAT Employee Training Requirements And Grants ...... 542

S ec. 5 108. R eg istratio n ................................................................................... 544

Sec. 5109. M otor Carrier Safety Perm its ..................................................... 546

Sec. 5110. Shipping Papers And Disclosure .............................................. 547

Sec. 5111. Rail Tank C ars IRepealedi .......................................................... 548

Sec. 5112. Highway Routing Of Hazardous Material ................................. 548

Sec. 5113. Unsatisfactory Safety Rating ....................................................... 550

Sec. 5114. Air Transportation Of Ionizing Radiation Material ................. 550

Sec. 5115. Training Curriculum For The Public Sector ....................... 55!

Sec. 5116. Planning And Training Grants, Monitoring, And Review ....... 552

Sec. 5117. Special Perm its And Exclusions ................................................. 556

Sec. 5118. Inspectors IR epealedl ................................................................... 557

Sec. 5119. Uniform Forms And Procedures ................................................. 557

Sec. 5120. International Uniformity Of Standards And Requirements .... 557

Sec. 5 12 1. A d m inistrative .............................................................................. 558

S ec. 5 122. E n forcem ent ................................................................................. 56 1

S ec. 5 123. C iv il P enalty .................................................................................. 56 1

Sec. 5124. C rim inal Penalty .......................................................................... 562

S ec. 5 125. P reem ption .................................................................................... 563

Sec. 5126. Relationship To O ther Laws ....................................................... 565

Sec. 5 127. Jud icial R eview ............................................................................. 566

Sec. 5128. Authorization Of Appropriations ............................................... 566

B. AIR TRANSPORTATION OF PLUTONIUM (P.L. 94-79) ............................. 568

S e c . 2 0 1 . ........................................................................................................... 5 6 8

C. AIR TRANSPORTATION OF PLUTONIUM (P.L. 94-187) ........................... 568

S ec . 5 0 1 . ........................................................................................................... 5 6 8

S ec . 5 0 2 . ........................................................................................................... 5 6 8

D. SECTION 5062 OF OMNIBUS BUDGET RECONCILIATION ACT OF

1987 REGARDING AIR TRANSPORTATION OF PLUTONIUM,

(P.L . 100-202 A N D 100-203) ................................................................................. 569

Sec. 5062. Transportation Of Plutonium By Aircraft Through United

S tates A ir S pace ........................................................................................... 569

E. SHIPMENTS OF PLUTONIUM BY SEA (P.L. 102-486) ........................... 571

Sec. 2904. Study And Implementation Plan On Safety Of Shipments

O f P lu to n iu m B y S ea ................................................................................... 57 1

F. SECTION 411 OF RAIL SAFETY IMPROVEMENT ACT OF 2008 ............. 572

See. 411. Railroad Carrier Employee Exposure To Radiation Study ........ 572

Haz. Mat. Trans. Uniform Safety Act (P.L. 101-615) 535

A. HAZARDOUS MATERIALS TRANSPORTATION

UNIFORM SAFETY ACT OF 1990, AS AMENDED

Public Law 101-615 104 Stat. 3244

Nov. 16, 1990

NOTE: This Act was recodified in Pub. L. 103-272 (108 Stat. 759);

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

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

version.

49 USCA, Chapter 51. - Transportation Of Hazardous Material

49 USC 5101. Sec. 5101. Purpose

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

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

hazardous material in intrastate, interstate, and foreign commerce.

49 USC 5102. Sec. 5102. Definitions

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

(I) "commerce" means trade or transportation in the jurisdiction of the

United States--

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

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

a place outside of the State; or

(C) on a United States-registered aircraft.

(2) "hazardous material" means a substance or material the Secretary designates under section 5 103(a) of this title [49 USCS § 5103(a)].

(3) "hazmat employee"--

(A) means an individual--

(i) who--

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

hazmat employer; or

(1I) is self-employed (including an owner-operator of a motor

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

and

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

employment, or such self employment, directly affects hazardous

material transportation safety as the Secretary decides by regulation; and

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

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

course of employment-- (i) loads, unloads, or handles hazardous material;

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

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

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

use in transporting hazardous material in commerce;

(iii) prepares hazardous material for transportation;

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

or

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

(C) [Redesignated]

(4) "hazmat employer"--

(A) means a person--

'As amended by P.L. )09-59, Title VII, § 7101(b), 119 Stat. 189) (2005).
536 Haz. Mat. Trans. Uniform Safety Act (P.L. 101-615)

(i) who--

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

time, or temporary basis; or

(11) is self-employed (including an owner-operator of a motor

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

and

(ii) who--

(I) transports hazardous material in commerce;

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

(I1l) designs, manufactures, fabricates, inspects, marks, maintains,

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

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

use in transporting hazardous material in commerce; and

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

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

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

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

hazardous material that presents a substantial likelihood that death,

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

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

foreseeable completion date of a formal proceeding begun to lessen the

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

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

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

450b).

(7) "motor carrier"--

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

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

13102]; but

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

forwarder is not performing a function relating to highway transportation. (8) "National Response Team" means the National Response Team

established under the National Contingency Plan established under

section 105 of the Comprehensive Environmental Response,

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

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

USCS § I]--

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

or tribe that--

(i) offers hazardous material for transportation in commerce;

(ii) transports hazardous material to further a commercial

enterprise; or

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

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

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

use in transporting hazardous material in commerce; but

(B) does not include--

(i) the United States Postal Service; and

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

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

(10) "public sector employee"--

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

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

responsibilities related to responding to an accident or incident involving the transportation of hazardous material;
Haz. Mat. Trans. Uniform Safetv Act (P.L. 10 1 -615) 537

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

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

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

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

(11) "Secretary" means the Secretary of Transportation except as

otherwise provided.

(12) "State" means--

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

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

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

other territory or possession of the United States designated by the

Secretary; and

(B) in section 5119 of this title [49 USCS § 51191, a State of the

United States and the District of Columbia.

(13) "transports" or "transportation" means the movement of property

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

(14) "United States" means all of the States. 2

49 USC 5103. Sec. 5103. General Regulatory Authority

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

material (including an explosive, radioactive material, infectious

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

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

of material as hazardous when the Secretary determines that transporting

the material in commerce in a particular amount and form may pose an unreasonable risk to health and safety or property.

(b) Regulations for safe transportation.

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

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

foreign commerce. The regulations--

(A) apply to a person who--

(i) transports hazardous material in commerce;

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

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

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

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

use in transporting hazardous material in commerce;

(iv) prepares or accepts hazardous material for transportation in

commerce;

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

in commerce;

(vi) certifies compliance with any requirement under this chapter

[49 USCS §§ 5101 et seq.]; or (vii) misrepresents whether such person is engaged in any activity

under clause (i) through (vi): and

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

transportation of hazardous material the Secretary considers appropriate.

(C) [Deleted]

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

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

informal oral presentation.

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

security order that affects the safety of the transportation of hazardous

'As amended by P.L. 103-311, Title 1, § 117(a)(l), 108 Stat. 1678 (1994). P.L. 104-88, Title Il1, Subtitle A,

§ 308(d). 109 Stat. 947 (1995); P.L. 109-59, Title VI1. Subtitle A, §§ 7102. 7126, 119 Stat. 1892, 1909 (2005); P.L. 110-244, Title Ill, § 302(a), 122 Stat. 1618 (2008).
538 Haz. Mat. Trans. Uniform Safety Act (P.L. 1 01-615)

material, the Secretary of Homeland Security shall consult with the

Secretary of Transportation.

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

Committee on Transportation and Infrastructure of the House of

Representatives and the Senate Committee on Commerce, Science, and

Transportation a biennial report providing information on whether the

Secretary has designated as hazardous materials for purposes of chapter

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

of the methamphetamine-production process that are known by the

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

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

49 USC 5103a. See. 5103a. Limitation On Issuance Of Hazmat Licenses

(a) Limitation.

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

license to operate a motor vehicle transporting in commerce a hazardous

material unless the Secretary of Homeland Security has first determined,

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

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

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

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

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

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

Secretary of Transportation for which the Secretary of Transportation

requires placarding of a commercial motor vehicle transporting that

material in commerce.

(c) Recommendations on chemical and biological materials. The

Secretary of Health and Human Services shall recommend to the

Secretary of Transportation any chemical or biological material or agent

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

5 103(a)] if the Secretary of Health and Human Services determines that

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

(d) Background records check.

(1) In general. Upon the request of a State regarding issuance of a license described in subsection (a)(]) to an individual, the Attorney

General--

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

individual; and

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

Secretary of Homeland Security of the completion and results of the

background records check.

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

this subsection shall consist of the following:

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

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

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

United States.

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

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

means.

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

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

'As amended by P.L. 103-3 11, Title I, § 117(a)(2), 108 Stat. 1678 (1994); P.L. 103-429, § 6(3), 108 Stat. 4378

(1994); P.L. 107-296, Title XVII, § 1711(a), 116 Stat. 2319 (2002); P.L. 109-59, Title VII, Subtitle A, §§ 7103, 7126, 119 Slat. 1893, 1909, Aug. 10, 2005. P.L. 109-177, Title VII, Subtitle D. § 741, 120 Stat. 272,

March 9, 2006.
Haz. Mat. Trans. Uniform Safetv Act (P.L. 101-615) 539

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

information as the Secretary of Homeland Security may require,

concerning--

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

subsection (a); and

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

Secretary of Homeland Security may require.

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

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

USCS § I 101(a)(3)].

(g) Background checks for drivers hauling hazardous materials.

(1) In general.

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

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

Transportation Security Administration, after receiving comments from

interested parties, shall develop and implement a process for notifying

hazmat employers designated by an applicant of the results of the

applicant's background record check, if--

(i) such notification is appropriate considering the potential security

implications; and

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

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

set forth in regulations issued to carry out this section.

(B) Relationship to other background records checks.

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

whom the Transportation Security Administration--

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

and

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

is deemed to have met the requirements of any other background

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

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

stringent than, the background check required under this section.

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

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

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

the Director shall initiate a rulemaking proceeding, including notice and

opportunity for comment, to determine which background checks

required for purposes of Federal laws applicable to transportation

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

section.

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

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

rulemaking proceeding to establish or modify required background

checks for transportation workers initiated after the date of enactment of

this subsection.

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

establishes its own standards for applicants for a hazardous materials

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

provide--

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

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

Regulations, by which an applicant denied a hazardous materials

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

that denial; and
540 Haz. Mat. Trans. Uniform Safety Act (P.L. 101-615)

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

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

which an applicant denied a hazardous materials endorsement to a

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

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

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

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

nonviolent employee-related action resulting from an employeremployee dispute. Not later than 30 days after the date of enactment of

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

definition of that term to reflect the preceding sentence.

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

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

Transportation of the Senate and the Committees on Transportation and

Infrastructure and Homeland Security of the House of Representatives a

report on the implementation of Fingerprint-based security threat

assessments and the adequacy of fingerprinting locations, personnel, and

resources to accomplish the timely processing of fingerprint-based

security threat assessments for individuals holding commercial driver's

licenses who are applying to renew hazardous materials endorsements.

(5) Report.

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

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

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

reduce or eliminate redundant background checks for holders of

hazardous materials endorsements performed under this section.

(B) Contents. The report shall--

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

assessment requirements applicable to transportation workers under

Federal laws for which the Department of Homeland Security is

responsible and the process by which the Secretary of Homeland Security

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

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

and

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

eliminate redundant background checks in a manner that will continue to

ensure the highest level of safety and security.

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

or Canada.

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

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

motor vehicle operator registered to operate in Mexico or Canada shall

not operate a commercial motor vehicle transporting a hazardous material

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

background records check similar to the background records check

required for commercial motor vehicle operators licensed in the United

States to transport hazardous materials in commerce.

(2) Extension. The Director of the Transportation Security

Administration may extend the deadline established by paragraph (I) for

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

extension is necessary.
Haz. Mat. Trans. Uniform Safety Act (P.L. 101-615) 541

(3) Commercial motor vehicle defined. In this subsection, the term 'commercial motor vehicle" has the meaning given that term by section

31101 [49 USCS § 31101]. 4

49 USC 5104. Sec. 5104. Representation And Tampering

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

otherwise, that--

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

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

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

packaging meets the requirements of each applicable regulation

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

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

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

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

tamper unlawfully with-

(]) a marking, label, placard, or description on a document required under this chapter [49 USCS §§ 5101 et seq.] or a regulation prescribed

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

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

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

material.5

49 USC 5105. Sec. 5105. Transporting Certain Highly Radioactive Material

(a) DEFINITIONS. In this section, "high-level radioactive waste" and "spent nuclear fuel" have the same meanings given those terms in section

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

(b) TRANSPORTATION SAFETY STUDY. In consultation with the

Secretary of Energy, the Nuclear Regulatory Commission, potentially

affected States and Indian tribes, representatives of the rail transportation

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

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

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

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

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

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

study.

(c) SAFE RAIL TRANSPORTATION REGULATIONS. Not later than

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

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

amendments to existing regulations that the Secretary considers

appropriate to provide for the safe rail transportation of high-level radioactive waste and spent nuclear fuel, including trains operated only

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

(d) INSPECTIONS OF MOTOR VEHICLES TRANSPORTING

CERTAIN MATERIAL.

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

regulation that before each use of a motor vehicle to transport a highway- route-controlled quantity of radioactive material in commerce, the

vehicle shall be inspected and certified as complying with this chapter

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

safety laws and regulations. The Secretary may require that the

'Added Oct. 26, 2001, P.L. 107-56, Title X, § 1012(a)(1), 115 Stat. 396. As amended by P.L. 109-59,

Title VII. Subtitle A, §§ 7104, 7105, 7126, 119 Stat. 1894, 1909 (2005); P.L. 110-53, Title XV, Subtitle D,

P 1556(a), 121 Stat. 475 (2007); P.L. 110-244, Title Ill, § 302(b), 122 Stat. 1618 (2008).

As amended by P.L. 103-311, Title 1, § 1 7(b), 108 Stat. 1678 (1994); P.L. 103-429, § 6(4), 108 Stat. 4378

(1994). P.L. 109-59, Title VII, Subtitle A, § 7106, 119 Stat. 1897 (2005).
542 Haz. Mat. Trans. Uniform Safety Act (P.L. 101-615)

inspection be carried out by an authorized United States Government

inspector or according to appropriate State procedures.

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

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

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

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

The inspector qualification requirements the Secretary prescribes for an

individual inspecting a motor vehicle apply to an individual conducting

an inspection under this paragraph.6

49 USC 5106. Sec. 5106. Handling Criteria

The Secretary may prescribe criteria for handling hazardous material,

including-

(1) a minimum number of personnel;

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

(3) the kind and frequency of inspections;

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

posed by the hazardous material;

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

handling and transporting the hazardous material; and

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

hazardous material.7

49 USC 5107. Sec. 5107. HAZMAT Employee Training Requirements And Grants

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

requirements for training that a hazmat employer must give hazmat

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

storing, and transporting of hazardous material and emergency

preparedness for responding to an accident or incident involving the

transportation of hazardous material. The regulations--

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

section, by which the training shall be completed; and

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

of hazardous material and hazmat employees.

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

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

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

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

time after--

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

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

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

employee after the 6-month period.

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

employer shall certify, with documentation the Secretary may require by

regulation, that the hazmat employees of the employer have received

training and have been tested on appropriate transportation areas of

responsibility, including at least one of the following:

(1) recognizing and understanding the Department of Transportation

hazardous material classification system.

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

placarding, labeling, and marking systems.

"As amended by P.L. 109-59, Title VII, Subtitle A, §§ 7107, 7126, 119 Stat. 1897, 1909 (2005). 7

As amended b•y P.L. 109-59, Title VII, Subtitle A, § 7126, 119 Stat. 1909 (2005).
Haz. Mat. Trans. Uniform Safety Act (P.L. 101-615) 543

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

strategies to reduce the probability of release or damage during or

incidental to transporting hazardous material.

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

and the transportation of hazardous material.

(5) appropriate emergency response and communication procedures for

dealing with an accident or incident involving hazardous material

transportation.

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

recognition of its limitations or the use of equivalent documents and

recognition of the limitations of those documents.

(7) applicable hazardous material transportation regulations.

(8) personal protection techniques.

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

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

Administrator of the Environmental Protection Agency and the Secretary

of Labor, the Secretary shall ensure that the training requirements

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

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

related to hazard communication, and hazardous waste operations, and

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

Federal Regulations: and

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

standards for hazardous waste operations that are contained in part 3 11 of

title 40, Code of Federal Regulations.

(e) Training grants.

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

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

subsection--

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

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

instructors to train hazmat employees.

(2) Eligibility. A grant under this subsection shall be made to a nonprofit hazmat employee organization that demonstrates--

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

and

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

population of hazmat employees.

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

maintenance-of-way employees and railroad signalmen receive general

awareness and familiarization training and safety training pursuant to

section 172.704 of title 49, Code of Federal Regulations.

(g) Relationship to other laws.

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

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

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

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

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

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

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

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

replace existing employer-provided hazardous materials training efforts

or obligations.

49 USC 5108. Sec. 5108. Registration

(a) Persons required to file.

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

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

in commerce any of the following:

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

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

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

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

Secretary designates as extremely toxic by inhalation.

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

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

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

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

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

car, or freight container is required under regulations prescribed under

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

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

registration statement with the Secretary under this subsection:

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

material in commerce and not required to file a registration statement

under paragraph (1) of this subsection.

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

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

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

or sold as qualified for use in transporting hazardous material in

commerce.

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

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

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

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

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

file as required by this subsection.

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

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

person not domiciled in the United States who solely offers hazardous

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

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

not require persons domiciled in the United States who solely offer

hazardous materials for transportation to the foreign country from places

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

making such an offer.

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

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

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

The Secretary may use existing forms of the Department of

Transportation and the Environmental Protection Agency to. carry out

this subsection. The statement shall include--

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

As amended by P.L. 103-311, Title I, §§ 106, 119(c)(l)-(3), 108 Stat. 1674, 1680 (1994), P.L. 109-59,

Title VII, Subtitle A, §§ 7108, 7126, 119 Stat. 1897, 1909 (2005).
Haz. Mat. Trans. Uniform Safetv Act (P. L. 10 1 -615) 545

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

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

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

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

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

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

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

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

prescribed by the Secretary.

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

necessary action to simplify the registration process under subsections

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

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

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

(e) Cooperation with Administrator. The Administrator of the

Environmental Protection Agency shall assist the Secretary in carrying

out subsections (a)-(g)(l) and (h) of this section by providing the

Secretary with information the Secretary requests to carry out the

objectives of subsections (a)-(g)(I) and (h).

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

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

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

this subsection does not require the release of information described in

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

the public.

(g) Fees.

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

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

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

the statement.

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

subsection, the Secretary shall establish and impose by regulation and

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

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

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

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

of the following:

(i) gross revenue from transporting hazardous material.

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

transported.

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

transported.

(iv) the number of shipments of hazardous material.

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

filing a registration statement is required under this section.

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

accident or incident involving the hazardous material transported or

caused to be transported.

(vii) the percentage of gross revenue derived from transporting

hazardous material.

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

5108(g)(2), 5115, and 5116 of this title [49 USCS §§ 510 8 (g)(2), 5115,

and 5116].

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

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

paragraph to reflect any unexpended balance in the account established

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

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

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

amounts the Secretary collects under this paragraph for deposit in the

Hazardous Materials Emergency Preparedness Fund established under

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

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

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

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

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

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

statements filed by such persons.

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

prescribe regulations requiring a person required to file a registration

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

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

(i) Relationship to other laws.

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

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

section.

(2)

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

employer.

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

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

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

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

out official duties.

Sec. 5109. Motor Carrier Safety Permits

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

transported by motor vehicle in commerce hazardous material only if the

carrier holds a safety permit the Secretary issues'° under this section

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

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

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

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

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

prescribes to carry out this chapter; and

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

laws and regulations and applicable minimum financial responsibility

laws and regulations.

(b) APPLICABLE TRANSPORTATION.-The Secretary shall

prescribe by regulation the hazardous material and amounts of hazardous

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

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

establishes, of-

(]) a class A or B explosive;

(2) liquefied natural gas;

49 USC 5109.

'As amended by P.L. 103-311., Title I, §§ 104, 117(a)(3), 119(d)(1), 108 Stat. 1673, 1678, 1680 (1994);

P.L. 105-102, § 2(3), ll1 Stat. 2204 (1997); P.L. 105-225, § 7(b)(1), 112 Stat. 1511, Aug. 12, 1998

P.L. 109-59, Title VII, Subtitle A, §§ 7109(a)-(e), (e), (C), 7114(d)(3), 7126, 119 Stat. 1897, 1898, 1900, 1909

Q2005).

"As amended by P.L. 109-59, Title VII, Subtitle A, § 7126, 119 Stat. 1909 (2005).
Haz. Mat. Trans. Uniform Safetv Act (P.L. 101-615) 547

(3) hazardous material the Secretary designates as extremely toxic

by inhalation; and

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

defined by the Secretary.

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

the Secretary for a safety permit to provide transportation under this

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

the application. The application shall be under oath and contain

information the Secretary requires by regulation.

(d) AMENDMENTS, SUSPENSIONS, AND REVOCATIONS.-

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

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

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

Secretary decides the motor carrier is not complying with a

requirement of this chapter, a regulation prescribed under this

chapter, or an applicable United States motor carrier safety law or regulation or minimum financial responsibility law or regulation.

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

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

a hearing.

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

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

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

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

safety permit;

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

(4) other procedures the Secretary considers appropriate to carry

out this section.

(f) SHIPPER RESPONSIBILITY.-A person offering hazardous

material for motor vehicle transportation in commerce may offer the

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

under this section authorizing the transportation.

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

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

complies with conditions the Secretary finds are required to protect

public safety.

(h) REGULATIONS.-The Secretary shall prescribe regulations

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

Sec. 5110. Shipping Papers And Disclosure

(a) PROVIDING SHIPPING PAPERS. Each person offering for

transportation in commerce hazardous material to which the shipping

paper requirements of the Secretary apply shall provide to the carrier

providing the transportation a shipping paper that makes the disclosures

the Secretary prescribes in regulations.

(b) KEEPING SHIPPING PAPERS ON THE VEHICLE.

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

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

the vehicle transporting the material.

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

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

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

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

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

department, agency, or instrumentality of the United States Government

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

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

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

(c) DISCLOSURE TO EMERGENCY RESPONSE AUTHORITIES.

When an incident involving hazardous material being transported in

commerce occurs, the person transporting the material, immediately on

request of appropriate emergency response authorities, shall disclose to

the authorities information about the material.

(d) RETENTION OF PAPERS.

(I) Offerors. The person who provides the shipping paper under this

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

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

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

principal place of business.

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

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

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

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

principal place of business.

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

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

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

times and locations."

49 USC 5111. See. 5111. Rail Tank Cars [Repealed]1 2

49 USC 5112. Sec. 5112. Highway Routing Of Hazardous Material

(a) Application.

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

transporting hazardous material in commerce for which placarding of the

vehicle is required under regulations prescribed under this chapter [49

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

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

of this section to--

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

hazardous material in commerce; and

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

commerce.

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

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

may establish, maintain, and enforce--

. (A) designations of specific highway routes over which hazardous

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

(B) limitations and requirements related to highway routing.

(b) Standards for States and Indian tribes.

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

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

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

(A) a requirement that a highway routing designation, limitation, or requirement of a State or Indian tribe shall enhance public safety in the

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

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

directly affected by the designation, limitation, or requirement;

'As amended by P.L. 103-311, Title I, § 115, 108 Stat. 1678, Aug. 26, 1994; P.L. 109-59, Title VII,

Subtitle A, §§ 7110, 7126, 119 Stat. 1898, 1909, Aug. 10, 2005; P.L. 110-244, Title IIl, § 302(i),

122 Stat. 1618 (2008). "

2

Repealed Aug. 10, 2005, by P.L. 109-59, Title VII, Subtitle A, § 7111, 119 Stat. 1899.
Haz. Mat. Trans. Uniform Safetv Act (P.L. 10 1 -615) 549

(B) minimum procedural requirements to ensure public participation

when the State or Indian tribe is establishing a highway routing

designation, limitation, or requirement;

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

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

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

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

establishing the designation, limitation, or requirement and with affected

industries;

(D) a requirement that a highway routing designation, limitation, or requirement of a State or Indian tribe shall ensure through highway

routing for the transportation of hazardous material between adjacent

areas;

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

requirement of one State or Indian tribe affecting the transportation of

hazardous material in another State or tribe may be established,

maintained, and enforced by the State or tribe establishing the

designation, limitation, or requirement only if--

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

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

Secretary under subsection (d) of this section; and

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

unreasonable burden on commerce;

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

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

timely way;

(G) a requirement that a highway routing designation, limitation, or requirement of a State or Indian tribe provide reasonable routes for motor

vehicles transporting hazardous material to reach terminals, facilities for

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

material;

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

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

standards prescribed under this subsection in establishing, maintaining,

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

and

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

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

State or Indian tribe shall consider--

(i) population densities;

(ii) the types of highways;

(iii) the types and amounts of hazardous material;

(iv) emergency response capabilities;

(v) the results of consulting with affected persons;

(vi) exposure and other risk factors;

(vii) terrain considerations;

(viii) the continuity of routes;

(ix) alternative routes;

(x) the effects on commerce;

(xi) delays in transportation; and

(xii) other factors the Secretary considers appropriate.

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

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

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

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

Secretary shall update and publish periodically a list of currently

effective hazardous material highway route designations.

(d) Dispute resolution.

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

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

highway route designation, limitation, or requirement between or among

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

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

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

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

The resolution shall provide the greatest level of highway safety without

being an unreasonable burden on commerce and shall ensure compliance

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

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

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

after the earlier of--

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

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

Secretary receives the petition.

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

Secretary under this subsection may bring a civil action for judicial

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

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

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

under this section do not affect sections 3 1111 and 31113 of this title [49

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

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

required to amend or again prescribe regulations related to highway

routing designations over which radioactive material may and may not be

transported by motor vehicles, and limitations and requirements related

to the routing, that were in effect on November 16, 1990.'3

49 USC 5113. Sec. 5113. Unsatisfactory Safety Rating

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

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

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

5123 and 5124].14

49 USC 5114. Sec. 5114. Air Transportation Of Ionizing Radiation Material

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

ionizing radiation spontaneously may be transported on a passengercarrying aircraft in air commerce (as defined in section 40102(a) of this

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

or medical diagnosis or treatment and does not present an unreasonably

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

transportation.

(b) PROCEDURES.-The Secretary' 5 shall prescribe procedures for

monitoring and enforcing regulations prescribed under this section.

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

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

safety when transported because of its low order of radioactivity.

'"As amended by P.L. 109-59, Title VII, Subtitle A, § 7126, 119 Stat. 1909 (2005). "As amended June 9, 1998, by P.L. 105-178, Title IV, § 4009(b), 112 Stat. 407; P.L. 109-59, Title VII,

Subtitle A, § 7112(a), 119 Stat. 1899 (2005). "

5As amended by P.L. 109-59, Title VII, Subtitle A, § 7126, 119 Stat. 1909 (2005).
Haz. Mat. Trans. Uniform Safetv Act (P.L. 10 1 -615) 551

49 USC 5115. Sec. 5115. Training Curriculum For The Public Sector

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

the Federal Emergency Management Agency, the Chairman of the

Nuclear Regulatory Commission, the Administrator of the Environmental

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

Human Services, and the Director of the National Institute of

Environmental Health Sciences, and using existing coordinating

mechanisms of the National Response Team and, for radioactive

material, the Federal Radiological Preparedness Coordinating

Committee, the Secretary of Transportation shall maintain, and update

periodically, a current curriculum of courses necessary to train public

sector emergency response and preparedness teams in matters relating to

the transportation of hazardous material. Only in developing the

curriculum, the Secretary of Transportation shall consult with regional

response teams established under the national contingency plan

established under section 105 of the Comprehensive Environmental

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

representatives of commissions established under section 301 of the

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

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

training for responding to accidents and incidents involving the

transportation of hazardous material, and representatives of persons that

respond to those accidents and incidents.

(b) REQUIREMENTS. The curriculum maintained and updated under

subsection (a) of this section--

(]) shall include-

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

to respond to an accident or incident involving the transportation of

hazardous material and to plan for those responses;

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

instruction necessary for public sector employees to be able to respond

safely and efficiently to an accident or incident involving the

transportation of hazardous material and to plan those responses; and

(C) appropriate emergency response training and planning programs

for public sector employees developed with Federal financial assistance,

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

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

9660a); and

(2) may include recommendations on material appropriate for use in a recommended basic course described in clause (I)(B) of this subsection.

(c) TRAINING ON COMPLYING WITH LEGAL REQUIREMENTS.

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

section shall provide the training necessary for public sector employees

to comply with-

(1) regulations related to hazardous waste operations and emergency

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

prescribed by the Secretary of Labor;

(2) regulations related to worker protection standards for hazardous

waste operations contained in part 3 11 of title 40, Code of Federal

Regulations, prescribed by the Administrator; and

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

National Fire Protection Association and such other voluntary consensus

standard-setting organizations as the Secretary of Transportation

determines appropriate.
552 Haz. Mat. Trans. Uniform Safety Act (P.L. 101-615)

(d) DISTRIBUTION AND PUBLICATION. With the National

Response Team-

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

curriculum to the regional response teams and all committees and

commissions established under section 301 of the Emergency Planning

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

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

courses maintained and updated under this section and of any programs

utilizing such courses.' 6

49 USC 5116. See. 5116. Planning And Training Grants, Monitoring, And Review

(a) Planning grants.

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

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

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

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

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

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

of another State or Indian tribe; and

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

emergency response team.

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

paragraph (I)of this subsection in a fiscal year only if--

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

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

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

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

expenditure for the last 5 fiscal years; and

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

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

year to local emergency planning committees established under section

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

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

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

ensure that planning under the grant is coordinated with emergency

planning conducted by adjacent States and Indian tribes.

(b) Training grants.

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

public sector employees to respond to accidents and incidents involving

hazardous material.

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

subsection in a fiscal year--

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

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

Government) to train public sector employees to respond to an accident or incident involving hazardous material will at least equal the average

level of expenditure for the last 5 fiscal years;

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

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

year, for training public sector employees to respond to an accident or incident involving hazardous material--

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

[49 USCS § 5115]; or

16As amended by P.1.. 103-429, § 6(5), 108 Stat. 4378 (1994) (as amended P.L. 109-59, Title VII, Subtitle A,

§§ 7113.7126, 119 Stat. 1899, 1909 (2005)).
Haz. Mat. Trans. Uniform Safety Act (P.L. 101-615) 553

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

objectives of this section; and

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

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

in the fiscal year for training public sector employees a political

subdivision of the State employs or uses.

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

(A) to pay--

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

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

facility;

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

facility; and

(iv) travel expenses of individuals providing the training;

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

training; and

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

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

State or Indian tribe) to provide the training--

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

conduct random examinations, inspections, and audits of the training

without prior notice; and

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

the training each year.

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

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

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

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

consider--

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

under the jurisdiction of the tribe;.

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

State or on that land;

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

transporting hazardous material;

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

transporting hazardous material; and

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

this subsection.

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

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

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

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

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

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

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

Secretary requires by regulation to carry out the objectives of this

section.

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

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

carry out the activity for which the grant is made. Amounts of the State or tribe under subsections (a)(2)(A) and (b)(2)(A) of this section are not

part of the non-Government share under this subsection.

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

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

Environmental Protection Agency, and Director of the National Institute

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

Federal Emergency Management Agency shall monitor public sector

emergency response planning and training for an accident or incident

involving hazardous material. Considering the results of the monitoring,

the Secretaries, Administrator, and Directors each shall provide technical

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

carrying out emergency response training and planning for an accident or

incident involving hazardous material and shall coordinate the assistance

using the existing coordinating mechanisms of the National Response

Team and, for radioactive material, the Federal Radiological

Preparedness Coordinating Committee.

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

coordinate Federal financial assistance for emergency response training

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

Emergency Management Agency and National Institute of

Environmental Health Sciences [Administrator of the Federal Emergency

Management Agency, Director of the National Institute of Environmental

Health Sciences], Chairman of the Nuclear Regulatory Commission,

Administrator of the Environmental Protection Agency, and Secretaries

of Labor and Energy any of the following:

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

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

section.

(3) authority to review applications to recommend approval or

disapproval.

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

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

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

Management Agency and National Institute of Environmental Health

Sciences [Administrator of the Federal Emergency Management Agency,

Director of the National Institute of Environmental Health Sciences],

Chairman of the Nuclear Regulatory Commission, and Administrator of

the Environmental Protection Agency shall review periodically, with the

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

all emergency response and preparedness training programs of that

department, agency, or instrumentality to minimize duplication of effort

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

the programs and shall take necessary action to minimize duplication.

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

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

"Hazardous Materials Emergency Preparedness Fund") into which the

Secretary of the Treasury shall deposit amounts the Secretary of

Transportation transfers to the Secretary of the Treasury under section

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

appropriation, amounts in the account are available--

(I) to make grants under this section;

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

this section;

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

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

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

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

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

(j) Supplemental training grants.
Haz. Mat. Trans. Uniform Safety Act (P.L. 101-615) 555

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

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

nonprofit employee organizations engaged solely in fighting fires for the

purpose of training instructors to conduct hazardous materials response

training programs for individuals with statutory responsibility to respond

to hazardous materials accidents and incidents.

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

with interested organizations, shall--

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

organizations which provide emergency response to hazardous materials

transportation accidents and incidents are in need of hazardous materials

training; and

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

additional specific training needs.

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

used--

(A) to train instructors to conduct hazardous materials response

training programs;

(B) to purchase training equipment used exclusively to train

instructors to conduct such training programs; and

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

for the conduct of such training programs.

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

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

with the Secretary to train instructors to conduct hazardous materials

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

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

this title [49 USCS § 5115]; or

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

the objectives of this subsection;

for training individuals with statutory responsibility to respond to

accidents and incidents involving hazardous materials. Such agreement

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

individuals on a nondiscriminatory basis.

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

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

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

objectives of this subsection.

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

Transportation and Infrastructure of the House of Representatives and the

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

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

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

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

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

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

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

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

carried out. 17

"As amended P.L. 103-311, Title 1, §§ 105, 119(a), (d)(2). (3), 108 Stat. 1673, 1679, 1680 (1994); P.L. 103-

429, § 7(c), 108 Stat. 4389 (1994); P.L. 104-287, §§ 5(8), 6(b), 110 Stat. 3389, 3398 (1996); P.L. 109-59, Title

VII, Subtitle A, §§ 7114(a)-(d)(2), (e), 7126, 119 Stat. 1900, 1909 (2005).
556 Haz. Mat. Trans. Uniform Safety Act (P.L. 101-615)

49 USC 5117. Sec. 5117. Special Permits And Exclusions

(a) Authority to issue special permits.

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

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

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

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

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

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

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

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

USCS §§ 5101 et seq.]; or

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

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

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

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

Secretary upon application for successive periods of not more than 4

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

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

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

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

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

Secretary shall publish in the Federal Register notice that an application

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

opportunity to inspect the safety analysis and comment on the

application. This subsection does not require the release of information

protected by law from public disclosure.

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

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

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

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

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

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

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

(d) Exclusions.

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

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

USCS §§ 5101 et seq.]--

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

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

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

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

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

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

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

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

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

use; or

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

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

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

is the only way a person subject to this chapter [49 USCS §§ 5101 et
Haz. Mat. Trans. Uniform Safetv Act (P.L. 10 1 -615) 557

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

seq.].18

49 USC 5118. See. 5118. Inspectors IRepealed]' 9

49 USC 5119. Sec. 5119. Uniform Forms And Procedures

(a) ESTABLISHMENT OF WORKING GROUP. The Secretary shall

establish a working group of State and local government officials,

including representatives of the National Governors' Association, the

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

United States Conference of Mayors, the National Conference of State

Legislatures, and the Alliance for Uniform Hazmat Transportation

Procedures.

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

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

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

transported, hazardous material by motor vehicle in the State.

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

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

collect.

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

working group to employ in developing recommendations for the

Secretary to harmonize existing State registration and permit laws and

regulations relating to the transportation of hazardous materials, with

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

in maintaining strong hazmat safety standards.

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

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

working group shall transmit to the Secretary a report containing

recommendations for establishing uniform forms and procedures

described in subsection (b).

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

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

regulations to carry out such recommendations of the working group as

the Secretary considers appropriate. In developing such regulations, the

Secretary shall consider the State needs associated with the transition to

and implementation of a uniform forms and procedures program.

(g) LIMITATION ON STATUTORY CONSTRUCTION. Nothing in

this section shall be construed as prohibiting a State from voluntarily

participating in a program of uniform forms and procedures until such

time as the Secretary issues regulations under subsection (0).20

49 USC 5120. See. 5120. International Uniformity Of Standards And

Requirements

(a) PARTICIPATION IN INTERNATIONAL FORUMS. Subject to

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

Transportation shall participate in international forums that establish or

recommend mandatory standards and requirements for transporting

hazardous material in international commerce.

(b) CONSULTATION. The Secretary may consult with interested

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

Secretary prescribes under sections 5 103(b), 5104, 5110, and 5112 of this

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

"As amended P.L. 103-311, Title J, § 120(a), 108 Stat. 1680 (1994); P.L. 109-59, Title VII, Subtitle A.

'R7115(a)(1), (b)-(g), 7126, 119 Stat. 1901, 1909 (2005). Repealed by P.L. 109-59, Title VI, Subtitle A, § 7115(h), 119 Stat. 1901 (2005).

2"As emended P.L. 104-287,§ 5(9), 110 Stat. 3389 (1996); P.L. 109-59, Title VII, Subtitle A, § 7116.

119 Stat. 1901 (2005).
558 Haz. Mat. Trans. Uniform Safety Act (P.L. 101-615)

standards and requirements related to transporting hazardous material

that international authorities adopt.

(c) DIFFERENCES WITH INTERNATIONAL STANDARDS AND

REQUIREMENTS. This section-

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

requirement identical to a standard or requirement adopted by an

international authority if the Secretary decides the standard or

requirement is unnecessary or unsafe; and

(2) does not prohibit the Secretary from prescribing a safety standard or requirement more stringent than a standard or requirement adopted by an

international authority if the Secretary decides the standard or

requirement is necessary in the public interest.2 '

49 USC 5121. Sec. 5121. Administrative

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

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

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

property, take depositions, and conduct research, development,

demonstration, and training activities. Except as provided in subsections

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

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

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

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

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

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

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

information the Secretary by regulation or order requires; and

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

inspection when the Secretary undertakes an investigation or makes a

request.

(c) INSPECTIONS AND INVESTIGATIONS.

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

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

reasonable manner, records and property relating to a function described

in section 5103(b)(I) [49 USCS § 5103(b)(I)J;

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

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

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

agent has an objectively reasonable and articulable belief that the

package may contain a hazardous material;

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

a shipment offered for or in transportation for which-

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

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

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

such belief in accordance with procedures set forth in guidance or

regulations prescribed under subsection (e);

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

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

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

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

Secretary, may order the offeror, carrier, packaging manufacturer or tester, or other person responsible for the package to have the package

2

"As amended PL. 109-59, Title VII, Subtitle A, §§ 7117, 7126, 119 Stat. 1902, 1909 (2005).
Haz. Mat. Trans. Uniform Safety Act (P.L. 101-615) 559

transported to, opened, and the contents examined and analyzed, at a

facility appropriate for the conduct of such examination and analysis; and

(F) when safety might otherwise be compromised, may authorize

properly qualified personnel to assist in the activities conducted under

this subsection.

(2) Display of credentials. An officer, employee, or agent acting under

this subsection shall display proper credentials when requested.

(3) Safe resumption of transportation. In instances when, as a result of

an inspection or investigation under this subsection, an imminent hazard

is not found to exist, the Secretary, in accordance with procedures set

forth in regulations prescribed under subsection (e), shall assist-

(A) in the safe and prompt resumption of transportation of the

package concerned; or

(B) in any case in which the hazardous material being transported is

perishable, in the safe and expeditious resumption of transportation of the

perishable hazardous material.

(d) EMERGENCY ORDERS.

(1) In general. If, upon inspection, investigation, testing, or research,

the Secretary determines that a violation of a provision of this chapter [49

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

USCS §§ 5101 et seq.], or an unsafe condition or practice, constitutes or

is causing an imminent hazard, the Secretary may issue or impose

emergency restrictions, prohibitions, recalls, or out-of-service orders,

without notice or an opportunity for a hearing, but only to the extent

necessary to abate the imminent hazard.

(2) Written orders. The action of the Secretary under paragraph (I)

shall be in a written emergency order that-

(A) describes the violation, condition, or practice that constitutes or is

causing the imminent hazard;

(B) states the restrictions, prohibitions, recalls, or out-of-service.

orders issued or imposed; and

(C) describes the standards and procedures for obtaining relief from

the order.

(3) Opportunity for review. After taking action under paragraph (1), the

Secretary shall provide for review of the action under section 554 of title

5 [5 USCS § 554] if a petition for review is filed within 20 calendar days

of the date of issuance of the order for the action.

(4) Expiration of effectiveness of order. If a petition for review of an

action is filed under paragraph (3) and the review under that paragraph is

not completed by the end of the 30-day period beginning on the date the

petition is filed, the action shall cease to be effective at the end of such

period unless the Secretary determines, in writing, that the imminent

hazard providing a basis for the action continues to exist.

(5) Out-of-service order defined. In this subsection, the term "out-ofservice order" means a requirement that an aircraft, vessel, motor vehicle,

train, railcar, locomotive, other vehicle, transport unit, transport vehicle,

freight container, potable tank, or other package not be moved until

specified conditions have been met.

(e) REGULATIONS.

(1) Temporary regulations. Not later than 60 days after the date of

enactment of the Hazardous Materials Transportation Safety and Security

Reauthorization Act of 2005 [enacted Aug. 10, 2005], the Secretary shall

issue temporary regulations to carry out subsections (c) and (d). The

temporary regulations shall expire on the date of issuance of the

regulations under paragraph (2).
560 Haz. Mat. Trans. Uniform Safety Act (P.L. 101-615)

(2) Final regulations. Not later than 1 year after such date of enactment,

the Secretary shall issue regulations to carry out subsections (c) and (d)

in accordance with subchapter I1 of chapter 5 of title 5 [5 USCS §§ 551 et

seq.].

(f) FACILITY, STAFF, AND REPORTING SYSTEM ON RISKS,

EMERGENCIES, AND ACTIONS.

(1) The Secretary shall-

(A) maintain a facility and technical staff sufficient to provide, within

the United States Government, the capability of evaluating a risk related

to the transportation of hazardous material and material alleged to be

hazardous;

(B) maintain a central reporting system and information center

capable of providing information and advice to law enforcement and

firefighting personnel, other interested individuals, and officers and

employees of the Government and State and local governments on

meeting an emergency related to the transportation of hazardous material;

and

(C) conduct a continuous review on all aspects of transporting

hazardous material to decide on and take appropriate actions to ensure

safe transportation of hazardous material.

(2) Paragraph (I) of this subsection does not prevent the Secretary from

making a contract with a private entity for use of a supplemental reporting system and information center operated and maintained by the

contractor.

(g) GRANTS AND COOPERATIVE AGREEMENTS. The Secretary

may enter into grants and cooperative agreements with a person, agency,

or instrumentality of the United States, a unit of State or local

government, an Indian tribe, a foreign government (in coordination with

the Department of State), an educational institution, or other appropriate

entity--

(I) to expand risk assessment and emergency response capabilities with

respect to the security of transportation of hazardous material;

(2) to enhance emergency communications capacity as determined

necessary by the Secretary, including the use of integrated, interoperable

emergency communications technologies where appropriate;

(3) to conduct research, development, demonstration, risk assessment,

and emergency response planning and training activities; or

(4) to otherwise carry out this chapter [49 USCS §§ 5101 et seq.].

(h) REPORT. The Secretary shall, once every 2 years, prepare and

transmit to the Committee on Transportation and Infrastructure of the

House of Representatives and the Committee on Commerce, Science, and

Transportation of the Senate a comprehensive report on the transportation

of hazardous materials during the preceding 2 calendar years. The report

shall include-

(I) a statistical compilation of accidents and casualties related to the

transportation of hazardous material;

(2) a list and summary of applicable Government regulations, criteria,

orders, and special permits;

(3) a summary of the basis for each special permit;

(4) an evaluation of the effectiveness of enforcement activities relating

to a function regulated by the Secretary under section 5103(b)(1) [49

USCS § 5103(b)(1)] and the degree of voluntary compliance with

regulations;

(5) a summary of outstanding problems in carrying out this chapter [49

USCS §§ 5101 et seq.] in order of priority; and
Haz. Mat. Trans. Uniform Safety Act (P.L. 101-615) 561

(6) recommendations for appropriate legislation.2

49 USC 5122. Sec. 5122. Enforcement

(a) GENERAL. At the request of the Secretary, the Attorney General

may bring a civil action in an appropriate district court of the United

States to enforce this chapter [49 USCS §§ 5101 et seq.] or a regulation

prescribed or order, special permit, or approval issued under this chapter

[49 USCS §§ 5101 et seq.]. The court may award appropriate relief,

including a temporary or permanent injunction, punitive damages, and

assessment of civil penalties considering the same penalty amounts and

factors as prescribed for the Secretary in an administrative case under

section 5123 [49 USCS § 5123].

(b) IMMINENT HAZARDS.

(I) If the Secretary has reason to believe that an imminent hazard

exists, the Secretary may bring a civil action in an appropriate district

court of the United States-

(A) to suspend or restrict the transportation of the hazardous material

responsible for the hazard; or

(B) to eliminate or mitigate the hazard.

(2) On request of the Secretary, the Attorney General shall bring an

action under paragraph (1) of this subsection.

(c) WITHHOLDING OF CLEARANCE.

(1) If any owner, operator, or individual in charge of a vessel is liable

for a civil penalty under section 5123 of this title 149 USCS § 5123] or

for a fine under section 5124 of this title [49 USCS § 5124], or if

reasonable cause exists to believe that such owner, operator, or individual

in charge may be subject to such a civil penalty or fine, the Secretary of

Homeland Security, upon the request of the Secretary, shall with respect

to such vessel refuse or revoke any clearance required by section 60105

of title 46.

(2) Clearance refused or revoked under this subsection may be granted

upon the filing of a bond or other surety satisfactory to the Secretary.

49 USC 5123. Sec. 5123. Civil Penalty

(a) PENALTY.

(1) A person that knowingly violates this chapter [49 USCS §§ 5101 et

seq.] or a regulation, order, special permit, or approval issued under this

chapter [49 USCS §§ 5101 et seq.] is liable to the United States

Government for a civil penalty of at least $ 250 but not more than $

50,000 for each violation. A person acts knowingly when-

(A) the person has actual knowledge of the facts giving rise to the

violation; or

(B) a reasonable person acting in the circumstances and exercising

reasonable care would have that knowledge.

(2) If the Secretary finds that a violation under paragraph (I) results in

death, serious illness, or severe injury to any person or substantial

destruction of property, the Secretary may increase the amount of the

civil penalty for such violation to not more than $ 100,000.

(3) If the violation is related to training, paragraph (I) shall be applied

by substituting 1$ 450" for "$ 250".

2

'As amended P.L. 103-311. Title 1, §§ 108, 117(a)(2), 108 Slat. 1674, 1678 (1994); P.L. 109-59, Title VII,

Subtitle A, §§ 7118, 7126, 119 Stat. 1902, 1909 (2005); Pt.. 110-244, Title III, § 302(e), 122 Stat. 1618

ý2008).

'As amended P.L. 104-324, Title IM, § 312(a), 110 Stat. 3920 (1996); P.L. 109-59, Title VII, Subtitle A,

§§ 7119, 7126, 119 Stat. 1905, 1909 (2005); P.L. 109-304, § 17(h)(1), 120 Stat. 1709 (2006).
562 Haz. Mat. Trans. Uniform Safety Act (P.L. 101-615)

(4) A separate violation occurs for each day the violation, committed

by a person that transports or causes to be transported hazardous

material, continues.

(b) HEARING REQUIREMENT. The Secretary may find that a person

has violated this chapter [49 USCS §§ 5101 et seq.] or a regulation

prescribed or order, special permit, or approval issued under this chapter

[49 USCS §§ 5101 et seq.] only after notice and an opportunity for a

hearing. The Secretary shall impose a penalty under this section by

giving the person written notice of the amount of the penalty.

(c) PENALTY CONSIDERATIONS. In determining the amount of a

civil penalty under this section, the Secretary shall consider-

(I) the nature, circumstances, extent, and gravity of the violation;

(2) with respect to the violator, the degree of culpability, any history of

prior violations, the ability to pay, and any effect on the ability to

continue to do business; and

(3) other matters that justice requires.

(d) CIVIL ACTIONS TO COLLECT. The Attorney General may bring a

civil action in an appropriate district court of the United States to collect

a civil penalty under this section and any accrued interest on the civil

penalty as calculated in accordance with section 1005 of the Oil Pollution

Act of 1990 (33 U.S.C. 2705). In the civil action, the amount and

appropriateness of the civil penalty shall not be subject to review.

(e) COMPROMISE. The Secretary may compromise the amount of a

civil penalty imposed under this section before referral to the Attorney

General.

(f) SETOFF. The Government may deduct the amount of a civil penalty

imposed or compromised under this section from amounts it owes the

person liable for the penalty.

(g) DEPOSITING AMOUNTS COLLECTED. Amounts collected under

this section shall be deposited in the Treasury as miscellaneous receipts.2 1

49 USC 5124. Sec. 5124. Criminal Penalty

(a) IN GENERAL. A person knowingly violating section 5104(b) [49

USCS § 5104(b)] or willfully or recklessly violating this chapter [49

USCS §§ 5101 et seq.] or a regulation, order, special permit, or approval

issued under this chapter [49 USCS §§ 5101 et seq.] shall be fined under

title 18, imprisoned for not more than 5 years, or both; except that the

maximum amount of imprisonment shall be 10 years in any case in

which the violation involves the release of a hazardous material that

results in death or bodily injury to any person.

(b) KNOWING VIOLATIONS. For purposes of this section-

(1) a person acts knowingly when-

(A) the person has actual knowledge of the facts giving rise to the

violation; or (B) a reasonable person acting in the circumstances and exercising

reasonable care would have that knowledge; and

(2) knowledge of the existence of a statutory provision, or a regulation

or a requirement required by the Secretary, is not an element of an

offense under this section.

(c) WILLFUL VIOLATIONS. For purposes of this section, a person acts

willfully when-

(1) the person has knowledge of the facts giving rise to the violation;

and

(2) the person has knowledge that the conduct was unlawful.

24

As amended P.L. 109-59, Title VII, Subtitle A, §§ 7120(a)-(c), 7126, 119 Stat. 1905, 1909 (2005).
Haz. Mat. Trans. Uniform Safety Act (P.L. 10 1 -615) 563

(d) RECKLESS VIOLATIONS. For purposes of this section, a person

acts recklessly when the person displays a deliberate indifference or

conscious disregard to the consequences of that person's conduct. 25

49 USC 5125. See. 5125. Preemption

(a) GENERAL. Except as provided in subsections (b), (c), and (e) of this

section and unless authorized by another law of the United States, a requirement of a State, political subdivision of a State, or Indian tribe is

preempted if--

(]) complying with a requirement of the State, political subdivision, or

tribe and a requirement of this chapter [49 USCS §§ 5101 et seq.], a regulation prescribed under this chapter [49 USCS §§ 5101 et seq.], or a

hazardous materials transportation security regulation or directive- issued

by the Secretary of Homeland Security is not possible; or

(2) the requirement of the State, political subdivision, or tribe, as

applied or enforced, is an obstacle to accomplishing and carrying out this

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

chapter [49 USCS §§ 5101 et seq.], or a hazardous materials

transportation security regulation or directive issued by the Secretary of

Homeland Security.

(b) SUBSTANTIVE DIFFERENCES.

(I) Except as provided in subsection (c) of this section and unless

authorized by another law of the United States, a law, regulation, order,

or other requirement of a State, political subdivision of a State, or Indian

tribe about any of the following subjects, that is not substantively the

same as a provision of this chapter [49 USCS §§ 5101 et seq.], a regulation prescribed under this chapter [49 USCS 8§ 5101 et seq.], or a

hazardous materials transportation security regulation or directive issued

by the Secretary of Homeland Security, is preempted:

(A) the designation, description, and classification of hazardous

material.

(B) the packing, repacking, handling, labeling, marking, and

placarding of hazardous material.

(C) the preparation, execution, and use of shipping documents related

to hazardous material and requirements related to the number, contents,

and placement of those documents.

(D) the written notification, recording, and reporting of the

unintentional release in transportation of hazardous material.

(E) the designing, manufacturing, fabricating, inspecting, marking,

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

packaging component that is represented, marked, certified, or sold as

qualified for use in transporting hazardous material in commerce. (2) If the Secretary prescribes or has prescribed under section 5103(b),

5104, 5110, or 5112 of this title [49 USCS § 5103(b), 5104, 5110, or

5112] or prior comparable provision of law a regulation or standard

related to a subject referred to in paragraph (I) of this subsection, a State,

political subdivision of a State, or Indian tribe may prescribe, issue,

maintain, and enforce only a law, regulation, standard, or order about the

subject that is substantively the same as a provision of this chapter [49

USCS §§ 5101 et seq.] or a regulation prescribed or order issued under

this chapter [49 USCS §§ 5101 et seq.]. The Secretary shall decide on and publish in the Federal Register the effective date of section 5103(b)

of this title [49 USCS § 5 103(b)] for any regulation or standard about any

of those subjects that the Secretary prescribes. The effective date may not

25

As amended by P.L. 109-59, Title VII, Subtitle A, § 7121, 119 Stat. 1906 (2005).
564 Haz. Mat. Trans. Uniform Safety Act (P.L. 1 01-615)

be earlier than 90 days after the Secretary prescribes the regulation or

standard nor later than the last day of the 2-year period beginning on the

date the Secretary prescribes the regulation or standard.

(3) If a State, political subdivision of a State, or Indian tribe imposes a

fine or penalty the Secretary decides is appropriate for a violation related

to a subject referred to in paragraph (I) of this subsection, an additional

fine or penalty may not be imposed by any other authority.

(c) COMPLIANCE WITH SECTION 5112(B) REGULATIONS.

(I) Except as provided in paragraph (2) of this subsection, after the last

day of the 2-year period beginning on the date a regulation is prescribed

under section 5112(b) of this title [49 USCS § 5112(b)], a State or Indian

tribe may establish, maintain, or enforce a highway routing designation

over which hazardous material may or may not be transported by motor

vehicles, or a limitation or requirement related to highway routing, only

if the designation, limitation, or requirement complies with section

5112(b) [49 USCS § 5112(b)].

(2) (A) A highway routing designation, limitation, or requirement

established before the date a regulation is prescribed under section

5112(b) of this title [49 USCS § 5112(b)] does not have to comply with

section 5112(b)(l)(B), (C), and (F) [49 USCS § 5112(b)(l)(B), (C) and

(F)].

(B) This subsection and section 5112 of this title [49 USCS § 5112]

do not require a State or Indian tribe to comply with section 5 112(b)(l)(1)

[49 USCS § 5112(b)(l)(1)] if the highway routing designation, limitation,

or requirement was established before November 16, 1990.

(C) The Secretary may allow a highway routing designation,

limitation, or requirement to continue in effect until a dispute related to

the designation, limitation, or requirement is resolved under section

5112(d) of this title [49 USCS § 5112(d)].

(d) DECISIONS ON PREEMPTION.

(1) A person (including a State, political subdivision of a State, or

Indian tribe) directly affected by a requirement of a State, political

subdivision, or tribe may apply to the Secretary, as provided by

regulations prescribed by the Secretary, for a decision on whether the

requirement is preempted by subsection (a), (b)(I), or (c) of this section

or section 5119(f) [49 USCS § 5119(f)]. The Secretary shall publish

notice of the application in the Federal Register. The Secretary shall issue

a decision on an application for a determination within 180 days after the

date of the publication of the notice of having received such application,

or the Secretary shall publish a statement in the Federal Register of the

reason why the Secretary's decision on the application is delayed, along

with an estimate of the additional time necessary before the decision is

made. After notice is published, an applicant may not seek judicial relief

on the same or substantially the same issue until the Secretary takes final

action on the application or until 180 days after the application is filed,

whichever occurs first.

(2) After consulting with States, political subdivisions of States, and

Indian tribes, the Secretary shall prescribe regulations for carrying out

paragraph (I) of this subsection.

(3) Subsection (a) of this section does not prevent a State, political

subdivision of a State, or Indian tribe, or another person directly affected

by a requirement, from seeking a decision on preemption from a court of

competent jurisdiction instead of applying to the Secretary under

paragraph (I) of this subsection.
Haz. Mat. Trans. Uniform Safety Act (P.L. 10 1-615) 565

(e) WAIVER OF PREEMPTION. A State, political subdivision of a

State, or Indian tribe may apply to the Secretary for a waiver of

preemption of a requirement the State, political subdivision, or tribe

acknowledges is preempted by subsection (a), (b)(l), or (c) of this section

or section 5119(f). Under a procedure the Secretary prescribes by

regulation, the Secretary may waive preemption on deciding the

requirement--

(1) provides the public at least as much protection as do requirements

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

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

(2) is not an unreasonable burden on commerce.

(f) FEES.

(I) A State, political subdivision of a State, or Indian tribe may impose

a fee related to transporting hazardous material only if the fee is fair and

used for a purpose related to transporting hazardous material, including

enforcement and planning, developing, and maintaining a capability for

emergency response.

(2) A State or political subdivision thereof or Indian tribe that levies a

fee in connection with the transportation of hazardous materials shall,

upon the Secretary's request, report to the Secretary on-

(A) the basis on which the fee is levied upon persons involved in such

transportation;

(B) the purposes for which the revenues from the fee are used;

(C) the annual total amount of the revenues collected from the fee;

and

(D) such other matters as the Secretary requests.

(g) APPLICATION OF EACH PREEMPTION STANDARD. Each

standard for preemption in subsection (a), (b)(I), or (c), and in section

5119(f) [49 USCS § 5119(f)], is independent in its application to a

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

(h) NON-FEDERAL ENFORCEMENT STANDARDS. This section

does not apply to any procedure, penalty, required mental state, or other

standard utilized by a State, political subdivision of a State, or Indian

tribe to enforce a requirement applicable to the transportation of

hazardous material.26

49 USC 5126. Sec. 5126. Relationship To Other Laws

(a) CONTRACTS. A person under contract with a department, agency,

or instrumentality of the United States Government that transports

hazardous material, or causes hazardous material to be transported, or

designs, manufactures, fabricates, inspects, marks, maintains,

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

component that is represented as qualified for use in transporting

hazardous material shall comply with this chapter [49 USCS §§ 5101 et

seq.], regulations prescribed and orders issued under this chapter [49

USCS §§ 5101 et seq.], and all other requirements of the Government,

State and local governments, and Indian tribes (except a requirement

preempted by a law of the United States) in the same way and to the

same extent that any person engaging in that transportation, designing,

manufacturing, fabricating, inspecting, marking, maintaining,

reconditioning, repairing, or testing that is in or affects commerce must

comply with the provision, regulation, order, or requirement.

2

"As amended by P.L. 103-311, Title I, §§ 107, 117(a)(2), 120(b), 108 Stat. 1674, 1678, 1681 (1994);

P.L. 103-429. § 6(6), 108 Slat. 4378 (1994); P.L. 107-296, Title XVII, § 171 l(b), 116 Stat. 2320 (2002);

P.L. 109-59, Title VII, Subtitle A, §§ 7122, 7123(a), 7126, 119 Stat. 1907, 1909 (2005); P.L. 110-244,

Title I11, § 302(c), 122 Stat. 1618 (2008).
566 Haz. Mat. Trans. Uniform Safety Act (P.L. 101-615)

(b) NONAPPLICATION. This chapter [49 USCS §§ 5101 et seq.] does

not apply to--

(I) a pipeline subject to regulation under chapter 601 of this title [49

USCS §§ 60101 et seq.]; or (2) any matter that is subject to the postal laws and regulations of the

United States under this chapter [49 USCS §§ 5101 et seq.] or title 18 or

39.27

49 USC 5127. Sec. 5127. Judicial Review

(a) FILING AND VENUE. Except as provided in section 20114(c) [49

USCS § 20114(c)], a person adversely affected or aggrieved by a final

action of the Secretary under this chapter may petition for review of the

final action in the United States Court of Appeals for the District of

Columbia or in the court of appeals for the United States for the circuit in

which the person resides or has its principal place of business. The

petition must be filed not more than 60 days after the Secretary's action

becomes final.

(b) JUDICIAL PROCEDURES. When a petition is filed under

subsection (a), the clerk of the court immediately shall send a copy of the

petition to the Secretary. The Secretary shall file with the court a record

of any proceeding in which the final action was issued, as provided in

section 2112 of title 28 [28 USCS § 2112].

(c) AUTHORITY OF COURT. The court has exclusive jurisdiction, as

provided in subchapter 11 of chapter 5 of title 5 [5 USCS §§ 551 et seq.],

to affirm or set aside any part of the Secretary's final action and may

order the Secretary to conduct further proceedings.

(d) REQUIREMENT FOR PRIOR OBJECTION. In reviewing a final

action under this section, the court may consider an objection to a final

action of the Secretary only if the objection was made in the course of a

proceeding or review conducted by the Secretary or if there was a reasonable ground for not making the objection in the proceeding.28

49 USC 5128. Sec. 5128. Authorization Of Appropriations

(a) IN GENERAL. In order to carry out this chapter [49 USCS. §§ 5101

et seq.] (except sections 5107(e), 5108(g)(2), 5113, 5115, 5116, and 5119

[49 USCS §§ 5107(e), 5108(g)(2), 5113, 5115, 5116, and 5119]), the

following amounts are authorized to be appropriated to the Secretary:

(1) For fiscal year 2005, $ 24,940,000.

(2) For fiscal year 2006, $ 29,000,000.

(3) For fiscal year 2007, $ 30,000,000.

(4) For fiscal year 2008, $ 30,000,000.

(b) HAZARDOUS MATERIALS EMERGENCY PREPAREDNESS

FUND. There shall be available to the Secretary, from the account

established pursuant to section 5116(i) [49 USCS § 5116(i)], for each of

fiscal years 2005 through 2008 the following:

(1) To carry out section 5115 [49 USCS § 5115], $ 200,000.

(2) To carry out sections 5116(a) and (b) [49 USCS § 5116(a) and (b)],

$21,800,000 to be allocated as follows:

(A) $ 5,000,000 to carry out section 5116(a) [49 USCS § 5116(a)].

(B) $ 7,800,000 to carry out section 5116(b) [49 USCS § 5116(b)].

(C) Of the amount provided for by this paragraph for a fiscal year in excess of the suballocations in subparagraphs (A) and (B)--

(i) 35 percent shall be used to carry out section 5116(a) [49 USCS §

5116(a)]; and

"As amended by P.L. 103-311, Title 1, § 117(a)(2), 108 Stat. 1678 (1994): P.L. 109-59, Title VII, Subtitle A.

J7124, 119 Stat. 1908 (2005); P.L. 110-244, Title III, § 302(d), 122 Stat. 1618 (2008).

Added PL. 109-59, Title VII, Subtitle A, § 7123(b), 119 Stat. 1907 (2005).
Haz. Mat. Trans. Uniform Safety Act (P.L. 101-615) 567

(ii) 65 percent shall be used to carry out section 5116(b) [49 USCS

§ 5116(b)],

except that the Secretary may increase the proportion to carry out

section 5116(b) [49 USCS § 5116(b)] and decrease the proportion to

carry out section 5116(a) [49 USCS § 5116(a)] if the Secretary

determines that such reallocation is appropriate to carry out the intended

uses of these funds as described in the applications submitted by States

and Indian tribes.

(3) To carry out section 5116(1) [49 USCS § 5116(f)], $ 150,000.

(4) To publish and distribute the Emergency Response Guidebook

under section 5 116(i)(3) [49 USCS § 5116(i)(3)], $ 625,000.

(5) To carry out section 5116(j) [49 USCS § 5 1160)], $ 1,000,000.

(c) HAZMAT TRAINING GRANTS. There shall be available to the

Secretary, from the account established pursuant to section 5116(i) (49

USCS § 5116(i)], to carry out section 5107(e) [49 USCS § 5107(e)] $

4,000,000 for each of fiscal years 2005 through 2008.

(d) ISSUANCE OF HAZMAT LICENSES. There are authorized to be

appropriated for the Department of Transportation such amounts as may

be necessary to carry out section 5103a [49 USCS § 5103a].

(e) CREDITS TO APPROPRIATIONS. The Secretary may credit to any

appropriation to carry out this chapter [49 USCS §§ 5101 et seq.] an

amount received from a State, Indian tribe, or other public authority or

private entity for expenses the Secretary incurs in providing training to

the State, authority, or entity.

(f) AVAILABILITY OF AMOUNTS. Amounts made available by or

under this section remain available until expended.29

29

As amended by P.L. 103-311, Title I, §§ 103, 119(b), (c)(4), 108 Stat. 1673, 1680 (1994). P.L. 109-59,

Title VII, Subtitle A, §§ 7123(b), 7125. 119 Stat. 1907, 1908 (2005); P.L. 110-244, Title 11. § 302(t),

122 Stat. 1618 (2008).
568 Air Transportation of Plutonium (P.L. 94-79/94-187)

B. AIR TRANSPORlTATION OF PLUTONIUM (P.L. 94-79)

Public Law 94-79 89 Stat. 413

August 9, 1975

42 USC 5841. See. 201.

Note. Section 201(a) of the Energy Reorganization Act of 1974 is amended:

The Nuclear Regulatory Commission shall not license any shipments

by air transport of plutonium in any form, whether exports, imports or

domestic shipments: Provided, however, That any plutonium in any form

contained in a medical device designed for individual human application

is not subject to this restriction. This restriction shall be in force until the

Nuclear Regulatory Commission has certified to the Joint Committee on

Atomic Energy of the Congress that a safe container has been developed

and tested which will not rupture under crash and blast-testing equivalent

to the crash and explosion of a high-flying aircraft.

C. AIR TRANSPORTATION OF PLUTONIUM (P.L. 94-187)

42 USC 5817. Sec. 501.

Note. The Energy Research and Developments Administration shall not ship

plutonium in any form by aircraft whether exports, imports, or domestic

shipment: Provided, that any exempts shipments of plutonium, as defined

by section 502, are not subject to this restriction. This restriction shall be

in force until the Energy Research and Development Administration has

certified to the Joint Committee on Atomic Energy of the Congress that a

safe container has been developed and tested which will not rupture

under crash and blast testing equivalent to the crash and explosion of a

high-flying aircraft.

42 USC 5817. Sec. 502.

Note. For the purpose of this title, the term "exempt shipments of plutonium"

shall include the following:

(1) Plutonium shipments in any form designed for medical

application.

(2) Plutonium shipments which pursuant to rules promulgated

by the Administrator of the Energy Research and Development

Administration are determined to be made for purposes of

national security, public health and safety, or emergency

maintenance operations.

(3) Shipments of small amounts of plutonium deemed by the

Administrator of the Energy Research and Development

Administration to require rapid shipment by air in order to preserve

the chemical, physical, or isotopic properties of the transported item

or material.

'This section consists of section 201 of Public Law 94-79, 89 Stat. 413, enacted on August

9, 1975. The paragraph shown appears in the United States Code at 42 U.S.C. 5841 note.
Sec. 5062 of Omni. Bud. Recon, Act (P.L. 100-202/P.L. 100-203) 569

D. SECTION 5062 OF OMNIBUS BUDGET

RECONCILIATION ACT OF 1987 REGARDING AIR

TRANSPORTATION OF PLUTONIUM, (P.L. 100-202 AND

100-203)

42 USC 5841. Sec. 5062. Transportation Of Plutonium By Aircraft Through

Note. United States Air Space

(a)' IN GENERAL-Notwithstanding any other provision of law, no

form of plutonium may be transported by aircraft through the air space of

the United States from a foreign nation to a foreign nation unless the

Nuclear Regulatory Commission has certified to Congress that the

container in which such plutonium is transported is safe, as determined in

accordance with subsection (b), the second undesignated paragraph under

section 201 of Public Law 94-79 (89 Stat. 413; 42 USC 5841 note), and

all other applicable laws.

(b) RESPONSIBILITIES OF THE NUCLEAR REGULATORY

COMMISSION-

(I) 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 (I), the Nuclear Regulatory Commission

shall-

(A) require an actual drop test from maximum cruising

altitude of a full-scale sample of such container loaded with test

materials; and

(B) require an actual crash test of a cargo aircraft fully loaded

with full-scale samples of such container loaded with test material

unless the Commission determines, after consultation with an

independent scientific review panel, that the stresses on the

container produced by other tests used in developing the container

exceed the stresses which would occur during a worst case plutonium air shipment accident.

(3) LIMITATION-The Nuclear Regulatory Commission may not

certify under this section that a container is safe for use in the

transportation of plutonium by aircraft if the container ruptured or

released its contents during testing conducted in accordance with

paragraph (2).

(4) EVALUATION-The Nuclear Regulatory Commission shall

evaluate the container certification required by title 11 of the Energy

Reorganization Act of 1974 (42 USC 5841 et seq.) and subsection (a)

in accordance with the National Environmental Policy Act of 1969

(83 Stat. 852; 42 USC 4321 etseq.) 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

'This title consists of section 5062 of Public Law 100-203, 101 St at. 1330-251, enacted on

December 22, 1987, and was also enacted in identical forni by Public Law 100-202,

101 Stat. 1329-121, on the same date. The section appears in the United States Code at

42 U.S.C. 5841 note.
570 Sec. 5062 of Omni. Bud. Recon. Act (P.L. 100-202/P.L. 100-203)

(3) a statement that the container did not rupture or release its

contents into the environment during testing.

(d) DESIGN OF TESTING PROCEDURES-The tests required by

subsection (b) shall be designed by the Nuclear Regulatory Commission

to replicate actual worst case transportation conditions to the maximum

extent practicable. In designing such tests, the Commission shall provide

for public notice of the proposed test procedures, provide a reasonable

opportunity for public comment on such procedures, and consider such

comments, if any.

(e) TESTING RESULTS: REPORTS AND PUBLIC DISCLOSURE

-The Nuclear Regulatory Commission shall transmit to Congress a report

on the results of each test conducted under this section and shall make

such results available to the public.

President of (f) ALTERNATIVE ROUTES AND MEANS OF

tJ.S. TRANSPORTATION-With respect to any shipments of plutonium from

a foreign nation to a foreign nation which are subject to United States

consent rights contained in an Agreement for Peaceful Nuclear

Cooperation, the President is authorized to make every effort to pursue

and conclude arrangements for alternative routes and means of

transportation, including sea shipment. All such arrangements shall be

subject to stringent physical security conditions, and other conditions

designed to protect the public health and safety, and provisions of this

section, and all other applicable laws.

(g) INAPPLICABILITY TO MEDICAL DEVICES-Subsections (a)

through (e) shall not apply with respect to plutonium in any form

contained in a medical device designed for individual human application.

(h) INAPPLICABILITY TO MILITARY USES-Subsections (a)

through (e) shall not apply to plutonium in the form of nuclear weapons

nor to other shipments of plutonium determined by the Department of

Energy to be directly connected with the United States national security

or defense programs.

(i) INAPPLICABILITY TO PREVIOUSLY CERTIFIED

CONTAINERS-This section shall not apply to any containers for the

shipment of plutonium previously certified as safe by the Nuclear

Regulatory Commission under Public Law 94-79 (89 Stat. 413; 42 USC

5841 note).

(j) PAYMENT OF COSTS-All costs incurred by the Nuclear

Regulatory Commission associated with the testing program required by

this section, and administrative costs related thereto, shall be reimbursed

to the Nuclear Regulatory Commission by any foreign country receiving

plutonium shipped through United States airspace in containers specified

by the Commission.
Shipment of Plutonium by Sea (P.L. 102-486) 571

E. SHIPMENTS OF PLUTONIUM BY SEA (P.L. 102-486)

See. 2904. Study And Implementation Plan On Safety Of Shipments

Of Plutonium By Seat

(a) STUDY-The President, in consultation with the Nuclear

Regulatory Commission, shall conduct a study on the safety of shipments

of plutonium b.y sea. The study shall consider the following:

(I) 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.

'This title consists of section 2904 of the Energy Policy Act of 1992, P.L. 102-486, 106

Stat. 2776, enacted on October 24, 1992, and does not appear in the United States Code.
572 Sec. 411 of Rail Safety Improvement Act (P.L. 110-432)

F. SECTION 411 OF RAIL SAFETY IMPROVEMENT

ACT OF 2008

P.L. 110-432

49 USC 5103. Sec. 411. Railroad Carrier Employee Exposure To Radiation Study

Note. (a) STUDY.-The Secretary of Transportation shall, in consultation with

the Secretary of Energy, the Secretary of Labor, the Administrator of the

Environmental Protection Agency, and the Chairman of the Nuclear

Regulatory Commission, as appropriate, conduct a study of the potential

hazards to which employees of railroad carriers and railroad contractors

or subcontractors are exposed during the transportation of high-level

radioactive waste and spent nuclear fuel (as defined in section 5 101(a) of

title 49, United States Code), supplementing the report submitted under

section 5101 (b) of that title, which may include-

(I) an analysis of the potential application of "as low as

reasonably achievable" principles for exposure to radiation to such

employees with an emphasis on the need for special protection from

radiation exposure for such employees during the first trimester of

pregnancy or who are undergoing or have recently undergone

radiation therapy;

(2) the feasibility of requiring real-time dosimetry monitoring

for such employees;

(3) the feasibility of requiring routine radiation exposure

monitoring in fixed railroad locations, such as yards and repair

facilities; and

(4) a review of the effectiveness of the Department's

packaging requirements for radioactive materials.

(b) REPORT.-Not later than 18 months after the date of enactment of this

Act, the Secretary of Transportation shall transmit a report on the results

of the study required by subsection (a) and any recommendations to

further protect employees of a railroad carrier or of a contractor or

subcontractor to a railroad carrier from unsafe exposure to radiation

during the transportation of high-level radioactive waste and spent

nuclear fuel to the Senate Committee on Commerce, Science, and

Transportation and the House of Representatives Committee on

Transportation and Infrastructure.

(c) REGULATORY AUTHORITY.-The Secretary of Transportation may

issue regulations that the Secretary determines appropriate, pursuant to

the report required by subsection (b), to protect railroad employees from

unsafe exposure to radiation during the transportation of radioactive

materials.
User Fees 573

2. User Fees

User Fees 575

2. User Fees

Contents

A. TITLE V OF THE INDEPENDENT OFFICES APPROPRIATIONS

A C T O F 19 52 ......................................................................................................... 5 7 7

9701. Fees And Charges For Government Services And Things Of

V a lu e ............................................................................................................. 5 7 7

B. PERTINENT PROVISIONS OF THE OMNIBUS BUDGET

RECONCILIATION ACT OF 1990, AS AMENDED ........................................ 578

Title VI-Energy And Environmental Programs ................................................. 578

Subtitle B-NRC User Fees and Annual Charges ............................................. 578

Sec. 6101. NRC User Fees And Annual Charges ......................................... 578

Title V - Independent Appropriations Act of 1952 (P.L. 82-137) 577

A. TITLE V OF THE INDEPENDENT OFFICES

APPROPRIATIONS ACT OF 1952

Public Law 82-137 65 Stat. 268

AUG. 31, 1951

31 USC 9701. 9701. Fees And Charges For Government Services And Things Of

Value

(a) It is the sense of Congress that each service or thing of value provided

by an agency (except a mixed-ownership Government corporation) to a

person (except a person on official business of the United States

Government) is to be self-sustaining to the extent possible.

(b) The head of each agency (except a mixed-ownership Government

corporation) may prescribe regulations establishing the charge for a

service or thing of value provided by the agency, Regulations prescribed

by the heads of executive agencies are subject to policies prescribed by

the President and shall be as uniform as practicable. Each charge shall

be-

(1) fair; and

(2) based on-

(A) the costs to the Government;

(B) the value of the service or thing to the recipient;

(C) public policy or interest served; and

(D) other relevant facts.

(c) This section does not affect a law of the United States-

(1) prohibiting the determination and collection of charges and the

disposition of those charges; and

(2) prescribing bases for determining charges, but a charge may be

redetermined under this section consistent with the prescribed bases.
578 Provisions from the Omnibus Budget Recon. Act (P.L. 101-508)

B. PERTINENT PROVISIONS OF THE OMNIBUS BUDGET

RECONCILIATION ACT OF 1990, AS AMENDED

Public Law 101-508 104 Stat. 1388

NOV. 5, 1990

Title VI-Energy And Environmental Programs

Subtitle B-NRC User Fees and Annual Charges

42 Usc 2214. Sec. 6101. NRC User Fees And Annual Charges

(a) ANNUAL ASSESSMENT-

(1) IN GENERAL-The' Nuclear Regulatory Commission (in this

section referred to as the "Commission") shall annually assess and

collect such fees and charges as are described in subsections (b) and

(c).

(2) FIRST ASSESSMENT-The first assessment of fees under

subsection (b) and annual charges under subsection (c) shall be made

not later than September 30, 1991.

(3)2

(b) FEES FOR SERVICE OR THING OF VALUE-Pursuant to

section 9701 of title 31, United States Code, any person who receives a

service or thing of value from the Commission shall pay fees to cover

the Commission's costs in providing any such service or thing of value.

(c) ANNUAL CHARGES42 USC 2214. (1) PERSONS SUBJECT TO CHARGE-Except as provided in

paragraph (4), any licensee or certificate holder of the Commission

may be required to pay, in addition to the fees set forth in subsection

(b), an annual charge.

(2) AGGREGATE AMOUNT OF CHARGES-

(A) The aggregate amount of the annual charge collected from

all licensees and certificate holders in a fiscal year shall equal an

amount that approximates the percentages of the budget authority

of the Commission for the fiscal year stated in subparagraph (B),

less-

(i) amounts collected under subsection (b) during the

fiscal year;

(ii) amounts appropriated to the Commission from the

Nuclear Waste Fund for the fiscal year;

(iii) amounts appropriated to the Commission for the fiscal

year for implementation of section 3116 of the Ronald W.

Reagan National Defense Authorization Act for Fiscal Year

2005; and

(iv) amounts appropriated to the Commission for

homeland security activities of the Commission for the fiscal

year, except for the costs of fingerprinting and background

checks required by section 149 of the Atomic Energy Act of

1954 942 U.S.C. 2169) and the costs of conducting security

inspections.3

'Public Law 109-58, section 637, 119 Stat 791, August 8, 2005, struck "Except as provided in paragraph (3),

the."

'Public Law 109-58, section 637, 119 Stat. 791, August 8, 2005, struck paragraph (3). 'Public Law 109-58, section 637, 119 Stat. 791, August 8, 2005, added new clauses (iii) and (iv).
Provisions from the Omnibus Budget Recon. Act (P.L. 101-508) 579

(B) Percentages-The percentages referred to in subparagraph

A) are-

(i) 98 percent for fiscal year 2001;

(ii) 96 percent for fiscal year 2002;

(iii) 94 percent for fiscal year 2003;

(iv) 92 percent for fiscal year 2004; and

(v) 90 5percent for fiscal year 20064 and each fiscal year

thereafter.

(3) AMOUNT PER LICENSEE-The Commission shall establish,

by rule, a schedule of charges fairly and equitably allocating the

aggregate amount of charges described in paragraph (2) among

licensees. To the maximum extent practicable, the charges shall have

a reasonable relationship to the cost of providing regulatory services

and may be based on the allocation of the Commission's resources

among licensees or classes of licensees.

(4) EXEMPTION-

(A) IN GENERAL-Paragraph (1) shall not apply to the holder

of any license for a federally owned research reactor used

primarily for educational training and academic research

purposes.

(B) RESEARCH REACTOR.-For purposes of subparagraph

(A), the term "research reactor" means a nuclear reactor that-

(i) is licensed by the Nuclear Regulatory Commission

under section 104c. of the Atomic Energy Act of 1954 (42

USC 2134(c)) for operation at a thermal power level of 10

megawatts or less; and

(ii) if so licensed for operation at a thermal power level of

more than I megawatt, does not contain-

(I) a circulating loop through the core in which the

licensee conducts fuel experiments;

(I1) a liquid fuel loading; or

(Il) an experimental facility in the core in excess of 16

square inches in cross-section.

(d) DEFINITION-As used in this section, the term "Nuclear Waste

Fund" means the fund established pursuant to section 302(c) of the

Nuclear Waste Policy Act of 1982 (42 USC 10222(c)).

42 USC 2213. (e) REPEALED: Section 7601 of the Consolidated Omnibus Budget

Reconciliation Act of 1985 (42 USC 2213) is repealed.6

'(As amended Public Law 105-245, Title V, section 505, 112 Stat. 1856, Oct. 7, 1998; Public Law 106-60,

Title VI, section 604, 113 Stat. 501, Sept. 29, 1999; Public Law 106-377, section I(a)(2) [title VIII1, 114 Stat.

1441. 1441A- (2000)); Public Law 109-58, section 637, 119 Stal, 791, August 8, 2005; P.I.. 109-103,

Title IV, 119 Stat. 2283, Nov. 19, 2005.

'These fees were established in P.L. 106-377 (2000) and made permanent by P.L. 109-58 (2005). Previously, fees were established as follows: 33 percent in P.L. 99-272 (1986): 45 percent in P.L. 100-203 (1987):

100 percent in P.L. 101-508 (1990).

"Public Law 109-58, section 637(b), 119 Stat. 791, August 8, 2005, repealed section 7601. NOTE: The prior

language read as follows:

(c) CONFORMING AMENDMENT TO COBRA.-Paragraph(l)(a) of section 7601 of the

Consolidated Omnibus Budget Reconciliation Act of 1985 (Public Law 99-272) is amended by striking 'except that for fiscal year of 1990 such maximum amount shall be estimated to be equal to 45 percent of

the costs incurred by the Commission for fiscal year 1990"' and inserting "except as otherwise provided by

law."

Administrative Law Statutes 581

Administrative Law Statutes 581

3. Administrative Law Statutes

Administrative Law Statutes 583

3. Administrative Law Statutes

Contents

A. ADMINISTRATIVE PROCEDURES-5 USC 551-559 .................................. 587

Subchapter Il-Administrative Procedures ...................................................... 587

S ec. 55 1. D efin itio ns ....................................................................................... 587

Sec. 552. Public Information; Agency Rules, Opinions, Orders,

R ecords, A nd Proceeding ........................................................................... 588

Sec. 552a. Records Maintained On Individuals ........................................... 602

Sec. 552b. O pen M eetings .............................................................................. 6 16

Sec. 553. R ulem aking ..................................................................................... 62 1

See. 554. A djudications ................................................................................ 622

Sec. 555. A ncillary M atters ........................................................................... 623

Sec. 556. Hearings; Presiding Employees; Powers And Duties; Burden

Of Proof; Evidence; Record As Basis Of Decision ................................... 624

Sec. 557. Initial Decisions; Conclusiveness; Review By Agency;

Submissions By Parties; Contents Of Decisions; Record ......................... 625

Sec. 558. Imposition Of Sanctions; Determination Of Applications For

Licenses; Suspension, Revocation, And Expiration Of Licenses ............. 627

Sec. 559. Effect On Other Laws; Effect Of Subsequent Statute ................ 628

B. NEGOTIATED RULEMAKING ACT OF 1990-5 USC 561-570 .................. 629

S ec. 1. S h o rt T itle .............................................................................................. 62 9

S ec . 2 . F in d in gs .................................................................................................. 62 9

Sec. 3. Negotiated Rulemaking Procedure ...................................................... 629

S ec. 56 1. P u rp ose ............................................................................................ 629

S ec. 562. D efin itio ns ....................................................................................... 630

Sec. 563. Determination Of Need For Negotiated Rulemaking

C o m m ittee .................................................................................................... 6 30

Sec. 564. Publication Of Notice; Applications For Membership On

C o m m ittees ................................................................................................. 6 31

Sec. 565. Establishment Of Committee ........................................................ 632

Sec. 566. Conduct Of Committee Activity .......................... 632

Sec. 567. Term ination O f C om m ittee .......................................................... 633

Sec. 568. Services, Facilities, And Payment Of Committee Member

E x p e n ses ....................................................................................................... 6 3 3

Sec. 569. Encouraging Negotiated Rulemaking ........................................... 634

Sec. 570. Judicial R eview ............................................................................... 635

Sec. 570a. Authorization of Appropriations ................................................ 635

Sec. 4. Authorization Of Appropriations ..................................................... 635

Sec. 5. Sunset A nd Savings Provisions ......................................................... 635

C. ADMINISTRATIVE DISPUTE RESOLUTION ACT, AS AMENDED ......... 636

S ec. 1. S h o rt T itle .............................................................................................. 636

S ec . 2 . F in d in gs ................................................................................................... 6 3 6

Sec. 3. Promotion Of Alternative Means Of Dispute Resolution .................... 636

Sec. 4. A dm inistrative Procedures .................................................................... 637

Subchapter IV-Alternative Means Of Dispute Resolution In The

A d m in istrative P rocess ................................................................................... 638

S ec. 57 1. D efi n itio n s ........................................................................................ 63 8

Sec. 572. G eneral A uthority ........................................................................... 639

S ec. 5 73 . N eu tra ls ............................................................................................ 6 39
584 Administrative Law Statutes

Sec. 574. Confidentiality ................................................................................. 640

Sec. 575. Authorization Of Arbitration ......................................................... 642

Sec. 576. Enforcement Of Arbitration Agreements ..................................... 642

Sec. 577. A rb itrato rs ....................................................................................... 642

Sec. 578. Authority Of The Arbitrator .......................................................... 642

Sec. 579. Arbitration Proceedings ................................................................. 643

Sec. 580. Arbitration Awards ......................................................................... 643

Sec. 581. Judicial Review ................................................................................ 644

Sec. 582. R ep ealed ........................................................................................... 644

Sec. 583. Support Services .............................................................................. 644

Sec. 584. Authorization of Appropriations ................................................... 644

Sec. 5. Judicial Review of Arbitration Awards ............................................... 644

Sec. 6. Government Contract Claims .............................................................. 645

See. 7. Federal Mediation And Conciliation Service ...................................... 645

Sec. 8. Government Tort And Other Claims ................................................... 645

Sec. 9. Use Of Non-Attorneys ............................................................................ 646

S ee. 10. D efi n itio ns ............................................................................................ 64 6

Sec. 11. Sunset Provision ................................................................................... 646

D. REGULATORY FLEXIBILITY ACT, AS AMENDED-5 USC 601-612 ..... 648

Chapter 6-The Analysis Of Regulatory Functions ......................................... 648

S ec. 60 1. D efin itions ....................................................................................... 64 8

Sec. 602. Regulatory Agenda ......................................................................... 649

See. 603. Initial Regulatory Flexibility Analysis .......................................... 649

Sec. 604. Final Regulatory Flexibility Analysis ........................................... 650

Sec. 605. Avoidance Of Duplicative Or Unnecessary Analyses .................. 651

See. 606. Effect on Other Law ....................................................................... 651

Sec. 607. Preparation Of Analyses ................................................................ 651

Sec. 608. Procedure For W aiver Or Delay Of Completion ........................ 651

Sec. 609. Procedures For Gathering Comments ......................................... 652

Sec. 610. Periodic Review Of Rules .............................................................. 653

S ec. 6 11. J ud icial R eview ............................................................................... 654

Sec. 612. Reports And Intervention Rights .................................................. 655

E. JUDICIAL REVIEW - 5 USC 701-706 .............................................................. 656

Chapter 7-Judicial Review ................................................................................ 656

Sec. 701, Application; Definitions ................................................................. 656

Sec. 702. Right Of Review ............................................................................ 656

Sec. 703. Form And Venue Of Proceeding ................................................... 656

See. 704. Actions Reviewable ........................................................................ 657

Sec. 705. Relief Pending Review ................................................................... 657

Sec. 706. 'Scope Of Review ............................................................................. 657

F. CONGRESSIONAL REVIEW - 5 USC 801-808 ............................................... 658

Chapter 8-Congressional Review Of Agency Rulemaking ............................ 658

Sec. 801. Congressional Review .................................................................... 658

Sec. 802, Congressional Disapproval Procedure ......................................... 660

Sec. 803. Special Rule On Statutory, Regulatory, And Judicial

D ea d lin es ...................................................................................................... 6 6 2

S ec. 804. D efinitions ...................................................................................... 662

Sec. 805. Judicial Review ............................................................................... 662

Sec. 806. Applicability; Severability ............................................................. 662

Sec. 807. Exemption For Monetary Policy ................................................... 663
585

Administrative Law Statutes58

Sec. 808. Effective Date Of Certain Rule ..................................................... 663

G. FEDERAL ADVISORY COMMITTEE ACT, AS AMENDED ...................... 664

S ec. 1. S h o rt T itle ........................................................................................... 664

Sec. 2. Findings A nd Purpose ........................................................................ 664

S ec. 3 . D efin itio ns ........................................................................................... 664

Sec. 4. A pplicability; R estrictions ................................................................. 664

Sec. 5. Responsibilities Of Congressional Committees; Review;

G u id elin es .................................................................................................... 6 6 5

Sec. 6. Responsibilities Of The President; Report To Congress;

Annual Report To Congress; Exclusion .................................................... 665

Sec. 7. Responsibilities Of The Administrator Of General Services;

Committee Management Secretariat, Establishment; Review;

Recommendations To President And Congress; Agency

Cooperation; Performance Guidelines; Uniform Pay Guidelines;

Travel Expenses; Expense Recommendations .......................................... 666

Sec. 8. Responsibilities Of Agency Heads; Advisory Committee

Management Officer, Designation ............................................................. 667

Sec. 9. Establishment And Purpose Of Advisory Committees;

Publication In Federal Register; Charter; Filing; Contents; Copy ........ 668

Sec. 10. Advisory Committee Procedures; Meetings; Notice,

Publication In Federal Register; Regulations; Minutes;

Certification; Annual Report; Federal Officer Or Employee;

A tten d a n ce ................................................................................................... 6 6 8

Sec. II. Availability Of Transcripts; Agency Proceeding ........................... 669

Sec. 12. Fiscal And Administrative Provisions; Recordkeeping; Audit;

A gency Support Services ............................................................................ 669

Sec. 13. Responsibilities Of Library Of Congress; Reports And

Background Papers; Depository ................................................................ 670

Sec. 14. Termination Of Advisory Committees; Renewal; Continuation ..670

S ec. 15. R eq u irem ents .................................................................................... 670

S ec. 16. E ffective D ate .................................................................................... 672

H. ALTERNATIVE DISPUTE RESOLUTION ACT OF 1998 ............................ 673

S ee. I. S h o rt T itle ........................................................................................... 6 73

Sec. 2. Findings And Declaration Of Policy ................................................. 673

Sec. 3. Alternative Dispute Resolution Process To Be Authorized In

A ll D istrict C o u rts ....................................................................................... 6 73

S ec. 4. J u risd ictio n ......................................................................................... 674 '

Sec. 5. Mediators And Neutral Evaluators .................................................. 675

Sec. 6. Actions Referred To Arbitration ...................................................... 675

S ec. 7. A rb itrato rs .......................................................................................... 676

S ec. 8. S u b p oen as ........................................................................................... 676

Sec. 9. Arbitration Award And Judgment ................................................... 676

Sec. 10. Compensation Of Arbitrators And Neutrals ................................. 677

Sec. II. Authorization Of Appropriations ................................................... 677

Sec. 12. C onform ing A m endm ents ............................................................... 677

I. FEDERAL CIVIL PENALTIES INFLATION ADJUSTMENT ACT OF

1990, A S A M E N D E D ............................................................................................. 678

T itle III C h ap ter 10 .............................................................................................. 6 78

S ec . 1. S h o rt T itle ........................................................................................... 6 7 8

Sec. 2. Findings A nd Purpose ........................................................................ 678

S ec. 3. D efin itio ns ........................................................................................... 6 78
586 Administrative Law Statutes

See. 4. Civil Monetary Penalty Inflation Adjustment Reports ................... 679

Sec. 5. Cost-Of-Living Adjustments Of Civil Monetary Penalties ............. 679

See. 6. A nnual R eport ................................................................................... 679
Administrative Procedures-5 USC 551-559 587

A. ADMINISTRATIVE PROCEDURES-5 USC 551-559

Subchapter II-Administrative Procedures

5 uSC 551. See. 551. Definitions

For the purpose of this Subchapter-

(1) "agency" means each authority of the Government of the United

States, whether or not it is within or subject to review by another agency,

but does not include-

(A) the Congress; (B) the courts of the United States;

(C) the governments of the territories or possessions of the United

States;

(D) the Government of the District of Columbia; or except as to

the requirements of section 552 of this title ;

(E) agencies composed of representatives of the parties or of

representatives of organizations of the parties to the disputes

determined by them;

(F) courts martial and military commissions;

(G) military authority exercised in the field in time of war or in

occupied territory; or

(H) functions conferred by sections 1738, 1739, 1743, and 1744

of title 12: chapter 2 of title 41; Subchapter II of chapter 471 of title

49; or sections 1884, 1891-1902, and former section 1641(b)(2), of

title 50, appendix;

(2) "person" includes an individual, partnership, corporation,

association, or public or private organization other than a agency;

(3) "party" includes a person or agency named or admitted as a party,

or properly seeking and entitled as of right to be admitted as a party, in

an agency proceeding, and a person or agency admitted by an agency as a

party for limited purposes;

(4) "rule" means the whole or a part of an agency statement of general

or particular applicability and future effect designed to implement,

interpret, or prescribe law or policy or describing the organization,

procedure, or practice requirements of an agency and includes the

approval or prescription for the future of rates, wages, corporate or

financial structures or reorganizations thereof, prices, facilities,

appliances, services or allowances therefor or of valuations, costs, or

accounting, or practices bearing on any of the foregoing;

(5) "rule making" means agency process for formulating, amending,

or repealing a rule;

(6) "order" means the whole or part of a final disposition whether

affirmative, negative, injunctive, or declaratory in form, of an agency in a

matter other than rule making but including licensing;

(7) "adjudication" means agency process for the formulation of an

order:

(8) "license" includes the whole or a part of an agency permit,

certificate, approval, registration, charter, membership, statutory

exemption or other form of permission;

(9) "licensing" includes agency process respecting the grant, renewal,

denial, revocation, suspension, annulment, withdrawal, limitation,

amendments, modification, or conditioning of a license;

(10) "sanction" includes the whole or a part of an agency-

(A) prohibition requirement, limitations, or other condition

affecting the freedom of a person;
588 Administrative Procedures-5 USC 551-559

(B) withholding of relief;

(C) imposition of penalty or fine;

(D) destruction, taking, seizure, or withholding of property;

(E) Assessment of damages, reimbursement, restitution,

compensation, costs, charges, or fees;

(F) requirement, revocation, or suspension of a license; or

(G) taking other compulsory or restrictive action;

(I I) "relief' includes the whole or a part of an agency-

(A) grant of money, assistance, license, authority, exemption,

exception, privilege, or remedy;

(B) recognition of a claim, right, immunity, privilege, exemption,

or exception; or

(C) taking of other action on the application or petition of, and

beneficial to, a person;

(12) "agency proceedings" means an agency process as defined by

paragraphs (5), (7), and (9) of this section;

(13) "agency action" includes the whole or a part of an agency rule,

order, license, sanction, relief, or the equivalent or denial thereof, or

failure to act; and

(14) "ex parte communication" means an oral or written

communication not on the public record with respect to which reasonable

prior notice to all parties is not given, but it shall not include requests for

status reports on any matter or proceeding covered by this Subchapter;

(Pub. L. 89-554, Sept. 6, 1966, 80 Stat. 381; amended Pub. L. 94-409,

Sept. 13, 1976, 90 Stat. 1247.); Pub.L. 103-272, § 5(a), July 5, 1994, 108

Stat. 1373.

5 USC 552. See. 552. Public Information; Agency Rules, Opinions, Orders,

Records, And Proceeding

(a)' Each agency shall make available to the public information as

follows:

(I) Each agency shall separately state and currently publish in the

Federal Register for the guidance of the public-

(A) descriptions of its central and field organization and the

established places at which, the employees (and in the case of a

uniformed service, the members) from whom, and the methods

whereby, the public may obtain information, make submittals or

requests, or obtain decisions;

(B) statements of the general course and method by which its

functions are channeled and determined, including the nature and

requirements of all formal and informal procedures available;

(C) rules of procedure, descriptions of forms available or the

places at which forms may be obtained, and instructions as to the

scope and contents of all papers, reports, or examinations;

(D) substantive rules of general applicability adopted as

authorized by law, and statements of general policy or interpretations of general applicability formulated and adopted by

the agency; and

(E) each amendment, revision, or repeal of the foregoing.

Except to the extent that a person has actual and timely notice of

the terms thereof, a person may not in any manner be required to

resort to, or be adversely affected by, a matter required to be

published in the Federal Register and not so published. For the

purpose of this paragraph, matter reasonably available to the class

'Section 552, as amended by Public Law 104-231, i 10 Stat. 3049-3054 (1996).
Administrative Procedures-5 USC 55 1-559 589

of persons affected thereby is deemed published in the Federal

Register when incorporated by reference therein with the approval

of the Director of the Federal Register.

(2) Each agency, in accordance with published rules, shall make

available for public inspection and copying-

(A) final opinions, including concurring and dissenting

opinions, as well as orders, made in the adjudication of cases;

(B) those statements of policy and interpretations which have

been adopted by the agency and are not published in the Federal

Register;

(C) administrative staff manuals and instructions to staff that

affect a member of the public;

(D) copies of all records, regardless of form or format, which

have been released to any person under paragraph (3) and which,

because of the nature of their subject matter, the agency

determines have become or are likely to become the subject of

subsequent requests for substantially the same records; and

(E) a general index of the records referred to under

subparagraph (D); unless the materials are promptly published and

copies offered for sale. For records created on or after November

1, 1996, within one year after such date, each agency shall make

such records available, including by computer telecommunications

or, if computer telecommunications means have not been

established by the agency, by other electronic means, To the

extent required to prevent a clearly unwarranted invasion of

personal privacy, an agency may delete identifying details when it

makes available or publishes an opinion, statement of policy,

interpretation, staff manual, instruction, or copies of records

referred to in subparagraph (D). However, in each case the

justification for the deletion shall be explained fully in writing,

and the extent of such deletion shall be indicated on the portion of

the record which is made available or published, unless including

that indication would harm an interest protected by the exemption

in subsection (b) under which the deletion is made. If technically

feasible, the extent of the deletion shall be indicated at the place in

the record where the deletion was made. Each agency shall also

maintain and make available for public inspection and copying

current indexes providing identifying information for the public as

to any matter issued, adopted, or promulgated after July 4, 1967,

and required by this paragraph to be made available or published.

Each agency shall promptly publish, quarterly or more frequently,

and distribute (by sale or otherwise) copies of each index or

supplements thereto unless it determines by order published in the

Federal Register that the publication would be unnecessary and

impracticable, in which case the agency shall nonetheless provide

copies of such index on request at a cost not to exceed the direct

cost of duplication. Each agency shall make the index referred to

in subparagraph (E) available by computer telecommunications by

December 31, 1999. A final order, opinion, statement of policy,

interpretation, or staff manual or instruction that affects a member

of the public may be relied on, used, or cited as precedent by an

agency against a party other than an agency only if-

(i) it has been indexed and either made available or

published as provided by this paragraph; or
590 Administrative Procedures-5 USC 551-559

(ii) the party has actual and timely notice of the terms

thereof.

(3)(A) Except with respect to the records made available under

paragraphs (I) and (2) of this subsection, and except as provided in

subparagraph (E),' each agency, upon any request for records which (i)

reasonably describes such records and (ii) is made in accordance with

published rules stating the time, place, fees (if any), and procedures to be

followed, shall make the records promptly available to any person.

(B) In making any record available to a person under this

paragraph, an agency shall provide the record in any form or

format requested by the person if the record is readily reproducible

by the agency in that form or format. Each agency shall make

reasonable efforts to maintain its records in forms or formats that

are reproducible for purposes of this section.

(C) In responding under this paragraph to a request for

records, an agency shall make reasonable efforts to search for the

records in electronic form or format, except when such efforts

would significantly interfere with the operation of the agency's

automated information system.

(D) For purposes of this paragraph, the term "search" means to

review, manually or by automated means, agency records for the

purpose of locating those records which are responsive to a

request. (E) An agency, or part of an agency, that is an element of the

intelligence community (as that term is defined in section 3(4) of

the National Security Act of 1947 (50 U.S.C. 401a(4))) shall not

make any record available under this paragraph to--

(i) any government entity, other than a State,

territory, commonwealth, or district of the United States, or

any subdivision thereof; or

(ii) a representative of a government entity

described in clause (i).3

(4)(A)(i) In order to carry out the provisions of this section, each

agency shall promulgate regulations, pursuant to notice and receipt of

public comment, specifying the schedule of fees applicable to the

processing of requests under this section and establishing procedures and

guidelines for determining when such fees should be waived or reduced.

Such schedule shall conform to the guidelines which shall be

promulgated, pursuant to notice and receipt of public comment, by the

Director of the Office of Management and budget and which shall

provide for a uniform schedule of fees for all agencies.

(ii) Such agency regulations shall provide that-

(1) fees shall be limited to reasonable standard

charges for document search, duplication, and review,

when records are requested for commercial use;

(II) fees shall be limited to reasonable standard

charges for document duplication when records are not

sought for commercial use and the request is made by

an educational or noncommercial scientific institution,

whose purpose is scholarly or scientific research; or a

representative of the news media; and

ýPublic Law 107-306, section 312, 116 Stat. 2383 (2002), inserted "and except as provided in subparagraph tE)," after "of this subsection,".

Public Law 107-306, section 312, 116 Stat. 2383 (2002), amended section by inserting subparagraph (F),
Administrative Procedures-5 USC 551-559 . 591

(Il1) for any request not:described in (I) or (II), fees

shall be limited to reasonable standard charges for

document search and duplication.

(iii) Documents shall be furnished without any charge or

at a charge reduced below the fees established under clause (ii)

if disclosure of.the information is in. the public. interest because

it is likely to contribute signifi~cantly~to public understanding of

the operations or activities of 016. government and is not

primarily in the commercial interestoof the requester.

In this clause, the term 'a representative of the news media'

means any person or entity that gathers. information of potential

interest to a segment of the public, uses its editorial skills to turn

the raw materials into a distinct work, and distributes that work

to an audience. In this clause, the term 'news' means

information that is about current evetits or that would be of

current interest to the public. Examples of news-media entities

are television or radio stations broada.sting to the public at large

and publishers of periodicals (but only. if such entities qualify as

disseminators of 'news') who make. their products available for

purchase by or subscription by or free distribution to the general

public. These examples are not all-inclusive. Moreover, as

methods of news delivery evolve (for example, the adoption of

the electronic dissemination of newspapers through

telecommunications services), such alternative media shall be

considered to be news-media entities. A freelance journalist

shall be regarded as working for a news media entity if the

journalist can demonstrate a solid basis for expecting

publication through that entity, whether or not the journalist is

actually employed by the entity. A publication contract would

present a solid basis for such an expectation; the Government

may also consider the past publication record of the requester in

making such a determination.4

(iv) Fee schedules shall provide for the recovery of only the direct costs of search, duplication, or review. Review costs

shall include only the direct costs. incurred during the initial

examination of a document for the purposes of determining

whether the documents must be disclosed under this section and

for the purposes of withholding any portions exempt from

disclosure under this section. Review costs may not include any

costs incurred in resolving issues of law or policy that may be

raised in the course of processing a request under this section.

No fee may be charged by any agency under this section-

(1) if the costs of routine collection and processing of the fee are likely to equal or exceed the amount of

the fee; or;

(I) for any request described in clause (ii)(ll) or

(Il) of this subparagraph for the first two hours of

search time or for the first one hundred pages of

duplication.

(v) No agency may require advance payment of any fee

unless the requester has previously failed to pay fees in a timely

fashion, or the agency has determined that the fee will exceed

$250.

'Public Law 110-175. section 3, 121 Stat. 2524 (2007), amended section by inserting this paragraph.
592 Administrative Procedures-5 USC 551-559

(vi) Nothing in this subparagraph shall supersede fees

chargeable under a statute specifically providing for setting the

level of fees for particular types of records.

(vii) In any action by a requester regarding the waiver of

fees under this section, the court shall determine the matter de

novo: Provided, That the court's review of the matter shall be

limited to the record before the agency.

(viii) An agency shall not assess search fees (or in the case

of a requester described under clause (ii)(ll), duplication fees)

under this subparagraph if the agency fails to comply with any

time limit under paragraph (6), if no unusual or exceptional

circumstances (as those terms are defined for purposes of

paragraphs (6)(B) and (C), respectively) apply to the processing

of the request.

(B) On complaint, the district court of the United States in the

district in which the complainant resides, or has his principal place

of business, or in which the agency records are situated, or in the

District of Columbia, has jurisdiction to enjoin the agency from

withholding agency records and to order the production of any

agency records improperly withheld from the complainant. In such

a case the court shall determine the matter de novo, and may

examine the contents of such agency records in camera to

determine whether such records or any part thereof shall be

withheld under any of the exemptions set forth in subsection (b) of

this section, and the burden is on the agency to sustain its action.

In addition to any other matters to which a court accords

substantial weight, a court shall accord substantial weight to an

affidavit of an agency concerning the agency's determination as to

technical feasibility under paragraph (2C) and subsection (b) and

reproducibility under paragraph (31B).

(C) Notwithstanding any other provision of law, the

defendant shall serve an answer or otherwise plead to any

complaint made under this subsection within thirty days after

service upon the defendant of the pleading in which such

complaint is made, unless the court otherwise directs for good cause shown.

(D) Repealed. Public Law 98-620, title IV, section 402(2),

Nov. 8, 1984, 98 Stat. 3357.

(E)(i) The court may assess against the United States

reasonable attorney fees and other litigation costs reasonably

incurred in any case under this section in which the complainant

has substantially prevailed.

(ii) For purposes of this subparagraph, a complainant has

substantially prevailed if the complainant has obtained relief

through either-

(1) a judicial order, or an enforceable written

agreement

or consent decree; or

(II) a voluntary or unilateral change in position by

the agency,6 if the complainant's claim is not

insubstantial.

5

Public Law 110-175, section 6(b)(1)(A), 121 Stat. 2524 (2007), amended section by inserting

subparagraph 6 (viii), which became effective December 31, 2008.

public Law 110-175, section 4(a), 121 Stat. 2524 (2007), amended section by inserting subparagraph (ii).
Administrative Procedures-5 USC 55 1-559 593

(F)(i) Whenever the court orders the production of any

agency records improperly withheld from the complainant and

assesses against the United States reasonable attorney fees and

other litigation costs, and the court additionally issues a written

finding that the circumstances surrounding the withholding raise

questions whether agency personnel acting arbitrarily or

capriciously with respect to the withholding, the Special Counsel

shall promptly initiate a proceeding to determine whether

disciplinary action is warranted against the officer or employee

who was primarily responsible for the withholding. The Special

Counsel, after investigation and consideration of the evidence

submitted, shall submit his findings and recommendations to the

administrative authority of the agency concerned and shall send

copies of the findings and recommendations to the officer or

employee of his representative. The administrative authority shall

take the corrective action that the Special Counsel recommends.

(ii) The Attorney General shall-

(I) notify the Special Counsel of each civil action

described

under the first sentence of clause (i); and

(11) annually submit a report to Congress on the

number of such civil actions in the preceding year.

(iii) The Special Counsel shall annually submit a report to

Congress on the actions taken by the Special Counsel under

clause (i).7

(G) In the event of noncompliance with the order of the

court, the district court may punish for contempt the responsible

employee, and in the case of a uniformed service, the responsible

member.

(5) Each agency having more than one member shall maintain and

make available for public inspection a record of the final votes of each

member in every agency proceeding.

(6)(A) Each agency, upon any. request for records made under

paragraph (1), (2), or (3) of this subsection shall-

(i) determine within 20 days (excepting Saturdays,

Sundays, and legal public holidays) after the receipt of any such

request whether to comply with such request and shall

immediately notify the person making such request of such

determination and the reasons therefor, and of the right of such

person to appeal to the head of the agency any adverse

determination; and

(ii) make a determination with respect to any appeal within

twenty days (excepting Saturdays, Sundays and legal public

holidays) after the receipt of such appeal. If on appeal the denial

of the request for records is in whole or in part upheld, the

agency shall notify the person making such request of the

provisions for judicial review of that determination under

paragraph (4) of this subsection.

The 20-day period under clause (i) shall commence on the date

on which the request is first received by the appropriate

component of the agency, but in any event not later than ten

days after the request is first received by any component of the

7

Public Law 110-175, section 5, 121 Stal. 2524 (2007), amended section by inserting subparagTaphs (ii)

and (iii).
594 Administrative Procedures-5 USC 551-559

agency that is designated in the agency's regulations under this

section to receive requests under this section. The 20-day period

shall not be tolled by the agency except-

(1) that the agency may make one request to the

requester for information and toll the 20-day period

while it is awaiting such information that it has

reasonably requested from the requester under this

section; or (II) if necessary to clarify with the requester issues

regarding fee assessment. In either case, the agency's

receipt of the requester's response to the agency's

request for information or clarification ends the tolling

period. '

(B)(i) In unusual circumstances as specified in this

subparagraph, the time limits prescribed in either clause (i) or

clause(ii) of subparagraph (A) may be extended by written notice

to the person making such request settling forth the unusual

circumstances for such extension and the date on which a

determination is expected to be dispatched. No such notice shall

specify a date that would result in an extension for more than ten

working days, except as provided in clause (ii) of this

subparagraph.

(ii) With respect to a request for which a written notice

under clause (i) extends the time limits prescribed under clause

(i) of subparagraph (A), the agency shall notify the person

making the request if the request cannot be processed within the

time limit specified in that clause and shall provide the person

an opportunity to limit the scope of the request so that it may be

processed within that time limit or an opportunity to arrange

with the agency an alternative time frame for processing the

request or a modified request. To aid the requester, each agency

shall make available its FOIA Public Liaison, who shall assist in

the resolution of any disputes between the requester and the

agency. 9 Refusal by the person to reasonably modify the request

or arrange such an alternative time frame shall be considered as

a factor in determining whether exceptional circumstances exist

for purposes of subparagraph (C).

(iii) As used in this subparagraph, "unusual circumstances"

means, but only to the extent reasonably necessary to the proper

processing of the particular requests-

(1) the need to search for and collect the requested

records from field facilities or other establishments that

are separate from the office processing the request;

(II) the need to search for, collect, and appropriately

examine a voluminous amount of separate and distinct

records which are demanded in a single request; or

(111) the need for consultation, which shall be

conducted with all practicable speed, with another

agency having a substantial interest in the

determination of the request or among two or more

'Public Law 110-175, section 6(a)(1), 121 Stat. 2524 (2007), amended section by inserting this paragraph, starting with "The 20-day period" through subsections (I) and (11), which became eftective

December 3 1, 2008.

'Public Law 110-175. section 6(b)(1)(B), 121 Stat. 2524 (2007), amended section by inserting this sentence.

which became effective December 3 1, 2008.
Administrative Procedures-5 USC 55 1-559 595

components of the agency having substantial subjectmatter interest therein.

(iv) Each agency may promulgate regulations, pursuant to

notice and receipt of public comment, providing for the

aggregation of certain requests by the same requestor, or by a

group of requestors acting in concert, if the agency reasonably

believes that such requests actually constitute a single request,

which would otherwise satisfy the unusual circumstances

specified in this subparagraph, and the requests involve clearly

related matters. Multiple requests involving unrelated matters

shall not be aggregated.

(C)(i) Any person making a request to any agency for records

under paragraph (1), (2), or (3) of this subsection shall be deemed

to have exhausted his administrative remedies with respect to such

request if the agency fails to comply with the applicable time limit

provisions of this paragraph. If the Government can show

exceptional circumstances exist and that the agency is exercising

due diligence in responding to the request, the court may retain

jurisdiction and allow the agency additional time to complete its

review of the records. Upon any determination by an agency to

comply with a request for records, the records shall be made

promptly available to such person making such request. Any

notification of denial of any request for records under this

subsection shall set forth the names and titles or positions of each

person responsible for the denial of such request.

(ii) For purposes of this subparagraph, the term

"exceptional circumstances" does not include a delay that results

from a predictable agency workload of requests under this

section, unless the agency demonstrates reasonable progress in

reducing its backlog of pending requests.

(iii) Refusal by a person to reasonably modify the scope of

a request or arrange an alternative time frame for processing a

request (or a modified request) under clause (ii) after being

given an opportunity to do so by the agency to whom the person

made the request shall be considered as a factor in determining

whether exceptional circumstances exist for purposes of this

subparagraph.

(D)(i) Each agency may promulgate regulations, pursuant to

notice and receipt of public comment, providing for multitrack

processing of requests for records based on the amount of work or

time (or both) involved in processing requests.

(ii) Regulations under this subparagraph may provide a

person making a request that does not qualify for the fastest

multitrack processing an opportunity to limit the scope of the

request in order to qualify for faster processing.

(iii) This subparagraph shall not be considered to affect the

requirement under subparagraph (C) to exercise due diligence.

(E)(i) Each agency shall promulgate regulations, pursuant to

notice and receipt of public comment, providing for expedited

processing of requests for records-

(1) in cases in which the person requesting the

records demonstrates a compelling need; and

(II) in other cases determined by the agency.

(ii) Notwithstanding clause (i), regulations under this

subparagraph must ensure-
596 Administrative Procedures-5 USC 551-559

(1) that a determination of whether to provide

expedited processing shall be made, and notice of the

determination shall be provided to the person making

the request, within 10 days after the date of the request;

and

(11) expeditious consideration of administrative

appeals of such determinations of whether to provide

expedited processing.

(iii) An agency shall process as soon as practicable any

request for records to which the agency has granted expedited

processing under this subparagraph. Agency action to deny or

affirm denial of a request for expedited processing pursuant to

this subparagraph, and failure by an agency to respond in a

timely manner to such a request shall be subject to judicial

review under paragraph (4), except that the judicial review shall

be based on the record before the agency at the time of the

determination.

(iv) A district court of the United States shall not have

jurisdiction to review an agency denial of expedited processing

of a request for records after the agency has provided a complete

response to the request.

(v) For purposes of this subparagraph, the term

"compelling need" means-

(I) that a failure to obtain requested records on an

expedited basis under this paragraph could reasonably

be expected to pose an imminent threat to the life or

physical safety of an individual; or

(II) with respect to a request made by a person

primarily engaged in disseminating information,

urgency to inform the public concerning actual or

alleged Federal Government activity.

(vi) A demonstration of a compelling need by a person

making a request for expedited processing shall be made by a

statement certified by such person to be true and correct to the

best of such person's knowledge and belief.

(F) In denying a request for records, in whole or in part, an

agency shall make a reasonable effort to estimate the volume of

any requested matter the provision of which is denied, and shall

provide any such estimate to the person making the request, unless

providing such estimate would harm an interest protected by the

exemption in subsection (b) pursuant to which the denial is made.

(7) Each agency shall-

(A) establish a system to assign an individualized tracking

number for each request received that will take longer than ten

days to process and provide to each person making a request the

tracking number assigned to the request; and

(B) establish a telephone line or Internet service that provides

information about the status of a request to the person making the

request using the assigned tracking number, including-

(i) the date on which the agency originally received the

request; and
Administrative Procedures-5 USC 55 1-559 597

(ii) an estimated date on which the agency will complete

action on the request.'°

(b) This section does not apply to matters that are-

(])(A) specifically authorized under criteria established by an

Executive order to be kept secret in the interest of national defense or

foreign policy and (B) are in fact properly classified pursuant to such

Executive Order;

(2) related solely to the internal personnel rules and practices of an

agency-

(3)'1 specifically exempted from disclosure by statute (other than

section 552b of this title), if that statute-

(A) (i) requires that the matters be withheld from the public in

such a manner as to leave no discretion on the issue; or

(ii) establishes particular criteria for withholding or refers to

particular types of matters to be withheld; and

(B) if enacted after the date of enactment of the OPEN FOIA

Act of 2009 [enacted Oct. 28, 2009], specifically cites to this paragraph.

(4) trade secrets and commercial or financial information obtained

from a person and privileged or confidential;

(5) inter-agency or intra-agency memorandums or letters which would

not be available by law to a party other than an agency in litigation with

the agency;

(6) personnel and medical files and similar files the disclosure of

which would constitute a clearly unwarranted invasion of personal

privacy;

(7) records or information compiled for law enforcement purposes,

but only to the extent that the production of such law enforcement

records or information (A) could reasonably be expected to interfere with

enforcement proceedings, (B) would deprive a person of a right to a fair

trial or an impartial adjudication, (C) could reasonably be expected to

constitute an unwarranted invasion of personal privacy, (D) could

reasonably be expected to disclose the identity of a confidential source,

including a State, local, or foreign agency or authority or any private

institution which furnished information on a confidential basis, and, in a

case of a record or information compiled by criminal law enforcement

authority in the course of a criminal investigation or by an agency

conducting a lawful national security intelligence investigation,

information furnished by a confidential source, (E) would disclose

techniques and procedures for law enforcement investigations or

prosecutions, or would disclose guidelines for law enforcement

investigations or prosecutions if such disclosure could reasonably be

expected to risk circumvention of the law, or (F) could reasonably be

expected to endanger the life or physical safety of any individual;

(8) contained in or related to examination, operating, or condition

reports prepared by, on behalf of, or for the use of an agency responsible

for the regulation or supervision of financial institutions; or

(9) geological and geophysical information and data, including maps,

concerning wells.

Any reasonably segregable portion of a record shall be provided

to any person requesting such record after deletion of the portions which

are exempt under this subsection. The amount of information deleted,

and the exemption under which the deletion is made, shall be indicated

"'Public Law 110-175, section 7(a), 121 Stat. 2524 (2007), amended the section by inserting subsection (7), which became effective December 31, 2008.

"As amended by P.L. 111-83, Title V, § 564(b), 123 Stat. 2184 (2009).
598 Administrative Procedures-5 USC 551-559

on the released portion of the record, unless including that indication

would harm an interest protected by the exemption in this subsection

under which the deletion is made. If technically feasible, the amount of

the information deleted, and the exemption under which the deletion is

made,' 2 shall be indicated at the place in the record where such deletion

is made.

(c)(1) Whenever a request is made which involves access to records

described in subsection (b)(7)(A) and-

(A) the investigation or proceeding involves a possible

violation of criminal law; and

(B) there is reason to believe that (i) the subject of the

investigation or proceeding is not aware of its pendency, and (ii)

disclosure of the existence of the records could reasonably be

expected to interfere with enforcement proceedings, the agency may,

during only such time as that circumstance continues, treat the

records as not subject to the requirements of this section.

(2) Whenever informant records maintained by a criminal law

enforcement agency under an informant's name or personal identifier

are requested by a third party according to the informant's name or

personal identifier, the agency may treat the records as not subject to

the requirements of this section unless the informant's status as an

informant has been officially confirmed.

(3) Whenever a request is made which involves access to records

maintained by the Federal Bureau of Investigation pertaining to

foreign intelligence or counterintelligence, or international terrorism,

and the existence of the records is classified information as provided

in subsection (b)(1), the Bureau may, as long as the existence of the

records remains classified information, treat the records as not subject

to the requirements of this section.

(d) This section does not authorize withholding of information or limit

the availability of records to the public, except as specifically stated in

this section. This section is not authority to withhold information from

Congress.

(e)(I) On or before February I of each year, each agency shall submit to

the Attorney General of the United States a report which shall cover the

preceding fiscal year and which shall include-

(A) the number of determinations made by the agency not to

comply with requests for records made to such agency under

subsection (a) and the reasons for each such determination;

(B)(i) the number of appeals made by persons under

subsection (a)(6), the result of such appeals, and the reason for the

action upon each appeal that results in a denial of information; and

(ii) a complete list of all statutes that the agency relies

upon to authorize the agency to withhold information under

subsection (b)(3), the number of occasions on which each

statute was relied upon,' 3 a description of whether a court has

upheld the decision of the agency to withhold information under

each such statute, and a concise description of the scope of any

information withheld;

(C) the number of requests for records pending before the

agency as of September 30 of the preceding year, and the median

"

2

Public Law 110-175, section 12, 121 Stat. 2524 (2007), amended the section by inserting", and the

exemption under which the deletion is made," in this sentence and in the previous sentence, "Public Law 110-175, section 8(a)(I), 121 Stat. 2524 (2007), amended the section by inserting "the number of

occasions on which each statute was relied upon."
Administrative Procedures-5 USC 551-559 599

and average 4 number of days that such requests had been pending

before the agency as of that date;

(D) the number of requests for records received by the

agency and the number of requests which the agency processed;

(E) the median number of days taken by the agency to process

different types of requests, based on the date on which the requests

were received by the agency;' 5

(F) the average number of days for the agency to respond to a

request beginning on the date on which the request was received by

the agency, the median number of days for the agency to respond to

such requests, and the range in number of days for the agency to

respond to such requests;

(G) based on the number of business days that have elapsed

since each request was originally received by the agency-

(i) the number of requests for records to which the agency

has responded with a determination within a period up to and

including 20 days, and in 20-day increments up to and including

200 days;

(ii) the number of requests for records to which the agency

has responded with a determination within a period greater than

200 days and less than 301 days;

(iii) the number of requests for records to which the

agency has responded with a determination within a period

greater than 300 days and less than 401 days; and

(iv) the number of requests for records to which the

agency has responded with a determination within a period

greater than 400 days;

(H) the average number of days for the agency to provide the

granted information beginning on the date on which the request was

originally filed, the median number of days for the agency to provide

the granted information, and the range in number of days for the

agency to provide the granted information;

(1) the median and average number of days for the agency to

respond to administrative appeals based on the date on which the

appeals originally were received by the agency, the highest number

of business days taken by the agency to respond to an administrative

appeal, and the lowest number of business days taken by the agency

to respond to an administrative appeal;

(J) data on the 10 active requests with the earliest filing dates

pending at each agency, including the amount of time that has

elapsed since each request was originally received by the agency;

(K) data on the 10 active administrative appeals with the

earliest filing dates pending before the agency as of September 30 of

the preceding year, including the number of business days that have

elapsed since the requests were originally received by the agency;

(L) the number of expedited review requests that are granted

and denied, the average and median number of days for adjudicating

expedited review requests, and the number adjudicated within the

required 10 days;

(M) the number of fee waiver requests that are granted and

denied, and the average and median number of days for adjudicating

fee waiver determinations; 16

"Public Law I 10-175, section. 8(a)(2), 121 Stat. 2524 (2007), amended the section by inserting "and average.'" "5Public Law 110-175. section 8(a)(3). 121 Stat. 2524 (2007), amended the section by inserting "based on the

date on which the requests were received by the agency."
600 Administrative Procedures-5 USC 551-559

(N) the total amount of fees collected by the agency for

processing requests; and

(0) the number of full-time staff of the agency devoted to

processing requests for records under this section, and the total

amount expended by the agency for processing such requests.

(2) Information in each report submitted under paragraph (I) shall

be expressed in terms of each principal component of the agency and

for the agency overall. 7

(3) Each agency shall make each such report available to the

public including by computer telecommunications, or if computer

telecommunications means have not been established by the agency,

by other electronic means. In addition, each agency shall make the

raw statistical data used in its reports available electronically to the

public upon request."8

(4) The Attorney General of the United States shall make each

report which has been made available by electronic means available at

a single electronic access point. The Attorney General of the United

States shall notify the Chairman and ranking minority member of the

Committee on Government Reform and Oversight of the House of

Representatives and the Chairman and ranking minority member of

the Committees on Governmental Affairs and the Judiciary of the

Senate, no later than April 1 of the year in which each such report is

issued, that such reports are available by electronic means.

(5) The Attorney General of the United States, in consultation

with the Director of the Office of Management and Budget, shall

develop reporting and performance guidelines in connection with

reports required by this subsection by October 1, 1997, and may

establish additional requirements for such reports as the Attorney

General determines may be useful.

(6) The Attorney General of the United States shall submit an

annual report on or before April 1 of each calendar year which shall

include for the prior calendar year a listing of the number of cases

arising under thissection, the exemption involved in each case, the

disposition of such case, and the cost, fees, and penalties assessed

under subparagraphs (E), (F), and (G) of subsection (a)(4). Such

report shall also include a description of the efforts undertaken by the

Department of Justice to encourage agency compliance with this

section.

(f) For purposes of this section, the term-

(1) "agency" as defined in section 551(1) of this title includes any

executive department, military department, Government corporation, Government controlled corporation, or other establishment in the

executive branch of the Government (including the Executive Office

of the President), or any independent regulatory agency; and

(2) 'record' and any other term used in this section in reference to

information includes-

(A) any information that would be an agency record subject to

the requirements of this section when maintained by an agency in

any format, including an electronic format; and

"

6

Public Law 110-175, section 8(a), 121 Stat. 2524 (2007), amended the section by redesignating sections (F)

and (G) as (N) and (0) and then adding new subsections (F) through (M).

"Public Law I 10-I175, section 8(b), 121 Stat. 2524 (2007), amended the section by redesignating paragraphs

ý2) through (5) as (3) through (6) and adding new paragraph (2).

'Public Law 110-175, section 8(c), 121 Stat. 2524 (2007), amended the section by inserting this sentence.
Administrative Procedures-5 USC 551-559 601

(B) any information described under subparagraph (A) that is

maintained for an agency by an entity under Government contract,

for the purposes of records management. 19 (2) "record" and any other

term used in this section in reference to information includes any

information that would be an agency record subject to the

requirements of this section when maintained by an agency in any

format, including an electronic format.

(g) The head of each agency shall prepare and make publicly available

upon request, reference material or a guide for requesting records or

information from the agency, subject to the exemptions in subsection (b),

including-

(I) an index of all major information systems of the agency;

(2) a description of major information and record locator systems

maintained by the agency; and

(3) a handbook for obtaining various types and categories of

public information from the agency pursuant to chapter 35 of title 44,

and under this section.

(h)(1) There is established the Office of Government Information

Services within the National Archives and Records Administration.

(2) The Office of Government Information Services shall-

(A) review policies and procedures of administrative

agencies under this section;

(B) review compliance with this section by administrative

agencies; and

(C) recommend policy changes to Congress and the

President to improve the administration of this section.

(3) The Office of Government Information Services shall offer

mediation services to resolve disputes between persons making

requests under this section and administrative agencies as a

nonexclusive alternative to litigation and, at the discretion of the

Office, may issue advisory opinions if mediation has not resolved the

dispute.

(i) The Government Accountability Office shall conduct audits of

administrative agencies on the implementation of this section and issue

reports detailing the results of such audits.

j) Each agency shall designate a Chief FOIA Officer who shall be a

senior official of such agency (at the Assistant Secretary or equivalent

level).

(k) The Chief FOIA Officer of each agency shall, subject to the authority

of the head of the agency-

(]) have agency-wide responsibility for efficient and

appropriate compliance with this section;

(2) monitor implementation of this section throughout the

agency and keep the head of the agency, the chief legal officer of the

agency, and the Attorney General appropriately informed of the

agency's performance in implementing this section;

(3) recommend to the head of the agency such adjustments to

agency practices, policies, personnel, and funding as may be

necessary to improve its implementation of this section;

"

9

Public Law 110-175, section 9, 121 Stat. 2524 (2007), struck paragraph 2 and substituted new language.

Previously, paragraph 2 read as follows: "(2) 'record' and any other term used in this section in reference to

information includes any information that would be an agency record subject to the requirements of this

section when maintained by an agency in any format, including an electronic format."

"'As amended, Public Law 104-231, §§ 3-1I, 110 Stat. 3049 to3054 (1996).
602 Administrative Procedures-5 USC 551-559

(4) review and report to the Attorney General, through the

head of the agency, at such times and in such formats as the Attorney

General may direct, on the agency's performance in implementing

this section;

(5) facilitate public understanding of the purposes of the

statutory exemptions of this section by including concise descriptions of the exemptions in both the agency's handbook issued under

subsection (g), and the agency's annual report on this section, and by

providing an overview, where appropriate, of certain general

categories of agency records to which those exemptions apply; and

(6) designate one or more FOIA Public Liaisons.

(I) FOIA Public Liaisons shall report to the agency Chief FOIA Officer

and shall serve as supervisory officials to whom a requester under this

section can raise concerns about the service the requester has received

from the FOIA Requester Center, following an initial response from the

FOIA Requester Center Staff. FOIA Public Liaisons shall be responsible

for assisting in reducing delays, increasing transparency and

understanding of the status of requests, and assisting in the resolution of

disputes.

2

'

5 USC 552a. Sec. 552a. Records Maintained On Individuals

(a) Definitions. For purposes of this section--

(1) the term "agency" means agency as defined in section 552[(f)](e) of

this title;

(2) the term "individual" means a citizen of the United States or an

alien lawfully admitted for permanent residence;

(3) the term "maintain" includes maintain, collect, use, or disseminate;

(4) the term "record" means any item, collection, or grouping of

information about an individual that is maintained by an agency,

including, but not limited to, his education, financial transactions,

medical history, and criminal or employment history and that contains

his name, or the identifying number, symbol, or other identifying

particular assigned to the individual, such as a finger or voice print or a

photograph;

(5) the term "system of records" means a group of any records under

the control of any agency from which information is retrieved by the

name of the individual or by some identifying number, symbol, or other

identifying particular assigned to the individual;

(6) the term "statistical record" means a record in a system of records

maintained for statistical research or reporting purposes only and not

used in whole or in part in making any determination about an

identifiable individual, except as provided by section 8 of title 13;

(7) the term "routine use" means, with respect to the disclosure of a

record, the use of such record for a purpose which is compatible with the

purpose for which it was collected; and

(8) the term "matching program"--

(A) means any computerized comparison of--

(i) two or more automated systems of records or a system of

records with non-Federal records for the purpose of--

(I) establishing or verifying the eligibility of, or continuing

compliance with statutory and regulatory requirements by, applicants for,

recipients or beneficiaries of, participants in, or providers of services

2

"Public Law 110-175, section 10(a), 121 Stat. 2524 (2007), amended section by adding sections (h)

through (I).
Administrative Procedures-5 USC 55 1-559 603

with respect to, cash or in-kind assistance or payments under Federal

benefit programs, or

(II) recouping payments or delinquent debts under such Federal

benefit programs, or

(ii) two or more automated Federal personnel or payroll systems of

records or a system of Federal personnel or payroll records with nonFederal records,

(B) but does not include--

(i) matches performed to produce aggregate statistical data without

any personal identifiers;

t (ii) matches performed to support any research or statistical project,

the specific data of which may not be used to make decisions concerning

the rights, benefits, or privileges of specific individuals;

(iii) matches performed, by an agency (or component thereof)

which performs as its principal function any activity pertaining to the

enforcement of criminal laws, subsequent to the initiation of a specific

criminal or civil law enforcement investigation of a named person or

persons for the purpose of gathering evidence against such person or

persons;

(iv) matches of tax information (1) pursuant to section 6103(d) of

the Internal Revenue Code of 1986 [26 USCS § 6103(d)], (11) for

purposes of tax administration as defined in section 6103(b)(4) of such

Code [26 USCS § 6103(b)(4)], (111) for the purpose of intercepting a tax

refund due an individual under authority granted by section 404(e), 464,

or 1137 of the Social Security Act [42 USCS § 604(e), 664, or 1337]; or

(IV) for the purpose of intercepting a tax refund due an individual under

any other tax refund intercept program authorized by statute which has

been determined by the Director of the Office of Management and

Budget to contain verification, notice, and hearing requirements that are

substantially similar to the procedures in section 1137 of the Social

Security Act [42 USCS § 1320b-7];

(v) matches--

(I) using records predominantly relating to Federal personnel, that

are performed for routine administrative purposes (subject to guidance

provided by the Director of the Office of Management and Budget

pursuant to subsection (v)); or

(I1) conducted by an agency using only records from systems of

records maintained by that agency;

if the purpose of the match is not to take any adverse financial,

personnel, 'disciplinary, or other adverse action against Federal personnel;

(vi) matches performed for foreign counterintelligence purposes or

to produce background checks for security clearances of Federal

personnel or Federal contractor personnel;

(vii) matches performed incident to a levy described in section

6103(k)(8) of the Internal Revenue Code of 1986 [26 USCS §

6103(k)(8)];

(viii) matches performed pursuant to section 202(x)(3) or

161 l(e)(1) of the Social Security Act (42 U.S.C. 402(x)(3), 1382(e)(1));

or

(ix) matches performed by the Secretary of Health and Human

Services or the Inspector General of the Department of Health and

Human Services with respect to potential fraud, waste, and abuse,

including matches of a system of records with non-Federal records;
604 Administrative Procedures-5 USC 551-559

(9) the term "recipient agency" means any agency, or contractor

thereof, receiving records contained in a system of records from a source

agency for use in a matching program;

(10) the term "non-Federal agency" means any State or local

government, or agency thereof, which receives records contained in a

system of records from a source agency for use in a matching program;

(11) the term "source agency" means any agency which discloses

records contained in a system of records to be used in a matching

program, or any State or local government, or agency thereof, which

discloses records to be used in a matching program;

(12) the term "Federal benefit program" means any program

administered or funded by the Federal Government, or by any agent or

State on behalf of the Federal Government, providing cash or in-kind

assistance in the form of payments, grants, loans, or loan guarantees to

individuals; and

(13) the term "Federal personnel" means officers and employees of the

Government of the United States, members of the uniformed services

(including members of the Reserve Components), individuals entitled to

receive immediate or deferred retirement benefits under any retirement

program of the Government of the United States (including survivor

benefits).

(b) Conditions of disclosure. No agency shall disclose any record which

is contained in a system of records by any means of communication to

any person, or to another agency, except pursuant to a written request by,

or with the prior written consent of, the individual to whom the record

pertains, unless disclosure of the record would be--

(1) to those officers and employees of the agency which maintains the

record who have a need for the record in the performance of their duties;

(2) required under section 552 of this title [5 USCS § 552];

(3) for a routine use as defined in subsection (a)(7) of this section and

described under subsection (e)(4)(D) of this section;

(4) to the Bureau of the Census for purposes of planning or carrying out

a census or survey or related activity pursuant to the provisions of title

13;

(5) to a recipient who has provided the agency with advance adequate

written assurance that the record will be used solely as a statistical

research or reporting record, and the record is to be transferred in a form

that is not individually identifiable;

(6) to the National Archives and Records Administration as a record

which has sufficient historical or other value to warrant its continued

preservation by the United States Government, or for evaluation by the

Archivist of the United States or the designee of the Archivist to

determine whether the record has such value;

(7) to another agency or to an instrumentality of any governmental

jurisdiction within or under the control of the United States for a civil or

criminal law enforcement activity if the activity is authorized by law, and

if the head of the agency or instrumentality has made a written request to

the agency which maintains the record specifying the particular portion

desired and the law enforcement activity for which the record is sought;

(8) to a person pursuant to a showing of compelling circumstances

affecting the health or safety of an individual if upon such disclosure

notification is transmitted to the last known address of such individual;

(9) to either House of Congress, or, to the extent of matter within its

jurisdiction, any committee or subcommittee thereof, any joint committee

of Congress or subcommittee of any such joint committee;
Administrative Procedures-5 USC 55 1-559 605

(10) to the Comptroller General, or any of his authorized

representatives, in the course of the performance of the duties of the

General Accounting Office [Government Accountability Office];

(11) pursuant to the order of a court of competent jurisdiction; or

(12) to a consumer reporting agency in accordance with section 371 I(e)

of title 3 1.

(c) Accounting of certain disclosures. Each agency, with respect to each

system of records under its control, shall--

(I) except for disclosures made under subsections (b)(l) or (b)(2) of

this section, keep an accurate accounting of--

(A) the date, nature, and purpose of each disclosure of a record to any

person or to another agency made under subsection (b) of this section;

and

(B) the name and address of the person or agency to whom the

disclosure is made;

(2) retain the accounting made under paragraph (I) of this subsection

for at least five years or the life of the record, whichever is longer, after

the disclosure for which the accounting is made;

(3) except for disclosures made under subsection (b)(7) of this section,

make the accounting made under paragraph (1) of this subsection

available to the individual named in the record at his request; and

(4) inform any person or other agency about any correction or notation

of dispute made by the agency in accordance with subsection (d) of this

section of any record that has been disclosed to the person or agency if an

accounting of the disclosure was made.

'(d) Access to records. Each agency that maintains a system of records

shall--

(1) upon request by any individual to gain access to his record or to any

information pertaining to him which is contained in the system, permit

him and upon his request, a person of his own choosing to accompany

him, to review the record and have a copy made of all or any portion

thereof in a form comprehensible to him, except that the agency may

require the individual to furnish a written statement authorizing

discussion of that individual's record in the accompanying person's

presence;

(2) permit the individual to request amendment of a record pertaining

to him and--

(A) not later than 10 days (excluding Saturdays, Sundays, and legal

public holidays) after the date of receipt of such request, acknowledge in

writing such receipt; and

(B) promptly, either--

(i) make any correction of any portion thereof which the individual

believes is not accurate, relevant, timely, or complete; or

(ii) inform the individual of its refusal to amend the record in

accordance with his request, the reason for the refusal, the procedures

established by the agency for the individual to request a review of that

refusal by the head of the agency or an officer designated by the head of

the agency, and the name and business address of that official;

(3) permit the individual who disagrees with the refusal of the agency

to amend his record to request a review of such refusal, and not later than

30 days (excluding Saturdays, Sundays, and legal public holidays) from

the date on which the individual requests such review, complete such

review and make a final determination unless, for good cause shown, the

head of the agency extends such 30-day period; and if, after his review,

the reviewing official also refuses to amend the record in accordance
606 Administrative Procedures-5 USC 551-559

with the request, permit the individual to file with the agency a concise

statement setting forth the reasons for his disagreement with the refusal

of the agency, and notify the individual of the provisions for judicial

review of the reviewing official's determination under subsection

(g)(l)(A) of this section;

(4) in any disclosure, containing information about which the

individual has filed a statement of disagreement, occurring after the filing

of the statement under paragraph (3) of this subsection, clearly note any

portion of the record which is disputed and provide copies of the

statement and, if the agency deems it appropriate, copies of a concise

statement of the reasons of the agency for not making the amendments

requested, to persons or other agencies to whom the disputed record has

been disclosed; and

(5) nothing in this section shall allow an individual access to any

information compiled in reasonable anticipation of a civil action or

proceeding.

(e) Agency requirements. Each agency that maintains a system of

records shall--

(I) maintain in its records only such information about an individual as

is relevant and necessary to accomplish a purpose of the agency required

to be accomplished by statute or by executive order of the President;

(2) collect information to the greatest extent practicable directly from

the subject individual when the information may result in adverse

determinations about an individual's rights, benefits, and privileges under

Federal programs;

(3) inform each individual whom it asks to supply information, on the

form which it uses to collect the information or on a separate form that

can be retained by the individual--

(A) the authority (whether granted by statute, or by executive order of

the President) which authorizes the solicitation of the information and

whether disclosure of such information is mandatory or voluntary;

(B) the principal purpose or purposes for which the information is

intended to be used;

(C) the routine uses which may be made of the information, as

published pursuant to paragraph (4)(D) of this subsection; and

(D) the effects on him, if any, of not providing all or any party of the

requested information;

(4) subject to the provisions of paragraph (11) of this subsection,

publish in the Federal Register upon establishment or revision a notice of

the existence and character of the system of records, which notice shall

include--

(A) the name and location of the system;

(B) the categories of individuals on whom records are maintained in

the system;

(C) the categories of records maintained in the system;

(D) each routine use of the records contained in the system, including

the categories of users and the purpose of such use;

(E) the policies and practices of the agency regarding storage,

retrievability, access controls, retention, and disposal of the records;

(F) the title and business address of the agency official who is

responsible for the system of records;

(G) the agency procedures whereby an individual can be notified at

his request if the system of records contains a record pertaining to him;

(H) the agency procedures whereby an individual can be notified at

his request how he can gain access to any record pertaining to him
Administrative Procedures-5 USC 55 1-559 607

contained in the system of records, and how he can contest its content;

and

(I) the categories of sources or records in the system;

(5) maintain all records which are used by the agency in making any

determination about any individual with such accuracy, relevance,

timeliness, and completeness as is reasonably necessary to assure fairness

to the individual in the determination;

(6) prior to disseminating any record about an individual to any person

other than an agency, unless the dissemination is made pursuant to

subsection (b)(2) of this section, make reasonable efforts to assure that

such records are accurate, complete, timely, and relevant for agency

purposes;

(7) maintain no record describing how any individual exercises rights

guaranteed by the First Amendment unless expressly authorized by

statute or by the individual about whom the record is maintained or

unless pertinent to and within the scope of an authorized law enforcement

activity;

(8) make reasonable efforts to serve notice on an individual when any

record on such individual is made available to any person under

compulsory legal process when such process becomes a matter of public

record;

(9) establish rules of conduct for persons involved in the design,

development, operation, or maintenance of any system of records, or in

maintaining any record, and instruct each such person with respect to

such rules and the requirements of this section, including any other rules

and procedures adopted pursuant to this section and the penalties for

noncompliance;

(10) establish appropriate administrative, technical, and physical

safeguards to insure the security and confidentiality of records and to

protect against any anticipated threats or hazards to their security or

integrity which could result in substantial harm, embarrassment,

inconvenience, or unfairness to any individual on whom information is

maintained;

(1I) at least 30 days prior to publication of information under

paragraph (4)(D) of this subsection, publish in the Federal Register

notice of any new use or intended use of the information in the system,

and provide an opportunity for interested persons to submit written data,

views, or arguments to the agency; and

(12) [Caution: For effective date, see 1988 Amendment note] if such

agency is a recipient agency or a source agency in a matching program

with a non-Federal agency, with respect to any establishment or revision

of a matching program, at least 30 days prior to conducting such

program, publish in the Federal Register notice of such establishment or

revision.

(f) Agency Rules. In order to carry out the provisions of this section,

each agency that maintains a system of records shall promulgate rules, in

accordance with the requirements (including general notice) of section

553 of this title [5 USCS § 553], which shall--

(]) establish procedures whereby an individual can be notified in

response to his request if any system of records named by the individual

contains a record pertaining to him;

(2) define reasonable times, places, and requirements for identifying an

individual who requests his record or information pertaining to him

before the agency shall make the record or information available to the

individual;
608 Administrative Procedures-5 USC 551-559

(3) establish procedures for the disclosure to an individual upon his

request of his record or information pertaining to him, including special

procedure, if deemed necessary, for the disclosure to an individual of

medical records, including psychological records, pertaining to him;

(4) establish procedures for reviewing a request from an individual

concerning the amendment of any record or information pertaining to the

individual, for making a determination on the request, for an appeal

within the agency of an initial adverse agency determination, and for

whatever additional means may be necessary for each individual to be

able to exercise fully his rights under this section; and

(5) establish fees to be charged, if any, to any individual for making

copies of his record, excluding the cost of any search for and review of

the record.

The Office of the Federal Register shall biennially compile and

publish the rules promulgated under this subsection and agency notices

published under subsection (e)(4) of this section in a form available to

the public at low cost.

(g) Civil remedies.

(1) Whenever any agency--

(A) makes a determination under subsection (d)(3) of this section not

to amend an individual's record in accordance with his request, or fails to

make such review in conformity with that subsection;

(B) refuses to comply with an individual request under subsection

(d)(l) of this section;

(C) fails to maintain any record concerning any individual with such

accuracy, relevance, timeliness, and completeness as is necessary to

assure fairness in any determination relating to the qualifications,

character, rights, or opportunities of, or benefits to the individual that

may be made on the basis of such record, and consequently a

determination is made which is adverse to the individual; or

(D) fails to comply with any other provision of this section, or any

rule promulgated thereunder, in such a way as to have an adverse effect

on an individual,

the individual may bring a civil action against the agency, and the

district courts of the United States shall have jurisdiction in the matters

under the provisions of this subsection.

(2) (A) In any suit brought under the provisions of subsection (g)(l)(A)

of this section, the court may order the agency to amend the individual's

record in accordance with his request or in such other way as the court

may direct. In such a case the court shall determine the matter de novo.

(B) The court may assess against the United States reasonable

attorney fees and other litigation costs reasonably incurred in any case

under this paragraph in which the complainant has substantially

prevailed.

(3) (A) In any suit brought under the provisions of subsection (g)(l)(B)

of this section, the court may enjoin the agency from withholding the

records and order the production to the complainant of any agency

records improperly withheld from him. In such a case the court shall

determine the matter de novo, and may examine the contents of any

agency records in camera to determine whether the records or any portion

thereof may be withheld under any of the exemptions set forth in

subsection (k) of this section, and the burden is on the agency to sustain

its action.

(B) The court may assess against the United States reasonable

attorney fees and other litigation costs reasonably incurred in any case
Administrative Procedures-5 USC 55 1-559 609

under this paragraph in which the complainant has substantially

prevailed.

(4) In any suit brought under the provisions of subsection (g)(l)(C) or

(D) of this section in which the court determines that the agency acted in

a manner which was intentional or willful, the United States shall be

liable to the individual in an amount equal to the sum of--

(A) actual damages sustained by the individual as a result of the

refusal or failure, but in no case shall a person entitled to recovery

receive less than the sum of $ 1,000; and

(B) the costs of the action together with reasonable attorney fees as

determined by the court.

(5) An action to enforce any liability created under this section may be

brought in the district court of the United States in the district in which

the complainant resides, or has his principal place of business, or in

which the agency records are situated, or in the District of Columbia,

without regard to the amount in controversy, within two years from the

date on which the cause of action arises, except that where an agency has

materially and willfully misrepresented any information required under

this section to be disclosed to an individual and the information so

misrepresented is material to establishment of the liability of the agency

to the individual under this section, the action may be brought at any time

within two years after discovery by the individual of the

misrepresentation. Nothing in this section shall be construed to authorize

any civil action by reason of any injury sustained as the result of a

disclosure of a record prior to September 27, 1975.

(h) Rights of legal guardians. For the purposes of this section, the parent

of any minor, or the legal guardian of any individual who has been

declared to be incompetent due to physical or mental incapacity or age by a court of competent jurisdiction, may act on behalf of the individual.

(i) Criminal penalties.

(1) Any officer or employee of an agency, who by virtue of his

employment or official position, has possession of, or access to, agency

records which contain individually identifiable information the disclosure

of which is prohibited by this section or by rules or regulations

established thereunder, and who knowing that disclosure of the specific

material is so prohibited, willfully discloses the material in any manner to

any person or agency not entitled to receive it, shall be guilty of a

misdemeanor and fined not more than $ 5,000.

(2) Any officer or employee of any agency who willfully maintains a

system of records without meeting the notice requirements of subsection

(e)(4) of this section shall be guilty of a misdemeanor and fined not more

than $ 5,000.

(3) Any person who knowingly and willfully requests or obtains any

record concerning an individual from an agency under false pretenses

shall be guilty of a misdemeanor and fined not more than $ 5,000.

(J) General exemptions. The head of any agency may promulgate rules,

in accordance with the requirements (including general notice) of

sections 553(b)(1), (2), and (3), (c), and (e) of this title [5 USCS §§

553(b)(1), (2), and (3), (c), and (e)], to exempt any system of records

within the agency from any part of this section except subsections (b),

(c)(I) and (2), (e)(4)(A) through (F), (e)(6), (7), (9), (10), and (II), and

(i) if the system of records is--

(]) maintained by the Central Intelligence Agency; or

(2) maintained by an agency or component thereof which performs as

its principal function any activity pertaining to the enforcement of
610 Administrative Procedures-5 USC 551-559

criminal laws, including police efforts to prevent, control, or reduce

crime or to apprehend criminals, and the activities of prosecutors, courts,

correctional, probation, pardon, or parole authorities, and which consists

of (A) information compiled for the purpose of identifying individual

criminal offenders and alleged offenders and consisting only of

identifying data and notations of arrests, the nature and disposition of

criminal charges, sentencing, confinement, release, and parole and

probation status; (B) information compiled for the purpose of a criminal

investigation, including reports of informants and investigators, and

associated with an identifiable individual; or (C) reports identifiable to an

individual compiled at any stage of the process of enforcement of the

criminal laws from arrest or indictment through release from supervision.

At the time rules are adopted under this subsection, the agency shall

include in the statement required under section 553(c) of this title [5

USCS § 553(c)), the reasons why the system of records is to be exempted

from a provision of this section.

(k) Specific exemptions. The head of any agency may promulgate rules,

in accordance with the requirements (including general notice) of

sections 553(b)(1), (2), and (3), (c), and (e) of this title [5 USCS §§

553(b)(1), (2), and (3), (c), and (e)], to exempt any system of records

within the agency from subsections (c)(3), (d), (e)(1), (e)(4)(G), (H), and

(1) and (f) of this section if the system of records is--

(1) subject to provisions of section 552(b)(1) of this title [5 USCS §

552(b)(1)];

(2) investigatory material compiled for law enforcement purposes,

other than material within the scope of subsection 0)(2) of this section:

Provided, however, That if any individual is denied any right, privilege,

or benefit that he would otherwise be entitled by Federal law, or for

which he would otherwise be eligible, as a result of the maintenance of

such material, such material shall be provided to such individual, except

to the extent that the disclosure of such material would reveal the identity

of a source who furnished information to the Government under an

express promise that the identity of the source would be held in

confidence, or, prior to the effective date of this section, under an implied

promise that the identity of the source would be held in confidence;

(3) maintained in connection with providing protective services to the

President of the United States or other individuals pursuant to section

3056 of title 18;

(4) required by statute to be maintained and used solely as statistical

records;

(5) investigatory material compiled solely for the purpose of

determining suitability, eligibility, or qualifications for Federal civilian

employment, military service, Federal contracts, or access to classified

information, but only to the extent that the disclosure of such material

would reveal the identity of a source who furnished information to the

Government under an express promise that the identity of the source

would be held in confidence, or, prior to the effective date of this section,

under an implied promise that the identity of the source would be held in

confidence;

(6) testing or examination material used solely to determine individual

qualifications for appointment or promotion in the Federal service the

disclosure of which would compromise the objectivity or fairness of the

testing or examination process; or

(7) evaluation material used to determine potential for promotion in the

armed services, but only to the extent that the disclosure of such material
Administrative Procedures-5 USC 55 1-559 611

would reveal the identity of a source who furnished information to the

Government under an express promise that the identity of the source

would be held in confidence, or, prior to the effective date of this section,

under an implied promise that the identity of the source would be held in

confidence.

At the time rules are adopted under this subsection, the agency shall

include in the statement required under section 553(c) of this title [5

USCS § 553(c)], the reasons why the system of records is to be exempted

from a provision of this section.

(I) Archival records.

(I) Each agency record which is accepted by the Archivist of the

United States for storage, processing, and servicing in accordance with

section 3103 of title 44 shall, for the purposes of this section, be

considered to be maintained by the agency which deposited the record

and shall be subject to the provisions of this section. The Archivist of the

United States shall not disclose the record except to the agency which

maintains the record, or under rules established by that agency which are

not inconsistent with the provisions of this section.

(2) Each agency record pertaining to an identifiable individual which

was transferred to the National Archives of the United States as a record

which has sufficient historical or other value to warrant its continued

preservation by the United States Government, prior to the effective date

of this section, shall, for the purposes of this section, be considered to be

maintained by the National Archives and shall not be subject to the

provisions of this section, except that a statement generally describing

such records (modeled after the requirements relating to records subject

to subsections (e)(4)(A) through (G) of this section) shall be published in

the Federal Register.

(3) Each agency record pertaining to an identifiable individual which is

transferred to the National Archives of the United States as a record

which has sufficient historical or other value to warrant its continued

preservation by the United States Government, on or after the effective

date of this section [effective 270 days following Dec. 31, 1974], shall,

for the purposes of this section, be considered to be maintained by the

National Archives and shall be exempt from the requirements of this

section except subsections (e)(4)(A) through (G) and (e)(9) of this

section.

(m) Government contractors.

(1) When an agency provides by a contract for the operation by or on behalf of the agency of a system of records to accomplish an agency

function, the agency shall, consistent with its authority, cause the

requirements of this section to be applied to such system. For purposes of

subsection (i) of this section any such contractor and any employee of

such contractor, if such contract is agreed to on or after the effective date

of this section, shall be considered to be an employee of an agency.

(2) A consumer reporting agency to which a record is disclosed under

section 3711 (e) of title 31 shall not be considered a contractor for the

purposes of this section.

(n) Mailing lists. An individual's name and address may not be sold or

rented by an agency unless such action is specifically authorized by law.

This provision shall not be construed to require the withholding of names

and addresses otherwise permitted to be made public.

(o) Matching agreements.

(1) No record which is contained in a system of records may be

disclosed to a recipient agency or non-Federal agency for use in a
612 Administrative Procedures-5 USC 551-559

computer matching program except pursuant to a written agreement

between the source agency and the recipient agency or non-Federal

agency specifying--

(A) the purpose and legal authority for conducting the program;

(B) the justification for the program and the anticipated results,

including a specific estimate of any savings;

(C) a description of the records that will be matched, including each

data element that will be used, the approximate number of records that

will be matched, and the projected starting and completion dates of the

matching program;

(D) procedures for providing individualized notice at the time of

application, and notice periodically thereafter as directed by the Data

Integrity Board of such agency (subject to guidance provided by the

Director of the Office of Management and Budget pursuant to subsection

(v)), to--

(i) applicants for and recipients of financial assistance or payments

under Federal benefit programs, and

(ii) applicants for and holders of positions as Federal personnel, that

any information provided by such applicants, recipients, holders and

individuals may be subject to verification through matching programs;

(E) procedures for verifying information produced in such matching

program as required by subsection (p);

(F) procedures for the retention and timely destruction of identifiable

records created by a recipient agency or non-Federal agency in such

matching program;

(G) procedures for ensuring the administrative, technical, and

physical security of the records matched and the results of such

programs;

(H) prohibitions on duplication and redisclosure of records provided

by the source agency within or outside the recipient agency or the nonFederal agency, except where required by law or essential to the conduct

of the matching program;

(1) procedures governing the use by a recipient agency or non-Federal

agency of records provided in a matching program by a source agency,

including procedures governing return of the records to the source

agency or destruction of records used in such program;

(J) information on assessments that have been made on the accuracy

of the records that will be used in such matching program; and

(K) that the Comptroller General may have access to all records of a recipient agency or a non-Federal agency that the Comptroller General

deems necessary in order to monitor or verify compliance with the

agreement.

(2) (A) A copy of each agreement entered into pursuant to paragraph

(I) shall--

(i) be transmitted to the Committee on Governmental Affairs of the

Senate and the Committee on Government Operations of the House of

Representatives; and

(ii) be available upon request to the public.

(B) No such agreement shall be effective until 30 days after the date

on which such a copy is transmitted pursuant to subparagraph (A)(i).

(C) Such an agreement shall remain in effect only for such period, not

to exceed 18 months, as the Data Integrity Board of the agency

determines is appropriate in light of the purposes, and length of time

necessary for the conduct, of the matching program.
Administrative Procedures-5 USC 551-559 613

(D) Within 3 months prior to the expiration of such an agreement

pursuant to subparagraph (C), the Data Integrity Board of the agency

may, without additional review, renew the matching agreement for a

current, ongoing matching program for not more than one additional year

if--

(i) such program will be conducted without any change; and

(ii) each party to the agreement certifies to the Board in writing that

the program has been conducted in compliance with the agreement.

(p) Verification and opportunity to contest findings.

(I) In order to protect any individual whose records are used in a

matching program, no recipient agency, non-Federal agency, or source

agency may suspend, terminate, reduce, or make a final denial of any

financial assistance or payment under a Federal benefit program to such

individual, or take other adverse action against such individual, as a

result of information produced by such matching program, until--

(A) (i) the agency has independently verified the information; or

(ii) the Date Integrity Board of the agency, or in the case of a nonFederal agency the Data Integrity Board of the source agency, determines

in accordance with guidance issued by the Director of the Office of

Management and Budget that--

(I) the information is limited to identification and amount of

benefits paid by the source agency under a Federal benefit program; and

(I1) there is a high degree of confidence that the information

provided to the recipient agency is accurate;

(B) the individual receives a notice from the agency containing a

statement of its findings and informing the individual of the opportunity

to contest such findings; and

(C) (i) the expiration of any time period established for the program

by statute or regulation for the individual to respond to that notice; or

(ii) in the case of a program for which no such period is established,

the end of the 30-day period beginning on the date on which notice under

subparagraph (B) is mailed or otherwise provided to the individual.

(2) Independent verification referred to in paragraph (1) requires

investigation and confirmation of specific information relating to an

individual that is used as a basis for an adverse action against the

individual, including where applicable investigation and confirmation of-

(A) the amount of any asset or income involved;

(B) whether such individual actually has or had access to such asset

or income for such individual's own use; and

(C) the period or periods when the individual actually had such asset

or income.

(3) Notwithstanding paragraph (1), an agency may take any appropriate

action otherwise prohibited by such paragraph if the agency determines

that the public health or public safety may be adversely affected or

significantly threatened during any notice period required by such

paragraph.

(q) Sanctions.

(1) Notwithstanding any other provision of law, no source agency may

disclose any record which is contained in a system of records to a

recipient agency or non-Federal agency for a matching program if such

source agency has reason to believe that the requirements of subsection

(p), or any matching agreement entered into pursuant to subsection (o), or

both, are not being met by such recipient agency.

(2) No source agency may renew a matching agreement unless--
614 Administrative Procedures-5 USC 551-559

(A) the recipient agency or non-Federal agency has certified that it

has complied with the provisions of that agreement; and

(B) the source agency has no reason to believe that the certification is

inaccurate.

(r) Report on new systems and matching programs. Each agency that

proposes to establish or make a significant change in a system of records

or a matching program shall provide adequate advance notice of any such

proposal (in duplicate) to the Committee on Government Operations of

the House of Representatives, the Committee on Governmental Affairs of

the Senate, and the Office of Management and Budget in order to permit

an evaluation of the probable or potential effect of such proposal on the

privacy or other rights of individuals.

(s) Biennial report. The President shall biennally submit to the Speaker

of the House of Representatives and the President pro tempore of the

Senate a report--

(1) describing the actions of the Director of the Office of Management

and Budget pursuant to section 6 of the Privacy Act of 1974 during the

preceding 2 years;

(2) describing the exercise of individual rights of access and

amendment under this section during such years;

(3) identifying changes in or additions to systems of records;

(4) containing such other information concerning administration of this

section as may be necessary or useful to the Congress in reviewing the

effectiveness of this section in carrying out the purposes of the Privacy

Act of 1974 [note to this section].

(t) Effect of other laws.

(I) No agency shall rely on any exemption contained in section 552 of

this title [5 USCS § 552] to withhold from an individual any record

which is otherwise accessible to such individual under the provisions of

this section.

(2) No agency shall rely on any exemption in this section to withhold

from an individual any record which is otherwise accessible to such

individual under the provisions of section 552 of this title [5 USCS §

552].

(u) Data Integrity Boards.

(I) Every agency conducting or participating in a matching program

shall establish a Data Integrity Board to oversee and coordinate among

the various components of such agency the agency's implementation of

this section.

(2) Each Data Integrity Board shall consist of senior officials

designated by the head of the agency, and shall include any senior

official designated by the head of the agency as responsible for

implementation of this section, and the inspector general of the agency, if

any. The inspector general shall not serve as chairman of the Data

Integrity Board.

(3) Each Data Integrity Board--

(A) shall review, approve, and maintain all written agreements for

receipt or disclosure of agency records for matching programs to ensure

compliance with subsection (o), and all relevant statutes, regulations, and

guidelines;

(B) shall review all matching programs in which the agency has

participated during the year, either as a source agency or recipient

agency, determine compliance with applicable laws, regulations,

guidelines, and agency agreements, and assess the costs and benefits of

such programs;
Administrative Procedures-5 USC 55 1-559 615

(C) shall review all recurring matching programs in which the agency

has participated during the year, either as a source agency or recipient

agency, for continued justification for such disclosures;

(D) shall compile an annual report, which shall be submitted to the

head of the agency and the Office of Management and Budget and made

available to the public on request, describing the matching activities of

the agency, including--

(i) matching programs in which the agency has participated as a

source agency or recipient agency;

(ii) matching agreements proposed under subsection (o) that were

disapproved by the Board;

(iii) any changes in membership or structure of the Board in the

preceding year;

(iv) the reasons for any waiver of the requirement in paragraph (4)

of this section for completion and submission of a cost-benefit analysis

prior to the approval of a matching program;

(v) any violations of matching agreements that have been alleged or

identified and any corrective action taken; and

(vi) any other information required by the Director of the Office of

Management and Budget to be included in such report;

(E) shall serve as a clearinghouse for receiving and providing

information on the accuracy, completeness, and reliability of records

used in matching programs;

(F) shall provide interpretation and guidance to agency components

and personnel on the requirements of this section for matching programs;

(G) shall review agency recordkeeping and disposal policies and

practices for matching programs to assure compliance with this section;

and

(H) may review and report on any agency matching activities that are

not matching programs.

(4) (A) Except as provided in subparagraphs (B) and (C), a Data

Integrity Board shall not approve any written agreement for a matching

program unless the agency has completed and submitted to such Board a

cost-benefit analysis of the proposed program and such analysis

demonstrates that the program is likely to be cost effective.

•(B) The Board may waive the requirements of subparagraph (A) of

this paragraph if it determines in writing, in accordance with guidelines

prescribed by the Director of the Office of Management and Budget, that

a cost-benefit analysis is not required.

(C) A cost-benefit analysis shall not be required under subparagraph

(A) prior to the initial approval of a written agreement for a matching

program that is specifically required by statute. Any subsequent written

agreement for such a program shall not be approved by the Data Integrity

Board unless the agency has submitted a cost-benefit analysis of the

program as conducted under the preceding approval of such agreement.

(5) (A) If a matching agreement is disapproved by a Data Integrity

Board, any party to such agreement may appeal the disapproval to the

Director of the Office of Management and Budget. Timely notice of the

filing of such an appeal shall be provided by the Director of the Office of

Management and Budget to the Committee on Governmental Affairs of

the Senate and the Committee on Government Operations of the House

of Representatives.

(B) The Director of the Office of Management and Budget may

approve a matching agreement notwithstanding the disapproval of a Data

Integrity Board if the Director determines that--
616 Administrative Procedures-5 USC 551-559

(i) the matching program will be consistent with all applicable

legal, regulatory, and policy requirements;

(ii) there is adequate evidence that the matching agreement will be

cost-effective; and

(iii) the matching program is in the public interest.

(C) The decision of the Director to approve a matching agreement shall not take effect until 30 days after it is reported to committees

described in subparagraph (A).

(D) If the Data Integrity Board and the Director of the Office of

Management and Budget disapprove a matching program proposed by

the inspector general of an agency, the inspector general may report the

disapproval to the head of the agency and to the Congress.

(6) In the reports required by paragraph (3)(D), agency matching

activities that are not matching programs may be reported on an

aggregate basis, if and to the extent necessary to protect ongoing law

enforcement or counterintelligence investigations.

(v) Office of Management and Budget responsibilities. The Director of

the Office of Management and Budget shall--

(1) develop and, after notice and opportunity for public comment,

prescribe guidelines and regulations for the use. of agencies in

implementing the provisions of this section; and

(2) provide continuing assistance to and oversight of the

implementation of this section by agencies.

(w) Applicability to Bureau of Consumer Financial Protection, Except as

provided in the Consumer Financial Protection Act of 2010, this section

shall apply with respect to the Bureau of Consumer Financial

Protection. 2

5 USC 552b. See. 552b. Open Meetings

(a) For purposes of this section-

(I) the term "agency" means any agency, as defined in section

552(e) of this title, headed by a collegial body composed of two or

more individual members, a majority of whom are appointed to such

position by the President with the advice and consent of the Senate,

and any subdivision thereof authorized to act on behalf of the

agency; (2) the term "meeting" means the deliberations of at least the

number of individual agency members required to take action on

behalf of the agency where such deliberations determine or result in

the joint conduct or disposition of official agency business, but does

not include deliberation required or permitted by subsection (d) or

(e); and

(3) the term "members" means an individual who belongs to a

collegial body heading an agency. (b) Members shall not jointly conduct or dispose of agency business

other than in accordance with this section. Except as provided in

"

2

Added P.L. 93-579, § 3, 88 Stat. 1897 (1974); P.L. 94-183, § 2(2), 89 Stat 1057 (1975); P.L. 97-365, § 2, 96

Stat. 1749 (1982); P.L. 97-375, Title It, § 201(a), (b), 96 Stat. 1821 (1982); P.L. 97-452, § 2(a)(1), 96 Stat.

2478 (1983); P.L. 98-477, § 2(c), 98 Stat. 2211 (1984); P.L. 98-497, Title I, § 107(g), 98 Stat. 2292 (1984);

P.L. 100-503, §§ 2-5, 6(a), 7, 8, 102 Stat. 2507-2514 (1988); P.L. 101-508, Title VII, Subtitle C, § 7201(b)(1),

104 Stat. 1388-334 (1990); P.L. 103-66, Title XIII, Ch. 2, Subch. A, Part V, § 13581(c), 107 Stat. 611 (1993);

P.L. 104-193, Title I, § 110(w), 110 Stat. 2175 (1996); P.L. 104-226, § I(b)(3), 110 Stat. 3033 (1996);

P.L. 104-316, Title I, § 115(g)(2)(B), 110 Stat. 3835 (1996); P.L. 105-34, Title IX, Subtitle C, § 1026(b)(2),

111 Stat. 925 (1997); P.L. 105-362, Title XIII, § 1301(d), 112 Stat. 3293 (1998); P.L. 106-170, Title IV, §

402(a)(2), 113 Stat. 1908 (1999). As amended P.L. 111-148, Title VI, Subtitle E, § 6402(b)(2), 124 Slat. 756

(2010); P.L. 111-203, Title X, Subtitle H, § 1082, 124 Stat. 2080 (2010).
Administrative Procedures-5 USC 55 1-559 617

subsection (c), every portion of every meeting of an agency shall be open

to public observation.

(c) Except in a case where the agency finds that the public interest

requires otherwise, the second sentence of subsection (b) shall not apply

any portion of any agency meeting, and the requirements of subsections

(d) and (e) shall not apply to any information pertaining to such meeting

otherwise required by this section to be disclosed to the public, where the

agency properly determines that such portion or portions of its meeting

or the disclosure of such information is likely to-

(1) disclose matters that are (A) specifically authorized under

criteria established by an Executive Order to be kept secret in the

interest of national defense or foreign policy and (B) in fact properly

classified pursuant to such Executive Order;

(2) relate solely to the internal personnel rules and practices of an

agency;

(3) disclose matters specifically exempted from disclosure by

statute (other than section 552, of this title), provided that such

statute (A) requires that the matters be withheld from.the public in

such a manner as to leave no discretion on the issue, or

(B) establishes particular criteria for withholding or refers to

particular types of matters to be withheld;

(4) disclose trade secrets and commercial or financial information

obtained from a person and privileged or confidential;

(5) involve accusing any person of a crime, or formally censuring

any person;

.(6) disclose information of a personal nature where disclosure

would constitute a clearly unwarranted invasion of personal privacy;

(7) disclose investigatory records compiled for law enforcement

purposes, or information which if written would be contained in such

records, but only to the extent that the production of such records or

information would (A) interfere with enforcement proceedings, (B)

deprive a person of a right to a fair trial or an impartial adjudication,

(C) constitute an unwarranted invasion of personal privacy, (D)

disclose the identity of a confidential source and, in the case of a

record compiled by criminal law enforcement authority in the course

of a criminal investigation, or by an agency conducting a lawful

national security intelligence investigation, confidential information

furnished only by the confidential source, (E) disclose investigative

techniques and procedures, or (F) endanger the life or physical safety

of law enforcement personnel;

(8) disclose information contained in or related to examination,

operating, or condition reports prepared by, on behalf of, or for the

use of an agency responsible for the regulation or supervision of

financial institutions;

(9) disclose information the premature disclosure of which

would-

(A) in the case of an agency which regulates currencies,

securities, commodities, or financial institutions, be likely to (i) lead

to significant financial speculation in currencies, securities, or

commodities, or (ii) significantly endanger the stability of any

financial institution; or

(B) in the case of any agency, be likely to significantly

frustrate implementation of a proposed agency action,

except that subparagraph (B) shall not apply in any instance

where the agency has already disclosed to the public the content or
618 Administrative Procedures-5 USC 551-559

nature of its proposed action, or where the agency is required by law

to make such disclosure on its own initiative prior to taking final

agency action on such proposal; or

(10) specifically concern the agency's issuance of a subpoena, or

the agency's participation in a civil action or proceeding, an action in

a foreign court or internecine tribunal, or an arbitration, or the

initiation, conduct, or disposition by the agency of a particular case

of formal agency adjudication pursuant to the procedures in section

554 of this title or otherwise involving a determination on the record

after opportunity for a hearing.

(d)(l) Action under subsection (c) shall be taken only when a

majority of the entire membership of the agency (as defined in

subsection (a)(l)) votes to take such action. A separate vote of the

agency members shall be taken with respect to each agency meeting

a portion or portions of which are proposed to be closed to the public

pursuant to subsection (c), or with respect to any information which

is proposed to be withheld under subsection (c). A single vote may

be taken with respect to a series of meetings, a portion or portions of

which are proposed to be closed to the public, or with respect to any

information concerning such series of meetings, so long as each

meeting in such series involves the same particular matters and is

scheduled to be held no more than thirty days after the initial

meeting in such series. The vote of each agency member

participating in such vote shall be recorded and no proxies shall be

allowed.

(2) Whenever any person whose interests may be directly

affected by a portion of a meeting requests that the agency close

such portion to the public for any of the reasons referred to in

paragraph (5), (6), or (7) of subsection (c), the agency, upon request

of any one of its members, shall vote by recorded vote whether to

close such meeting.

(3) Within one day of any vote taken pursuant to paragraph (1) or

(2), the agency shall make publicly available a written copy of such

vote reflecting the vote of each member on the question. If a portion

of a meeting is to be closed to the public, the agency shall, within

one day of the vote taken pursuant to paragraph (1) or (2) of this

subsection, make publicly available a full written explanation of its

action closing the portion together with a list of all persons expected

to attend the meeting and their affiliation.

(4) Any agency, a majority of whose meetings may properly be

closed to the public pursuant to paragraph (4), (8), (9)(A), or (10) of

subsection (c), or any combination thereof, may provide by

regulation for the closing of such meetings or portions thereof in the

event that a majority of the members of the agency votes by recorded

vote at the beginning of such meeting, or portion thereof, to close the

exempt portion or portions of the meeting, and a copy of such vote,

reflecting the vote of each member on the question, is made

available to the public. The provisions of paragraphs (1), (2), and

(3) of this subsection and subsections (e) shall not apply to any

portion of a meeting to which such regulations apply: Provided,

That the agency shall, except to the extent that such information is

exempt from disclosure under the provisions of subsection (c),

provide the public with public announcement of the time, place, and

subject matter of the meeting and of each portion thereof at the

earliest practicable time.
Administrative Procedures-5 USC 551-559 619

(e)(1) In the case of each meeting, the agency shall make public

announcement, at least one week before the meeting, of the time,

place, and subject matter of the meeting, whether it is to be open or

closed to the public, and the name and phone number of the official

designated by the agency to respond to requests for information

about the meeting. Such announcement shall be made unless a

majority of the members of the agency determines by a recorded

vote that agency business requires that such meeting be called at an

earlier date, in which case the agency shall make public

announcement of the time, place, and subject matter of such

meeting, and whether open or closed to the public at the earliest

practicable time.

(2) The time or place of a meeting may be changed following the

public announcement required by paragraph (1) only if the agency

publicly announces such change at the earliest practicable time. The

subject matter of a meeting, or the determination of the agency to

open or close a meeting, or portion of a meeting, to the public, may

be changed following the public announcement required by this

subsection only if (A) a majority of the entire membership of the

agency determines by a recorded vote that agency business so

requires and that no earlier announcement of the chance was

possible, and (B) the agency publicly announces such change and the

vote of each member upon such change at the earliest practicable

time.

(3) Immediately following each public announcement required by

this subsection, notice of the time, place, and subject matter of a

meeting, whether the meeting is open or closed, any change in one of

the preceding, and the name and phone number of the official

designated by the agency to respond to requests for information

about the meeting, shall also be submitted for publication in the

Federal Register.

(f)(I) For every meeting closed pursuant to paragraphs (1) through

(10) of subsection (c), the General Counsel or chief legal officer of

the agency shall publicly certify that, in his or her opinion, the

meeting may be closed to the public and shall state each relevant

exemptive provision. A copy of such certification, together with a

statement from the presiding officer of the meeting setting forth the

time and place of the meeting, and the persons present, shall be

retained by the agency. The agency shall maintain a complete

transcript or electronic recording adequate to record fully the

proceedings of each meeting, or portion of a meeting, closed to the

public, except that in the case of a meeting, or portion of a meeting,

closed to the public pursuant to paragraph (8), (9)(A), or (10) of

subsection (c), the agency shall maintain either such a transcript or

recording, or a set of minutes. Such minutes shall fully and clearly

describe all matters discussed and shall provide a full and accurate

summary of any actions taken, and the reasons therefor, including a

description of each of the views expressed on any item and the

record of any roll-call vote (reflecting the vote of each member on

the question). All documents considered in connection with any

action shall be identified in such minutes.

(2) The agency shall make promptly available to the public, in a

place easily accessible to the public, the transcript, electronic

recording, or minutes (as required by paragraph (I)) of the

discussion of any item on the agenda, or of any item of the testimony
620 Administrative Procedures-5 USC 551-559

of any witness received at the meeting, except for such item or items

of such discussion or testimony as the agency determines to contain

information which may be withheld under subsection (c). Copies of

such transcript, or minutes, or a transcription of such recording

disclosing the identity of each speaker, shall be furnished to any

person at the actual cost of duplication or transcription. The agency

shall maintain a complete verbatim copy of the transcript, a complete

copy of the minutes, or a complete electronic recording of each

meeting, or portion of a meeting, closed to the public, for a period of

at least two years after such meeting, or until one year after the

conclusion of any agency proceeding with respect to which the

meeting or portion was held, whichever occurs later.

(g) Each agency subject to the requirements of this section shall, within

180 days after the date of enactment of this section, following

consultation with the Office of the Chairman of the Administrative

Conference of the United States and published notice in the Federal

Register of at least thirty days and an opportunity for written comments

by any person, promulgate regulations to implement the requirements of

subsections (b) through (f) of this section. Any person may bring a

proceeding in the United States District Court for the District of

Columbia to require an agency to promulgate such regulations if such

agency has not promulgated such regulations within the time period

specified herein. Subject to any limitations of time provided by law, any

person may bring a proceeding in the United States Court of Appeals for

the District of Columbia to set aside agency regulations issued pursuant

to this subsection that are not in accord with the requirements of

subsections (b) through (f) of this section and to require the promulgation

of regulations that are in accord with such subsections.

(h)(1) The district courts of the United States shall have jurisdiction to

enforce the requirements of subsections (b) through (f) of this

section by declaratory judgment, injunctive relief, or other relief as

may be appropriate. Such actions may be brought by any person

against an agency prior to, or within sixty days after, the meeting out

of which the violation of this section arises, except that if public

announcement of such meeting is not initially provided by the

agency in accordance with the requirements of this section, such

action may be instituted pursuant to this section at any time prior to

sixty days after any public announcement of such meeting. Such

actions may be brought in the district court of the United States for

the district in which the agency meeting is held or in which the

agency in question has its headquarters, or in the District Court for

the District of Columbia. In such actions a defendant shall serve his

answer within thirty days after the service of the complaint. The

burden is on the defendant to sustain his action. In deciding such

cases the court may examine in camera any portion of the transcript,

electronic recording, or minutes of a meeting closed to the public,

and may take such additional evidence as it deems necessary. The

court, having due regard for orderly administration and the public

interest, as well as the interests of the parties, may grant such

equitable relief as it deems appropriate, including granting an

injunction against future violations of this section or ordering the

agency to make available to the public such portion of the transcript,

recording, or minutes of a meeting as is not authorized to be

withheld under subsection (c) of this section.
Administrative Procedures-5 USC 55 1-559 621

(2) Any Federal court otherwise authorized by law to review

agency action may, at the application of any person properly

participating in the proceeding pursuant to other applicable law,

inquire into violations by the agency of the requirements of this

section and afford such relief as it deems appropriate. Nothing in this

section authorizes any Federal court having jurisdiction solely on the

basis of paragraph (1) to set aside, enjoin, or invalidate any agency

action (other than an action to close a meeting or to withhold

information under this section) taken or discussed at any agency

meeting out of which the violation of this section arose.

(i) The court may assess against any party reasonable attorney fees and

other litigation costs reasonably incurred by any other party who

substantially prevails in any action brought in accordance with the

provisions of subsections (g) or (h) of this section, except that costs may

be assessed against the plaintiff only where the court finds that the suit

was initiated by the plaintiff primarily for frivolous or dilatory purposes.

In the case of assessment of costs against an agency, the costs may be

assessed by the court against the United States.

(j) Each agency subject to the requirements of this section shall annually

report to the Congress regarding the following:

(I) The changes in the policies and procedures of the agency

under this section that have occurred during the preceding I-year

period.

(2) A tabulation of the number of meetings held, the exemptions

applied to close meetings, and the days of public notice provided to

close meetings.

(3) A brief description of litigation or formal complaints

concerning the implementation of this section by the agency.

(4) A brief explanation of any changes in law that have affected

the responsibilities of the agency under this section. 3

(k) Nothing herein expands or limits the present rights of any person

under section 552 of this title, except that the exemptions set forth in

subsection (c) of this section shall govern in the case of any request made

pursuant to section 552 to copy or inspect the transcripts, recordings, or

minutes described in subsection (f) of this section. The requirements of

chapter 33 of title 44, United States Code, shall not apply to the

transcripts, recordings, and minutes described in subsection (f) of this

section.

(I) This section does not constitute authority to withhold any information

from Congress, and does not authorize the closing of any agency meeting

or portion thereof required by any other provision of law to be open.

(m) Nothing in this section authorizes any agency to withhold from any

individual any record, including transcripts, recordings, or minutes

required by this section, which is otherwise accessible to such individual

under section 552a of this title. (Pub. L. 94-409, section 3(a), Sept. 13,

1976, 90 Stat. 1241., and amended Public Law 104-66, title II, section

3002 (109 Stat. 734), Dec. 21, 1995.)

5 USC 553. See. 553, Rulemaking

(a) This section applies, according to the provisions thereof, except to

the extent that there is involved-

(I) a military or foreign affairs function of the United States; or

(2) a matter relating to agency management or personnel or to

public property, loans, grants, benefits, or contracts.

23

As amended, Public Law 104-66, Title Ill, section 3002, 109 Stat. 734 (1995).
622 Administrative Procedures-5 USC 551-559

(b) General notice of proposed rule making shall be published in the

Federal Register, unless persons subject thereto are named and either

personally served or otherwise have actual notice thereof in accordance

with law. The notice shall include-

(1) a statement of the time, place, and nature of public rule

making proceedings;

(2) reference to the legal authority tinder which the rule is

proposed; and

(3) either the terms or substance of the proposed rule or a

description of the subjects and issues involved.

Except when notice or hearing is required by statute, this

subsection does not apply-

(A) to interpretative rules, general statements of policy, or

rules of agency organization, procedure, or practice; or

(B) when the agency for good cause finds (and incorporates

the finding and a brief statement of reasons therefor in the rules

issued) that notice and public procedure thereon are impracticable,

unnecessary, or contrary to the public interest.

(c) After notice required by this section, the agency shall give interested

persons an opportunity to participate in the rule making through

submission of written data, views, or arguments with or without

opportunity for oral presentation. After consideration of the relevant

matter presented, the agency shall incorporate in the rules adopted a

concise general statement of their basis and purpose. When rules are

required by statute to be made on the record after opportunity for an

agency hearing, sections 556 and 557 of this title apply instead of this

subsection.

(d) The required publication or service of a substantive rule shall be

made not less than 30 days before its effective date, except-

(I) a substantive rule which grants or recognizes an exemption or

relieves a restriction;

(2) interpretative rules and statements of policy; or

(3) as otherwise provided by the agency for good cause found and

published with the rule.

(e) Each agency shall give an interested person the right to petition for

the issuance, amendment, or repeal of a rule. (Pub. L. 89-554, Sept. 6,

1966, 80 Stat. 383.)

5 USC 554. Sec. 554. Adjudications

(a) This section applies, according to the provisions thereof, in every case

of adjudication required by statute to be determined on the record after

opportunity for an agency hearing, except to the extent that there is

involved-

(1) a matter subject to a subsequent trial of the law and the facts

de novo in a court;

(2) the selection or tenure of an employee, except an

administrative law judge appointed under section 3105 of this title;

(3) proceedings in which decisions rest solely on inspections,

tests, or elections;

(4) the conduct of military or foreign affairs functions;

(5) cases in which an agency is acting as an agent for a court; or

(6) the certification of worker representatives.

(b) Persons entitled to notice of an agency hearing shall be timely

informed of-

(I) the time, place, and nature of the hearing;
Administrative Procedures-5 USC 55 1-559 623

(2) the legal authority and jurisdiction under which the hearing is

to be held; and

(3) the matters of fact and law asserted.

When private persons are the moving parties, other parties to the

proceeding shall give prompt notice of issues controverted in fact or

law; and in other instances agencies may by rule require responsive

pleading. In fixing the time and place for hearings, due regard shall

be had for the convenience and necessity of the parties or their

representatives.

(c) The agency shall give all interested parties opportunity for-

(]) the submission and consideration of facts, arguments, offers

of settlement, or proposals of adjustment when time, the nature of

the proceeding, and the public interest permit; and

(2) to the extent that the parties are unable so to determine a

controversy by consent, hearing and decision on notice and in

accordance with sections 556 and 557 of this title.

(d) The employee who presides at the reception of evidence pursuant to

section 556 of this title shall make the recommended decision or initial

decision required by section 557 of this title, unless he becomes

unavailable to the agency. Except to the extent required for the

disposition of ex parte matters as authorized by law, such an employee

may not-

(I) consult a person or party on a fact in issue, unless on notice

and opportunity for all parties to participate; or

(2) be responsible to or subject to the supervision or direction of

an employee or agent engaged in the performance of investigative or

prosecuting functions for an agency.

An employee or agent engaged in the performance of

investigative or prosecuting functions for an agency in a case may

not, in that or a factually related case, participate or advise in the

decision, recommended decision, or agency review pursuant to

section 557 of this title, except as witness or counsel in public

proceedings. This subsection does not apply-

(A) in determining applications for initial licenses;

(B) to proceedings involving the validity or application of

rates, facilities, or practices of public utilities or carriers; or

(C) to the agency or a member or members of the body

comprising the agency.

(e) The agency, with like effect as in the case of other orders, and in its

sound discretion, may issue a declaratory order to terminate a

controversy or remove uncertainty. (Public Law 89-554, Sept. 6, 1966,

80 Stat. 384; amended Public Law 95-251, Mar. 27, 1978, 92 Stat. 183.)

5 USC 555. Sec. 555. Ancillary Matters

(a) This section applies, according to the provisions thereof, except as

otherwise provided by this Subchapter.

(b) A person compelled to appear in person before an agency or

representative thereof is entitled to be accompanied, represented, and

advised by counsel or, if permitted by the agency, by other qualified

representative. A party is entitled to appear in person or by or with

counsel or other duly qualified representative in an agency proceeding.

So far as the orderly conduct of public business permits, an interested

person may appear before an agency or its responsible employees for the

presentation, adjustment, or determination of an issue, request, or

controversy in a proceeding, whether interlocutory, summary, or otherwise, or in connection with an agency function. With due regard for
624 Administrative Procedures-5 USC 551-559

the convenience and necessity of the parties or their representatives and

within a reasonable time, each agency shall proceed to conclude a matter

presented to it. This subsection does not grant or deny a person who is

not a lawyer the right to appear for or represent others before an agency

or in an agency proceeding.

(c) Process, requirement of a report, inspection, or other investigative act

or demand may not be issued, made, or enforced except as authorized by

law. A person compelled to submit data or evidence is entitled to retain

or, on payment of lawfully prescribed costs, procure a copy or transcript

thereof, except that in a nonpublic investigatory proceeding the witness

may for good cause be limited to inspection of the official transcript of

his testimony.

(d) Agency subpoenas authorized by law shall be issued to a party on

request and, when required by rules of procedure on a statement or

showing of general relevance and reasonable scope of the evidence

sought. On contest, the court shall sustain the subpoena or similar

process or demand to the extent that it is found to be in accordance with

law. In a proceeding for enforcement, the court shall issue an order

requiring the appearance of the witness or the production of the evidence

or data within a reasonable time under penalty of punishment for

contempt in case of contumacious failure to comply.

(e) Prompt notice shall be given of the denial in whole or in part of a written application, petition, or other request of an interested person

made in connection with any agency proceedings. Except in affirming a prior denial or when the denial is self-explanatory, the notice shall be

accompanied by a brief statement of the grounds for denial. (Pub. L. 89-

554, Sept. 6, 1966, 80 Stat. 385.)

5 USC 556. Sec. 556. Hearings; Presiding Employees; Powers And Duties;

Burden Of Proof; Evidence; Record As Basis Of Decision

(a) This section applies, according to the provisions thereof, to hearings

required by section 553 or 554 of this title to be conducted in accordance

with this section.

(b) There shall preside at the taking of evidence-

(I) the agency;

(2) one or more members of the body which comprises the

agency; or

(3) one or more administrative law judges appointed under section

3105 of this title.

This Subchapter does not supersede the conduct of specified

classes of proceedings, in whole or in part, by or before boards or

other employees specially provided for by or designated under

statute. The functions of presiding employees and of employees

participating in decisions in accordance with section 557 of this title

shall be conducted in an impartial manner. A presiding or

participating employee may at any time disqualify himself. On the

filing in good faith of a timely and sufficient affidavit of personal

bias or other disqualification of a presiding or participating

employee, the agency shall determine the matter as a part of the

record and decision in the case.

(c) Subject to published rules of the agency and within its powers,

employees presiding at hearings may-

(I) administer oaths and affirmations;

(2) issue subpoenas authorized by law;

(3) rule on offers of proof and receive relevant evidence;
Administrative Procedures-5 USC 55 1-559 625

(4) take depositions or have depositions taken when the ends of

justice would be served;

(5) regulate the course of the hearing;

(6) hold conferences for the settlement of simplification of the

issues by consent of the parties; or by the use of alternative means of

dispute resolution as provided in Subchapter IV of this chapter;

(7) inform the parties as to the availability of one or more

alternative means of dispute resolution, and encourage use of such

methods;

(8) require the attendance at any conference held pursuant to

paragraph (6) of at least one representative of each party who has

authority to negotiate concerning resolution of issues in

controversy.24

(9) dispose of procedural requests or similar matters;

(10) make or recommend decisions in accordance with section

557 of this title; and

(II) take other action authorized by agency rule consistent with

this Subchapter.

(d) Except as otherwise provided by statute, the proponents of a rule or

order has the burden of proof. Any oral or documentary evidence may be

received, but the agency as a matter of policy shall provide for the

exclusion of irrelevant, immaterial, or unduly repetitious evidence. A

sanction may not be imposed or rule or order issued except on

consideration of the whole record or those parts thereof cited by a party

and supported by and in accordance with the reliable, probative, and

substantial evidence. The agency may, to the extent consistent with the

interests of justice and the policy of the underlying statutes administered

by the agency, consider a violation of section 557(d) of this title

sufficient grounds for a decision adverse to a party who has knowingly

committed such violation or knowingly caused such violation to occur. A

party is entitled to present his case or defense by oral or documentary

evidence, to submit rebuttal evidence, and to conduct such crossexamination as may be required for a full and true disclosure of the facts.

In rule making or determining claims for money or benefits or

applications for initial licenses an agency may, when a party will not be

prejudiced thereby, adopt procedures for the submission of all or part of

the evidence in written form.

(e) The transcript of testimony and exhibits, together with all papers and

requests filed in the proceedings, constitutes the exclusive record for

decision in accordance with section 557 of this title and, on payment of

lawfully prescribed costs, shall be made available to the parties. When

an agency decision rests on official notice of a material fact not

appearing in the evidence in the record, a party is entitled, on timely

request, to an opportunity to show the contrary. (Pub. L. 89-554, Sept. 6,

1966, 80 Stat. 386; amended Pub. L. 94-409, Sept. 13, 1976, 90 Stat.

1247; Pub. L. 95-251, Mar. 27, 1978, 92 Stat. 183; Public Law 101-552

(104 Stat. 2736) section 4(a), November 15, 1990.)

5 USC 557. See. 557. Initial Decisions; Conclusiveness; Review By Agency;

Submissions By Parties; Contents Of Decisions; Record

(a) This section applies, according to the provisions thereof, when a hearing is required to be conducted in accordance with section 556 of this

title,

"

4

Public Law 101-552, 104 Stat. 2736 (1990), changed (c)(6) and added new (7) and (8).
626 Administrative Procedures-5 USC 551-559

(b) When the agency did not preside at the reception of the evidence, the

presiding employee or, in cases not subject to section 554(d) of this title,

an employee qualified to preside at hearings pursuant to section 556 of

this title, shall initially decide the case unless the agency requires, either

in specific cases or by general rule, the entire record to be certified to it

for decision. When the presiding employee makes an initial decision, that

decision then becomes the decision of the agency without further

proceedings unless there is an appeal to, or review on motion of, the

agency within time provided by rule. On appeal from or review of the

initial decision, the agency has all the powers which it would have in

making the initial decision except as it may limit the issues on notice or

by rule. When the agency makes the decision without having presided at

the reception of the evidence, the presiding employee or an employee

qualified to preside at hearings pursuant to section 556 of this title shall

first recommend a decision, except that in rule making or determining

applications for initial licenses-

(1) instead thereof the agency may issue a tentative decision or

one of its responsible employees may recommend a decision; or

(2) this procedure may be omitted in a case in which the agency

finds on the record that due and timely execution of its functions

imperatively and unavoidably so requires.

(c) Before a recommended, initial, or tentative decision, or a decision on

agency review of the decision of subordinate employees, the parties are

entitled to a reasonable opportunity to submit for the consideration of the

employees participating in the decisions-

(I) proposed findings and conclusions; or

(2) exceptions to the decisions or recommended decisions of

subordinate employees or to tentative agency decisions; and

(3) supporting reasons for the exception of proposed findings or

conclusions.

The record shall show the ruling on each finding, conclusion, or

exception presented. All decisions, including initial, recommended,

and tentative decisions, are a part of the record and shall include a

statement of-

(A) findings and conclusions and the reasons or basis therefor,

on all the material issues of fact, law, or discretion presented on the

record; and

(B) the appropriate rule, order, sanction, relief, or denial

thereof.

(d)(l) In an agency proceeding which is subject to subsection (a) of this

section, except to the extent required for the disposition of ex parte

matters as authorized by law-

(A) no interested person outside the agency shall make or

knowingly cause to be made to any member of the body comprising

the agency, administrative law judge, or other employee who is or

may reasonably be expected to be involved in the decisional process

of the proceeding, an ex parte communication relevant to the merits

of the proceeding;

(B) no member of the body comprising the agency,

administrative law judge, or other employee who is or may

reasonably be expected to be involved in the decisional process of

the proceeding, shall make or knowingly cause to be made to any

interested person outside the agency an ex parte communication

relevant to the merits of the proceeding;
Administrative Procedures-5 USC 55 1-559 627

(C) a member of the body comprising the agency,

administrative law judge, or other employee who is or may

reasonably be expected to be involved in the decisional process of

such proceeding who receives, or who makes or knowingly causes to

be made, a communication prohibited by this subsection shall place

on the public record of the proceeding:

(i) all such written communications;

(ii) memoranda stating the substance of all such oral

communications; and

(iii) all written responses, and memoranda stating the

substance of all oral responses, to the materials described in clauses

(i) and (ii) of this subparagraph;

(D) upon receipt of a communication knowingly made or

knowingly caused to be made by a party in violation of this

subsection, the agency, administrative law judge, or other employee

presiding at the hearing may, to the extent consistent with the

interests ofjustice and the policy of the underlying statutes, require

the party to show cause why his claim or interest in the proceedings

should not be dismissed, denied, disregarded, or otherwise adversely

affected on account of such violation; and

(E) the prohibitions of this subsection shall apply beginning at

such time as the agency may designate, but in no case shall they

begin to apply later than the time at which a proceeding is noticed

for hearing unless the person responsible for the communication has

knowledge that is will be noticed, in which case the prohibitions

shall apply beginning at the time of his acquisition of such

knowledge.

(2) This subsection does not constitute authority to withhold

information from Congress. (Pub. L. 89-554, Sept. 6, 1966, 80 Stat.

837; amended Pub. L. 94-409, Sept. 13, 1976, 90 Stat. 1246.)

5 USC 558. See. 558. Imposition Of Sanctions; Determination Of Applications

For Licenses; Suspension, Revocation, And Expiration Of Licenses

(a) This section applies, according to the provisions thereof, to the

exercise of a power or authority.

(b) A sanction may not be imposed or a substantive rule or order issued

except within jurisdiction delegated to the agency and as authorized by

law.

(c) When application is made for a license required by law, the agency,

with due regard for the rights and privileges of all the interested parties or

adversely affected persons and within a reasonable time, shall set and

complete proceedings required to be conducted in accordance with

sections 556 and 557 of this title or other proceedings required by law

and shall make its decision. Except in cases of willfulness or those in

which public health, interest, or safety requires otherwise, the

withdrawal, suspension, revocation, or annulment of a license is lawful

only if, before the institution of agency proceedings therefor, the licensee

has been given-

(I) notice by the agency in writing of the facts or conduct which

may warrant the action; and

(2) opportunity to demonstrate or achieve compliance with all

lawful requirements.

When the licensee has made timely and sufficient application for

a renewal or a new license in accordance with agency rules, a license

with reference to an activity of a continuing nature does not expire
628 Administrative Procedures-5 USC 551-559

until the application has been finally determined by the agency.

(Pub. L. 89-554, Sept. 6, 1966, 80 Stat. 388.)

5 USC 559. Sec. 559. Effect On Other Laws; Effect Of Subsequent Statute

This Subchapter, chapter 7, and sections 1305, 3105, 3344,

4301(2)(E), 5372, and 7521 of this title, and the provisions of section

5335(a)(B) of this title that relate to administrative law judges, do not

limit or repeal additional requirements imposed by statute or otherwise

recognized by law. Except as otherwise required by law, requirements or

privileges relating to evidence or procedure apply equally to agencies and

persons. Each agency is granted the authority necessary to comply with

the requirements of this Subchapter through the issuance of rules or

otherwise. Subsequent statute may not be held to supersede or modify

this Subchapter, chapter 7, sections 1305, 3105, 3344, 4301(2)(E), 5372,

or 7521 of this title, or the provisions of section 5335(a)(B) of this title

that relate to administrative law judges, except to the extent that it does so expressly. (Public Law 89-554, Sept. 6, 1966, 80 Stat. 388; amended

Public Law 90-623, section I(]), Oct 22, 1968, 82 Stat. 1312; Public

Law 95-251, Mar. 27, 1978, 92 Stat. 183; Public Law 95-454, Oct. 13,

1978, 92 Stat. 1221.)
Nep-otiated Rulernakine Act of 1990-5 USC 561-570 629

Neoiat RueaineAto 905UC5 -7 2

B. NEGOTIATED RULEMAKING ACT OF 1990--5 USC

561-570

Public Law 101-648 104 Stat. 4976

November 29, 1990

An Act

To establish a framework for the conduct of negotiated rulemaking by

Federal agencies.

Negotiated Be it enacted b). the Senate and House of Representatives of the

Rulcmaking United States of America in Congress assembled,

Act of 1990.

5 USC 561. Sec. I. Short Title

This Act may be cited as the "Negotiated Rulemaking Act of 1990."

5 USC 561. Sec. 2. Findings

The Congress makes the following findings:

(1) Government regulation has increased substantially since the

enactment of the Administrative Procedure Act.

(2) Agencies currently use rulemaking procedures that may

discourage the affected parties from meeting and communicating with

each other, and may cause parties with different interests to assume

conflicting and antagonistic positions and to engage in expensive and

time-consuming litigation over agency rules.

(3) Adversarial rulemaking deprives the affected parties and the

public of the benefits of face-to-face negotiations and co-operation in

developing and reaching agreement on a rule. It also deprives them of

the benefits of shared information, knowledge, expertise, and

technical abilities possessed by the affected parties.

(4) Negotiated rulemaking, in which the parties who will be

significantly affected by a rule participate in the development of the

rule, can provide significant advantages over adversarial rulemaking.

(5) Negotiated rulemaking can increase the acceptability and

improve the substance of rules, making it less likely that the affected

parties will resist enforcement or challenge such rules in court. It may

also shorten the amount of time needed to issue final rules.

(6) Agencies have the authority to establish negotiated rule

making committees under the laws establishing such agencies and

their activities and under the Federal Advisory Committee Act (5

USC App.). Several agencies have successfully used negotiated

rulemaking. The process has not been widely used by other agencies,

however, in part because such agencies are unfamiliar with the

process or uncertain as to the authority for such rulemaking.

Sec. 3. Negotiated Rulemaking Procedure

(a) IN GENERAL.-Chapter 5 of title 5, United States Code, is

amended by adding at the end the following new Subchapter:

5 USC 561. Sec. 561. Purpose

The purpose of this Subchapter is to establish a framework for the

conduct of negotiated rulemaking, consistent with section 553 of this

title, to encourage agencies to use the process when it enhances the

informal rulemaking process. Nothing in this Subchapter should be

construed as an attempt to limit innovation and experimentation with the

negotiated rulemaking process or with other innovative rulemaking

procedures otherwise authorized by law.
630 Negotiated Rulemaking Act of 1990-5 USC 561-570

5 USC 562. Sec. 562. Definitions

For the purposes of this Subchapter, the term-

(1) "agency" has the same meaning, as in section 551(l) of this

title;

(2) "consensus" means unanimous concurrence among the

interests represented on a negotiated rulemaking committee

established under this Subchapter, unless such committee-

(A) agrees to define such term to mean a general but not

unanimous concurrence; or

(B) agrees upon another specified definition;

(3) "convener" means a person who impartially assists an agency

in determining whether establishment of a negotiated rulemaking

committee is feasible and appropriate in a particular rulemaking;

(4) "facilitator" means a person who impartially aids in the

discussions and negotiations among the members of a negotiated

rulemaking committee to develop a proposed rule;

(5) "interest" means, with respect to an issue or matter, multiple

parties which have a similar point of view or which are likely to be

affected in a similar manner;

(6) "negotiated rulemaking" means rulemaking through the use of

a negotiated rulemaking committee;

(7) "negotiated rulemaking committee" or "committee" means an

advisory committee established by an agency in accordance with this

Subchapter and the Federal Advisory Committee Act to consider and

discuss issues for the purpose of reaching a consensus in the

development of a proposed rule;

(8) "party" has the same meaning as in section 551(3) of this title;

(9) "person" has the same meaning as in section 551(2) of this

title;

(10) "rule" has the same meaning as in section 551(4) of this title;

and

(11) "rulemaking" means "rulemaking" as that term is defined in

section 551(5) of this title.

5 USC 563. Sec. 563. Determination Of Need For Negotiated Rulemaking

Committee

(a) DETERMINATION OF NEED BY THE AGENCY.-An agency

may establish a negotiated rulemaking committee to negotiate and

develop a proposed rule, if the head of the agency determines that the use

of the negotiated rulemaking procedure is in the public interest. In

making such a determination, the head of the agency shall consider

whether-

(I) there is a need for a rule;

(2) there are a limited number of identifiable interests that will be

significantly affected by the rule;

(3) there is a reasonable likelihood that a committee can be

convened with a balanced representation of persons who-

(A) can adequately represent the interests identified under

paragraph (2); and

(B) are willing to negotiate in good faith to reach a consensus

on the proposed rule;

(4) there is a reasonable likelihood that a committee will reach a

consensus on the proposed rule within a fixed period of time;

(5) the negotiated rulemaking procedure will not unreasonably

delay the notice of proposed rulemaking and the issuance of the final

rule;
Negotiated Rulemaking Act of 1990-5 USC 561-570 631

(6) the agency has adequate resources and is willing to commit

such resources, including technical assistance, to the committee; and

(7) the agency, to the maximum extent possible consistent with

the legal obligations of the agency, will use the consensus of the

committee with respect to the proposed rule as the basis for the rule

proposed by the agency for notice and comment.

(b) USE OF CONVENERS.-

(1) PURPOSES OF CONVENERS.-An agency may use the

services of a convener to assist the agency in-

(A) identifying person who will be significantly affected by a

proposed rule, including residents of rural areas; and

(B) conducting discussions with such persons to identify the

issues of concern to such persons, and to ascertain whether the

establishment of a negotiated rulemaking committee is feasible

and appropriate in the particular rulemaking.

Reports. (2) DUTIES OF CONVENERS.-The convener shall report

findings and may make recommendations to the agency. Upon

request of the agency, the convener shall ascertain the names of

persons who are willing and qualified to represent interests that will

be significantly affected by the proposed rule, including residents of

rural areas. The report and any recommendations of the convener shall be made available to the public upon request.

5 USC 564. Sec. 564. Publication Of Notice; Applications For Membership On

Committees

(a) PUBLICATION OF NOTICE.-If, after considering the report of a

convener or conducting its own assessment, an agency decides to

establish a negotiated rulemaking committee, the agency shall publish in

the Federal Register and, as appropriate, in trade or other specialized

publications, a notice which shall include-

(I) an announcement that the agency intends to establish a

negotiated rulemaking committee to negotiate and develop a

proposed rule;

(2) a description of the subject and scope of the rule to be

developed, and the issues to be considered;

(3) a list of the interests which are likely to be significantly

affected by the rule;

(4) a list of the persons proposed to represent such interests and

the person or persons proposed to represent the agency;

(5) a proposed agenda and schedule for completing the work of

the committee, including a target date for publication by the agency

of a proposed rule for notice and comment;

(6) a description of administrative support for the committee to be

provided by the agency, including technical assistance;

(7) a solicitation for comments on the proposal to establish the

committee, and the proposed membership of the negotiated

rulemaking committee; and

(8) an explanation of how a person may apply or nominate

another person for membership on the committee, as provided under

subsection (b).

(b) APPLICATIONS FOR MEMBERSHIP OR COMMITTEE.-

Persons who will be significantly affected by a proposed rule and who

believe that their interests will not be adequately represented by any

person specified in a notice under subsection (a)(4) may apply for, or

nominate another person for, membership on the negotiated rulemaking
632 Negotiated Rulemaking Act of 1990-5 USC 561-570

committee to represent such interests with respect to the proposed rule.

Each application or nomination shall include-

(I) the name of the applicant or nominee and a description of the

interests such person shall represent;

(2) evidence that the applicant or nominee is authorized to

represent parties related to the interests the person proposes to

represent;

(3) a written commitment that the applicant or nominee shall

actively participate in good faith in the development of the rule under

consideration; and

(4) the reasons that the persons specified in the notice under

subsection (a)(4) do not adequately represent the interests of the

person submitting the application or nomination.

(c) PERIOD FOR SUBMISSION OF COMMENTS AND

APPLICATIONS.-The agency shall provide for a period of at least 30

calendar days for the submission of comments and applications under

this section.

5 USC 565. See. 565. Establishment Of Committee

(a) ESTABLISHMENT.-

(1) DETERMINATION TO ESTABLISH COMMITTEE.-If after

considering comments and applications submitted under section 564,

the agency determines that a negotiated rulemaking committee can

adequately represent the interests that will be significantly affected by

a proposed rule and that it is feasible and appropriate in the particular

rulemaking, the agency may establish a negotiated rulemaking

committee. In establishing and administering such a committee, the

agency shall comply with the Federal Advisory Committee Act with

respect to such committee, except as otherwise provided in this

Subchapter.

(2) DETERMINATION NOT TO ESTABLISH COMMITTEE.-

If after considering such comments and applications, the agency

decides not to establish a negotiated rulemaking committee, the

agency shall promptly publish notice of such decision and the reasons

therefor in the Federal Register and, as appropriate, in trade or other

specialized publications, a copy of which shall be sent to any person

who applied for, or nominated another person for membership on the

negotiating rulemaking committee to represent such interests with

respect to the proposed rule.

(b) MEMBERSHIP.-The agency shall limit membership on a

negotiated rulemaking committee to 25 members, unless the agency

head determines that a greater number of members is necessary for the

functioning of the committee or to achieve balanced membership. Each

committee shall include at least one person representing the agency.

(c) ADMINISTRATIVE SUPPORT.-The agency shall provide

appropriate administrative support to the negotiated rulemaking

committee, including technical assistance.

5 USC 566. Sec. 566. Conduct Of Committee Activity

(a) DUTIES OF COMMITTEE.-Each negotiated rulemaking

committee established under this Subchapter shall consider the matter

proposed by the agency for consideration and shall attempt to reach a

consensus concerning a proposed rule with respect to such matter and

any other matter the committee determines is relevant to the proposed

rule.

(b) REPRESENTATIVES OF AGENCY ON COMMITTEE.-The

person or persons representing the agency on a negotiated rulemaking
Negotiated Rulemaking Act of 1990-5 USC 561-570 633

committee shall participate in the deliberations and activities of the

committee with the same rights and responsibilities as other members of

the committee, and shall be authorized to fully represent the agency in

the discussions and negotiations of the committee.

(c) SELECTING FACILITATOR.-Notwithstanding section 10(e) of

the Federal Advisory Committee Act, an agency may nominate either a

person from the Federal Government or a person from outside the

Federal Government to serve as a facilitator for the negotiations of the

committee, subject to the approval of the committee by consensus. If the

committee does not approve the nominee of the agency for facilitator, the

agency shall submit a substitute nomination. If a committee does not

approve any nominee of the agency for facilitator, the committee shall

select by consensus a person to serve as facilitator. A person designated

to represent the agency in substantive issues may not serve as facilitator

or otherwise chair the committee.

(d) DUTIES OF FACILITATOR.-A facilitator approved or selected

by a negotiated rulemaking committee shall-

(1) chair the meetings of the committee in an impartial manner;

(2) impartially assist the members of the committee in conducting

discussions and negotiations; and

(3) manage the keeping of minutes and records as required under

section 10 (b) and (c) of the Federal Advisory Committee Act, except

that any personal notes and materials of the facilitator or of the

members of a committee shall not be subject to section 552 of this

title.

(e) COMMITTEE PROCEDURES.-A negotiated rulemaking

committee established under this Subchapter may adopt procedures for

the operation of the committee. No provision of section 553 of this title

shall apply to the procedures ofa negotiated rulemaking committee.

(f) REPORT OF COMMITTEE.-If a committee reaches a consensus

on a proposed rule, at the conclusion of negotiations the committee shall

transmit to the agency that established the committee a report containing

the proposed rule. If the committee does not reach a consensus on a proposed rule, the committee may transmit to the agency a report

specifying any areas in which the committee reached a consensus. The

committee may include in a report any other information,

recommendations, or materials that the committee considers appropriate.

Any committee member may include as an addendum to the report

additional information, recommendations, or materials.

(g) RECORDS OF COMMITTEE.-In addition to the report required

by subsection (f), a committee shall submit to the agency the records

required under section 10 (b) and (c) of the Federal Advisory Committee

Act.

5 USC 567. Sec. 567. Termination Of Committee

A negotiated rulemaking committee shall terminate upon

promulgation of the final rule under consideration, unless the

committee's charter contains an earlier termination date or the agency,

after consulting the committee, or the committee itself specifies an earlier

termination date.

5 USC 568. Sec. 568. Services, Facilities, And Payment Of Committee Member

Expenses

(a) SERVICES OF CONVENERS AND FACILITATORS.-

(1) IN GENERAL.-An agency may employ or enter into

contracts for the services of an individual or organization to serve as a

convener or facilitator for a negotiated rulemaking committee under
634 Negotiated Rulemaking Act of 1990-5 USC 561-570

this Subchapter, or may use the services of a Government employee

to act as a convener or a facilitator for such a committee.

(2) DETERMINATION OF CONFLICTING INTERESTS.- An

agency shall determine whether a person under consideration to serve

as a convener or facilitator of a committee under paragraph (1) has

any financial or other interest that would preclude such person from

serving in an impartial and independent manner.

(b) SERVICES AND FACILITIES OF OTHER ENTITIES.- For

purposes of this Subchapter, an agency may use the services and facilities

of other Federal agencies and public and private agencies and

instrumentalities with the consent of such agencies and instrumentalities,

and with or without reimbursement to such agencies and

instrumentalities, and may accept voluntary and uncompensated services

without regard to the pro visions of section 1342 of title 31. The Federal

Mediation and Conciliation Service may provide services and facilities,

with or without reimbursement, to assist agencies under this Subchapter,

including furnishing conveners, facilitators, and training in negotiated

rulemaking.

(c) EXPENSES OF COMMITTEE MEMBERS.-Members of a

negotiated rulemaking committee shall be responsible for their own

expenses of participation in such committee, except that an agency may,

in accordance with section 7(d) of the Federal Advisory Committee Act,

pay for a member's reasonable travel and per diem expenses, expenses to

obtain technical assistance, and a reasonable rate of compensation, if-

(1) such member certifies a lack of adequate financial resources to

participate in the committee; and

(2) the agency determines that such member's participation in the

committee is necessary to assure an adequate representation of the

member's interest.

(d) STATUS OF MEMBER AS FEDERAL EMPLOYEE.-A

member's receipt of funds under this section or section 569 shall not

conclusively deter mine for purposes of sections 202 through 209 of title

18 whether that member is an employee of the United States

Government.

5 USC 569. Sec. 569. Encouraging Negotiated Rulemaking

(a) The President shall designate an agency or designate or establish.

an interagency committee to facilitate and encourage agency use of

negotiated rulemaking. An agency that is considering, planning, or

conducting a negotiated rulemaking may consult with such agency or

committee for information and assistance.

(b) To carry out the purposes of this Subchapter, an agency planning

or conducting a negotiated rulemaking may accept, hold, administer, and

utilize gifts, devises, and bequests of property, both real and personal if

that agency's acceptance and use of such gifts, devises, or bequests do

not create a conflict of interest. Gifts and bequests of money and

proceeds from sales of other property received as gifts, devises, or

bequests shall be deposited in the Treasury and shall be disbursed upon

the order of the head of such agency. Property accepted pursuant to this

section, and the proceeds thereof, shall be used as nearly as possible in

accordance with the terms of the gifts, devises, or bequests.

'P.L. 101-648, § 3(a), 104 Stat. 4975 (1990); P.L. 102-354, §§ 3(a)(2), (5), 106 Stat. 944 (1992); P.L. 104-320,

§ 11(b), 110 Stat. 3873 (1996).
Nep-otiated Rulemakine Act of 1990-5 USC 561-570 635

5 USC 570. Sec. 570. Judicial Review

Any agency action relating to establishing, assisting, or terminating a

negotiated rulemaking committee under this Subchapter shall not be

subject to judicial review. Nothing in this section shall bar judicial

review of a rule if such judicial review is otherwise provided by law. A

rule which is the product of negotiated rulemaking and is subject to

judicial review shall not be accorded any greater deference by a court

than a rule which is the product of other rulemaking procedures.

Sec. 570a. Authorization of Appropriations.

There are authorized to be appropriated such sums as may be

necessary to carry out the purposes of this Subchapter.2

5 USC 561 Sec. 4. Authorization Of Appropriations

note. In order to carry out this Act and the amendments made by this Act,

there are authorized to be appropriated to the Administrative Conference

of the United States, in addition to amounts authorized by section 596 of

title 5, United States Code, not in excess of $500,000 for each of the

fiscal years 1991, 1992, and 1993.

5 USC 561 Sec. 5. Sunset And Savings Provisions

note. Subchapter IIl of chapter 5, United States Code, (enacted as

Subchapter IV of chapter 5 of title 5, United States Code, by section 3 of

this Act and redesignated as Subchapter Ii of chapter 5 by section (3)(a)

of the Administrative Procedure Technical Amendments Act of 1991);

and that portion of the table of sections at the beginning of chapter 5 of

title 5, United States Code, relating to Subchapter Ill, are repealed,

effective 6 years after the date of the enactment of this Act, except that

the provisions of such Subchapter shall continue to apply after the date of

the repeal with respect to then pending negotiated rulemaking

proceedings initiated before the date of repeal which, in the judgment of

the agencies which are convening or have convened such proceedings,

require such continuation, until such negotiated rulemaking proceedings

terminate pursuant to such Subchapter.

2

Public Law 104-320, section I I (d)()), I 0 Slat. 3874 (1996), added this section.
636 Administrative Dispute Resolution Act (P.L. 101-552)

C. ADMINISTRATIVE DISPUTE RESOLUTION ACT, AS

AMENDED

Public Law 101-552 104 Stat. 2736

November 15, 1990

An Act

To authorize and encourage Federal agencies to use mediation,

conciliation, arbitration, and other techniques for the prompt and

informal resolution of disputes, and for other purposes.

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

United States ofAmerica in Congress assembled,

Sec. 1. Short Title

This Act may be cited as the "Administrative Dispute Resolution

Act."'

Sec. 2. Findings

The Congress finds that-

(]) administrative procedure, as embodied in chapter 5 of title 5,

United States Code, and other statutes, is intended to offer a prompt,

expert, and inexpensive means of resolving disputes as an alternative

to litigation in the Federal courts;

(2) administrative proceedings have become increasingly formal,

costly, and lengthy resulting in unnecessary expenditures of time and

in a decreased likelihood of achieving consensual resolution of

disputes;

(3) alternative means of dispute resolution have been used in the

private sector for many years and, in appropriate circumstances, have

yielded decisions that are faster, less expensive, and less contentious;

(4) such alternative means can lead to more creative, efficient, and

sensible outcomes;

(5) such alternative means may be used advantageously in a wide

variety of administrative programs;

(6) explicit authorization of the use of well-tested dispute

resolution techniques will eliminate ambiguity of agency authority

under existing law;

(7) Federal agencies may not only receive the benefit of

techniques that were developed in the private sector, but may also

take the lead in the further development and refinement of such

techniques; and

(8) the availability of a wide range of dispute resolution

procedures, and an increased understanding of the most effective use

of such procedures, will enhance the operation of the Government

and better serve the public.

5 USC 571 See. 3. Promotion Of Alternative Means Of Dispute Resolution

note. (a) PROMULGATION OF AGENCY POLICY.-Each agency shall

adopt a policy that addresses the use of alternative means of dispute

resolution and case management. In developing such a policy, each

agency shall-

'When originally enacted, this law was codified at 5 U.S.C. 581 note. P.L. 102-354, 106 Stat 943,

redesignated section numbers and U.S. Code cites and made minor amendments to the Act.
Administrative Distute Resolution Act (P.L. 10 1-552) 637

(1) consult with the Administrative Conference of the United

States and the Federal Mediation and Conciliation Service; and

(2) examine alternative means of resolving disputes in connection

with-

(A) formal and informal adjudications;

(B) rulemakings;

(C) enforcement actions;

(D) issuing and revoking licenses or permits;

(E) contract administration;

(F) litigation brought by or against the agency; and

(G) other agency actions.

(b) DISPUTE RESOLUTION SPECIALISTS.-The head of each

agency shall designate a senior official to be the dispute resolution

specialist of the agency. Such official shall be responsible for the

implementation of-

(1) the provisions of this Act and the amendments made by this

Act; and

(2) the agency policy developed under subsection (a).

(c) TRAINING.-Each agency shall provide for training on a regular

basis for the dispute resolution specialist of the agency and other

employees involved in implementing the policy of the agency developed

under subsection (a). Such training should encompass the theory and

practice of negotiation, mediation, arbitration, or related techniques. The

dispute resolution specialist shall periodically recommend to the agency

head agency employees who would benefit from similar training.

(d) PROCEDURES FOR GRANTS AND CONTRACTS.-

(1) Each agency shall review each of its standard agreements for

contracts, grants, and other assistance and shall determine whether to

amend any such standard agreements to authorize and encourage the

use of alternative means of dispute resolution.

(2)(A) Within 1 year after the date of the enactment of this Act,

the Federal Acquisition Regulation shall be amended, as necessary, to

carry out this Act and the amendments made by this Act,

. (B) For purposes of this section, the term "Federal Acquisition

Regulation" means the single system of Government-wide

procurement regulation referred to in section 6(a) of the Office of

Federal Procurement Policy Act (41 USC 405(a)).

Sec. 4. Administrative Procedures

(a) ADMINISTRATIVE HEARINGS.-Section 556(c) of title 5,

United States Code, is amended-

(I) in paragraph (6) by inserting before the semicolon at the end

thereof the following: "or by the use of alternative means of dispute

resolution as provided in Subchapter IV of this Chapter"; and

(2) by redesignating paragraphs (7) through (9) as paragraphs (9)

through (11), respectively, and inserting after paragraph (6) the

following new paragraphs:

(7) inform the parties as to the availability of one or more

alternative means of dispute resolution, and encourage use of such

methods;

(8) require the attendance at any conference held pursuant to

paragraph (6) of at least one representative of each party who has

authority to negotiate concerning resolution of issues in controversy;

(b) ALTERNATIVE MEANS OF DISPUTE RESOLUTION.-

Chapter 5 of title 5, United States Code, is amended by adding at the end

the following new Subchapter:
638 Administrative Dispute Resolution Act (P.L. 101-552)

Subchapter IV-Alternative Means Of Dispute Resolution In The

Administrative Process

5 USC 571. Sec. 571. Definitions

For the purposes of this Subchapter, the term- 2

(1) "agency" has the same meaning as in section 551(1) of this

title;

(2) "administrative program" includes a Federal function which

involves protection of the public interest and the determination of

rights, privileges, and obligations of private persons through rule

making, adjudication, licensing, or investigation, as those terms are

used in Subchapter II of this chapter;

(3) "alternative means of dispute resolution" means any procedure

that is used to resolve issues in controversy, including, but not limited

to, conciliation, facilitation, mediation, fact-finding, minitrials,

arbitration, and use of ombuds, or any combination thereof;

(4) "award" means any decision by an arbitrator resolving the

issues in controversy;

(5) "dispute resolution communication" means any oral or written

communication prepared for the purposes of a dispute resolution

proceeding, including any memoranda, notes or work product of the

neutral, parties or nonparty participant; except that a written

agreement to enter into a dispute resolution proceeding, or final

written agreement or arbitral award reached as a result of a dispute

resolution proceeding, is not a dispute resolution communication;

(6) "dispute resolution proceeding" means any process in which

an alternative means of dispute resolution is used to resolve an issue

in controversy in which a neutral is appointed and specified parties

participate;

(7) "in confidence" means, with respect to information, that the

information is provided-

(A) with the expressed intent of the source that it not be

disclosed; or

(B) under circumstances that would create the reasonable

expectation on behalf of the source that the information will not

be disclosed;

(8) "issue in controversy" means an issue which is material to a

decision concerning an administrative program of an agency, and

with which there is disagreement-

(A) between an agency and persons who would be

substantially affected by the decision; or

(B) between persons who would be substantially affected by

the decision;

(9) "neutral" means an individual who, with respect to an issue in

controversy, functions specifically to aid the parties in resolving the

controversy;

(10) "party" means-

(A) for a proceeding with named parties, the same as in

section 55 1(3) of this title; and

'P.L. 102-354, section 3(b)(l), 106 Stat. 944 (1992), inserted this Subchapter (5 U.S.C.S. sections 571 et seq.

(fomlerly sections 581 et seq.)) after Subchapter Ill as redesignated (5 U.S.C.S. section 561 el. seq.). Further

amended by P.L. 104-320, § 2, 110 Stat. 3870 (1996).
Administrative Dispute Resolution Act (P.L. 101-552) 639

(B) for a proceeding without named parties, a person who will

be significantly affected by the decision in the proceeding and

who participates in the proceeding;

(I 1) "person" has the same meaning as in section 551(2) of this

title; and

(12) "roster" means a list of persons qualified to provide services

as neutrals.

3

5 USC 572. Sec. 572. General Authority

(a) An agency may use a dispute resolution proceeding for the

resolution of an issue in controversy that relates to an administrative

program, if the parties agree to such proceeding.

(b) An agency shall consider not using a dispute resolution

proceeding if-

(I) a definitive or authoritative resolution of the matter is required

for precedential value, and such a proceeding is not likely to be

accepted generally as an authoritative precedent;

(2) the matter involves or may bear upon significant questions of

Government policy that require additional procedures before a final

resolution may be made, and such a proceeding would not likely serve to develop a recommended policy for the agency;

(3) maintaining established policies is of special importance, so

that variations among individual decision are not increased and such a

proceeding would not likely reach consistent results among individual

decisions;

(4) the matter significantly affects persons or organizations who are not parties to the proceeding;

(5) a full public record of the proceeding is important, and a

dispute resolution proceeding cannot provide such a record; and

(6) the agency must maintain continuing jurisdiction over the

matter with authority to alter the disposition of the matter in the light

of changed circumstances, and a dispute resolution proceeding would

interfere with the agency's fulfilling that requirement.

(c) Alternative means of dispute resolution authorized under this

Subchapter are voluntary procedures which supplement rather than limit

other available agency dispute resolution techniques.

5 USC 573. Sec. 573. Neutrals

(a) A neutral may be a permanent or temporary officer or employee

of the Federal Government or any other individual who is acceptable to

the parties to a dispute resolution proceeding. A neutral shall have no

official, financial, or personal conflict of interest with respect to the

issues in controversy, unless such interest is fully disclosed in writing to

all parties and all parties agree that the neutral may serve.

(b) A neutral who serves as a conciliator, facilitator, or mediator

serves at the will of the parties.

(c) The President shall designate an agency or designate or establish

an interagency committee to facilitate and encourage agency use of

dispute resolution under this Subchapter. Such agency or interagency

committee, in consultation with other appropriate Federal agencies and

professional organizations experienced in matters concerning dispute

resolution, shall-

(1) encourage and facilitate agency use of alternative means of

dispute resolution; and

'Public Law 101-552, section 4(b), 104 Stat. 2738 (1990), Public Law 102-354, sections 3(b)(2), 5(b)(I), (2).

106 Stat. 944, 946 (1992); Public Law 104-320, section 2, 110 Stat. 3870 (1996).
640 Administrative Dispute Resolution Act (P.L. 10 1-552)

(2) develop procedures that permit agencies to obtain the services

of neutrals on an expedited basis.

(d) An agency may use the services or one or more employees of

other agencies to serve as neutrals in dispute resolution proceedings. The

agencies may enter into an interagency agreement that provides for the

reimbursement by the user agency or the parties of the full or partial cost

of the services of such an employee.

(e) Any agency may enter into a contract with any person for services

as a neutral, or for training in connection with alternative means of

dispute resolution. The parties in a dispute resolution proceeding shall

agree on compensation for the neutral that is fair and reasonable to the

Government.4

5 USC 574. Sec. 574. Confidentiality

(a) Except as provided in subsections (d) and (e), a neutral in a dispute resolution proceeding shall not voluntarily disclose or through

discovery or compulsory process be required to disclose any dispute

resolution communication or any communication provided in confidence

to the neutral, unless-

(1) all parties to the dispute resolution proceeding and the neutral

consent in writing, and, if the dispute resolution communication was

provided by a nonparty participant, that participant also consents in

writing;

(2) the dispute resolution communication has already been made

public;

(3) the dispute resolution communication is required by statute to

be made public, but a neutral should make such communication

public only if no other person is reasonably available to disclose the

communication; or

(4) a court determines that such testimony or disclosure is

necessary to-

(A) prevent a manifest injustice;

(B) help establish a violation of law; or

(C) prevent harm to the public health or safety, of sufficient

magnitude in the particular case to outweigh the integrity of

dispute resolution proceedings in general by reducing the

confidence of parties in future cases that their communications

will remain confidential.

(b) A party to a dispute resolution proceeding shall not voluntarily

disclose or through discovery or compulsory process be required to

disclose any dispute resolution communications unless-

(1) the communication was prepared by the party seeking

disclosure;

(2) all parties to the dispute resolution proceeding consent in

writing;

(3) the dispute resolution communication has already been made

public;

(4) the dispute resolution communication is required by statute to

be made public;

(5) a court determines that such testimony or disclosure is

necessary to-

(A) prevent a manifest injustice;

(B) help establish a violation of law; or

'Public Law 101-552, section 4(b), 104 Stat. 2739 (1990); Public Law 102-354, section 3(b)(2), 106 Stat. 944

(1992); Public Law 104-320, section 7(b), 110 Stat. 3872 (1996).
Administrative Dispute Resolution Act (P.L, 101-552) 641

(C) prevent harm to the public health and safety, of sufficient

magnitude in the particular case to outweigh the integrity of

dispute resolution proceedings in general by reducing the

confidence of parties in future cases that their communications

will remain confidential;

(6) the dispute resolution communication is relevant to

determining the existence or meaning of an agreement or award that

resulted from the dispute resolution communication or to the

enforcement of such an agreement or award; or

(7) except for dispute resolution communications generated by the

neutral, the dispute resolution communication was provided to or was

available to all parties to the dispute resolution proceeding.

(c) Any dispute resolution communication that is disclosed in

violation of sub-section (a) or (b),' shall not be admissible in any

proceeding relating to the issues in controversy with respect to which the

communication was made.

(d)(1) The parties may agree to alternative confidential procedures for

disclosures by a neutral. Upon such agreement the parties shall inform

the neutral before the commencement of the dispute resolution

proceeding of any modifications to the provisions of subsection (a) that

will govern the confidentiality of the dispute resolution proceeding. If the

parties do not so inform the neutral, subsection (a) shall apply.

(2) To qualify for the exemption established under subsection (j),

an alternative confidential procedure under this subsection may not

provide for less disclosure than the confidential procedures otherwise

provided under this section.

(e) If a demand of disclosure, by way of discovery request or other

legal process is made upon a neutral regarding a dispute resolution

communication, the neutral shall make reasonable efforts to notify the

parties and any affected nonparty participants of the demand. Any party

or affected nonparty participant who receives such notice and within 15

calendar days does not offer to defend a refusal of the neutral to disclose

the requested information shall have waived any objection to such

disclosure.

(f) Nothing in this section shall prevent the discovery or admissibility

of any evidence that is otherwise discoverable, merely because the

evidence was presented in the course of a dispute resolution proceeding.

(g) Subsections (a) and (b) shall have no effect on the information

and data that are necessary to document an agreement reached or order

issued pursuant to a dispute resolution proceeding.

(h) Subsections (a) and (b) shall not prevent the gathering of

information for research or educational purposes, in cooperation with

other agencies, governmental entities, or dispute resolution programs, so

long as the parties and the specific issues in controversy are not

identifiable.

(i) Subsections (a) and (b) shall not prevent use of a dispute resolution communication to resolve a dispute between

the neutral in a dispute resolution proceeding and a party to or

participant in such proceeding so long as such dispute

resolution communication is disclosed only to the extent

necessary to resolve such dispute.

'The comma probably is unnecessary. The error is in the original law.
642 Administrative Dispute Resolution Act (P.L. 101-552)

,) A dispute resolution communication which is between a neutral

and a party and which may not be disclosed under this section shall also

be exempt from disclosure under section 552(b)(3). 6

5 USC 575. See. 575. Authorization Of Arbitration

(a)(l) Arbitration may be used as an alternative means of dispute

resolution whenever all parties consent. Consent may be obtained either

before or after an issue in controversy has arisen. A party may agree to-

(A) submit only certain issues in controversy to arbitration; or

(B) arbitration on the condition that the award must be within

a range of possible outcomes.

(2) The arbitration agreement that sets forth the subject matter

submitting to the arbitration shall be in writing. Each such arbitration

agreement shall specify a maximum award that may be issued by the

arbitrator and may specify other conditions limiting the range of

possible outcomes.

(3) An agency may not require any person to consent to

arbitration as a condition of entering into a contract or obtaining a

benefit.

(b) An officer or employee of an agency shall not offer to use

arbitration for the resolution of issues in controversy unless such officer

or employee-

(1) would otherwise have authority to enter into a settlement

concerning the matter; or

(2) is otherwise specifically authorized by the agency to consent

to the use of arbitration.

(c) Prior to using binding arbitration under this Subchapter, the head

of an agency, in consultation with the Attorney General and after taking.

into account the factors in section 572(b), shall issue guidance on the

appropriate use of binding arbitration and when an officer or employee of

the agency has authority to settle an issue in controversy through binding

arbitration.7

5 USC 576. Sec. 576. Enforcement Of Arbitration Agreements

An agreement to arbitrate a matter to which this Subchapter applies is

enforcement pursuant to section 4 of title 9, and no action brought to

enforce such an agreement shall be dismissed nor shall relief therein be

denied on the grounds that it is against the United States or that the

United States is an indispensable party.

5 USC 577. See. 577. Arbitrators

(a) The parties to an arbitration proceeding shall be entitled to

participate in the selection of the arbitrator.

(b) The arbitrator shall be a neutral who meets the criteria of section

573 of this title.

5 USC 578. See. 578. Authority Of The Arbitrator

An arbitrator to whom a dispute is referred under this Subchapter

may-

(I) regulate the course of and conduct arbitral hearings;

(2) administer oaths and affirmations;

(3) compel the attendance of witnesses and production of

evidence at the hearing under the provisions of section 7 of title 9

only to the extent the agency involved is otherwise authorized by law

to do so; and

6

Public Law 101-552, section 4(b), 104 Slat. 2740 (1990); Public Law 102-354, section 3(b)(2), 106 Stat. 944

ý1992); Public Law 104-320, section 3, 1 10 Stat. 3870 (1996).

Public Law 101-552, section 4(b), 104 Stat. 2742 (1990); Public Law 102-354, section 3(b)(2), 106 Stat. 944

(1992); Public Law 104-320, section 8(c). 110 Stat. 3872 (1996).
Administrative Disoute Resolution Act (P.L. 10 1-552) 643

(4) make awards.

5 USC 579. Sec. 579. Arbitration Proceedings

(a) The arbitrator shall set a time and place for the hearing on the

dispute and shall notify the parties not less than 5 days before the

hearing.

(b) Any party wishing a record of the hearing shall-

(I) be responsible for the preparation of such record;

(2) notify the other parties and the arbitrator of the preparation of

such record;

(3) furnish copies to all identified parties and the arbitrator; and

(4) pay all costs for such record, unless the parties agree otherwise

or the arbitrator determines that the costs should be apportioned.

(c)(1) The parties to the arbitration are entitled to be heard, to present

evidence material to the controversy, and to cross-examine witnesses

appearing at the hearing.

(2) The arbitrator may, with the consent of the parties, conduct all

or part of the hearing by telephone, television, computer, or other

electronic means, if each party has an opportunity to participate.

(3) The hearing shall be conducted expeditiously and in an informal manner.

(4) The arbitrator may receive any oral or documentary evidence,

except that irrelevant, immaterial, unduly repetitious, or privileged

evidence may be excluded by the arbitrator.

(5) The arbitrator shall interpret and apply relevant statutory and

regulatory requirements, legal precedents, and policy directives.

(d) No interested person shall make or knowingly cause to be made to

the arbitrator an unauthorized ex parte communication relevant to the

merits of the proceeding, unless the parties agree otherwise. If a

communication is made in violation of this subsection, the arbitrator shall

ensure that a memorandum of the communication is prepared and made a

part of the record, and that an opportunity for rebuttal is allowed. Upon

receipt of a communication made in violation of this subsection, the

arbitrator may, to the extent consistent with the interests of justice and

the policies underlying this subchapter, require the offending party to

show cause why the claim of such party should not be resolved against

such party as a result of the improper conduct.

(e) The arbitrator shall make the award within 30 days after the close

of the hearing, or the date of the filing of any briefs authorized by the

arbitrator, whichever date is later, unless-

(I) the parties agree to some other time limit; or

(2) the agency provides by rule for some other time limit.

5 USC 580. Sec. 580. Arbitration Awards

(a)(l) Unless the agency provides otherwise by rule, the award in an

arbitration proceeding under this subchapter shall include a brief,

informal discussion of the factual and legal basis for the award, but

formal findings of fact or conclusions of law shall not be required.

(2) The prevailing parties shall file the award with all relevant

agencies, along with proof of service on all parties.

(b) The award in an arbitration proceeding shall become final 30 days

after it is served on all parties. Any agency that is a party to the

proceeding may extend this 30-day period for an additional 30-day

period by serving a notice of such extension on all other parties before

the end of the first 30-day period.

(c) A final award is binding on the parties to the arbitration

proceeding, and may be enforced pursuant to sections 9 through 13 of
644 Administrative Dispute Resolution Act (P.L. 101-552)

title 9. No action brought to enforce such an award shall be dismissed

nor shall relief therein be denied on the grounds that it is against the

United States or that the United States is an indispensable party.

(d) An award entered under this subchapter in an arbitration

proceeding may not serve as an estoppel in any other proceeding for any

issue that was resolved in the proceeding. Such an award also may not be

used as precedent or otherwise be considered in any factually unrelated

proceeding, whether conducted under this subchapter, by an agency, or in

a court, or in any other arbitration proceeding.

5 USC 581. Sec. 581. Judicial Review

(a) Notwithstanding any other provision of law, any person adversely

affected or aggrieved by an award made in an arbitration proceeding

conducted under this subchapter may bring an action for review of such

award only pursuant to the provisions of sections 9 through 13 of title 9.

(b)(1) A decision by an agency to use or not to use a dispute

resolution proceeding under this subchapter shall be committed to the

discretion of the agency and shall not be subject to judicial review,

except that arbitration shall be subject to judicial review under section

10(b) of title 9.

(2) A decision by the head of an agency under section 580 to

terminate an arbitration proceeding or vacate an arbitral award shall

be committed to the discretion of the agency and shall not be subject

to judicial review. 9

5 USC 582. Sec. 582. Repealed10

5 USC 583. Sec. 583. Support Services

For the purposes of this subchapter, an agency may use (with or

without reimbursement) the services and facilities of other Federal

agencies, state, local, and tribal governments,' public and private

organizations and agencies, and individuals with the consent of such

agencies, organizations, and individuals. An agency may accept

voluntary and uncompensated services for purposes of this subchapter

without regard to the provisions of section 1342 of title 31.

5 USC 584. Sec. 584. Authorization of Appropriations

There are authorized to be appropriated such sums as may be

necessary to carry out the purposes of this Subchapter.

Sec. 5. Judicial Review of Arbitration Awards.

Section 10 of title 9, United States Code, is amended-

(1) by redesignating subsections (a) through (e) as paragraphs (I)

through (5), respectively;

(2) by striking out "In either" and inserting in lieu thereof "(a) In

any"; and

(3) by adding at the end thereof the following:

(b) The United States district court for the district wherein an award

was made that was issued pursuant to section 590 of title 5 may make an

order vacating the award upon the application of a person, other than a

party to the arbitration, who is adversely affected or aggrieved by the

award, if the use of arbitration or the award is clearly inconsistent with

the factors set forth in section 582 of title 5.

'Public Law 101-552, section 4(b), 104 Stat. 2743 (1990); Public Law 102-354, sections3(b)(2), 5(b)(3), 106

Stat. 944, 946 (1992); Public Law 104-320, section 8(a), 110 Stat. 3872 (1996).

'Public Law 101-552, section 4(b), 104 Stat. 2744 (1990); Public Law 102-354, section 3(b)(2), (4), 106 Stat.

944 (1992); Public Law 104-320, section 8(b), 110 Stat. 3872 (1996).

'"P.L. 104-320, section 4(b)(I), 110 Stat. 3871 (1996).

''As amended by P.L. 104-320, § 5, 110 Stat. 3871 (1996).
Administrative Disnute Resolution Act (P.L. 10 1 -552) 645

See. 6. Government Contract Claims

(a) ALTERNATIVE MEANS OF DISPUTE RESOLUTION.-

Section 6 of the Contract Disputes Act of 1978 (41 USC 606) is amended

by adding at the end the following new subsections:

41 USC 605. (d) Notwithstanding any other provision of this Act, a contractor and

a contracting officer may use any alternative means of dispute resolution

under Subchapter IV of chapter 5 of title 5, United States Code, or other

mutually agreeable procedures, for resolving claims. In a case in which

such alternative means of dispute resolution or other mutually agreeable

procedures are used, the contractor shall certify that the claim is made in

good faith, that the supporting data are accurate and complete to the best

of his or her knowledge and belief, and that the amount requested

accurately reflects the contract adjustment for which the contractor

believes the Government is liable. All provisions of Subchapter IV of

chapter 5 of title 5, United States Code, shall apply to such alternative

means of dispute resolution.

(e) The authority of agencies to engage in alternative means of

dispute resolution proceedings under subsection (d) shall cease to be

effective on October 1, 1995, except that such authority shall continue in

effect with respect to then pending dispute resolution proceedings which,

in the judgment of the agencies that are parties to such proceedings,

require such continuation, until such proceedings terminate.

(b) JUDICIAL REVIEW OF ARBITRAL AWARDS.-Section 8(g)

of the Contract Disputes Act of 1978 (41 USC 607(g)) is amended by

adding at the end the following new paragraph:

(3) An award by an arbitrator under this Act shall be reviewed

pursuant to sections 9 through 13 of title 9, United States Code,

except that the court may set aside or limit any award that is found to

violate limitations imposed by Federal statue.

See. 7. Federal Mediation And Conciliation Service

Section 203 of the Labor Management Relations Act, 1947 (29 USC

173) is amended by adding at the end the following new subsection:

(t) The Service may make its services available to Federal agencies to

aid in the resolution of disputes under the provisions of Subchapter IV of

chapter 5 of title 5, United States Code. Functions performed by the

Service may include assisting parties to disputes related to administrative

programs, training persons in skills and procedures employed in

alternative means of dispute resolution, and furnishing officers and

employees of the Service to act as neutrals. Only officers and employees

who are qualified in accordance with section 583 of title 5, United States

Code, may be assigned to act as neutrals. The Service shall consult with

the Administrative Conference of the United States and other agencies in

maintaining rosters of neutrals and arbitrators, and to adopt such

procedures and rules as are necessary to carry out the services authorized

in this subsection.

See. 8. Government Tort And Other Claims

(a) FEDERAL TORT CLAIMS.-Section 2672 of title 28, United

States Code, is amended by adding at the end of the first paragraph the

following:

Notwithstanding the proviso contained in the preceding sentence, any

award, compromise, or settlement may be effected without the prior

written approval of the Attorney General or his or her designee, to the

extent that the Attorney General delegates to the head of the agency

the authority to make such award, compromise, or settlement. Such

delegations may not exceed the authority delegated by the Attorney
646 Administrative Dispute Resolution Act (P.L. 101-552)

General to the United States attorneys to settle claims for money

damages against the United States. Each Federal agency may use

arbitration, or other alternative means of dispute resolution under the

provisions of Subchapter IV of chapter 5 of title 5, to settle any tort

claim against the United States, to the extent of the agency's authority

to award, compromise, or settle such claim without the prior written

approval of the Attorney General or his or her designee.

(b) CLAIMS OF THE GOVERNMENT.-Section 371 l(a)(2) of title

3 1, United States Code, is amended by striking out "$20,000 (excluding

interest)" and inserting in lieu thereof "$100,000 (excluding interest) or

such higher amount as the Attorney General may from time to time

prescribe."

5 USC 581 See. 9. Use Of Non-Attorneys

note. (a) REPRESENTATION OF PARTIES.-Each agency, in developing

a policy on the use of alternative means of dispute resolution under this

Act, shall develop a policy with regard to the representation by persons

other than attorneys of parties in alternative dispute resolution

proceedings and shall identify any of its administrative programs with

numerous claims or disputes before the agency and determine-

(I) the extent to which individuals are represented or assisted by

attorneys or by persons who are not attorneys; and

(2) whether the subject areas of the applicable proceedings or the

procedures are so complex or specialized that only attorneys may

adequately provide such representation or assistance.

(b) REPRESENTATION AND ASSISTANCE BY NONATTORNEYS.-A person who is not an attorney may provide

representation or assistance to any individual in a claim or dispute with

an agency, if-

(I) such claim or dispute concerns an administrative program

identified under subsection (a);

(2) such agency determines that the proceeding or procedure does

not necessitate representation or assistance by an attorney under

subsection (a)(2); and

(3) such person meets any requirement of the agency to provide

representation or assistance in such a claim or dispute.

(c) DISQUALIFICATION OF REPRESENTATION OR

ASSISTANCE.-Any agency that adopts regulations under Subchapter IV

of chapter 5 of title 5, United States Code, to permit representation or

assistance by persons who are not attorneys shall review the rules of

practice before such agency to-

(I) ensure that any rules pertaining to disqualification of attorneys

from practicing before the agency shall also apply, as appropriate, to

other persons who provide representation or assistance; and

(2) establish effective agency procedures for enforcing such rules

of practice and for receiving complaints from affected persons.

5 USC 581 See. 10. Definitions

note. As used in this Act, the terms "agency", "administrative program",

and "alternative means of dispute resolution" have the meanings given

such terms in section 581 of title 5, United States Code, as added by

section 4(b) of this Act.

5 USC 581 See. 11. Sunset Provision

note. The authority of agencies to use dispute resolution proceedings under

this Act and the amendments made by this Act shall terminate on

October 1, 1995, except that such authority shall continue in effect with

respect to then pending proceedings which, in the judgment of the
Administrative Dispute Resolution Act (P.L. 101-552) 647

agencies that are parties to the dispute resolution proceedings, require

such continuation, until such proceedings terminate.
648 Regulatory Flexibility Act (P.L. 96-354)--5 USC 601-612

D. REGULATORY FLEXIBILITY ACT, AS AMENDED-5

USC 601-612

Public Law 96-354 94 Stat. 1164

September 19, 1980

Chapter 6-The Analysis Of Regulatory Functions

5 USC 601 - 612

5 USC 601. Sec. 601. Definitions

For purposes of this Chapter-

(1) the term "agency" means an agency as defined in section 551

of this title;

(2) The term "rule" means any rule for which the agency

publishes a general notice of proposed rulemaking pursuant to section

553(b) of this title, or any other law, including any rule of general

applicability governing Federal grants to State and local governments

for which the agency provides an opportunity for notice and public

comment, except that the term "rule" does not include a rule of

particular applicability relating to rates, wages, corporate or financial

structures or reorganizations thereof, prices, facilities, appliances,

services, or allowances therefor or to valuations, costs or accounting,

or practices relating to such rates, wages, structures, prices,

appliances, services, or allowances;

(3) the term "small business" has the same meaning as the term

"small business concern" under section 3 of the Small Business Act,

unless an agency, after consultation with the Office of Advocacy of

the Small Business Administration and after opportunity for public

comment, establishes one or more definitions of such term which are

appropriate to the activities of the agency and publishes such

definitions(s) in the Federal Register;

(4) the term "small organization" means any not-for-profit

enterprise which is independently owned and operated and is not

dominant in its field, unless an agency establishes, after opportunity

for public comment, one or more definitions of such term which are

appropriate to the activities of the agency and publishes such

definition(s) in the Federal Register;

(5) the term "small governmental jurisdiction" means

governments of cities, counties, towns, townships, villages, school

districts, or special districts, with a population of less than fifty

thousand, unless an agency establishes, after opportunity for public

comment, one or more definitions of such term which are appropriate

to the activities of the agency and which are based on such factors as

location in rural or sparsely populated areas or limited revenues due

to the population of such jurisdiction, and publishes definition(s) in

the Federal Register; and

(6) the term "small entity" shall have the same meaning as the

terms "small business," "small organization" and "small

governmental jurisdiction" defined in paragraphs (3), (4) and (5) of

this section.

(7) the term "collection of information"-

(A) means the obtaining, causing to be obtained, soliciting, or

requiring the disclosure to third parties or the public, of facts or
Regulatory Flexibility Act (P.L. 96-354)---5 USC 601-612 649

opinions by or for an agency, regardless of form or format, calling

for either-

(i) answers to identical questions posed to, or identical

reporting or recordkeeping requirements imposed on, 10 or

more persons, other than agencies, instrumentalities, or

employees of the United States; or

(ii) answers to questions posed to agencies, instrumentalities, or employees of the United States which are

to be used for general statistical purposes; and

(B) shall not include a collection of information described

under section 3518(c)(1) of title 44, United States Code.

(8) Recordkeeping Requirement.-The term "recordkeeping

requirement" means a requirement imposed by an agency on persons

to maintain specified records.'

5 USC 602. See. 602. Regulatory Agenda

(a) During the months of October and April of each year, each agency

shall publish in the Federal Register a regulatory flexibility agenda .which

shall contain-

(1) a brief description of the subject area of any rule which the

agency expects to proposed or promulgate which is likely to have a

significant economic impact on a substantial number of small entities;

(2) a summary of the nature of any such rule under consideration

for each subject area listed in the agenda pursuant to paragraph (1),

the objectives and legal basis for the issuance of the rule, and an

approximate schedule for completing action on any rule for which the

agency has issued a general notice of proposed rulemaking, and

(3) the name and telephone number of an agency official

knowledgeable concerning the items listed in paragraph (1).

(b) Each regulatory flexibility agenda shall be transmitted to the

Chief Counsel for Advocacy of the Small Business Administration for

comment, if any.

(c) Each agency shall endeavor to provide notice of each regulatory

flexibility agenda to small entities or their representatives through direct

notification or publication of the agenda in publications likely to be

obtained by such small entities and shall invite comments upon each

subject area on the agenda.

(d) Nothing in this section precludes an agency from considering or

acting on any matter not included in a regulatory flexibility agenda, or

requires an agency to consider or act on any matter listed in such agenda.

(Added Pub. L. 96-354, Sept. 19, 1980, 94 Stat. 1166.)

5 USC 603. Sec. 603. Initial Regulatory Flexibility Analysis

(a) Whenever an agency is required by section 553 of this title, or any

other law, to publish general notice of proposed rulemaking for any

proposed rule, or publishes a notice of proposed rulemaking for an

interpretative rule involving the internal revenue laws of the United

States, the agency shall prepare and make available for public comment

an initial regulatory flexibility analysis. Such analysis shall describe the

impact of the proposed rule on small entities. The initial regulatory

flexibility analysis or a summary shall be published in the Federal

Register at the time of the publication of general notice of proposed

rulemaking for the rule. The agency shall transmit a copy of the initial

regulatory flexibility analysis to the Chief Counsel for Advocacy of the

Small Business Administration. In the case of an interpretative rule

'Public Law 104-121, Title 11, Subtitle D, section 241(a)(2), 110 Stat. 864 (1996).
650 Regulatory Flexibility Act (P.L. 96-354)--5 USC 601-612

involving the internal revenue laws of the United States, this chapter

applies to interpretative rules published in the Federal Register for

codification in the Code of Federal Regulations, but only to the extent

that such interpretative rules impose on small entities a collection of

information requirement.

(b) Each initial regulatory flexibility analysis required under this

section shall contain-

(1) a description of the reasons why action by the agency is being

considered;

(2) a succinct statement of the objectives of, and legal basis for,

the proposed rule;

(3) a description of and, where feasible, an estimate of the number

of small entities to which the proposed rule will apply;

(4) a description of the projected reporting, recordkeeping and

other compliance requirements of the proposed rule, including an

estimate of the classes of small entities which will be subject to the

requirement and the type of professional skills necessary for

preparation of the report or record;

(5) an identification, to the extent practicable, of all relevant

Federal rules which may duplicate, overlap or conflict with the

proposed rule.

(c) Each initial regulatory flexibility analysis shall also contain a

description of any significant alternatives to the proposed rule which

accomplish the stated objectives of applicable statutes and which

minimize any significant economic impact of the proposed rule on small

entities. Consistent with the stated objectives of applicable statutes, the

analysis shall discuss significant alternatives such as-

(I) the establishment of differing compliance or reporting

requirements or timetables that take into account the resources

available to small entities;

(2) the clarification, consolidation, or simplification of

compliance and reporting requirements under the rule for such small

entities;

(3) the use of performance rather than design standards; and

(4) an exemption from coverage of the rule, or any part thereof,

for such small entities.2

5 USC 604. See. 604. Final Regulatory Flexibility Analysis

a) When an agency promulgates a final rule under section 553 of this

title, after being required by that section or any other law to publish a

general notice of proposed rulemaking, or promulgates a final

interpretative rule involving the internal revenue laws of the United

States as described in section 603(a), the agency shall prepare a final

regulatory flexibility analysis. Each final regulatory flexibility analysis

shall contain-

(I) a statement of the need for, and objectives of, the rule;

(2) a statement of the significant issues raised by the public

comments in response to the initial regulatory flexibility analysis, a

statement of the assessment of the agency of such issues, and a

statement of any changes made in the proposed rule as a result of

such comments;

(3) the response of the agency to any comments filed by the Chief

Counsel for Advocacy of the Small Business Administration in

response to the proposed rule, and a detailed statement of any change

2

Public Law 104-121, Title II, Subtitle D, section 241(a)(I), 110 Stat. 864 (1996).
Re2ulatorv Flexibility Act (P.L. 96-354)--5 USC 601-612 651

made to the proposed rule in the final rule as a result of the

comments;

3

(4) a description of and an estimate of the number of small

entities to which the rule will apply or an explanation of why no such

estimate is available;

(5) a description of the projected reporting, recordkeeping and

other compliance requirements of the rule, including an estimate of

the classes of small entities which will be subject to the requirement

and the type of professional skills necessary for preparation of the

report or record; and

6) a description of the steps the agency has taken to minimize the

significant economic impact on small entities consistent with the

stated objectives of applicable statutes, including a statement of the

factual, policy, and legal reasons for selecting the alternative adopted

in the final rule and why each one of the other significant alternatives

to the rule considered by the agency which affect the impact on small

entities was rejected.

(b) The agency shall make copies of the final regulatory flexibility

analysis available to members of the public and shall publish in the

Federal Register such analysis or a summary thereof.4

5 USC 605. See. 605. Avoidance Of Duplicative Or Unnecessary Analyses

(a) Any Federal agency may perform the analyses required by

sections 602, 603, and 604 of this title in conjunction with or as a part of

any other agenda or analysis required by any other law if such other

analysis satisfies the provisions of such sections.

(b) Sections 603 and 604 of this title shall not apply to any proposed

or final rule if the head of the agency certifies that the rule will not, if

promulgated, have a significant economic impact on a substantial number

of small entities. If the head of the agency makes a certification under the

preceding sentence, the agency shall publish such certification in the

Federal Register at the time of publication of general notice of proposed

rulemaking for the rule or at the time of publication of the final rule,

along with a statement providing the factual basis for such certification.

The agency shall provide such certification and statement to the Chief

Counsel for Advocacy of the Small Business Administration.

(c) In order to avoid duplicative action, an agency may consider a

series of closely related rules as one rule for the purposes of sections 602,

603, 604 and 610 of this title.5

5 USC 606. Sec. 606. Effect on Other Law

The requirements of sections 603 and 604 of this title do not alter in

any manner standards otherwise applicable by law to agency action.

5 USC 607. Sec. 607. Preparation Of Analyses

In complying with the provisions of sections 603 and 604 of this title,

an agency may provide either a quantifiable or numerical description of

the effects of a proposed rule or alternatives to the proposed rule, or more

general descriptive statements if quantification is not practicable or

reliable.

5 USC 608. Sec. 608. Procedure For Waiver Or Delay Of Completion

(a) An agency head may waive or delay the completion of some or

all of the requirements of section 603 of this title by publishing in the

Federal Register, not later than the date of publication of the final rule, a

'P.L. 111-240, 124 Stat. 2551, amended section 204 and added subparagraph (3).

'Public Law 104-121, Title I1, Subtitle D, section 241(b), 110 Stat. 864 (1996). 'Public Law 104-121, Title I1, Subtitle D, section 243(a). 110 Stat. 866 (1996).
652 Regulatory Flexibility Act (P.L. 96-354)--5-USC 601-612

written finding, with reasons therefor, that the final rule is being

promulgated in response to an emergency that makes compliance or

timely compliance with the provisions of section 603 of this title

impracticable.

(b) Except as provided in section 605(b), an agency head may not

waive the requirements of section 604 of this title. An agency head may

delay the completion of the requirements of section 604 of this title for a

period of not more than one hundred and eighty days after the date of

publication in the Federal Register of a final rule by publishing in the

Federal Register, not later than such date of publication, a written

finding, with reasons therefor, that the final rule is being promulgated to

response to an emergency that makes timely compliance with the

provisions of section 604 of this title impracticable. If the agency has not

prepared a final regulatory analysis pursuant to section 604 of this title

within one hundred and eighty days from the date of publication of the

final rule, such rule shall lapse and have no effect. Such rule shall not be

repromulgated until a final regulatory flexibility analysis has been

completed by the agency. (Added Public Law 96-354, Sept. 19, 1980, 94

Stat. H 168.)

5 USC 609. Sec. 609. Procedures For Gathering Comments

(a) When any rule is promulgated which will have a significant

economic impact on a substantial number of small entities, the head of

the agency promulgating the rule or the official of the agency with

statutory responsibility for the promulgation of the rule shall assure that

small entities have been given an opportunity to participate in the

rulemaking for the rule through the reasonable use of techniques2 such

as-

(I) the inclusion in an advanced notice of proposed rulemaking, if

issued, of a statement that the proposed rule may have a significant

economic effect on a substantial number of small entities;

(2) the publication of general notice of proposed rulemaking in

publications likely to be obtained by small entities;

(3) the direct notification of interested small entities;

(4) the conduct of open conferences or public hearings concerning

the rule for small entities including soliciting and receiving comments

over computer networks; and

(5) the adoption or modification of agency procedural rules to

reduce the cost or complexity of participation in the rulemaking by

small entities.

(b) Prior to publication of an initial regulatory flexibility analysis

which a covered agency is required to conduct by this Chapter-

(1) a covered agency shall notify the Chief Counsel for Advocacy

of the Small Business Administration and provide the Chief Counsel

with information on the potential impacts of the proposed rule on

small entities and the type of small entities that might be affected;

(2) not later than 15 days after the date of receipt of the materials

described in paragraph (1), the Chief Counsel shall identify

individuals representative of affected small entities for the purpose of

obtaining advice and recommendations from those individuals about

the potential impacts of the proposed rule;

(3) the agency shall convene a review panel for such rule

consisting wholly of full time Federal employees of the office within

the agency responsible for carrying out the proposed rule, the Office

of Information and Regulatory Affairs within the Office of

Management and Budget, and the Chief Counsel;
Re2ulatorv Flexibility Act (P.L. 96-354)--5 USC 601-612 653

(4) the panel shall review any material the agency has prepared in

connection with this chapter, including any draft proposed rule,

collect advice and recommendations of each individual small entity

representative identified by the agency after consultation with the

Chief Counsel, on issues related to subsections 603(b), paragraphs

(3), (4) and (5) and 603(c);3

(5) not later than 60 days after the date a covered agency

convenes a review panel pursuant to paragraph (3), the review panel

shall report on the comments of the small entity representatives and

its findings as to issues related to subsections 603(b), paragraphs (3),

(4) and (5) and 603(c), 4 provided that such report shall be made

public as part of the rulemaking record; and

(6) where appropriate, the agency shall modify the proposed rule,

the initial regulatory flexibility analysis or the decision on whether an

initial regulatory flexibility analysis is required.

(c) An agency may in its discretion apply subsection (b) to rules that

the agency intends to certify under subsection 605(b), but the agency

believes may have a greater than de minimis impact on a substantial

number of small entities.

(d) For purposes of this section, the term "covered agency" means the

Environmental Protection Agency and the Occupational Safety and

Health Administration of the Department of Labor.

(e) The Chief Counsel of Advocacy, in consultation with the

individuals identified in subsection (b)(2), and with the Administrator of

the Office of Information and Regulatory Affairs within the Office of

Management and Budget, may waive the requirements of subsections

(b)(3), (b)(4), and (b)(5) by including in the rulemaking record a written

finding, with reasons therefor, that those requirements would not advance

the effective participation of small entities in the rulemaking process.

For purposes of this subsection, the factors to be considered in making

such a finding are as follows:

(1) In developing a proposed rule, the extent to which the covered

agency consulted with individuals representative of affected small

entities with respect to the potential impacts of the rule and took such concerns into consideration.

(2) Special circumstances requiring prompt issuance of the rule.

(3) Whether the requirements of subsection (b) would provide the

individuals identified in subsection ýb)(2) with a competitive

advantage relative to other small entities.

5 USC 610. See. 610. Periodic Review Of Rules

(a) Within one hundred and eighty days after the effective date of this

chapter, each agency shall publish in the Federal Register a plan for the

periodic review of the rules issued by the agency which have or will have

a significant economic impact upon a substantial number of small

entities. Such plan may be amended by the agency at any time by

publishing the revision in the Federal Register. The purpose of the review

shall be to determine whether such rules should be continued without

change, or should be amended or rescinded, consistent with the stated

objectives of applicable statutes, to minimize any significant economic

impact of the rules upon a substantial number of such small entities. The

plan shall provide for the review of all such agency rules existing on the

effective date of this chapter within ten years of that date and for the

review of such rules adopted after the effective date of this chapter within

6

Public Law 104-121, Title II, Subtitle D, section 244(a), 110 Stat, 867 (1996).
654 Regulatory Flexibility Act (P.L. 96-354)--5 USC 601-612

ten years of the publication of such rules as the final rule. If the head of

the agency determines that completion of the review of existing rules is

not feasible by the established date, he shall so certify in a statement

published in the Federal Register and may extend the completion date by

one year at a time for a total of not more than five years.

(b) In reviewing rules to minimize any significant economic impact of the rule on a substantial number of small entities in a manner

consistent with the stated objectives of applicable statutes, the agency

shall consider the following factors-

(1) the continued need for the rule;

(2) the nature of complaints or comments received concerning the

rule from the public; (3) the complexity of the rule;

(4) the extent to which the rule overlaps, duplicates or conflicts

with other federal rules, and, to the extent feasible, with State and

local governmental rules; and

(5) the length of time since the rule has been evaluated or the

degree to which technology, economic conditions, or other factors

have changed in the area affected by the rule.

(c) Each year, each agency shall publish in the Federal Register a list

of the rules which have a significant economic impact on a substantial

number of small entities, which are to be reviewed pursuant to this

section during the succeeding twelve months. The list shall include a

brief description of each rule and the need for and legal basis of such rule

and shall invite public comment upon the rule. (Added Pub. L. 96-354,

Sept. 19, 1980, 94 Stat. 1168.)

5 USC 611. See. 611. Judicial Review

(a)(]) For any rule subject to this chapter, a small entity that is

adversely affected or aggrieved by final agency action is entitled to

judicial review of agency compliance with the requirements of sections

601, 604, 605(b), 608(b), and 610 in accordance with chapter 7. Agency

compliance with sections 607 and 609(a) shall be judicially reviewable in

connection with judicial review of section 604.

(2) Each court having jurisdiction to review such rule for

compliance with section 553, or under any other provision of law,

shall have jurisdiction to review any claims of noncompliance with

sections 601, 604, 605(b), 608(b), and 610 in accordance with chapter 7. Agency compliance with section 607 and 609(a) shall be judicially

reviewable in connection with judicial review of section 604.

(3)(A) A small entity may seek such review during the period

beginning on the date of final agency action and ending one year later, except that where a provision of law requires that an action

challenging a final agency action be commenced before the expiration

of one year, such lesser period shall apply to an action for judicial review under this section.

(B) In the case where an agency delays the issuance of a final

regulatory flexibility analysis pursuant to section 608(b) of this

chapter, an action for judicial review under this section shall be

filed not later than- . (i) one year after the date the analysis is made available to

the public, or

(ii) where a provision of law requires that an action

challenging a final agency regulation be commenced before

the expiration of the I-year period, the number of days
Reaulatorv Flexibility Act (P.L. 96-354)----5 USC 601-612 655

specified in such provision of law that is after the date the

analysis is made available to the public.

(4) In granting any relief in an action under this section, the court

shall order the agency to take corrective action consistent with this

chapter and chapter 7, including, but not limited to-

(A) remanding the rule to the agency, and

(B) deferring the enforcement of the rule against small entities

unless the court finds that continued enforcement of the rule is in

the public interest.

(5) Nothing in this subsection shall be construed to limit the

authority of any court to stay the effective date of any rule or

provision thereof under any other provision of law or to grant any

other relief in addition to the requirements of this section.

(b) In an action for the judicial review of a rule, the regulatory

flexibility analysis for such rule, including an analysis prepared or

corrected pursuant to paragraph (a)(4), shall constitute part of the entire

record of agency action in connection with such review.

(c) Compliance or noncompliance by an agency with the provisions

of this chapter shall be subject to judicial review only in accordance with

this section.

(d) Nothing in this section bars judicial review of any other impact

statement or similar analysis required by any other law ifjudicial review

of such statement or analysis is otherwise permitted by law.7

5 USC 612. Sec. 612. Reports And Intervention Rights

(a) The Chief Counsel for Advocacy of the Small Business

Administration shall monitor agency compliance with this chapter and

shall report at least annually thereon to the President and to the

Committees on the Judiciary and Small Business of the Senate and

House of Representatives.

(b) The Chief Counsel for Advocacy of the Small Business

Administration is authorized to appear as amicus curiae in any action

brought in a court of the United States to review a rule. In any such

action, the Chief counsel is authorized to present his or her views with

respect to compliance of this chapter, the adequacy of the rulemaking

record with respect to small entities.

(c) A court of the United States shall grant the application of the

Chief Counsel for Advocacy of the Small Business Administration to

appear in any such action for the purposes described in subsection (b).

(Added Pub. L. 96-354, Sept. 19, 1980,94 Stat. 1170.)

7

As amended, Public Law 104-121, Title I1, Subtitle D, section 242, 110 Slat. 865 (1996).

'As amended, Public Law 104-121, Title 11, Subtitle D, section 243(b), 110 Stat. 866 (1996).
656 Judicial Review-5 USC 701-706

E. JUDICIAL REVIEW-5 USC 701-706

Chapter 7-Judicial Review

5 USC 701. See. 701. Application; Definitions

(a) This chapter applies, according to the provisions thereof, except to

the extent that-

(I) statutes preclude judicial review; or

(2) agency action is committed to agency discretion by law.

(b) For the purpose of this Chapter-

(1) "agency" means each authority of the Government of the

United States, whether or not it is within or subject to review by

another agency, but does not include-

(A) the Congress;

(B) the courts of the United States:

(C) the governments of the territories or possessions of the

United States;

(D) the government of the District of Columbia;

(E) agencies composed of representatives of the parties or of

representatives of organizations of the parties to the disputes

determined by them;

(F) courts martial and military commissions;

(G) military authority exercised in the field in time of war or

in occupied territory; or

(H) functions conferred by sections 1738, 1739, 1743, and

1744 of title 12; chapter 2 of title 41; Subchapter 11 of chapter 471

of title 49; or sections 1884, 1891-1902, and former section

164 1(b)(2), of title 50, appendix; and

(2) "person", "rule", "order", "license", "sanction", "relief', and

"agency action" have the meanings given them by section 551 of this

title.'

5 USC 702. Sec. 702. Right Of Review

A person suffering legal wrong because of agency action, or

adversely affected or aggrieved by agency action within the meaning of a

relevant statute, is entitled to judicial review thereof. An action in a court

of the United States seeking relief other than money damages and stating

a claim that an agency or an officer or employee thereof acted or failed to

act in an official capacity or under color of legal authority shall not be

dismissed nor relief therein be denied on the ground that it is against the

United States or that the United States is an indispensable party. The

United States may be named as a defendant in any such action, and a judgment or decree may be entered against the United States: Provided,

That any mandatory or injunctive decree shall specify the Federal officer

or officers (by name or by title), and their successors in office, personally

responsible for compliance. Nothing herein (1) affects other limitations

on judicial review or the power or duty of the court to dismiss any action or deny relief on any other appropriate legal or equitable ground; or (2)

confers authority to grant relief if any other statute that grants consent to

suit expressly or impliedly forbids the relief which is sought. 2

5 USC 703. Sec. 703. Form And Venue Of Proceeding

The form of proceeding for judicial review is the special statutory review

proceeding relevant to the subject matter in a court specified by statute

2'As amended, Public Law 103-272, section 5(a), 108 Stat. 1373 (1994). As amended by P.L. 94-574, § 1, 90 Stat. 2721 (1976).
Judicial Review-5 USC 701-706 657

or, in the absence or inadequacy thereof, any applicable form of legal

action, including actions for declaratory judgments or writs of

prohibitory or mandatory injunction or habeas corpus, in a court of

competent jurisdiction. If no special statutory review proceeding is

applicable, the action for judicial review may be brought against the

United States, the agency by its official title, or the appropriate officer.

Except to the extent that prior, adequate, and exclusive opportunity for

judicial review is provided by law, agency action is subject to judicial

review in civil or criminal proceedings for judicial enforcement.

5 USC 704. See. 704. Actions Reviewable

Agency action made reviewable by statute and final agency action for

which there is no other adequate remedy in a court are subject to judicial

review. A preliminary, procedural, or intermediate agency action or ruling not directly reviewable is subject to review on the review of the

final agency action. Except as otherwise expressly required by statute,

agency action otherwise final is final for the purposes of this section

whether or not there has been presented or determined an application for

a declaratory order, for any form of reconsideration, or, unless the agency

otherwise requires by rule and provides that the action meanwhile is

inoperative, for an appeal to superior agency authority.

5 USC 705. Sec. 705. Relief Pending Review

When an agency finds that justice so requires, it may postpone the

effective date of action taken by it, pending judicial review. On such

conditions as may be required and to the extent necessary to prevent

irTeparable injury, the reviewing court, including the court to which a

case may be taken on appeal from or on application for certiorari or other

writ to a reviewing court, may issue all necessary and appropriate process

to postpone the effective date of an agency action or to preserve status or rights pending conclusion of the review proceedings.

5 USC 706. See. 706. Scope Of Review

To the extent necessary to decision and when presented, the

reviewing court shall decide all relevant questions of law, interpret

constitutional and statutory provisions, and determine the meaning or

applicability of the terms of an agency action. The reviewing court shall-

(I) compel agency action unlawfully withheld or unreasonably

delayed; and

(2) hold unlawful and set aside agency action, findings, and

conclusions found to be-

(A) arbitrary, capricious, an abuse of discretion, or otherwise

not in accordance with law;

(B) contrary to constitutional right, power, privilege, or

immunity;

(C) in excess of statutory jurisdiction, authority, or limitations, or short of statutory right;

(D) without observance of procedure required by law;

(E) unsupported by substantial evidence in a case subject to

sections 556 and 557 of this title or otherwise reviewed on the

record of an agency hearing provided by statute; or

(F) unwarranted by the facts to the extent that the facts are

subject to trial de novo by the reviewing court.

In making the foregoing determinations, the court shall review the

whole record or those parts of it cited by a party, and due account shall

be taken of the rule of prejudicial error.

'As amended by P.L. 94-574, § 1, 90 Stat. 2721 (1976).
658 Congressional Review-5 USC 801-808

F. CONGRESSIONAL REVIEW-5 USC 801-808

Chapter 8-Congressional Review Of Agency Rulemaking'

5 USC 801. See. 801. Congressional Review

(a)(l)(A) Before a rule can take effect, the Federal agency

promulgating such rule shall submit to each House of the Congress and

to the Comptroller General a report containing-

(i) a copy of the rule;

(ii) a concise general statement relating to the rule,

including whether it is a major rule; and

(iii) the proposed effective date of the rule.

(B) On the date of the submission of the report under

subparagraph (A), the Federal agency promulgating the rule shall

submit to the Comptroller General and make available to each

House of Congress-

(i) a complete copy of the cost-benefit analysis of the rule,

if any;

(ii) the agency's actions relevant to sections 603, 604, 605,

607, and 609;

(iii) the agency's actions relevant to sections 202, 203,

204, and 205 of the Unfunded Mandates Reform Act of 1995;

and

(iv) any other relevant information or requirements under

any other Act and any relevant Executive orders.

(C) Upon receipt of a report submitted under subparagraph

(A), each House shall provide copies of the report to the chairman

and ranking member of each standing committee with jurisdiction

under the rules of the House of Representatives or the Senate to

report a bill to amend the provision of law under which the rule is

issued.

(2)(A) The Comptroller General shall provide a report on each

major rule to the committees of jurisdiction in each House of the

Congress by the end of 15 calendar days after the submission or

publication date as provided in section 802(b)(2). The report of the

Comptroller General shall include an assessment of the agency's

compliance with procedural steps required by paragraph (I)(B).

(B) Federal agencies shall cooperate with the Comptroller

General by providing information relevant to the Comptroller

General's report under subparagraph (A).

(3) A major rule relating to a report submitted under paragraph (1)

shall take effect on the latest of-

(A) the later of the date occurring 60 days after the date on

which-

(i) the Congress receives the report submitted under

paragraph (1); or (ii) the rule is published in the Federal Register, if so

published;

(B) if the Congress passes a joint resolution of disapproval

described in section 802 relating to the rule, and the President

signs a veto of such resolution, the earlier date-

'P.L. 104-121, Title II, Subtitle E, section 251, 110 Stat. 868 (effective on enactment, as provided by section

252 of such Act, which appears as 5 U.S.C.S. section 801 note), added the chapter heading and analysis.
Conaressional Review-5 USC 801-808 659

(i) on which either House of Congress votes and fails to

override the veto of the President; or

(ii) occurring 30 session days after the date on which the

Congress received the veto and objections of the President; or

(C) the date the rule would have otherwise taken effect, not for

this section (unless a joint resolution of disapproval under section

802 is enacted.

(4) Except for a major rule, a rule shall take effect as otherwise

provided by law after submission to Congress under paragraph (1).

(5) Notwithstanding paragraph (3), the effective date of a rule

shall not be delayed by operation of this chapter beyond the date on

which either House of Congress votes to reject a joint resolution of

disapproval under section 802.

(b)(1) A rule shall not take effect (or continue), if the Congress enacts

a joint resolution of disapproval, described under section 802, of the rule.

(2) A rule that does not take effect (or does not continue) under

paragraph (1) may not be reissued in substantially the same form, and

a new rule that is substantially the same as such a rule may not be

issued, unless the reissued or new rule is specifically authorized by a

law enacted after the date of the joint resolution disapproving the

original rule.

(c)(l) Notwithstanding any other provision of this section (except

subject to paragraph (3)), a rule that would not take effect by reason of

subsection (a)(3) may take effect, if the President makes a determination

under paragraph (2) and submits written notice of such determination to

the Congress.

(2) Paragraph (I) applies to a determination made by the President

by Executive order that the rule should take effect because such rule

is-

(A) necessary because of an imminent threat to health or

safety or other emergency;

(B) necessary for the enforcement of criminal laws;

(C) necessary for national security; or

(D) issued pursuant to any statute implementing an

international trade agreement.

(3) An exercise by the President of the authority under this

subsection shall have no effect on the procedures under section 802 or

the effect of a joint resolution of disapproval under this section.

(d)(1) In addition to the opportunity for review otherwise provided

under this chapter, in the case of any rule for which a report was

submitted in accordance with sub-section (a)(l)(A) during the period

beginning on the date occurring-

(A) in the case of the Senate, 60 sessions days, or

(B) in the case of the House of Representatives, 60 legislative

days, before the date the Congress adjourns a session of Congress

through the date on which the same or succeeding Congress first

convenes its next session, section 802 shall apply to such rule in

the succeeding session of Congress.

(2)(A) In applying section 802 for purposes of such additional

review, a rule described under paragraph (1) shall be treated as

though-

(i) such rule were published in the Federal Register (as a

rule that shall take effect) on-

([) in the case of the Senate, the 15th session day, or
660 Congressional Review-5 USC 801-808

(I1) in the case of the House of Representatives, the

15th legislative day, after the succeeding session of

Congress first convenes; and

(ii) a report on such rule were submitted to Congress under

subsection (a)(l) on such date.

(B) Nothing in this paragraph shall be construed to affect the

requirement under subsection (a)(l) that a report shall be

submitted to Congress before a rule can take effect.

(3) A rule described under paragraph (1) shall take effect as

otherwise provided by law (including other subsections of this

section).

(e)(l) For purposes of this subsection, section 802 shall also apply to

any major rule promulgated between March I, 1996, and the date of the

enactment of this chapter.

(2) In applying section 802 for purposes of Congressional review,

a rule described under paragraph (1) shall be treated as though-

(A) such rule were published in the Federal Register on the

date of enactment of this chapter; and

(B) a report on such rule were submitted to Congress under

subsection (a)(1) on such date.

(3) The effectiveness of a rule described under paragraph (I) shall

be as otherwise provided by law, unless the rule is made of no force

or effect under section 802.

(f) Any rule that takes effect and later is made of no force or effect by

enactment of a joint resolution under section 802 shall be treated as

though such rule had never taken effect.

(g) If the Congress does not enact a joint resolution of disapproval

under section 802 respecting a rule, no court or agency may infer any

intent of the Congress from any action or inaction of the Congress with

regard to such rule, related statute, or joint resolution of disapproval.

5 USC 802. Sec. 802. Congressional Disapproval Procedure

(a) For purposes of this section, the term "joint resolution" means

only a joint resolution introduced in the period beginning on the date on

which the report referred to in section 801(a)(1)(A) is received by

Congress and ending 60 days thereafter (excluding days either House of

Congress is adjourned for more than 3 days during a session of

Congress), the matter after the resolving clause of which is as follows:

"That Congress disapproves the rule submitted by the __ relating to __ , and such rule shall have no force or effect." (The blank spaces being appropriately filled in.)

(b)(1) A joint resolution described in subsection (a) shall be referred

to the committees in each House of Congress with jurisdiction.

(2) For purposes of this section, the term "submission or

publication date" means the later of the date on which-

(A) the Congress receives the report submitted under section

801 (a)(l); or

(B) the rule is published in the Federal Register, if so

published,

(c) In the Senate, if the committee to which is referred a joint resolution described in subsection (a) have not reported such joint

resolution (or an identical joint resolution) at the end of 20 calendar days

after the submission or publication date defined under subsection (b)(2),

such committee may be discharged from further consideration of such

joint resolution upon a petition supported in writing by 30 Members of

the Senate, and such joint resolution shall be placed on the calendar.
Congressional Review-5 USC 801-808 661

(d)(1) In the Senate, when the committee to which a joint resolution is

referred has reported, or when a committee is discharged (under

subsection (c)) from further consideration of a joint resolution described

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

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

proceed to the consideration of the joint resolution, and all points of

order against the joint resolution (and against consideration of the joint

resolution) are waived. The motion is not subject to amendment, or to a

motion to postpone, or to a motion to proceed to the consideration of

other business. A motion to reconsider the vote by which the motion is

agreed to or disagreed to shall not be in order. If a motion to proceed to

the consideration of the joint resolution is agreed to, the joint resolution

shall remain the unfinished business of the Senate until disposed of.

(2) In the Senate, debate on the joint resolution, and on all

debatable motions and appeals in connection therewith, shall be

limited to not more than 10 hours, which shall be divided equally

between those favoring and those opposing the joint resolution. A

motion further to limit debate is in order and not debatable. An

amendment to, or a motion to postpone, or a motion to proceed to the

consideration of other business, or a motion to recommit the joint

resolution is not in order.

(3) In the Senate, immediately following the conclusion of the

debate on a joint resolution described in subsection (a), and a single

quorum call at the conclusion of the debate if requested in accordance

with the rules of the Senate, the vote on final passage of the joint

resolution shall occur.

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

application of the rules of the Senate to the procedure relating to a

joint resolution described in subsection (a) shall be decided without

debate.

(e) In the Senate the procedure specified in subsection (c) or.(d) shall

not apply to the consideration of a joint resolution respecting a rule-

(]) after the expiration of the 60 session days beginning with the

applicable submission or publication date, or

(2) if the report under section 801(a)(l)(A) was submitted during

the period referred to in section 801(d)(1), after the expiration of the

60 session days beginning on the 15th session day after the

succeeding session of Congress first convenes.

(f) If, before the passage by one House of a joint resolution of that

House described in subsection (a), that House receives from the other

House a joint resolution described in subsection (a), then the following

procedures shall apply:

(1) The joint resolution of the other House shall not be referred to

a committee.

(2) With respect to a joint resolution described in subsection (a) of

the House receiving the joint resolution-

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

resolution had been received from the other House; but

(B) the vote on final passage shall be on the joint resolution of

the other House.

(g) This section is enacted by Congress-

(1) as an exercise of the rulemaking power of the Senate and

House of Representatives, respectively, and as such it is deemed a

part of the rules of each House, respectively, but applicable only with

respect to the procedure to be followed in that House in the case of a
662 Congressional Review-5 USC 801-808

joint resolution described in subsection (a), and it supersedes other

rules only to the extent that it is inconsistent with such rules; and

(2) with full recognition of the constitutional right of either House

to change the rules (so far as relating to the procedure of that House)

at any time, in the same manner, and to the same extent as in the case

of any other rule of that House.

5 USC 803. Sec. 803. Special Rule On Statutory, Regulatory, And Judicial

Deadlines

(a) In the case of any deadline for, relating to, or involving any rule

which does not take effect (or the effectiveness of which is terminated)

because of enactment of a joint resolution under section 802, that

deadline is extended until the date 1 year after the date of enactment of

the joint resolution. Nothing in this subsection shall be construed to

affect a deadline merely by reason of the postponement of a rule's

effective date under section 80 1(a).

(b) The term "deadline" means any date certain for fulfilling any

obligation or exercising any authority established by or under any

Federal statute or regulation, or by or under any court order

implementing any Federal statute or regulation.

5 USC 804. Sec. 804. Definitions

For purposes of this Chapter-

(1) The term "Federal agency" means any agency as that term is

defined in section 551 (1).

(2) The term "major rule" means any rule that the Administrator

of the Office of Information and Regulatory Affairs of the Office of

Management and Budget finds has resulted in or is likely to result in-

(A) an annual effect on the economy of $ 100,000,000 or more;

(B) a major increase in costs or prices for consumers,

individual industries, Federal, State, or local government

agencies, or geographic regions; or

(C) significant adverse effects on competition, employment,

investment, productivity, innovation, or on the ability of United

States-based enterprises to compete with foreign-based enterprises in domestic and export markets. The term does not include any

rule promulgated under the Telecommunications Act of 1996 and

the amendments made by that Act.

(3) The term "rule" has the meaning given such term in section

55 1, except that such term does not include-

(A) any rule of particular applicability, including a rule that

approves or prescribes for the future rates, wages, prices, services,

or allowances therefor, corporate or financial structures,

reorganizations, mergers, or acquisitions thereof, or accounting

practices or disclosures bearing on any of the foregoing;

(B) any rule relating to agency management or personnel; or

(C) any rule of agency organization, procedure, or practice

that does not substantially affect the rights or obligations of nonagency parties. 5 USC 805. Sec. 805. Judicial Review

No determination, finding, action, or omission under this chapter

shall be subject to judicial review.

5 USC 806. Sec. 806. Applicability; Severability

(a) This chapter shall apply notwithstanding any other provision of

law.

(b) If any provision of this chapter or the application of any provision

of this chapter to any person or circumstance, is held invalid, the
Congressional Review-5 USC 80 1-808 663

application of such provision to other persons or circumstances, and the

remainder of this chapter, shall not be affected thereby.

5 USC 807. See. 807. Exemption For Monetary Policy

Nothing in this chapter shall apply to rules that concern monetary

policy proposed or implemented by the Board of Governors of the

Federal Reserve System or the Federal Open Market Committee.

5 USC 808. See. 808. Effective Date Of Certain Rule

Notwithstanding section 801-

(1) any rule that establishes, modifies, opens, closes, or conducts a

regulatory program for a commercial, recreational, or subsistence

activity related to hunting, fishing, or camping, or

(2) any rule which an agency for good cause finds (and

incorporates the finding and a brief statement of reasons therefor in

the rule issued) that notice and public procedure thereon are

impracticable, unnecessary, or contrary to the public interest, shall

take effect at such time as the Federal agency promulgating the rule

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

G. FEDERAL ADVISORY COMMITTEE ACT, AS

AMENDED

Public Law 92-463 86 Stat. 770

October 6,1972

5 USC APPENDIX 2

Sec. 1. Short Title

This Act may be cited as the "Federal Advisory Committee Act."

Sec. 2. Findings And Purpose . (a) The Congress finds that there are numerous committees, boards,

commissions, councils, and similar groups which have been established

to advise officers and agencies in the executive branch of the Federal

Government and that they are frequently a useful and beneficial means of

furnishing expert advice, ideas, and diverse opinions to the Federal

Government.

(b) The Congress further finds and declares that-

(1) the need for many existing advisory committees has not been

adequately reviewed;

(2) new advisory committees should be established only when

they are determined to be essential and their number should be kept to

the minimum necessary;

(3) advisory committees should be terminated when they are no

longer carrying out the purposes for which they were established;

(4) standards and uniform procedures should govern the

establishment, operation, administration, and duration of advisory

committees;

(5) the Congress and the public should be kept informed with

respect to the number, purpose, membership, activities, and cost of

advisory committees; and

(6) the function of advisory committees should be advisory only,

and that all matters under their consideration should be determined, in

accordance with law, by the official, agency, or officer involved.

See. 3. Definitions

For the purpose of this Act-

(1) The term "Administrator" means the Administrator of General

Services.

(2) The term "advisory committee" means any committee, board,

commission, council, conference, panel, task force, or other similar

group, or any subcommittee or other subgroup thereof (hereafter in

this paragraph referred to as "committee"), which is-

(A) established by statute or reorganization plan, or

(B) established or utilized by the President, or

(C) established or utilized by one or more agencies, in the

interest of obtaining advice or recommendations for the President

or one or more agencies or officers of the Federal Government.

(3) The term "agency" has the same meaning as in section 551 (1)

of title 5, United States Code.

(4) The term "Presidential advisory committee" means an

advisory committee which advises the President.

Sec. 4. Applicability; Restrictions

(a) The provisions of this Act or of any rule, order, or regulation promulgated under this Act shall apply to each advisory committee

except to the extent that any Act of Congress establishing any such

advisory committee specifically provides otherwise.
Federal Advisory Committee Act (P.L. 92-463) 665

(b) Nothing in this Act shall be construed to apply to any advisory

committee established or utilized by-

(1) the Central Intelligence Agency; or

(2) The Federal Reserve System.

(c) Nothing in this Act shall be construed to apply to any local civic

group whose primary function is that of rendering a public service with

respect to a Federal program, or any State or local committee, council,

board, commission, or similar group established to advise or make

recommendations to State or local officials or agencies.

Sec. 5. Responsibilities Of Congressional Committees; Review;

Guidelines

(a) In the exercise of its legislative review function, each standing

committee of the Senate and the House of Representatives shall make a

continuing review of the activities of each advisory committee under its

jurisdiction to determine whether such advisory committee should be

abolished or merged with any other advisory committee, whether the

responsibilities of such advisory committee should be revised, and

whether such advisory committee performs a necessary function not

already being performed. Each such standing committee shall take

appropriate action to obtain the enactment of legislation necessary to

carry out the purpose of this subsection.

(b) In considering legislation establishing, or authorizing the

establishment of any advisory committee, each standing committee of the

Senate and of the House of Representatives shall determine, and report

such determination to the Senate or to the House of Representatives, as

the case may be, whether the functions of the proposed advisory

committee are being or could be performed by one or more agencies or

by an advisory committee already in existence, or by enlarging the

mandate of an existing advisory committee. Any such legislation shall-

(1) contain a clearly defined purpose for the advisory committee;

(2) require the membership of the advisory committee to be fairly

balanced in terms of the points of view represented and the functions

to be performed by the advisory committee;

(3) contain appropriate provisions to assure that the advice and

recommendations of the advisory committee will not be

inappropriately influenced by the appointing authority or by any

special interest, but will instead be the result of the advisory

committee's independent judgment;

(4) contain provisions dealing with authorization of

appropriations, the date for submission of reports (if any), the

duration of the advisory committee, and the publication of reports and

other materials, to the extent that the standing committee determines

the provisions of section 10 of this Act to be inadequate; and

(5) contain provisions which will assure that the advisory

committee will have adequate staff (either supplied by an agency or

employed by it), will be provided adequate quarters, and will have

funds available to meet its other necessary expenses.

(c) To the extent they are applicable, the guidelines set out in

subsection (b) of this section shall be followed by the President, agency

heads, or other Federal officials in creating an advisory committee.

Sec. 6. Responsibilities Of The President; Report To Congress;

Annual Report To Congress; Exclusion

(a) The President may delegate responsibility for evaluating and

taking action, where appropriate, with respect to all public

recommendations made to him by Presidential advisory committees.
666 Federal Advisory Committee Act (P.L. 92-463)

(b) Within one year after a Presidential advisory committee has

submitted a public report to the President, the President or his delegate

shall make a report to the Congress stating either his proposals for action

or his reasons for inaction, with respect to the recommendations

contained in the public report.

(c) The President shall, not later than December 31 of each year,

make an annual report to the Congress on the activities, status, and

changes in the composition of advisory committees in existence during

the preceding fiscal year. The report shall contain the name of every

advisory committee, the date of and authority for its creation, its

termination date or the date it is to make a report, its functions, a

reference to the reports it has submitted, a statement of whether it is an ad

hoc or continuing body, the dates of its meetings, the names and

occupations of its current members, and the total estimated annual cost to

the United States to fund, service, supply, and maintain such committee.

Such report shall include a list of those advisory committees abolished by

the President, and in the case of advisory committees established by

statute, a list of those advisory committees which the President

recommends be abolished together with his reasons therefor. The

President shall exclude from this report any information which, in his

judgment, should be withheld for reasons of national security, and he

shall include in such report a statement that such information is excluded.

Sec. 7. Responsibilities Of The Administrator Of General Services;

Committee Management Secretariat, Establishment; Review;

Recommendations To President And Congress; Agency

Cooperation; Performance Guidelines; Uniform Pay Guidelines;

Travel Expenses; Expense Recommendations

(a) The Administrator shall establish and maintain within the General

Services Administration a Committee Management Secretariat, which

shall be responsible for all matters relating to advisory committees.

(b) The Administrator shall, immediately after October 6, 1972,

institute a comprehensive review of the activities and responsibilities of

each advisory committee to determine-

(]) whether such committee is carrying out its purpose;

(2) whether, consistent with the provisions of applicable statutes,

the responsibilities assigned to it should be revised;

(3) whether it should be merged with other advisory committees;

or

(4) whether is' should be abolished.

The Administrator may from time to time request such information as

he deems necessary to carry out his functions under this subsection.

Upon the completion of the Administrator's review he shall make

recommendations to the President and to either the agency head or the

Congress with respect to action he believes should be taken. Thereafter,

the Administrator shall carry out a similar review annually. Agency

heads shall cooperate with the Administrator in making the reviews

required by this subsection.

(c) The Administrator shall prescribe administrative guidelines and

management controls applicable to advisory committees, and to the

maximum extent feasible, provide advice, assistance, and guidance to

advisory committees to improve their performance. In carrying out his

functions under this subsection, the Administrator shall consider the

recommendations of each agency head with respect to means of

'The error is in the original.
Federal Advisorv Committee Act (P.L. 92-463) 667

improving the performance of advisory committees whose duties are

related to such agency.

(d)(l) The Administrator, after study and consultation with the

Director of the Office of Personnel Management, shall establish

guidelines with respect to uniform fair rates of pay for comparable

services of members, staffs, and consultants of advisory committees in a

manner which gives appropriate recognition to the responsibilities and

qualifications required and other relevant factors. Such regulations shall

provide that -

(A) no member of any advisory committee or of the staff of

any advisory committee shall receive compensation at a rate in

excess of the rate specified for GS-18 of the General Schedule

under section 5332 of title 5, United States Code;

(B) such members, while engaged in the performance of their

duties away from their homes or regular places of business, may

be allowed travel expenses, including per diem in lieu of

subsistence, as authorized by section 5703 of title 5, United States

Code, for persons employed intermittently in the Government

service; and

(C) such members-

(i) who are blind or deaf or who otherwise qualify as

handicapped individuals (within the meaning of section 501 of

the Rehabilitation Act of 1973 (29 USC 794)), and

(ii) who do not otherwise qualify for assistance under

section 3102 of title 5, United States Code, by reason of being

an employee of an agency (within the meaning of section 3102

(a)(]) of such title 5), may be provided services pursuant to

section 3102 of such title 5 while in performance of their

advisory committee duties.

(2) Nothing in this subsection shall prevent-

(A) an individual who (without regard to his service with an

advisory committee) is a full-time employee of the United States;

or

(B) an individual who immediately before his service with an

advisory committee was such an employee, from receiving

compensation at the rate at which he otherwise would be

compensated (or was compensated) as a full-time employee of the

United States.

(e) The Administrator shall include in budget recommendations a

summary of the amounts he deems necessary for the expenses of

advisory committees, including the expenses for publication of reports

where appropriate.

Sec. 8. Responsibilities Of Agency Heads; Advisory Committee

Management Officer, Designation

(a) Each agency head shall establish uniform administrative

guidelines and management controls for advisory committees established

by that agency, which shall be consistent with directives of the

Administrator under sections 7 and 10. Each agency shall maintain

systematic information on the nature, functions, and operations of each

advisory committee within its jurisdiction.

(b) The head of each agency which has an advisory committee shall

designate an Advisory Committee Management Officer who shall-

(I) exercise control and supervision over the establishment,

procedures, and accomplishments of advisory committees established

by that agency;
668 Federal Advisory Committee Act (P.L. 92-463)

(2) assemble and maintain the reports, records, and other papers

of any such committee during its existence; and

(3) carry out, on behalf of that agency, the provisions of section

52 of title 5, United States Code, with respect to such reports, records,

and other papers.

See. 9. Establishment And Purpose Of Advisory Committees;

Publication In Federal Register; Charter; Filing; Contents; Copy

(a) No advisory committee shall be established unless such

establishment is-

(I) specifically authorized by statute or by the President; or

(2) determined as a matter of formal record, by the head of the

agency involved after consultation with the Administrator with timely

notice published in the Federal Register, to be in the public interest in

connection with the performance of duties imposed on that agency by

law.

(b) Unless otherwise specifically provided by statute or Presidential

directive, advisory committees shall be utilized solely for advisory

functions. Determinations of action to be taken and policy to be

expressed with respect to matters upon which an advisory committee

reports or makes recommendations shall be made solely by the President

or an officer of the Federal Government.

(c) No advisory committee shall meet or take any action until an

advisory committee charter has been filed with (1) the Administrator, in

the case of Presidential advisory committees, or (2) with the head of the

agency to whom any advisory committee reports and with the standing

committees of the Senate and of the House of Representatives having

legislative jurisdiction of such agency. Such charter shall contain the

following information:

(A) the committee's official designation;

(B) the committee's objectives and the scope of its activity;

(C) the period of time necessary for the committee to carry out

its purposes;

(D) the agency or official to whom the committee reports;

(E) the agency responsible for providing the necessary support

for the committee;

(F) a description of the duties for which the committee is

responsible, and, if such duties are not solely advisory, a

specification of the authority for such functions;

(G) the estimated annual operating costs in dollars and manyears for such committee;

(H) the estimated number and frequency of committee

meetings;

(1) the committee's termination date, if less than two years

from the date of the committee's establishment; and

(J) the date the charter is filed.

A copy of any such charter shall also be furnished to the Library of

Congress.

Sec. 10. Advisory Committee Procedures; Meetings; Notice,

Publication In Federal Register; Regulations; Minutes; Certification;

Annual Report; Federal Officer Or Employee; Attendance

(a)(1) Each advisory committee meeting shall be open to the public.

(2) Except when the President determines otherwise for reasons

of national security, timely notice of each such meeting shall be

published in the Federal Register, and the Administrator shall

prescribe regulations to provide for other types of public notice to
Federal Advisory Committee Act (P.L. 92-463) 669

insure that all interested persons are notified of such meeting prior

thereto.

(3) Interested persons shall be permitted to attend, appear before,

or file statements with any advisory committee, subject to such

reasonable rules or regulations as the Administrator may prescribe.

(b) Subject to section 552 of title 5 United States Code, the records,

reports, transcripts, minutes, appendixes, working papers, drafts, studies,

agenda, or other documents which were made available to or prepared for

or by each advisory committee shall be available for public inspection

and copying at a single location in the offices of the advisory committee

or the agency to which the advisory committee reports until the advisory

committee ceases to exist.

(c) Detailed minutes of each meeting of each advisory committee

shall be kept and shall contain a record of the persons present, a complete

and accurate description of matters discussed and conclusions reached,

and copies of all reports received, issued, or approved by the advisory

committee. The accuracy of all minutes shall be certified to by the

chairman of the advisory committee.

(d) Subsections (a)(l) and (a)(3) of this section shall not apply to any

portion of an advisory committee meeting where the President, or the

head of the agency to which the advisory committee reports, determines

that such portion of such meeting may be closed to the public in

accordance with subsection (c) of section 552b of title 5, United States

Code. Any such determination shall be in writing and shall contain the

reasons for such determination. If such a determination is made, the

advisory committee shall issue a report at least annually setting forth a

summary of its activities and such related matters as would be

informative to the public consistent with the policy of section 552(b) of

title 5 United States Code.

(e) There shall be designated an officer or employee of the Federal

Government to chair or attend each meeting of each advisory committee.

The officer or employee of designated is authorized, whenever he

determines it to be in the public interest, to adjourn any such meeting.

No advisory committee shall conduct any meeting in the absence of that

officer or employee.

(f) Advisory committees shall not hold any meetings except at the

call of, or with the advance approval of, a designated officer or employee

of the Federal Government, and in the case of advisory committees (other

than Presidential advisory committees) with an agenda approved by such

officer or employee.

Sec. 11. Availability Of Transcripts; Agency Proceeding

(a) Except where prohibited by contractual agreements entered into

prior to the effective date of this Act, agencies and advisory committees

shall make available to any person, at actual cost of duplication, copies of

transcripts of agency proceedings or advisory committee meetings.

(b) As used in this section "agency proceeding" means any

proceeding as defined in section 551(12) of title 5, United States Code.

Sec. 12. Fiscal And Administrative Provisions; Recordkeeping;

Audit; Agency Support Services

(a) Each agency shall keep records as will fully disclose the

disposition of any funds which may be at the disposal of its advisory

committees and the nature and extent of their activities. The General

Services Administration, or such other agency as the President may

designate, shall maintain Financial records with respect to Presidential

advisory committees. The Comptroller General of the United States, or
670 Federal Advisory Committee Act (P.L. 92-463)

any of his authorized representatives, shall have access, for the purpose

of audit and examination, to any such records.

(b) Each agency shall be responsible for providing support services

for each advisory committee established by or reporting to it unless the

establishing authority provides otherwise. Where any such advisory

committee reports to more than one agency, only one agency shall be

responsible for support services at any one time. In the case of

Presidential advisory committees, such services may be provided by the

General Services Administration.

See. 13. Responsibilities Of Library Of Congress; Reports And

Background Papers; Depository

Subject to section 552 of title 5, United States Code, the

Administrator shall provide for the filing with the Library of Congress of

at least eight copies of each report made by every advisory committee

and, where appropriate, background papers prepared by consultants. The

Librarian of Congress shall establish a depository for such reports and

papers where they shall be available to public inspection and use.

See. 14. Termination Of Advisory Committees; Renewal;

Continuation

(a)(1) Each advisory committee which is in existence on the effective

date of this Act shall terminate not later than the expiration of the twoyear period following such effective date unless-

(A) in the case of an advisory committee established by the

President or an officer of the Federal Government, such advisory

committee is renewed by the President or that officer by

appropriate action prior to the expiration of such two-year period;

or

(B) in the case of an advisory committee established by an

Act of Congress, its duration is otherwise provided for by law.

(2) Each advisory committee established after such effective date

shall terminate not later than the expiration of the two-year period

beginning on the date of its establishment unless-

(A) in the case of an advisory committee established by the

President or an officer of the Federal Government such advisory

committee is renewed by the President or such officer by

appropriate action prior to the end of such period; or (B) in the case of an advisory committee established by an

Act of Congress, its duration is otherwise provided for by law.

(b)(l) Upon the renewal of any advisory committee, such advisory

committee shall file a charter in accordance with section 9(c).

(2) Any advisory committee established by an Act of Congress

shall file a charter in accordance with such section upon the

expiration of each successive two-year period following the date of

enactment of the Act establishing such advisory committee.

(3) No advisory committee required under this subsection to file a

charter shall take any action (other than preparation and filing of such

charter) prior to the date on which such charter is filed.

(c) Any advisory committee which is renewed by the President or

any officer of the Federal Government may be continued only for

successive two-year periods by appropriate action taken by the President

or such officer prior to the date on which such advisory committee would

otherwise terminate.

Sec. 15. Requirements

(a) In General-An agency may not use any advice or

recommendation provided by the National Academy of Sciences or
Federal Advisorv Committee Act (P.L. 92-463) 671

National Academy of Public Administration that was developed by use of a committee created by that academy under an agreement with an

agency, unless-

(]) the committee was not subject to any actual management or

control by an agency or an officer of the Federal Government;

(2) in the case of a committee created after the date of the

enactment of the Federal Advisory Committee Act Amendments of

1997, the membership of the committee was appointed in accordance

with the requirements described in subsection (b)(1); and

(3) in developing the advice or recommendation, the academy

complied with-

(A) subsection (b)(2) through (6), in the case of any

advice or recommendation provided by the National

Academy of Sciences; or

(B) subsection (b)(2) and (5), in the case of any advice

or recommendation provided by the National Academy of

Public Administration.

(b) Requirements-The requirements referred to in subsection (a) are

as follows:

(1) The Academy shall determine and provide public notice of the

names and brief biographies of individuals that the Academy appoints

or intends to appoint to serve on the committee. The Academy shall

determine and provide a reasonable opportunity for the public to

comment on such appointments before they are made or, if the

Academy determines such prior comment is not practicable, in the

period immediately following the appointments. The Academy shall

make its best efforts to ensure that (A) no individual appointed to

serve on the committee has a conflict of interest that is relevant to the

functions to be performed, unless such conflict is promptly and

publicly disclosed and the Academy determines that the conflict is

unavoidable, (B) the committee membership is fairly balanced as

determined by the Academy to be appropriate for the functions to be

performed, and (C) the final report of the Academy will be the result

of the Academy's independent judgment. The Academy shall require

that individuals that the Academy appoints or intends to appoint to

serve on the committee inform the Academy of the individual's

conflicts of interest that are relevant to the functions to be performed.

(2) The Academy shall determine and provide public notice of

committee meetings that will be open to the public.

(3) The Academy shall ensure that meetings of the committee to

gather data from individuals who are not officials, agents, or

employees of the Academy are open to the public, unless the

Academy determines that a meeting would disclose matters described

in section 552(b) of title 5, United States Code. The Academy shall

make available to the public, at reasonable charge if appropriate,

written materials presented to the committee by individuals who are

not officials, agents, or employees of the Academy, unless the

Academy determines that making material available would disclose

matters described in that section.

(4) The Academy shall make available to the public as soon as

practicable, at reasonable charge if appropriate, a brief summary of

any committee meeting that is not a data gathering meeting, unless

the Academy determines that the summary would disclose matters

described in section 552(b) of title 5, United States Code. The

summary shall identify the committee members present, the topics
672 Federal Advisory Committee Act (P.L. 92-463)

discussed, materials made available to the committee, and such other

matters that the Academy determines should be included.

(5) The Academy shall make available to the public its final

report, at reasonable charge if appropriate, unless the Academy

determines that the report would disclose matters described in section

552(b) of title 5, United States Code. If the Academy determines that

the report would disclose matters described in that section, the

Academy shall make public an abbreviated version of the report that

does not disclose those matters.

(6) After publication of the final report, the Academy shall make

publicly available the names of the principal reviewers who reviewed

the report in draft form and who are not officials, agents, or

employees of the Academy.

(c) REGULATIONS-The Administrator of General Services may

issue regulations implementing this section.

(d) EFFECTIVE DATE AND APPLICATION

(1) In General-Except as provided in paragraph (2), this section

and the amendments made by this section shall take effect on the date

of the enactment of this Act.

(2) Retroactive Effect-Subsection (a) and the amendments made

by subsection (a) shall be effective as of October 6, 1972, except that

they shall not apply with respect to or otherwise affect any particular

advice or recommendations that are subject to any judicial action

filed before the date of the enactment of this Act. 2

Sec. 16. Effective Date

Except as provided in section 7(b), this Act shall become effective

upon the expiration of ninety days following October 6, 1972.

2

P.L. 105-153, I1 Stat. 2689 (1997), added section 15.
Alternative Dispute Resolution Act (P.L. 105-3 15) 673

H. ALTERNATIVE DISPUTE RESOLUTION ACT

OF 1998

Public Law 105-315 112 Stat. 2993

October 30, 1998

28 USC I note.

Alternative

Resolution Act

of 1q98.

28 USC 651

note.

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

United States of America in Congress assembled,

See. I. 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
674 Alternative Dispute Resolution Act (P.L. 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 a judicial officer, who is knowledgeable in

alternative dispute resolution practices and processes to implement,

administer, oversee, and evaluate the court's alternative dispute

resolution program. Such person may also be responsible for recruiting,

screening, and training attorneys to serve as neutrals and arbitrators in the

court's alternative dispute resolution program.

(e) TITLE 9 NOT AFFECTED- This chapter shall not affect title 9,

United States Code.

(f) PROGRAM SUPPORT- The Federal Judicial Center and the

Administrative Office of the United States Courts are authorized to assist

the district courts in the establishment and improvement of alternative

dispute resolution programs by identifying particular practices employed

in successful programs and providing additional assistance as needed and

appropriate.

Sec. 4. Jurisdiction

Section 652 of title 28, United States Code, is amended to read as

follows:

Sec. 652. Jurisdiction

(a) CONSIDERATION OF ALTERNATIVE DISPUTE

RESOLUTION IN APPROPRIATE CASES-Notwithstanding any

provision of law to the contrary and except as provided in subsections (b)

and (c), each district court shall, by local rule adopted under section

2071(a), require that litigants in all civil cases consider the use of an

alternative dispute resolution process at an appropriate stage in the

litigation. Each district court shall provide litigants in all civil cases with

at least one alternative dispute resolution process, including, but not

limited to, mediation, early neutral evaluation, minitrial, and arbitration

as authorized in sections 654 through 658. Any district court that elects

to require the use of alternative dispute resolution in certain cases may do

so only with respect to mediation, early neutral evaluation, and, if the

parties consent, arbitration.

(b) ACTIONS EXEMPTED FROM CONSIDERATION OF

ALTERNATIVE DISPUTE RESOLUTION-Each district court may

exempt from the requirements of this section specific cases or categories

of cases in which use of alternative dispute resolution would not be

appropriate. In defining these exemptions, each district court shall

consult with members of the bar, including the United States Attorney for

that district.

(c) AUTHORITY OF THE ATTORNEY GENERAL-Nothing in this

section shall alter or conflict with the authority of the Attorney General

to conduct litigation on behalf of the United States, with the authority of

any Federal agency authorized to conduct litigation in the United States

courts, or with any delegation of litigation authority by the Attorney

General.

(d) CONFIDENTIALITY PROVISIONS-Until such time as rules are

adopted under chapter 131 of this title providing for the confidentiality of

alternative dispute resolution processes under this chapter, each district

court shall, by local rule adopted under section 207 1(a), provide for the

confidentiality of the alternative dispute resolution processes and to

prohibit disclosure of confidential dispute resolution communications.
Alternative Dispute Resolution Act (P.L. 105-315) 675

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).

See. 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 ARBITRATIONNotwithstanding 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-

(I) the action is based on an alleged violation of a right secured by

the Constitution of the United States;

(2) jurisdiction is based in whole or in part on section 1343 of this

title; or

(3) the relief sought consists of money damages in an amount

greater than $150,000.

(b) SAFEGUARDS IN CONSENT CASES-Until such time as rules

are adopted under chapter 131 of this title relating to procedures

described in this subsection, the district court shall, by local rule adopted

under section 2071(a), establish procedures to ensure that any civil action

in which arbitration by consent is allowed under subsection (a)-

(1) consent to arbitration is freely and knowingly obtained; and

(2) no party or attorney is prejudiced for refusing to participate in

arbitration.

(c) PRESUMPTIONS-For purposes of subsection (a)(3), a district

court may presume damages are not in excess of $150,000 unless counsel

certifies that damages exceed such amount.

(d) EXISTING PROGRAMS-Nothing in this chapter is deemed to

affect any program in which arbitration is conducted pursuant to section

IX of the Judicial Improvements and Access to Justice Act (Public Law

100-702), as amended by section I of Public Law 105-53.
676 Alternative Dispute Resolution Act (P.L. 105-3 15)

See. 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-

(I) 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-

(I) 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 207 1(a), that the contents of

any arbitration award made under this chapter shall not be made known

to any judge who might be assigned to the case until the district court has

entered final judgment in the action or the action has otherwise

terminated.

(c) TRIAL DE NOVO OF ARBITRATION AWARDS--

(I) TIME FOR FILING DEMAND-Within 30 days after he filing

of an arbitration award with a district court under subsection (a), any
Alternative Dispute Resolution Act (P.L. 105-3 15) 677

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 to the docket

of the court and treated for all purposes as if it had not been referred

to arbitration.

(3) EXCLUSION OF EVIDENCE OF ARBITRATION-The

court shall not admit at the trial de novo any evidence that there has

been an arbitration proceeding, the nature or amount of any award, or

any other matter concerning the conduct of the arbitration proceeding,

unless-

(A) the evidence would otherwise be admissible in the court

under the Federal Rules of Evidence; or

(B) the parties have otherwise stipulated.

Sec. 10. Compensation Of Arbitrators And Neutrals

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

follows:

Sec. 658. Compensation of arbitrators and neutrals

(a) COMPENSATION-The district court shall, subject to regulations

approved by the Judicial Conference of the United States, establish the

amount of compensation, if any, that each arbitrator or neutral shall

receive for services rendered in each case under this chapter.

Regulations. (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. II. Authorization Of Appropriations

28 tJSC 651 There are authorized to be appropriated for each fiscal year such sums

note. 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-

(I) The chapter heading for chapter 44 of title 28, United

States Code, is amended to read as follows:

"Chapter 44-ALTERNATIVE DISPUTE RESOLUTION"

(2) The table of contents for chapter 44 of title 28, United States

Code, is amended to read as follows:

Sec.

651. Authorization of alternative dispute resolution.

652. Jurisdiction.

653. Neutrals.

654. Arbitration.

655. Arbitrators.

656. Subpoenas.

657. Arbitration award and judgment.

658. Compensation of arbitrators and neutrals.

(3) The item relating to chapter 44 in the table of chapters for Part Ill

of title 28, United States Code, is amended to read as follows:

44. A lternative D ispute Resolution .................................................. 651.
678 Fed. Civ. Penalties Inflation Adjustment Act (P.L. 101-410)

I. FEDERAL CIVIL PENALTIES INFLATION

ADJUSTMENT ACT OF 1990, AS AMENDED

Public Law 101-410 104 Stat. 890

October 5, 1990

Federal Civil

Penalties

Inflation

Adjustment Act

ori 1990.

28 USC 2461

note.

28 USC 2461

note,

28 USC 2461

note.

Title III Chapter 10

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

United States of America in Congress assembled,

Sec. 1. Short Title

This Act may be cited as the "Federal Civil Penalties Inflation

Adjustment Act of 1990."

Sec. 2. Findings And Purpose

(a) FINDINGS.

The Congress finds that-

(1) the power of Federal agencies to impose civil monetary

penalties for violations of Federal law and regulations plays an important role in deterring violations and furthering the policy goals

embodied in such laws and regulations;

(2) the impact of many civil monetary penalties has been and is

diminished due to the effect of inflation;

(3) by reducing the impact of civil monetary penalties, inflation

has weakened the deterrent effect of such penalties; and

(4) the Federal Government does not maintain comprehensive,

detailed accounting of the efforts of Federal agencies to assess and

collect civil monetary penalties,

(b) PURPOSE.-The purpose of this Act is to establish a mechanism

that shall-

(I) 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-

(I) "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.
Fed. Civ. Penalties Inflation Adjustment Act (P.L. 101-410) 679

28 USC 2461

note.

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 tenn "cost-ofliving adjustment" means the percentage (if any) for each civil monetary

penalty by which-

(I) 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.'

'P.L. 104-134, Title Il, Ch. 10, § 31001(s)(2), 110 Stat. 1321-373 (effective on enactment as provided by

section 31001(a)(2)(A) of such Act, which appears as 31 U.S.C.S. section 3322 note), provides the following:

The first adjustment of a civil monetary penalty made pursuant to the amendment made by paragraph (t)

lamending sections 4 and 5(a) and adding section 7 of Act Oct. 5, 1990, Public Law 101-410, which appears as a note to this section] may not exceed 10 percent of such penalty.

NRC Appropriations 681 NR Appopiain68

4. NRC Appropriation Acts

NRC Antoronriations 683

4. NRC Appropriation Acts

Contents

P.L. 111-226 NRC FY 2010 RESCISSIO N ......................................................... 687

T itle III - R escissio n s .......................................................................................... 6 87

ENERGY AND WATER DEVELOPMENT AND RELATED AGENCIES

APPRO PRIA TIO NS AC T, 2010 ....................................................................... 687

T itle IV -Independent A gencies ......................................................................... 687

N uclear R egulatory C om m ission ................................................................... 687

OMNIBUS APPROPRIATIONS ACT, 2009 ...................................................... 688

T itle IV -Independent A gencies .......................................................................... 688

N uclear Regulatory C om m ission ................................................................... 688

O ffice O f Inspector G eneral ........................................................................... 689

CONSOLIDATED APPROPRIATIONS ACT, 2008 ......................................... 689

T itle IV -Independent A gencies ......................................................................... 689

N uclear Regulatory C om m ission ................................................................... 689

O ffice O f Inspector G eneral ........................................................................... 690

REVISED CONTINUING APPROPRIATIONS RESOLUTION, 2007 ......... 691

ENERGY AND WATER DEVELOPMENT APPROPRIATIONS ACT,

2 0 0 6 ...................................................................................................................... 6 9 2

T itle IV -lndependent A gencies ......................................................................... 692

N uclear R egulatory C om m ission ................................................................... 692

O ffice O f Inspector G eneral ........................................................................... 692

CONSOLIDATED APPROPRIATIONS ACT, 2005 ......................................... 693

N uclear Regulatory C om m ission ................................................................... 693

O ffice O f Inspector G eneral ........................................................................... 693

ENERGY AND WATER DEVELOPMENT APPROPRIATIONS ACT,

2 0 0 4 ...................................................................................................................... 6 9 4

N uclear R egulatory C om m ission ................................................................... 694

O ffice O f Inspector G eneral ........................................................................... 694

CONSOLIDATION APPROPRIATIONS RESOLUTION, 2003 .................... 695

N uclear R egulatory C om m ission ................................................................... 695

Office Of Inspector General ..................................... 695

ENERGY AND WATER DEVELOPMENT APPROPRIATIONS ACT,

2 0 0 2 ...................................................................................................................... 6 9 6

N uclear R egulatory C om m ission ................................................................... 696

O ffice O f Inspector G eneral ........................................................................... 696

DEPARTMENTS OF VETERANS AFFAIRS AND HOUSING AND

URBAN DEVELOPMENT- APPROPRIATIONS ...................................... 697

T itle IV ................................................................................................................ 6 9 7

N uclear R egulatory C om m ission ................................................................... 697

O ffice O f Inspector G eneral ........................................................................... 698

MILITARY CONSTRUCTION APPROPRIATIONS ACT, 2001 ................... 698

ENERGY AND WATER DEVELOPMENT APPROPRIATIONS ACT,

2 0 0 0 ...................................................................................................................... 6 9 8

N uclear Regulatory C om m ission ................................................................... 698

O ffi ce O f Inspector G eneral ........................................................................... 699

ENERGY AND WATER DEVELOPMENT APPROPRIATIONS ACT,

19 9 9 ..................................................................................................................... 6 9 9

N uclear Regulatory C om m ission ................................................................... 699
684 NRC Appropriations

O ffice O f Inspector G eneral ........................................................................... 699

Formerly Utilized Sites Remedial Action Program ..................................... 700

ENERGY AND WATER DEVELOPMENT APPROPRIATIONS ACT,

1 9 9 8 ...................................................................................................................... 7 0 1

N uclear Regulatory C om m ission ................................................................... 701

O ffice O f Inspector G eneral ........................................................................... 702

ENERGY AND WATER DEVELOPMENT APPROPRIATIONS ACT,

1 9 9 7 .................................................................................................................. ... 7 0 2

N uclear Regulatory C om m ission ................................................................... 702

O ffice O f Inspector G eneral ........................................................................... 703

ENERGY AND WATER DEVELOPMENT APPROPRIATIONS ACT,

1 9 9 6 ...................................................................................................................... 7 0 4

N uclear Regulatory C om m ission ................................................................... 704

O ffice O f Inspector G eneral ........................................................................... 704

ENERGY AND WATER DEVELOPMENT APPROPRIATIONS ACT,

1 9 9 5 ...................................................................................................................... 7 0 5

N uclear Regulatory C om m ission ................................................................... 705

O ffice O f Inspector G eneral ........................................................................... 706

ENERGY AND WATER DEVELOPMENT APPROPRIATIONS ACT,

1 9 9 4 ...................................................................................................................... 7 0 6

N uclear Regulatory C om m ission ................................................................... 706

O ffice O f Inspector G eneral ........................................................................... 707

ENERGY AND WATER DEVELOPMENT APPROPRIATIONS ACT,

1 9 9 3 ...................................................................................................................... 7 0 7

N uclear Regulatory C om m ission ................................................................... 707

O ffice O f Inspector G eneral ........................................................................... 708

ENERGY AND WATER DEVELOPMENT APPROPRIATIONS ACT,

1 9 9 2 ...................................................................................................................... 7 0 9

N uclear Regulatory C om m ission ................................................................... 709

O ffi ce O f Inspector G eneral ........................................................................... 709

ENERGY AND WATER DEVELOPMENT APPROPRIATIONS ACT,

1 9 9 1 ...................................................................................................................... 7 10

N uclear R egulatory C om m ission ................................................................... 710

O ffice O f Inspector G eneral ........................................................................... 711

ENERGY AND WATER DEVELOPMENT APPROPRIATIONS ACT,

1 9 9 0 ...................................................................................................................... 7 1 1

N uclear Regulatory C om m ission ................................................................... 711

O ffice O f Inspector G eneral ........................................................................... 712

T itle IV -Independent A gencies ......................................................................... 712

N uclear Regulatory C om m ission ................................................................... 712

T itle V -G eneral P rovisions ............................................................................... 713

ENERGY AND WATER DEVELOPMENT APPROPRIATION ACT,

1 9 8 8 ...................................................................................................................... 7 14

T itle IV -Independent A gencies ......................................................................... 714

N uclear Regulatory C om m ission ................................................................... 714

T itle V-G eneral Provisions ............................................................................... 715

ENERGY AND WATER DEVELOPMENT APPROPRIATIONS ACT,

1 9 8 7 ........................................................................... .......................................... 7 1 7

T itle IV -Independent A gencies ......................................................................... 717

N uclear Regulatory C om m ission ................................................................... 717

T itle V -G eneral P rovisions ............................................................................... 7 18
NRC Appropriations 685

ENERGY AND WATER DEVELOPMENT APPROPRIATIONS ACT,

1 9 8 7 ................................... ; .................................................................................. 7 19

T itle IV-Independent A gencies ......................................................................... 719

N uclear Regulatory C om m ission ................................................................... 719

Title V-General Provisions ....................................... 720

A PPRO PR IA T IO N S AC T, 1986 .......................................................................... 721

N uclear Regulatory C om m ission ................................................................... 722

ENERGY AND WATER. DEVELOPMENT APPROPRIATIONS ACT,

.1985 .................................................. ..... 722

T itle IV -Independent A gencies ......................................................................... 722

N uclear R egulatory C om m ission ................................................................... 722

ENERGY AND WATER DEVELOPMENT APPROPRIATIONS ACT,

19 8 4 ...................................................................................................................... 7 2 3

N uclear R egulatory C om m ission ................................................................... 723

CONTINUING APPROPRIATIONS FOR FISCAL YEAR 1983 .................... 724

T itle V -G eneral P rovisions ............................................................................... 724

ENERGY AND WATER DEVELOPMENT APPROPRIATIONS ACT,

1 9 8 2 ...................................................................................................................... 7 2 5

T itle IV -Independent A gencies ......................................................................... 725

N uclear R egulatory C om m ission ................................................................... 725

T itle V -G eneral P rovisions ............................................................................... 726

ENERGY AND WATER DEVELOPMENT APPROPRIATIONS ACT,

1 9 8 1 ...................................................................................................................... 7 2 7

T itle IV -Independent A gencies ......................................................................... 727

N uclear R egulatory C om m ission ................................................................... 727

T itle V -G eneral P rovisions ............................................................................... 727

SUPPLEMENTAL APPROPRIATIONS AND RESCISSION ACT, 1980 ...... 728

T itle I-Independent A gencies ............................................................................ 728

N uclear R egulatory C om m ission ................................................................... 728

TITLE Il-INCREASED PAY COSTS FOR THE FISCAL YEAR 1980 .... 728

N uclear R egulatory C om m ission ................................................................... 728

T itle Ill-G eneral P rovisions .............................................................................. 728

ENERGY AND WATER DEVELOPMENT APPROPRIATION ACT,

1 9 8 0 ...................................................................................................................... 7 3 0

T itle IV -Independent A gencies ......................................................................... 730

N uclear R egulatory C om m ission ................................................................... 730

T itle V -G eneral P rovision ................................................................................. 730

A PPRO PR IA T IO N S A C T, 1979 .......................................................................... 731

SECOND SUPPLEMENTAL APPROPRIATIONS ACT, 1978 ....................... 731

T itle I-Independent A gencies ............................................................................ 732

N uclear Regulatory C om m ission ................................................................... 732

Title Il-Increased Pay Costs For The Fiscal Year 1978 ................................. 732

N uclear R egulatory C om m ission ................................................................... 732

T itle Ill-G eneral P rovisions .............................................................................. 732

PUBLIC WORKS FOR WATER AND POWER DEVELOPMENT AND

ENERGY RESEARCH APPROPRIATION ACT, 1978 ................................ 732

N uclear R egulatory C om m ission ................................................................... 732

T itle V -G eneral P rovisions ............................................................................... 733

Title If-increased Pay Costs For The Fiscal Year 1977 ................................. 733

NUCLEAR REGULATORY COMMISSION ............................................. 733
686 NRC Appropriations

PUBLIC WORKS FOR WATER AND POWER DEVELOPMENT AND

ENERGY RESEARCH APPROPRIATION ACT, 1977 ................................ 733

Title IV-Independent Offices ........................ .......... 734

N uclear Regulatory C om m ission ................................................................... 734

PUBLIC WORKS FOR WATER AND POWER DEVELOPMENT AND

ENERGY RESEARCH APPROPRIATION ACT, 1976 ................................ 734

Title IV-Independent Offices .......................... ...... 735

N uclear R egulatory C om m ission ................................................................... 735

T itle V -G eneral P rovisions ............................................................................... 735

SECOND SUPPLEMENTAL APPROPRIATIONS ACT, 1975 ....................... 735

T itle I- C hapter V Ill ........................................................................................... 736

N uclear Regulatory C om m ission ................................................................... 736

Energy Research And Development Administration ................................... 736

N uclear Regulatory C om m ission ................................................................... 736

T itle Ill-G eneral P rovisions .............................................................................. 736

TABLE: ANNUAL NRC APPROPRIATION ACTS THROUGH FISCAL

Y E A R 2 0 10 ............................................................................................................. 7 3 8
NRC AoDrrooriations 687

P.L. 111-226 NRC FY 2010 RESCISSION

Public Law 111-226 124 Stat. 2389

August 10, 2010

An Act

To modernize the air traffic control system, improve the safety,

reliability, and availability of transportation by air in the United States,

provide for modernization of the air traffic control system, reauthorize

the Federal Aviation Administration, and for other purposes.

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

States of America in Congress assembled,

Sec. 1. This Act may be cited as the "" _Act of

Title IIl - Rescissions

SEC. 307. Of the unobligated balances of funds provided under the

heading "Nuclear Regulatory Commission- in prior appropriations Acts,

$18,000,000 is permanently rescinded.

ENERGY AND WATER DEVELOPMENT AND RELATED

AGENCIES APPROPRIATIONS ACT, 2010

Public Law 111-85 123 Stat. 2845

October 28, 2009

Title IV-Independent Agencies

Nuclear Regulatory Commission

SALARIES AND EXPENSES

For necessary expenses of the Commission in carrying out the purposes

of the Energy Reorganization Act of 1974, as amended, and the Atomic

Energy Act of 1954, as amended, including official representation

expenses (not to exceed $25,000), $1,056,000,000, to remain available

until expended: Provided, That of the amount appropriated herein,

$29,000,000 shall be derived from the Nuclear Waste Fund: Provided

fuirther, That revenues from licensing fees, inspection services, and other

services and collections estimated at $902,402,000 in fiscal year 2010

shall be retained and used for necessary. salaries and expenses in this

account, notwithstanding 31 U.S.C. 3302, and shall remain available until

expended: Provided fi'tther, That the sum herein appropriated shall be

reduced by the amount of revenues received during fiscal year 2010 so as

to result in a final fiscal year 2010 appropriation estimated at not more

than $153,598,000: Provided further, That of the amounts appropriated,
688 NRC Appropriations

$10,000,000 is provided to support university research and development

in areas relevant to their respective organization's mission, and

$5,000,000 is to support a Nuclear Science and Engineering Grant

Program that will support multiyear projects that do not align with

programmatic missions but are critical to maintaining the discipline of

nuclear science and engineering.

OFFICE OF INSPECTOR GENERAL

For necessary expenses of the Office of Inspector General in carrying out

the provisions of the Inspector General Act of 1978, as amended,

$10,860,000, to remain available until expended: Provided, That

revenues from licensing fees, inspection services, and other services and

collections estimated at $9,774,000 in fiscal year 2010 shall be retained

and be available until expended, for necessary salaries and expenses in

this account, notwithstanding 31 U.S.C. 3302: Providedfiirther, That the

sum herein appropriated shall be reduced by the amount of revenues

received during fiscal year 2010 so as to result in a final fiscal year 2010

appropriation estimated at not more than $1,086,000.

OMNIBUS APPROPRIATIONS ACT, 2009'

Public Law 111-8 123 Stat. 524

March 11, 2009

DIVISION C-ENERGY AND WATER DEVELOPMENT AND

RELATED AGENCIES APPROPRIATIONS ACT, 2009

Title IV-Independent Agencies

Nuclear Regulatory Commission

SALARIES AND EXPENSES

For necessary expenses of the Commission in carrying out the purposes

of the Energy Reorganization Act of 1974, as amended, and the Atomic

Energy Act of 1954, as amended, including official representation

expenses (not to exceed $25,000), $1,034,656,000, to remain available

until expended: Provided, That of the amount appropriated herein,

$49,000,000 shall be derived from the Nuclear Waste Fund: Provided

f•urther, That revenues from licensing fees, inspection services, and other

services and collections estimated at $860,857,000 in fiscal year 2009

shall be retained and used for necessary salaries and expenses in this

account, notwithstanding 31 U.S.C. 3302, and shall remain available until

expended: Provided further, That the sum herein appropriated shall be

reduced by the amount of revenues received during fiscal year 2009 so as

to result in a final fiscal year 2009 appropriation estimated at not more

than $173,799,000: Provided fierther, That such funds as are made

available for necessary expenses of the Commission by this Act or any

other Act may be used for the acquisition and lease of additional office

'Between September, 30, 2008, and March 11. 2009, the budget was funded by Continuing Resolutions,

P.1, 110-329 and P.I,. 111-6.
NRC ADDrooriations 689

space provided by the General Services Administration for personnel of

the U.S. Nuclear Regulatory Commission as close as reasonably possible

to the Commission's headquarters location in Rockville, Maryland, and

of such square footage and for such lease term, as are determined by the

Commission to be necessary to maintain the agency's regulatory

effectiveness, efficiency, and emergency response capability: Provided

fiurther, That notwithstanding any other provision of law or any

prevailing practice, the acquisition and lease of space for such purpose

shall, to the extent necessary to obtain the space, be based on the

prevailing rates in the immediate vicinity of the Commission's

headquarters.

Office Of Inspector General

For necessary expenses of the Office of Inspector General in carrying out

the provisions of the Inspector General Act of 1978, $10,860,000, to

remain available until expended: Provided, That revenues from licensing

fees, inspection services, and other services and collections estimated at

$9,774,000 in fiscal year 2009 shall be retained and be available until

expended, for necessary salaries and expenses in this account,

notwithstanding 31 U.S.C. 3302: Provided further, That the sum herein

appropriated shall be reduced by the amount of revenues received during

fiscal year 2009 so as to result in a final fiscal year 2009 appropriation

estimated at not more than $ 1,086,000.

CONSOLIDATED APPROPRIATIONS

ACT, 2008

Public Law 110-161 121 Stat. 1844

December 26, 2007

Energy and Division C-Energy and Water Development and Related Agencies

Water Appropriations Act, 2008

Developnient

and Related * * * * *

Agencies Title IV-Independent Agencies

Appropriations * * * *

Act, 2008. Nuclear Regulatory Commission

SALARIES AND EXPENSES

For necessary expenses of the Commission in carrying out the

purposes of the Energy Reorganization Act of 1974 and the Atomic

Energy Act of 1954, including official representation expenses (not to

exceed $25,000), $917,334,000, to remain available until expended:

Provided, That of the amount appropriated herein, $29,025,000 shall be

derived from the Nuclear Waste Fund: Provided further, That revenues

from licensing fees, inspection services, and other services and

collections estimated at $771,220,000 in fiscal year 2008 shall be

retained and used for necessary salaries and expenses in this account,

notwithstanding 31 U.S.C. 3302, and shall remain available until

expended: Provided fiuther, That the sum herein appropriated shall be

reduced by the amount of revenues received during fiscal year 2008 so

as to result in a final fiscal year 2008 appropriation estimated at not more

than $146,114,000: Provided further, That such funds as are made
690 NRC Appropriations

available for necessary expenses of the Commission by this Act or any other Act may be used for lease payments for additional office space

provided by the General Services Administration for personnel of the

U.S. Nuclear Regulatory Commission as close as reasonably possible to

the Commission's headquarters location in Rockville, Maryland, and of

such square footage and for such lease term, as are determined by the

Commission to be necessary to maintain the agency's regulatory effectiveness, efficiency, and emergency response capability: Provided

further, That notwithstanding any other provision of law or any

prevailing practice, the rental square foot rate paid for the lease of space for such purpose shall, to the extent necessary to obtain the space, be

based on the prevailing lease rates in the immediate vicinity of the

Commission's headquarters.

Office Of Inspector General

For necessary expenses of the Office of Inspector General in

carrying out the provisions of the Inspector General Act of 1978, as

amended, $8,744,000, to remain available until expended: Provided, That

revenues from licensing fees, inspection services, and other services and

collections estimated at $7,870,000 in fiscal year 2008 shall be retained

and be available until expended, for necessary salaries and expenses in

this account, notwithstanding 31 U.S.C. 3302: Providedfurther, That the

sum herein appropriated shall be reduced by the amount of revenues

received during fiscal year 2008 so as to result in a final fiscal year 2008

appropriation estimated at not more than $874,000.
NRC Api~ropriations 691

REVISED CONTINUING APPR9PRIATIONS

RESOLUTION, 2007

Public Law 110-5 121 Stat. 8

February 15, 2007

Joint Resolution

Revised Making further continuing appropriations for the fiscal year 2007, and for

Continuing other purposes

Appropriations

Resolution, Resolved by the Senate and House of Representatives of the United

2007. States of America in Congress assembled, That this joint resolution may

be cited as the "Revised Continuing Appropriations Resolution, 2007".

SEC. 2. The Continuing Appropriations Resolution, 2007 (Public Law

109-289, division B), as amended by Public Laws 109-369 and 109-383,

is amended to read as follows:

"DIVISION B-CONTINUING APPROPRIATIONS

RESOLUTION, 2007

"The following sums are hereby appropriated, out of any money

in the Treasury not otherwise appropriated, and out of applicable

corporate or other revenues, receipts, and funds, for the several

departments, agencies, corporations, and other organizational units of

Government for fiscal year 2007, and for other purposes, namely:

"SEC. 20317. Notwithstanding section 101, the level for necessary

expenses of the Nuclear Regulatory Commission in carrying out the

purposes of the Energy Reorganization Act of 1974 and the Atomic

Energy Act of 1954, including official representation expenses (not to

exceed $15,000), and including purchase of promotional items for use in

the recruitment of individuals for employment, shall be $813,300,000, to

remain available until expended: Provided, That of the amount

appropriated herein, $45,700,000 shall be derived from the Nuclear

Waste Fund: Provided further, That revenues from licensing fees,

inspection services, and other services and collections estimated at

$659,055,000 in fiscal year 2007 shall be retained and used for necessary

salaries and expenses in this account, notwithstanding section 3302 of

title 31, United States Code, and shall remain available until expended:

Provided further, That the sum herein appropriated shall be reduced by

the amount of revenues received during fiscal year 2007 so as to result in

2

Total appropriations tbr fiscal year (FY 2007) were $824.9 million. PL 110-5, 121 Stat. 8, extended the

Continuing Resolution enacted in PL 109-289 for tile entire year, with some amendments. Section 101(a)(2), as amended, extended FY 2006 energy and water appropriations for the entirety of FY 2007. Section 101(c), as amended, indicates that FY 2006 appropriations used for FY 2007 should be reduced by FY 2006

rescission. No specific exception was made for the NRC's Office of the Inspector General (OIG), so the OIG

appropriation for FY 2007 was $8,307,690 after subtracting FY 2006 rescission ($8.3 10) from FY 2006

appropriation ($8,316,000). Section 20317, as amended, provided an exception from the funding in section

101 for the NRC's salaries and expenses, which amounted to $813,300,000. Section I 11, as amended,

provides that in addition to OIG appropriations in Section 101 and salary and expenses appropriations in

Section 20317, both appropriations should receive additional amounts for pay raise costs. OMB Bulletin

07-03, February 26, 2007, provided guidance for determining pay raise costs. The NRC received approval of

pay raise costs from OMB in the amounts of $51,928 for OIG and $3,228,889 for salary and expenses. Final

appropriations for OIG were $8, 359,618, and final appropriations for salary and expenses were $816,528,889,

for a total FY 2007 appropriation of $824.9 million (rounded up).
692 NRC Appropriations

a final fiscal year 2007 appropriation estimated at not more than

$154,245,000.

ENERGY AND WATER DEVELOPMENT

APPROPRIATIONS ACT, 2006

Public Law 109-103 119 Stat. 2247

November 19, 2005

An Act

Making appropriations for energy and water development for the fiscal

year ending September 30, 2006, and for other purposes

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

United States of America in Congress assembled,

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

Water Treasury not otherwise appropriated, for the fiscal year ending September

Development 30, 2006, for energy and water development, and for other purposes,

Appropriation namely:

Act, 2006.

Title IV-Independent Agencies

Nuclear Regulatory Commission

SALARIES AND EXPENSES

For necessary expenses of the Commission in carrying out the

purposes of the Energy Reorganization Act of 1974, as amended, and the

Atomic Energy Act of 1954, as amended, including official

representation expenses (not to exceed $15,000), purchase of promotional

items for use in the recruitment of individuals for employment,

$734,376,000, to remain available until expended: Provided, That of the

amount appropriated herein, $46,118,000 shall be derived from the

Nuclear Waste Fund: Provided fiurther, That revenues from licensing

fees, inspection services, and other services and collections estimated at

$617,182,000 in fiscal year 2006 shall be retained and used for necessary

salaries and expenses in this account, notwithstanding 31 U.S.C. 3302,

and shall remain available until expended: Providedfiurther, That the sum herein appropriated shall be reduced by the amount of revenues received

during fiscal year 2006 so as to result in a final fiscal year 2006

appropriation estimated at not more than $117,194,000: Providedfirther,

That section 6101 of the Omnibus Budget Reconciliation Act of 1990 is

amended by inserting before the period in subsection (c)(2)(B)(v) the

words "and fiscal year 2006".

Office Of Inspector General

For necessary expenses of the Office of Inspector General in

carrying out the provisions of the Inspector General Act of 1978, as

amended, $8,3 16,000, to remain available until expended: Provided, That

revenues from licensing fees, inspection services, and other services and

collections estimated at $7,485,000 in fiscal year 2006 shall be retained

and be available until expended, for necessary salaries and expenses in

this account, notwithstanding 31 U.S.C. 3302: Provided further, That the

sum herein appropriated shall be reduced by the amount of revenues
NRC Annronriations 693

received during fiscal year 2006 so as to result in a final fiscal year 2006

appropriation estimated at not more than $83 1,000.

CONSOLIDATED APPROPRIATIONS

ACT, 2005

Public Law 108-447 118 Stat. 2961

December 8, 2004

An Act

Nuclear Regulatory Commission

SALARIES AND EXPENSES

For necessary expenses of the Commission in carrying out the

purposes of the Energy Reorganization Act of 1974, as amended, and the

Atomic Energy Act of 1954, as amended, including official

representation expenses (not to exceed $ 15,000), and purchase of

promotional items for use in the recruitment of individuals for

employment, $662,777,000, to remain available until expended:

Provided, That of the amount appropriated herein, $69,050,000 shall be

derived from the Nuclear Waste Fund: Provided further, That revenues

from licensing fees, inspection services, and other services and

collections estimated at $534,354,000 in fiscal year 2005 shall be

retained and used for necessary salaries and expenses in this account,

notwithstanding 31 USC 3302, and shall remain available until expended:

Provided further, That the sum herein appropriated shall be reduced by

the amount of revenues received during fiscal year 2005 so as to result in

a final fiscal year 2005 appropriation estimated at not more than

$128,423,000.

Office Of Inspector General

For necessary expenses of the Office of Inspector General in carrying

out the provisions of the Inspector General Act of 1978, as amended,

$7,518,000, to remain available until expended: Provided, That revenues

from licensing fees, inspection services, and other services and

collections estimated at $6,766,200 in fiscal year 2005 shall be retained

and be available until expended, for necessary salaries and expenses in

this account notwithstanding 31 USC 3302: Provided firther, That the

sum herein appropriated shall be reduced by the amount of revenues

received during fiscal year 2005 so as to result in a final fiscal year 2005

appropriation estimated at not more than $751,800.
694 NRC Appropriations

ENERGY AND WATER DEVELOPMENT

APPROPRIATIONS ACT, 2004

Public Law 108-137 117 Stat. 1867

December 1, 2003

An Act

Making appropriations for energy and water development for the fiscal

year ending September 30, 2004, and for other purposes.

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

United States of America in Congress assembled,

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

Water Treasury not otherwise appropriated, for the fiscal year ending September

Development 30, 2004, for energy and water development, and for other purposes,

Appropriation namely:

Act, 2004.

Title IV-Independent Agencies

Nuclear Regulatory Commission

SALARIES AND EXPENSES

For necessary expenses of the Commission in carrying out the

purposes of the Energy Reorganization Act of 1974, as amended, and the

Atomic Energy Act of 1954, as amended, including official

representation expenses (not to exceed $15,000), and purchase of

promotional items for use in the recruitment of individuals for

employment, $618,800,000, to remain available until expended:

Provided, That of the amount appropriated herein, $33,100,000 shall be

derived from the Nuclear Waste Fund: Provided further, That revenues

from licensing fees, inspection services, and other services and

collections estimated at $538,844,000 in fiscal year 2004 shall be

retained and used for necessary salaries and expenses in this account,

notwithstanding 31 USC 3302, and shall remain available until expended:

Provided further, That the sum herein appropriated shall be reduced by

the amount of revenues received during fiscal year 2004 so as to result in

a final fiscal year 2004 appropriation estimated at not more than

$79,956,000,

Office Of Inspector General

For necessary expenses of the Office of Inspector General in carrying

out the provisions of the Inspector General Act of 1978, as amended,

$7,300,000, to remain available until expended: Provided, That revenues

from licensing fees, inspection services, and other services and

collections estimated at $6,716,000 in fiscal year 2004 shall be retained

and be available until expended, for necessary salaries and expenses in

this account notwithstanding 31 USC 3302: Provided further, That the

sum herein appropriated shall be reduced by the amount of revenues received during fiscal year 2004 so as to result in a final fiscal year 2004

appropriation estimated at not more than $584,000.
NRC ADDroDriations 695

NRC Annronriationsr695

CONSOLIDATION APPROPRIATIONS RESOLUTION,

2003

Public Law 108-7 117 Stat. 157

February 20, 2003

DIVISION D- ENERGY AND WATER DEVELOPMENT

APPROPRIATIONS, 2003

Joint Resolution

Making appropriations for energy and water development for the fiscal

year ending September 30, 2003, and for other purposes.

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

Water Treasury not otherwise appropriated, for the fiscal year ending September

Development 30, 2003, for energy and water development, and for other purposes,

Appropriation namely:

Act, 2004. * * * * *

Nuclear Regulatory Commission

SALARIES AND EXPENSES

For necessary expenses of the Commission in carrying out the

purposes of the Energy Reorganization Act of 1974, as amended, and the

Atomic Energy Act of 1954, as amended, including official

representation expenses (not to exceed $15,000), and purchase of

promotional items for use in the recruitment of individuals for

employment, $578,184,000, to remain available until expended: Provided, That of the amount appropriated herein, $24,900,000 shall be

derived from the Nuclear Waste Fund: Provided further, That revenues

from licensing fees, inspection services, and other services and

collections estimated at $520,087,000 in fiscal year 2003 shall be

retained and used for necessary salaries and expenses in this account,

notwithstanding 31 USC 3302, and shall remain available until expended:

Providedfiurther, That the sum herein appropriated shall be reduced by

the amount of revenues received during fiscal year 2003 so as to result in

a final fiscal year 2003 appropriation estimated at not more than

$58,097,000.

Office Of Inspector General

For necessary expenses of the Office of Inspector General in carrying

out the provisions of the Inspector General Act of 1978, as amended,

$6,800,000, to remain available until expended: Provided, That revenues

from licensing fees, inspection services, and other services and

collections estimated at $6,392,000 in fiscal year 2003 shall be retained

and be available until expended, for necessary salaries and expenses in

this account notwithstanding 31 USC 3302: Provided fJirther, That the

sum herein appropriated shall be reduced by the amount of revenues

received during fiscal year 2003 so as to result in a final fiscal year 2003

appropriation estimated at not more than $408,000.
696 NRC Appropriations

ENERGY AND WATER DEVELOPMENT

APPROPRIATIONS ACT, 2002

Public Law 107-66 115 Stat. 486

November 12, 2001

An Act

Nuclear Regulatory Commission

SALARIES AND EXPENSES

For necessary expenses of the Commission in carrying out the

purposes of the Energy Reorganization Act of 1974, as amended, and the

Atomic Energy Act of 1954, as amended, including official representation

expenses (not to exceed $15,000), and purchase of promotional items for

use in the recruitment of individuals for employment, $516,900,000, to

remain available until expended: Provided, That of the amount

appropriated herein, $23,650,000 shall be derived from the Nuclear Waste

Fund: Provided further, That revenues from licensing fees, inspection

services, and other services and collections estimated at $473,520,000 in

fiscal year 2002 shall be retained and used for necessary salaries and

expenses in this account, notwithstanding 31 USC 3302, and shall remain

available until expended: Provided fiurther, That the sum herein

appropriated shall be reduced by the amount of revenues received during

fiscal year 2002 so as to result in a final fiscal year 2002 appropriation

estimated at not more than $43,380,000: Provided fiirther, That,

notwithstanding any other provision of law, no funds made available

under this or any other Act may be expended by the Commission to

implement or enforce any part of 10 CFR Part 35, as adopted by the

Commission on October 23, 2000, with respect to diagnostic nuclear

medicine, except those parts which establish training and experience

requirements for persons seeking licensing as authorized users, until such

time as the Commission has reexamined 10 CFR Part 35 and provided a

report to the Congress which explains why the burden imposed by 10

CFR Part 35 could not be further reduced.

Office Of Inspector General

For necessary expenses of the Office of Inspector General in carrying

out the provisions of the Inspector General Act of 1978, as amended,

$6,180,000, to remain available until expended: Provided, That revenues

from licensing fees, inspection services, and other services and

collections estimated at $5,933,000 in fiscal year 2002 shall be retained

and be available until expended, for necessary salaries and expenses in

this account notwithstanding 31 USC 3302: Provided f!rther, That the

sum herein appropriated shall be reduced by the amount of revenues

received during fiscal year 2002 so as to result in a final fiscal year 2002

appropriation estimated at not more than $247,000.
NRC Appropriations 697

DEPARTMENTS OF VETERANS AFFAIRS AND

HOUSING AND URBAN DEVELOPMENTAPPROPRIATIONS

Public Law 106-377 114 Stat. 1441

October 27, 2000

An Act

Making appropriations for the Department of Veterans Affairs and

Housing and Urban Development, and for sundry independent

agencies, boards, commissions, corporations, and offices for the fiscal

year ending September 30, 2001, and for other purposes.

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

United States of America in Congress assembled,

SECTION 1. (a) The provisions of the following bills of the 106th

Congress are hereby enacted into law:

(I) H.R. 5482, as introduced on October 18, 2000.

(2) H.R. 5483, as introduced on October 18, 2000.

(b) In publishing this Act in slip form and in the United States

Statutes at Large pursuant to section 112 of title 1, United States Code,

the Archivist of the United States shall include after the date of approval

at the end appendixes setting forth the texts of the bills referred to in

subsection (a) of this section.

H. R. 5483

Making appropriations for energy and water development for the

fiscal year ending September 30, 2001, and for other purposes.

Title IV

INDEPENDENT AGENCIES

Nuclear Regulatory Commission

SALARIES AND EXPENSES

For necessary expenses of the Commission in carrying out the

purposes of the Energy Reorganization Act of 1974, as amended, and the

Atomic Energy Act of 1954, as amended, including official

representation expenses (not to exceed $15,000), $481,900,000, to remain

available until expended: Provided, That of the amount appropriated

herein, $21,600,000 shall be derived from the Nuclear Waste Fund:

Provided further, That revenues from licensing fees, inspection services,

and other services and collections estimated at $447,958,000 in fiscal

year 2001 shall be retained and used for necessary salaries and expenses

in this account, notwithstanding 31 USC 3302, and shall remain available

until expended: Provided further, That $3,200,000 of the funds herein

appropriated for regulatory reviews and assistance to other Federal

agencies and States shall be excluded from license fee revenues,

notwithstanding 42 USC 2214: Provided fiurther, That the sum herein

appropriated shall be reduced by the amount of revenues received during

fiscal year 2001 so as to result in a final fiscal year 2001 appropriation

estimated at not more than $33,942,000.
698 NRC Appropriations

Office Of Inspector General

(INCLUDING TRANSFER OF FUNDS)

For necessary expenses of the Office of Inspector General in carrying

out the provisions of the Inspector General Act of 1978, as amended,

$5,500,000, to remain available until expended: Provided, That revenues

from licensing fees, inspection services, and other services and

collections estimated at $5,390,000 in fiscal year 2001 shall be retained

and be available until expended, for necessary salaries and expenses in

this account notwithstanding 31 USC 3302: Provided further, That the

sum herein appropriated shall be reduced by the amount of revenues

received during fiscal year 2001 so as to result in a final fiscal year 2001

appropriation estimated at not more than $110,000.

MILITARY CONSTRUCTION APPROPRIATIONS ACT,

2001

Public Law 106-246 114 Stat. 511

July 13, 2000

An Act

Making appropriations for military construction, family housing, and

base realignment and closure for the Department of Defense for the

fiscal year ending September 30, 2001, and for other purposes.

See. 211. No funds appropriated to the Nuclear Regulatory Commission

for fiscal years 2000 and 2001 may be used to relocate, or to plan or prepare for the relocation of, the functions or personnel of the Technical

Training Center from its location at Chattanooga, Tennessee.

ENERGY AND WATER DEVELOPMENT

APPROPRIATIONS ACT, 2000

Public Law 106-60 113 Stat. 483

September 29, 1999

Nuclear Regulatory Commission

SALARIES AND EXPENSES

(INCLUDING TRANSFER OF FUNDS)

For necessary expenses of the Commission in carrying out the

purposes of the Energy Reorganization Act of 1974, as amended, and the

Atomic Energy Act of 1954, as amended, including official

representation expenses (not to exceed $15,000), $465,000,000, to remain

available until expended: Provided, That of the amount appropriated

herein, $19,150,000 shall be derived from the Nuclear Waste Fund:

Providedfiirther, 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 ftrther,
NRC Appropriations 699

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 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 firther, 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 jurther,

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.

42 USC 5852. 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 3 109 of Title 5, United States

Code.
700 NRC Appropriations

(3) Publication and dissemination of atomic information.

(4) Purchase, repair, and cleaning of uniforms.

(5) Reimbursements to the General Services Administration for

security guard services.

(6) Hire of passenger motor vehicles and aircraft.

(7) Transfers of funds to other agencies of the Federal

Government for the performance of the work for which such funds

are appropriated, and such transferred funds may be merged with the

appropriations to which they are transferred.

(8) Transfers to the Office of Inspector General of the

Commission, not to exceed an additional amount equal to 5 percent of

the amount otherwise appropriated to the Office for the fiscal year.

Notice of such transfers shall be submitted to the Committees on

Appropriations.

(b) Funds appropriated for "Nuclear Regulatory Commission-Office

of Inspector General" shall be available to the Office for the additional

purposes described in paragraphs (2) and (7) of subsection (a).

(c) Moneys received by the Commission for the cooperative nuclear

research program, services rendered to State governments, foreign

governments, and international organizations, and the material and

information access authorization programs, including criminal history

checks under section 149 of the Atomic Energy Act of 1954 (42 USC

2169) may be retained and used for salaries and expenses associated with

those activities, notwithstanding 31 USC 3302, and shall remain available

until expended.

(d) Notwithstanding section 663(c)(2)(D) of Public Law 104-208, and

to facilitate targeted workforce downsizing and restructuring, the

chairman of the Nuclear Regulatory Commission may use funds

appropriated in this Act to exercise the authority provided by section 663

of that Act with respect to employees who voluntarily separate from the

date of enactment of this Act through December 3 1, 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.

Formerly Utilized Sites Remedial Action Program

(INCLUDING TRANSFER OF FUNDS)

For expenses necessary to clean up contaminated sites throughout the

United States where work was performed as part of the Nation's early

atomic energy program, $140,000,000, to remain available until

expended: Provided, That the response actions by the United States Army

Corps of Engineers under this program shall consist of the following

functions and activities to be performed at eligible sites where

remediation has not been completed: sampling and assessment of

contaminated areas, characterization of site conditions, determination of

the nature and extent of contamination, selection of the necessary and

appropriate response actions as the lead Federal agency, preparation of

designation reports, cleanup and closeout of sites, and any other functions

determined by the Chief of Engineers as necessary for remediation:

Provided further, That response actions by the United States Army

Corps of Engineers under this program shall be subject to the

administrative, procedural, and regulatory provisions of the

Comprehensive Environmental Response, Compensation and Liability
NRC Annronriations 701

Act (42 USC 9601 et seq.), and the National Oil and hazardous

Substances pollution Contingency Plan, 40 CFR, Chapter 1, Part 300:

Provided further, That, except as stated herein, these provisions do not

alter, curtail or limit the authorities, functions or responsibilities of other

agencies under the Atomic Energy Act (42 USC 2011 et seq.): Provided

further, That any sums recovered under CERCLA for the response

actions, or recovered from a contractor, insurer, surety, or other person to

reimburse the United States Army Corps of Engineers for any

expenditures for response actions, shall be credited to the account used to

fund response actions on eligible sites, and will be available for the

response action costs for any eligible site: Provided further, That the

Secretary of Energy may exercise the authority of 42 USC 2208 to make

payments in lieu of taxes for federally-owned property where Formerly

Utilized Sites Remedial Action Program activities are conducted,

regardless of which Federal agency has acquired the property and

notwithstanding references to the "the activities of the Commission" in

42 USC 2208: Providedfiurther, That the unexpended balances of prior

appropriations provided for these activities in this Act or any previous

Energy and Water Development Appropriations Act may be transferred

to and merged with this appropriation account, and thereafter, may be

accounted for as one fund for the same time period as originally enacted.

ENERGY AND WATER DEVELOPMENT

APPROPRIATIONS ACT, 1998

Public Law 105-62 111 Stat. 1337

October 13, 1997

Nuclear Regulatory Commission

SALARIES AND EXPENSES

(INCLUDING TRANSFER OF FUNDS)

For necessary expenses of the Commission in carrying out the

purposes of the Energy Reorganization Act of 1974, as amended, and the

Atomic Energy Act of 1954, as amended, including the employment of

aliens; services authorized by 5 USC 3109; publication and dissemination

of atomic information; purchase, repair, and cleaning of uniforms;

official representation expenses (not to exceed $20,000); reimbursements

to the General Services Administration for security guard services; hire

of passenger motor vehicles and aircraft, $468,000,000, to remain

available until expended: Provided, That of the amount appropriated

herein, $15,000,000 shall be derived from the Nuclear Waste Fund:

Providedfu1rther, 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 fiurther, 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
702 NRC Appropriations

$450,000,000 in fiscal year 1998 shall be retained and used for necessary

salaries and expenses in this account, notwithstanding 3 1 USC 3302, and

shall remain available until expended: Providedfiurther, That $3,000,000

of the funds herein appropriated for regulatory reviews and other

assistance provided to the Department of Energy and other Federal

agencies shall be excluded from license fee revenues, notwithstanding 42

USC 2214: Provided further, That the sum herein appropriated shall be

reduced by the amount of revenues received during fiscal year 1998 from

licensing fees, inspection services and other services and collections,

excluding those moneys received for the cooperative nuclear safety

research program, services rendered to State governments, foreign

governments and international organizations, and the material and

information access authorization programs, so as to result in a final fiscal

year 1998 appropriation estimated at not more than $18,000,000.

Office Of Inspector General

(INCLUDING TRANSFER OF FUNDS)

For necessary expenses of the Office of Inspector General in carrying

out the provisions of the Inspector General Act of 1978, as amended,

including services authorized by 5 USC 3109, $4,800,000, to remain

available until expended; and in addition, an amount not to exceed 5

percent of this sum may be transferred from Salaries and Expenses,

Nuclear Regulatory Commission: Provided, That notice of such transfers

shall be given to the Committees on Appropriations of the House of

Representatives and Senate: Provided further, That from this

appropriation, transfers of sums may be made to other agencies of the

Government for the performance of the work for which this appropriation is made, and in such cases the sums so transferred may be merged with

the appropriation to which transferred: Provided further, That revenues

from licensing fees, inspection services, and other services and

collections shall be retained and used for necessary salaries and expenses

in this account, notwithstanding 31 USC 3302, and shall remain available

until expended: Provided further, That the sum herein appropriated shall

be reduced by the amount of revenues received during fiscal year 1998

from licensing fees, inspection services, and other services and

collections, so as to result in a final fiscal year 1998 appropriation

estimated at not more than $0.

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
NRC Appropriations 703

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 frrther, 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: Providedfiirther, 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 3 1 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.
704 NRC Appropriations

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 fiirther, 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 3 1

USC 3302, and shall remain available until expended: Providedfiarther,

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,

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
NRC AnoroDriations 705

NRC A... onriationsr70.

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 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 security guard services; hire of passenger motor vehicles and aircraft,.

$520,501,000, to remain available until expended, of which $22,000,000

shall be derived from the Nuclear Waste Fund: Provided, That from this

appropriation, transfer of sums may be made to other agencies of the

Government for the performance of the work for which this appropriation

is made, and in such cases the sums so transferred may be merged with

the appropriation to which transferred: Provided further, That moneys

received by the Commission for the cooperative nuclear safety research

program, services rendered to foreign governments and international

organizations, and the material and information access authorization

programs, including criminal history checks under section 149 of the

Atomic Energy Act of 1954, as amended, may be retained and used for

salaries and expenses associated with those activities, notwithstanding the

provisions of section 3302 of Title 31, United States Code, and shall

remain available until expended: Provided further, That revenues from

licensing fees, inspection services, and other services and collections

estimated at $498,501,000 in fiscal year 1995 shall be retained and used

for necessary salaries and expenses in this account, notwithstanding the

provisions of section 3302 of Title 31, United States Code, and shall

remain available until expended: Provided further, That the sum herein

appropriated shall be reduced by the amount of revenues received during

fiscal year 1995 from licensing fees, inspection services and other

services and collections, excluding those moneys received for the

cooperative nuclear safety research program, services rendered to foreign

governments and international organizations, and the material and

information access authorization programs, so as to result in a final fiscal

year 1995 appropriation estimated at not more than $22,000,000.
706 NRC Appropriations

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: Providedfiurther, 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 firther, 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

so. $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

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 firther, 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
NRC Aooronriations 707

remain available until expended: Providedfiirther, 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 firrher, 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: Providedfi~rther, 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:

Providedfiurther, That the sum herein appropriated shall be reduced by

the amount of revenues received during fiscal year 1994 from licensing

fees, inspection services, and other services and collections, so as to

result in a final fiscal year 1994 appropriation estimated at not more than

$0.

ENERGY AND WATER DEVELOPMENT

APPROPRIATIONS ACT, 1993

Public Law 102-37 106 Stat. 1340

October 2, 1992

Nuclear Regulatory Commission

SALARIES AND EXPENSES (1993)

(INCLUDING TRANSFER OF FUNDS)

For necessary expenses of the Commission in carrying out the

purposes of the Energy Reorganization Act of 1974, as amended, and the

Atomic Energy Act of 1954, as amended, including the employment of

aliens; services authorized by section 3109 of Title 5, United States

Code; publication and dissemination of atomic information, purchase,

repair, and cleaning of uniforms, official representation expenses (not to

exceed $20,000); reimbursements to the General Services Administration
708 NRC Appropriations

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 firther, That revenues from

licensing fees, inspection services, and other services and collections

estimated at $5 14,315,000 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 S21,100.000.

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 3 109 of Title 5, United States

Code, $4,585,000 to remain available until expended; and in addition, an

amount not to exceed 5 percent of this sum may be transferred from

Salaries and Expenses, Nuclear Regulatory Commission: Provided, That

notice of such transfers shall be given to the Committees on

Appropriations of the House and Senate: Provided further, That from this

appropriation, transfers of sums may be made to other agencies of the

Government for the performance of the work for which this appropriation

is made, and in such cases the sums so transferred may be merged with

the appropriation to which transferred: Provided fitrther, 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

3 1, United States Code, and shall remain available until expended:

Providedfiurther, 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.

5 USC 504 See. 502 None of the funds in this Act or subsequent Energy and

note. 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.
NRC Appropriations 709

ENERGY AND WATER DEVELOPMENT

APPROPRIATIONS ACT, 1992

Public Law 102-104 105 Stat. 534

August 17, 1991

Nuclear Regulatory Commission

SALARIES AND EXPENSES

(INCLUDING TRANSFER OF FUNDS)

For necessary expenses of the Commission in carrying out the

purposes of the Energy Reorganization Act of 1974, as amended, and the

Atomic Energy Act of 1954, as amended, including the employment of

aliens; services authorized by section 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 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: Providedfiurther, 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 tile

Atomic Energy Act of 1954, as amended, may be retained and used for

salaries and expenses associated with those activities, notwithstanding the

provisions of section 3302 of Title 31, United States Code, and shall

remain available until expended: Provided further, That revenues from

licensing fees, inspection services, and other services and collections

estimated at $488,848,000 in fiscal year 1992 shall be retained and used

for necessary salaries and expenses in this account, notwithstanding the

provisions of section 3302 of Title 31, United States Code, and shall

remain available until expended: Provided further, That the sum herein

appropriated shall be reduced by the amount of revenues received during

fiscal year 1992 from licensing fees, inspection services, and other

services and collections, excluding those moneys received for the

cooperative nuclear safety research program, services rendered to foreign

governments and international organizations, and the material and

information access authorization programs, so as to result in a final fiscal

year 1992 appropriation estimated at not more than $19,962,000.

Office Of Inspector General

(INCLUDING TRANSFER OF FUNDS)

For necessary expenses of the Office of Inspector General in carrying

out the provisions of the Inspector General Act of 1978, as amended,

including services authorized by section 3109 of Title 5, United States

Code, $3,690,000, to remain available until expended; and in addition, an

amount not to exceed 5 percent of this sum may be transferred from

Salaries and Expenses, Nuclear Regulatory Commission: Provided, That

notice of such transfers shall be given to the Committees on
710 NRC Appropriations

Appropriations of the House and Senate: Providedfirther, 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 firther, 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:

Providedfiirther, 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

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 fierther, 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
NRC ADnronriations 711

those moneys received for the cooperative nuclear safety research

program, services rendered to foreign governments and international

organizations, and the material and information access authorization

programs, so as to result in a final fiscal year 1991 appropriation

estimated at not more than $307,870,000.

Office Of Inspector General

(INCLUDING TRANSFER OF FUNDS)

For necessary expenses of the Office of Inspector General in carrying

out the provisions of the Inspector General Act of 1978, as amended,

including services authorized by 5 USC 3109, $3,680,000, to remain

available until expended; and in addition, not to exceed 5 percent of this

sum may be transferred from Salaries and Expenses, Nuclear Regulatory

Commission: Provided, That notice of such transfers shall be given to the

Committees on Appropriations of the House and Senate: Provided

further, That from this appropriation, transfers of sums may be made to

other agencies of the Government for the performance of the work for

which this appropriation is made, and in such cases the sums so

transferred may be merged with the appropriation to which transferred.

ENERGY AND WATER DEVELOPMENT

APPROPRIATIONS ACT, 1990

Public Law 101-101 103 Stat. 641

September 29, 1989

Nuclear Regulatory Commission

SALARIES AND EXPENSES

For necessary expenses of the Commission in carrying out the

purposes of the Energy Reorganization Act of 1974, as amended, and the

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

services authorized by section 3109 of Title 5, United States Code;

publication and dissemination of atomic information; purchase, repair,

and cleaning of uniforms, official representation expenses (not to exceed

$20,000); reimbursements to the General Services Administration for

security guard services; hire of passenger motor vehicles and aircraft,

$442,100,000, to remain available until expended, of which $23,195,000

shall be derived from the Nuclear Waste Fund: Provided, That from this

appropriation, transfer of sums may be made to other agencies of the

Government for the performance of the work for which this appropriation

is made, and in such cases the sums so transferred may be merged with

the appropriation to which transferred: Provided further, That moneys

received by the Commission for the cooperative nuclear safety research

program, services rendered to foreign governments and international

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 f!rther, 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 3 1, United States Code, and shall
712 NRC Appropriations

remain available until expended: Provided firther, 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

fiirther, 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 Anerica in Congress assembled,

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

Water Treasury not otherwise appropriated, for the fiscal year ending September

Development 30, 1989, for energy and water development, and for other purposes,

Appropriation namely:

Act. 1989.

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
NRC Anorooriat ions 713

Government for the performance of the work for which this appropriation

is made, and in such cases the sums so transferred may be merged with

the appropriation to which transferred: Provided further, That moneys

received by the Commission for the cooperative nuclear safety research

program, services rendered to foreign governments and international

organizations, and the material and information access authorization

programs including criminal history checks under section 149 of the

Atomic Energy Act, as amended, may be retained and used for salaries

and expenses associated with those activities, notwithstanding the

provisions of section 3302 of Title 31, United States Code, and shall

remain available until expended: Provided further, That revenues from

licensing fees, inspection services, and other services and collections

estimated at $189,000,000 in fiscal year 1989 shall be retained and used

for necessary salaries and expenses in this account, notwithstanding the

provisions of section 3302 of Title 31, United States code, and shall

remain available until expended: Provided further, That the sum herein

appropriated shall be reduced by the amount of revenues received during

fiscal year 1989 from licensing fees, inspection services and other

services and collections, excluding those moneys received for the

cooperative nuclear safety research program, services rendered to foreign

governments and international organizations, and the material and

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.

See. 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."
714 NRC Appropriations

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 qfAinerica in Congress assembled,

2 USC 902 Sec. 1. Because the spending levels included in this Resolution achieve

note, the deficit reduction targets of the Economic Summit, sequestration is no

longer necessary. Therefore:

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

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

section 252 of the Balanced Budget and Emergency Deficit Control Act

of 1985, as amended, are hereby rescinded.

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

subsection (a) shall be reversed, and any sequester able resource that has

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

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

purpose as if the orders had not been issued.

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

Treasury not otherwise appropriated, and out of applicable corporate or

other revenues, receipts, and funds, for the several departments, agencies, corporations, and other organizational units of the Government for the

fiscal year 1988, and for other purposes, namely:

Sec. 101. (d) Such amounts, as may be necessary for programs,

projects or activities provided for in the Energy and Water Development

Appropriations Act, 1988, at a rate of operations and to the extent and in

the manner provided for, the provisions of such Act to be effective as if it

had been enacted into law as the regular appropriations Act, as follows:

An Act

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

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

Appropriation Title IV-Independent Agencies

Act, 1988. 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 furither, That moneys
NRC Anoronriations 715

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 firther, That revenues from

licensing fees, inspection services, and other services and collections

estimated at $196,400,000 in fiscal year 1988 shall be retained and used

for necessary salaries and expenses in this account, notwithstanding the

provisions of section 3302 of Title 31, United States Code, and shall

remain available until expended: Provided further, That the sum herein

appropriated shall be reduced by the amount of revenues received during

fiscal year 1988 from licensing fees, inspection services and other

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.

See. 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
716 NRC Appropriations

of the funds authorized to be expended by this or any previous Act from

the Bonneville Power Administration Fund or the Tennessee Valley

Authority Fund, may be used to pay the costs of procuring extra high

voltage (EHV) power equipment unless contract awards are made for

EHV equipment manufactured in the United States when such agencies

determine that there are one or more manufacturers of domestic end

product offering a product that meets the technical requirements of such

agencies at a price not exceeding 130 percentum of the bid or offering

price of the most competitive foreign bidder: Provided, That such

agencies shall determine the incremental costs associated with

implementing this section and defer or offset such incremental costs

against otherwise existing repayment obligations: Providedfihrther, That

this section shall not apply to any procurement initiated prior to October

1, 1985, or to the acquisition of spare parts or accessory equipment

necessary for the efficient operation and maintenance of existing

equipment and available only from the manufacturer of the original

equipment: Provided further, That this section shall not apply to

procurement of domestic end product as defined in 48 CFR section

25.101: Providedfirther, 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.

See. 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.

See. 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."
NRC Atmronriations 717

NC rIIn.717

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 ofAmerica in Congress assembled,

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

the treasury not otherwise appropriated, and out of applicable corporate

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

agencies, corporations, and other organization units of the Government

for the fiscal year 1987, and for other purposes, namely:

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.
718 NRC Appropriations

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.

See. 503. None of the programs, projects or activities as defined in the

report accompanying this Act, may be eliminated or disproportionately

reduced due to the application of "Savings and Slippage", "general

reductions" or the provisions of Public Law 99-177.

Sec. 504. The expenditure of any appropriation under this Act for any

consulting service through procurement contract, pursuant to section

3109 of Title 5, United States Code, shall be limited to those contracts

where such expenditures are a matter of public record and available for

public inspection, except where otherwise provided under existing law, or

under existing Executive order issued pursuant to existing law.

See. 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: Providedfiirther, That

this section shall not apply to any procurement initiated prior to October

1, 1985, or to the acquisition of spare parts or accessory equipment

necessary for the efficient operation and maintenance of existing

equipment and available only from the manufacturer of the original

equipment: Provided further, That this section shall not apply to

procurement of domestic end product as defined in 48 CFR section

25.101: Providedfurther, 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
NRC At)Droj~riations 719

equipment, or which otherwise offers fair competitive opportunities in

public procurements to United States manufacturers of such equipment.

See. 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."

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 fiurther, that moneys

received by the Commission for the cooperative nuclear safety research

program and the material and information access authorization programs
720 NRC Appropriations

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 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.

See. 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
NRC Appropriations 721

equipment: Provided further, That this section shall not apply to

procurements of domestic end product as defined in 48 CFR section

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

equipment produced or manufactured in a country whose government has

completed negotiations with the United States to extend the GATT

Government Procurement Code, or a bilateral equivalent, to EHV power

equipment, or which otherwise offers fair competitive opportunities in

public procurements to United States manufacturers of such equipment.

Sec. 508. None of the funds in this Act may be used to construct or enter

into an agreement to construct additional hydropower units at Denison

Dam-Lake Texoma.

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

Appropriations Act, 1987."

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. 1 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 ofAmnerica 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:
722 NRC Appropriations

Title IV-Independent Agencies

Nuclear Regulatory Commission

SALARIES AND EXPENSES

42 USC 5801 For necessary expenses of the Commission in carrying out the

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

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 ofAmerica 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 For necessary expenses of the Commission in carrying out the

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

42 USC 5801 Atomic Energy Act, as amended, including the employment of aliens;

note. services authorized by 5 USC 3109; publication and dissemination of

atomic information; purchase, repair, and cleaning of uniforms; official

representation expenses (not to exceed $3,000); reimbursements to the

General Services Administration for security guard services; hire of

passenger motor vehicles and aircraft, $448,200,000, to remain available

until expended: Provided, That from this appropriation, transfer of sums

may be made to other agencies of the Government for the performance of

the work for which this appropriation is made, and in such cases the sums
NRC AnnroDriations 723

NRC Appropriations 723

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 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 ofnAmerica in Congress assembled,

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

Water Treasury not otherwise appropriated, for the fiscal year ending September

Development 30, 1984, for energy and water development, and for other purposes,

Appropriation namely:

Act, 1984.

Nuclear Regulatory Commission

SALARIES AND EXPENSES

31 USC 3302. For necessary expenses of the Commission in carrying out the

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

note. 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 Juirther, 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.
724 NRC Appropriations

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 States ofAmnerica in Congress assembled,

for 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

fiurther, 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

fiurther, 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:

(g) Notwithstanding section 102(c) of this joint resolution, the

following amounts are provided for fiscal year 1983:

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

payment to the International Atomic Energy Agency unless the Board of
NRC Avvirooriations 725

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 ofAmnerica 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 purposes of the Energy Reorganization Act of 1974, as amended, and the

note. 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 firther, That transfers between accounts may

be made only with the approval of the Committees on Appropriations of

the House of Representatives and the Senate: Providedfiurther, That no

part of the funds appropriated in this Act be used to implement section

110 of Public Law 96-295: Provided further, That no funds appropriated

to the Nuclear Regulatory Commission in this Act may be used to

implement or enforce any portion of the Uranium Mill Licensing

Requirements published as final rules at 45 Federal Register 65521 to

65538 on October 3, 1980, or to require any State to adopt such

requirements in order for the State to continue to exercise authority under

State law for uranium mill and mill tailings licensing, or to exercise any
726 NRC Appropriations

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 I1 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.

See. 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.

See. 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."
NRC Appropriations 727

ENERGY AND WATER DEVELOPMENT

APPROPRIATIONS ACT, 1981

Public Law 96-367 94 Stat. 1344

October 1, 1980

An Act

Making appropriations for energy and water development for the fiscal

year ending September 30, 1981, and for other purposes.

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

United States of America in Congress assembled,

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

Water Treasury not otherwise appropriated, for the fiscal year ending September

Development. 30, 1981, for energy and water development, and for other purposes,

Appropriation namely:

Act, 198 1.

Title IV-Independent Agencies

Nuclear Regulatory Commission

SALARIES AND EXPENSES

42 USC 5801 For necessary expenses of the Commission in carrying out the

note. 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: Providedfirther, 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.

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
728 NRC Appropriations

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 United States ofAmerica in Congress assembled,

and 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 [-Independent Agencies

Nuclear Regulatory Commission

SALARIES AND EXPENSES

For an additional amount for "Salaries and expenses", $3 1,950,000, to

remain available until expended.

TITLE 11-INCREASED PAY COSTS FOR THE FISCAL YEAR

1980

Nuclear Regulatory Commission

"Salaries and expenses", $4,810,000.

Title 111-General Provisions

(INCLUDING TRANSFER OF FUNDS)

Sec. 301. No part of any appropriation contained in this Act shall remain

available for obligation beyond the current fiscal year unless expressly so provided herein.

Sec. 302. Except where specifically increased or decreased elsewhere in

this Act, the restrictions contained within appropriations, or provisions

affecting appropriations or other funds, available during the fiscal year

1980, limiting the amounts which may be expended for personal services,

or for purposes involving personal services, or amounts which may be

transferred between appropriations or authorizations available for or involving such services, are hereby increased to the extent necessary to

meet increased pay costs authorized by or pursuant to law.

Career Sec. 303. Notwithstanding any other provision of law, the number of

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
NRC Appropriations 729

the number of Senior Executive Service or comparable personnel system

positions in any such agency.

41 USC 46- Sec. 304. (a) Out of the total moneys appropriated for the operation of

48b. 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

Jiirther, That no allocation shall exceed 25 percent of said amount.

(b) With respect to the provisions of the Treasury, Postal Service and

General Government Appropriations Act, 1980, under the heading

General Services Administration, Federal Buildings Fund, Limitations on

Availability of Revenue, the aggregate amount made available for the

revenues and collections deposited into the Federal Buildings Fund

pursuant to section 210(f) of the Federal Property and Administrative

Services Act of 1949, as amended (40 USC 4901 (f)), for the purposes set

forth in the provisions contained under such heading is reduced by

$15,000,000, which reduction shall apply specifically to the limitation on

rental of space under clause (4) of such provisions.

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 Sec. 306. Each department and agency for which appropriations are

debts, 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.

Funds tbr Sec. 307. (a) Effective October 1, 1981, for application in fiscal year

consulting 1982, a department, agency, or establishment, as defined by section 2,

services and subchapter I, Chapter 1, Title 31, United States Code, shall submit

information annually to the House and Senate Appropriations Committees, as part of

submittal to its budget justification, the estimated amount of funds requested for

congressional consulting services; the appropriation accounts in which these funds are

committees. located; and a brief description of the need for these services, including a list of those major programs that require consulting services.

Agency budget (b) Effective October 1, 1981, for application in fiscal year 1982, the

controls and Inspector General of such department, agency, or establishment, or

progress, comparable official, or if the agency has no Inspector General or

submittal to comparable official, the agency head or the agency head's designee, shall

Congress. 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.
730 NRC Appropriations

ENERGY AND WATER DEVELOPMENT

APPROPRIATION ACT, 1980

Public Law 96-69 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.

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

Water United States of America in Congress assembled,

Development

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

Act. 1980. 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

42 USC 5801 For necessary expenses of the Commission in carrying out the

note. 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

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.
NRC Atnnronriations 731

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.

SECOND SUPPLEMENTAL APPROPRIATIONS ACT, 1978

Public Law 95-355 92 Stat. 538

September 8, 1978

An Act

Making supplemental appropriations for the fiscal year ending September

30, 1978, and for other purposes.

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

Supplemental United States ofAnierica in Congress assembled,

Appropriations

Act, 1978. 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:

3

The NRC's appropriation (provided for in H.R. 12928) as enacted by Congress is as follows:

NUCLEAR REGULATORY COMMISSION

SALARIES AND EXPENSES-For necessary expenses of the Commission in carrying out

the purposes of the Energy Reorganization Act of 1974, as amended, including the employment of aliens:

services authorized by 5 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: Providedffurther, 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 (3 1 USC 484), and shall remain

available until expended.
732 NRC Appropriations

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 Il-Increased Pay Costs For The Fiscal Year 1978

Nuclear Regulatory Commission

"Salaries and expenses"; $5,000,000, to remain available until expended.

Title Ill-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

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.

PUBLIC WORKS FOR WATER AND POWER

DEVELOPMENT AND ENERGY RESEARCH

APPROPRIATION ACT, 1978

Public Law 95-96 91 Stat. 807

August 7, 1977

An Act

Making appropriations for public works for water and power

development and energy research for the fiscal year ending

September 30, 1978, and for other purposes.

Nuclear Regulatory Commission

SALARIES AND EXPENSES

42 USC 5801 For necessary expenses of the Commission in carrying out the

note. 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 firther, 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.
NRC Appropriations 733

Title V-General Provisions

Fiscal year See. 501. 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.

Short Title. This Act may be cited as the "Public Works for Water and Power

Development and Energy Research Appropriation Act, 1978."

SUPPLEMENTAL APPROPRIATIONS ACT, 1977

Public Law 95-26 91 Stat. 112

May 4, 1977

An Act

Making supplemental appropriations for the fiscal year ending September

30, 1977, and for other purposes.

Title Il-Increased Pay Costs For The Fiscal Year 1977

For additional amounts for appropriation for the fiscal year 1977, for

increased pay costs authorized by or pursuant to law, as follows:

NUCLEAR REGULATORY COMMISSION

"Salaries and expenses", $4,350,000, to remain available until expended.

PUBLIC WORKS FOR WATER AND POWER

DEVELOPMENT AND ENERGY RESEARCH

APPROPRIATION ACT, 1977

Public Law 94-355 90 Stat. 889

July 12, 1976

An Act

Making appropriations for public works for water and power

development and energy research, including the Corps bf EngineersCivil, 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,

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

lbr Water and Treasury not otherwise appropriated, for the fiscal year ending September

Power 30, 1977, for public works for water and power development and energy

Development research, including the Corps of Engineers-Civil, the Bureau of

and Energy Reclamation, power agencies of the Department of Interior, the

Research Appalachian regional development programs, the Federal Power

Appropriation Commission, the Tennessee Valley Authority, the Nuclear Regulatory

Act, 1977. Commission, the Energy Research and Development Administration, and
734 NRC Appropriations

related independent agencies and commissions, and for other purposes,

namely:

Title IV-Independent Offices

Nuclear Regulatory Commission

SALARIES AND EXPENSES

42 USC 5801 For necessary expenses of the Commission in carrying out the

note. purposes of the Energy Reorganization Act of 1974, including the

employment of aliens; servicesauthorized by 5 USC 3109; publication

and dissemination of atomic information; purchase, repair, and cleaning

of uniforms; official entertainment expenses (not to exceed $10,000);

reimbursement of the General Services Administration for security guard

services; hire of passenger motor vehicles and aircraft; $244,430,000, to

remain available until expended: Provided, That from this appropriation,

transfer of sums may be made to other agencies of the Government for

the performance of the work for which this appropriation is made, and in

such cases the sums so transferred may be merged with the appropriation

to which transferred: Provided fitrther, Moneys received by the

Commission for the cooperative nuclear safety research programs may be

retained and used for salaries and expenses associated with those

programs, notwithstanding the provisions of section 3617 of the Revised

Statutes (31 USC 484), and shall remain available until expended.

PUBLIC WORKS FOR WATER AND POWER

DEVELOPMENT AND ENERGY RESEARCH

APPROPRIATION ACT, 1976

Public Law 94-180 89 Stat. 1035

December 26, 1975

An Act

Making appropriations for public works for water and power development and energy research, including the Corps of EngineersCivil, 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 A merica in Congress assembled,

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

for Water and Treasury not otherwise appropriated, for the fiscal year ending June 30,

Power 1976, and the period ending September 30, 1976, for public works for

l)evelopment water and power development and energy research, including the Corps

and Energy of Engineers-Civil, the Bureau of Reclamation, power agencies of tile

Research Department of the Interior, the Appalachian regional development

Appropriation programs, the Federal Power Commission, the Tennessee Valley Act, 1976. Authority, the Nuclear Regulatory Commission, the Energy Research and

Development Administration, and related independent agencies and

commissions, and for other purposes, namely:
NRC Appropriations 735

Title IV-Independent Offices

Nuclear Regulatory Commission

SALARIES AND EXPENSES

42 USC 5801 For necessary expenses of the Commission in carrying out the

note. purposes of the Energy Reorganization Act of 1974, including the

employment of aliens; services authorized by 5 USC 3109; publication

and dissemination of atomic information; purchase, repair, and cleaning

of uniforms; official entertainment expenses (not to exceed $7,000);

reimbursement of the General Services Administration for security guard

services; hire of passenger motor vehicles and aircraft; $215,423,000;

Provided, That from this appropriation, transfers of sums may be made to

other agencies of the Government for the performance of the work for

which this appropriation is made, and in such cases the sums so

transferred may be merged with the appropriation to which transferred.

For "Salaries and expenses" in accordance with the above provisions

for the period July 1, 1976, through September 30, 1976, $51,425,000.

Fiscal year

limitation.

40 USC 581.

Space and

service charges.

Short Title.

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 89 Stat. 173

Second

Supplemental

Appropriations

Act, 1975.

June 12, 1975

An Act

Making supplemental appropriations for the fiscal year ending June 30,

1975, and for other purposes

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

United States ofnAmerica 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:
Fiscal year

limitation.

GSA. space

and services.

40 USC 581.

42 USC 20 00c.

Busing.

42 USC 2000c.

Busing.

School

transportation

funds.

736 NRC Appropriations

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 Il-Increased Pay Costs

For additional amounts for appropriations for the fiscal year 1975, for

increased pay costs authorized by or pursuant to law, as follows:

Energy Research And Development Administration

"Operating expenses", $5,681,000, to remain available until expended;

Nuclear Regulatory Commission

"Salaries and expenses", $1,540,000, to remain available until expended;

Title Ill-General Provisions

See. 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.

See. 302. Except where specifically increased or decreased elsewhere in

this Act, the restrictions contained within appropriations, or provisions

affecting appropriations or other funds, available during the fiscal year

1975, limiting the amounts which may be expended for personal services,

or for purposes involving personal services, or amounts which may be

transferred between appropriations or authorizations available for or involving such services, are hereby increased to the extent necessary to

meet increased pay costs authorized by or pursuant to law.

Sec. 303. No part of any appropriation, funds, or other authority

contained in this Act shall be available for paying to the Administrator of

the General Services Administration in excess of 90 percentum of the

standard level user charge established pursuant to section 2100) of the

Federal Property and Administrative Services Act of 1949, as amended,

for space and services.

See. 304. No part of the funds contained in this Act may be used to force

any school or school district which is desegregated as that term is defined

in Title IV of the Civil Rights Act of 1964,Public Law 88-352, to take

any action to force the busing of students; to force on account of race,

creed, or color the abolishment of any school so desegregated; or to force

the transfer or assignment to any student attending any elementary or

secondary school so desegregated to or from a particular school over the

protest of his or her parents or parent.

See. 305. (a) No part of the funds contained in this Act shall be used to

force any school or school district which is desegregated as that term is

defined in Title IV of the Civil Rights Act of 1964, Public Law 88-352,

to take any action to force the busing of students; to require the

abolishment of any school so desegregated; or to force on account of

race, creed, or color the transfer of students to or from a particular school

so desegregated as a condition precedent to obtaining Federal funds

otherwise available to any State, school district, or school.

(b) No funds appropriated in this Act may be used for the

transportation of students or teachers (or for the purchase of equipment

for such transportation) in order to overcome racial imbalance in any

school or school system, or for the transportation of students or teachers
NRC AoDrooriations 737

U.S. Postal

Service.

reirnhurserment.

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

carry out a plan of racial desegregation of any school system.

See. 306. Unobligated balances of operation and maintenance

appropriations available to the Department of Defense-Military, in an

amount not to exceed $18,950,000 in fiscal year 1973 and $23,891,000 in

fiscal year 1974, shall be available to reimburse the United States Postal

Service for service rendered to the Department of Defense during those

fiscal years.
738 NRC Appropriations

TABLE: ANNUAL NRC APPROPRIATION ACTS THROUGH FISCAL YEAR 2010

Difference

Amount Amount Between

Amount Allowed by Allowed by Amount Request and

Requested Date of House Senate Appropriated Appropriation Date Public

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

738 

NRC 

Appropriations

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

Fiscal Year 1977: Regular ....... ................... 249,430 Jan. 21, 1976 244,430 244,430 244,430 -2

292,250 Jan. 17, 1977 277,696 285,150 281,423 -3.7

330,670 Jan. 23, 1978 321,487 328,287 322,301 -2.5

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

Fiscal Year 1979. Regular ................................... 330,670 Jan. 23, 1978 321,487 328,287 322,301 -2.5

Fiscal Yea 1978. Regular .................................... 373,000 Jan. 22, 1979 358,340 363,340 363,340 -26

Fiscal Year 1979. Regular ..................................... 49,200 Dec. 10, 1979 31,950 31,950 31,950 -35

Fiscal Year 1981: Regular .................................... 468,490 Jan. 28, 1980 437,220 452,520 447,520 -4 5

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

Fiscal Year 1983: Regular ..................................... 479,500 Feb. 8, 1982 462,504 462,504 462,504 -3.5

Fiscal Year 1984: Regular ................................ 466,800 Jan. 31, 1983 465,800 466,800 465,800 -0.2

Fiscal Year 1985: Regular ..................................... 468,200 Jan. 1984 438.200 458,200 • 448,200 -4.3

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

Fiscal Year 1987 Regular .................................. 405,000 Feb. 5, 1985 405,000 391,000 401,000 -1

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

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

Fiscal Year 1990; Regular ..................................... 472,100 Jan. 9, 1989 442,100 442,100 442,100 -6.4

Fiscal Year 1991, Regular .................................... 471,320 Jan. 29, 1990 471,320 471,320 461,320 -2.1

Fiscal Year 1992: Regular ................................ 508,810 July 30, 1991 508,810 508,810 508,810 0

Fiscal Year 1993. Regular .................................... 545,415 June II, 1992 535,415 535,415 535,415 -1.8

Fiscal Year 1994: Regular ..................................... 542,900 June 17, 1993 542,490 535,415 535,415 -1.4

Fiscal Year 1995 Regular ...................................... 540,501 May 26, 1994 540,501 540,501 540,501 0

Fiscal Year 1996: Regular ..................................... 520,501 June 20, 1995 468,300 474,300 468,300 -10

Fiscal Year 1997, Regular ..................................... 475,300 July 16, 1996 471,800 471,800 471,800 -0.7

Fiscal Year 1998: Regular .................................... 468,000 July 21, 1997 462,700 476,500 468,000 0

Dec. 26, 1975 94-180

July 12, 1976

Aug. 7, 1977

Oct. 18, 1978

Sept. 8, 1978

Oct. 18, 1978

Sept. 25, 1979

July 8, 1980

Oct. 1, 1980

Dec. 4, 1981

Dec. 21, 1982

July 14, 1983

July 16, 1984

Nov. 1, 1985

Oct. 30, 1986

Dec. 22, 1987

July 19, 1988

Sept. 29, 1989

Nov. 5, 1990

Aug. 17, 1991

Oct. 2, 1992

Oct. 28, 1993

Aug. 26, 1994

Nov. 13, 1995

Sept. 30, 1996

Oct. 13, 1997

94-355

95-96

95-482

95-355

95-482

96-69

96-304

96-367

97-88

97-377

98-50

98-360

99-141

99-591

100-202

100-371

101-101"

101-514"

102-104*

102-377u

103-126"

103-316u

104-46*

104-206*

105-62"
Appropriation

Fiscal Year 1999: Regular ....................................

Fiscal Year 2000W Regular .....................................

Fiscal Year 2001; Regular .................................

Fiscal Year 2002: Regular .....................................

F iscal Y ear 20 03 ...... ..................................... ...

Fiscal Year 2004 ............... . ..................

Fiscal Year 2005 ....................................................

Fiscal Year 2006 .......................................

Fiscal Year 2007 (See Footnote I for explanation).

Fiscal Year 2008 ........................................

Fiscal Y ear 2009 ....... ...............................

Fiscal Year 2010 ........................................

Fiscal Year 2010 (Rescission) ........................

Fiscal Year 2011 ........................................

*Office of Inspector General

Fiscal Year 1990 ....................................................

Fiscal Y ear 199 1 ...................................................

Fiscal Year 1992 ....................................................

F iscal Y ear 199 3 ........ .....................................

F iscal Y ear 19 94 ....................................................

F iscal Y ear 199 5 ... ................ .... ......... .............

Fiscal Year 1996 ....................................................

Fiscal Y ear 1997 ...................................................

Fiscal Year 1998 ....................................................

F iscal Y ear 1999 ...................................................

Fiscal Year 2000 ...............................................

Fiscal Year 2001 ................................................

NRC Appropriations

Amount

Requested

($Million)

488,640

465,400

481,900

516,900

578,184

618,800

662,777

693,376

768,410

908,409

1,008,000

1,061,000

Ma

Jun

Jun

Amount

Allowed by

Date of House

Request ($Million)

462,700

y 4, 1999 455,400

e 23, 2000 481,900

e 2

6 , 20

01 516,900

578,184

618,800

662,777

714,376

808,410

925,559

Amount

Allowed by

Senate

(SMillion)

466,000

465,400

481,900

506,900

578,184,000

618,800,000

662,777,000

734,376

910,559

Amount

Appropriat

($Million

465,

465,

481,

516,

578,

618,

662,

734,

816.

917,

1,034,

1,056,

Difference

Between

Request and

ted Appropriation

(Percent)

000 4.8

000 -0.1

900 0

900 0

184 0

800 0

777 0

376 +5.9

529 +6.26

334 +.97

656 +2.6

000 -.47

-18 -

Date

Enacted

Oct. 7, 1998

Sept. 29, 1999

Oct. 27, 2000

Nov. 12,2001

Feb. 20, 2003

Dec. 01,2003

Dee. 08,2004

Nov. 09,2005

Feb. 15. 2007

Dec. 26,2007

Mar. 11, 2009

Oct. 28, 2009

Aug. 10, 2010

Public

Law

105-245*

106-60"

106-377

107-66

108-7

108-137

108-447

109-103

110-5

110-161

111-8

111-85

1,043,483

2,900

3,680

3,690

4,585

4,800

5,080

5,000

5,000

4,800

5,500

2,900

3,680

3,690

4,585

4,800

5,080

5,000

5,000

4,800

4,800

6.000

5,500

3,680

3,690

4,585

4,800

5,080

5,000

5,000

4,800

4,800

5,000

5,500

2,900

3,680

3,690

4,585

4,800

5,080

5,000

5,000

4,800

4.800

5.000

5,500

0

0

0

0

0

0

0

0

0

0

Sept. 29, 1989

Nov. 5, 1990

Aug. 17, 1991

Oct. 2, 1992

Oct. 28, 1993

Aug. 26, 1994

Nov. 13,1995

Sept. 30, 1996

Oct. 13, 1997

Oct. 7. 1998

Sept. 29, 1999

Oct. 27, 2000

101-101

101-514

102-104

102-377

103-126

103-316

104-46

104-206

105-62

105-245

106-60

106-377

739
740 NRC Appropriations

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) (SMillion) (Percent) Enacted Law

Fiscal Year 2002 ............................................... 6.180 6.180 5.500 6.180 0 Nov. 12. 2001 107-66

Fiscal Y ear 2003 ..................................................

Fiscal Y ear 2004 ....................................................

F iscal Y ear 2005 ....................................................

Fiscal Year 2006 ........................................

Fiscal Year 2007 (See Footnote I for explanation).

Fiscal Year 2008 .......................................

Fiscal Year 2009 ........................................

Fiscal Yeat 2010 ........................................

Fiscal Y ear 20 11 ........................................

6,800

7,300

7,518

8,316

8,144

8,144

9,000

10,001

10,102

6,800

7,300

7.518

8.316

8,144

8.144

6,800

7,300

7,518

8,316

8,744

6,800

7,300

7.518

8,316

8,360

8,744

10,860

10,860

0

0

0

0

+2.65

+7.4

+20.6

+8.58

Feb. 20, 2003

Dec. 01,2003

Dec. 08, 2004

Nov. 09, 2005

Feb. 12, 2007

Dec. 26, 2007

Mar. 11, 2009

Oct. 28. 2009

108-7

108-137

108-447

109-103

110-5

110-161

111-8

111-85

* This table is compiled by the staff at the U.S. Nuclear Regulatory Commission.
NRC Authorization Acts 741

NRC Authorization Acts 741

5. NRC Authorization Acts

NRC Authorization Acts 743

5. NRC Authorization Acts

Contents

A. NRC AUTHORIZATION ACT FOR FISCAL YEAR, 1984-1985 .................. 745

Title I- Authorization Of Appropriations For Fiscal Years 1984 And

1 9 8 5 .................................................................................................................. 7 4 5

B. NRC AUTHORIZATION ACT FOR FISCAL YEAR, 1982-1983 .................. 749

Sec. 1. Authorization O f Appropriations ..................................................... 749

Sec. 2. Authority To Retain Certain Amounts Received ............................. 750

Sec. 3. Authority To Transfer Certain Amounts To Other Agencies ......... 750

Sec. 4. Lim itation O n Spending Authority ................................................... 751

Sec. 5. Authority To Issue Licenses In Absence Of Emergency

P repa red ness P lans ..................................................................................... 751

Sec, 6. N uclear Safety G oals ........................................................................... 751

Sec. 7. Loss-O f-Fluid Test Facility ................................................................ 751

Sec. 8. N uclear D ata L ink .............................................................................. 751

Sec. 9. Interim Consolidation O f O ffices ...................................................... 752

Sec. 10. T hree M ile Island .............................................................................. 752

Sec. 11. Tem porary O perating Licenses ...................................................... 753

Sec. 12. Operating License Amendment Hearings ...................................... 754

Sec. 13. Q uality A ssurance ............................................................................ 755

Sec. 14. Limitation On Use Of Special Nuclear Material ........................... 757

Sec. 15. R esident Inspectors .......................................................................... 757

Sec. 16. Sabotage Of Nuclear Facilities Or Fuel .......................................... 757

Sec. 17. Department Of Energy Information ............................................... 757

Sec. 18. Standards And Requirements Under Section 275 ......................... 758

Sec. 19. A greem ent S tates .............................................................................. 760

Sec. 20. A m endm ent To Section 84 ............................................................... 760

S ec. 2 1. E d gem on t .......................................................................................... 760

Sec. 22. Additional Amendments To Sections 84 And 275 ......................... 761

Sec. 23. U ranium S upply ............................................................................... 76 1

Sec . 170B. U ranium Supply ............................................................................ 762

C. NRC AUTHORIZATION ACT FOR FISCAL YEAR 1980 .................. 764

Title I-Authorization Of Appropriations For Fiscal Year 1980 .................... 764

Title Il-Amendments To The Atomic Energy Act Of 1954 ............................ 770

Title III- Other Provisions ................................ ..... 773

D. NRC AUTHORIZATION ACT FOR FISCAL YEAR 1979 ............................ 777

E m p loyee P rotection .......................................................................................... 78 1

E. NRC AUTHORIZATION ACT FOR FISCAL YEAR 1978 ............................ 785

S ec. I. A uthorization ...................................................................................... 785

Sec. 2. C om m ission Personnel ....................................................................... 786

Sec. 3. U nresolved Safety Issues .................................................................... 786

Sec. 4. Improved Safety Systems Research .................................................. 786

Sec. 5. Reactor Safety Research Study ........................................................ 786

Sec. 6. A C R S Fellow ship Program ............................................................... 787

Sec. 7. O rganizational Conflicts O f Interest ................................................ 787

Sec. 8. C ooperative Research Funding ......................................................... 787

Sec. 9. T ransfer O f Funds ............................................................................. 787

Sec. 10. A ppropriations ................................................................................. 787
744 NRC Authorization Acts

F. NRC AUTHORIZATION ACT FOR FISCAL YEAR 1977 ............................. 788

A m endm ents To Prior Y ear A ct ....................................................................... 788

G. NRC AUTHORIZATION ACT FOR FISCAL YEAR 1976 ............................ 789

T itle I ................................................................................................................... 7 8 9

T itle II .................................................................................................................. 7 8 9

H. NRC FISCAL YEAR 1975 SUPPLEMENTAL AUTHORIZATION ACT.. 791

1. AEC FISCAL YEAR 1975 SUPPLEMENTAL AUTHORIZATION ACT ..... 792

J. AEC AUTHORIZATION ACT FOR FISCAL YEAR 1975 ............................ 793

T itle II .................................................................................................................. 7 9 7

K. AEC AUTHORIZATION ACT FOR FISCAL YEAR 1974 ............................ 798
NRC Authorizations Act, FY 1984-1985 (P.L. 98-553) 745

A. NRC AUTHORIZATION ACT FOR FISCAL YEAR,

1984-1985

Public Law 98-553 98 Stat. 2825

October 30, 1984

An Act

To authorize appropriations to the Nuclear Regulatory Commission in

accordance with, section 261 of the Atomic Energy Act of 1954, and

section 305 of the Energy Reorganization Act of 1974.

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

United States ofAinerica in Congress assembled,

Title I- Authorization Of Appropriations For Fiscal

Years 1984 And 985

Sec. 101. There are hereby authorized to be appropriated to the

Nuclear Regulatory Commission in accordance with the provisions of

42 USC 2017. section 261 of the Atomic Energy Act of 1954 and section 305 of the

42 USC 5875, Energy Reorganization Act of 1974, for the fiscal years 1984 and 1985 to

remain available until expended, $466,800,000 for fiscal year 1984 and

$460,000,000 for fiscal year 1985.

Sec. 102. (a) The sums authorized to be appropriated in this Act for

fiscal years 1984 and 1985 shall be allocated as follows:

(1) not more than $91,490,000 for fiscal year 1984 and

$87,140,000 for fiscal year 1985, may be used for "Nuclear Reactor

Regulation", of which an amount not be exceed $1,000,000 is

authorized each such fiscal year to be used to accelerate the effort in

gas-cooled thermal reactor pre-application review;

(2) not more than $70,910,000 for fiscal year 1984 and $74,770,000

for fiscal year 1985, may be used for "Inspection and Enforcement";

(3) not more than $36,280,000 for fiscal year 1984 and $35,710,000

for fiscal year 1985, may be used for "Nuclear Material Safety and

Safeguards";

(4) not more than $199,740,000 for fiscal year 1984 and

$193,290,000 for fiscal year 1985, may be used for "Nuclear Regulatory

Research", of which an amount not to exceed $2,600,000 is authorized

each such fiscal year to be used to accelerate the effort in gas-cooled

thermal reactor safety research;

(5) not more than $27,520,000 for fiscal year 1984 and $27,470,000

for fiscal year 1985, may be used for "Program Technical Support";

(6) not more than $40,860,000 for fiscal year 1984 and $41,620,000 for fiscal year 1985, may be used for "Program Direction and

Administration."

Grants. (b) The Nuclear Regulatory Commission may use not more than I per

centum of the amounts authorized to be appropriated under paragraph

102(a)(4) to exercise its authority under section 3 Ia. of the Atomic

Energy Act of 1954 (42 USC 2051(a)) to enter into grants and

cooperative agreements with universities pursuant to such paragraph.

Grants made by the Commission shall be made in accordance with the

Federal Grant and Cooperative Agreement Act of 1977 (41 USC 501 et

seq.) and other applicable law.

(c) Any amount appropriated for a fiscal year to the Nuclear

Regulatory Commission pursuant to any paragraph of subsection 102(a)

for purposes of the program referred to in such paragraph, may be
746 NRC Authorizations Act, FY 1984-1985 (P.L. 98-553)

reallocated by the Commission for use in a program referred to in any

other paragraph of such subsection, or for use in any other activity within

a program, except that the amount available from appropriations for such

fiscal year for use in any program or specified activity may not, as a result of reallocations made under this subsection, be increased or

reduced by more than $500,000 unless-

(I) a period of thirty calendar days (excluding any day in which

either House of Congress is not in session because of an adjournment

of more than three calendar days to a day certain or an adjournment

sine die) passes after the receipt, by the Committee on Energy and

Commerce and the Committee on Interior and Insular Affairs of the

House of Representatives and the Committee on Environment and

Public Works of the Senate, of notice submitted by the Commission

containing a full and complete statement of the reallocation proposed

to be made and the facts and circumstances relied upon in support of

such proposed reallocation; or (2) each such committee, before the expiration of such period,

transmits to the Commission a written notification that such

committee does not object to such proposed reallocation.

See. 103. Moneys received by the Nuclear Regulatory Commission

for the cooperative nuclear research program and the material access

authorization program may be retained and used for salaries and

31 USC 3302. expenses associated with such programs, notwithstanding the provisions

of section 3617 of the Revised Statutes (31 USC 484), and shall remain

available until expended.

Sec 104. From amounts appropriated to the Nuclear Regulatory

Commission pursuant to this Title, the Commission may transfer to other

agencies of the Federal Government sums for salaries and expenses for

the performance by such agencies of activities for which such

appropriations of the Commission are made. Any sums so transferred

may be merged with the appropriation of the agency to which such sums

are transferred.

Sec. 105. Notwithstanding any other provisions of this Act, no authority to make payments under this Act shall be effective except to

such extent or in such amounts as are provided in advance in

appropriation Acts.

Report. Sec 106. (a) No funds authorized to be appropriated under this Act

Prohibition. may be used to carry out any policy or program for the decentralization

or regionalization of any Nuclear Regulatory Commission authorities

regarding commercial nuclear power plant licensing until sixty legislative

days after the date on which the Commission submits to the Congress a

report evaluating the effect of such policy or program on nuclear reactor

safety: Provided, however, That the prohibition contained in this

subsection shall not apply to any personnel assigned to the field, or to

activities in which they were engaged, on or before September 22, 1983.

The report shall include-

(1) a detailed description of the authorities to be transferred, the

reason for such transfer, and an assessment of the effect of such

transfer on nuclear reactor safety;

(2) an analysis of all comments submitted to the Commission

regarding the effect on nuclear reactor safety which would result from

carrying out the policy or program proposed by the Commission; and

(3) an evaluation of the results, including the advantages and

disadvantages, of the pilot program conducted under subsection (b).
NRC Authorizations Act, FY 1984-1985 (P.L. 98-553) 747

(b) Notwithstanding the prohibition contained in subsection (a), the

Commission is authorized to conduct a pilot program for the purpose of

evaluating the concept of delegating authority to regional offices for

issuance of specific types of operating reactor licensing actions and for

the purpose of addressing the issues identified in paragraphs (a)(1)-(3) of

this section.

See. 107. (a) Of the amounts authorized to be appropriated under this

Act for the fiscal years 1984 and 1985, such sums as may be necessary

are authorized to be used by the Nuclear Regulatory Commission for-

(I) the acquisition (by purchase, lease, or otherwise) and

installation of equipment to be used for the small test prototype

nuclear data link program or for any other program for the collection

and transmission to the Commission of data from licensed nuclear

reactors during abnormal conditions at such reactors; and

(2) a full and complete analysis of-

(A) the appropriate role of the Commission during abnormal

conditions at a nuclear reactor licensed by the Commission;

(B) the information which should be available to the

Commission to enable the Commission to fulfill such role and to

carry out other related functions;

(C) various alternative means of assuring that such

information is available to the Commission in a timely manner;

and

(D) any changes in existing Commission authority necessary

to enhance the Commission response to abnormal conditions at a

nuclear reactor licensed by the Commission:

Provided. however, That no funds shall be available under this Act for

the acquisition and installation of any equipment for the collection and

transmission to the Commission of data from licensed nuclear reactors

during abnormal conditions at such reactors, or for the analysis of such

equipment, unless such acquisition and analysis includes, as one of the

alternatives considered, a fully automated electronic nuclear data link.

The small test prototype referred to in paragraph (1) may be used by the

Commission in carrying out the study and analysis under paragraph (2).

Such analysis shall include a cost-benefit analysis of each alternative

examined under subparagraph (C).

Sec. 108. Of the amounts authorized to be appropriated under this

Act, the Nuclear Regulatory Commission may use such sums as may be

necessary, in the absence of a State or local emergency preparedness plan

which has been approved by the Federal Emergency Management

Agency, to issue an operating license (including a temporary operating

license under section 192 of the Atomic Energy Act of 1954, as

amended) for a nuclear power reactor, if it determines that there exists a

State, local, or utility plan which provides reasonable assurance that

public health and safety is not endangered by operation of the facility

concerned.

Sec 109. Notwithstanding the second sentence of section 103d. and

42 USC 2133. the second sentence of section 104d. of the Atomic Energy Act of 1954,

42 USC 2134. as amended, the Nuclear Regulatory Commission is hereby authorized to

transfer Facility Operating License numbered R-8 I to a United States

entity or corporation owned or controlled by a foreign corporation if the

Commission-

(I) finds that such transfer would not be inimical to the common

defense and security or to the health and safety of the public; and
748 NRC Authorizations Act, FY 1984-1985 (P.L. 98-553)

(2) includes in such license, as transferred, such conditions as the

Commission deems necessary to ensure that such foreign corporation

cannot direct the actions of the licensee in ways that would be inimical to

the common defense and security or the health and safety of the public.
NRC Authorizations Act, FY 1982-1983 (P.L. 97-415) 749

B. NRC AUTHORIZATION ACT FOR FISCAL YEAR,

1982-1983

Public Law 97-415 96 Stat. 2067

Nuclear

Regulatory

Commission.

Appropriations.

Jan. 4, 1983

An Act

To authorize appropriations to the Nuclear Regulatory Commission in

accordance with section 261 of the Atomic Energy Act of 1954, as

amended, and section 305 of the Energy Reorganization Act of 1974, as amended, and for other purposes.

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

United States of/America in Congress assembled,

Sec. 1. Authorization Of Appropriations

(a) There are hereby authorized to be appropriated to the Nuclear

Regulatory Commission in accordance with the provisions of section 261

of the Atomic Energy Act of 1954 (42 USC 2017) and section 305 of the

Energy Reorganization Act of 1974 (42 USC 5875), for the fiscal years

1982 and 1983 to remain available until expended, $485,200,000 for

fiscal year 1982 and $513,100,000 for fiscal year 1983 to be allocated as

follows:

(1) Not more than $80,700,000 for fiscal year 1982 and

$77,000,000 for fiscal year 1983 may be used for "Nuclear Reactor

Regulation", of which an amount not to exceed $1,000,000 is

authorized each such fiscal year to be used to accelerate the effort in

gas-cooled thermal reactor preapplication review, and an amount not

to exceed $6,000,000 is authorized each such fiscal year to be used

for licensing review work for a fast breeder reactor plant project. In

the event of a termination of such breeder reactor project, any unused

amount appropriated pursuant to this paragraph for licensing review

work for such project may be used only for safety technology

activities.

(2) Not more than $62,900,000 for fiscal year 1982 and

$69,850,000 for fiscal year 1983 may be used for "Inspection and

Enforcement.

(3) Not more than $42,000,000 for fiscal year 1982 and

$47,059,600 for fiscal year 1983 may be used for "Nuclear Material

Safety and Safeguards.

(4) Not more than $240,300,000 for fiscal year 1982 and

$257,195,600 for fiscal year 1983 may be used for "Nuclear

Regulatory Research", of which-

(A) an amount not to exceed $3,500,000 for fiscal year 1982

and $4,500,000 for fiscal year 1983 is authorized to be used to

accelerate the effort in gas-cooled thermal reactor safety research;

(B) an amount not to exceed $18,000,000 is authorized each

such fiscal year to be used for fast breeder reactor safety research;

and

(C) an amount not to exceed $57,000,000 is authorized for

such two fiscal year period to be used for the Loss-of-Fluid Test

Facility research program.

In the event of a termination of the fast breeder reactor plant project,

any unused amount appropriated pursuant to this paragraph for fast
750 NRC Authorizations Act, FY 1982-1983 (P.L. 97-415)

breeder reactor safety research may be used generally for "Nuclear

Regulatory Research".

(5) Not more than $21,900,000 for fiscal year 1982 and

$20,197,800 for fiscal year 1983 may be used for "Program Technical

Support".

(6) Not more than $37,400,000 for fiscal year 1982 and

$41,797,000 for fiscal year 1983 may be used for "Program Direction

and Administration."

Grants and (b) The Nuclear Regulatory Commission may use not more than I

cooperative percent of the amounts authorized to be appropriated under subsection

agreements. (a)(4) to exercise its authority under section 3 Ia. of the Atomic Energy

Act of 1954 (42 USC 2051(a)) to enter into grants and cooperative

agreements with universities pursuant to such section. Grants made by

the Commission shall be made in accordance with the Federal Grant and

Cooperative Agreement Act of 1977 (41 USC 501 et seq.) and other

applicable law. In making such grants and entering into such cooperative

agreements, the Commission shall endeavor to provide appropriate

opportunities for universities in which the student body has historically

been predominantly comprised of minority groups.

Reallocated (c) Any amount appropriated for a fiscal year to the Nuclear

funds. Regulatory Commission pursuant to any paragraph of subsection (a) for

purposes of the program office referred to in such paragraph, or any

activity that is within such program office and is specified in such

paragraph, may be reallocated by the Commission for use in a program

office, except that the amount available from appropriations for such

fiscal year for use in any program office or specified activity may not, as

a result of reallocations made under this subsection, be increased or

reduced by more than $500,000 unlessNotification of (1) a period of 30 calendar days (excluding any day in which

congressional either House of Congress is not in session because of an adjournment

committees. of more than 3 calendar days to a day certain or an adjournment sine

die) passes after the receipt, by the Committee on Energy and

Commerce and the Committee on Interior and Insular Affairs of the

House of Representatives and the Committee on Environment and

Public Works of the Senate, of notice submitted by the Commission

containing a full and complete statement of the reallocation proposed

to be made and the facts and circumstances relied upon in support of

such proposed reallocation; or

(2) each such committee, before the expiration of such period,

transmits to the Commission a written notification that such

committee does not object to such proposed reallocation.

Sec. 2. Authority To Retain Certain Amounts Received

Moneys received by the Nuclear Regulatory Commission for the

cooperative nuclear research program and the material access

authorization program may be retained and used for salaries and

expenses associated with such programs, notwithstanding the provisions

31 tJSC 3302. of section 3617 of the Revised Statutes (31 USC 484), and shall remain

available until expended.

Sec. 3. Authority To Transfer Certain Amounts To Other Agencies

From amounts appropriated to the Nuclear Regulatory Commission

pursuant to section ](a), the Commission may transfer to other agencies

of the Federal Government sums for salaries and expenses for the

performance by such agencies of activities for which such appropriations
NRC Authorizations Act, FY 1982-1983 (P.L. 97-415) 751

of the Commission are made. Any sums so transferred may be merged

with the appropriation of the agency to which such sums are transferred.

Sec. 4. Limitation On Spending Authority

Notwithstanding any other provision of this Act, no authority to make

payments under this Act shall be effective except to such extent or in

such amounts as are provided in advance in appropriation Acts.

Sec. 5. Authority To Issue Licenses In Absence Of Emergency

Preparedness Plans

Of the amounts authorized to be appropriated under section 1, the

Nuclear Regulatory Commission may use such sums as may be

necessary, in the absence of a State or local emergency preparedness plan

which has been approved by the Federal Emergency Management

Agency, to issue an operating license (including a temporary operating

license under section 192 of the Atomic Energy Act of 1954, as amended

by section I I of this Act) for a nuclear power reactor, if it determines that

there exists a State, local, or utility plan which provides reasonable

assurance that public health and safety is not endangered by operation of

the facility concerned.

Sec. 6. Nuclear Safety Goals

Funds authorized to be appropriated under this Act shall be used by

the Nuclear Regulatory Commission to expedite the establishment of

safety goals for nuclear reactor regulation. The development of such

safety goals, and any accompanying methodologies for the application of

such safety goals, should be expedited to the maximum extent practicable

to permit establishment of a safety goal by the Commission not later than

December 31, 1982.

Sec. 7. Loss-Of-Fluid Test Facility

Of the amounts authorized to be used for the Loss-of-Fluid Test

Facility in accordance with section l(a)(4) for fiscal years 1982 and

1983, the Commission shall provide funding through contract with the

organization responsible for the Loss-of-Fluid Test operations for a detailed technical review and analysis of research results obtained from

the Loss-of-Fluid Test Facility research program. The contract shall

provide funding for not more than twenty man-years in each of fiscal

years 1982 and 1983 to conduct the technical review and analysis.

Sec. 8. Nuclear Data Link

(a) Of the amounts authorized to be appropriated under this Act for

the fiscal years 1982 and 1983, not more than $200,000 is authorized to

be used by the Nuclear Regulatory Commission for-

(1) the acquisition (by purchase, lease, or otherwise) and

installation of equipment to be used for the "small test prototype

nuclear data link" program or for any other program for the collection

and transmission to the Commission of data from licensed nuclear

reactors during abnormal conditions at such reactors; and

Stud)' and (2) the conduct of a full and complete study and analysis ofanalysis. (A) the appropriate role of the Commission during abnormal

conditions at a nuclear reactor licensed by the Commission;

(B) the information which should be available to the

Commission to enable the Commission to fulfill such role and to

carry out other related functions;

(C) various alternative means of assuring that such

information is available to the Commission in a timely manner;

and
Report to

Congress.

Commission

action.

notification of

congressional

committees.

42 USC 2011

note.

42 USC 5877

note.

752 NRC Authorizations Act, FY 1982-1983 (P.L. 97-415)

(D) any changes in existing Commission authority necessary

to enhance the Commission response to abnormal conditions at a

nuclear reactor licensed by the Commission.

The small test prototype referred to in paragraph (I) may be used by

the Commission in carrying out the study and analysis under paragraph

(2). Such analysis shall include a cost-benefit analysis of each alternative

examined under subparagraph (C).

(b)(1) Upon completion of the study and analysis required under

subsection (a)(2),. the Commission shall submit to Congress a detailed

report setting forth the results of such study and analysis.

(2) The Commission may not take any action with respect to any

alternative described in subsection (a)(2)(C), unless a period of 60

calendar days (excluding any day in which either House of Congress

is not in session because of an adjournment of more than 3 calendar

days to a day certain or an adjournment sine die) passes after the

receipt, by the Committee on Energy and Commerce and the

Committee on Interior and Insular Affairs of the House of

Representatives and the Committee on Environment and Public

Works of the Senate, of notice submitted by the Commission

containing a full and complete statement of the action proposed to be

taken and the facts and circumstances relied upon in support of such

proposed action.

See. 9. Interim Consolidation Of Offices

(a) Of the amounts authorized to be appropriated pursuant to

paragraph 6 of section 1(a), such sums as may be necessary shall be

available for interim consolidation of Nuclear Regulatory Commission

headquarters staff offices.

(b) No amount authorized to be appropriated under this Act may be

used, in connection with the interim consolidation of Nuclear Regulatory

Commission offices, to relocate the offices of members of the

Commission outside the District of Columbia.

Sec. 10. Three Mile Island

(a) No part of the funds authorized to be appropriated under this Act

may be used to provide assistance to the General Public Utilities

Corporation for purposes of the decontamination, cleanup, repair, or

rehabilitation of facilities at Three Mile Island Unit 2.

(b) The prohibition contained in subsection (a) shall not relate to the

responsibilities of the Nuclear Regulatory Commission for monitoring or inspection of the decontamination, cleanup, repair, or rehabilitation

activities at Three Mile Island and such prohibition shall not apply to -the

use of funds by the Nuclear Regulatory Commission to carry out

regulatory functions of the Commission under the Atomic Energy Act of

1954 with respect to the facilities at Three Mile Island.

(c) The Nuclear Regulatory Commission shall include in its annual

report to the Congress under section 307(c) of the Energy Reorganization

Act of 1974 (42 USC 5877(c)) as a separate chapter a description of the

collaborative efforts undertaken, or proposed to be undertaken, by the

Commission and the Department of Energy with respect to the

decontamination, cleanup, repair, or rehabilitation of facilities at Three

Mile Island Unit 2.

• (d) No funds authorized to be appropriated under this Act may be

used by the Commission to approve any willful release of "accidentgenerated water", as defined by the Commission in NUREG-0683

("Final Programmatic Environmental Impact Statement" pg.1-23), from

Three Mile Island Unit 2 into the Susquehanna River or its watershed.
NRC Authorizations Act, FY 1982-1983 (P.L. 97-415) 753

Sec. 11. Temporary Operating Licenses

Section 192 of the Atomic Energy Act of 1954 (42 USC 2242) is

amended to read as follows:

Sec. 192. TEMPORARY OPERATING LICENSE.-

42 USC 2133. a. In any proceeding upon an application for an operating license for a

42 USC 2134. utilization facility required to be licensed under section 103 or 104 b. of

this Act, in which a hearing is otherwise required pursuant to section

189a., the applicant may petition the Commission for a temporary

operating license for such facility authorizing fuel loading, testing, and

operation at a specific power level to be determined by the Commission,

pending final action by the Commission on the application. The initial

Initial petition. petition for a temporary operating license for each such facility, and any

temporary operating license issued for such facility based upon the initial

petition, shall be limited to power levels not to exceed 5 percent of rated

full thermal power. Following issuance by the Commission of the

temporary operating license for each such facility, the licensee may tile

petitions with the Commission to amend the license to allow facility

operation in staged increases at specific power levels, to be determined

by the Commission, exceeding 5 percent of rated full thermal power. The

initial petition for a temporary operating license for each such facility

may be filed at any time after the filing of: (1) the report of the Advisory

Committee on Reactor Safeguards required by section 192b.; (2) the

filing of the initial Safety Evaluation Report by the Nuclear Regulatory

Commission staff and the Nuclear Regulatory Commission staffs first

supplement to the report prepared in response to the report of the

Advisory Committee on Reactor Safeguards for the facility; (3) the

Nuclear Regulatory Commission staffs final detailed statement on the

environmental impact of the facility prepared pursuant to section

102(2)(C) of the National Environmental Policy Act of 1969 (42 USC

4332(2)(C)); and (4) a State, local, or utility emergency preparedness

plan for the facility. Petitions for the issuance of a license, or for an

Affidavits. amendment to such a license allowing operation at a specific power level

greater than that authorized in the initial temporary operating license,

shall be accompanied by an affidavit or affidavits setting forth the

specific facts upon which the petitioner relies to justify issuance of the

Publication in temporary operating license or the amendment thereto. The Commission

Pcdcral shall publish notice of each such petition in the Federal Register and in

Rcgistcr. such trade or news publications as the Commission deems appropriate to

give reasonable notice to persons who might have a potential interest in

the grant of such temporary operating license or amendment thereto. Any

person may file affidavits or statements in support of, or in opposition to,

the petition within thirty days after the publication of such notice in the

Federal Register.

b. With respect to any petition filed pursuant to subsection a. of this

section, the Commission may issue a temporary operating license, or

amend the license to authorize temporary operation at each specific

power level greater than that authorized in the initial temporary operating

license, as determined by the Commission, upon finding that-

(1) in all respects other than the conduct or completion of any

required hearing, the requirements of law are met;

(2) in accordance with such requirements, there is reasonable

assurance that operation of the facility during the period of the

temporary operating license in accordance with its terms and

conditions will provide adequate protection to the public health and
Final order,

transmittal to

congressional

committees.

Judicial review.

28 USC

el seq.

Hearing.

2341

754 NRC Authorizations Act, FY 1982-1983 (P.L. 97-415)

safety and the environment during the period of temporary operation;

and

(3) denial of such temporary operating license will result in delay

between the date on which construction of the facility is sufficiently

completed, in the judgment of the Commission, to permit issuance of

the temporary operating license, and the date when such facility

would otherwise receive a final operating license pursuant to this Act.

The temporary operating license shall become effective upon issuance

and shall contain such terms and conditions as the Commission may

deem necessary, including the duration of the license and any provision

for the extension thereof. Any final order authorizing the issuance or

amendment of any temporary operating license pursuant to this section

shall recite with specificity the facts and reasons justifying the findings

under this subsection, and shall be transmitted upon such issuance to the

Committees on Interior and Insular Affairs and Energy and commerce of

the House of Representatives and the Committee on Environment and

Public Works of the Senate. The final order of the Commission with

respect to the issuance or amendment of a temporary operating license

shall be subject to judicial review pursuant to Chapter 158 of Title 28,

United States Code. The requirements of section 1 89a. of this Act with

respect to the issuance or amendment of facility licenses shall not apply

to the issuance or amendment of a temporary operating license under this

section.

c. Any hearing on the application for the final operating license for a

facility required pursuant to section 1 89a. shall be concluded as promptly

as practicable. The Commission shall suspend the temporary operating license if it finds that the applicant is not prosecuting the application for

the final operating license with due diligence. Issuance of a temporary

operating license under subsection b. of this section shall be without

prejudice to the right of any party to raise any issue in a hearing required

pursuant to section 189a.; and failure to assert any ground for denial or

limitation of a temporary operating license shall not bar the assertion of

such ground in connection with the issuance of a subsequent final

operating license. Any party to a hearing required pursuant to section

189a. on the final operating license for a facility for which a temporary

operating license has been issued under subsection b., and any member of

the Atomic Safety and Licensing Board conducting such hearing, shall

promptly notify the Commission of any information indicating that the

terms and conditions of the temporary operating license are not being

met, or that such terms and conditions are not sufficient to comply with

the provisions of paragraph (2) of subsection b.

d. The Commission is authorized and directed to adopt such

administrative remedies as the Commission deems appropriate to

minimize the need for issuance of temporary operating licenses pursuant

to this section.

e. The authority to issue new temporary operating licenses under this

section shall expire on December 31, 1983.

Sec. 12. Operating License Amendment Hearings (a) Section 189a. of the Atomic Energy Act of 1954 (42 USC

2239(a)) is amended-

(I) by inserting "(1)" after the subsection designation; and

(2) by adding at the end thereof the following new paragraph:

(2)(A) The Commission may issue and make immediately

effective any amendment to an operating license, upon a

determination by the Commission that such amendment involves no

Expiration date.
NRC Authorizations Act, FY 1982-1983 (P.L. 97-415) 755

Notice of

publication.

Regulations

establishing

standards,

criteria, and

procedures.

42 USC 2239

note.

42 USC 5841

note.

Resident

inspector

program.

Commcrcial

nuclear power

plant

construction.

study.

significant hazards consideration, notwithstanding the pendency

before the Commission of a request for a hearing from any person.

Such amendment may be issued and made immediately effective in

advance of the holding and completion of any required hearing. In

determining under this section whether such amendment involves no

significant hazards consideration, the Commission shall consult with

the State in which the facility involved is located. In all other respects

such amendment shall meet the requirements of this Act.

(13) The Commission shall periodically (but not less frequently

than once every thirty days) publish notice of any amendments

issued, or proposed to be issued, as provided in subparagraph (A).

Each such notice shall include all amendments issued, or

proposed to be issued, since the date of publication of the last

such periodic notice. Such notice shall, with respect to each

amendment or proposed amendment (i) identify the facility

involved; and (ii) provide a brief description of such amendment.

Nothing in this subsection shall be construed to delay the effective

date of any amendment.

(C) The Commission shall, during the ninety-day period

following the effective date of this paragraph, promulgate

regulations establishing (i) standards for determining whether any

amendment to an operating license involves no significant hazards

consideration; (ii) criteria for providing or, in emergency

situations, dispensing with prior notice and reasonable

opportunity for public comment on any such determination, which

criteria shall take into account the exigency of the need for the

amendment involved; and (iii) procedures for consultation on any

such determination with the State in which the facility involved is

located.

(b) The authority of the Nuclear Regulatory Commission, under the

provisions of the amendment made by subsection (a), to issue and to

make immediately effective any amendment to an operating license shall

take effect upon the promulgation by the Commission of the regulations

required in such provisions.

See. 13. Quality Assurance

(a) The Nuclear Regulatory Commission is authorized and directed to

implement and accelerate the resident inspector program so as to assure

the assignment of at least one resident inspector by the end of fiscal year

1982 at each site at which a commercial nuclear power plant is under

construction and construction is more than 15 percent complete. At each

such site at which construction is not more than 15 percent complete, the

Commission shall provide that such inspection personnel as the

Commission deems appropriate shall be physically present at the site at

such times following issuance of the construction permit as may be

necessary in the judgment of the Commission.

(b) The Commission shall conduct a study of existing and alternative

programs for improving quality assurance and quality control in the

construction of commercial nuclear powerplants. In conducting the study,

the Commission shall obtain the comments of the public, licensees of

nuclear powerplants, the Advisory Committee on Reactor Safeguards,

and organizations comprised of professionals having expertise in

appropriate fields. The study shall include an analysis of the following:

(1) providing a basis for quality assurance and quality control,

inspection, and enforcement actions through the adoption of an

approach which is more prescriptive than that currently in practice for
756 NRC Authorizations Act, FY 1982-1983 (P.L. 97-415)

defining principal architectural and engineering criteria for the

construction of commercial nuclear powerplants;

(2) conditioning the issuance of construction permits for

commercial nuclear powerplants on a demonstration by the licensee

that the licensee is capable of independently managing the effective

performance of all quality assurance and quality control

responsibilities for the power plant;

(3) evaluations, inspections, or audits of commercial nuclear

power plant construction by organizations comprised of professionals having expertise in appropriate fields which evaluations, inspections,

or audits are more effective than those under current practice;

(4) improvement of the Commission's organization, methods, and

programs for quality assurance development, review, and inspection;

and

(5) conditioning the issuance of construction permits for

commercial nuclear power plants on the permittee entering into

contracts or other arrangements with an independent inspector to

audit the quality assurance program to verify quality assurance

performance. Independent For purposes of paragraph (5), the term "independent inspector" means a

inspector, person or other entity having no responsibility for the design or

construction of the plant involved. The study shall also include an

analysis of quality assurance and quality control programs at

representative sites at which such programs are operating satisfactorily

and an assessment of the reasons therefor.

(c) For purposes of42 USC 2011 (1) determining the best means of assuring that commercial

notc. nuclear powerplants are constructed in accordance with the applicable

safety requirements in effect pursuant to the Atomic Energy Act of

1954; and

(2) assessing the feasibility and benefits of the various means

listed in subsection (b);

Pilot program. the Commission shall undertake a pilot program to review and evaluate

programs that include one or more of the alternative concepts identified

in subsection (b) for the purposes of assessing the feasibility and benefits

of their implementation. The pilot program shall include programs that

use independent inspectors for auditing quality assurance responsibilities

of the licensee for the construction of commercial nuclear powerplants,

as described in paragraph (5) of subsection (b). The pilot program shall

include at least three sites at which commercial nuclear powerplants are

under construction. The Commission shall select at least one site at

which quality assurance and quality control programs have operated

satisfactorily, and at least two sites with remedial programs underway at

which major construction, quality assurance, or quality control

deficiencies (or any combination thereof) have been identified in the past.

The Commission may require any changes in existing quality assurance

and quality control organizations and relationships that may be necessary

at the selected sites to implement the pilot program.

Study results, (d) Not later than fifteen months after the date of the enactment of

submittal to this Act, the Commission shall complete the study required under

Congress. subsection (b) and submit to the United States Senate and House of

representatives a report setting forth the results of the study. The report shall include a brief summary of the information received from the public

and from other persons referred to in subsection (b) and a statement of

the Commission's response to the significant comments received. The
NRC Authorizations Act, FY 1982-1983 (P.L. 97-415) 757

report shall also set forth in analysis of the results of the pilot program

required under subsection (c). The report shall be accompanied by the

recommendations of the Commission, including any legislative

recommendations, and a description of any administrative actions that the

Commission has undertaken or intends to undertake, for improving

quality assurance and quality control programs that are applicable during

the construction of nuclear power plants.

Sec. 14. Limitation On Use Of Special Nuclear Material

Section 57 of the Atomic Energy Act of 1954 (42 USC 2077) is

amended by adding at the end thereof the following new subsection:

42 USC 2014. e. Special nuclear material, as defined in section 11, produced in

42 USC 2133. facilities licensed under section 103 or 104 may not be transferred,

42 USC 2134. reprocessed, used, or otherwise made available by any instrumentality of

the United States or any other person for nuclear explosive purposes.

Sec. 15. Resident inspectors

Of the amounts authorized to be appropriated under section I, the

Nuclear Regulatory Commission shall use such sums as may be

necessary to conduct a study of the financial hardships incurred by

resident inspectors as a result of (I) regulations of the Commission

requiring resident inspectors to relocate periodically from one duty

station to another; and (2) the requirements of the Commission respecting

the domicile of resident inspectors and respecting travel between their

Report to domicile and duty station in such manner as to avoid the appearance of a

Congress. conflict of interest. Not later than 90 days after the date of the enactment

of this Act, the Commission shall submit to the Congress a report setting

forth the findings of the Commission as a result of such study, together

with a legislative proposal (including any supporting data or information)

relating to any assistance for resident inspectors detennined by the

Commission to be appropriate.

Sec. 16. Sabotage Of Nuclear Facilities Or Fuel

Section 236 of the Atomic Energy Act of 1954 (42 USC 2284) is

amended to read as follows:

Sec. 236. SABOTAGE OF NUCLEAR FACILITIES OR FUEL,-

a. Any person who intentionally and willfully destroys or causes

physical damage to, or who intentionally and willfully attempts to

destroy or cause physical damage to-

(1) any production facility or utilization facility licensed under

this Act;

(2) any nuclear waste storage facility licensed under this Act; or

(3) any nuclear fuel for such a utilization facility, or any spent

nuclear fuel from such a facility;

shall be fined not more than $10,000 or imprisoned for not more than

ten years, or both.

Penalties. b. Any person who intentionally and willfully causes or attempts to

cause an interruption of normal operation of any such facility through the

unauthorized use of or tampering with the machinery, components, or

controls of any such facility, shall be fined not more than $10,000 or

imprisoned for not more than ten years, or both.

Sec. 17. Department Of Energy Information

(a) Section 148a.(I) of the Atomic Energy Act of 1954 (42 USC

2168(a)(1)) is amended by inserting after "'Secretary')" the following: "

with respect to atomic energy defense programs,"

(b) Section 148 of the Atomic Energy Act of 1954 (42 USC 2168) is

amended by adding at the end thereof the following new subsections:
Judicial review.

Quarterly

report.

42 USC 2022.

42 USC 7911

Promulgation

authority.

758 NRC Authorizations Act, FY 1982-1983 (P.L. 97-415)

d. Any determination by the Secretary concerning the applicability of

this section shall be subject to judicial review pursuant to section

552(a)(4)(B) of Title 5, United States Code.

e. The Secretary shall prepare on a quarterly basis a report to be made

available upon the request of any interested person, detailing the

Secretary's application during that period of each regulation or order

prescribed or issued under this section. In particular, such report shall-

(1) identify any information protected from disclosure pursuant to

such regulation or order;

(2) specifically state the Secretary's justification for determining

that unauthorized dissemination of the information protected from

disclosure under such regulation or order could reasonably be

expected to have a significant adverse effect on the health and safety

of the public or the common defense and security by significantly

increasing the likelihood of illegal production of nuclear weapons, or

theft, diversion, or sabotage of nuclear materials, equipment, or

facilities, as specified under subsection a.; and

(3) provide justification that the Secretary has applied such

regulation or order so as to protect from disclosure only the minimum

amount of information necessary to protect the health and safety of

the public or the common defense and security.

See. 18. Standards And Requirements Under Section 275

(a) Section 275 of the Atomic Energy Act of 1954 is amended-

(]) by striking in subsection a. "one year after the date of

enactment of this section" and substituting "October 1, 1982" and by

adding the following at the end thereof:

"After October I, 1982, if the Administrator has not promulgated

standards in final form under this subsection, any action of the

Secretary of Energy under Title I of the Uranium Mill tailings

Radiation Control Act of 1978 which is required to comply with, or

be taken in accordance with, the standards proposed by the

Administrator under this subsection until such time as the

Administrator promulgates such standards in final form.;

(2) by striking in subsection b. (1) "eighteen months after the

enactment of this section, the Administrator shall, by rule,

promulgate" and inserting in lieu thereof the following: October 31,

1982, the Administrator shall, by rule, propose, and within I I months

thereafter promulgate in final form,;

(3) by adding the following at the end of subsection b.(l): "If the

Administrator fails to promulgate standards in final form under this

subsection by October 1, 1983, the authority of the Administrator to

promulgate such standards shall terminate, and the Commission may

take actions under this Act without regard to any provision of this Act

requiring such actions to comply with, or be taken in accordance with,

standards promulgated by the Administrator. In any such case, the

Commission shall promulgate, and from time to time revise, any such

standards of general application which the Commission deems

necessary to carry out its responsibilities in the conduct of its

licensing activities under this Act. Requirements established by the

Commission under this Act with respect to byproduct material as

defined in section I le.(2) shall conform to such standards. Any

requirements adopted by the Commission respecting such byproduct

material before promulgation by the Commission of such standards

shall b amended as the Commission deems necessary to conform to

such standards in the same manner as provided in subsection f.(3).
NRC Authorizations Act, FY 1982-1983 (P.L. 97-415) 759

Nothing in this subsection shall be construed to prohibit or suspend

the implementation or enforcement by the Commission of any

requirement of the Commission respecting byproduct material as 42 USC 2014. defined in section I le.(2) pending promulgation by the Commission

of any such standard of general application.;

Uranium mill (4) by adding the following new subsection at the end thereof:

licensing f. (1) Prior to January 1, 1983, the Commission shall not implement

requirement or enforce the provisions of the Uranium Mill Licensing Requirements

regulations. published as final rules at 45 Federal Register 65521 to 65538 on Implementation October 3, 1980 (hereinafter referred to as the "October 3 regulations").

and After December 31, 1982, the Commission is authorized to implement

enlorcement. and enforce the provisions of such October 3 regulations (and any

subsequent modifications or additions to such regulations which may be

adopted by the Commission), except as otherwise provided in paragraphs

(2) and (3) of this subsection.

Review. public (2) Following the proposal by the Administrator of standards

comment, and under subsection b., the Commission shall review the October 3

suspension. regulations, and, not later than 90 days after the date of such proposal,

suspend implementation and enforcement of any provision of such

regulations which the Commission determines after notice and

opportunity for public comment to require a major action or major

commitment by licensees which would be unnecessary if-

(A) the standards proposed by the Administrator are promulgated in final form without modification, and

(B) the Commission's requirements are modified to conform to

such standards.

Such suspension shall terminate on the earlier of April 1, 1984 or the

date on which the Commission amends the October 3 regulations to

conform to final standards promulgated by the Administrator under

subsection b. During the period of such suspension, the Commission

shall continue to regulate byproduct material (as defined in section

I le.(2)) under this Act on a licensee-by-licensee basis as the

Commission deems necessary to protect public health, safety, and the

environment.

(3) Not later than 6 months after the date on which the

Administrator promulgates final standards pursuant to subsection b.

of this section, the Commission shall, after notice and opportunity for

public comment, amend the October 3 regulations, and adopt such

modifications, as the Commission deems necessary to conform to

such final standards of the Administrator.

42 USC 2114. (4) Nothing in this subsection may be construed as affecting the

authority or responsibility of the Commission under section 84 to

promulgate regulations to protect the public health and safety and the

environment.

Remedial (b)(1) Section 108(a) of the Uranium Mill Tailings Radiation Control

action. Act of 1978 is amended by adding the following new paragraph at the

42 USC 7918. end thereof:

(3) Notwithstanding paragraphs (1) and (2) of this subsection,

after October 31, 1982, if the Administrator has not promulgated

standards under section 275 a. of the Atomic Energy Act of 1954 in

final form by such date, remedial action taken by the Secretary under

this Title shall comply with the standards proposed by the

Administrator under such section 275 a. until such time as the

Administrator promulgates the standards in final form.
760 NRC Authorizations Act, FY 1982-1983 (P.L. 97-415)

(2) The second sentence of section 108(a)(2) of the Uranium Mill

tailings Radiation Control Act of 1978 is repealed.

Sec. 19. Agreement States

42 USC 2014. (a) Section 274o. of the Atomic Energy Act of 1954 is amended by

42 USC 2021. adding the following at the end thereof: "In adopting requirements

pursuant to paragraph (2) of this subsection with respect to sites at which

ores are processed primarily for their source material content or which

are used for the disposal of byproduct material as defined in section

I le.(2), the State may adopt alternatives (including, where appropriate,

site-specific alternatives) to the requirements adopted and enforced by

the Commission for the same purpose if, after notice and opportunity for

public hearing, the Commission determines that such alternatives will

achieve a level of stabilization and containment of the sites concerned,

and a level of protection for public health, safety, and the environment

from radiological and nonradiological hazards associated with such sites,

which is equivalent to, to the extent practicable, or more stringent than

the level which would be achieved by standards and requirements

adopted and enforced by the Commission for the same purpose and any

final standards promulgated by the Administrator of the Environmental

Protection Agency in accordance with section 275. Such alternative State

requirements may take into account local or regional conditions,

including geology, topography, hydrology and meteorology.

42 USC 2021 (b) Section 204(h)(3) of the Uranium Mill Tailings Radiation Control

note. Act of 1978 is amended by inserting the following before the period at

42 USC 2021 the end thereof: Provided, however, That, in the case of a State which has

exercised any authority under State law pursuant to an agreement entered

into under section 274 of the Atomic Energy Act of 1954, the State

authority over such byproduct material may be terminated, and the

Commission authority over such material may be exercised, only after

compliance by the Commission with the same procedures as are

applicable in the case of termination of agreements under section 274j. of

the Atomic Energy Act of 1954.

Sec. 20. Amendment To Section 84

42 USC 2014. Section 84 of the Atomic Energy Act of 1954 is amended by adding

the following at the end thereof:

42 USC 2114. c. In the case of sites at which ores are processed primarily for their

Alternative source material content or which are used for the disposal of byproduct

proposals by material as defined in section 1 le.(2), a licensee may propose alternatives

to specific requirements adopted and enforced by the Commission under

this Act. Such alternative proposals may take into account local or

regional conditions, including geology, topography, hydrology and

meteorology. The Commission may treat such alternatives as satisfying

42 tJSC 2022. Commission requirements if the Commission determines that such

alternatives will achieve a level of stabilization and containment of the

sites concerned, and a level of protection for public health, safety, and the

environment from radiological and nonradiological hazards associated

with such sites, which is equivalent to, to the extent practicable, or more

stringent than the level which would be achieved by standards and

requirements adopted and enforced by the Commission for the same

purpose and any final standards promulgated by the Administrator of the

Environmental Protection Agency in accordance with section 275.

Sec. 21. Edgemont 42 USC 7912. Section 102(e) of the Uranium Mill Tailings Radiation Control Act of

1978 is amended by adding the following at the end thereof:
NRC Authorizations Act, FY 1982-1983 (P.L. 97-415) 761

42 USC 7911. (3) the Secretary shall designate as a processing site within the

meaning of section 101(6) any real property, or improvements

thereon, in Edgemont, South Dakota, that-

(A) is in the vicinity of the Tennessee Valley Authority

uranium mill site at Edgemont (but not including such site), and

(B) is determined by the Secretary to be contaminated with

residual radioactive materials.

42 USC 7917. In making the designation under this paragraph, the Secretary shall

consult with the Administrator, the Commission and the State of South

Dakota. The provisions of this Title shall apply to the site so designated

in the same manner and to the same extent as to the sites designated

under subsection (a) except that, in applying such provisions to such site,

any reference in this Title to the date of the enactment of this Act shall be

treated as a reference to the date of the enactment of this paragraph and

in determining the State share under section 107 of the costs of remedial

action, there shall be credited to the State, expenditures made by the State

prior to the date of the enactment of this paragraph which the Secretary

determines would have been made by the State or the United States in

carryin out the requirements of this Title.

Sec. 22. Additional Amendments To Sections 84 And 275

42 USC 2114. (a) Section 84a.(1) of the Atomic Energy Act of 1954 is amended by

inserting before the comma at the end thereof the following: ", taking

into account the risk to the public health, safety, and the environment,

with due consideration of the economic costs and such other factors as

the Commission determines to be appropriate,".

(b) Section 275 of the Atomic Energy Act of 1954 is amended-

(I) in subsection a., by inserting after the second sentence thereof

the following new sentence: "In establishing such standards, the

Administrator shall consider the risk to the public health, safety, and

the environment, the environmental and economic costs of applying

such standards, and such other factors as the Administrator

determines to be appropriate."; and

(2) by adding at the end of subsection b. (I) the following new

sentence: "In establishing such standards, the Administrator shall

consider the risk to the public health, safety, and the environment, the

environmental and economic costs of applying such standards, and

such other factors as the Administrator determines to be appropriate."

42 USC 2210b Sec. 23. Uranium Supply

note. (a)(l) Not later than 12 months after the date of enactment of this

Comprehensive section, the President shall prepare and submit to the Congress a

industry comprehensive review of the status of the domestic uranium mining and

review, milling industry. This review shall be made available to the appropriate

submittal to committees of the United States Senate and the House of

Congress. Representatives.

(2) The Comprehensive review prepared for submission under

paragraph (I) shall include-

(A) projections of uranium requirements and inventories of

domestic utilities;

(B) present and future projected uranium production by the

domestic mining and milling industry;

(C) the present and future probable penetration of the domestic

market by foreign imports:

(D) the size of domestic and foreign ore reserves;

(E) present and projected domestic uranium exploration

expenditures and plans;
762 NRC Authorizations Act, FY 1982-1983 (P.L. 97-415)

(F) present and projected employment and capital investment

in the uranium industry;

(G) an estimate of the level of domestic uranium production

necessary to ensure the viable existence of a domestic uranium

industry and protection of national security interests'

(H) an estimate of the percentage of domestic uranium

demand which must be met by domestic uranium production

through the year 2000 in order to ensure the level of domestic

production estimated to be necessary under subparagraph (G);

(1) a projection of domestic uranium production and uranium

price levels which will be in effect both under current policy and

in the event that foreign import restrictions were enacted by

Congress in order to guarantee domestic production at the level

estimated to be necessary under subparagraph (G);

(J) the anticipated effect of spent nuclear fuel reprocessing on

the demand for uranium; and

(K) other information relevant to the consideration of

restrictions on the importation of source material and special

nuclear material from foreign sources.

(b)(I) Chapter 14 of the Atomic Energy Act of 1954 is amended by

adding the following new section at the end thereof:

42 USC 2210b. See. 170B. Uranium Supply a. The Secretary of Energy shall monitor and for the years 1983 to

42 USC 223 1. 1992 report annually to the Congress and to the President a determination

Report to of the viability of the domestic uranium mining and milling industry and

Congress and shall establish by rule, after public notice and in accordance with the

President. requirements of section l81 of this Act, within 9 months of enactment of

this section, specific criteria which shall be assessed in the annual reports

on the domestic uranium industry's viability. The Secretary of Energy is

Regulations. authorized to issue regulations providing for the collection of such

information as the Secretary of Energy deems necessary to carry out the

monitoring and reporting requirements of this section.

Proprietary b. Upon a satisfactory showing to the Secretary of Energy by any

intlorniation, person that any information, or portion thereof obtained under this

disclosure. section, would, if made public, divulge proprietary information of such

person, the Secretary shall not disclose such information and disclosure

thereof shall be punishable under section 1905 of Title 18, United States

Code.

Criteria. c. The criteria referred to in subsection a. shall also include, but not

be limited to-

(]) an assessment of whether executed contracts or options for

source material or special nuclear material will result in greater than

371 2 percent of actual or projected domestic uranium requirements

for any two-consecutive-year period being supplied by source

material or special nuclear material from foreign sources;

(2) projections of uranium requirements and inventories of

domestic utilities for a 10 year period;

(3) present and probable future use of the domestic market by

foreign imports;

(4) whether domestic economic reserves can supply all future

needs for a future 10 year period;

(5) present and projected domestic uranium exploration

expenditures and plans;

(6) present and projected employment and capital investment in

the uranium industry;
NRC Authorizations Act. FY 1982-1983 (P.L. 97-415) 763

(7) the level of domestic uranium production capacity sufficient to

meet projected domestic nuclear power needs for a 10 year period;

and

(8) a projection of domestic uranium production and uranium

price levels which will be in effect under various assumptions with

respect to imports.

Imported d. The Secretary of Energy, at any time, may determine on the basis

material, of the monitoring and annual reports required under this section that

impact on source material or special nuclear material from foreign sources is being

domestic imported in such increased quantities as to be a substantial cause of

industry and serious injury, or threat thereof, to the United States uranium mining and

national milling industry. Based on that determination, the United States Trade

security. Representative shall request that the United States International Trade

Commission initiate an investigation under section 201 of the Trade Act

of 1974 (19 USC 2251).

e. (I) If, during the period 1982 to 1992, the Secretary of Energy

determines that executed contracts or options for source material or

special nuclear material from foreign sources for use in utilization

facilities within or under the jurisdiction of the United States represent

greater than 37-1/2 percent of actual or projected domestic uranium

requirements for any two-consecutive-year period, or if the Secretary of

Energy shall request the Secretary of Commerce to initiate under section

232 of the Trade Expansion Act of 1962 (19 USC 1862) an investigation

to determine the effects on the national security of imports of source

material and special nuclear material. The Secretary of Energy shall

cooperate fully with the Secretary of Commerce in carrying out such an

investigation and shall make available to the Secretary of Commerce he

findings that lead to this request an such other information that will assist

the Secretary of Commerce in the conduct of the investigation.

Investigations. (2) The Secretary of Commerce shall, in the conduct of any

investigation requested by the Secretary of Energy pursuant to this

section, take into account any information made available by the

Secretary of Energy, including information regarding the impact on

national security of projected or executed contracts or options for

source material or special nuclear material from foreign sources or whether domestic production capacity is sufficient to supply

projected national security requirements.

(3) No sooner than 3 years following completion of any investigation

by the Secretary of Commerce under paragraph (1), if no

recommendation has been made pursuant to such study for trade

adjustments to assist or protect domestic uranium production, the

Secretary of Energy may initiate a request for another such investigation

by the Secretary of Commerce.
764 NRC Authorizations Act, FY 1980 (P.L. 96-295)

C. NRC AUTHORIZATION ACT FOR FISCAL YEAR 1980

Public Law 96-295 94 Stat. 780

June 30, 1980

An Act

To authorize appropriations to the Nuclear Regulatory Commission in

accordance with section 261 of the Atomic Energy Act of 1954, as

amended, and section 305 of the Energy Reorganization Act of 1974,

as amended, and for other purposes.

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

Regulatory United States of America in Congress assembled,

Conmmission.

Title I-Authorization Of Appropriations For Fiscal Year 1980

Appropriation Sec. 101. (a) There is hereby authorized to be appropriated to the

authorization, Nuclear Regulatory Commission in accordance with the provisions of

section 261 of the Atomic Energy Act of 1954 (42 USC 2017) and

section 305 of the Energy Reorganization Act of 1974 (42 USC 5875),

for the fiscal year 1980, the sum of $426,821,000, to remain available

until expended. Of such total amount authorized to be appropriated:

(I) not more than $66,510,000, may be used for "Nuclear Reactor

Regulation", of which an amount not to exceed $1,000,000 is

authorized to accelerate the effort in gas-cooled thermal reactor

preapplication review;

(2) not more than $42,440,000, may be used for "Inspection and

Enforcement"; of the total amount appropriated for this purpose

$4,684,000 shall be available for support for 146 additional inspectors

for the Resident Inspector program;

(3) not more than $15,953,000, may be used for "Standards

Development";

(4) not more than $32,380,000, may be used for "Nuclear Material

Safety and Safeguards"; of the total amount appropriated for this

purpose-

(A) not less than $60,000 shall be available only for the

employment by the Commission of two qualified individuals to be

assigned by the Commission for implementation of the United

States International Atomic Energy Agency Safeguards Treaty,

following ratification of such treaty by the United States Senate;

(B) not less than $180,000 and six additional positions shall be

included in the Division of Safeguards for the regulatory

improvements of material control and accounting safeguards and

the development of improved regulatory requirements for

safeguarding the transportation of spent fuel; and

(C) not less than $9,675,000 shall be available for Nuclear

Waste Disposal and Management activities, including support for

five additional positions in the Division of Waste Management for

implementation of the Uranium Mill Tailings Radiation Control

Act of 1978 (Public Law 95-604; 42 USC 7901 and following);

(5) not more than $213,005,000, may be used for "Nuclear

Regulatory Research", of which-

(A) an amount not to exceed $3,700,000 shall be available to

accelerate the effort in gas-cooled thermal reactor safety research;

(B) an amount not to exceed $4,400,000 shall be available for

implementation of the Improved Safety Systems Research plan
NRC Authorizations Act, FY 1980 (P.L. 96-295) 765

required by section 205(f) of the Energy Reorganization Act of

1974.

42 USC 5845. (C) an amount not to exceed $6,700,000 shall be available for

Nuclear Waste Research activities;

(6) not more than $18,125,000, may be used for "Program

Technical Support"; of the total amount appropriated for this purpose,

$4,238,000 shall be available to the Office of State Programs,

including support for eight additional positions for training and

assistance to State and local governments in radiological emergency

response planning and operations and for review of State plans; and

(7) not more than $38,408,000 may be used for "Program

Direction and Administration"; of the total amount appropriated for

this purpose, $400,000 shall be available for support of eight

additional positions in the Division of contracts, Office of

Administration.

(b) No amount appropriated to the Nuclear Regulatory Commission

pursuant to subsection (a) may be used for any purpose in excess of the

amount expressly authorized to be appropriated therefore by paragraphs

(1) through (7) of such subsection if such excess amount is greater than

$500,000, nor may the amount available from any appropriation for any

purpose specified in such paragraphs be reduced by more than $500,000,

unless-

(1) a period of 45 calendar days (not including any day in which

either House of Congress is not in session because of an adjournment

of more than 3 calendar days to a day certain or an adjournment sine

die) has passed after the receipt by the Committee on Interstate and

Foreign Commerce and the Committee on Interior and Insular Affairs

of the House of representatives and the Committee on Environment

and Public works of the Senate of notice given by the Commission

containing a full and complete statement of the action proposed to be

taken and the facts and circumstances relied upon in support of such

proposed action, or

(2) each such Committee has, before the expiration of such

period, transmitted to the Commission a written notification that there

is no objection to the proposed action.

(c) No amount authorized to appropriated by this Act may be used by

the Nuclear Regulatory Commission to enter into any contract providing

funds in excess of $50,000 encompassing research, study, or technical

assistance on domestic safeguards matters except as directed by the

Commission, by majority vote, following receipt by the Commission of a

recommendation from the Executive Director for Operations supporting

the need for such contract.

(d) No amount authorized to be appropriated by this Act may be used

by the Nuclear Regulatory Commission to-

(I) place any new work or substantial modification to existing

work with another Federal agency, or

(2) contract for research services or modify such contract in an

amount greater than $500,000 unless such placement of work,

contract or modification is approved by a Senior Contract Review

Board, to be appointed by the Commission within sixty days of the

date of enactment of this Act. Such Board shall be accountable to and

under the direction of the' Commission. If the amount of such

placement, contract, or modification is $1,000,000 or more, approval

thereof shall be by majority vote of the Commission. Prior to

affording any approval in accordance with the subsection, the
766 NRC Authorizations Act, FY 1980 (P.L. 96-295)

reviewing body designated hereunder shall determine that the

placement, contract, or modification contains a detailed description of

work to be performed, and that alternative methods of obtaining

performance including competitive procurement have been

considered.

See. 102. During the fiscal year 1980, moneys received by the

Nuclear Regulatory Commission for the cooperative nuclear research

programs may be retained and used for salaries and expenses associated

with those programs, notwithstanding the provisions of section 3617 of

the Revised Statutes (31 USC 484). Such moneys shall remain available

until expended.

Transfers of Sec. 103. During the fiscal year 1980, transfers of sums from salaries sums. and expenses of the Nuclear Regulatory Commission may be made to

other agencies of the United States Government for the performance of

the work for which the appropriation is made, and in such cases of the

sums to transferred may be merged with the appropriation to which

transferred.

See. 104. Notwithstanding any other provision of this Act, no authority to make payments hereunder shall be effective except to such

extent or in such amounts as are provided in advance in appropriation

Acts.

Sec. 105. No amount authorized to be appropriated pursuant to this

Act may be used to grant any license, permit or other authorization, or

permission to any person for the transportation to, or the interim, longterm, or permanent storage of, spent nuclear fuel or high-level

I radioactive waste on any territory or insular possession of the United

States or the Trust Territory of the Pacific Islands unless-

(1) the President submits to the Congress a report on the transfer

at least 30 days before such transfer and on a day during which-

(A) both Houses of the Congress are in session, or

(B) either or both Houses are not in session because of an

adjournment of three days or less to a day certain; or (2) the President determines that an emergency situation exists

with respect to such transfer and that it is in the national interest to

make such transfer and the President notifies the Speaker of the

House of Representatives and the President of the Senate as soon as

possible of such transfer.

The provisions of this section shall not apply to the cleanup and

rehabilitation of Bikini and Eniwetok Atolls.

42 USC 2133. Sec. 106. Of the amounts authorized to be appropriated pursuant to

42 USC 2134. this Act, the Nuclear Regulatory Commission is authorized and directed

to use such sums as may be necessary to develop a plan for agency

response to accidents at a utilization facility licensed under section 103 or section 104(b) of the Atomic Energy Act of 1954. The plan required to

be developed by this section shall be forwarded to the Congress on or

before September 30, 1980.

Sec. 107. No funds appropriated pursuant to this Act may be used for

the purpose of providing for the licensing or approval of any disposal of

nuclear wastes in the oceans.

Regulations. Sec. 108 (a) Of the amounts authorized to be appropriated pursuant to

this Act, the Nuclear Regulatory Commission is authorized and directed

to use such sums as may be necessary to develop and promulgate

regulations establishing demographic requirements for the siting of Nofice and utilization facilities. Such regulations shall be promulgated by the

hearing. Commission after notice and opportunity for hearing in accordance with
NRC Authorizations Act- FY 1980 (P.L. 96-295) 767

Utilization

l4Ucilit 3.

42 USC 2133.

42 USC 2134.

Accidental

release.

Infornation and

recomimendations.

section 553 of Title 5 of the United States Code. For purposes of this

section, the term "utilization facility" means a facility licensed under

section 103 or 104(b) of the Atomic Energy Act of 1954.

(b) The regulations promulgated pursuant to this section shall provide

that no construction permit may be issued for a utilization facility to

which this section applies after the date of such promulgation unless the

facility complies with the requirements set forth in such regulations,

except that regulations promulgated under this section shall not apply to

any facility for which an application for a construction permit was filed

on or before October I, 1979.

(c) The regulations promulgated pursuant to this section shall specify

demographic criteria for facility siting, including maximum population

density and population distribution for zones surrounding the facility

without regard to any design, engineering, or other differences among

such facilities.

(d) The regulations promulgated pursuant to this section shall take into

account the feasibility of all actions outside the facility which may be

necessary to protect public health and safety in the event of any

accidental release of radioactive material from the facility which may

endanger public health or safety. For purposes of this subsection, the

term "accidental release" includes, but is not limited to, each potential

accidental release of radioactive material which is required by the

Commission to be taken into account for purposes of facility design.

(e) The Commission shall provide information and recommendations

to State and local land use planning authorities having jurisdiction over

the zones established under the regulations promulgated pursuant to this

section and over areas beyond the zones which may be affected by a

radiological emergency. The information and recommendations provided

under this subsection shall be designed to assist such authorities in

making State and local land use decisions which may affect emergency

planning in relation to utilization facilities.

(0 Nothing in this section shall be construed to provide that the

Commission shall have any authority to preempt any State requirement

relating to land use or respecting the siting of any utilization facility,

except that no State or local land use or facility siting requirement

relating to the same aspect of facility siting as a requirement established

pursuant to this section shall have any force and effort unless such State

or local requirement is identical to, or more stringent than, the

requirement promulgated pursuant to this section.

Sec. 109. (a) Funds authorized to be appropriated pursuant to this

Act may be used by the Nuclear Regulatory Commission to conduct

proceedings, and take other actions, with respect to the issuance of an

operating license for a utilization facility only if the Commission

determines that-

(I) there exists a State or local emergency preparedness plan

which-

(A) provides for responding to accidents at the facility

concerned, and

(B) as it applies to the facility concerned only, complies with

the Commission's guidelines for such plans, or

(2) in the absence of a plan which satisfies the requirements of

paragraph (1), there exists a State, local, or utility plan which

provides reasonable assurance that public health and safety is not

endangered by operation of the facility concerned.
768 NRC Authorizations Act, FY 1980 (P.L. 96-295)

A determination by the Commission under paragraph (I) may be made

only in consultation with the Director of the Federal Emergency

Management Agency. If, in any proceeding for the issuance of an

operating license for a utilization facility to which this subsection

applies, the Commission determines that there exists a reasonable

assurance that public health and safety is endangered by operation of the

facility , the Commission shall identify the risk to public health and

safety and provide the applicant with a detailed statement of the reasons

for such

Utilization determination. For purposes of this section, the term "utilization facility"

facility, means a facility required to be licensed under section 103 or 104(b) of

the Atomic Energy Act of 1954.

42 USC 2133, (b) Of the amounts authorized to be appropriated under section

42 USC 2134. 101(a), such sums as may be necessary shall be used by the Nuclear

Regulatory Commission toRules. (I ) establish by rule-

(A) standards for State radiological emergency response plans,

developed in consultation with the Director of the Federal

Emergency Management Agency, and other appropriate agencies,

which provide for the response to a radiological emergency

involving any utilization facility,

(B) a requirement that-

(i) the Commission will issue operating licenses for

utilization facilities only if the Commission determines that-

(I) there exists a State or local radiological emergency

response plan which provides for responding to any

radiological emergency at the facility concerned and which

complies with the Commission's standards for such plans

under subparagraph (A), or

(II) in the absence of a plan which satisfies the

requirements of subclause (1), there exists a State, local, or

utility plan which provides reasonable assurance that

public health and safety is not endangered by operation of

the facility concerned, and

(ii) any determination by the Commission under subclause

(1) may be made only in consultation with the Director of the

Federal Emergency Management Agency and other

appropriate agencies, and

(C) a mechanism to encourage and assist States to comply as

expeditiously as practicable with the standards promulgated under

subparagraph (A) of this paragraph,

Review of (2) review all plans and other preparations respecting such an

plans. emergency which have been made by each State in which there is

located a utilization facility or in which construction of such a facility

has been commenced and by each State which may be affected (as

determined by the Commission) by any such emergency,

Report to (3) assess the adequacy of the plans and other preparations

congressional reviewed under paragraph (2) and the ability of the States involved to

conmittees. carry out emergency evacuations during an emergency referred to in

paragraph (I) and submit a report of such assessment to the

appropriate committees of the Congress within 6 months of the date

of the enactment of this Act.

(4) identify which, if any, of the States described in paragraph (2)

do not have adequate plans and preparations for such an emergency

and notify the Governor and other appropriate authorities in each
NRC Authorizations Act. FY 1980 (P.L. 96-295) 769

such State of the respects in which such plans and preparations, if

any, do not conform to the guidelines promulgated under paragraph

(1), and

(5) submit a report to Congress containing (A) the results of its

actions under preceding paragraphs and (B) its recommendations

respecting any additional Federal statutory authority which the

Commission deems necessary to provide that adequate plans and

preparations for such radiological emergencies are in effect for each

State described in paragraph (2).

(c) In carrying out its review and assessment under subsection (b)(2)

and (3) and in submitting its report under subsection (a)(5), the

Commission shall include a review and assessment, with respect to each

utilization facility and each site for which a construction permit has been

issued for such a facility, of the emergency response capability of State

and local authorities and of the owner or operator (or proposed owner or

operator) of such facility. Such review and assessment shall include a

determination by the Commission of the maximum zone in the vicinity of

each such facility for which evacuation of individuals is feasible at

various different times corresponding to the representative warning times

for various different types of accidents.

42 USC 2133. See. 110. (a) Of the amounts authorized to be appropriated pursuant

42 USC 2134. to section 101(a), such sums as may be necessary shall be used by the

Nuclear Regulatory Commission to develop, submit to the Congress, and

implement, as soon as practicable after notice and opportunity for public

comment, a comprehensive plan for the systematic safety evaluation of

all currently operating utilization facilities required to be licensed under

section 103 or section 104(b) of the Atomic Energy Act of 1954.

(b) The plan referred to in subsection (a) shall include-

(I) the identification of each current rule and regulation

compliance with which the Commission specifically determines to be

of particular significance to the protection of the public health and

safety;

(2) a determination by the Commission of the extent to which

each operating facility complies with each rule and regulation

identified under paragraph (2) of this subsection, including an

indication of where such compliance was achieved by use of

Division I regulatory guides and staff technical positions and where

compliance was achieved by equivalent means;

(3) a list of the generic safety issues set forth in NUREG 0410

(including categories A, B, C, and D) for which technical solutions

have been developed;

(4) a determination by the Commission of which technical

solutions for generic safety issues identified in paragraph (3) of this

subsection should be incorporated into the Commission's rules and

regulations; and

(5) a schedule for developing a technical solution to those generic

safety issues listed in NUREG 0410 which have not yet been

technically resolved.

(c) Not later than 90 days from the date of enactment of this Act, the

Commission shall report to the Congress on the status of efforts to carry

out subsection (a).
770 NRC Authorizations Act, FY 1980 (P.L. 96-295)

Title It-Amendments To The Atomic Energy Act Of 1954

42 USC 2133. See. 201. (a) Section 103 of the Atomic Energy Act of 1954 is

amended by adding at the end thereof the following new subsection:

42 USC 2134. f. Each license issued for a utilization facility under this section or

section 104b. shall require as a condition thereof that in case of any

accident which could result in an unplanned release of quantities of

fission products in excess of allowable limits for normal operation

established by the Commission, the licensee shall immediately so notify

the Commission. Violation of the condition prescribed by this subsection

may, in the Commission's discretion, constitute grounds for license

42 USC 2237. revocation. In accordance with section 187 of this Act, the Commission

shall promptly amend each license for a utilization facility issued under

this section or section 104b. which is in effect on the date of enactment of

this subsection to include the provisions required under this subsection.

Sec. 202 (a) Chapter 18 of the Atomic Energy Act of 1954 is

amended by adding the following new section at the end thereof:

42 USC 2283. Sec. 235. Protection of Nuclear Inspectors.-

a. Whoever kills any person who performs any inspections which-

(1) are related to any activity or facility licensed by the

Commission, and

42 UJSC 2133. (2) are carried out to satisfy requirements under this Act or under

42 uSC 2134. any other Federal law governing the safety of utilization facilities

required to be licensed under section 103 or 104b., or the safety of

radioactive materials, shall be punished as provided under section

1111 and 1112 of Title 18, United States Code. The preceding

sentence shall be applicable only if such person is killed while

engaged in the performance of such inspection duties or on account of

the performance of such duties.

b. Whoever forcibly assaults, resists, opposes, impedes, intimidates,

or interferes with any person who performs inspections as described

under subsection a. of this section, while such person is engaged in such

inspection duties or on account of the performance of such duties, shall

be punished as provided under section I11 of Title 18, United States

Code.

(b) The table of contents for Chapter 18 of the Atomic Energy Act of

1954 is amended by adding the following new item at the end thereof:

Sec. 235. Protection of nuclear inspectors.

42 U.JSC 2273. See. 203. Section 223 of the Atomic Energy Act of 1954 is amended

by striking out "Whoever" and substituting: "a. Whoever"

and by adding at the end thereof the following:

b. Any individual director, officer, or employee of a firm constructing,

or supplying the components of any utilization facility required to be

licensed under section 103 or 104 b. of this Act who by act or omission,

in connection with such construction or supply, knowingly and willfully

violates or causes to be violated, any section of this Act, any rule,

regulation, or order issued thereunder, or any license condition, which

violation results, or if undetected could have resulted, in a significant

impairment of a basic component of such a facility shall, upon

conviction, be subject to a fine of not more than $25,000 for each day of

violation, or to imprisonment not to exceed two years, or both. If the

conviction is for a violation committed after a first conviction under this

subsection, punishment shall be a fine of not more than $50,000 per day

of violation, or imprisonment for not more than two years, or both.
NRC Authorizations Act, FY 1980 (P.L. 96-295) 771

Basic For the purposes of this subsection, the term 'basic component' means a

component. facility structure, system, component or part thereof necessary to assure-

(1) the integrity of the reactor coolant pressure boundary,

(2) the capability to shut-down the facility and maintain it in a

safe shut-down condition, or

(3) the capability to prevent or mitigate the consequences of

accidents which could result in an unplanned offsite release of

quantities of fission products in excess of the limits established by the

Commission.

42 USC 2133. The provisions of this subsection shall be prominently posted at each site

42 tJSC 2134. where a utilization facility required to be licensed under section 103 or

104b. of this Act is under construction and on the premises of each plant

where components for such a facility are fabricated.

42 USC 2284. Sec. 204. (a) The Atomic Energy Act of 1954 is amended by adding

the following new section after section 234:

Sec. 236. Sabotage of Nuclear Facilities or Fuel.-

Any person who intentionally and willfully destroys or causes

physical damage to, or who intentionally and willfully attempts to

destroy or cause physical damage to-

(1) any production facility or utilization facility licensed under

this Act,

(2) any nuclear waste storage facility licensed under this Act,

(3) any nuclear fuel for such a utilization facility, or any spent

nuclear fuel from such a facility,

shall be fined not more than $10,000 or imprisoned for not more than

ten years, or both.

(b) The table of contents for such Act is amended by inserting the

following new item after the item relating to section 234:

Sec. 236. Sabotage of nuclear facilities or fuel.

42USC 2021. See. 205. Section 274j. of the Atomic Energy Act of 1954 is amended

by inserting "(I)" after "j." and by adding the following at the end

thereof.

(2) The Commission, upon its own motion or upon request of the

Governor of any State, may, after notifying the Governor, temporarily

suspend all or part of its agreement with the State without notice or

hearing if, in the judgment of the Commission:

(A) an emergency situation exists with respect to any material

covered by such an agreement creating danger which requires

immediate action to protect the health or safety of persons either

within or outside the State, and

(B) the State has failed to take steps necessary to contain or

eliminate the cause of the danger within a reasonable time after

the situation arose.

A temporary suspension under this paragraph shall remain in effect

only for such time as the emergency situation exists and shall authorize

the Commission to exercise its authority only to the extent necessary to

contain or eliminate the danger.

42 USC 2282. Sec. 206, The first sentence of section 234a. of the Atomic Energy

Act of 1954 is amended by striking all that follows "exceed" the first

time it appears and inserting in lieu thereof the following: $100,000 for

each such violation.

See. 207 (a)(l) The Atomic Energy Act of 1954 is amended by

inserting the following new section immediately after section 146:
772 NRC Authorizations Act, FY 1980 (P.L. 96-295)

42 USC 2167. Sec. 147. Safeguards Information.-

Regulations. a. In addition to any other authority or requirement regarding

protection from disclosure of information, and subject to subsection

(b)(3) of section 552 of Title 5 of the United States Code, the

Commission shall prescribe such regulations, after notice and

opportunity for public comment, or issue such orders, as necessary to

prohibit the unauthorized disclosure of safeguards information which

specifically identifies a licensee's or applicant's detailed-

(1) control and accounting procedures or security measures (including security plans, procedures, and equipment) for the physical

protection of special nuclear material, by whomever possessed,

whether in transit or at fixed sites, in quantities determined by the

Commission to be significant to the public health and safety or the

common defense and security;

(2) security measures (including security plans, procedures, and

equipment) for the physical protection of source material or

byproduct material, by whomever possessed, whether in transit or at

fixed sites, in quantities determined by the Commission to be

significant to the public health and safety or the common defense and

security; or (3) security measures (including security plans, procedures, and

equipment) for the physical protection of and the location of certain

plant equipment vital to the safety of production or utilization

facilities involving nuclear materials covered by paragraphs (I) and

(2)

if the unauthorized disclosure of such information could reasonably be

expected to have a significant adverse effect on the health and safety of

the public or the common defense and security by significantly

increasing the likelihood of theft, diversion, or sabotage of such material

or such facility. The Commission shall exercise the authority of this

subsection-(A) so as to apply the minimum restrictions needed to protect

the health and safety of the public or the common defense and

security, and

(B) upon a determination that the unauthorized disclosure of

such information could reasonably be expected to have a

significant adverse effect on the health and safety of the public or the common defense and security by significantly increasing the

likelihood of theft, diversion, or sabotage of such material or such

facility.

Nothing in this Act shall authorize the Commission to prohibit the public

disclosure of information pertaining to the routes and quantities of

shipments of source material, by-product material, high level nuclear

42 tJSC 2282. waste, or irradiated nuclear reactor fuel. Any person, whether or not a licensee of the Commission, who violates any regulation adopted under

this section shall be subject to the civil monetary penalties of section 234

of this Act. Nothing in this section shall be construed to authorize the

withholding of information from the duly authorized committees of the

Congress.

42 USC 2273. b. For the purposes of section 223 of this Act, any regulations or

orders prescribed or issued by the Commission under this section shall

also be deemed to be prescribed or issued under section 161b. of this Act.

c. Any determination by the Commission concerning the

applicability of this section shall be subject to judicial review pursuant to

sub-section (a)(4)(B) of section 552 of Title 5 of the United States Code.
NRC Authorizations Act. FY 1980 (P.L. 96-295) 773

d. Upon prescribing or issuing any regulation or order under

subsection a. of this section, the Commission shall submit to Congress a

report that:

(1) specifically identifies the type of information the Commission

intends to protect from disclosure under the regulation or order,

(2) specifically states the Commission's justification for

determining that unauthorized disclosure of the information to be

protected from disclosure under the regulation or order could

reasonably be expected to have a significant adverse effect on the

health and safety of the public or the common defense and security by

significantly increasing the likelihood of theft, diversion, or sabotage

of such material or such facility, as specified under subsection (a) of

this section; and

(3) provides justification, including proposed alternative

regulations or orders, that the regulation or order applies only the

minimum restrictions needed to protect the health and safety of the

public or the common defense and security. e. In addition to the reports required under subsection d. of this

section, the Commission shall submit to Congress on a quarterly basis a

report detailing the Commission's application during that period of every

regulation or order prescribed or issued under this section. In particular,

the report shall:

(I) identify any information protected from disclosure pursuant to

such regulation or order;

(2) specifically state the Commission's justification for

determining that unauthorized disclosure of the information protected

from disclosure under such regulation or order could reasonably be

expected to have a significant adverse effect on the health and safety

of the public or the common defense and security by significantly

increasing the likelihood of theft, diversion or sabotage of such

material or such facility, as specified under subsection a. of this

section; and

(3) provide justification that the Commission has applied such

regulation or order so as to protect from disclosure only the minimum

amount of information necessary to protect the health and safety of

the public or the common defense and security.

(2) The table of contents for such Act is amended by inserting the

following new item after the item relating to section 146:

"Sec. 147. Safeguards Information."

42 USC 2231. (b) Section 181 of the Atomic Energy Act of 1954 is amended-

(I) by striking out "or defense information" the first time it

appears and substituting ", defense information, or safeguards

information protected from disclosure under the authority of section

147"; and

(2) by striking out "or defense information" in each other place it

appears in such section and substituting ", defense information, or

such safeguards information,".

Title !11- Other Provisions

42 USC 5841 Sec. 301. (a) The Nuclear Regulatory Commission, within 90 days

note. of enactment of this Act, shall promulgate regulations providing for

Regulations. timely notification to the Governor of any State prior to the transport of

State. nuclear waste, including spent nuclear fuel, to, through, or across the

boundaries of such State. Such notification requirement shall not apply
774 NRC Authorizations Act, FY 1980 (P.L. 96-295)

to nuclear waste in such quantities and of such types as the Commission

specifically determines do not pose a potentially significant hazard to the

health and safety of the public.

(b) As used in this section, the term "State" includes the several

States of the Union, the District of Columbia, the Commonwealth of

Puerto Rico, the Virgin Islands, Guam, American Samoa, the Trust

Territory of the Pacific Islands, and the Commonwealth of the Northern

Mariana Islands.

42 tISC 2016 Sec. 302. The Nuclear Regulatory Commission is authorized and

note. directed to enter into a contract for an independent review of the

Contract Commission's management structure, processes, procedures, and

authorization, operations. The review shall include an assessment of the effectiveness of

all levels of agency management in carrying out the Commission's

statutory responsibilities, in developing and implementing policies and

programs, and in using the personnel and funding available to it. The

Report. contract shall provide for submission of a report of the findings and

recommendations of the review to the Commission not later than one

year from the date of enactment of this Act, and the Commission shall

promptly transmit such report to the Congress.

42 USC 2016. Sec. 303. The Nuclear Regulatory Commission shall include in its

annual report to Congress under section 251 of the Atomic Energy Act of

1954 a statement of-

(]) the direct and indirect costs to the Commission for the

issuance of any license or permit and for the inspection of any

facility; and

(2) the fees paid to the Commission for the issuance of any license

or permit and for the inspection of any facility.

National Sec. 304. On or before September 30, 1980, the President shall

Contingency prepare and publish a National Contingency Plan to provide for

Plan, expeditious, efficient, and coordinated action by appropriate Federal

publication, agencies to protect the public health and safety in the case of accidents at

any utilization facility licensed under section 103 or 104b. of the Atomic

Energy Act of 1954.

42 UJSC 2133. Sec. 305. (a) As expeditiously as practicable, the Nuclear Regulatory

42 USC 2134. Commission shall establish a mechanism for instantaneous and

42 UJSC 5842 uninterrupted verbal communication between each utilization facility

note. licensed to operate under section 103 or 104b. of the Atomic Energy Act

of 1954 on the date of enactment of this Act, or thereafter, and

(1) Commission headquarters, and

(2) the appropriate Commission regional office.

Study, (b) Within ninety days after the date of the enactment of this Act, the

transmittal to Commission shall prepare and transmit to the Congress a study of

Congress. alternate plans for instantaneous and otherwise timely transmission to the

Commission of data indicating the status of principal system parameters

at utilization facilities licensed to operate under section 103 or section

104 b. of the Atomic Energy Act of 1954. For each alternative, the study

shall present procedures for transmitting and analyzing such data and a

Commission statement regarding the advantages, disadvantages and

desirability. Investigation Sec. 306. (a) The Nuclear Regulatory Commission is authorized

and study. and directed to undertake a comprehensive investigation and study of the

impediments to expeditious and reliable communication among

Commission headquarters, the Commission regional office, Commission

representatives at the facility site, senior management officials and

operator personnel of the licensee, and the Governor of Pennsylvania and
NRC Authorizations Act, FY 1980 (P.L. 96-295) 775

other State officials, in the thirty day period immediately following the

accident of March 28, 1979, at unit two of the Three Mile Island Nuclear

Station in Pennsylvania. Such investigation and study shall include, but

not. be limited to, a determination of the need for improved

communications procedures and the need for advanced communications

technology.

Plan, (b) The Commission shall report to the Congress by September 30,

development. 1980, on the findings of the investigation and study required by subReport to section (a), including recommendations on administrative or legislative

Congress. measures necessary to facilitate expeditious and reliable communications

in case of an accident which could result in an unplanned release of

quantities of fission products in excess of the allowable limits for normal

operation established by the Commission at a utilization facility licensed

under sect ion 103 or 104 b. of the Atomic Energy Act of 1954.

42 USC 2133. The Commission shall implement, as soon as practicable, each such

42 USC 2134. recommendation not requiring legislative enactment, and shall

incorporate the recommendation in the plan for agency response

promulgated pursuant to section 304 of this Act.

42 USC 2137 Sec. 307, (a) The Commission is authorized and directed to prepare

note. a plan for improving the technical capability of licensee personnel to

42 USC 2137. safely operate utilization facilities licensed under section 103 or 104 b. of

the Atomic Energy Act of 1954. In proposing such plan, the

Commission shall consider the feasibility of requiring standard

mandatory training programs for nuclear facility operators, including

classroom study, apprenticeships at the facility, and emergency simulator

training. Such plan shall include specific criteria for more intensive

training and retraining of operator personnel licensed under section 107

of the Atomic Energy Act of 1954, and for the licensing of such

personnel, to assure-

(I) conformity with all conditions and requirements of the

operating license;

(2) early identification of accidents, events, or event sequences

which may significantly increase the likelihood of an accident; and

(3) effective response to any such event or sequence. Such plan

shall include provision for Commission review and approval of the

qualifications of personnel conducting any required training and

retraining program. The plan shall also include requirements for the

renewal of operator licenses including, to the extent practicable,

requirements that the operator-

(A) has been actively and extensively engaged in the duties

listed in such license,

(B) has discharged such duties safely to the satisfaction of the

Commission,

(C) is capable of continuing such duties, and

(D) has participated in a requalification training program.

Plan, Such plan shall include criteria for suspending or revoking operator

transmittal to licenses. In addition, the Commission shall also consider the feasibility of

Congress. requiring such licensed operator to pass a requalification test every six

months including-

(i) written questions, and

(ii) emergency simulator exams. The Commission shall transmit to the Congress the plan required by this

subsection within six months after the date of the enactment o this Act,

and shall implement as expeditiously as practicable each element thereof

not requiring legislative enactment.
42 USC 2137.

Report to

Congress

Study.

42 USC 2051

notc.

42 USC 2051

note.

776 NRC Authorizations Act, FY 1980 (P.L. 96-295)

(b) The Nuclear Regulatory Commission is authorized and directed

to undertake a study of the feasibility and value of licensing, under

section 107 of the Atomic Energy Act of 1954, plant managers of

utilization facilities and senior licensee officers responsible for operation

of such facilities.

The Commission shall report to the Congress within six months of the

date of enactment of this Act on the findings and recommendations of the

study required by this subsection, and shall expeditiously implement each

such recommendation not requiring legislative enactment.

See. 308. (a) In the conduct of the study required by section 5(d) of

the Nuclear Regulatory Commission Authorization Act for Fiscal Year

1979 (Public Law 95-601), the Nuclear Regulatory Commission and the

Environmental Protection Agency, in consultation with the Secretary of

Health and Human Services, shall evaluate the feasibility of

epidemiological research on the health effects of low-level ionizing

radiation exposure to licensee, contractor, and subcontractor employees

as a result of-

(I) the accident of March 28, 1979, at unit two of the Three Mile

Island Nuclear Station in Pennsylvania;

(2) efforts to stabilize such facility or reduce or prevent

radioactive unplanned offsite releases in excess of allowable limits

for normal operation established by the Commission; or

(3) efforts to decontaminate, decommission, or repair such

facility.

The report required by such section 5(d) shall include the results of the

evaluation required under this subsection,

(b) Section 5(d) of the Nuclear Regulatory Commission

Authorization Act for Fiscal Year 1979 (Public Law 95-601), is amended

by striking "September 30, 1979" and inserting in lieu thereof

"September 30, 1980".
NRC Authorizations Act. FY 1979 (P.L. 95-60 1) 777

D. NRC AUTHORIZATION ACT FOR FISCAL YEAR 1979

Public Law 95-601 92 Stat. 2947

November 6, 1978

An Act

To authorize appropriations to the Nuclear Regulatory Commission for

fiscal year 1979, and for other purposes.

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

Regulatory United States of America in Congress assembled,

Commission.

Appropriation Sec. 1. (a) There is hereby authorized to be appropriated to the

authorization. Nuclear Regulatory Commission in accordance with the provisions of

1978. section 261 of the Atomic Energy Act of 1954, as amended (42 USC

2017), and section 305 of the Energy Reorganization Act of 1974, as

amended (42 USC 5875), for the fiscal year 1979, to remain available

until expended $333,007,000. Of such total amount authorized to be

appropriated:

(1) Not more than $47,162,000 may be used for "Nuclear Reactor

Regulation"; of the total amount appropriated for this purpose,

$2,080,000 shall be available for Advanced Reactors;

(2) Not more than $38,760,000 may be used for "Inspection and

Enforcement";

(3) Not more than $14,945,000 may be used for "Standards

Development"; of the total amount appropriated for this purpose, $650,000 shall be available for Low-Level Radiation activities,

including those described in section 5 of this Act;

(4) Not more than $27,240,000 may be used for "Nuclear

Material Safety and Safeguards"; of the total amount appropriated for

this purpose, $8,127,000 shall be available for Nuclear Waste

Disposal and Management activities;

42 USC 5845. (5) Not more than $163,470,000 may be used for "Nuclear

Regulatory Research"; of the total amount appropriated for this

purpose, $1,500,000 shall be available for the implementation of the

Improved Safety Systems Research plan required by section 205(f) of

the Energy Reorganization Act of 1974, as amended, $4,448,000 shall

be available for Nuclear Waste research activities, and $18,333,000

shall be available for Advanced Reactor Research, including an

authorization of $3,900,000 to accelerate the effort in gas-cooled

thermal reactor safety research.

(6) Not more than $13,480,000 may be used for "Program

Technical Support";

(7) Not more than $27,950,000 may be used for "Program

Direction and Administration"; of the total amount appropriated for

this purpose, $225,000 shall be available for equal employment

opportunity activities, including support of four positions in the

Office of Equal Employment Opportunity.

Safeguard (b)(1) Not more than $14,285,000 of the aggregate amount

research authorized to be appropriated under paragraphs (I) through (7) of

contracts, subsection (a) may be used for contracts encompassing research,

limitation, studies, and technical assistance on domestic safeguards matters.

(2) Of the aggregate amount authorized to be appropriated under

paragraphs (1) through (7) of subsection (a), $1,000,000 shall be

available for studies and analysis of alternative fuel cycles (including
778 NRC Authorizations Act, FY 1979 (P.L. 95-601)

studies and analysis relating to licensing and safety, safeguards, and

environmental aspects).

(c)( I) No amount appropriated pursuant to subsection (a) for

purposes of subparagraphs (I) through (7) of such subsection, may be

used for any function of the Commission in excess of the amount

expressly authorized to be appropriated for functions referred to in

such paragraphs, if such excess amount is in excess of $500,000, nor

may the amount available from any appropriation for any function

referred to in subparagraphs be reduced by more than $500,000

unless

(i) a period of thirty calendar days (not including any day in

which either House of Congress is not in session because of an

adjournment of more than three calendar days to a day certain or

an adjournment sine die) has passed after the receipt by the

Committee on Interstate and Foreign Commerce and the

Committee on Interior and Insular Affairs of the House of

Representatives and the Committee on Environment and Public

Works of the Senate of notice given by the Commission

containing a full and complete statement of the action proposed to

be taken and the facts and circumstances relied upon in support of

such proposed action, or

(ii) each such committee before the expiration of such period

has transmitted to the Commission, written notice stating in

substance that such committee has no objection to the proposed

action.

(2) Of the amounts authorized to be appropriated for the purposes

set forth in paragraphs (I) through (7) of subsection (a) of this

section, the amounts available for Advanced Reactors, Low-Level

Radiation, Nuclear Waste Disposal and Management, Improved

Safety Systems, Research, and Nuclear Waste Research, or that

specified in sub-section (b)(2) of this section for Alternative Fuel

Cycle activities shall not be reprogrammed, unless-

(i) a period of ninety calendar days (not including any day in

which either House of Congress is not in session because of an

adjournment of more than three calendar days to a day certain or

an adjournment sine die) has passed after the receipt by the

Committee on Interior and Insular Affairs and the Committee on

Interstate and Foreign Commerce of the House of representatives

and the Committee on Environment and Public Works of the

Senate of notice given by the Commission containing a full and

complete statement of the action proposed to be taken and the

facts and circumstances relied upon in support of such proposed

action, or

(ii) each such committee before the expiration of such period

has transmitted to the Commission, written notice stating in

substance that such committee has no objection to the proposed

action.

Safeguard (d) No amount authorized to be appropriated by this Act may be used

research by the Commission to enter into any contract, providing funds in excess

contracts, of $20,000 encompassing research, study, or technical assistance on limitation, domestic safeguards matters except as directed by the Commission, by

majority vote, following receipt by the Commission of a recommendation

from the Executive Director for Operations supporting the need for such

contract.
NRC Authorizations Act. FY 1979 (P.L. 95-60 1) 779

Sec. 2. Moneys received by the Commission for the cooperative

nuclear research programs may be retained and used for salaries and

expenses associated with those programs, notwithstanding the provisions

of section 3617 of the Revised Statutes (31 USC 484), and shall remain

available until expended.

Funds, See. 3. Transfers of sums from salaries and expenses may be made to

transfers, other agencies of the Government for the performance of the work for

which the appropriation is made, and in such cases the sums so

transferred may be merged with the appropriation to which transferred.

42 USC 5849. Sec. 4. (a) Subsection (b) of section 209 of the Energy

Reorganization Act of 1974, as amended, is amended by adding at the

end thereof the following sentence: "Notwithstanding the preceding

sentence, each such director shall keep the Executive Director fully and

currently informed concerning the content of all such direct

communications with the Commission."

Equal (b) Section 209 of the Energy Reorganization Act of 1974, as

employment amended, is amended by adding a new subsection (c) to read as follows

opportunity, and redesignating existing subsection (c) accordingly:

report. (c) The Executive Director shall report to the Commission at semiannual public meetings on the problems, progress, and status of the

Commission's equal employment opportunity efforts."

42 USC 2051 Sec. 5. (a) The Commission and the Environmental Protection

note. Agency in consultation with the Secretary of Health, Education, and

Radiation, Welfare, are authorized and directed to conduct preliminary planning and

health effects design studies for epidemiological research on the health effects of lowstudies. level ionizing radiation. In the conduct of such studies, the Commission

consultation. and the Environmental Protection Agency shall consult with appropriate

scientific organizations and Federal and State agencies.

Memorandum, (b) Within thirty days after the date of enactment of this section, the

submittal to Commission and the Environmental Protection Agency shall submit to

Congress. the Congress a memorandum of understanding to delineate their

responsibilities in the conduct of the planning studies authorized by

subsection (a) of this section.

Reports to (c) On or before April 1, 1979, the Commission and the

Congress, Environmental Protection Agency shall submit a report to the Congress

consultations, containing an assessment of the capabilities and research needs of such

agencies in the area of health effects of low-level ionizing radiation.

(d) On or before September 30, 1979, the Commission and the

Environmental Protection Agency, in consultation with the Secretary of

Health, Education, and Welfare, shall submit a report to the Congress

which includes a study of options for Federal epidemiological research

on the health effects of low-level ionizing radiations, with evaluations of

the feasibility of such options. Such report shall be consistent with the

findings of the assessment required by subsection (c) of this section.

(e) In carrying out the activities specified in subsections (c) and (d)

such agencies shall:

Cooperation. (i) cooperate with appropriate scientific organizations and

agencies involved in related research, and

(ii) furnish copies of the reports required by those subsections to

Copies* the organizations and agencies referred to in subsection (e)(i).

Annual status See. 6. Section 209 of the Energy Reorganization Act of 1974 is

report. amended by adding the following new subsection at the end thereof:

(d) The Executive Director shall prepare and forward to the

Commission an annual report (for the fiscal year 1978 and each

succeeding fiscal year) on the status of the Commission's programs
Report to

Congress.

42 USC 5841

note.

Review.

Report to

Congress.

42 USC 22 1Oa.

Disctosure

rules.

780 NRC Authorizations Act, FY 1979 (P.L. 95-601)

concerning domestic safeguards matters including an assessment of the

effectiveness and adequacy of safeguards at facilities and activities

licensed by the Commission. The Commission shall forward to the

Congress a report under this section prior to February 1, 1979, as a

separate document, and prior to February I of each succeeding year as a

separate chapter of the Commission's annual report (required under

section 307(c) of the Energy Reorganization Act of 1974) following the

fiscal year to which such report applies,

See. 7. The Commission is authorized and directed to undertake a

comprehensive review of the existing process for selection and training

of members of the Atomic Safety and Licensing Boards, including, but

not limited to, the selection criteria, including qualifications, the selection

procedures, and the training programs for Board members. The

Commission shall report to the Congress on the findings of such review

by January 1, 1979, and shall revise such selection and training process

as appropriate, based on such findings.

See. 8 (a) Chapter 14 of the Atomic Energy Act of 1954 is amended

by adding the following new section at the end thereof:

Sec. 170A. Conflicts of Interest Relating to Contracts and Other

Arrangements.-

a. The Commission shall, by rule, require any person

proposing to enter into a contract, agreement, or other

arrangement, whether by competitive bid or negotiation, under

this Act or any other law administered by it for the conduct of

research, development, evaluation activities, or for technical and

management support services, to provide the Commission, prior

to entering into any such contract, agreement, or arrangement,

with all relevant information, as determined by the Commission,

bearing on whether that person has a possible conflict of interest

with respect to-

(1) being able to render impartial, technically sound, or

objective assistance or advice in light of other activities or

relationships with other persons, or

(2) being given an unfair competitive advantage. Such

person shall insure, in accordance with regulations prescribed

by the Commission, compliance with this section by any

subcontractor (other than a supply subcontractor) of such

person in the case of any subcontract for more than $10,000.

b. The Commission shall not enter into any such contract

agreement or arrangement unless it finds, after evaluating all

information provided under subsection a. and any other

information otherwise available to the Commission that-

(I) it is unlikely that a conflict of interest would exist, or

(2) such conflict has been avoided after appropriate

conditions have been included in such contract, agreement, or

arrangement; except that if the Commission determines that

such conflict of interest exists and that such conflict of interest

cannot be avoided by including appropriate conditions therein,

the Commission may enter into such contract, agreement, or

arrangement, if the Commission determines that it is in the

best interests of the United States to do so and includes

appropriate conditions in such contract, agreement, or

arrangement to mitigate such conflict.
NRC Authorizations Act. FY 1979 (P. L. 95-60 1) 781

Publication.

42 USC 2153

note.

Monitoring and

assistance,

reports to

Congress.

42 USC 5851.

42 USC 2011

note.

Complaint.

filing and

notification.

Investigation

and

notification.

c. The Commission shall publish rules for the implementation

of this section, in accordance with section 553 of Title 5, United

States Code (without regard to subsection (a)(2) thereof) as soon

as practicable after the date of the enactment of this section, but in

no event later than 120 days after such date.

(b) The table of contents for such Chapter 14 is amended by adding

the following new item at the end thereof:

Sec. 170A, Conflicts of interest relating to contracts and other

arrangements.

See. 9. The Commission shall monitor and assist, as requested, the

International Fuel Cycle Evaluation and the studies and evaluations of

the various nuclear fuel cycle systems by the Department of Energy in

progress as of the date of enactment, and report to the Congress

semiannually through calendar year 1980 and annually through calendar

year 1982 on the status of domestic and international evaluations of

nuclear fuel cycle systems. This report shall include, but not be limited

to, a summary of the information developed by and available to the

Commission on the health, safety and safeguards implications of the

leading fuel cycle technologies.

Sec. 10. Title II of the Energy Reorganization Act of 1974, as amended, is amended by adding at the end thereof a new section to read

as follows:

Employee Protection

Sec. 210. (a) No employer, including a Commission licensee, an applicant for a Commission license, or a contractor or a subcontractor of a Commission licensee or applicant, may discharge any employee or

otherwise discriminate against any employee with respect to his

compensation, terms, conditions, or privileges of employment because

the employee (or any person acting pursuant to a request of the

employee)-

(I) commenced, caused to be commenced, or is about to

commence or cause to be commenced a proceeding under this Act or

the Atomic Energy Act of 1954, as amended, or a proceeding for the

administration or enforcement of any requirement imposed under this

act or the Atomic Energy Act of 1954, as amended;

(2) testified or is about to testify in any such proceeding or;

(3) assisted or participated or is about to assist or participate in

any manner in such a proceeding or in any other manner in such a proceeding or in any other action to carry out the purposes of this Act

or the Atomic Energy Act of 1954, as amended.

(b)(1) Any employee who believes that he has been discharged or otherwise discriminated against by any person in violation of subsection

(a) may, within thirty days after such violation occurs, file (or have any

person file on his behalf) a complaint with the Secretary of Labor

(hereinafter in this subsection referred to as the 'Secretary') alleging such

discharge or discrimination. Upon receipt of such a complaint, the

Secretary shall notify the person named in the complaint of the filing of

the complaint and the Commission.

(2)(A) Upon receipt of a complaint filed under paragraph (1), the

Secretary shall conduct an investigation of the violation alleged in the

complaint. Within thirty days of the receipt of such complaint, the

Secretary shall complete such investigation and shall notify in writing the

complainant(any person acting in his behalf) and the person alleged to

have committed such violation of the results of the investigation
Order.

Notice and

hearing

Settlement.

Relief,

Review.

5 USC 701 et

seq.

Jurisdiction,

Litigative costs.

782 NRC Authorizations Act, FY 1979 (P.L. 95-60 1)

conducted pursuant to this subparagraph. Within ninety days of the

receipt of such complaint the Secretary shall, unless the proceeding on

the complaint is terminated by the Secretary on the basis of a settlement

entered into by the Secretary and the person alleged to have committed

such violation, issue an order either providing the relief prescribed by

subparagraph (B) or denying the complaint. An order of the Secretary

shall be made on the record after notice and opportunity for public

hearing. The Secretary may not enter into a settlement terminating a

proceeding on a complaint without the participation and consent of the

complainant.

(B) If, in response to a complaint filed under paragraph (I),

the Secretary. determines that a violation of subsection (a) has

occurred, the Secretary shall order the person who committed such

violation to (i) take affirmative action to abate the violation, and (ii)

reinstate the complainant to his former position together with the

compensation (including back pay), terms, conditions, and privileges

of his employment, and the Secretary may order such person to

provide compensatory damages to the complainant. If an order is

issued under this paragraph, the Secretary, at the request of the

complainant shall assess against the person against whom the order is

issued a sum equal to the aggregate amount of all costs and expenses

(including attorneys' and expert witness fees) reasonably incurred, as

determined by the Secretary, by the complainant for, or in connection

with, the bringing of the complaint upon which the order was issued.

(c)(I) Any person adversely affected or aggrieved by an order issued

under subsection (b) may obtain review of the order in the United States

court of appeals for the circuit in which the violation, with respect to

which order was issued, allegedly occurred. The petition for review must

be filed within sixty days from the issuance of the Secretary's order.

Review shall conform to Chapter 7 of Title 5 of the United States Code.

The commencement of proceedings under this subparagraph shall not,

unless ordered by the court, operate as a stay of the Secretary's order. (2)

An order of the Secretary with respect to which review could have been

obtained under paragraph (I) shall not be subject to judicial review in

any criminal or other civil proceeding.

(d) Whenever a person has failed to comply with an order issued

under subsection (b)(2), the Secretary may file a civil action in the United

States district court for the district in which the violation was found to

occur to enforce such order. In actions brought under this subsection, the

district courts shall have jurisdiction to grant all appropriate relief,

including, but not limited to, injunctive relief, compensatory, and

exemplary damages.

(e)(1) Any person on whose, behalf an order was issued under

paragraph (2) of subsection (b) may commence a civil action against

the person to whom such order was issued to require compliance with

such order. The appropriate United States district court shall have

jurisdiction, without regard to the amount in controversy or the

citizenship of the parties, to enforce such order.

(2) The court, in issuing any final order under this subsection,

may award costs of litigation (including reasonable attorney and

expert witness fees) to any party whenever the court determines such

award is appropriate.

(f) Any nondiscretionary duty imposed by this section shall be

enforceable in a mandamus proceeding brought under section 1361 of

Title 28 of the United States Code.
NRC Authorizations Act, FY 1979 (P.L. 95-601) 783

42 USC 2011

note.

42 USC 2205a.

Report to

Congress.

42 USC 5842

note.

Authority

extension,

study.

Cooperation.

Report to

Congress.

42 USC 2021a.

Waste storage

or disposal

facility

planning,

notification.

State

participation

report.

(g) Subsection (a) shall not apply with respect to any employee who,

acting without direction from his or her employer (or the employer's

agent), deliberately causes a violation of any requirements of this Act or

of the Atomic Energy Act of 1954, as amended.

Sec. 11. The Commission shall report to the Congress on January I,

1979, and annually thereafter on the use of contractors, consultants, and

the National Laboratories by the Commission. Such report shall include,

for each contract issued, in progress or completed during fiscal year

1978, information on the bidding procedure, nature of the work, amount

and duration of the contract, progress of work, relation to previous

contracts, and the relation between the amount of the contract and the

amount actually spent.

Sec. 12. (a) The Commission, in cooperation with the Department

of Energy, is authorized and directed to conduct a study of extending the

Commission's licensing or regulatory authority to include categories of

existing and future Federal radioactive waste storage and disposal

activities not presently subject to such authority.

(b) Each Federal agency, subject to the provisions of existing law,

shall cooperate with the Commission in the conduct of the study. Such

cooperation shall include providing access to existing facilities and sites

and providing any information needed to conduct the study which the

agency may have or be reasonably able to acquire.

(c) On or before March I, 1979, the Commission shall submit a

report to the Congress containing the results of the study, the Report shall

include a complete listing and inventory of all radioactive waste storage

and disposal activities now being conducted or planned by Federal

agencies.

Sec. 13. Notwithstanding any other provision of this Act, no

authority to make payments under this Act shall be effective except to

such extent or in such amounts as are provided in advance in

appropriation Acts.

Sec. 14. (a) Any person, agency, or other entity proposing to

develop a storage or disposal facility, including a test disposal facility,

for high-level radioactive wastes, non-high-level radioactive wastes

including transuranium contaminated wastes, or irradiated nuclear reactor

fuel, shall notify the Commission as early as possible after the

commencement of planning for a particular proposed facility. The

Commission shall in turn notify the Governor and the State legislature of

the State of proposed sites whenever the Commission has knowledge of

such proposal,

(b) The Commission is authorized and directed to prepare a report on

means for improving the opportunities for State participation in the

process for siting, licensing, and developing nuclear waste storage or

disposal facilities. Such report shall include detailed consideration of a

program to provide grants through the Commission to any State, and the

advisability of such a program, for the purpose of conducting an

independent State review of any proposal to develop a nuclear waste

storage or disposal facility identified in subsection (a) within such State.
784 NRC Authorizations Act, FY 1979 (P.L. 95-601)

State participation,

report.

Submittal with

legislative

recommendations

to Congress,

On or before March 1, 1979, the Commissionshall submit the report to

the Congress including recommendations for improving the

opportunities for State participation together with any necessary

legislative proposals.
NRC Authorizations Act, FY 1978 (P.L. 95-209) 785

NRCAuhorzaion At, Y 97 P1 520 8

E. NRC AUTHORIZATION ACT FOR FISCAL YEAR 1978

Public Law 95-209 91 Stat. 1481.

December 13, 1977

An Act

To authorize appropriations for Nuclear Regulatory Commission for the

fiscal year 1978, and for other purposes.

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

Regulatory United States of America in Congress assembled,

Commission.

Appropriation Sec. 1. Authorization

authorization. (a) There is authorized to be appropriated to the Nuclear Regulatory 1978. Commission (hereafter in this act referred to as the "Commission") to

carry out its functions and authorities under the Atomic Energy Act of

1954 (42 USC 2017) and the Energy Reorganization Act of 1974 (42

USC 5875) for the fiscal year 1978 to remain available until expended $297,740,000 to be allocated as follows:

(I) For "Nuclear Reactor Regulation", not more than

$41,480,000;

(2) For "Standards Development", not more than $12,130,000;

(3) For "Inspection and Enforcement", not more than

$33,050,000;

(4) For "Nuclear Materials Safety and Safeguards", not more than

$22,090,000;

(5) For "Nuclear Regulatory Research", $148,900,000;

(6) For "Program Technical Support", 10,180,000; of which an

amount not to exceed $600,000 is authorized for a fellowship

program pursuant to section 5 of this Act.

(7) For "Program Direction and Administration", not more than

$29,910,000.

Rcallocation. (b) Of the total amount authorized under section l(a), the

Commissioners may, by majority vote, reallocate among program

activities specified in subsection (a) or pursuant to the authority granted

in subsection (d) an amount not exceeding $10,000,000 except that the

amount transferred from any of the major program activities specified in

subsection (a) shall not exceed 15 per centum of the amount so specified.

Prior to any reallocation of an amount in accordance with the provisions

of this subsection, where such amount is in excess of $500,000, the

Commission shall inform the appropriate congressional committees.

Such reallocation may be made notwithstanding the limitations of

subsection (a).

Safeguard (c) No amount authorized to be appropriated for contracts for

research research, studies, and technical assistance on domestic safeguard matters

contract under subsection (a) including any amount reallocated under subsection

statement (b) may be used for such contracts and no amount authorized to be

publication, appropriated under this subsection may be used by the Office of Nuclear

Regulatory Research for such contracts until a statement supporting the

need for such research, study, or technical assistance has been prepared

and published by the Commission.

(d) No amount authorized to be appropriated for contracts for

regulatory research related to advanced reactor safety under this Act may

be used for such contracts except as directed by the Commission,
Quarterly report

to Congress.

42 USC 5841.

42 USC 2000e.

42 USC 5850.

Submittal to

Congress.

Propress

42 USC 5845.

Long-term plan

development.

42 USC 2039.

Annual report

to Congress,

786 NRC Authorizations Act, FY 1978 (P.L. 95-209)

following consideration by the Commission of any recommendation that

may be made by the ACRS regarding the proposed research.

(e) In the event that the license application is withdrawn or funding

for the continuation of the Clinch River Breeder Reactor project is not

authorized or appropriated, the total authorization in subsection (a) shall

be reduced by $2,700,000.

(f) In the event that further construction of the facility at Bamwell,

South Carolina, for the purpose of providing plutonium to be used as fuel

is canceled or deferred, the total authorization in subsection (a) shall be

reduced by $2,100,000.

See. 2. Commission Personnel

Section 201 of Title II of the Energy Reorganization Act of 1974 is

amended by adding the following new subsection at the end thereof:

(h) The Commission shall prepare and submit to the Congress a

quarterly report which documents, for grades GS-1 I or above:

(1) the number of minority and women candidates hired, by grade

level;

(2) the number of minority and women employees promoted, by

grade level;

(3) the procedures followed by the Commission in preparing job

descriptions, informing potential applicants, and selecting from

candidates the persons to be employed in positions at grade GS- I1 or

above; and

(4) other steps taken to meet provisions of the Equal Employment

Act.

The first quarterly report shall be submitted to the Congress not later

than January 31, 1978, and subsequent reports shall be submitted prior to

the end of one calendar month after the end of each calendar quarter

thereafter.

Sec. 3. Unresolved Safety Issues

Title 11 of the Energy Reorganization Act of 1974, is amended by

adding the following new section at the end thereof:

UNRESOLVED SAFETY ISSUES PLAN

Sec. 210. The Commission shall develop a plan providing for the

specification and analysis of unresolved safety issues relating to nuclear

reactors and shall take such action as may be necessary to implement

corrective measures with respect to such issues. Such plan shall be

submitted to the Congress on or before January 1, 1978 and progress

reports shall be included in the annual report of the Commission

thereafter.

Sec. 4. Improved Safety Systems Research

(a) Section 205 of the Energy Reorganization Act of 1974 is amended

by adding the following new subsection at the end thereof:

(f) The Commission shall develop a long-term plan for projects for

the development of new or improved safety systems for nuclear power

Slants.

ec. 5. Reactor Safety Research Study

Section 29 of the Atomic Energy Act of 1954 is amended by adding

the following at the end thereof: In addition to its other duties under this

section, the committee, making use of all available sources, shall

undertake a study of reactor safety research and prepare and submit

annually to the Congress a report containing the results of such study.
NRC Authorizations Act, FY 1978 (P.L. 95-209) 787

The first such report shall be submitted to the Congress not later than

December 31, 1977.

Sec. 6. ACRS Fellowship Program

42 USC 2040. To assist the Advisory Committee on Reactor Safeguards in carrying

Establishment. out its function, the committee shall establish a fellowship program under

which persons having appropriate engineering or scientific expertise are

assigned particular tasks relating to the functions of the committee. Such

fellowship shall be for 2-year periods and the recipients of such

fellowships shall be selected pursuant to such criteria as may be

established by the committee.

Sec. 7. Organizational Conflicts Of Interest

42 USC 2201 The Commission shall by December 31, 1977, promulgate guidelines

note. to be applied by the Commission in determining whether an organization

Guidelines. proposing to enter into a contractual arrangement with the Commission

has a conflict of interest which might impair the contractor's judgment or

otherwise give the contractor an unfair competitive advantage.

Sec. 8. Cooperative Research Funding

Salaries and Moneys received by the Commission for the cooperative nuclear

expenses. safety research programs may be retained and used for salaries and

expenses associated with those programs, notwithstanding the provisions

of section 3617 of the Revised Statutes (31 USC 484), and shall remain

available until expended. Funds may be obligated for purposes stated in

this section only to the extent provided in appropriation Acts.

Sec. 9. Transfer Of Funds

Transfers of sums from salaries and expenses may be made to other

agencies of the Government for the performance of the work for which

the appropriation is made, and in such cases the surns so transferred may

be merged with the appropriations to which transferred.

Sec. 10. Appropriations

Notwithstanding any other provision of this Act, no authority to make

payments under this Act shall be effective except to such extent or in

such amounts as are provided in advance in appropriations Acts.
788 NRC Authorizations Act, FY 1977 (P.L. 94-291)

F. NRC AUTHORIZATION ACT FOR FISCAL

YEAR 1977

Public Law 94-291 90 Stat. 523

May 22, 1976

An Act

To authorize appropriations to the Nuclear Regulatory Commission in

accordance with section 261 of the Atomic Energy Act of 1954, as

amended, and section 305 of the Energy Reorganization Act of 1974, as amended, and for other purposes.

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

Regulatory United States ofAmerica in Congress assembled,

Commission.

42 USC 2017. Sec. 101. There is hereby authorized to be appropriated to the Nuclear

42 USC 5875. Regulatory Commission in accordance with the provisions of section 261

Appropriation of the Atomic Energy Act of 1954, as amended, and section 305 of the

authorization. Energy Reorganization Act of 1974, as amended; for salaries and

expenses, $274,300,000 to remain available until expended.

Moneys for See. 102. Moneys received by the Commission for the cooperative

research nuclear safety research programs may be retained and used for salaries

programs, use. and expenses associated with those programs, notwithstanding the

provisions of section 3617 of the Revised Statutes (31 USC 484), and

shall remain available until expended. Funds may be obligated for

purposes stated in this section only to the extent provided in

appropriation Acts.

'Transfer of See. 103. Transfers of sums from salaries and expenses may be made

sums. to other agencies of the Government for the performance of the work for

which the appropriation is made, and in such cases the sums so transferred may be merged with the appropriation to which transferred.

Amendments To Prior Year Act

Sec. 104. (a) Title 1 of Public Law 94-79 is amended by adding

section 102 to read as follows: Moneys received by the Commission for

the cooperative nuclear research program may be retained and used for

salaries and expenses associated with that program, notwithstanding the

provisions of section 3617 of the Revised Statutes (31 USC 484), and

shall remain available until expended. Funds may be obligated for

purposes stated in this section only to the extent provided in

appropriation Acts.

(b) Section 101 of Public Law 94-79 is amended by adding the phase "and shall remain available until expended" after the words "September

30, 1976."
NRC Authorizations Act, FY 1976 (P.L. 94-79) 789

G. NRC AUTHORIZATION ACT FOR FISCAL YEAR 1976

Public Law 94-79 89 Stat. 413

42 USC 2017.

Appropriation

authorization.

Nuclear

Regulatory

Commission.

42 USC 5875.

August 9, 1975

An Act

To authorize appropriations to the Nuclear Regulatory Commission in

accordance with section 261 of the Atomic Energy Act of 1954, as

amended, and section 305 of the Energy Reorganization Act of 1974,

and for other purposes.

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

United States ofAinerica in Congress assembled,

Title I

Sec. 101. There is authorized to be appropriated to the Nuclear

Regulatory Commission to carry out the provisions of section 261 of the

Atomic Energy Act of 1954, as amended, and section 305 of the Energy

Reorganization Act of 1974: $222,935,000 for fiscal year 1976 and

$52,750,000 for the period from July 1, 1976 through September 30,

1976 and shall remain available until expended.'

Sec. 102. Moneys received by the Commission for the cooperative

nuclear research program may be retained and used for salaries and

expenses associated with that program, notwithstanding the provisions of

section 3617 of the Revised Statutes (31 USC 484), and shall remain

available until expended. Funds may be obligated for purposes stated in

this section only to the extent provided in appropriations Acts.'

Title 11

Sec. 201. Section 20 1(a) of the Energy Reorganization Act of 1974 is

amended

(I) by inserting "(1)" immediately after section 201(a); and

(2) The Chairman of the Commission shall be the principal

executive officer of the Commission, and he shall exercise all of the

executive and administrative functions of the Commission, including

functions of the Commission with respect to (a) the appointment and

supervision of personnel employed under the commission (other than

personnel employed regularly and full time in the immediate offices

of commissioners other than the Chairman, and except as otherwise

provided in the Energy Reorganization Act of 1974), (b) the

distribution of business among such personnel and among

administrative units of the Commission, and (c) the use and

expenditure of funds.

(3) In carrying out any of his functions under the provisions of

this section the Chairman shall be governed by general policies of the

Commission and by such regulatory decisions, findings, and

determinations as the Commission may by law be authorized to make.

(4) The appointment by the Chairman of the heads of major

administrative units under the Commission shall be subject to the

approval of the Commission.

42 USC 5841.

42 USC 5801

note.

Commission

chairman,

functions.

'Public Law 94-291, section 104(b), 90 STAT. 523 (1976), amended section 101 by adding the phrase "and

shall remain available until expended" after September 30, 1976. 2

Public Law 94-291, section 104(a), 90 STAr. 523 (1976), added section 102.
42 USC 5841

note.

Plutonium

shipments,

restrictions.

42 USC 5841.

Term of office.

790 NRC Authorizations Act, FY 1976 (P.L. 94-79)

(5) There are hereby reserved to the Commission its functions

with respect to revising budget estimates and with respect to

determining upon the distribution of appropriated funds according to

major programs and purposes.

The Nuclear Regulatory Commission shall not license any shipments

by air transport of plutonium in any form, whether exports, imports or

domestic shipments: Provided, however, That any plutonium in any form

contained in a medical device designed for individual human application

is not subject to this restriction. This restriction shall be in force until the

Nuclear Regulatory Commission has certified to the Joint Committee on

Atomic Energy of the Congress that a safe container has been developed

and tested which will not rupture under crash and blast-testing equivalent

to the crash and explosion of a high-flying aircraft.

Sec. 202. Subsection 201(c) of the Energy Reorganization Act of

1974 is amended by deleting the period at the end of the subsection and

adding the following text: and except that any member appointed to fill a

vacancy occurring prior to the expiration of the term for which his

predecessor was appointed, shall be appointed for the remainder of such

term.

Sec. 203. Section 20 1(c) is amended to include the following: For the

purpose of determining the expiration date of the terms of office of the

five members first appointed to the Nuclear Regulatory Commission,

each such term shall be deemed to have begun July I, 1975.-

'Public Law 94-291, section 104(a), 90 STAT.523 (1976), added section 102.
NRC FY 1975 Supplemental Authorization Act (P.L. 94-18) 791

H. NRC FISCAL YEAR 1975 SUPPLEMENTAL

AUTHORIZATION ACT

Public Law 94-18 89 Stat. 80

April 25, 1975

An Act

To authorize supplemental appropriations to the Nuclear Regulatory

Commission for fiscal year 1975.

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

United States ofA merica in Congress assembled,

42 (JSC' 2017. That there is authorized to be appropriated to the Nuclear Regulatory

42 USC 5875. Commission to carry out the provisions of section 261 of the Atomic

Nuclear Energy Act of 1954, as amended, and section 305 of the Energy

Regulatory Reorganization Act of 1974, $50,200,000 for fiscal year 1975.

Commission

Appropriation

Authorization.
792 AEC FY 1975 Supplemental Authorization Act (P.L. 93-576)

I. AEC FISCAL YEAR 1975 SUPPLEMENTAL

AUTHORIZATION ACT

Public Law 93-576 88 Stat. 1878

December 21, 1974

An Act

To amend Public Law 93-276 to increase the authorization for

appropriations to the Atomic Energy Commission in accordance with

section 261 of the Atomic Energy Act of 1954, as amended, and for

other purposes.

Atomic Energy Be it enacted by the Senate and House of Representatives of/he

Commission. United States ofAmerica in Congress assembled,

Appropriation

increase.

That section 101(a) of Public Law 93-276 is hereby amended by

striking therefrom the figure "$2,551,533,000" and substituting the figure "$2,580,733,000".

Sec. 2. Section 101(b) of Public Law 93-276 is hereby amended by

striking from subsection (11) capital equipment the figure

"$208,850,000" and substituting the figure "$224,900,000".

Safeguards See. 3. From the increase of the sums authorized to be appropriated

program. by this Act $23,000,000 shall be allotted to, and made available only for

the Safeguards Program, with regard to the safeguarding of special

nuclear materials from diversion from its intended uses, and for research

and development of safeguards techniques and related activities involved

in handling nuclear material.
AEC Authorization Act, FY 1975 (P.L. 93-276) 793

J. AEC AUTHORIZATION ACT FOR FISCAL YEAR 1975

Public Law 93-276 77 Stat. 88

Appropriation

authorization.

Atomic Energy

42 USC 2017.

May 10, 1974

An Act

To authorize appropriations to the Atomic Energy Commission in

accordance with section 261 of the Atomic Energy Act of 1954, as

amended, and for other purposes.

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

United States of America in Congress assembled,

Sec. 101. There is hereby authorized to be appropriated to the

Atomic Energy Commission in accordance with the provisions of section

261 of the Atomic Energy Act of 1954, as amended:

(a) For "Operating expenses", $2,580,733,0001 not to exceed

$132,200,000 in operating costs for the high energy physics program

category.

(b) For "Plant and capital equipment", including construction,

acquisition, or modification of facilities, including land acquisition; and

acquisition and fabrication of capital equipment not related to

construction, a sum of dollars equal to the total of the following:

(1) NUCLEAR MATERIALS.-

Project 75-la, additional facilities, high-level waste handling and

storage, Savannah River, South Carolina, $30,000,000.

Project 75-1-b, replacement ventilation air filter, 1 chemical

separations area, Savannah River, South Carolina, $6,000,000.

Project 75-1-c, new waste calcining facility, Idaho Chemical

Processing Plant, National Reactor Testing Station, Idaho,

$20,000,000.

Project 75-1-d, waste management effluent control, Richland,

Washington, $3,500,000.

Project 75-1-e, retooling of component preparation laboratories,

multiple sites, $4,500,000.

Project 75-1-f, atmospheric pollution control facilities, stoker

fired boilers, Savannah River, South Carolina, $7,500,000.

(2) NUCLEAR MATERIALS.-

Project 75-2-a, additional cooling tower capacity, gaseous

diffusion plant, Portsmouth, Ohio, $2,200,000.

(3) WEAPONS.-

Project 75-3-a, weapons production, development, and test

installations, $10,000,000.

Project 75-3-b, high energy laser facility, Los Alamos Scientific

Laboratory, New Mexico, $22,600,000.

Project 75-3-c, TRIDENT production facilities, various locations,

$22,200,000.

Project 75-3-d, consolidation of final assembly plants, Pantex,

Amarillo, Texas, $4,500,000.

Project 75-3-e, addition to building 350 for safeguards analytical

laboratory, Argonne National Laboratory, Illinois, $3,500,000.

(4) WEAPONS.-

Project 75-4-a, technical support relocation, Los Alamos

Scientific Laboratory, New Mexico, $2,800,000.

'Public Law 93-576, section 1, 88 Stat. 1878 (1974), increased this figure from the previously authorized

$2,551,533,000.
794 AEC Authorization Act, FY 1975 (P.L. 93-276)

(5) CIVILIAN REACTOR RESEARCH AND

DEVELOPMENT.-

Project 75-5-a, transient test facility, Santa Susana, California,

$4,000,000.

Project 75-5-b, advanced test reactor control system upgrading,

National Reactor Testing Station, Idaho, $2,400,000.

Project 75-5-c, test reactor area water recycle and pollution

control facilities, National Reactor Testing Station, Idaho,

$1,000,000.

Project 75-5-d, modifications to reactors, $4,000,000.

Project 75-5-e, high temperature gas reactor fuel re-processing

facility, National Reactor Testing Station, Idaho, $10,100,000.

Project 75-5-f, high temperature gas reactor fuel refabrication

pilot plant, Oak Ridge National Laboratory, Tennessee, $3,000,000.

Project 75-5-g, molten salt breeder reactor (preliminary planning

preparatory to possible future demonstration project), $1,500,000.

(6) PHYSICAL RESEARCH.-

Project 75-6-a, accelerator and reactor improvements and

modifications, $3,000,000.

Project 75-6-b, heavy ion research facilities, various locations,

$19,200,000.

Project 75-6-c, positron-electron joint project, Lawrence Berkeley

Laboratory and Stanford Linear Accelerator Center, $900,000.

(7) BIOMEDICAL AND ENVIRONMENTAL RESEARCH

AND SAFETY.-

Project 75-7-a, upgrading of laboratory facilities, Oak Ridge

National Laboratory, Tennessee, $2,100,000.

Project 75-7-b, environmental research laboratory, Savannah

River, South Carolina, $2,000,000.

Project 75-7-c, intermediate-level waste management facilities,

Oak Ridge National Laboratory, Tennessee, $9,500,000.

Project 75-7-d, modifications and additions to biomedical and

environmental research facilities, $2,850,000.

(8) BIOMEDICAL AND ENVIRONMENTAL RESEARCH

AND SAFETY.-

Project 75-8-a, environmental sciences laboratory, Oak Ridge

National Laboratory, Tennessee, $8,800,000.

(9) GENERAL PLANT PROJECTS.-$55,650,000.

(10) CONSTRUCTION PLANNING AND DESIGN.-

$2,000,000.

(II) CAPITAL EQUIPMENT.-Acquisition and fabrication of

capital equipment not related to construction, $224,900,000.2

(12) REACTOR SAFETY RESEARCH.-

Project 75-12-a, reactor safety facilities modifications,

$1,000,000.

(13) APPLIED ENERGY TECHNOLOGY.-

Project 75-13-a, hydrothermal pilot plant, $1,000,000.

Sec. 102. Limitations.-(a) The Commission is authorized to start

any project set forth in subsection 101(b)(I), (3), (5), (6), (7), (12), and

(13) only if the currently estimated cost of that project does not exceed

by more than 25 per centum the estimated cost set forth for that project.

(b) The Commission is authorized to start any project set tbrth in

subsection 101(b) (2), (4), (8), and (10) only if the currently estimated

2

Public Law 93-576, section 2, 88 Stat. 1878 (1978) (1974), increased this figure from the previously authorized $208,850,000.
AEC Authorization Act, FY 1975 (P.L. 93-276) 795

cost of that project does not exceed by more than 10 per centum the

estimated cost set forth for that project.

(c) The Commission is authorized to start any project under

subsection 101(b)(9) only if it is in accordance with the following:

(I) The maximum currently estimated cost of any project shall be

$500,000 and the maximum currently estimated cost of any building

included in such project shall be $100,000: Provided, That the

building cost limitation may be exceeded if the Commission

determines that it is necessary in the interest of efficiency and

economy.

(2) The total cost of all projects undertaken under subsection

101(b)(9) shall not exceed the estimated cost set forth in that

subsection by more than 10 per centum.

42 USC 2017. (d) The total cost of any project undertaken under subsection 101(b)

(1), (3), (5), (6), (7), (12), and (13) shall not exceed the estimated cost set

forth for that project by more than 25 per centum, unless and until

additional appropriations are authorized under section 261 of the Atomic

Energy Act of 1954, as amended, provided that this subsection will not

apply to any project with an estimated cost less than $5,000,000.

42 USC 2017. (e) The total cost of any project undertaken under subsection 101(b)

(2), (4), (8), (9), and (10) shall not exceed the estimated cost set forth for

that project by more than 10 per centum, unless and until additional

appropriations are authorized under section 261 of the Atomic Energy

Act of 1954, as amended, provided that this subsection will not apply to

any project with an estimated cost less than $5,000,000.

Construction Sec. 103. The Commission is authorized to perform construction

design services. design services for any Commission construction project whenever (1)

such construction project has been included in a proposed authorization

bill transmitted to the Congress by the Commission, and (2) the

Commission determines that the project is of such urgency that

construction of the project should be initiated promptly upon enactment

of legislation appropriating funds for its construction.

See, 104. Any moneys received by the Commission (except sums

received from the disposal of property under the Atomic Energy

Community Act of 1955, as amended (42 USC 2301)), may be retained

by the Commission and credited to its "Operating expenses"

appropriation notwithstanding the provisions of section 3617 of the

Revised Statutes (31 USC 484).

Transfcrof Sec. 105. Transfers of sums from the "Operating expenses"

sums, appropriation may be made to other agencies of the Government for the

performance of the work for which the appropriation is made, and in such

cases the sums so transferred may be merged with the appropriation to

which transferred.

Transfcrof Sec. 106. When so specified in an appropriation Act, transfers of

amounts, amounts between "Operating expenses" and "Plant and capital

equipment" may be made as provided in such appropriation Act.

Sec. 107. AMENDMENT OF PRIOR YEAR ACTS.-

(a) Section 101 of Public Law 89428, as amended, if further

amended by striking from subsection (b)(3) project 67-3-a, fast flux test

facility, the figure "$87,500,000", and substituting therefor the figure

"$420,000,000".

(b) Section 101 of Public Law 91-273, as amended, is further

amended by striking from subsection (b)(1), project 71-1-f, process

equipment modifications, gaseous diffusion plants, the figure

"$172,100,000" and substituting therefor the figure "$295, 100,000".
796 AEC Authorization Act, FY 1975 (P.L. 93-276)

(c) Section 106 of Public Law 91-273, as amended, is further

amended by striking from subsection (a) the figure "$2,000,000" and

substituting therefor the figure "3,000,000", and by adding thereto the

following new subsection (c):

(c) The Commission is hereby authorized to agree, by modification

to the definitive cooperative arrangement reflecting such changes therein

31 USC 665. as it deems appropriate for such purpose, to the following:

(1) to execute and deliver to the other parties to the AEC

definitive contract, the special undertaking of indemnification

specified in said contract, which undertakings shall be subject to

availability of appropriations to the Atomic Energy Commission (or

any other Federal agency to which the Commission's pertinent

functions might be transferred at some future time) and to the

provisions of section 3679 of the Revised Statutes, as amended; and

(2) to acquire ownership and custody of the property constituting

the Liquid Metal Fast Breeder Reactor power plant or parts thereof,

and to use, decommission, and dispose of said property, as provided

for in the AEC definitive contract.

(d) Section 101 of Public Law 92-314, as amended, is amended by

striking from subsection (b)(4), project 73-4-b, land acquisition, Rocky

Flats, Colorado, the figure "$8,000,000" and substituting therefor the

figure "$11,400,000".

(e) Section 101 of Public Law 93-60 is amended by

(I) striking from subsection (b)(l), project 74-1-a, additional

facilities, high level waste storage, Savannah River, South Carolina,

the figure "$14,000,000" and substituting therefor the figure

"$17,500,000",

(2) striking from subsection (b)(1), project 74-1-g, cascade

uprating program, gaseous diffusion plants, the words "(partial AE

and limited component procurement only)" and further striking the

figure "$6,000,000" and substituting therefore the figure

"$183,100,000", and

(3) striking from subsection (b)(2), project 74-2-d, national

security and resources study center, the words "(AE only), site

undesignated" and substituting therefor the words "Los Alamos

Scientific Laboratory, New Mexico" and further striking the figure

"$350,000" and substituting therefor the figure "$4,600,000".

Sec. 108. RESCISSION.-

(a) Public Law 91-44, as amended, is further amended by rescinding

therefrom authorization for a project, except for funds heretofore

obligated, as follows:

Project 70-I-b, bedrock waste storage (AE and site selection drilling

only), Savannah River, South Carolina, $4,300,000.

(b) Public Law 92-84, as amended, is further amended by rescinding

therefrom authorization for a project, except for funds heretofore

obligated, as follows:

Project 72-3-b, national radioactive waste repository, site

undetermined, $3,500,000.

(c) Public Law 92-314, as amended, is further amended by

rescinding therefrom authorization for a project, except for funds

heretofore obligated, as follows:

Project 73-6-c, accelerator improvements, Cambridge Electron

Accelerator, Massachusetts, $75,000.
AEC Authorization Act, FY 1975 (P.L. 93-276) 797

Title I1

42 USC 2187, Sec. 201. Section 157b.(3) of the Atomic Energy Act of 1954, as

amended, is amended by striking out "upon the recommendation of' and

inserting in lieu thereof "after consultation with".
798 AEC Authorization Act, FY 1974 (P.L. 93-158)

K. AEC AUTHORIZATION ACT FOR FISCAL YEAR 1974

Public Law 93-158 87 Stat. 627

November 26, 1973

An Act

To amend Public Law 93-60 to increase the authorization for

appropriations to the Atomic Energy Commission in accordance with

section 261 of the Atomic Energy Act of 1954, as amended, and for

other purposes.

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

United States of America in Congress assembled,

That section 101(a) of Public Law 93-60 is hereby amended by

striking therefrom the figure "$1,740,750,000" and substituting the figure

"S 1,751,450,000."

Sec. 2. Section 101(b) of Public Law 93-60 is hereby amended by

adding to subsection (b)(1) the following words: Project 74-1-i,

additional waste concentration and salt cake storage facilities, Richland,

Washington, $30,000,000.
Chief Financial Officers Le.pislation 799

Chief Financial Officers Legislation 799

6. Chief Financial Officers

Legislation

Chief Financial Officers Legislation 801

6. Chief Financial Officers Legislation

Contents

A. CHIEF FINANCIAL OFFICERS ACT OF 1990, AS AMENDED ................. 803

T itle I-G eneral P rovisions ..................................................................................... 803

S ec. 10 1. S h o rt T itle ....................................................................................... 803

Sec. 102. Findings A nd Purposes .................................................................. 803

Title ll-Establishment Of Chief Financial Officers ................................ 804

Sec. 201. Deputy Director For M anagement ............................................... 804

Sec. 202. Functions Of Deputy Director For Management ........................ 804

Sec. 203. Office Of Federal Financial Management .................................... 806

Sec. 204. Duties And Functions Of The Department Of The Treasury ..... 806

Sec. 205. Agency Chief Financial O fficers ................................................... 807

Sec. 206. Transfer Of Functions And Personnel Of Agency Chief

F inancial O ffi cers ........................................................................................ 8 11

Sec. 207. C om pensation ........................................................................... 812

Title Ill-Enhancement Of Federal Financial Management Activities .............. 813

Sec. 301. Financial Management Status Report; 5-Year Plan Of

Director Of Office Of Management And Budget ..................................... 813

Sec. 302. Chief Financial Offi cers Council .................................................. 815

Sec. 303. Financial Statem ents O f Agencies ................................................ 815

Sec. 304. Financial A udits O f Agencies ........................................................ 817

Sec. 305. Financial Audits Of Government Corporations .......................... 819

Sec. 306. Management Reports Of Government Corporations .................. 820

Sec. 307. Adoption Of Capital Accounting Standards ................................ 820

B. REPORTS CONSOLIDATION ACT OF 2000 ............................................ 821

S ec. 1. S h o rt T itle ........................................................................................... 82 1

Sec. 2. Findings A nd Purposes ............................................................... 821

Sec. 3. C onsolidated R eports ......................................................................... 82 1

Sec. 4. Amendments Relating To Audited Financial Statement ................ 823

Sec. 5. Amendments Relating To Program Performance Reports ............ 823

Chief Financial Officers Act of 1990 (P.L. 10 1 -576) 803

A. CHIEF FINANCIAL OFFICERS ACT OF 1990, AS

AMENDED

Public Law 101-576 104 Stat. 2838

Chief Financial

Officers Act of

1990.

31 USC 501

note.

31 USC 501

note.

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 ofA merica in Congress assembled,

Title I-General Provisions

See. 101. Short Title

This Act may be cited as the "Chief Financial Officers Act of 1990."

Sec. 102. Findings And Purposes

(a) FINDINGS. -- The Congress finds the following:

(1) General management functions of the Office of Management and

Budget need to be significantly enhanced to improve the efficiency and

effectiveness of the Federal Government.

(2) Financial management functions of the Office of Management and

Budget need to be significantly enhanced to provide overall direction and

leadership in the development of a modern Federal financial management

structure and associated systems.

(3) Billions of dollars are lost each year through fraud, waste, abuse,

and mismanagement among the hundreds of programs in the Federal

Government.

(4) These losses could be significantly decreased by improved

management, including improved central coordination of internal

controls and financial accounting.

(5) The Federal Government is in great need of fundamental reform in

financial management requirements and practices as financial

management systems are obsolete and inefficient, and do not provide

complete, consistent, reliable, and timely information.

(6) Current financial reporting practices of the Federal Government do

not accurately disclose the current and probable future cost of operating

and investment decisions, including the future need for cash or other

resources, do not permit adequate comparison of actual costs among

executive agencies, and do not provide the timely information required

for efficient management of programs.

(b) PURPOSES. -- The purposes of this Act are the following:

(1) Bring more effective general and financial management practices to

the Federal Government through statutory provisions which would

establish in the Office of Management and Budget a Deputy Director for

Management, establish an Office of Federal Financial Management

headed by a Controller, and designate a Chief Financial Officer in each

executive department and in each major executive agency in the Federal

Government.

(2) Provide for improvement, in each agency of the Federal

Government, of systems of accounting, financial management, and

internal controls to assure the issuance of reliable financial information

and to deter fraud, waste, and abuse of Government resources.
804 Chief Financial Officers Act of 1990 (P.L. 10 1-576)

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

consistent financial information for use by the executive branch of the

Government and the Congress in the financing, management, and

evaluation of Federal programs.

Title lI-Establishment Of Chief Financial Officers

Sec. 201. Deputy Director For Management

Section 502 of Title 3 1, United States Code, as amended by this Act,

is amended-

(1) by redesignating subsections (c), (d), and (e), as amended by

this section, as subsections (d), (e), and (f); and

(2) by inserting after subsection (b) the following:

(c) The Office has a Deputy Director for Management appointed by

the President, by and with the advice and consent of the Senate. The

Deputy Director for Management shall be the chief official responsible

for financial management in the United States Government.

Sec. 202. Functions Of Deputy Director For Management

(a) CLERICAL AMENDMENTS.-Sections 503 and 504 of Title 31,

United States Code, are redesignated in order as sections 505 and 506,

respectively.

(b) FUNCTIONS OF DEPUTY DIRECTOR FOR

MANAGEMENT.-Subchapter I of Chapter 5 of Title 31, United States

Code, is amended by inserting after section 502 the following:

§503. Functions of Deputy Director for Management

(a) CLERICAL AMENDMENTS. -- Sections 503 and 504 of title 31,

United States Code, are redesignated in order as sections 505 and 506,

respectively.

(b) FUNCTIONS OF DEPUTY DIRECTOR FOR MANAGEMENT. -- Subchapter I of chapter 5 of title 31, United States Code, is amended by

inserting after section 502 the following:

"§ 503. Functions of Deputy Director for Management

"(a) Subject to the direction and approval of the Director, the Deputy

Director for Management shall establish governmentwide financial

management policies for executive agencies and shall perform the

following financial management functions:

"(1) Perform all functions of the Director, including all functions

delegated by the President to the Director, relating to financial

management.

"(2) Provide overall direction and leadership to the executive branch on

financial management matters by establishing financial management

policies and requirements, and by monitoring the establishment and

operation of Federal Government financial management systems.

"(3) Review agency budget requests for financial management systems

and operations, and advise the Director on the resources required to

develop and effectively operate and maintain Federal Government

financial management systems and to correct major deficiencies in such

systems.

"(4) Review and, where appropriate, recommend to the Director

changes to the budget and legislative proposals of agencies to ensure that

they are in accordance with financial management plans of the Office of

Management and Budget.
Chief Financial Officers Act of 1990 (P.L. 10 1 -576) 805

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

expenditures, including timely performance reports.

"(6) Oversee, periodically review, and make recommendations to heads

of agencies on the administrative structure of agencies with respect to

their financial management activities.

"(7) Develop and maintain qualification standards for agency Chief

Financial Officers and for agency Deputy Chief Financial Officers

appointed under sections 901 and 903, respectively.

"(8) Provide advice to agency heads with respect to the selection of

agency Chief Financial Officers and Deputy Chief Financial Officers.

"(9) Provide advice to agencies regarding the qualifications,

recruitment, performance, and retention of other financial management

personnel.

"(10) Assess the overall adequacy of the professional qualifications and

capabilities of financial management staffs throughout the Government

and make recommendations on ways to correct problems which impair

the capacity of those staffs.

"(11) Settle differences that arise among agencies regarding the

implementation of financial management policies.

"(12) Chair the Chief Financial Officers Council established by section

302 of the Chief Financial Officers Act of 1990.

"(13) Communicate with the financial officers of State and local

governments, and foster the exchange with those officers of information

concerning financial management standards, techniques, and processes.

"(14) Issue such other policies and directives as may be necessary to

carry out this section, and perform any other function prescribed by the

Director.

"(b) Subject to the direction and approval of the Director, the Deputy

Director for Management shall establish general management policies for

executive agencies and perform the following general management

functions:

"(1) Coordinate and supervise the general management functions of the

Office of Management and Budget.

"(2) Perform all functions of the Director, including all functions

delegated by the President to the Director, relating to --

"(A) managerial systems, including the systematic measurement of

performance;

"(B) procurement policy;

"(C) grant, cooperative agreement, andassistance management;

"(D) information and statistical policy;

"(E) property management;

"(F) human resources management;

"(G) regulatory affairs; and

"(H) other management functions, including organizational studies,

long-range planning, program evaluation, productivity improvement, and

experimentation and demonstration programs.

"(3) Provide complete, reliable, and timely information to the President,

the Congress, and the public regarding the management activities of the

executive branch.

"(4) Facilitate actions by the Congress and the executive branch to

improve the management of Federal Government operations and to

remove impediments to effective administration.

"(5) Provide leadership in management innovation, through --

"(A) experimentation, testing, and demonstration programs; and

"(B) the adoption of modern management concepts and technologies.
806 Chief Financial Officers Act of 1990 (P.L. 101-576)

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

intergovernmental relations, and provide assistance to such governments

with respect to intergovernmental programs and cooperative

arrangements.

"(7) Review and, where appropriate, recommend to the Director

changes to the budget and legislative proposals of agencies to ensure that

they respond to program evaluations by, and are in accordance with

general management plans of, the Office of Management and Budget.

"(8) Provide advice to agencies on the qualification, recruitment,

performance, and retention of managerial personnel.

"(9) perform any other functions prescribed by the Director.".'

See, 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:

31 USC 504 §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-

(I) demonstrated ability and practical experience in accounting,

financial management, and financial systems; and

(2) extensive practical experience in financial management in

large governmental or business entities.

(c) The Controller of the Office of Federal Financial Management

shall be the deputy and principal advisor to the Deputy Director for

Management in the performance by the Deputy Director for Management

of functions described in section 503(a).

(b) STATEMENT OF APPROPRIATIONS IN BUDGET.-Section

1105(a) of Title 31, United States Code, is amended by adding at the end

the following:

(28) a separate statement of the amount of appropriations

requested for the Office of Federal Financial Management.

(c) CLERICAL AMENDMENT.-The table of contents at the

beginning of Chapter 5 of Title 31, United States Code, is amended by

striking the items relating to sections 503 and 504 and inserting the

following:

503. Functions of Deputy Director for Management.

504. Office of Federal Financial Management.

505. Office of Information and Regulatory Affairs.

506. Office of Federal Procurement Policy,

Sec. 204. Duties And Functions Of The Department Of The

Treasury

31 USC 501 Nothing in this Act shall be construed to interfere with the exercise of

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

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

lAs amended by P.L. 103-272, § 4(f)(I)(B), 108 Stat. 1361 (1994); P.L. 106-58. Title VI, § 638(g), 113 Stat. 476 (1999); P.L. 107-347, Title I, § 102(b), 116 Stat. 2910 (2002).
Chief Financial Officers Act of 1990(P.L. 101-576) 807

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

31 UJSC 901 (a) There shall be within each agency described in subsection (b) an

agency Chief Financial Officer. Each agency Chief Financial Officer

shall--

(I) for those agencies described in subsection (b)( I)-

(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)(l) are the following:

(A) The Department of Agriculture.

(B) The Department of Commerce.

(C) The Department of Defense.

(D) The Department of Education.

(E) The Department of Energy.

(F) The Department of Health and Human Services.

(G) The Department of Homeland Security.

(H) The Department of Housing and Urban Development.

(I) The Department of the Interior.

(J) The Department of Justice.

(K) The Department of Labor.

(L) The Department of State.

(M) The Department of Transportation.

(N) The Department of the Treasury.

(0) The Department of Veterans Affairs.

(P) The Environmental Protection Agency.

(Q) The National Aeronautics and Space Administration.

(2) The agencies referred to in subsection (a)(2) are the following:

(A) The Agency for International Development.

(B) The General Services Administration.

(C) The National Science Foundation.

(D) The Nuclear Regulatory Commission.

(E) The Office of Personnel Management.

(F) The Small Business Administration.

(G) The Social Security Administration.

(c) (1) There shall be within the Executive Office of the President a Chief

Financial Officer, who shall be designated or appointed by the President

from among individuals meeting the standards described in subsection

(a)(3). The position of Chief Financial Officer established under this

paragraph may be so established in any Office (including the Office of

Administration) of the Executive Office of the President.
808 Chief Financial Officers Act of 1990 (P.L. 101-576)

(2) The Chief Financial Officer designated or appointed under this

subsection shall, to the extent that the President determines appropriate

and in the interest of the United States, have the same authority and

perform the same functions as apply in the case of a Chief Financial

Officer of an agency described in subsection (b).

(3) The President shall submit to Congress notification with respect to

any provision of section 902 [31 USCS § 902] that the President

determines shall not apply to a Chief Financial Officer designated or

appointed under this subsection.

(4) The President may designate an employee of the Executive Office

of the President (other than the Chief Financial Officer), who shall be

deemed "the head of the agency" for purposes of carrying out section 902

[31 USCS § 902], with respect to the Executive Office of the President. 2

§902. Authority and functions of agency Chief Financial Officers

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

amended by adding at the end the following new chapter:

"CHAPTER 9 -- AGENCY CHIEF FINANCIAL OFFICERS

"Sec.

"901. Establishment of agency Chief Financial Officers.

"902. Authority and functions of agency Chief Financial Officers.

"903. Establishment of agency Deputy Chief Financial Officers.

"§ 901. Establishment of agency Chief Financial Officers

"(a) There shall be within each agency described in subsection (b) an agency Chief Financial Officer. Each agency Chief Financial Officer

shall --

"(I) for those agencies described in subsection (b)( I) --

"(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)(l) The agencies referred to in subsection (a)(l) 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.

2

Amended Public Law 103-296, section 1080)(I), 108 Stat. 1488 (1994); Public Law 106-58, Title VI,

section 638(a), 113 Stat. 475 (1999); Oct. 16, 2004, P.L. 108-330, § 3(a), (d)(2), 118 Stat. 1276, 1277.
Chief Financial Officers Act of 1990 (P.L. 101-576) 809

"(G) The Department of Housing and Urban Development.

"(H) The Department of the Interior.

"(1) 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.

"(G) The Small Business Administration.

"§ 902. Authority and functions of agency Chief Financial Officers

"(a) An agency Chief Financial Officer shall --

"(1) report directly to the head of the agency regarding financial

management matters;

"(2) oversee all financial management activities relating to the

programs and operations of the agency;

"(3) develop and maintain an integrated agency accounting and

financial management system, including financial reporting and internal

controls, which --

"(A) complies with applicable accounting principles, standards, and

requirements, and internal control standards;

"(B) complies with such policies and requirements as may be

prescribed by the Director of the Office of Management and Budget;

"(C) complies with any other requirements applicable to such systems;

and

"(D) provides for -- "(i) complete, reliable, consistent, and timely information which is

prepared on a uniform basis and which is responsive to the financial

information needs of agency management;

"(ii) the development and reporting of cost information;

"(iii) the integration of accounting and budgeting information; and

"(iv) the systematic measurement of performance;

"(4) make recommendations to the head of the agency regarding the

selection of the Deputy Chief Financial Officer of the agency;

"(5) direct, manage, and provide policy guidance and oversight of

agency financial management personnel, activities, and operations,

including --

(A) the preparation and annual revision of an agency plan to --

"(i) implement the 5-year financial management plan prepared by the

Director of the Office of Management and Budget under section

3512(a)(3) of this title; and

"(ii) comply with the requirements established under sections 3515 and

subsections (e) and (f) of section 3521 of this title;

"(B) the development of agency financial management budgets;

"(C) the recruitment, selection, and training of personnel to carry out

agency financial management functions;
810 Chief Financial Officers Act of 1990 (P.L. 101-576)

"(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;

"(6) prepare and transmit, by not later than 60 days after the submission

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

report to the agency head and the Director of the Office of Management

and Budget, which shall include -- "(A) a description and analysis of the status of financial management of

the agency;

"(B) the annual financial statements prepared under section 3515 of this

title;

"(C) the audit report transmitted to the head of the agency under section

3521 (0 of this title;

"(D) a summary of the reports on internal accounting and

administrative control systems submitted to the President and the

Congress under the amendments made by the Federal Managers'

Financial Integrity Act of 1982 (Public Law 97-255); and

"(E) other information the head of the agency considers appropriate to

fully inform the President and the Congress concerning the financial

management of the agency;

"(7) monitor the financial execution of the budget of the agency in

relation to actual expenditures, and prepare and submit to the head of the

agency timely performance reports; and

"(8) review, on a biennial basis, the fees, royalties, rents, and other

charges imposed by the agency for services and things of value it

provides, and make recommendations on revising those charges to reflect

costs incurred by it in providing those services and things of value.

"(b)(1) In addition to the authority otherwise provided by this section,

each agency Chief Financial Officer -- "(A) subject to paragraph (2), shall have access to all records, reports, audits, reviews, documents, papers, recommendations, or other material

which are the property of the agency or which are available to the

agency, and which relate to programs and operations with respect to

which that agencyChief 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 (I)(B), this subsection does

not provide to an agency Chief Financial Officer any access greater

than permitted under any other law to records, reports, audits,

reviews, documents, papers, recommendations, or other material of

any Office of Inspector General established under the Inspector General Act of 1978 (5 U.S.C. App.).
Chief Financial Officers Act of 1990 (P.L. 101-576) 811

§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

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 3 I, United States Code, is amended by

adding at the end the following:

"9. Agency Chief Financial Officers ................................. . 901."

31 USC 901 (c) CHIEF FINANCIAL OFFICERS OF DEPARTMENT OF

note. VETERANS AFFAIRS AND DEPARTMENT OF HOUSING AND

URBAN DEVELOPMENT.

(I) 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

31 USC 901 (a) AGENCY REVIEWS OF FINANCIAL MANAGEMENT

note. 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-

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

(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

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 3 1, 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.

See, 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 I11. -- 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 officers Act of 1990 (P.L. 10 1 -576) 813

"Chief Financial Officers Da t of (Lao.1

"Chief Financial Officer, Department of Labor.

"Chief Financial Officer, Department of State.

"Chief Financial Officer, Dep9artment 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 I11-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 3 1, United States Code, is

amended by striking the heading thereof, redesignating subsections (a)

through (f) in order as subsections (b) through (g), and by inserting

before such subsection (b), as so redesignated, the following:

§3512. Executive agency accounting and other financial management

reports and plans

(a)(l) The Director of the Office of Management and Budget shall

prepare and submit to the appropriate committees of the Congress a financial management status report and a government-wide 5-year

financial management plan.

(2) A financial management status report under this subsection

shall include-

(A) a description and analysis of the status of financial

management in the executive branch;

(B) a summary of the most recently completed financial

statements-

(i) of Federal agencies under section 3515 of this Title; and

(ii) of Government corporations;

(C) a summary of the most recently completed financial

statement audits and reports

(i) of Federal agencies under section 3521 (e) and (f) of

this Title; and

(ii) of Government corporations;

(D) a summary of reports on internal accounting and

administrative control systems submitted to the President and the

Congress under the amendments made by the Federal Managers'

Financial Integrity Act of 1982 (Public Law 97-255); and

(E) any other information the Director considers appropriate to

fully inform the Congress regarding the financial management of

the Federal Government.

(3)(A) A government-wide 5-year financial management plan

under this subsection shall describe the activities the Director, the

Deputy Director for Management, the Controller of the Office of

Federal Financial Management, and agency Chief Financial Officers
814 Chief Financial Officers Act of 1990 (P.L. 101-576)

shall conduct over the next 5 fiscal years to improve the financial

management of the Federal Government.

(B) Each government-wide 5-year financial management plan

prepared under this subsection shall-

(i) describe the existing financial management structure

and any changes needed to establish an integrated financial

management system; (ii) be consistent with applicable accounting principles,

standards, and requirements;

(iii) provide a strategy for developing and integrating

individual agency accounting, financial information, and other

financial management systems to ensure adequacy,

consistency, and timeliness of financial information;

(iv) identify and make proposals to eliminate duplicative

and unnecessary systems, including encouraging agencies to

share systems which have sufficient capacity to perform the

functions needed;

(v) identify projects to bring existing systems into

compliance with the applicable standards and requirements; (vi) contain milestones for equipment acquisitions and

other actions necessary to implement the 5-year plan

consistent with the requirements of this section;

(vii) identify financial management personnel needs and

actions to ensure those needs are met;

(viii) include a plan for ensuring the annual audit of

financial statements of executive agencies pursuant to section

3521(h) of this Title; and

(ix) estimate the costs of implementing the 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 government-wide 5-year

financial management plan to cover the succeeding 5 fiscal years, including a report on the accomplishments of the executive branch

in implementing the plan during the preceding fiscal year

(ii) The Director shall include with each revised

government-wide 5-year financial management plan a

description of any substantive changes in the financial

statement audit plan required by paragraph (3)(B)(viii),

progress made by executive agencies implementing the audit

plan, and any improvements in Federal Government financial

management related to preparation and audit of financial

statements of executive agencies.

(5) Not later than 30 days after receiving each annual report under

section 902(a)(6) of this Title, the Director shall transmit to the

Chairman of the Committee on Government Operations of the House

of Representatives and the Chairman of the Committee on

Governmental Affairs of the Senate a final copy of that report and

any comments on the report by the Director.
Chief Financial Officers Act of 1990 (P.L. 101-576) 815

(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.

31 USC 901 Sec, 302. Chief Financial Officers Council

note. (a) ESTABLISHMENT.-There is established a Chief Financial

Officers Council, consisting of-

(I) the Deputy Director for Management of the Office of

Management and Budget, who shall act as chairperson of the council;

(2) the Controller of the Office of Federal Financial Management

of the Office of Management and Budget;

(3) the Fiscal Assistant Secretary of Treasury; and

(4) each of the agency Chief Financial Officers appointed under

section 901 of Title 31, United States Code, as amended by this Act.

(b) FUNCTIONS.-The Chief Financial Officers Council shall meet

periodically to advise and coordinate the activities of the agencies of its

members on such matters as consolidation and modernization of financial

systems, improved quality of financial information, financial data and

information standards, internal controls, legislation affecting financial

operations and organizations, and any other financial management

matter.

Sec. 303. Financial Statements Of Agencies

(a) PREPARATION OF FINANCIAL STATEMENTS.-

(1) IN GENERAL-Subchapter 11 of Chapter 35 of Title 31,

United States Code, is amended by adding at the end the following:

§3515. Financial statements of agencies

(a) [(I)] Except as provided in subsection (e), not later than March I

of 2003 and each year thereafter, the head of each covered executive

agency shall prepare and submit to the Congress and the Director of the

Office of Management and Budget an audited financial statement for the

preceding fiscal year, covering all accounts and associated activities of

each office, bureau, and activity of the agency.

(b) Each audited financial statement of a covered executive agency

under this section shall reflect-

(]) the overall financial position of the offices, bureaus, and

activities covered by the statement, including assets and liabilities

thereof; and

(2) results of operations of those offices, bureaus, and activities.

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

identify components of covered executive agencies that shall be required

to have audited financial statements meeting the requirements of

subsection (b).

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

prescribe the form and content of the financial statements of covered

executive agencies under this section, consistent with applicable

accounting and financial reporting principles, standards, and

requirements.

(e) (1) The Director of the Office of Management and Budget may

exempt a covered executive agency, except an agency described in

section 901(b) [31 USCS § 901(b)], from the requirements of this section

with respect to a fiscal year if--

(A) the total amount of budget authority available to the agency

for the fiscal year does not exceed $ 25,000,000; and
816 Chief Financial Officers Act of 1990 (P.L. 101-576)

(B) the Director determines that requiring an annual audited

financial statement for the agency with respect to the fiscal year is not

warranted due to the absence of risks associated with the agency's

operations, the agency's demonstrated performance, or other factors that

the Director considers relevant.

(2) The Director shall annually notify the Committee on

Government Reform of the House of Representatives and the Committee

on Governmental Affairs of the Senate of each agency the Director has

exempted under this subsection and the reasons for each exemption.

(f) The term "covered executive agency"-

(1) means an executive agency that is not required by another

provision of Federal law to prepare and submit to the Congress and the

Director of the Office of Management and Budget an audited financial

statement for each fiscal year, covering all accounts and associated

activities of each office, bureau, and activity of the agency; and

(2) does not include a corporation, agency, or instrumentality

subject to chapter 91 of this title [31 USCS §§ 9101 et seq.]. 3

§3516. Reports Consolidation

(a)(1) With the concurrence of the Director of the Office of

Management and Budget, the head of an executive agency may adjust the

frequency and due dates of, and consolidate into an annual report to the

President, the Director of the Office of Management and Budget, and

Congress any statutorily required reports described in paragraph (2).

Such a consolidated report shall be submitted to the President, the

Director of the Office of Management and Budget, and to appropriate

committees and subcommittees of Congress not later than 150 days after

the end of the agency's fiscal year.

(2) The following reports may be consolidated into the report

referred to in paragraph (I):

(A) Any report by an agency to Congress, the Office of

Management and Budget, or the President under section 1116 of

this Chapter.

(B) The following agency-specific reports:

(i) The biennial financial management improvement plan

by the Secretary of Defense under section 2222 of Title 10.

(ii) The annual report of the Attorney General under

section 522 of Title 28.

(C) Any other statutorily required report pertaining to an

agency's financial or performance management if the head of the

agency-

(i) determines that inclusion of that report will enhance the

usefulness of the reported information to decision makers; and

(ii) consults in advance of inclusion of that report with the

committee on Governmental Affairs of the Senate, the

Committee on Government Reform of the House of

Representatives and any other committee of Congress having

jurisdiction with respect to the report proposed for inclusion.

(b) A report under subsection (a) that incorporates the agency's

program performance report under section 1116 shall be referred to as a

performance and accountability report.

(c) A report under subsection (a) that does not incorporate the

agency's program performance report under section 1116 shall contain a

'Added and amended by P.L. 101-576, Title III, § 303(a)(1), 104 Slat. 2849 (1990); P.L. 103-356, Title IV,

§ 405(a), 108 Stat. 3415 (1994); P.L. 106-531, § 4(a), 114 Stat. 2539 (2000); P.L. 107-289, § 2(a),

116 Stat. 2049 (2002).
Chief Financial Officers Act of 1990 (P.L. 101-576) 817

summary of the most significant portions of the agency's program

performance report, including the agency's success in achieving key

performance goals for the applicable year.

(d) A report under subsection (a) shall include a statement prepared

by the agency's inspector general that summarizes what the inspector

general considers to be the most serious management and performance

challenges facing the agency and briefly assesses the agency's progress

in addressing those challenges. The inspector general shall provide such

statement to the agency head at least 30 days before the due date of the

report under subsection (a). The agency head may comment on the

inspector general's statement, but may not modify the statement.

(e) A report under subsection (a) shall include a transmittal letter

from the agency head containing, in addition to any other content, an

assessment by the agency head of the completeness and reliability of the

performance and financial data used in the report. The assessment shall

describe any material inadequacies in the completeness and reliability of

the data, and the actions the agency can take and is taking to resolve such

inadequacies.

(f) The Secretary of Homeland Security-

(I) shall for each fiscal year submit a performance and accountability

report under subsection (a) that incorporates the program performance

report under section 1116 of this title for the Department of Homeland

Security;

(2) shall include in each performance and accountability report an audit

opinion of the Department's internal controls over its financial reporting;

and

(3) shall design and implement Department-wide management controls

that--

(A) reflect the most recent homeland security strategy developed

pursuant to section 874(b)(2) of the Homeland Security Act of, and

(B) permit assessment, by the Congress and by managers within the

Department, of the Department's performance in executing such

strategy.4

See. 304. Financial Audits Of Agencies

IN GENERAL-Section 3521 of title 31, United States Code, is

amended by adding at the end the following new subsections: 5

(a) Each account of an agency shall be audited administratively

before being submitted to the Comptroller General. The head of each

agency shall prescribe regulations for conducting the audit and designate

a place at which the audit is to be conducted. However, a disbursing

official of an executive agency may not administratively audit vouchers

for which the official is responsible. With the consent of the Comptroller

General, the head of the agency may waive any part of an audit.

(b) The head of an agency may prescribe a statistical sampling

procedure to audit vouchers of the agency when the head of the agency

decides economies will result from using the procedure. The Comptroller

General--

'Added Public Law 106-531, section 3(a), 114 Stat. 2537 (2000). Amended P.L. 108-330, § 4(a),

118 Stat. 1277 (2004).

5Subsections (a), (b), tc), and (d) were established by Public Law 97-258, Subcbapter It1, 96 Stat. 961 (1982). Amended by Public Law 101-576, Title 1II, section 304(a), 104 Stat. 2852 (1990), which added

subsections (e), (f), (g), and (h). The following statutes further amended this section: Public Law 103-356, Title IV, section 405(b), 108 Stat. 3416 (1994): Public Law 104-208, Div. A, Title 1, section 101(t) [Title VIII,

section 805(a)), I 10 Stat. 3009-392 (1996); Public Law 106-531, section 4lb), 114 Stat, 2539 (2000).
8] 8 Chief Financial Officers Act of 1990 (P.L. 10 1-576)

(1) may prescribe the maximum amount of a voucher that may be

audited under this subsection; and

(2) in reviewing the accounting system of the agency, shall evaluate the

adequacy and effectiveness of the procedure.

(c) A disbursing or certifying official acting in good faith under

subsection (b) of this section is not liable for a payment or certification of

a voucher not audited specifically because of the procedure prescribed

under subsection (b) if the official and the head of the agency carry out

diligently collection action the Comptroller General prescribes.

(d) Subsections (b) and (c) of this section do not-

(1) affect the liability, or authorize the relief, of a payee, beneficiary, or

recipient of an illegal, improper, or incorrect payment; or

(2) relieve a disbursing or certifying official, the head of an agency, or

the Comptroller General of responsibility in carrying out collection

action against a payee, beneficiary, or recipient.

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

agency shall be audited in accordance with applicable generally accepted

government auditing standards-

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

under the Inspector General Act of 1978 (5 U.S.C.App.), by the Inspector

General or by an independent external auditor, as determined by the

Inspector General of the agency; and

(2) in any other case, by an independent external auditor, as determined

by the head of the agency.

(f) For each audited financial statement required under subsection (a)

of section 3515 of this title, the person who audits the statement for

purpose of subsection (e) of this section shall submit a report on the audit

to the head of the agency and the Controller of the Office of Federal

Financial Management. A report under this subsection shall be prepared

in accordance with generally accepted government auditing standards.

(g) The Comptroller General of the United States-

(1) may review any audit of a financial statement conducted under this

subsection by an Inspector General or an external auditor;

(2) shall report to the Congress, the Director of the Office of

Management and Budget, and the head of the agency which prepared the

statement, regarding the results of the review and make any

recommendation the Comptroller General considers appropriate; and

(3) may audit a financial statement prepared under section 3515 of this

title at the discretion of the Comptroller General or at the request of a

committee of the Congress.

An audit the Comptroller General performs under this subsection shall be

in lieu of the audit otherwise required by subsection (e) of this section.

Prior to performing such audit, the Comptroller General shall consult

with the Inspector General of the agency which prepared the statement.

(h) Each financial statement prepared by an executive agency for a

fiscal year after fiscal year 199.1 shall be audited in accordance with this

section and the plan required by section 3512(a)(3)(B)(viii) of this title.

(i) (I) If the Government Accountability Office audits any financial

statement or related schedule which is prepared under section 3515 [31

USCS § 3515] by an executive agency (or component thereof) for a fiscal

year beginning on or after October 1, 2009, such executive agency (or

component) shall reimburse the Government Accountability Office for

the cost of such audit, if the Government Accountability Office audited

the statement or schedule of such executive agency (or component) for

fiscal year 2007.
Chief Financial Officers Act of 1990 (P.L. 10 1-576) 819

ChefFnacilOficr Ac of19 (PL l-57 . 81

(2) Any executive agency (or component thereof) that prepares a

financial statement under section 3515 [31 USCS § 3515] for a fiscal

year beginning on or after October I, 2009, and that requests, with the

concurrence of the Inspector General of such agency, the Government

Accountability Office to conduct the audit of such statement or any

related schedule required by section 3521 [31 USCS § 3521] may

reimburse the Government Accountability Office for the cost of such

audit.

(3) For the audits conducted under paragraphs (1) and (2), the

Government Accountability Office shall consult prior to the initiation of

the audit with the relevant executive agency (or component) and the

Inspector General of such agency on the scope, terms, and cost of such

audit.

(4). Any reimbursement under paragraph (I) or (2) shall be deposited to

a special account in the Treasury and shall be available to the

Government Accountability Office for such purposes and in such

amounts as are specified in annual appropriations Acts.

See. 305. Financial Audits Of Government Corporations

Section 9105 of Title 31, United States Code, is amended to read as

follows:

§9105. Audits

(a) (1) The financial statements of Government corporations shall be

audited by the Inspector General of the corporation appointed under the

Inspector General Act of 1978 (5 U.S.C. App.), or under other Federal

law, or by an independent external auditor, as determined by the

Inspector General or, if there is no Inspector General, by the head of the

corporation.

(2) Audits under this section shall be conducted in accordance

with applicable generally accepted government auditing standards,

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

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

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

on Government Operations of the House of Representatives, and to the

Chairman of the Committee on Governmental Affairs of the Senate.

(4) The Comptroller General of the United States--

(A) may review any audit of a financial statement conducted

under this subsection by an Inspector General or an external auditor;

(B) shall report to the Congress, the Director of the Office of

Management and Budget, and the head of the Government corporation

which prepared the statement, regarding the results of the review and

make any recommendation the Comptroller General of the United States

considers appropriate; and

(C) may audit a financial statement of a Government

corporation at the discretion of the Comptroller General or at the request

of a committee of the Congress.

An audit the Comptroller General performs under this paragraph shall

be in lieu of the audit otherwise required by paragraph (1) of this

subsection. Prior to performing such audit, the Comptroller General shall

consult with the Inspector General of the agency which prepared the

statement.

(5) A Government corporation shall reimburse the Comptroller

'Added P.L. 97-258, § 1, 96 Stat. 961 (1982). Amended P.L. 101-576, Title 111, § 304(a), 104 Stat. 2852

(1990); P.L. 103-356, Title IV, § 405(b), 108 Stal. 3416 (1994); P.L. 104-208, Div. A, Title I, § 101(o) [Title

VIII, § 805(a)], I10 Stat. 3009-392 (1996); P.L. 106-531, § 4(b), 114 Stat. 2539 (2000): P.L. 110-323, § 6(a),

122 Stat. 3547 (2008).
820 Chief Financial Officers Act of 1990 (P.L. 101-576)

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

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.'

See. 306. Management Reports Of Government Corporations

(a) IN GENERAL.-Section 9106 of Title 31, United States Code, is

amended to read as follows:

9106. Management reports

a) (1) A Government corporation shall submit an annual management

report to the Congress not later than 180 days after the end of the

Government corporation's fiscal year.

(2) A management report under this subsection shall include-

(A) a statement of financial position;

(B) a statement of operations;

(C) a statement of cash flows;

(D) a reconciliation to the budget report of the Government

corporation, if applicable;

(E) a statement on internal accounting and administrative control

systems by the head of the management of the corporation, consistent

with the requirements for agency statements on internal accounting and

administrative control systems under the amendments made by the

Federal Managers' Financial Integrity Act of 1982 (Public Law 97-255);

(F) the report resulting from an audit of the financial statements of

the corporation conducted under section 9105 of this title; and

(G) any other comments and information necessary to inform the

Congress about the operations and financial condition of the corporation.

(b) A Government corporation shall provide the President, the Director of

the Office of Management and Budget, and the Comptroller General of

the United States a copy of the management report when it is submitted

to Congress.8

Sec. 307. Adoption Of Capital Accounting Standards

No capital accounting standard or principle, including any human

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

department or agency until such standard has been reported to the

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

has expired.

31 USC 3511

note.

7

Added P.L. 97-258, § 1, 96 Stat. 1043 (1982). Amended P.L. 100-86, Title IV, § 403, 101 Stat. 609 (1987);

P.L. 100-233, Title ViI, Subtitle A, § 703, 101 Stat. 1706 (1988); P.L. 100-399, Title VI, § 602, 102 Stat. 1006

(1988); P.L. 101-73, Title V, Subtitle B, § 511 (b)(2), 103 Stat. 406 (1989); P.L. 101-576, Title Ill, § 305, 104

Stat. 2853 (1990); P.L. 103-82, Title II, § 202(e)(2), 107 Stat. 888 (1993).

'Added P.L. 97-258, § 1,96 Stat. 1044 (1982). Amended P.L. 101-576, Title I11, § 306(a), 104 Stat. 2854

(1990).
ReDorts Consolidation Act of 2000 (P.L. 106-53 1) 821

Reoorts Consolidation Act of 2000 (P.L. 106-531) 821

B. REPORTS CONSOLIDATION ACT OF 2000

Public Law 106-531 114 Stat. 2537

November 22, 2000

31 USC 3501

note.

31 USC 3516

note.

Deadline.

An Act

to amend Chapter 35 of Title 31, United States Code, to authorize the

consolidation of certain financial and performance management reports

required of Federal agencies, and for other purposes.

Sec. 1. Short Title

This Act may be cited as the "Reports Consolidation Act of 2000."

Sec. 2. Findings And Purposes

(a) FINDINGS.-Congress finds that-

(]) existing law imposes numerous financial and performance

management reporting requirements on agencies;

(2) these separate requirements can cause duplication of effort on

the part of agencies and result in uncoordinated reports containing

information in a form that is not completely useful to Congress; and

(3) pilot projects conducted by agencies under the direction of the

Office of Management and Budget demonstrate that single

consolidated reports providing an analysis of verifiable financial and

performance management information produce more useful reports

with greater efficiency.

(b) PURPOSES.-The purposes of this Act are-

(I) to authorize and encourage the consolidation of financial and

performance management reports;

(2) to provide financial and performance management information

in a more meaningful and useful format for Congress, the President,

and the public;

(3) to improve the quality of agency financial and performance

management information; and

(4) to enhance coordination and efficiency on the part of agencies

in reporting financial and performance management information.

See. 3. Consolidated Reports

(a) IN GENERAL.-Chapter 35 of Title 31, United States Code, is

amended by adding at the end of the following:

"section 3516. Reports Consolidation

"(a)(]) With the concurrence of the Director of the Office of

Management and Budget, the head of an executive agency may adjust

the frequency and due dates of, and consolidate into an annual report

to the President, the Director of the Office of Management and

Budget, and Congress any statutorily required reports described in

paragraph (2). Such a consolidated report shall be submitted to the

President, the Director of the Office of Management and Budget, and

to appropriate committees and subcommittees of Congress not later

than 150 days after the end of the agency's fiscal year.

"(2) The following reports may be consolidated into the report

referred to in paragraph (1):

(A) Any report by an agency to Congress, the Office of

Management and Budget, or the President under section 1116, this

Chapter, and Chapters 9, 33, 37, 75, and 91.

(B) The following agency-specific reports:
822 Reports Consolidation Act of 2000 (P.L. 106-53 1)

"(i) The biennial financial management improvement plan

by the Secretary of Defense under section 2222 of Title 10.

"(ii) The annual report of the Attorney General under

section 522 of Title 28.

(C) Any other statutorily required report pertaining to an

agency's financial or performance management if the head of the

agency-"(i) determines that inclusion of that report will enhance

the usefulness of the reported information to decision makers;

and"(ii) consults in advance of inclusion of that report with the

committee on Governmental Affairs of the Senate, the

Committee on Government Reform of the House of

Representatives, and any other committee of Congress having

jurisdiction with respect to the report proposed for inclusion.

"(b) A report under subsection (a) that incorporates the agency's

program performance report under section 1116 shall be referred to as

a performance and accountability report.

"(c) A report under subsection (a) that does not incorporate the

agency's program performance report under section 1116 shall

contain a summary of the most significant portions of the agency's

program performance report, including the agency's success in

achieving key performance goals for the applicable year.

"(d) A report under subsection (a) shall include a statement

prepared by the agency's inspector general that summarizes what the

inspector general considers to be the most serious management and

performance challenges facing the agency and briefly assesses the

Deadline. agency's progress in addressing those challenges. The inspector

general shall provide such statement to the agency head at least 30

days before the due date of the report under subsection (a), The

agency head may comment on the inspector general's statement, but

may not modify the statement.

"(e) A report under subsection (a) shall include a transmittal letter

from the agency head containing, in addition to any other content, an

assessment by the agency head of the completeness and reliability of

the performance and financial data used in the report. The

assessment shall describe any material inadequacies in the

completeness and reliability of the data, and the actions the agency can take and is taking to resolve such inadequacies."."

() The Secretary of Homeland Security-

(I) shall for each fiscal year submit a performance and

accountability report under subsection (a) that incorporates the

program performance report under section 1116 of this title for

the Department of Homeland Security;

(2) shall include in each performance and accountability report an audit opinion of the Department's internal controls over its

financial reporting; and

(3) shall design and implement Department-wide management

controls that-

(A) reflect the most recent homeland security strategy

developed pursuant to section 874(b)(2) of the Homeland

Security Act of 2002; and
Reports Consolidation Act of 2000 (P.L. 106-53 1) 823

Deadline.

31 USC 3516

note.

31 USC 1116

note.

(B) permit assessment, by the Congress and by managers

within the Department? of the Department's performance in

executing such strategy.

(b) SPECIAL RULE FOR FISCAL YEARS 2000 AND 2001.-

Notwithstanding paragraph (1) of section 3516(a) of Title 31, United

States Code (as added by subsection (a) of this section), the head of an

executive agency may submit a consolidated report under such paragraph

not later than 180 days after the end of that agency's fiscal year, with

respect to fiscal years 2000 and 2001.

(c) TECHNICAL AND CONFORMING AMENDMENT.-The table

of sections for Chapter 35 of Title 31, United States Code, is amended by

inserting after the item relating to section 3515 the following:

"3516. Reports consolidation.".

See. 4. Amendments Relating To Audited Financial Statement

(a) FINANCIAL STATEMENTS.-Section 3515 of Title 31, United

States Code, is amended-

(1) in subsection (a); by inserting "Congress and the" before

"Director"; and

(2) by striking subsections (e) through (h).

(b) ELIMINATION OF REPORT.-Section 3521(o) of Title 31,

United States code is amended-

(1) in paragraph (])- I

(A) by striking "subsections (a) and (f)" and inserting "subsection (a)"; and

(B) by striking "(1)"; and

(2) by striking paragraph (2).

Sec. 5. Amendments Relating To Program Performance Reports

(a) REPORT DUE DATE.-

(1) IN GENERAL.-Section 1116(a) of Title 31, United States

Code, is amended by striking "No later than March 31, 2000, and no

later than March 31 of each year thereafter," and inserting "Not later

than 150 days after the end of an agency's fiscal year,".

(2) SPECIAL RULE FOR FISCAL YEARS!•2000 AND 2001.-

Notwithstanding subsection (a) of section II 6iý of Title 31, United

States Code (as amended by paragraph (I) ofithis subsection), an

agency head may submit a report under such subpection not later than

180 days after the end of that agency's fiscal 'ear, with respect to

fiscal years 2000 and 2001.

(b) INCLUSION OF INFORMATION "IN FINANCIAL

STATEMENT.-Section 1116(e) of Title 31, Uniked States Code, is

amended to read as follows:

"(e)(l) Except as provided in paragraph (2), each program

performance report shall contain an assessment b•€ the agency head of

the completeness and reliability of the performance data included in

the report. The assessment shall describe any material inadequacies

in the completeness and reliability of the performance data, and the

actions the agency can take and is taking to resolve such

inadequacies.

"(2) If a program performance report is incorporated into a report

submitted under section 3516, the requirements of section 3516(e) shall

apply in lieu of paragraph (I).".

'Subsection (0) added P.L. 108-330, § 4(a), 118 Star. 1277 (2004).

Insnector General Le2islation 825 Insetr eea Lksato 2

7. Inspector General Legislation

Insoector General Legislation 827

7. Inspector General Legislation

Contents

A. INSPECTOR GENERAL ACT OF 1978, AS AMENDED ............................... 829

S ec. 1. S ho rt T itle ............................................................................................ 829

Sec. 2. Purpose And Establishment Of Offices Of Inspector General:

Departm ents And Agencies Involved ........................................................ 829

Sec. 3. Appointment Of Inspector General. Supervision: Removal:

Political Activities: Appointment Of Assistant Inspector General For

Auditing And Assistant Inspector General For Investigations ............... 829

Sec. 4. Duties And Responsibilities. Report Of Criminal Violations

T o A tto rney G eneral ................................................................................... 830

Sec. 5. Semiannual Reports; Transmittal To Congress; Availability To

Public; Immediate Report On Serious Or Flagrant Problems;

Disclosure O f Inform ation; Definitions ..................................................... 831

Sec. 6. Authority Of Inspector General; Information And Assistance

From Federal Agencies, Unreasonable Refusal, Office Space And

E q u ip m e n t ................................................................................................... 8 3 5

Sec. 7. Complaints By Employees. Disclosure Of Identity; Reprisals ...... 839

Sec. 8. Additional Provisions With Respect To The Inspector General

O f T he Departm ent O f Defense ................................................................. 839

Sec. SA. Special Provisions Relating To The Agency For International

D evelop m en t ................................................................................................ 84 1

Sec. 8B. Special Provisions Concerning The Nuclear Regulatory

C o m m issio n ................................................................................................. 842

Sec. 8C. Special Provisions Concerning The Federal Deposit Insurance

C o rp o ra tio n ................................................................................................. 84 2

Sec. 8D. Special Provisions Concerning The Department Of The

T rea su ry ....................................................................................................... 84 3

Sec. 8E. Special Provisions Concerning The Department Of Justice ....... 846

Sec. 8F. Special Provisions Concerning The Corporation For National

A nd C om m unity Service ............................................................................. 847

Sec. 8G. Requirements For Federal Entities And Designated Federal

E n titie s ............................................................................. ........................... 8 4 8

Sec. 8H. Additional Provisions With Respect To Inspectors General Of

T he Intelligence C om m unity ...................................................................... 852

Sec. 81. Special Provisions Concerning The Department Of Homeland

S ec u rity ............................................................................ ........................... 8 54

Sec. 8J. Rule Of Construction Of Special Provisions ................................... 856

Sec. 8K. Authority To Establish Inspector General Of The Office Of

The D irector O f National Intelligence ....................................................... 856

Sec. 8L. Information On Websites Of Offices Of Inspectors General ........ 856

Sec. 9. T ransfer O f Functions ....................................................................... 857

Sec. 10. Conforming And Technical Amendments ..................................... 860

Sec. 1I. Establishment Of The Council Of The Inspectors General On

Integrity A nd E fficiency ............................................................................ 860

S ec. 12 . D efin itio n s ......................................................................................... 86 6

Sec. 13. E ffective D ate .................................................................................... 867

Pertinent Portions Of Inspector General Act Amendment Of 1988 .................. 867

Uniform Salaries For Inspectors G eneral ....................................................... 867
828 Inspector General Legislation

A ppropriation Accounts .................................................................................... 868

Paym ent A uthority Subject To A ppropriations .............................................. 868

Effective D ate ...................................................................................................... 868
Inspector General Act of 1978 (P.L. 95-452) 829

A. INSPECTOR GENERAL ACT OF 1978, AS AMENDED

Public Law 95-452 92 Stat. 1101

October 1, 1978

5 USC Appendix 3

Sec. 1. Short Title

Sec. 2. Purpose And Establishment Of Offices Of Inspector General:

Departments And Agencies Involved

In order to create independent and objective units-

(]) to conduct and supervise audits and investigations relating to

the programs and operations of the establishments listed in section

12(2).'

(2) to provide leadership and coordination and recommend

policies for activities designed (A) to promote economy, efficiency,

and effectiveness in the administration of, and (B) to prevent and

detect fraud and abuse in, such programs and operations; and

(3) to provide a means for keeping the head of the establishment

and the Congress fully and currently informed about problems and

deficiencies relating to the administration of such programs and

operations and the necessity for and progress of corrective action;

there is established-

(A) in each of such establishments an Office of Inspector

General, subject to subparagraph (B); and

(B) in the establishment of the Department of the Treasury-

(i) an Office of Inspector General of the

Department of the Treasury; and

(ii) an Office of Treasury Inspector General for Tax

Administration.'

Sec. 3. Appointment Of Inspector General. Supervision: Removal:

Political Activities: Appointment Of Assistant Inspector General For

Auditing And Assistant Inspector General For Investigations

(a) There shall be at the head of each Office an Inspector General

who shall be appointed by the President, by and with the advice and

consent of the Senate, without regard to political affiliation and solely on

the basis of integrity and demonstrated ability in accounting, auditing,

financial analysis, law, management analysis, public administration, or

investigations. Each Inspector General shall report to and be under the

general supervision of the head of the establishment involved or, to the

extent such authority is delegated, the officer next in rank below such

head, but shall not report to, or be subject to supervision by, any other

officer of such establishment. Neither the head of the establishment nor

the officer next in rank below such head shall prevent or prohibit the

Inspector General from initiating, carrying out, or completing any audit

or investigation, or from issuing any subpoena during the course of any

audit or investigation.

President. (b) An Inspector General may be removed from office by the

Deadline. President. If an Inspector General is removed from office or is transferred

to another position or location within an establishment, the President

shall communicate in writing the reasons for any such removal or transfer

to both Houses of Congress, not later than 30 days before the removal or

'Public Law 110-409. section 7(d)(A), 122 Star. 4302 (2008), struck out 11(2) and inserted 12(2) in its place. 2

As amended Public Law 105-206, Title I, section 1103(a), 112 Stat. 705 (1998).
830 Inspector General Act of 1978 (P.L. 95-452)

transfer. Nothing in this subsection shall prohibit a personnel action

otherwise authorized by law, other than transfer or removal.3

(c) For the purposes of section 7324 of Title 5, United States Code,

no Inspector General shall be considered to be an employee who

determines policies to be pursued by the United States in the nationwide

administration of Federal laws.

(d) Each Inspector General shall, in accordance with applicable laws

and regulations governing the civil service-

(]) appoint an Assistant Inspector General for Auditing who shall

have the responsibility for supervising the performance of auditing

activities relating to programs and operations of the establishment,

and

(2) appoint an Assistant Inspector General for Investigations who

shall have the responsibility for supervising the performance of

investigative activities relating to such programs and operations.

(e) The annual rate of basic pay for an Inspector General (as defined

under section 12(3)) shall be the rate payable for level II of the

Executive Schedule under section 5314 of title 5, United States Code,

plus 3 percent.

4

(f) An Inspector General (as defined under section 8G(a)(6) or 12(3))

may not receive any cash awar'd or cash bonus, including any cash award

under chapter 45 of title 5, United States Code.5

(g) Each Inspector General shall, in accordance with applicable laws

and regulations governing the civil service, obtain legal advice from a

counsel either reporting directly to the Inspector General or another

Inspector General.

See. 4. Duties And Responsibilities. Report Of Criminal Violations

To Attorney General

(a) It shall be the duty and responsibility of each Inspector General, with

respect to the establishment within which his Office is established--

(I) to provide policy direction for and to conduct, supervise, and

coordinate audits and investigations relating to the programs and

operations of such establishment;

(2) to review existing and proposed legislation and regulations relating

to programs and operations of such establishment and to make

recommendations in the semiannual reports required by section 5(a)

concerning the impact of such legislation or regulations on the economy

and efficiency in the administration of programs and operations

administered or financed by such establishment or the prevention and

detection of fraud and abuse in such programs and operations;

(3) to recommend policies for, and to conduct, supervise, or coordinate

other activities carried out or financed by such establishment for the

purpose of promoting economy and efficiency in the administration of, or

preventing and detecting fraud and abuse in, its programs and operations;

(4) to recommend policies for, and to conduct, supervise, or coordinate

relationships between such establishment and other Federal agencies,

State and local governmental agencies, and nongovernmental entities

with respect to (A) all matters relating to the promotion of economy and

efficiency in the administration of, or the prevention and detection of

fraud and abuse in, programs and operations administered or financed by

'Public Law 110-409, section 3(a), 122 Stat. 4302 (2008), struck "The President shall communicate the reasons for any such removal to both Houses of Congress," and inserted the second sentence. 4

Public Law 110-409, section 4(a)(1), 122 Stat. 4302 (2008), inserted subsection (c).

'Public Law 110-409, section 5, 122 Stat. 4302 (2008), inserted subsection (f). 6

Public Law 110-409, section 6(a), 122 Stat. 4302 (2008), inserted subsection (g).
Insnector General Act of 1978 (P.L. 95-452) 831

nsetr GenralAc.of197.. .L. -ii2"83

such establishment, or (B) the identification and prosecution of

participants in such fraud or abuse; and

(5) to keep the head of such establishment and the Congress fully and

currently informed, by means of the reports required by section 5 and

otherwise, concerning fraud and other serious problems, abuses, and

deficiencies relating to the administration of programs and operations

administered or financed by such establishment, to recommend corrective

action concerning such problems, abuses, and deficiencies, and to report

on the progress made in implementing such corrective action.

(b) (I) In carrying out the responsibilities specified in subsection (a)(l),

each Inspector General shall-

(A) comply with standards established by the Comptroller General of

the United States for audits of Federal establishments, organizations,

programs, activities, and functions;

(B) establish guidelines for determining when it shall be appropriate

to use non-Federal auditors; and

(C) take appropriate steps to assure that any work performed by non- Federal auditors complies with the standards established by the

Comptroller General as described in paragraph (I).

(2) For purposes of determining compliance with paragraph (])(A) with

respect to whether internal quality controls are in place and operating and

whether established audit standards, policies, and procedures are being

followed by Offices of Inspector General of establishments defined under

section 12(2), Offices of Inspector General of designated Federal entities

defined under section 8F(a)(2), and any audit office established within a

Federal entity defined under section 8F(a)(I), reviews shall be performed

exclusively by an audit entity in the Federal Government, including the

General Accounting Office [Government Accountability Office] or the

Office of Inspector General of each establishment defined under section

12(2), or the Office of Inspector General of each designated Federal

entity defined under section 8F(a)(2).

(c) In carrying out the duties and responsibilities established under this

Act, each Inspector General shall give particular regard to the activities

of the Comptroller General of the United States with a view toward

avoiding duplication and insuring effective coordination and cooperation.

(d) In carrying out the duties and responsibilities established under this

Act, each Inspector General shall report expeditiously to the Attorney

General whenever the Inspector General has reasonable grounds to

believe there has been a violation of Federal criminal law.'

Sec. 5. Semiannual Reports; Transmittal To Congress; Availability

To Public; Immediate Report On Serious Or Flagrant Problems;

Disclosure Of Information; Definitions

(a) Each Inspector General shall, not later than April 30 and October 31

of each year, prepare semiannual reports summarizing the activities of

the Office during the immediately preceding six-month periods ending

March 31 and September 30. Such reports shall include, but need not be

limited to--

(]) a description of significant problems, abuses, and deficiencies

relating to the administration of programs and operations of such

establishment disclosed by such activities during the reporting period;

(2) a description of the recommendations for corrective action made by

the Office during the reporting period with respect to significant

7

Amended P.L. 100-504, Title I, § 109, 102 Stat. 2529 (1988); P.L. 103-82, Title 11, § 202(g)(5)(A), 107 Stat. 890(1993); PL. 110-409, § 7(d)(1)(A), 122 Stat. 4313 (2008).
832 Inspector General Act of 1978 (P.L. 95-452)

problems, abuses, or deficiencies identified pursuant to paragraph (1);

(3) an identification of each significant recommendation described in

previous semiannual reports on which corrective action has not been

completed;

(4) a summary of matters referred to prosecutive authorities and the

prosecutions and convictions which have resulted;

(5) a summary of each report made to the head of the establishment

under section 6(b)(2) during the reporting period;

(6) a listing, subdivided according to subject matter, of each audit

report, inspection reports [report], and evaluation reports [report] issued

by the Office during the reporting period and for each report, where

applicable, the total dollar value of questioned costs (including a separate

category for the dollar value of unsupported costs) and the dollar value of

recommendations that funds be put to better use;

(7) a summary of each particularly significant report;

(8) statistical tables showing the total number of audit reports,

inspection reports, and evaluation reports and the total dollar value of

questioned costs (including a separate category for the dollar value of

unsupported costs), for reports-

(A) for which no management decision had been made by the

commencement of the reporting period;

(B) which were issued during the reporting period;

(C) for which a management decision was made during the reporting

period, including-

(i) the dollar value of disallowed costs; and

(ii) the dollar value of costs not disallowed; and

(D) for which no management decision has been made by the end of

the reporting period;

(9) statistical tables showing the total number of audit reports,

inspection reports, and evaluation reports and the dollar value of

recommendations that funds be put to better use by management, for

reports-

(A) for which no management decision had been made by the

commencement of the reporting period;

(B) which were issued during the reporting period;

(C) for which a management decision was made during the reporting

period, including-

(i) the dollar value of recommendations that were agreed to by

management; and

(ii) the dollar value of recommendations that were not agreed to by

management; and

(D) for which no management decision has been made by the end of

the reporting period;

(10) a summary of each audit report, inspection reports [report], and

evaluation reports [report] issued before the commencement of the

reporting period for which no management decision has been made by

the end of the reporting period (including the date and title of each such

report), an explanation of the reasons such management decision has not

been made, and a statement concerning the desired timetable for

achieving a management decision on each such report;

(I1) a description and explanation of the reasons for any significant

revised management decision made during the reporting period;

(12) information concerning any significant management decision with

which the Inspector General is in disagreement; and
Inspector General Act of 1978 (P.L. 95-452) 833

(13) the information described under section 05(b) of the Federal

Financial Management Improvement Act of 1996.

(b) Semiannual reports of each Inspector General shall be furnished to

the head of the establishment involved not later than April 30 and

October 31 of each year and shall be transmitted by such head to the

appropriate committees or subcommittees of the Congress within thirty

days after receipt of the report, together with a report by the head of the

establishment containing-

(1) any comments such head determines appropriate;

(2) statistical tables showing the total number of audit reports,

inspection reports, and evaluation reports and the dollar value of

disallowed costs, for audit reports-

(A) for which final action had not been taken by the commencement

of the reporting period;

(B) on which management decisions were made during the reporting

period;

(C) for which final action was taken during the reporting period,

including-

(i) the dollar value of disallowed costs that were recovered by

management through collection, offset, property in lieu of cash, or

otherwise; and

(ii) the dollar value of disallowed costs that were written off by

management; and

(D) for which no final action has been taken by the end of the

reporting period;

(3) statistical tables showing the total number of audit reports,

inspection reports, and evaluation reports and the dollar value of

recommendations that funds be put to better use by management agreed

to in a management decision, for audit reports-

(A) for which final action had not been taken by the commencement

of the reporting period;

(B) on which management decisions were made during the reporting

period;

(C) for which final action was taken during the reporting period,

including-

(i) the dollar value of recommendations that were actually

completed: and

(ii) the dollar value of recommendations that management has

subsequently concluded should not or could not be implemented or

completed; and

(D) for which no final action has been taken by the end of the

reporting period, and

(4) a statement with respect to audit reports on which management

decisions have been made but final action has not been taken, other than

audit reports on which a management decision was made within the

preceding year, containing-

(A) a list of such audit reports and the date each such report was

issued;

(B) the dollar value of disallowed costs for each report;

(C) the dollar value of recommendations that funds be put to better

use agreed to by management for each report; and

(D) an explanation of the reasons final action has not been taken with

respect to each such audit report,

except that such statement may exclude such audit reports that are

under formal administrative or judicial appeal or upon which
834 Inspector General Act of 1978 (P.L. 95-452)

management of an establishment has agreed to pursue a legislative

solution, but shall identify the number of reports in each category so

excluded.

(c) Within sixty days of the transmission of the semiannual reports of

each Inspector General to the Congress, the head of each establishment

shall make copies of such report available to the public upon request and

at a reasonable cost. Within 60 days after the transmission of the

semiannual reports of each establishment head to the Congress, the head

of each establishment shall make copies of such report available to the

public upon request and at a reasonable cost.

(d) Each Inspector General shall report immediately to the head of the

establishment involved whenever the Inspector General becomes aware

of particularly serious or flagrant problems, abuses, or deficiencies

relating to the administration of programs and operations of such

establishment. The head of the establishment shall transmit any such

report to the appropriate committees or subcommittees of Congress

within seven calendar days, together with a report by the head of the

establishment containing any comments such head deems appropriate,

(e) (I) Nothing in this section shall be construed to authorize the public

disclosure of information which is-

(A) specifically prohibited from disclosure by any other provision of

law;

(B) specifically required by Executive order to be protected from

disclosure in the interest of national defense or national security or in the

conduct of foreign affairs; or

(C) a part of an ongoing criminal investigation.

(2) Notwithstanding paragraph (1)(C), any report under this section

may be disclosed to the public in a form which includes information with

respect to a part of an ongoing criminal investigation if such information

has been included in a public record.

(3) Except to the extent and in the manner provided under section

6103(0 of the Internal Revenue Code of 1986, nothing in this section or

in any other provision of this Act shall be construed to authorize or

permit the withholding of information from the Congress, or from any committee or subcommittee thereof.

(f) As used in this section-

(I) the term "questioned cost" means a cost that is questioned by the

Office because of-

(A) an alleged violation of a provision of a law, regulation, contract,

grant, cooperative agreement, or other agreement or document governing

the expenditure of funds;

(B) a finding that, at the time of the audit, such cost is not supported

by adequate documentation; or

(C) a finding that the expenditure of funds for the intended purpose is

unnecessary or unreasonable;

(2) the term "unsupported cost" means a cost that is questioned by the

Office because the Office found that, at the time of the audit, such cost is

not supported by adequate documentation;

(3) the term "disallowed cost" means a questioned cost that

management, in a management decision, has sustained or agreed should

not be charged to the Government;

(4) the term "recommendation that funds be put to better use" means a

recommendation by the Office that funds could be used more efficiently

if management of an establishment took actions to implement and

complete the recommendation, including-
Insvector General Act of 1978 (P.L. 95-452) 835

(A) reductions in outlays;

(B) deobligation of funds from programs or operations;

(C) withdrawal of interest subsidy costs on loans or loan guarantees,

insurance, or bonds;

(D) costs not incurred by implementing recommended improvements

related to the operations of the establishment, a contractor or grantee;

(E) avoidance of unnecessary expenditures noted in preaward reviews

of contract or grant agreements; or

(F) any other savings which are specifically identified;

(5) the term "management decision" means the evaluation by the

management of an establishment of the findings and recommendations

included in an audit report and the issuance of a final decision by

management concerning its response to such findings and

recommendations, including actions concluded to be necessary; and

(6) the term "final action" means-

(A) the completion of all actions that the management of an

establishment has concluded, in its management decision, are necessary

with respect to the findings and recommendations included in an audit

report; and

(B) in the event that the management of an establishment concludes

no action is necessary, final action occurs when a management decision

has been made.'

See. 6. Authority Of Inspector General; Information And

Assistance From Federal Agencies, Unreasonable Refusal, Office

Space And Equipment

(a) In addition to the authority otherwise provided by this Act, each

Inspector General, in carrying out the provisions of this Act, is

authorized-

(1) to have access to all records, reports, audits, reviews, documents,

papers, recommendations, or other material available to the applicable

establishment which relate to programs and operations with respect to

which that Inspector General has responsibilities under this Act;

(2) to make such investigations and reports relating to the

administration of the programs and operations of the applicable

establishment as are, in the judgment of the Inspector General, necessary

or desirable;

(3) to request such information or assistance as may be necessary for

carrying out the duties and responsibilities provided by this Act from any

Federal, State, or local governmental agency or unit thereof;

(4) to require by subpoena the production of all information,

documents, reports, answers, records, accounts, papers, and other data in

any medium (including electronically stored information, as well as any

tangible thing) and documentary evidence necessary in the performance

of the functions assigned by this Act, which subpena, in the case of

contumacy or refusal to obey, shall be enforceable by order of any

appropriate United States district court: Provided, That procedures other

than subpenas shall be used by the Inspector General to obtain

documents and information from Federal agencies;

(5) to administer to or take from any person an oath, affirmation, or affidavit, whenever necessary in the performance of the functions

assigned by this Act, which oath, affirmation, or affidavit when

administered or taken by or before an employee of an Office of Inspector

'Amended by P.L. 97-252, Title X1, § 1117(c), 96 Stat. 752 (1982): P.L. 100-504. Title I. §§ 102(g), 106(a)-

(d), 102 Stat. 2521, 2525, 2527 (1988); P.L. 104-208, Div. A, Title I, § 101(f) [Title ViII, § 805(c)], 110 Stat.

3009-393 (1996), P.L. 110-409, § 12, 122 Stat. 4315 (2008).
836 Inspector General Act of 1978 (P.L. 95-452)

General designated by the Inspector General shall have the same force

and effect as if administered or taken by or before an officer having a

seal;

(6) to have direct and prompt access to the head of the establishment

involved when necessary for any purpose pertaining to the performance

of functions and responsibilities under this Act;

(7) to select, appoint, and employ such officers and employees as may

be necessary for carrying out the functions, powers, and duties of the

Office subject to the provisions of title 5, United States Code, governing

appointments in the competitive service, and the provisions of chapter 51

and subchapter III of chapter 53 of such title relating to classification and

General Schedule pay rates;

(8) to obtain services as authorized by section 3109 of title 5, United

States Code, at daily rates not to exceed the equivalent rate prescribed for

grade GS-18 of the General Schedule by section 5332 of title 5, United

States Code; and

(9) to the extent and in such amounts as may be provided in advance by

appropriations Acts, to enter into contracts and other arrangements for

audits, studies, analyses, and other services with public agencies and with

private persons, and to make such payments as may be necessary to carry

out the provisions of this Act.

(b) (1) Upon request of an Inspector General for information or

assistance under subsection (a)(3), the head of any Federal agency

involved shall, insofar as is practicable and not in contravention of any

existing statutory restriction or regulation of the Federal agency from

which the information is requested, furnished to such Inspector General,

or to an authorized designee, such information or assistance.

(2) Whenever information or assistance requested under subsection

(a)(1) or (a)(3) is, in the judgment of an Inspector General, unreasonably

refused or not provided, the Inspector General shall report the

circumstances to the head of the establishment involved without delay.

(c) Each head of an establishment shall provide the Office within such

establishment with appropriate and adequate office space at central and

field office locations of such establishment, together with such

equipment, office supplies, and communications facilities and services as

may be necessary for the operation of such offices, and shall provide

necessary maintenance services for such offices and the equipment and

facilities located therein.

(d) (1) (A) For purposes of applying the provisions of law identified in

subparagraph (B)-

(i) each Office of Inspector General shall be considered to be a

separate agency; and

(ii) the Inspector General who is the head of an office referred to in

clause (i) shall, with respect to such office, have the functions, powers,

and duties of an agency head or appointing authority under such

provisions.

(B) This paragraph applies with respect to the following provisions of

title 5, United States Code:

(i) Subchapter II of chapter 35.

(ii) Sections 8335(b), 8336, 8344, 8414, 8468, and 8425(b). (iii) All provisions relating to the Senior Executive Service (as

determined by the Office of Personnel Management), subject to

paragraph (2).

(2) For purposes of applying section 4507(b) of title 5, United States

Code, paragraph (l)(A)(ii) shall be applied by substituting "the Council
Inspector General Act of 1978 (P.L. 95-452) 837

of the Inspectors General on Integrity and Efficiency (established by

section II of the Inspector General Act) shall" for "the Inspector General

who is the head of an office referred to in clause (i) shall, with respect to

such office,".

(e) (1) In addition to the authority otherwise provided by this Act, each

Inspector General, any Assistant Inspector General for Investigations

under such an Inspector General, and any special agent supervised by

such an Assistant Inspector General may be authorized by the Attorney

General to-

(A) carry a firearm while engaged in official duties as authorized

under this Act or other statute, or as expressly authorized by the Attorney

General;

(B) make an arrest without a warrant while engaged in official duties

as authorized under this Act or other statute, or as expressly authorized

by the Attorney General, for any offense against the United States

committed in the presence of such Inspector General, Assistant Inspector

General, or agent, or for any felony cognizable under the laws of the

United States if such Inspector General, Assistant Inspector General, or agent has reasonable grounds to believe that the person to be arrested has

committed or is committing such felony; and

(C) seek and execute warrants for arrest, search of a premises, or

seizure of evidence issued under the authority of the United States upon

probable cause to believe that a violation has been committed.

(2) The Attorney General may authorize exercise of the powers under

this subsection only upon an initial determination that-

(A) the affected Office of Inspector General is significantly hampered

in the performance of responsibilities established by this Act as a result

of the lack of such powers;

(B) available assistance from other law enforcement agencies is

insufficient to meet the need for such powers; and

(C) adequate internal safeguards and management procedures exist to

ensure proper exercise of such powers.

(3) The Inspector General offices of the Department of Commerce,

Department of Education, Department of Energy, Department of Health

and Human Services, Department of Homeland Security, Department of

Housing and Urban Development, Department of the Interior,

Department of Justice, Department of Labor, Department of State,

Department of Transportation, Department of the Treasury, Department

of Veterans Affairs, Agency for International Development,

Environmental Protection Agency, Federal Deposit Insurance

Corporation, Federal Emergency Management Agency, General Services

Administration, National Aeronautics and Space Administration, Nuclear

Regulatory Commission, Office of Personnel Management, Railroad

Retirement Board, Small Business Administration, Social Security

Administration, and the Tennessee Valley Authority are exempt from the

requirement of paragraph (2) of an initial determination of eligibility by

the Attorney General.

(4) The Attorney General shall promulgate, and revise as appropriate,

guidelines which shall govern the exercise of the law enforcement

powers established under paragraph (I).

(5)(A) Powers authorized for an Office of Inspector General under

paragraph (1) may be rescinded or suspended upon a determination by

the Attorney General that any of the requirements under paragraph (2) is

no longer satisfied or that the exercise of authorized powers by that
838 Inspector General Act of 1978 (P.L. 95-452)

Office of Inspector General has not complied with the guidelines

promulgated by the Attorney General under paragraph (4).

(B) Powers authorized to be exercised by any individual under

paragraph (1) may be rescinded or suspended with respect to that

individual upon a determination by the Attorney General that such

individual has not complied with guidelines promulgated by the Attorney

General under paragraph (4).

(6) A determination by the Attorney General under paragraph (2) or (5)

shall not be reviewable in or by any court.

(7) To ensure the proper exercise of the law enforcement powers

authorized by this subsection, the Offices of Inspector General described

under paragraph (3) shall, not later than 180 days after the date of

enactment of this subsection [enacted Nov. 25, 2002], collectively enter

into a memorandum of understanding to establish an external review

process for ensuring that adequate internal safeguards and management

procedures continue to exist within each Office and within any Office

that later receives an authorization under paragraph (2). The review

process shall be established in consultation with the Attorney General,

who shall be provided with a copy of the memorandum of understanding

that establishes the review process. Under the review process, the

exercise of the law enforcement powers by each Office of Inspector

General shall be reviewed periodically by another Office of Inspector

General or by a committee of Inspectors General. The results of each

review shall be communicated in writing to the applicable Inspector

General and to the Attorney General.

(8) No provision of this subsection shall limit the exercise of law

enforcement powers established under any other statutory authority,

including United States Marshals Service special deputation.

(9) In this subsection, the term "Inspector General" means an Inspector

General appointed under section 3 or an Inspector General appointed

under section 8G.

(f) (1) For each fiscal year, an Inspector General shall transmit a budget

estimate and request to the head of the establishment or designated

Federal entity to which the Inspector General reports. The budget request

shall specify the aggregate amount of funds requested for such fiscal year

for the operations of that Inspector General and shall specify the amount

requested for all training needs, including a certification from the

Inspector General that the amount requested satisfies all training

requirements for the Inspector General's office for that fiscal year, and

any resources necessary to support the Council of the Inspectors General

on Integrity and Efficiency. Resources necessary to support the Council

of the Inspectors General on Integrity and Efficiency shall be specifically

identified and justified in the budget request.

(2) In transmitting a proposed budget to the President for approval, the

head of each establishment or designated Federal entity shall include--

(A) an aggregate request for the Inspector General;

(B) amounts for Inspector General training;

(C) amounts for support of the Council of the Inspectors General on Integrity and Efficiency; and

(D) any comments of the affected Inspector General with respect to

the proposal.

(3) The President shall include in each budget of the United States

Government submitted to Congress-

(A) a separate statement of the budget estimate prepared in

accordance with paragraph (1);
InSDector General Act of 1978 (P.L. 95-452) 839

(B) the amount requested by the President for each Inspector General;

(C) the amount requested by the President for training of Inspectors

General;

(D) the amount requested by the President for support for the Council

of the Inspectors General on Integrity and Efficiency; and

(E) any comments of the affected Inspector General with respect to

the proposal if the Inspector General concludes that the budget submitted

by the President would substantially inhibit the Inspector General from

performing the duties of the office. 9

Sec. 7. Complaints By Employees. Disclosure Of Identity; Reprisals

(a) The Inspector General may receive and investigate complaints or

information from an employee of the establishment concerning the

possible existence of an activity constituting a violation of law, rules, or

regulations, or mismanagement, gross waste of funds, abuse of authority

or a substantial and specific danger to the public health and safety.

(b) The Inspector General shall not, after receipt of a complaint or

information from an employee, disclose the identity of the employee

without the consent of the employee, unless the Inspector General

determines such disclosure is unavoidable during the course of the

investigation.

(c) Any employee who has authority to take, direct others to take,

recommend, or approve any personnel action, shall not with respect to

such authority, take or threaten to take any actions against any employee

as a reprisal for making a complaint or disclosing information to an

Inspector General, unless the complaint was made for the information

disclosed with the knowledge that it was false or with willful disregard

for its truth or falsity.

Sec. 8. Additional Provisions With Respect To The Inspector

General Of The Department Of Defense

(a) No member of the Armed Forces, active or reserve, shall be appointed

Inspector General of the Department of Defense.

(b) (1) Notwithstanding the last two sentences of section 3(a), the

Inspector General shall be under the authority, direction, and control of

the Secretary of Defense with respect to audits or investigations, or the

issuance of subpoenas, which require access to information concerning--

(A) sensitive operational plans;

(B) intelligence matters;

(C) counterintelligence matters;

(D) ongoing criminal investigations by other administrative units of

the Department of Defense related to national security; or

(E) other matters the disclosure of which would constitute a serious

threat to national security.

(2) With respect to the information described in paragraph (1) the

Secretary of Defense may prohibit the Inspector General from initiating,

carrying out, or completing any audit or investigation, or from issuing

any subpoena, after the Inspector General has decided to initiate, carry

out or complete such audit or investigation or to issue such subpoena, if

the Secretary determines that such prohibition is necessary to preserve

the national security interests of the United States.

(3) If the Secretary of Defense exercises any power under paragraph (1)

or (2), the Inspector General shall submit a statement concerning such

exercise within thirty days to the Committees on Armed Services and

9

Amended by P.L. 100-504, Title I, §§ 107, 110(a), 102 Stat. 2528, 2529 (1988); P.L. 107-296, Title VIII,

Subtitle B, § 812(a), 116 Stat. 2222 (2002); P.L. 110-409, §§ 8, 9, II, 14(a), 122 Stat. 4313, 4315, 4316

(2008).
840 Inspector General Act of 1978 (P.L. 95-452)

[Homeland Security and] Governmental Affairs of the Senate and the

Committee on Armed Services and the Committee on Government

Reform and Oversight of the House of Representatives and to other

appropriate committees or subcommittees of the Congress.

(4) The Secretary shall, within thirty days after a submission of a

statement under paragraph (3), transmit a statement of the reasons for the

exercise of power under paragraph (1) or (2) to the congressional

committees specified in paragraph (3) and to other appropriate

committees or subcommittees.

(c) In addition to the other duties and responsibilities specified in this

Act, the Inspector General of the Department of Defense shall-

(I) be the principal adviser to the Secretary of Defense for matters

relating to the prevention and detection of fraud, waste, and abuse in the

programs and operations of the Department;

(2) initiate, conduct, and supervise such audits and investigations in the

Department of Defense (including the military departments) as the

Inspector General considers appropriate;

(3) provide policy direction for audits and investigations relating to

fraud, waste, and abuse and program effectiveness;

(4) investigate fraud, waste, and abuse uncovered as a result of other

contract and internal audits, as the Inspector General considers

appropriate;

(5) develop policy, monitor and evaluate program performance, and

provide guidance with respect to all Department activities relating to

criminal investigation programs;

(6) monitor and evaluate the adherence of Department auditors to

internal audit, contract audit, and internal review principles, policies, and

procedures;

(7) develop policy, evaluate program performance, and monitor actions

taken by all components of the Department in response to contract audits,

internal audits, internal review reports, and audits conducted by the

Comptroller General of the United States;

(8) request assistance as needed from other audit, inspection, and

investigative units of the Department of Defense (including military

departments); and

(9) give particular regard to the activities of the internal audit,

inspection, and investigative units of the military departments with a

view toward avoiding duplication and insuring effective coordination and

cooperation.

(d) Notwithstanding section 4(d), the Inspector General of the

Department of Defense shall expeditiously report suspected or alleged

violations of chapter 47 of title 10, United States Code (Uniform Code of

Military Justice), to the Secretary of the military department concerned or

the Secretary of Defense.

(e) For the purposes of section 7, a member of the Armed Forces shall be

deemed to be an employee of the Department of Defense, except that,

when the Coast Guard operates as a service of another department or

agency of the Federal Government, a member of the Coast Guard shall be

deemed to be an employee of such department or agency.

(f) (I) Each semiannual report prepared by the Inspector General of the

Department of Defense under section 5(a) shall include information

concerning the numbers and types of contract audits conducted by the

Department during the reporting period. Each such report shall be

transmitted by the Secretary of Defense to the Committees on Armed

Services and Governmental Affairs of the Senate and the Committee on
Inspector General Act of 1978 (P. L. 95-452) 841

Armed Services and the Committee on Government Reform and

Oversight of the House of Representatives and to other appropriate

committees or subcommittees of the Congress.

(2) Any report required to be transmitted by the Secretary of Defense to

the appropriate committees or subcommittees of the Congress under

section 5(d) shall also be transmitted, within the seven-day period

specified in such section, to the congressional committees specified in

paragraph (I).

(g) The provisions of section 1385 of title 18, United States Code, shall

not apply to audits and investigations conducted by, under the direction

of, or at the request of the Inspector General of the Department of

Defense to carry out the purposes of this Act.

(h) (1) There is a General Counsel to the Inspector General of the

Department of Defense, who shall be appointed by the Inspector General

of the Department of Defense.

(2) (A) Notwithstanding section 140(b) of title 10, United States Code,

the General Counsel is the chief legal officer of the Office of the

Inspector General.

(B) The Inspector General is the exclusive legal client of the General

Counsel.

(C) The General Counsel shall perform such functions as the

Inspector General may prescribe.

(D) The General Counsel shall serve at the discretion of the Inspector

General.

(3) There is an Office of the General Counsel to the Inspector General

of the Department of Defense. The Inspector General may appoint to the

Office to serve as staff of the General Counsel such legal counsel as the

Inspector General considers appropriate.

(i) (1) The Inspector General of the Department of Defense is authorized

to require by subpoena the attendance and testimony of witnesses as

necessary in the performance of functions assigned to the Inspector

General by this Act, except that the Inspector General shall use

procedures other than subpoenas to obtain attendance and testimony from

Federal employees.

(2) A subpoena issued under this subsection, in the case of contumacy or refusal to obey, shall be enforceable by order of any appropriate

United States district court.

(3) The Inspector General shall notify the Attorney General 7 days

before issuing any subpoena under this section.'0

Sec. 8A. Special Provisions Relating To The Agency For

International Development

(a) In addition to the other duties and responsibilities specified in this

Act, the Inspector General of the Agency for International Development

shall supervise, direct, and control all security activities relating to the

programs and operations of that Agency, subject to the supervision of the

Administrator of that Agency.

(b) In addition to the Assistant Inspector Generals provided for in

section 3(d) of this Act, the Inspector General of the Agency for

International Development shall, in accordance with applicable laws and

regulations governing the civil service, appoint an Assistant Inspector

'Amended P.L. 97-252, Title XI, § 1117(b), 96 Stat. 751 (1982); P.L. 100-504, Title I. § 110(b), 102 Slat.

2529 (1988); P.L. 104-106, Div. A, Title X V, § 1502(l)(6), 110 Stat. 510 (1996); P.L. 106-65, Div. A, Title X, Subtitle G, § 1067(17), 113 Stat. 775 (1999); P.L. 110-417 [Div. A,] Title IX, Subtitle A, § 907, 122 Stat. 4569

(2008): P.L. 111-84, Div. A, Title X, Subtitle D, § 1042, 123 Slat. 2455 (2009).
842 Inspector General Act of 1978 (P.L. 95-452)

General for Security who shall have the responsibility for supervising the

performance of security activities relating to programs and operations of

the Agency for International Development.

(c) In addition to the officers and employees provided for in section

6(a)(6) of this Act, members of the Foreign Service may, at the request of

the Inspector General of the Agency for International Development, be

assigned as employees of the Inspector General. Members of the Foreign Service so assigned shall be responsible solely to the Inspector General,

and the Inspector General (or his or her designee) shall prepare the

performance evaluation reports for such members.

(d) In establishing and staffing field offices pursuant to section 6(c) of

this Act, the Administrator of the Agency for International Development

shall not be bound by overseas personnel ceilings established under the

monitoring Overseas Direct Employment policy.

(e) The Inspector General of the Agency for International

Development shall be in addition to the officers provided for in section

624(a) of the Foreign Assistance Act of 1961 [22 USC 2384(a)].

(f) As used in this Act, the term "Agency for International

Development" includes any successor agency primarily responsible for

administering Part I of the Foreign Assistance Act of 1961, an employee of the Inter-American Foundation, and an employee of the African

Development Foundation."'

(g), (h) Redesignated (e), (f). See. 8B. Special Provisions Concerning The Nuclear Regulatory

Commission

(a) The Chairman of the Commission may delegate the authority specified in the second sentence of section 3(a) to another member of the

Nuclear Regulatory Commission, but shall not delegate such authority to

any other officer or employee of the Commission.

(b) Notwithstanding sections 6(a)(7) and (8), the Inspector General of

the Nuclear Regulatory Commission is authorized to select, appoint, and

employ such officers and employees as may be necessary for carrying out

the functions, powers and duties of the Office of Inspector General and to

obtain the temporary or intermittent services of experts or consultants or

an organization thereof, subject to the applicable laws and regulations

that govern such selections, appointments and employment, and the

obtaining of such services, within the Nuclear Regulatory Commission.

Sec. 8C. Special Provisions Concerning The Federal Deposit

Insurance Corporation

(a) DELEGATION.-The Chairperson of the Federal Deposit Insurance Corporation may delegate the authority specified in the second

sentence of section 3(a) to the Vice Chairperson of the Board of

Directors of the Federal Deposit Insurance Corporation, but may not

delegate such authority to any other officer or employee of the

Corporation. (b) PERSONNEL.-Notwithstanding paragraphs (7) and (8) of section

6(a), the Inspector General of the Federal Deposit Insurance Corporation

may select, appoint, and employ such officers and employees as may be

necessary for carrying out the functions, powers, and duties of the Office

of Inspector General and to obtain the temporary or intermittent services

of experts or consultants or an organization of experts or consultants,

subject to the applicable laws and regulations that govern such selections,

"As amended Public Law 105-277, Div. G, Title XIV, section 1422(b)(2), 112 Stat. 2681-792 (1998). Public

Law 106-113, Div. B, section 1000(a)(7) [Div. A, Title I, section 205], 113 Stat. 1536, 1501A-422 (1999).
Inspector General Act of 1978 (P.L. 95-452) 843

appointments, and employment, and the obtaining of such services,

within the Federal Deposit Insurance Corporation.;

See. 8D. Special Provisions Concerning The Department Of The

Treasury

(a) (1) Notwithstanding the last two sentences of section 3(a), the

Inspector General of the Department of the Treasury shall be under the

authority, direction, and control of the Secretary of the Treasury with

respect to audits or investigations, or the issuance of subpenas, which

require access to sensitive information concerning--

(A) ongoing criminal investigations or proceedings;

(B) undercover operations;

(C) the identity of confidential sources, including protected witnesses;

(D) deliberations and decisions on policy matters, including

documented information used as a basis for making policy decisions, the

disclosure of which could reasonably be expected to have a significant

influence on the economy or market behavior;

(E) intelligence or counterintelligence matters; or

(F) other matters the disclosure of which would constitute a serious

threat to national security or to the protection of any person or property

authorized protection by section 3056 of title 18, United States Code,

section 3056A of title 18, United States Code, or any provision of the

Presidential Protection Assistance Act of 1976 (18 U.S.C. 3056 note;

Public Law 94-524).

(2) With respect to the information described under paragraph (1), the

Secretary of the Treasury may prohibit the Inspector General of the

Department of the Treasury from carrying out or completing any audit or

investigation, or from issuing any subpena, after such Inspector General

has decided to initiate, carry out, or complete such audit or investigation

or to issue such subpena, if the Secretary determines that such prohibition

is necessary to prevent the disclosure of any information described under

paragraph (1) or to prevent significant impairment to the national

interests of the United States.

(3) If the Secretary of the Treasury exercises any power under

paragraph (1) or (2), the Secretary of the Treasury shall notify the

Inspector General of the Department of the Treasury in writing stating

the reasons for such exercise. Within 30 days after receipt of any such

notice, the Inspector General of the Department of the Treasury shall

transmit a copy of such notice to the Committees on [Homeland Security

and] Governmental Affairs and Finance of the Senate and the

Committees on Government Operations and Ways and Means of the

House of Representatives, and to other appropriate committees or

subcommittees of the Congress.

(4) The Secretary of the Treasury may not exercise any power under

paragraph (1) or (2) with respect to the Treasury Inspector General for

Tax Administration.

(b) (1) In carrying out the duties and responsibilities specified in this Act,

the Inspector General of the Department of the Treasury shall have

oversight responsibility for the internal investigations performed by the

Office of Internal Affairs of the Tax and Trade Bureau. The head of such

office shall promptly report to the Inspector General of the Department of

the Treasury the significant activities being carried out by such office.

(2) The Inspector General of the Department of the Treasury shall

exercise all duties and responsibilities of an Inspector General for the

Department of the Treasury other than the duties and responsibilities

exercised by the Treasury Inspector General for Tax Administration.
844 Inspector General Act of 1978 (P.L. 95-452)

(3) The Secretary of the Treasury shall establish procedures under

which the Inspector General of the Department of the Treasury and the

Treasury Inspector General for Tax Administration will-

(A) determine how audits and investigations are allocated in cases of

overlapping jurisdiction; and

(B) provide for coordination, cooperation, and efficiency in the

conduct of such audits and investigations.

(c) Notwithstanding subsection (b), the Inspector General of the

Department of the Treasury may initiate, conduct and supervise such

audits and investigations in the Department of the Treasury (including

the bureau referred to in subsection (b)) as the Inspector General of the

Department of the Treasury considers appropriate.

(d) If the Inspector General of the Department of the Treasury initiates an

audit or investigation under subsection (c) concerning the bureau referred

to in subsection (b), the Inspector General of the Department of the

Treasury may provide the head of the office of such bureau referred to in

subsection (b) with written notice that the Inspector General of the

Department of the Treasury has initiated such an audit or investigation. If

the Inspector General of the Department of the Treasury issues a notice

under the preceding sentence, no other audit or investigation shall be

initiated into the matter under audit or investigation by the Inspector

General of the Department of the Treasury and any other audit or

investigation of such matter shall cease.

(e) (1) The Treasury Inspector General for Tax Administration shall have

access to return information, as defined in section 6103(b) of the Internal

Revenue Code of 1986, only in accordance with the provisions of section

6103 of such Code and this Act.

(2) The Internal Revenue Service shall maintain the same system of

standardized records or accountings of all requests from the Treasury

Inspector General for Tax Administration for inspection or disclosure of

returns and return information (including the reasons for and dates of

such requests), and of returns and return information inspected or

disclosed pursuant to such requests, as described under section

6103(p)(3)(A) of the Internal Revenue Code of 1986. Such system of

standardized records or accountings shall also be available for

examination in the same manner as provided under section 6103(p)(3) of

the Internal Revenue Code of 1986.

(3) The Treasury Inspector General for Tax Administration shall be

subject to the same safeguards and conditions for receiving returns and

return information as are described under section 6 10 3(p)( 4 ) of the

Internal Revenue Code of 1986.

(f) An audit or investigation conducted by the Inspector General of the

Department of the Treasury or the Treasury Inspector General for Tax

Administration shall not affect a final decision of the Secretary of the

Treasury or his delegate under section 6406 of the Internal Revenue Code

of 1986.

(g) (1) Any report required to be transmitted by the Secretary of the

Treasury to the appropriate committees or subcommittees of the

Congress under section 5(d) shall also be transmitted, within the sevenday period specified under such section, to the Committees on

[Homeland Security and] Governmental Affairs and Finance of the

Senate and the Committees on Government Reform and Oversight and

Ways and Means of the House of Representatives.

(2) Any report made by the Treasury Inspector General for Tax

Administration that is required to be transmitted by the Secretary of the
Inspector General Act of 1978 (P.L. 95-452) 845

Treasury to the appropriate committees or subcommittees of Congress

under section 5(d) shall also be transmitted, within the 7-day period

specified under such subsection, to the Internal Revenue Service

Oversight Board and the Commissioner of Internal Revenue.

(h) The Treasury Inspector General for Tax Administration shall

exercise all duties and responsibilities of an Inspector General of an

establishment with respect to the Department of the Treasury and the

Secretary of the Treasury on all matters relating to the Internal Revenue

Service. The Treasury Inspector General for Tax Administration shall

have sole authority under this Act to conduct an audit or investigation of

the Internal Revenue Service Oversight Board and the Chief Counsel for

the Internal Revenue Service.

(i) In addition to the requirements of the first sentence of section 3(a), the

Treasury Inspector General for Tax Administration should have

demonstrated ability to lead a large and complex organization.

() An individual appointed to the position of Treasury Inspector General

for Tax Administration, the Assistant Inspector General for Auditing of

the Office of the Treasury Inspector General for Tax Administration

under section 3(d)(I), the Assistant Inspector General for Investigations

of the Office of the Treasury Inspector General for Tax Administration

under section 3(d)(2), or any position of Deputy Inspector General of the

Office of the Treasury Inspector General for Tax Administration may not

be an employee of the Internal Revenue Service-

(1) during the 2-year period preceding the date of appointment to such

position; or

(2) during the 5-year period following the date such individual ends

service in such position.

(k) (1) In addition to the duties and responsibilities exercised by an inspector general of an establishment, the Treasury Inspector General for

Tax Administration-

(A) shall have the duty to enforce criminal provisions under section

7608(b) of the Internal Revenue Code of 1986;

(B) in addition to the functions authorized under section 7608(b)(2)

of such Code, may carry firearms;

(C) shall be responsible for protecting the Internal Revenue Service

against external attempts to corrupt or threaten employees of the Internal

Revenue Service, but shall not be responsible for the conducting of

background checks and the providing of protection to the Commissioner

of Internal Revenue; and

(D) may designate any employee in the Office of the Treasury

Inspector General for Tax Administration to enforce such laws and

perform such functions referred to under subparagraphs (A), (B), and (C).

(2)(A) In performing a law enforcement function under paragraph (1),

the Treasury Inspector General for Tax Administration shall report any

reasonable grounds to believe there has been a violation of Federal

criminal law to the Attorney General at an appropriate time as

determined by the Treasury Inspector General for Tax Administration,

notwithstanding section 4(d).

(B) In the administration of section 5(d) and subsection (g)(2) of this

section, the Secretary of the Treasury may transmit the required report

with respect to the Treasury Inspector General for Tax Administration at

an appropriate time as determined by the Secretary, if the problem,

abuse, or deficiency relates to-

(i) the performance of a law enforcement function under paragraph

(1); and
846 Inspector General Act of 1978 (P.L. 95-452)

(ii) sensitive information concerning matters under subsection

(a)(l)(A) through (F).

(3) Nothing in this subsection shall be construed to affect the authority

of any other person to carry out or enforce any provision specified in

paragraph (1).

(I) (1) The Commissioner of Internal Revenue or the Internal Revenue

Service Oversight Board may request, in writing, the Treasury Inspector

General for Tax Administration to conduct an audit or investigation

relating to the Internal Revenue Service. If the Treasury Inspector

General for Tax Administration determines not to conduct such audit or

investigation, the Inspector General shall timely provide a written

explanation for such determination to the person making the request.

(2) (A) Any final report of an audit conducted by the Treasury

Inspector General for Tax Administration shall be timely submitted by

the Inspector General to the Commissioner of Internal Revenue and the

Internal Revenue Service Oversight Board.

(B) The Treasury Inspector General for Tax Administration shall

periodically submit to the Commissioner and Board a list of

investigations for which a final report has been completed by the

Inspector General and shall provide a copy of any such report upon

request of the Commissioner or Board.

(C) This paragraph applies regardless of whether the applicable audit

or investigation is requested under paragraph (1).

See. 8E. Special Provisions Concerning The Department Of Justice

(a) (1) Notwithstanding the last two sentences of section 3(a), the

Inspector General shall be under the authority, direction, and control of

the Attorney General with respect to audits or investigations, or the

issuance of subpenas, which require access to sensitive information

concerning--

(A) ongoing civil or criminal investigations or proceedings;

(B) undercover operations;

(C) the identity of confidential sources, including protected witnesses;

(D) intelligence or counterintelligence matters; or

(E) other matters the disclosure of which would constitute a serious

threat to national security.

(2) With respect to the information described under paragraph (1), the

Attorney General may prohibit the Inspector General from carrying out

or completing any audit or investigation, or from issuing any subpena, after such Inspector General has decided to initiate, carry out, or

complete such audit or investigation or to issue such subpena, if the

Attorney General determines that such prohibition is necessary to prevent

the disclosure of any information described under paragraph (1) or to

prevent the significant impairment to the national interests of the United

States.

(3) If the Attorney General exercises any power under paragraph (1) or

(2), the Attorney General shall notify the Inspector General in writing

stating the reasons for such exercise. Within 30 days after receipt of any

such notice, the Inspector General shall transmit a copy of such notice to

the Committees on [Homeland Security and] Governmental Affairs and

Judiciary of the Senate and the Committees on Government Operations

"

2

As added P.L. 100-504, Title 1, § 102(0, 102 Stat. 2518 (1988); P.L. 103-204, § 23(a)(3), 107 Stat. 2408

(1993); P.L. 105-206, Title 1, Subtitle B, §§ 1103(b), (e)(1), (2), 112 Slat. 705, 709 (1998); P.L. 107-296,

Title XI, Subtitle B, § 11 12(a)(l), 116 Stat. 2276 (2002); P.L. 108-7, Div. L, § 104(c)(2), 117 Stat. 531 (2003);

P.L. 109-177, Title V1, § 605(e)(3), 120 Slat. 255 (2006); P.L. I 10-409, § 14(b), 122 Slat. 4316 (2008).
Inspector General Act of 1978 (P.L. 95-452) 847

and Judiciary of the House of Representatives, and to other appropriate

committees or subcommittees of the Congress.

(b) In carrying out the duties and responsibilities specified in this Act, the

Inspector General of the Department of Justice-

(I) may initiate, conduct and supervise such audits and investigations

in the Department of Justice as the Inspector General considers

appropriate;

(2) except as specified in subsection (a) and paragraph (3), may

investigate allegations of criminal wrongdoing or administrative

misconduct by an employee of the Department of Justice, or may, in the

discretion of the Inspector General, refer such allegations to the Office of

Professional Responsibility or the internal affairs office of the

appropriate component of the Department of Justice;

(3) shall refer to the Counsel, Office of Professional Responsibility of

the Department of Justice, allegations of misconduct involving

Department attorneys, investigators, or law enforcement personnel,

where the allegations relate to the exercise of the authority of an attorney

to investigate, litigate, or provide legal advice, except that no such

referral shall be made if the attorney is employed in the Office of

Professional Responsibility:

(4) may investigate allegations of criminal wrongdoing or administrative misconduct by a person who is the head of any agency or

component of tile Department of Justice; and

(5) shall forward the results of any investigation conducted under

paragraph (4), along with any appropriate recommendation for

disciplinary action, to the Attorney General.

(c) Any report required to be transmitted by the Attorney General to the

appropriate committees or subcommittees of the Congress under section

5(d) shall also be transmitted, within the seven-day period specified

under such section, to the Committees on the Judiciary and [Homeland

Security and] Governmental Affairs of the Senate and the Committees on

the Judiciary and Government Operations of the House of

Representatives.

(d) The Attorney General shall ensure by regulation that any component

of the Department of Justice receiving a nonfrivolous allegation of

criminal wrongdoing or administrative misconduct by an employee of the

Department of Justice, except with respect to allegations described in

subsection (b)(3), shall report that information to the Inspector General.13

Sec. 8F. Special Provisions Concerning The Corporation For

National And Community Service

(a) Notwithstanding the provisions of paragraphs (7) and (8) of section

6(a), it is within the exclusive jurisdiction of the Inspector General of the

Corporation for National and Community Service to--

(I) appoint and determine the compensation of such officers and

employees in accordance with section 195(b) of the National and

Community Service Act of 1990; and

(2) procure the temporary and intermittent services of and compensate

such experts and consultants, in accordance with section 3109(b) of title

5, United States Code, as may be necessary to carry out the functions,

powers, and duties of the Inspector General.

(b) No later than the date on which the Chief Executive Officer of the

Corporation for National and Community Service transmits any report to

"Oct. 12, 1978, P.L. 95-452, § 8E [8D], as added P.L. 100-504, Title 1, § 102(n, 102 Stat. 2520 (1988);

P.L. 103-204, § 23(a)(3), 107 Stat. 2408 (1993); P.L. 107-273, Div. A, Title III, § 308, 116 Stat. 1784 (2002).
848 Inspector General Act of 1978 (P.L. 95-452)

the Congress under subsection (a) or (b) of section 5, the Chief Executive

Officer shall transmit such report to the Board of Directors of such

Corporation.

(c) No later than the date on which the Chief Executive Officer of the

Corporation for National and Community Service transmits a report

described under section 5(b) to the Board of Directors as provided under

subsection (b) of this section, the Chief Executive Officer shall also

transmit any audit report which is described in the statement required

under section 5(b)(4) to the Board of Directors. All such audit reports

shall be placed on the agenda for review at the next scheduled meeting of

the Board of Directors following such transmittal. The Chief Executive

Officer of the Corporation shall be present at such meeting to provide

any information relating to such audit reports.

(d) No later than the date on which the Inspector General of the

Corporation for National and Community Service reports a problem,

abuse, or deficiency under section 5(d) to the Chief Executive Officer of

the Corporation, the Chief Executive Officer shall report such problem,

abuse, or deficiency to the Board of Directors.' 4

Sec. 8G. Requirements For Federal Entities And Designated Federal

Entities

(a) Notwithstanding section 12 of this Act, as used in this section--

(]) the term "Federal entity" means any Government corporation (within the meaning of section 103(l) of title 5, United States Code), any

Government controlled corporation (within the meaning of section

103(2) of such title), or any other entity in the Executive branch of the

Government, or any independent regulatory agency, but does not

include-

(A) an establishment (as defined under section 12(2) of this Act) or

part of an establishment;

(B) a designated Federal entity (as defined under paragraph (2) of this

subsection) or part of a designated Federal entity;

(C) the Executive Office of the President;

(D) the Central Intelligence Agency; (E) the General Accounting Office [Government Accountability

Office]; or

(F) any entity in the judicial or legislative branches of the

Government, including the Administrative Office of the United States

Courts and the Architect of the Capitol and any activities under the

direction of the Architect of the Capitol;

(2) the term "designated Federal entity" means Amtrak, the

Appalachian Regional Commission, the Board of Governors of the

Federal Reserve System, the Board for International Broadcasting, the

Commodity Futures Trading Commission, the Consumer Product Safety

Commission, the Corporation for Public Broadcasting, the Denali

Commission, the Equal Employment Opportunity Commission, the Farm

Credit Administration, the Federal Communications Commission, the

Federal Election Commission, the Election Assistance Commission, the

Federal Housing Finance Board, the Federal Labor Relations Authority,

the Federal Maritime Commission, the Federal Trade Commission, the

Legal Services Corporation, the National Archives and Records

Administration, the National Credit Union Administration, the National

Endowment for the Arts, the National Endowment for the Humanities,

"

4

Oct. 12, 1978, P.L. 95-452, § 8F [8E], as added P.L. 103-82, Title 11, § 202(g)(1), 107 Stat. 889 (1993); P.L. 103-204, §§ 23(a)(3), (4), 107 Stat. 2408 (1993); P.L. 111-13, Title IV, § 4101, 123 Slat. 1597 (2009).
Inspector General Act of 1978 (P.L. 95-452) 849

the National Labor Relations Board, the National Science Foundation,

the Panama Canal Commission, the Peace Corps, the Pension Benefit

Guaranty Corporation, the Securities and Exchange Commission, the

Smithsonian Institution, the United States International Trade

Commission, the Postal Regulatory Commission, and the United States

Postal Service;

(3) the term "head of the Federal entity" means any person or persons

designated by statute as the head of a Federal entity, and if no such

designation exists, the chief policymaking officer or board of a Federal

entity as identified in the list published pursuant to subsection (h)(l) of

this section;

(4) the term "head of the designated Federal entity" means any person

or persons designated by statute as the head of a designated Federal

entity and if no such designation exists, the chief policymaking officer or

board of a designated Federal entity as identified in the list published

pursuant to subsection (h)(I) of this section, except that-

(A) with respect to the National Science Foundation, such term

means the National Science Board; and

(B) with respect to the United States Postal Service, such term means

the Governors (within the meaning of section 102(3) of title 39, United

States Code);

(5) the term "Office of Inspector General" means an Office of Inspector

General of a designated Federal entity; and

(6) the tern "Inspector General" means an Inspector General of a

designated Federal entity.

(b) No later than 180 days after the date of the enactment of this section

[enacted Oct. 18, 1988], there shall be established and maintained in each

designated Federal entity an Office of Inspector General. The head of the

designated Federal entity shall transfer to such office the offices, units, or

other components, and the functions, powers, or duties thereof, that such

head determines are properly related to the functions of the Office of

Inspector General and would, if so transferred, further the purposes of

this section. There shall not be transferred to such office any program

operating responsibilities.

(c) Except as provided under subsection (f) of this section, the Inspector

General shall be appointed by the head of the designated Federal entity in

accordance with the applicable laws and regulations governing

appointments within the designated Federal entity. Each Inspector

General shall be appointed without regard to political affiliation and

solely on the basis of integrity and demonstrated ability in accounting,

auditing, financial analysis, law, management analysis, public

administration, or investigations.

(d) Each Inspector General shall report to and be under the general

supervision of the head of the designated Federal entity, but shall not

report to, or be subject to supervision by, any other officer or employee

of such designated Federal entity. The head of the designated Federal

entity shall not prevent or prohibit the Inspector General from initiating,

carrying out, or completing any audit or investigation, or from issuing

any subpena during the course of any audit or investigation.

(e) If an Inspector General is removed from office or is transferred to

another position or location within a designated Federal entity, the head

of the designated Federal entity shall communicate in writing the reasons

for any such removal or transfer to both Houses of Congress, not later

than 30 days before the removal or transfer. Nothing in this subsection
850 Inspector General Act of 1978 (P.L. 95-452)

shall prohibit a personnel action otherwise authorized by law, other than

transfer or removal.

(f) (I) For purposes of carrying out subsection (c) with respect to the

United States Postal Service, the appointment provisions of section

202(e) of title 39, United States Code, shall be applied.

(2) In carrying out the duties and responsibilities specified in this Act,

the Inspector General of the United States Postal Service (hereinafter in

this subsection referred to as the "Inspector General") shall have

oversight responsibility for all activities of the Postal Inspection Service,

including any internal investigation performed by the Postal Inspection

Service. The Chief Postal Inspector shall promptly report the significant

activities being carried out by the Postal Inspection Service to such

Inspector General.

(3) (A) (i) Notwithstanding subsection (d), the Inspector General shall

be under the authority, direction, and control of the Governors with

respect to audits or investigations, or the issuance of subpoenas, which

require access to sensitive information concerning-

(I) ongoing civil or criminal investigations or proceedings;

(11) undercover operations;

(111) the identity of confidential sources, including protected

witnesses;

(IV) intelligence or counterintelligence matters; or

(V) other matters the disclosure of which would constitute a

serious threat to national security.

(ii) With respect to the information described under clause (i), the

Governors may prohibit the Inspector General from carrying out or

completing any audit or investigation, or from issuing any subpoena,

after such Inspector General has decided to initiate, carry out, or

complete such audit or investigation or to issue such subpoena, if the

Governors determine that such prohibition is necessary to prevent the

disclosure of any information described under clause (i) or to prevent the

significant impairment to the national interests of the United States.

(iii) If the Governors exercise any power under clause (i) or (ii), the

Governors shall notify the Inspector General in writing stating the

reasons for such exercise. Within 30 days after receipt of any such notice,

the Inspector General shall transmit a copy of such notice to the

Committee on [Homeland Security and] Governmental Affairs of the

Senate and the Committee on Government Reform and Oversight of the

House of Representatives, and to other appropriate committees or

subcommittees of the Congress.

(B) In carrying out the duties and responsibilities specified in this

Act, the Inspector General-

(i) may initiate, conduct and supervise such audits and

investigations in the United States Postal Service as the Inspector

General considers appropriate; and

(ii) shall give particular regard to the activities of the Postal

Inspection Service with a view toward avoiding duplication and insuring

effective coordination and cooperation.

(C) Any report required to be transmitted by the Governors to the

appropriate committees or subcommittees of the Congress under section

5(d) shall also be transmitted, within the seven-day period specified

under such section, to the Committee on [Homeland Security and]

Governmental Affairs of the Senate and the Committee on Government

Reform and Oversight of the House of Representatives.
InSDector General Act of 1978 (P.L, 95-4521 851

(4) Nothing in this Act shall restrict, eliminate, or otherwise adversely

affect any of the rights, privileges, or benefits of either employees of the

United States Postal Service, or labor organizations representing

employees of the United States Postal Service, under chapter 12 of title

39, United States Code [39 USCS §§ 1201 et seq.], the National Labor

Relations Act [29 USCS §§ 151 et seq.], any handbook or manual

affecting employee labor relations with the United States Postal Service,

or any collective bargaining agreement.

(5) As used in this subsection, the term "Governors" has the meaning

given such term by section 102(3) of title 39, United States Code.

(6) There are authorized to be appropriated, out of the Postal Service

Fund, such sums as may be necessary for the Office of Inspector General

of the United States Postal Service.

(g) (I) Sections 4, 5, 6 (other than subsections (a)(7) and (a)(8) thereof),

and 7 of this Act shall apply to each Inspector General and Office of

Inspector General of a designated Federal entity and such sections shall

be applied to each designated Federal entity and head of the designated

Federal entity (as defined under subsection (a)) by substituting-

(A) "designated Federal entity" for "establishment"; and

(B) "head of the designated Federal entity" for "head of the

establishment".

(2) In addition to the other authorities specified in this Act, an Inspector

General is authorized to select, appoint, and employ such officers and

employees as may be necessary for carrying out the functions, powers,

and duties of the Office of Inspector General and to obtain the temporary

or intermittent services of experts or consultants or an organization

thereof, subject to the applicable laws and regulations that govern such

selections, appointments, and employment, and the obtaining of such

services, within the designated Federal entity.

(3) Notwithstanding the last sentence of subsection (d) of this section,

the provisions of subsection (a) of section 8C (other than the provisions

of subparagraphs (A), (B), (C), and (E) of subsection (a)(1)) shall apply

to the Inspector General of the Board of Governors of the Federal

Reserve System and the Chairman of the Board of Governors of the

Federal Reserve System in the same manner as such provisions apply to

the Inspector General of the Department of the Treasury and the

Secretary of the Treasury, respectively.

(4) Each Inspector General shall-

(A) in accordance with applicable laws and regulations governing

appointments within the designated Federal entity, appoint a Counsel to

the Inspector General who shall report to the Inspector General;

(B) obtain the services of a counsel appointed by and directly

reporting to another Inspector General on a reimbursable basis; or

(C) obtain the services of appropriate staff of the Council of the

Inspectors General on Integrity and Efficiency on a reimbursable basis.

(h) (I) No later than April 30, 1989, and annually thereafter, the Director

of the Office of Management and Budget, after consultation with the

Comptroller General of the United States, shall publish in the Federal

Register a list of the Federal entities and designated Federal entities and

the head of each such entity (as defined under subsection (a) of this

section).

(2) Beginning on October 31, 1989, and on October 31 of each

succeeding calendar year, the head of each Federal entity (as defined

under subsection (a) of this section) shall prepare and transmit to the
852 Inspector General Act of 1978 (P.L. 95-452)

Director of the Office of Management and Budget and to each House of

the Congress a report which-

(A) states whether there has been established in the Federal entity an

office that meets the requirements of this section;

(B) specifies the actions taken by the Federal entity otherwise to

ensure that audits are conducted of its programs and operations in

accordance with the standards for audit of governmental organizations,

programs, activities, and functions issued by the Comptroller General of

the United States, and includes a list of each audit report completed by a

Federal or non-Federal auditor during the reporting period and a

summary of any particularly significant findings; and

(C) summarizes any matters relating to the personnel, programs, and

operations of the Federal entity referred to prosecutive authorities,

including a summary description of any preliminary investigation

conducted by or at the request of the Federal entity conceminý these

matters, and the prosecutions and convictions which have resulted.5

Sec. 8H. Additional Provisions With Respect To Inspectors General

Of The Intelligence Community

(a) (1) (A) An employee of the Defense Intelligence Agency, the

National Geospatial-Intelligence Agency, the National Reconnaissance

Office, or the National Security Agency, or of a contractor of any of

those Agencies, who intends to report to Congress a complaint or

information with respect to an urgent concern may report the complaint

or information to the Inspector General of the Department of Defense (or

designee).

(B) An employee of the Federal Bureau of Investigation, or of a

contractor of the Bureau, who intends to report to Congress a complaint

or information with respect to an urgent concern may report the

complaint or information to the Inspector General of the Department of

Justice (or designee).

(C) Any other employee of, or contractor to, an executive agency, or

element or unit thereof, determined by the President under section

2302(a)(2)(C)(ii) of title 5, United States Code, to have as its principal

function the conduct of foreign intelligence or counterintelligence

activities, who intends to report to Congress a complaint or information

with respect to an urgent concern may report the complaint or

information to the appropriate Inspector General (or designee) under this

Act or section 17 of the Central Intelligence Agency Act of 1949.

(2) If a designee of an Inspector General under this section receives a

complaint or information of an employee with respect to an urgent

"Oct. 12, 1978, P.L. 95-452, § 8G [8F] 18E], as added P.L. 100-504, Title I, § 104(a), 102 Stat. 2522 (1988);

P.L. 101-73, Title VII, Subtitle A, § 702(c), 103 Stat. 415 (1989); P.L. 103-82, Title 11, §§ 202(g)(1), (2)(A),

107 Stat. 889 (1993); P.L. 103-204, §§ 23(a)(3), (4), 107 Stat. 2408 (1993); P.L. 104-88, Title III, Subtitle B, § 319, 109 Stat. 949 (1995); P.L. 104-208, Div. A, Title 1, § 101(f) [Title VI, § 662(b)], 110 Stat. 3009-379

(1996); P.L. 105-134, Title IV, § 409(a)(1), III Stat. 2586 (1997); P.L. 105-277, Div. C, Title I11, § 306(h),

Oct. 21, 1998, as added P.L. 106-31, Title 1, Ch. I, § 105(a)(5), 113 Stat. 63 (1999); P.L, 106-422, § 1(b)(l),

114 Stat. 1872 (Nov. 1,2000); P.L. 107-252, Title VIII, Subtitle B, § 812(a), 116 Stat. 1727 (2002); P.L. 109-

435, Title VI, §§ 603(b), 605(a), 120 Stat. 3240, 3242 (2006); P.L. 110-409, §§ 2,3(b), 6(b), 7(d)(1), 122 Stat.

4302, 4305, 4313 (2008). Also, note the following prospective amendment to subsection (a)(2), effective at

the beginning of the first fiscal year after the fiscal year for which Amtrak receives no Federal subsidy. P.L.

105-134, Title IV, § 409(a), I I I Stat. 2586 (1997), provides the flblowing: "(1) In general. Section 8G(a)(2) of the Inspector General Act of 1978 (5 U.S.C. App.) is amended by striking 'Amtrak.'.

"(2) Effective date. The amendment made by paragraph (I) shall take effect at the beginning of the first

fiscal year after a fiscal year for which Amtrak receives no Federal subsidy.".
Inspector General Act of 1978 (P.L. 95-452) 853

concern, that designee shall report the complaint or information to the

Inspector General within 7 calendar days of receipt.

(b) Not later than the end of the 14-calendar day period beginning on the

date of receipt of an employee complaint or information under subsection

(a), the Inspector General shall determine whether the complaint or

information appears credible. Upon making such a determination, the

Inspector General shall transmit to the head of the establishment notice of

that determination, together with the complaint or information.

(c) Upon receipt of a transmittal from the Inspector General under

subsection (b), the head of the establishment shall, within 7 calendar days

of such receipt, forward such transmittal to the intelligence committees,

together with any comments the head of the establishment considers

appropriate.

(d) (1) If the Inspector General does not find credible under subsection

(b) a complaint or information submitted to the Inspector General under

subsection (a), or does not transmit the complaint or information to the

head of the establishment in accurate form tinder subsection (b), the

employee (subject to paragraph (2)) may submit the complaint or information to Congress by contacting either or both of the intelligence

committees directly.

(2) The employee may contact the intelligence committees directly as

described in paragraph (1) only if the employee-

(A) before making such a contact, furnishes to the head of the

establishment, through the Inspector General, a statement of the

employee's complaint or information and notice of the employee's intent

to contact the intelligence committees directly; and

(B) obtains and follows from the head of the establishment, through

the Inspector General, direction on how to contact the intelligence

committees in accordance with appropriate security practices.

(3) A member or employee of one of the intelligence committees who

receives a complaint or information under paragraph (1) does so in that

member or employee's official capacity as a member or employee of that

committee.

(e) The Inspector General shall notify an employee who reports a

complaint or information under this section of each action taken under

this section with respect to the complaint or information. Such notice

shall be provided not later than 3 days after any such action is taken.

(0 An action taken by the head of an establishment or an Inspector

General under subsections (a) through (e) shall not be subject to judicial

review.

(g) (l) The Inspector General of the Defense Intelligence Agency, the

National Geospatial-Intelligence Agency, the National Reconnaissance

Office, and the National Security Agency shall each submit to the

congressional intelligence committees each year a report that sets forth

the following:

(A) The personnel and funds requested by such Inspector General for

the fiscal year beginning in such year for the activities of the office of

such Inspector General in such fiscal year.

(B) The plan of such Inspector General for such activities, including

the programs and activities scheduled for review by the office of such

Inspector General during such fiscal year.

(C) An assessment of the current ability of such Inspector General to

hire and retain qualified personnel for the office of such Inspector

General.
854 Inspector General Act of 1978 (P.L. 95-452)

(D) Any matters that such Inspector General considers appropriate

regarding the independence and effectiveness of the office of such

Inspector General.

(2) The submittal date for a report under paragraph (1) each year shall

be the date provided in section 507 of the National Security Act of 1947

[50 USCS § 415b].

(3) In this subsection, the term "congressional intelligence committees"

shall have the meaning given that term in section 3 of the National

Security Act of 1947 (50 U.S.C. 401 a).

(h) In this section:

(1) The term "urgent concern" means any of the following:

(A) A serious or flagrant problem, abuse, violation of law or

Executive order, or deficiency relating to the funding,

administration, or operations of an intelligence activity

involving classified information, but does not include

differences of opinions concerning public policy matters.

(B) A false statement to Congress, or a willful withholding from

Congress, on an issue of material fact relating to the funding,

administration, or operation of an intelligence activity.

(C) An action, including a personnel action described in section

2302(a)(2)(A) of title 5, United States Code, constituting

reprisal or threat of reprisal prohibited under section 7(c) [5

USCS Appx. § 7(c)] in response to an employee's reporting an

urgent concern in accordance with this section.

(2) The term "intelligence committees" means the Permanent Select

Committee on Intelligence of the House of Representatives and the

Select Committee on Intelligence of the Senate.' 6

Sec. 81, Special Provisions Concerning The Department Of

Homeland Security

(a) (1) Notwithstanding the last two sentences of section 3(a), the

Inspector General of the Department of Homeland Security shall be

under the authority, direction, and control of the Secretary of Homeland

Security with respect to audits or investigations, or the issuance of

subpoenas, that require access to sensitive information concerning--

(A) intelligence, counterintelligence, or counterterrorism matters;

(B) ongoing criminal investigations or proceedings;

(C) undercover operations;

(D) the identity of confidential sources, including protected

witnesses;

(E) other matters the disclosure of which would, in the Secretary's

judgment, constitute a serious threat to the protection of any person or

property authorized protection by section 3056 of title 18, United States

Code, section 3056A of title 18 of such Code, or any provision of the

Presidential Protection Assistance Act of 1976 (18 U.S.C. 3056 note); or

(F) other matters the disclosure of which would constitute a serious

threat to national security.

(2) With respect to the information described in paragraph (1), the

Secretary of Homeland Security may prohibit the Inspector General of

the Department of Homeland Security from carrying out or completing•

any audit or investigation, or from issuing any subpoena, after such

Inspector General has decided to initiate, carry out, or complete such

"

6

Oct. 12, 1978, P.L. 95-452, § 8H, as added P.L. 105-272, Title VII, § 702(b)(I), 112 Stat. 2415 (1998);

P.L. 107-108, Title III, § 309(b), 115 Stat. 1400 (2001); P.L. 107-306, Title VIII, Subtitle C, § 825. 116 Stat.

2429 (2002); P.L. 110-417 [l)iv. A], Title IX, Subtitle D, § 931(b)(2), 122 Slat. 4575 (2008).
Inspector General Act of 1978 (P.L. 95-452) 855

audit or investigation or to issue such subpoena, if the Secretary

determines that such prohibition is necessary to prevent the disclosure of

any information described in paragraph (1), to preserve the national

security, or to prevent a significant impairment to the interests of the

United States.

(3) If the Secretary of Homeland Security exercises any power under

paragraph (I) or (2), the Secretary shall notify the Inspector General of

the Department of Homeland Security in writing within seven days

stating the reasons for such exercise. Within 30 days after receipt of any

such notice, the Inspector General shall transmit to the President of the

Senate, the Speaker of the House of Representatives, and appropriate

committees and subcommittees of Congress the following:

(A) A copy of such notice.

(B) A written response to such notice that includes a statement

regarding whether the Inspector General agrees or disagrees with such

exercise, and the reasons for any disagreement.

(b) The exercise of authority by the Secretary described in paragraph (2)

should not be construed as limiting the right of Congress or any

committee of Congress to access any information it seeks.

(c) Subject to the conditions established in subsections (a) and (b) above,

in carrying out the duties and responsibilities specified in this Act, the

Inspector General of the Department of Homeland Security may initiate,

conduct, and supervise such audits and investigations in the Department

of Homeland Security as the Inspector General considers appropriate.

(d) Any report required to be transmitted by the Secretary of Homeland

Security to the appropriate committees or subcommittees of Congress

under section 5(d) shall be transmitted, within the seven-day period

specified under such section, to the President of the Senate, the Speaker

of the House of Representatives, and appropriate committees and

subcommittees of Congress.

(e) Notwithstanding any other provision of law, in carrying out the duties

and responsibilities specified in this Act, the Inspector General of the

Department of Homeland Security shall have oversight responsibility for

the internal investigations performed by the Office of Internal Affairs of

the United States Customs Service, the Office of Inspections of the

United States Secret Service, the Bureau of Border Security, and the

Bureau of Citizenship and Immigration Services. The head of each such

office or bureau shall promptly report to the Inspector General the

significant activities being carried out by such office or bureau,

(f) (1) The Inspector General of the Department of Homeland Security

shall designate a senior official within the Office of Inspector General,

who shall be a career member of the civil service at the equivalent to the

GS-15 level or a career member of the Senior Executive Service, to

perform the functions described in paragraph (2).

(2) The senior official designated under paragraph (1) shall-

(A) coordinate the activities of the Office of Inspector General with

respect to investigations of abuses of civil rights or civil liberties;

(B) receive and review complaints and information from any source

alleging abuses of civil rights and civil liberties by employees or officials

of the Department and employees or officials of independent contractors

or grantees of the Department;

(C) initiate investigations of alleged abuses of civil rights or civil

liberties by employees or officials of the Department and employees or

officials of independent contractors or grantees of the Department;
856 Inspector General Act of 1978 (P.L. 95-452)

(D) ensure that personnel within the Office of Inspector General

receive sufficient training to conduct effective civil rights and civil

liberties investigations;

(E) consult with the Officer for Civil Rights and Civil Liberties

regarding--

(i) alleged abuses of civil rights or civil liberties; and

(ii) any policy recommendations regarding civil rights and civil

liberties that may be founded upon an investigation by the Office of

Inspector General;

(F) provide the Officer for Civil Rights and Civil Liberties with

information regarding the outcome of investigations of alleged abuses of

civil rights and civil liberties;

(G) refer civil rights and civil liberties matters that the Inspector

General decides not to investigate to the Officer for Civil Rights and

Civil Liberties;

(H) ensure that the Office of the Inspector General publicizes and

provides convenient public access to information regarding-

(i) the procedure to file complaints or comments concerning civil

rights and civil liberties matters; and

(ii) the status of corrective actions taken by the Department in

response to Office of the Inspector General reports; and

(I) inform the Officer for Civil Rights and Civil Liberties of any

weaknesses, problems, and deficiencies within the Department relating to

civil rights or civil liberties."7

Sec. 8J. Rule Of Construction Of Special Provisions

The special provisions under section 8, 8A, 8B, 8C, 8D, 8E, 8F, or 8H of

this Act relate only to the establishment named in such section and no

inference shall be drawn from the presence or absence of a provision in

any such section with respect to an establishment not named in such

section or with respect to a designated Federal entity as defined under

section 8G(a).'a

Sec. 8K. Authority To Establish Inspector General Of The Office Of

The Director Of National Intelligence

If the Director of National Intelligence determines that an Office of

Inspector General would be beneficial to improving the operations and

effectiveness of the Office of the Director of National Intelligence, the

Director of National Intelligence is authorized to establish, with any of

the duties, responsibilities, and authorities set forth in this Act, an Office

of Inspector General.' 9

Sec. 8L. Information On Websites Of Offices Of Inspectors General.

(a) DIRECT LINKS TO INSPECTORS GENERAL OFFICES.-

(1) IN GENERAL.-Each agency shall establish and maintain on

the homepage of the website of that agency, a direct link to the

website of the Office of the Inspector General of that agency.

"

7

A prior § 81 was redesignated § 8J by P.L. 108-7, Div. L, § 104(b)(2), 117 Stat. 529 (2003). Oct. 12, 1978,

P.L. 95-452, § 81, as added Feb. 20, 2003, P.L. 108-7, Div L, § 104(b)(3), 117 Stat. 529; P.L. 108-458,

Title VIII, Subtitle C, § 8304, 118 Stat. 3868 (2004); P.L. 109-177, Title VI, § 605(e)(4), 120 Stat. 255 (2006). "A former § 8J in P.L. 95-452 was repealed by P.L. 108-7, Div. L, § 104(b)(1), 117 Stat. 529 (2003). It

related to provisions concerning the Department of Homeland Security. Oct. 12, 1978, P.L. 95-452, § 8J [81] [8H] [8G] [8F]. as added Oct. 18, 1988, P.L. 100-504, Title I, § 105, 102 Stat. 2525; P.L. 103-82, Title II,

§ 202(g)(1), (5)(B), 107 Stat. 889, 890; Sept. 30, 1996, P.L. 104-208, Div A, Title I, § 101(f) [Title VI, §

662(h)(3)], 110 Stat. 3009-380 (1993); P.L. 105-206, Title 1, Subtitle B, § 1103(e)(3), 112 Stat. 709 (1998);

P.L. 105-272, Title VII, §§ 702(b)(1), (2), 112 Stat. 2415, 2417 (1998); P.L. 108-7, Div. L, § 104(b)(2),

117 Stat. 529 (2003). "Public Law 108-458. section 1078. 118 Stat. 3636 (2004). inserted this subsection.
Insnector General Act of 1978 (P.L. 95452) 857

(2) ACCESSIBILITY.-The direct link under paragraph (1) shall

be obvious and facilitate accessibility to the website of the Office of

the Inspector General.

(b) REQUIREMENTS FOR INSPECTORS GENERAL

WEBSITES.-

(1) POSTING OF REPORTS AND AUDITS.-The Inspector

General of each agency shall-

(A) not later than 3 days after any report or audit (or portion of

any report or audit) is made publicly available, post that report or

audit (or portion of that report or audit) on the website of the

Office of Inspector General; and

(B) ensure that any posted report or audit (or portion of that

report or audit) described under subparagraph (A)-

(i) is easily accessible from a direct link on the homepage

of the website of the Office of the Inspector General;

(ii) includes a summary of the findings of the Inspector

General; and

(iii) is in a format that-

(1) is searchable and downloadable; and

(I1) facilitates printing by individuals of the public

accessing the website.

(2) REPORTING OF FRAUD, WASTE, AND ABUSE.-

(A) IN GENERAL.-The Inspector General of each agency

shall establish and maintain a direct link on the homepage of the

website of the Office of the Inspector General for individuals to

report fraud, waste, and abuse. Individuals reporting fraud, waste,

or abuse using the direct link established under this paragraph

shall not be required to provide personally identifying information

relating to that individual.

(B) ANONYMITY.-The Inspector General of each agency shall

not disclose the identity of any individual making a report under

this paragraph without the consent of the individual unless the

Inspector General determines that such a disclosure is

unavoidable during the course of the investigation.

See. 9. Transfer Of Functions

(a) There shall be transferred--

(I) to the Office of Inspector General-

(A) of the Department of Agriculture, the offices of that department

referred to as the "Office of Investigation" and the "Office of Audit";

(B) of the Department of Commerce, the offices of that department

referred to as the "Office of Audits" and the "Investigations and

Inspections Staff' and that portion of the office referred to as the "Office

of Investigations and Security" which has responsibility for investigation

of alleged criminal violations and program abuse;

(C) of the Department of Defense, the offices of that department

referred to as the "Defense Audit Service" and the "Office of Inspector

General, Defense Logistics Agency", and that portion of the office of that

department referred to as the "Defense Investigative Service" which has

responsibility for the investigation of alleged criminal violations;

(D) of the Department of Education, all functions of the Inspector

General of Health, Education, and Welfare or of the Office of Inspector

General of Health, Education, and Welfare relating to functions

2 'Public Law I 0-409, section 13(a), 122 Stat. 4302 (2008), inserted section 8L.
858 Inspector General Act of 1978 (P.L. 95-452)

transferred by section 301 of the Department of Education Organization

Act;

(E) of the Department of Energy, the Office of Inspector General (as

established by section 208 of the Department of Energy Organization

Act);

(F) of the Department of Health and Human Services, the Office of

Inspector General (as established by title 11 of Public Law 94-505;

(G) of the Department of Housing and Urban Development, the office

of that department referred to as the "Office of Inspector General";

(H) of the Department of the Interior, the office of that department

referred to as the "Office of Audit and Investigation";

(1) of the Department of Justice, the offices of that Department

referred to as (i) the "Audit Staff, Justice Management Division", (ii) the

"Policy and Procedures Branch, Office of the Comptroller, Immigration

and Naturalization Service", the "Office of Professional Responsibility,

Immigration and Naturalization Service", and the "Office of Program

Inspections, Immigration and Naturalization Service", (iii) the "Office of

Internal Inspection, United States Marshals Service", (iv) the "Financial

Audit Section, Office of Financial Management, Bureau of Prisons" and

the "Office of Inspections, Bureau of Prisons", and (v) from the Drug

Enforcement Administration, that portion of the "Office of Inspections"

which is engaged in internal audit activities, and that portion of the

"Office of Planning and Evaluation" which is engaged in program review

activities;

(J) of the Department of Labor, the office of that department referred

to as the "Office of Special Investigations";

(K) of the Department of Transportation, the offices of that

department referred to as the "Office of Investigations and Security" and

the "Office of Audit" of the Department, the "Offices of Investigations

and Security, Federal Aviation Administration", and "External Audit

Divisions, Federal Aviation Administration", the "Investigations Division

and the External Audit Division of the Office of Program Review and

Investigation, Federal Highway Administration", and the "Office of

Program Audits, Urban Mass Transportation Administration";

(L) (i) of the Department of the Treasury, the office of that

department referred to as the "Office of Inspector General", and,

notwithstanding any other provision of law, that portion of each of the

offices of that department referred to as the "Office of Internal Affairs,

Tax and Trade Bureau", the "Office of Internal Affairs, United States

Customs Service", and the "Office of Inspections, United States Secret

Service" which is engaged in internal audit activities; and

(ii) of the Treasury Inspector General for Tax Administration,

effective 180 days after the date of the enactment of the Internal Revenue

Service Restructuring and Reform Act of 1998 [enacted July 22, 1998],

the Office of Chief Inspector of the Internal Revenue Service;

(M) of the Environmental Protection Agency, the offices of that

agency referred to as the "Office of Audit" and the "Security and

Inspection Division";

(N) of the Federal Emergency Management Agency, the office of that

agency referred to as the "Office of Inspector General";

(0) of the General Services Administration, the offices of that agency

referred to as the "Office of Audits" and the "Office of Investigations";

(P) of the National Aeronautics and Space Administration, the offices

of that agency referred to as the "Management Audit Office" and the

"Office of Inspections and Security";
Inspector General Act of 1978 (P.L. 95-452) 859

(Q) of the Nuclear Regulatory Commission, the office of that

commission referred to as the "Office of Inspector and Auditor";

(R) of the Office of Personnel Management, the offices of that agency

referred to as the "Office of Inspector General", the "Insurance Audits

Division, Retirement and Insurance Group", and the "Analysis and

Evaluation Division, Administration Group";

(S) of the Railroad Retirement Board, the Office of Inspector General

(as established by section 23 of the Railroad Retirement Act of 1974);

(T) of the Small Business Administration, the office of that agency

referred to as the "Office of Audits and Investigations";

(U) of the Veterans' Administration, the offices of that agency

referred to as the "Office of Audits" and the "Office of Investigations";

[and]

(V) of the Corporation for National and Community Service, the

Office of Inspector General of ACTION; [and]

(W) of the Social Security Administration, the functions of the

Inspector General of the Department of Health and Human Services

which are transferred to the Social Security Administration by the Social

Security Independence and Program Improvements Act of 1994 (other

than functions performed pursuant to section 105(a)(2) of such Act),

except that such transfers shall be made in accordance with the

provisions of such Act and shall not be subject to subsections (b) through

(d) of this section; and

(2) to the Office of the Inspector General, such other offices or

agencies, or functions, powers, or duties thereof, as the head of the

establishment involved may determine are properly related to the

functions of the Office and would, if so transferred, further the purposes

of this Act, except that there shall not be transferred to an Inspector

General under paragraph (2) program operating responsibilities.

(b) The personnel, assets, liabilities, contracts, property, records, and

unexpended balances of appropriations, authorization, allocations, and

other funds employed, held, used, arising from, available or to be made

available, of any office or agency the functions, powers, and duties of

which are transferred under subsection (a) are hereby transferred to the

applicable Office of Inspector General.

(c) Personnel transferred pursuant to subsection (b) shall be transferred in

accordance with applicable laws and regulations relating to the transfer

of functions except that the classification and compensation of such

personnel shall not be reduced for one year after such transfer.

(d) In any case where all the functions, powers, and duties of any office

or agency are transferred pursuant to this subsection, such office or

agency shall lapse. Any person who, on the effective date of this Act

[effective Oct. 1, 1978], held a position compensated in accordance with

the General Schedule, and who, without a break in service, is appointed

in an Office of Inspector General to a position having duties comparable

to those performed immediately preceding such appointment shall

continue to be compensated in the new position at not less than the rate

provided for the previous position, for the duration of service in the new

position.21

2

"P.L. 95-452, § 9, 92 Stat. 1107 (1978); P.L. 96-88, Title V, § 508(n)(2), 93 Stat. 694 (1979); P.L. 97-252,

Title X1, §§ 11 17(a)(2), (3), 96 Stat. 750 (1982); P.L. 100-504, Title I. § 102(d), 102 Stat. 2516 (1988);

P.L. 103-82, Title II, § 202(g)(3)(A), 107 Stat. 890 (1993); P.L. 103-296, Title 1, § 108(l)(1), 108 Stat. 1488

(1994); P.L. 105-206, Title I, Subtitle B, § 1103(c)(1), 112 Stat. 708 (1998); P.L. 107-189, § 22(c). 116 Stat.

708 (2002); P.L. 107-296, Title XI, Subtitle B, § II 12(a)(2), 116 Stat. 2276 (2002).
5 USC app.

II.

860 Inspector General Act of 1978 (P.L. 95-452)

See. 10. Conforming And Technical Amendments

[Section amended sections 5315 and 5316 of Title 5, Government

Organization and Employees, and section 3522 of Title 42, The Public

Health and Welfare, which amendments have been executed to text.]

Sec. 1I. Establishment Of The Council Of The Inspectors General

On Integrity And Efficiency

(a) ESTABLISHMENT AND MISSION.-

(1) ESTABLISHMENT.-There is established as an independent

entity within the

executive branch the Council of the Inspectors General on Integrity

and Efficiency (in this section referred to as the 'Council').

(2) MISSION.-The mission of the Council shall be to-

(A) address integrity, economy, and effectiveness issues that

transcend individual Government agencies; and

(B) increase the professionalism and effectiveness of

personnel by developing policies, standards, and approaches to

aid in the establishment of a well-trained and highly skilled

workforce in the offices of the Inspectors General.

(b) MEMBERSHIP.-

(I) IN GENERAL.-The Council shall consist of the following

members:

(A) All Inspectors General whose offices are established

under-

(i) section 2; or

(ii) section 8G.

(B) The Inspectors General of the Office of the Director of

National Intelligence and the Central Intelligence Agency.

(C) The Controller of the Office of Federal Financial

Management.

(D) A senior level official of the Federal Bureau of

Investigation designated by the Director of the Federal Bureau of

Investigation.

(E) The Director of the Office of Government Ethics.

(F) The Special Counsel of the Office of Special Counsel.

(G) The Deputy Director of the Office of Personnel

Management.

(H) The Deputy Director for Management of the Office of

Management and Budget.

(I) The Inspectors General of the Library of Congress, Capitol

Police, Government Printing Office, Government Accountability

Office, and the Architect of the Capitol.

(2) CHAIRPERSON AND EXECUTIVE CHAIRPERSON.-

(A) EXECUTIVE CHAIRPERSON.-The Deputy Director

for Management of the Office of Management and Budget shall

be the Executive Chairperson of the Council.

(B) CHAIRPERSON.-The Council shall elect I of the

Inspectors General referred to in paragraph (I)(A) or (B) to act as

Chairperson of the Council. The term of office of the Chairperson

shall be 2 years.

(3) FUNCTIONS OF CHAIRPERSON AND EXECUTIVE

CHAIRPERSON.-

(A) EXECUTIVE CHAIRPERSONThe Executive Chairperson shall-

(i) preside over meetings of the Council;
InsDector General Act of 1978 (P.L. 95-452) 861

Reports.

Appointments

Contracts.

Reports.

Deadlines.

Plans.

(ii) provide to the heads of agencies and entities

represented on the Council summary reports of the activities

of the Council; and

(iii) provide to the Council such information relating to the

agencies and entities represented on the Council as assists the

Council in performing its functions.

(B) CHAIRPERSON.-The Chairperson shall-

(i) convene meetings of the Council-

(1) at least 6 times each year;

(11) monthly to the extent possible; and

(111) more frequently at the discretion of the

Chairperson;

(ii) carry out the functions and duties of the Council under

subsection (c);

(iii) appoint a Vice Chairperson to assist in carrying out

the functions of the Council and act in the absence of the

Chairperson, from a category of Inspectors General described

in subparagraph (A)(i), (A)(ii), or (B) of paragraph (1), other

than the category from which the Chairperson was elected;

(iv) make such payments from funds otherwise available to

the Council as may be necessary to carry out the functions of

the Council;

(v) select, appoint, and employ personnel as needed to

carry out the functions of the Council subject to the provisions

of title 5, United States Code, governing appointments in the

competitive service, and the provisions of chapter 51 and

subchapter III of chapter 53 of such title, relating to

classification and General Schedule pay rates;

(vi) to the extent and in such amounts as may be provided

in advance by appropriations Acts, made available from the

revolving fund established under subsection (c)(3)(B), or as

otherwise provided by law, enter into contracts and other

arrangements with public agencies and private persons to

carry out the functions and duties of the Council;

(vii) establish, in consultation with the members of the

Council, such committees as determined by the Chairperson to

be necessary and appropriate for the efficient conduct of

Council functions; and

(viii) prepare and transmit a report annually on behalf of

the Council to the President on the activities of the Council.

(c) FUNCTIONS AND DUTIES OF COUNCIL.-

(1) IN GENERAL.-The Council shall-

(A) continually identify, review, and discuss areas of

weakness and vulnerability in Federal programs and operations

with respect to fraud, waste, and abuse;

(B) develop plans for coordinated, Government wide activities

that address these problems and promote economy and efficiency

in Federal programs and operations, including interagency and

interentity audit, investigation, inspection, and evaluation

programs and projects to deal efficiently and effectively with

those problems concerning fraud and waste that exceed the

capability or jurisdiction of an individual agency or entity;

(C) develop policies that will aid in the maintenance of a corps

of well-trained and highly skilled Office of Inspector General

personnel;
862 Inspector General Act of 1978 (P.L. 95-452)

Website.

Recommendations.

Reports.

(D) maintain an Internet website and other electronic systems

for the benefit of all Inspectors General, as the Council determines

are necessary or desirable;

(E) maintain I or more academies as the Council considers

desirable for the professional training of auditors, investigators,

inspectors, evaluators, and other personnel of the various offices

of Inspector General;

(F) submit recommendations of individuals to the appropriate

appointing authority for any appointment to an office of Inspector

General described under subsection (b)(1)(A) or (B);

(G) make such reports to Congress as the Chairperson

determines are necessary or appropriate; and

(H) perform other duties within the authority and jurisdiction

of the Council, as appropriate.

(2) ADHERENCE AND PARTICIPATION BY MEMBERS.-

To the extent permitted under law, and to the extent not inconsistent

with standards established by the Comptroller General of the United

States for audits of Federal establishments, organizations, programs,

activities, and functions, each member of the Council, as appropriate,

shall-

(A) adhere to professional standards developed by the

Council; and

(B) participate in the plans, programs, and projects of the

Council, except that in the case of a member described under

subsection (b)(1)(I) , the member shall participate only to the

extent requested by the member and approved by the Executive

Chairperson and Chairperson.

(3) ADDITIONAL ADMINISTRATIVE AUTHORITIES.-

(A) INTERAGENCY FUNDING.-Notwithstanding section

1532 of title 31, United States Code, or any other provision of law

prohibiting the interagency funding of activities described under

subclause (I), (I1), or (11I) of clause (i), in the performance of the

responsibilities, authorities, and duties of the Council-

(i) the Executive Chairperson may authorize the use of

interagency funding or-

(I) Governmentwide training of employees of the

Offices of the Inspectors General;

(II) the functions of the Integrity Committee of the

Council; and

(III) any other authorized purpose determined by the

Council; and

(ii) upon the authorization of the Executive Chairperson,

any department, agency, or entity of the executive branch

which has a member on the Council shall fund or participate in

the funding of such activities.

(B) REVOLVING FUND.-

(i) IN GENERAL.-The Council may-

(1) establish in the Treasury of the United States a

revolving fund to be called the Inspectors General Council

Fund; or (II) enter into an arrangement with a department or

agency to use an existing revolving fund.

(ii) AMOUNTS IN REVOLVING FUND.-
Inspector General Act of 1978 (P.L. 95-452) 863

(1) IN GENERAL.-Amounts transferred to the

Council under this subsection shall be deposited in the

revolving fund described under clause (i)(1) or (II).

(II) TRAINING.-Any remaining unexpended

balances appropriated for or otherwise available to the

Inspectors General Criminal Investigator Academy and the

Inspectors General Auditor Training Institute shall be

transferred to the revolving fund described under clause (i)(1) or (11).

(iii) USE OF REVOLVING FUND.-

(I) IN GENERAL-Except as provided under

subclause (I1), amounts in the revolving fund described

under clause (i)(1) or (II) may be used to carry out the

functions and duties of the Council under this subsection.

(II) TRAINING.-Amounts transferred into the

revolving fund described under clause (i)(1) or (1I) may be

used for the purpose of maintaining any training academy

as determined by the Council.

(iv) AVAILABILITY OF FUNDS.-Amounts in the

revolving fund described under clause (i)(1) or (II) shall

remain available to the Council without fiscal year limitation.

(C) SUPERSEDING PROVISIONS.-No provision of law

enacted after the date of enactment of this subsection shall be

construed to limit or supersede any authority under subparagraph

(A) or (B), unless such provision makes specific reference to the

authority in that paragraph.

(4) EXISTING AUTHORITIES AND RESPONSIBILITIES.-

The establishment and operation of the Council shall not affect-

(A) the role of the Department of Justice in law enforcement

and litigation;

(B) the authority or responsibilities of any Government agency

or entity; and

(C) the authority or responsibilities of individual members of

the Council.

(d) INTEGRITY COMMITTEE.-

(I) ESTABLISHMENT.-The Council shall have an Integrity

Committee, which shall receive, review, and refer for investigation

allegations of wrongdoing that are made against Inspectors General

and staff members of the various Offices of Inspector General

described under paragraph (4)(C).

(2) MEMBERSHIP.-The Integrity Committee shall consist of

the following members:

(A) The official of the Federal Bureau of Investigation serving

on the Council, who shall serve as Chairperson of the Integrity

Committee, and maintain the records of the Committee.

(B) Four Inspectors General described in subparagraph (A) or

(B) of subsection (b)(l) appointed by the Chairperson of the

Council, representing both establishments and designated Federal

entities (as that term is defined in section 8G(a)).

(C) The Special Counsel of the Office of Special Counsel.

(D) The Director of the Office of Government Ethics.

(3) LEGAL ADVISOR.-The Chief of the Public Integrity

Section of the Criminal Division of the Department of Justice, or his

designee, shall serve as a legal advisor to the Integrity Committee.

(4) REFERRAL OF ALLEGATIONS.-
864 Inspector General Act of 1978 (P.L. 95-452)

(A) REQUIREMENT.-An Inspector General shall refer to

the Integrity Committee any allegation of wrongdoing against a

staff member of the office of that Inspector General, if-

(i) review of the substance of the allegation cannot be

assigned to an agency of the executive branch with appropriate

jurisdiction over the matter; and

(ii) the Inspector General determines that-

(1) an objective internal investigation of the allegation

is not feasible; or

(ii) an internal investigation of the allegation may

appear not to be objective.

(B) DEFINITION.-In this paragraph the term 'staff member'

means any employee of an Office of Inspector General who-

(i) reports directly to an Inspector General; or

(ii) is designated by an Inspector General under

subparagraph (C).

Deadline. (C) DESIGNATION OF STAFF MEMBERS.-Each

Inspector General shall annually submit to the Chairperson of the

Integrity Committee a designation of positions whose holders are

staff members for purposes of subparagraph (B).

(5) REVIEW OF ALLEGATIONS.-The Integrity Committee

shall-

(A) review all allegations of wrongdoing the Integrity

Committee receives against an Inspector General, or against a

staff member of an Office of Inspector General described under

paragraph (4)(C);

(B) refer any allegation of wrongdoing to the agency of the

executive branch with appropriate jurisdiction over the matter;

and

(C) refer to the Chairperson of the Integrity Committee any

allegation of wrongdoing determined by the Integrity Committee

under subparagraph (A) to be potentially meritorious that cannot

be referred to an agency under subparagraph (B).

(6) AUTHORITY TO INVESTIGATE ALLEGATIONS.-

(A) REQUIREMENT.-The Chairperson of the Integrity Committee shall cause a thorough and timely investigation of

each allegation referred under paragraph (5)(C) to be conducted in

accordance with this paragraph.

(B) RESOURCES.-At the request of the Chairperson of the

Integrity Committee, the head of each agency or entity

represented on the Council-

(i) may provide resources necessary to the Integrity

Committee; and

(ii) may detail employees from that agency or entity to the

Integrity Committee, subject to the control and direction of the

Chairperson, to conduct an investigation under this subsection.

(7) PROCEDURES FOR INVESTIGATIONS.-

(A) STANDARDS APPLICABLE.-Investigations initiated

under this subsection shall be conducted in accordance with the

most current Quality Standards for Investigations issued by the

Council or by its predecessors (the President's Council on

Integrity and Efficiency and the Executive Council on Integrity

and Efficiency).

(B) ADDITIONAL POLICIES AND PROCEDURES.-
Inspector General Act of 1978 (P.L. 95-452) 865

(i) ESTABLISHMENT.-The Integrity Committee, in

conjunction with the Chairperson of the Council, shall

establish additional policies and procedures necessary to

ensure fairness and consistency in-

(1) determining whether to initiate an investigation;

(ii) conducting investigations;

(IIf) reporting the results of an investigation; and

(IV) providing the person who is the subject of an

investigation with an opportunity to respond to any

Integrity Committee report.

(ii) SUBMISSION TO CONGRESS.-The Council shall

submit a copy of the policies and procedures established under

clause (i) to the congressional committees ofjurisdiction.

(C) REPORTS.-

(i) POTENTIALLY MERITORIOUS ALLEGATIONS.-

For allegations described under paragraph (5)(C), the

Chairperson of the Integrity Committee shall make a report

containing the results of the investigation, of the Chairperson

and shall provide such report to members of the Integrity

Committee.

(ii) ALLEGATIONS OF WRONGDOING.-For

allegations referred to an agency under paragraph (5)(B), the

head of that agency shall make a report containing the results

of the investigation and shall provide such report to members

of the Integrity Committee.

(8) ASSESSMENT AND FINAL DISPOSITION.-

(A) IN GENERAL.-With respect to any report received

under paragraph (7)(C), the Integrity Committee shall-

(i) assess the report;

Deadline. (ii) forward the report, with the recommendations of the

Integrity Committee, including those on disciplinary action,

within 30 days (to the maximum extent practicable) after the

completion of the investigation, to the Executive Chairperson

of the Council and to the President (in the case of a report

relating to an Inspector General of an establishment or any

employee of that Inspector General) or the head of a

designated Federal entity (in the case of a report relating to an

Inspector General of such an entity or any employee of that

Inspector General) for resolution; and

Executive (iii) submit to the Committee on Government Oversight

summary. and Reform of the House of Representatives, the Committee

Deadline. on Homeland Security and Governmental Affairs of the

Senate, and other congressional committees of jurisdiction an

executive summary of such report and recommendations

within 30 days after the submission of such report to the

Executive Chairperson under clause (ii).

Reports. (B) DISPOSITION.-The Executive Chairperson of the

Council shall report to the Integrity Committee the final

disposition of the matter, including what action was taken by the

President or agency head.

(9) ANNUAL REPORT.-The Council shall submit to Congress

and the President by December 31 of each year a report on the

activities of the Integrity Committee during the preceding fiscal year,

which shall include the following:

(A) The number of allegations received.
866 Inspector General Act of 1978 (P.L. 95-452)

(B) The number of allegations referred to other agencies,

including the number of allegations referred for criminal

investigation.

(C) The number of allegations referred to the Chairperson of

the Integrity Committee for investigation.

(D) The number of allegations closed without referral.

(E) The date each allegation was received and the date each

allegation was finally disposed of.

(F) In the case of allegations referred to the Chairperson of the

Integrity Committee, a summary of the status of the investigation

of the allegations and, in the case of investigations completed

during the preceding fiscal year, a summary of the findings of the

investigations.

(G) Other matters that the Council considers appropriate.

(10) REQUESTS FOR MORE INFORMATION.-With respect

to paragraphs (8) and (9), the Council shall provide more detailed

information about specific allegations upon request from any of the

following:

(A) The chairperson or ranking member of the Committee on

Homeland Security and Governmental Affairs of the Senate.

(B) The chairperson or ranking member of the Committee on

Oversight and Government Reform of the House of

Representatives.

(C) The chairperson or ranking member of the congressional

committees of jurisdiction.

(11) NO RIGHT OR BENEFIT.-This subsection is not intended

to create any right or benefit, substantive or procedural, enforceable

at law by a person against the United States, its agencies, its officers,

or any person.

Sec. 12. Definitions

As used in this Act-

(1) the term "head of the establishment" means the Secretary of

Agriculture, Commerce, Defense, Education, Energy, Health and Human

Services, Housing and Urban Development, the Interior, Labor, State,

Transportation, Homeland Security, or the Treasury; the Attorney

General; the Administrator of the Agency for International Development,

Environmental Protection, General Services, National Aeronautics and

Space, Small Business, or Veterans' Affairs; the Director [Administrator] of the Federal Emergency Management Agency, or the Office of

Personnel Management; the Chairman of the Nuclear Regulatory

Commission or the Railroad Retirement Board;[;] the Chairperson of the

Thrift Depositor Protection Oversight Board; the Chief Executive Officer

of the Corporation for National and Community Service; the

Administrator of the Community Development Financial Institutions

Fund; the chief executive officer of the Resolution Trust Corporation; the

Chairperson of the Federal Deposit Insurance Corporation; the

Commissioner of Social Security, Social Security Administration; the

Director of the Federal Housing Finance Agency; the Board of Directors

of the Tennessee Valley Authority; the President of the Export-Import

Bank; or the Federal Cochairpersons of the Commissions established

under section 15301 of title 40, United States Code; as the case may be;

(2) the term "establishment" means the Department of Agriculture,

22

Public Law 110-409. section 7(a), 122 Star. 4302 (2008), amended the section by inserting section I I and

redesignating prior sections I I and 12 as 12 and 13.
Inspector General Act of 1978 (P.L. 95-452) 867

Commerce, Defense, Education, Energy, Health and Human Services,

Housing and Urban Development, the Interior, Justice, Labor, State,

Transportation, Homeland Security, or the Treasury; the Agency for

International Development, the Community Development Financial

Institutions Fund, the Environmental Protection Agency, the Federal

Emergency Management Agency, the General Services Administration,

the National Aeronautics and Space Administration, the Nuclear

Regulatory Commission, the Office of Personnel Management, the

Railroad Retirement Board, the Resolution Trust Corporation, the

Federal , Deposit Insurance Corporation, the Small Business

Administration, the Corporation for National and Community Service,

the Veterans' Administration, the Social Security Administration, the

Federal Housing Finance Agency, the Tennessee Valley Authority, the

Export-Import Bank, or the Commissions established under section

15301 of title 40, United States Code, as the case may be;

(3) the term "Inspector General" means the Inspector General of an

establishment;

(4) the term "Office" means the Office of Inspector General of an

establishment; and

(5) the term "Federal agency" means an agency as defined in section

552(o) of title 5 (including an establishment as defined in paragraph (2),

United States Code, but shall not be construed to include the General

Accounting Office [Government Accountability Office].23

Sec. 13. Effective Date

The [original] provisions of this Act and the amendments [to other

laws] made by this Act [see section 10 of this Act] shall take effect

October 1, 1978.

Pertinent Portions Of Inspector General Act Amendment Of

1988

(which did not amend Inspector General Act of 1978)

Uniform Salaries For Inspectors General

(a) UNIFORM SALARIES.-Section 5315 of Title 5, United States

Code, is amended by adding at the end thereof the following new

paragraphs

Inspector General, Department of Commerce.

Inspector General, Department of the Interior.

Inspector General, Department of Justice.

Inspector General, Department of the Treasury.

Inspector General, Agency for International Development.

Inspector General, Environmental Protection Agency.

Inspector General, Federal Emergency Management Agency.

"• Added and amended by P.L. 95-452, § 12 [1I], 92 Stat. 1109 (1978); P.L. 96-88, Title V, §§ 508(n)(3), (4),

93 Stat. 695 (1979); P.L. 97-113, Title VII, § 705(a)(2), 95 Stat. 1544 (1981); P.L. 97-252, Title XI,

§§ 1I 17(a)(4), (5), 96 Stat. 751 (1982); P.L. 99-93, Title [, § 150(a)(2), 99 Stat. 427 (1985); P.L. 99-399,

Title IV, § 412(a)(2). 100 Slat. 867 (1986); P.L. 100-504, Title 1, § 102(c), 102 Slat. 2515 (1988);

P.L. 100-527, § 13(h)(2), (3), 102 Stat. 2643 (t988). P.L. 101-73, Title V, Subtitle A, § 501(b)(I),

103 Slat. 393 (1989); P.L. 102-233, Title III, § 315(a), 105 Stat. 1772 (1991); P.L. 103-82, Title II,

§ 202(g)(4), 107 Stat. 890 (1993); P.L. 103-204, § 23(a)(1), 107 Stat. 2407 (1993); P.L. 103-296, Title I,

§ 108(l)(2), 108 Stat. 1489 (1994); P.L. 103-325, Title I, Subtitle A, § 118(a), 108 Stat. 2188 (1994);

P.L. 104-106, Div. D, Title XLIII, Subtitle B, §§ 4322(b)(1), (3), 110 Slat. 677 (1996); P.L. 105-277, Div. G,

Subdiv. A, Title XIII, Ch. 2, § 1314(b), 112 Slat. 2681-776 (1998); P.L. 106-422, § I(b)(2), 114 Stat. 422

(2000); P.L. 107-189, §§ 22(a), (d), 116 Stat. 707, 708 (2002); P.L. 107-296, Title XVII, § 1701,

116 Stat. 2313 (2002); P.L. 110-234, Title XIV, Subtitle C, § 14217(c), 122 Stat. 1482 (2008); P.L. 110-246,

§ 4(a), Title XIV, Subtitle C, § 14217(c), 122 Stat. 1664, 2244 (2008); P.L. 110-289, Div. A, Title I,

Subtitle A, § 1105(c), 122 Stat. 2668 (2008); P.L. 110-409, § 7(a), 122 Slat. 4305 (2008).
868 Inspector General Act of 1978 (P.L. 95-452)

Inspector General, General Services Administrator.

Inspector General, National Aeronautics and Space Administration.

Inspector General, Nuclear Regulatory Commission. Inspector General,

Office of Personnel Management.

Inspector General, Railroad Retirement Board.

Inspector General, Small Business Administration.

. Appropriation Accounts

Section 1 105(a)(25) of Title 31, United States code, is amended to

read as follows:

(a) During the first 15 days of each regular session of Congress, the

President shall submit a budget of the United States Government for the

following fiscal year. Each budget shall include a budget message and

summary and supporting information. The President shall include in each

budget the following:

(25) a separate appropriation account for appropriations for each

Office of Inspector General of an establishment defined under section

11(2) of the Inspector General Act of 1978.

Payment Authority Subject To Appropriations

Any authority to make payments under this Title (Inspector General

Act Amendments) shall be effective only to such extent as provided in

appropriations Acts.

Effective Date

This Title and the amendments made by this Title shall take effect

180 days after the date of the enactment of this Title, except that section

5(a)(6) through (12) of the Inspector General Act of 1978 (as amended

by section 106(a) of this Title) and section (5)(b)(1) through (4) of the

Inspector General Act of 1978 (as amended by section 106(b) of this

Title) shall take effect 1 year after the date of the enactment of this Title.
Information Management Legislation 869

8. Information Management

Legislation

Information Management Legislation 871

8. Information Management Legislation

Contents

A. INFORMATION TECHNOLOGY MANAGEMENT REFORM ACT OF

1 9 9 6 ......................................................................................................................... 8 7 5

Subtitle III - Information Technology Management ...................................... 875

S ec. 1110 1. D efin itions .................................................................................. 875

Sec. 11102. Sense O f C ongress ....................................................................... 875

Sec. 11103. Applicability To National Security Systems.................. 876

Chapter 113-Responsibility For Acquisitions Of Information Technology ..... 876

Subchapter I--Director Of Office Of Management And Budget .................... 877

Sec. 11301. Responsibility O f Director ......................................................... 877

Sec. 11302. Capital Planning And Investment Control ............................... 877

Sec. 11303. Performance-Based And Results-Based Management ............. 878

Subchapter l1--Executive A gencies ................................................................... 879

Sec. 113 11. R esponsibilities ............................................................................ 879

Sec. 11312. Capital Planning And Investment Control ............................... 879

See. 11313. Performance And Results-Based Management ........................ 880

Sec. 11314. Authority To Acquire And Manage Information

T ech n o lo g y .......................................................................... ........................ 8 80

Sec. 11315. Agency Chief Information O fficer ............................................. 881

See. 113 16. A ccountability .............................................................................. 882

Sec. 11317. Significant D eviations ................................................................. 882

See. 11318. Interagency Support ................................................................... 882

Subchapter Ill--O ther R esponsibilities ............................................................ 882

Sec. 11331. Responsibilities Regarding Efficiency, Security, And

Privacy O f Federal Com puter System s ..................................................... 882

See. 11332. Federal Computer System Security Training And Plan

IR e p ea le di .................................................................................................... 8 8 3

B. PAPERWORK REDUCTION ACT OF 1995, AS AMENDED ....................... 884

S ec. I. S h o rt T itle ........................................................................................... 884

Sec. 2. Coordination Of Federal Information Policy .................................. 884

Chapter 35-Coordination Of Federal Information Policy ................................. 884

S ec. 3 50 1. P u rp oses ........................................................................................ 884

S ec. 3 502 . D efin itio n s ..................................................................................... 885

Sec. 3503. Office Of Information And Regulatory Affairs ......................... 887

Sec. 3504. Authority And Functions Of Director ........................................ 887

Sec. 3505. Assignment Of Tasks And Deadlines .......................................... 891

Sec. 3506. Federal Agency Responsibilities ................................................. 892

Sec. 3507. Public Information Collection Activities; Submission To

D irector; A pproval A nd Delegation .......................................................... 897

Sec. 3508. Determination Of Necessity For Information; Hearing ............ 901

Sec. 3509. Designation Of Central Collection Agency ................................ 901

Sec. 3510. Cooperation Of Agencies In Making Information Available ...901

Sec. 3511. Establishment And Operation Of Government Information

L oca to r S erv ice ............................................................................................ 902

Sec. 3512. Public P rotection .......................................................................... 902

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

R esp o n se ....................................................................................................... 9 0 2

Sec. 3514. Responsiveness To C ongress ....................................................... 903
872 Information Management Legislation

See. 3515. A dm inistrative Pow ers ................................................................. 903

Sec. 3516. R ules A nd R egulations ................................................................. 903

See. 3517. Consultation With Other Agencies And The Public ................. 904

Sec. 3518. Effect On Existing Laws And Regulations ................................. 904

Sec. 3519. A ccess To Inform ation ................................................................. 905

Sec. 3520. Establishment Of Task Force On Information Collection

A nd D issem ination ...................................................................................... 905

Sec. 3521. Authorization Of Appropriations ................................................ 908

Subchapter II. Inform ation Security ................................................................ 908

See. 353 1. P urposes ........................................................................................ 908

Sec. 3 532. D efi nitions ..................................................................................... 908

Sec. 3533. Authority And Functions Of The Director ................................. 909

Sec. 3534. Federal Agency Responsibilities .................................................. 910

Sec. 3535. Annual Independent Evaluation .................................................. 913

Sec. 3536. National Security System s ............................................................ 915

Sec. 3537. A uthorization of A ppropriations ................................................. 915

Sec. 3538. Effect on Existing Law .................................................................. 915

C. GOVERNMENT PAPERWORK ELIMINATION ACT ................................. 916

D IV ISIO N C -T IT L E X V II .................................................................................... 9 16

S ec. 170 1. S h o rt T itle .................................................................................... 9 16

Sec. 1702. Authority Of OMB To Provide For Acquisition And Use Of

Alternative Information Technologies By Executive Agencies ............... 916

Sec. 1703. Procedures For Use And Acceptance Of Electronic

Signatures By Executive Agencies ............................................................. 916

Sec. 1704. Deadline For Implementation By Executive Agencies Of

Procedures For Use And Acceptance Of Electronic Signatures ............. 917

Sec. 1705. Electronic Storage And Filing Of Employment Forms ............. 917

Sec. 1706. Study On Use Of Electronic Signatures ..................................... 917

Sec. 1707. Enforceability And Legal Effect Of Electronic Records ........... 917

Sec. 1708. D isclosure O f Inform ation ........................................................... 917

Sec. 1709. Application With Internal Revenue Laws .................................. 918

S ec. 17 10 . D efin itio ns ..................................................................................... 9 18

D. CONSOLIDATED APPROPRIATIONS ACT, 2001 (DATA QUALITY) ..... 919

Appendix C (Treasury And General Government Appropriations Act,

2 0 0 1) ................................................................................................................. 9 19

E. ELECTRONIC RECORDS AND SIGNATURES IN COMMERCE .............. 920

S ec. 1. S h o rt T itle .......................................................................................... 920

Title I Electronic Records And Signatures In Commerce .................................. 920

Sec. 101. G eneral R ule O f V alidity ............................................................... 920

Sec. 102. Exem ption To Preem ption .............................................................. 923

Sec. 103. Specific E xceptions .......................................................................... 924

Sec. 104. Applicability To Federal And State .............................................. 925

S ec. 10 5. S tu d ies .............................................................................................. 92 7

S ec. 106. D efin itio ns ........................................................................................ 927

Sec. 107. E ffective D ate ................................................................................... 928

T itle Il-T ransferable R ecords .............................................................................. 929

Sec. 201. Transferable Records ................................................................ 929

Sec. 202. E ffective D ate ................................................................................... 930

Title IlI-Promotion Of International Electronic Commerce ............................. 930

Sec. 301. Principles Governing The Use Of Electronic Signatures In

International T ransactions ......................................................................... 930
Information Management Legislation 873

Title IV-Commission On Online Child Protection ............................................. 931

See. 401. Authority To Accept Gifts .............................................................. 931

F. PLAIN W RITING ACT OF 2010 ........................................................................ 932

S ee. 1. S h o rt T itle ............................................................................................ 932

S ec . 2 . P u rp o se ................................................................................................. 9 32

S ec. 3 . D efin itio ns ............................................................................................ 932

Sec. 4. Responsibilities Of Federal Agencies ................................................. 932

Sec. 5. Reports To Congress ........................................................................... 933

See. 6. Judicial Review And Enforceability .................................................. 933

Sec. 7. Budgetary Effects Of Paygo Legislation For This Act ..................... 933

Information Technology Management Reform Act (P.L. 107-217) 875

A. INFORMATION TECHNOLOGY MANAGEMENT

REFORM ACT OF 1996

Public Law 107-217 116 Stat. 1235

[Selected Portionsi

Subtitle III - Information Technology Management'

40 USC 11101,

40 USC 11102.

Sec. 11101. Definitions

In this subtitle, the following definitions apply:

(1) COMMERCIAL ITEM.-The term "commercial item" has the

meaning given that term in section 4 of the Office of Federal

Procurement Policy Act (41 U.S.C. 403).

(2) EXECUTIVE AGENCY.-The term "executive agency" has

the meaning given that term in section 4 of the Act (41 U.S.C. 403).

(3) INFORMATION RESOURCES.-The term "information

resources" has the meaning given that term in section 3502 of title 44.

(4) INFORMATION RESOURCES MANAGEMENT.-The term

"information resources management" has the meaning given that term

in section 3502 of title 44.

(5) INFORMATION SYSTEM.-The term "information system"

has the meaning given that term in section 3502 of title 44.

(6) INFORMATION TECHINOLOGY.- The term "information

technology"-

(A) with respect to an executive agency means any equipment

or interconnected system or subsystem of equipment, used in the

automatic acquisition, storage, analysis, evaluation, manipulation,

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

transmission, or reception of data or information by the executive

agency, if the equipment is used by the executive agency directly

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

agency that requires the use-

(i) of that equipment; or

(ii) of that equipment to a significant extent in the

performance of a service or the furnishing of a product;

(B) includes computers, ancillary equipment (including

imaging peripherals, input, output, and storage devices necessary

for security and surveillance), peripheral equipment designed to

be controlled by the central processing unit of a computer,.

software, firmware and similar procedures, services (including

support services), and related resources; but

(C) does not include any equipment acquired by a federal

contractor incidental to a federal contract.2

Sec. 11102. Sense Of Congress

It is the sense of Congress that, during the five-year period beginning

with 1996, executive agencies should achieve each year through

improvements in information resources management by the agency-

(I) at least a five percent decrease in the cost (in constant fiscal

year 1996 dollars) incurred by the agency in operating and

maintaining information technology; and

'Public Law 107-217, 116 Stat. 1235, recodified provisions of Public Law 104-106, I OS tat. 679, the

Information Technology Management Reform Act of 1996 (Clinger-Cohen, formerly codified at

40 U.S.C. 1401, et. seq.). 2

Amended by P.L. 108-199, Div. F, Title V, § 535(b), 118 Stat. 345 (2004).
40 USC 11103.

876 Information Technology Management Reform Act (P.L. 107-217)

(2) a five percent increase in the efficiency of the agency

operations.

Sec. 11103. Applicability To National Security Systems

(a) DEFINITION-

(1) NATIONAL SECURITY SYSTEM.-In this section, the term

"national security system" means a telecommunications or

information system operated by the Federal Government, the

function, operation, or use of which-

(A) involves intelligence activities;

(B) involves cryptologic activities related to national security;

(C) involves command and control of military forces;

(D) involves equipment that is an integral part of a weapon or

weapons system; or

(E) subject to paragraph (2), is critical to the direct fulfillment

of military or intelligence missions.

(2) LIMITATION.- Paragraph (1)(E) does not include a system

to be used for routine administrative and business applications

(including payroll, finance, logistics, and personnel management

applications).

(b) IN GENERAL.-Except as provided in subsection (c), chapter

113 of this title does not apply to national security systems.

(c) EXCEPTIONS.-

(1) IN GENERAL.-Sections 11313, 11315, and 11316 of this title

apply to national security systems.

(2) CAPITAL PLANNING AND INVESTMENT CONTROL.-

The heads of executive agencies shall apply sections 11302 and

113 12 of this title to national security systems to* the extent

practicable.

(3) APPLICABILITY OF PERFORMANCE-BASED AND

RESULTS-BASED MANAGEMENT TO NATIONAL SECURITY

SYSTEMS.-

(A) IN GENERAL.-Subject to subparagraph (B), the heads of

executive agencies shall apply section 11303 of this title to

national security systems to the extent practicable.

(B) EXCEPTION.-National security systems are subject to

section I 1303(b)(5) of this title, except for subparagraph (B)(iv).

Chapter 113-Responsibility For Acquisitions Of Information

Technology

Subchapter I - Director Of Office Of Management And Budget

Sec.

11301. Responsibility of Director.

11302. Capital planning and investment control.

11303. Performance-based and results-based management.

Subchapter I1--Executive Agencies

11311. Responsibilities.

11312. Capital planning and investment control.

11313. Performance and results-based management.

11314. Authority to acquire and manage information technology.

11315. Agency Chief Information Officer.

11316. Accountability.

11317. Significant deviations.

11318. Interagency support.
40 USC 11301.

40 USC 11302.

Information Technology Management Reform Act (P.L. 107-217) 877

Subchapter III- Other Responsibilities

11331. Responsibilities Regarding Efficiency, Security, And Privacy

Of Federal Computer Systems

11332. Federal Computer System Security Training And Plan

Subehapter I--Director Of Office Of Management And Budget

Sec. 11301. Responsibility Of Director

In fulfilling the responsibility to administer the functions assigned

under chapter 35 of title 44, the Director of the Office of Management

and Budget shall comply with this chapter with respect to the specific

matters covered by this chapter.

Sec. 11302. Capital Planning And Investment Control

(a) FEDERAL INFORMATION TECHNOLOGY.-The Director of

the Office of Management and Budget shall perform the responsibilities

set forth in this section in fulfilling the responsibilities under section

3504(h) of title 44.

(b) USE OF INFORMATION TECHNOLOGY IN FEDERAL

PROGRAMS.-The Director shall promote and improve the acquisition,

use, security, and disposal of information technology by the Federal

Government to improve the productivity, efficiency, and effectiveness of

federal programs, including through dissemination of public information

and the reduction of information collection burdens on the public.

(c) USE OF BUDGET PROCESS.-

(I) ANALYZING, TRACKING, AND EVALUATING

CAPITAL INVESTMENTS.- As part of the budget process, the

Director shall develop a process for analyzing, tracking, and

evaluating the risks, including information security risks, and results

of all major capital investments made by an executive agency for

information systems. The process shall cover the life of each system

and shall include explicit criteria for analyzing the projected and

actual costs, benefits, and risks, including information security risks,

associated with the investments.3

(2) REPORT TO CONGRESS.-At the same time that the

President submits the budget for a fiscal year to Congress under

section 1105(a) of title 31, the Director shall submit to Congress a

report on the net program performance benefits achieved as a result of

major capital investments made by executive agencies for

information systems and how the benefits relate to the

accomplishment of the goals of the executive agencies.

(d) INFORMATION TECHNOLOGY STANDARDS.-The Director

shall oversee the development and implementation of standards and

guidelines pertaining to federal computer systems by tile Secretary of

Commerce through the National Institute of Standards and Technology

under section 11331 of this title and section 20 of the National Institute

of Standards and Technology Act (15 U.S.C. 278g-3).

(e) DESIGNATION OF EXECUTIVE AGENTS FOR

ACQUISITIONS.-The Director shall designate the head of one or more

executive agencies, as the Director considers appropriate, as executive

agent for Government-wide acquisitions of information technology.

3

Amended by P.L 108-458, Title VIII, §§ 8401(1), (2), 1 18 Stat. 3869(2004).
40 USC 11303.

878 Information Technology Management Reform Act (P.L. 107-217)

(f) USE OF BEST PRACTICES IN ACQUISITIONS.-The Director

shall encourage the heads of the executive agencies to develop and use

the best practices in the acquisition of information technology.

(g) ASSESSMENT OF OTHER MODELS FOR MANAGING

INFORMATION TECHNOLOGY.- On a continuing basis, the Director

shall assess the experiences of executive agencies, state and local

governments, international organizations, and the private sector in

managing information technology.

(h) COMPARISON OF AGENCY USES OF INFORMATION

TECHNOLOGY.-The Director shall compare the performances of the

executive agencies in using information technology and shall disseminate

the comparisons to the heads of the executive agencies.

(i) MONITORING TRAINING.-The Director shall monitor the

development and implementation of training in information resources

management for executive agency personnel.

(j) INFORMING CONGRESS.-The Director shall keep Congress

fully informed on the extent to which the executive agencies are

improving the performance of agency programs and the accomplishment

of the agency missions through the use of the best practices in

information resources management.

(k) COORDINATION OF POLICY DEVELOPMENT AND

REVIEW.-The Director shall coordinate with the Office of Federal

Procurement Policy the development and review by the Administrator of

the Office of Information and Regulatory Affairs of policy associated

with federal acquisition of information technology.

Sec. 11303. Performance-Based And Results-Based Management

(a) IN GENERAL.-The Director of the Office of Management and

Budget shall encourage the use of performance-based and results-based

management in fulfilling the responsibilities assigned under section

3504(h) of title 44.

(b) EVALUATION OF AGENCY PROGRAMS AND

INVESTMENTS.-

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

resources management practices of the executive agencies with

respect to the performance and results of the investments made by the

executive agencies in information technology.

(2) DIRECTION FOR EXECUTIVE AGENCY ACTION.-The

Director shall issue to the head of each executive agency clear and

concise direction that the head of each agency shall-

(A) establish effective and efficient capital planning processes

for selecting, managing, and evaluating the results of all of its

major investments in information systems;

(B) determine, before making an investment in a new

information system-

(i) whether the function to be supported by the system

should be performed by the private sector and, if so, whether

any component of the executive agency performing that

function should be converted from a governmental

organization to a private sector organization; or

(ii) whether the function should be performed by the

executive agency and, if so, whether the function should be

performed by a private sector source under contract or by

executive agency personnel;

(C) analyze the missions of the executive agency and, based on the analysis, revise the executive agency's mission-related
Information Technology Management Reform Act (P.L. 107-217) 879

processes and administrative processes, as appropriate, before

making significant investments in information technology to be

used in support of those missions; and

(D) ensure that the information security policies, procedures,

and practices are adequate.

(3) GUIDANCE FOR MULTIAGENCY INVESTMENTS.-The

direction issued under paragraph (2) shall include guidance for

undertaking efficiently and effectively interagency and Federal

Government-wide investments in information technology to improve

the accomplishment of missions that are common to the executive

agencies.

(4) PERIODIC REVIEWS.-The Director shall implement through

the budget process periodic reviews of selected information resources

management activities of the executive agencies to ascertain the

efficiency and effectiveness of information technology in improving

the performance of the executive agency and the accomplishment of

the missions of the executive agency.

(5) ENFORCEMENT OF ACCOUNTABILITY.-

(A) IN GENERAL-The Director may take any action that the

Director considers appropriate, including an action involving the

budgetary process or appropriations management process, to

enforce accountability of the head of an executive agency for

information resources management and for the investments made

by the executive agency in information technology.

(B) SPECIFIC ACTIONS.-Actions taken by the Director may

include-

(i) recommending a reduction or an increase in the amount

for information resources that the head of the executive

agency proposes for the budget submitted to Congress under

section 1105(a) of title 3 1;

(ii) reducing or otherwise adjusting apportionments and

reapportionments of appropriations for information resources;

(iii) using other administrative controls over appropriations

to restrict the availability of amounts for information

resources; and

(iv) designating for the executive agency an executive

agent to contract with private sector sources for the

performance of information resources management or the

acquisition of information technology.

Subchapter Il--Executive Agencies

Sec. 11311. Responsibilities

In fulfilling the responsibilities assigned under chapter 35 of title 44,

the head of each executive agency shall comply with this subchapter with

respect to the specific matters covered by this subchapter.

Sec. 11312. Capital Planning And Investment Control

(a) DESIGN OF PROCESS.-In fulfilling the responsibilities assigned

under section 3506(h) of title 44, the head of each executive agency shall

design and implement in the executive agency a process for maximizing

the value, and assessing and managing the risks, of the information

technology acquisitions of the executive agency.

(b) CONTENT OF PROCESS.-The process of an executive agency

shall40 USC 11311.

40 USC 11312.
40 USC 11313.

40 USC 11314.

880 Information Technology Management Reform Act (P.L. 107-217)

(1) provide for the selection of investments in information

technology (including information security needs) 4 to be made by the

executive agency, the management of those investments, and the

evaluation of the results of those investments;

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

and program management decisions in the executive agency;

(3) include minimum criteria to be applied in considering whether

to undertake a particular investment in information systems, including

criteria related to the quantitatively expressed projected net, riskadjusted return on investment and specific quantitative and qualitative

criteria for comparing and prioritizing alternative information systems

investment projects;

(4) identify information systems investments that would result in

shared benefits or costs for other federal agencies or state or local

governments;

(5) identify quantifiable measurements for determining the net

benefits and risks of a proposed investment; and

(6) provide the means for senior management personnel of the

executive agency to obtain timely information regarding the progress

of an investment in an information system, including a system of

milestones for measuring progress, on an independently verifiable

basis, in terms of cost, capability of the system to meet specified

requirements, timeliness, and quality.

Sec. 11313. Performance And Results-Based Management

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

head of an executive agency shall-

(1) establish goals for improving the efficiency and effectiveness

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

the public through the effective use of information technology;

(2) prepare an annual report, to be included in the executive

agency's budget submission to Congress, on the progress in achieving

the goals;

(3) ensure that performance measurements-

(A) are prescribed for information technology used by, or to

be acquired for, the executive agency; and

(B) measure how well the information technology supports

programs of the executive agency;

(4) where comparable processes and organizations in the public or

private sectors exist, quantitatively benchmark agency process

performance against those processes in terms of cost, speed,

productivity, and quality of outputs and outcomes;

(5) analyze the missions of the executive agency and, based on the

analysis, revise the executive agency's mission-related processes and

administrative processes as appropriate before making significant

investments in information technology to be used in support of the

performance of those missions; and

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

practices of the executive agency are adequate.

Sec. 11314. Authority To Acquire And Manage Information

Technology

(a) IN GENERAL.-The authority of the head of an executive agency

to acquire information technology includes-

(1) acquiring information technology as authorized by law;

4

Amended by P.L. 108-458, Title VIII, § 8401(3), 118 Stat. 3869 (2004).
Information Technology Management Reform Act (P.L. 107-217) 881

40 USC 11315.

(2) making a contract that provides for multiagency acquisitions

of information technology in accordance with guidance issued by the

Director of the Office of Management and Budget; and

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

Federal Government to do so, making a multiagency contract for

procurement of commercial items of information technology that

requires each executive agency covered by the contract, when

procuring those items, to procure the items under that contract or to

justify an alternative procurement of the items.

(b) FTS 2000 PROGRAM.-The Administrator of General Services

shall continue to manage the FTS 2000 program, and to coordinate the

follow-on to that program, for and with the advice of the heads of

executive agencies.

Sec. 11315. Agency Chief Information Officer

(a) DEFINITION.-In this section, the term "information technology

architecture", with respect to an executive agency, means an integrated

framework for evolving or maintaining existing information technology

and acquiring new information technology to achieve the agency's

strategic goals and information resources management goals.

(b) GENERAL RESPONSIBILITIES.-The Chief Information Officer

of an executive agency is responsible for-

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

executive agency and other senior management personnel of the

executive agency to ensure that information technology is acquired

and information resources are managed for the executive agency in a

manner that implements the policies and procedures of this subtitle,

consistent with chapter 35 of title 44 and the priorities established by

the head of the executive agency;

(2) developing, maintaining, and facilitating the implementation

of a sound, secure, and integrated information technology architecture

for the executive agency; and 5

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

all major information resources management processes for the

executive agency, including improvements to work processes of the

executive agency.

(c) DUTIES AND QUALIFICATIONS.-The Chief Information

Officer of an agency listed in section 901(b) of title 31-

(1) has information resources management duties as that official's

primary duty;

(2) monitors the performance of information technology programs

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

basis of the applicable performance measurements, and advises the

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

terminate a program or project; and

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

evaluation process required (subject to section 1117 of title 31) under

section 306 of title 5 and sections I 105(a)(28), 1115-1117, and 9703

(as added by section 5(a) of the Government Performance and Results

Act of 1993 (Public Law 103-62, 107 Stat. 289)) of title 3 1-

(A) assesses the requirements established for agency personnel

regarding knowledge and skill in information resources

management and the adequacy of those requirements for

'Amended by P.L. 108-458, Title VIII, § 8401(4), 118 Stat. 3869 (2004).
40 USC 11316.

40 USC 11317.

40 USC 11318.

882 Information Technology Management Reform Act (P.L. 107-217)

facilitating the achievement of the performance goals established

for information resources management;

(B) assesses the extent to which the positions and personnel at

the executive level of the agency and the positions and personnel

at management level of the agency below the executive level meet

those requirements;

(C) develops strategies and specific plans for hiring, training,

and professional development to rectify any deficiency in meeting

those requirements; and

(D) reports to the head of the agency on the progress made in

improving information resources management capability.

See. 11316. Accountability

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

Information Officer and the Chief Financial Officer of that executive

agency (or, in the case of an executive agency without a chief financial

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

to ensure that-

(]) the accounting, financial, asset management, and other

information systems of the executive agency are designed, developed,

maintained, and used effectively to provide financial or program

performance data for financial statements of the executive agency;

(2) financial and related program performance data are provided

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

financial management systems; and

(3) financial statements support-

(A) assessments and revisions of mission-related processes

and administrative processes of the executive agency; and

(B) measurement of the performance of investments made by

the agency in information systems.

See. 11317. Significant Deviations

The head of each executive agency shall identify in the strategic

information resources management plan required under section

3506(b)(2) of title 44 any major information technology acquisition

program, or any phase or increment of that program, that has

significantly deviated from the cost, performance, or schedule goals

established for the program.

Sec. 11318. Interagency Support

The head of an executive agency may use amounts available to the

agency for oversight, acquisition, and procurement of information

technology to support jointly with other executive agencies the activities

of interagency groups that are established to advise the Director of the

Office of Management and Budget in carrying out the Director's

responsibilities under this chapter. The use of those amounts for that

purpose is subject to requirements and limitations on uses and amounts

that the Director may prescribe. The Director shall prescribe the

requirements and limitations during the Director's review of the

executive agency's proposed budget submitted to the Director by the head

of the executive agency for purposes of section 1105 of title 3 1.

Subchapter 111--Other Responsibilities

Sec. 11331. Responsibilities Regarding Efficiency, Security, And

Privacy Of Federal Computer Systems

(a) DEFINITION. In this section, the term "information security" has the

meaning given that term in section 3532(b)(1) of title 44.

40 USC 11331.
Information Technology Management Reform Act (P.L. 107-217) 883

(b) REQUIREMENT TO PRESCRIBE STANDARDS.

(1) In general.

(A) Requirement. Except as provided under paragraph (2), the

Director of the Office of Management and Budget shall, on the basis of

proposed standards developed by the National Institute of Standards and

Technology pursuant to paragraphs (2) and (3) of section 20(a) of the

National Institute of Standards and Technology Act (15 U.S.C. 278g3(a)) and in consultation with the Secretary of Homeland Security, promulgate information security standards pertaining to Federal

information systems.

(B) Required standards. Standards promulgated under subparagraph

(A) shall include-

(i) standards that provide minimum information security

requirements as determined under section 20(b) of the National Institute

of Standards and Technology Act (15 U.S.C. 278g-3(b)); and

(ii) such standards that are otherwise necessary to improve the

efficiency of operation or security of Federal information systems.

(C) Required standards binding. Information security standards

described under subparagraph (B) shall be compulsory and binding.

(2) Standards and guidelines for national security systems. Standards

and guidelines for national security systems, as defined under section

3532(3) of title 44, shall be developed, promulgated, enforced, and

overseen as otherwise authorized by law and as directed by the President.

(c) APPLICATION OF MORE STRINGENT STANDARDS. The head

of an agency may employ standards for the cost-effective information

security for all operations and assets within or under the supervision of

that agency that are more stringent than the standards promulgated by the

Director under this section, if such standards-

(I) contain, at a minimum, the provisions of those applicable standards

made compulsory and binding by the Director; and

(2) are otherwise consistent with policies and guidelines issued under

section 3533 of title 44.

(d) REQUIREMENTS REGARDING DECISIONS BY DIRECTOR.

(1) Deadline. The decision regarding the promulgation of any standard

by the Director under subsection (b) shall occur not later than 6 months

after the submission of the proposed standard to the Director by the

National Institute of Standards and Technology, as provided under

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

U.S.C. 278g-3).

(2) Notice and comment. A decision by the Director to significantly

modify, or not promulgate, a proposed standard submitted to the Director

by the National Institute of Standards and Technology, as provided under

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

U.S.C. 278g-3), shall be made after the public is given an opportunity to

comment on the Director's proposed decision.6

Sec. 11332. Federal Computer System Security Training And Plan

[Repealed 17 40 USC 11332.

"Amended by P.L. 107-296, Title X, § 1002(a), 116 Stat. 2268 (2002); P.L. 107-347, Title 111, § 302(a),

116 Stal. 2956 (2002), 7

Repealed by P.L. 107-296, Title X, § 1005(a)(1), 116 Stat. 2272 (2002): P.L. 107-347, Title I11, § 305(a),

116 Stat. 2960 (2002).
884 Paperwork Reduction Act of 1995 (P.L. 104-13)

B. PAPERWORK REDUCTION ACT OF 1995,

AS AMENDED

Public Law 104-13 109 Stat. 163

May 22, 1995

An Act

To further the goals of the Paperwork Reduction Act to have Federal

agencies become more responsible and publicly accountable for

reducing the burden of Federal paperwork on the public, and for other

purposes.

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

United States ofA merica in Congress assembled,

See. 1. Short Title

44 USC 101 This Act may be cited as the "Paperwork Reduction Act of 1995."

note. 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.

44 USC 3501. Sec. 3501. Purposes

The purposes of this subchapter' are to-

(1) minimize the paperwork burden for individuals, small

businesses, educational and nonprofit institutions, Federal

contractors, State, local and tribal governments, and other persons

'Public Law 106-398, section I, 114 Slat. 1654 (2000). substituted "subchapter" for "chapter" wherever

occurring.
Paperwork Reduction Act of 1995 (P.L. 104-13) 885

resulting from the collection of information by or for the Federal

Government;

(2) ensure the greatest possible public benefit from and maximize

the utility of information created, collected, maintained, used, shared

and disseminated by or for the Federal Government;

(3) coordinate, integrate, and to the extent practicable and

appropriate, make uniform Federal information resources

management policies and practices as a means to improve the

productivity, efficiency, and effectiveness of Government programs,

including the reduction of information collection burdens on the

public and the improvement of service delivery to the public;

(4) improve the quality and use of Federal information to

strengthen decision making, accountability, and openness in

Government and society;

(5) minimize the cost to the Federal Government of the creation,

collection, maintenance, use, dissemination, and disposition of

information;

(6) strengthen the partnership between the Federal Government

and State, local, and tribal governments by minimizing the burden

and maximizing the utility of information created, collected,

maintained, used, disseminated, and retained by or for the Federal

Government;

(7) provide for the dissemination of public information on a

timely basis, on equitable terms, and in a manner that promotes the

utility of the information to the public and makes effective use of

information technology;

(8) ensure that the creation, collection, maintenance, use,

dissemination, and disposition of information by or for the Federal

Government is consistent with applicable laws, including laws

relating to-

(A) privacy and confidentiality, including section 552a of Title

5;

402(B) security of information, including section 11332 of title

; 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.

44 USC 3502. Sec. 3502. Definitions

As used in this subchapter [44 USCS §§ 3501 et seq.]--

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

department, Government corporation, Government controlled

corporation, or other establishment in the executive branch of the

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

independent regulatory agency, but does not include--

2

Public Law 107-2 17, section 3(l)(4), 116 Stat. 1301 (2002).
886 Paperwork Reduction Act of 1995 (P.L. 104-13)

(A) the General Accounting Office [Government Accountability

Office];

(B) Federal Election Commission;

(C) the governments of the District of Columbia and of the territories

and possessions of the United States, and their various subdivisions; or

(D) Government-owned contractor-operated facilities, including

laboratories engaged in national defense research and production

activities;

(2) the term "burden" means time, effort, or financial resources

expended by persons to generate, maintain, or provide information to or

for a Federal agency, including the resources expended for--

(A) reviewing instructions;

(B) acquiring, installing, and utilizing technology and systems;

(C) adjusting the existing ways to comply with any previously

applicable instructions and requirements;

(D) searching data sources;

(E) completing and reviewing the collection of information; and

(F) transmitting, or otherwise disclosing the information;

(3) the term "collection of intbrmation"--

(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 or the United States which are to be used for general

statistical purposes; and

(B) shall not include a collection of information described under

section 351 8(c)(1 );

(4) the term "Director" means the Director of the Office of

Management and Budget;

(5) the term "independent regulatory agency" means the Board of

Governors of the Federal Reserve System, the Commodity Futures

Trading Commission, the Consumer Product Safety Commission, the

Federal Communications Commission, the Federal Deposit Insurance

Corporation, the Federal Energy Regulatory Commission, the Federal

Housing Finance Agency, the Federal Maritime Commission, the Federal

Trade Commission, the Interstate Commerce Commission, the Mine

Enforcement Safety and Health Review Commission, the National Labor

Relations Board, the Nuclear Regulatory Commission, the Occupational

Safety and Health Review Commission, the Postal Regulatory

Commission, the Securities and Exchange Commission, Office of the

Comptroller of the Currency, and any other similar agency designated by

statute as a Federal independent regulatory agency or commission;

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

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

technology;

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

managing information resources to accomplish agency missions and to

improve agency performance, including through the reduction of

information collection burdens on the public;

(8) the term "information system" means a discrete set of information

resources organized for the collection, processing, maintenance, use,

sharing, dissemination, or disposition of information;
PaVerwork Reduction Act of 1995 (P.L. 104-13) 887

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

in section 1 1 101 of title 40 but does not include national security systems

as defined in section 11103 of title 40;

(10) the term "person" means an individual, partnership, association,

corporation, business trust, or legal representative, an organized group of

individuals, a State, territorial, tribal, or local government or branch

thereof, or a political subdivision of a State, territory, tribal, or local

government or a branch of a political subdivision;

(1I) the term "practical utility" means the ability of an agency to use information, particularly the capability to process such information in a timely and useful fashion;

(12) the term "public information" means any information, regardless

of form or format, that an agency discloses, disseminates, or makes

available to the public;

(13) the term "recordkeeping requirement" means a requirement

imposed by or for an agency on persons to maintain specified records,

including a requirement to--

(A) retain such records;

(B) notify third parties, the Federal Government, or the public of the

existence of such records;

(C) disclose such records to third parties, the Federal Government, or

the public; or

(D) report to third parties, the Federal Government, or the public

regarding such records; and

(14) the term "penalty" includes the imposition by an agency or court

of a fine or other punishment; a judgment for monetary damages or

equitable relief; or the revocation, suspension, reduction, or denial of a

license, privilege, right, grant, or benefit.3

44 USC 3503. Sec. 3503. Office Of Information And Regulatory Affairs

Establishment. (a) There is established in the Office of Management and Budget an

office to be known as the Office of Information and Regulatory Affairs.

(b) There shall be at the head of the Office an Administrator who

shall be appointed by the President, by and with the advice and consent

of the Senate. The Director shall delegate to the Administrator the

authority to administer all functions under this Chapter, except that any

such delegation shall not relieve the Director of responsibility for the

administration of such functions. The Administrator shall serve as

principal adviser to the Director on Federal information resources

management policy. 4

44 USC 3504. See. 3504. Authority And Functions Of Director

(a) (1) The Director shall oversee the use of information resources to

improve the efficiency and effectiveness of governmental operations to

serve agency missions, including burden reduction and service delivery

to the public. In performing such oversight, the Director shall--

(A) develop, coordinate and oversee the implementation of Federal

information resources management policies, principles, standards, and

guidelines; and

(B) provide direction and oversee--

'Added and amended P.L. 104-13, § 2, 109 Stat. 164 (1995); P.L. 104-106, Div. E, Title LVI, § 5605(a),

110 Stat. 700 (1996), P.L. 105-85, Div. A, Title X, Subtitle G, § 1073(h)(5)(A),I II Stat, 1907 (1997);

P.L. 106-398, § 1, 114 Stat. 1654 (2000); P.L. 107-217, § 3(l)(4), 116 Stat. 1301 (2002); P.L. 109435,

Title VI, § 604(e), 120 Stat. 3242 (2006); P.L. 110-289. Div. A, Title II, § 1216(e), 122 Stat. 2792 (2008);

P.L. 111-203. Title Ill, Subtitle A, § 315. Title X, Subtitle H, § I 100D(a), 124 Stat. 1524, 2111 (2010).

4 Added P.L. 104-13, § 2, 109 Stat. 166 (1995), and amended P.L. 106-398, § I [Div. A, Title X, § 1064(b)],

114 Stat, 1654, 1654A-275 (2000).
888 Paperwork Reduction Act of 1995 (P.L. 104-13)

(i) the review and approval of the collection of information and the

reduction of the information collection burden;

(ii) agency dissemination of and public access to information;

(iii) statistical activities;

(iv) records management activities;

(v) privacy, confidentiality, security, disclosure, and sharing of

information; and

(vi) the acquisition and use of information technology, including

alternative information technologies that provide for electronic

submission, maintenance, or disclosure of information as a substitute for

paper and for the use and acceptance of electronic signatures.

(2) The authority of the Director under this subchapter [44 USCS §§

3501 et seq.] shall be exercised consistent with applicable law.

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

the Director shall--

(I) 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--

(I) review and approve proposed agency collections of information;

(2) coordinate the review of the collection of information associated

with Federal procurement and acquisition by the Office of Information

and Regulatory Affairs with the Office of Federal Procurement Policy,

with particular emphasis on applying information technology to improve

the efficiency and effectiveness of Federal procurement, acquisition and

payment, and to reduce information collection burdens on the public;

(3) minimize the Federal information collection burden, with particular

emphasis on those individuals and entities most adversely affected;

(4) maximize the practical utility of and public benefit from

information collected by or for the Federal Government;

(5) establish and oversee standards and guidelines by which agencies

are to estimate the burden to comply with a proposed collection of

information; [and]

(6) publish in the Federal Register and make available on the Internet

(in consultation with the Small Business Administration) on an annual

basis a list of the compliance assistance resources available to small

businesses, with the first such publication occurring not later than 1 year

after the date of enactment of the Small Business Paperwork Relief Act

of 2002.

(d) With respect to information dissemination, the Director shall develop

and oversee the implementation of policies, principles, standards, and

guidelines to--
Paperwork Reduction Act of 1995 (P.L. 104-13) 889

(1) apply to Federal agency dissemination of public information,

regardless of the form or format in which such information is

disseminated; and

(2) promote public access to public information and fulfill the purposes

of this subchapter [44 USCS §§ 3501 et seq.], including through the

effective use of information technology.

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

(]) coordinate the activities of the Federal statistical system to ensure--

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

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

of information collected for statistical purposes;

(2) ensure that budget proposals of agencies are consistent with systemwide priorities for maintaining and improving the quality of Federal

statistics and prepare an annual report on statistical program funding;

(3) develop and oversee the implementation of Governmentwide

policies, principles, standards, and guidelines concerning--

(A) statistical collection procedures and methods;

(B) statistical data classification;

(C) statistical information presentation and dissemination;

(D) timely release of statistical data; and

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

administration of Federal programs;

(4) evaluate statistical program performance and agency compliance

with Governmentwide policies, principles, standards and guidelines;

(5) promote the sharing of information collected for statistical purposes

consistent with privacy rights and confidentiality pledges;

(6) coordinate the participation of the United States in international

statistical activities, including the development of comparable statistics;

(7) appoint a chief statistician who is a trained and experienced

professional statistician to carry out the functions described under this

subsection;

(8) establish an Interagency Council on Statistical Policy to advise and

assist the Director in carrying out the functions under this subsection that

shall--

(A) be headed by the chief statistician; and

(B) consist of--

(i) the heads of the major statistical programs; and

(ii) representatives of other statistical agencies under rotating

membership; and

(9) provide opportunities for training in statistical policy functions to

employees of the Federal Government under which--

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

based on agency requests and shall serve under the chief statistician for at

least 6 months and not more than 1 year; and

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

training.

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

(I) provide advice and assistance to the Archivist of the United States

and the Administrator of General Services to promote coordination in the

administration of chapters 29, 31, and 33 of this title [44 USCS §§ 2901

et seq., 3101 et seq., 3301 et seq.] with the information resources

management policies, principles, standards, and guidelines established

under this subchapter [44 USCS §§ 3501 et seq.];

(2) review compliance by agencies with--
890 Paperwork Reduction Act of 1995 (P.L. 104-13)

(A) the requirements of chapters 29, 31, and 33 of this title [44 USCS

§§ 2901 et seq., 3101 et seq., 3301 et seq.]; and

(B) regulations promulgated by the Archivist of the United States and

the Administrator of General Services; and

(3) oversee the application of records management policies, principles,

standards, and guidelines, including requirements for archiving

information maintained in electronic format, in the planning and design

of information systems.

(g) With respect to privacy and security, the Director shall--

(1) develop and oversee the implementation of policies, principles,

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

and sharing of information collected or maintained by or for agencies;

and

(2) oversee and coordinate compliance with sections 552 and 552a of

title 5, sections 20 and 21 of the National Institute of Standards and

Technology Act (15 U.S.C. 278g-3 and 278g-4), section 11331 of title 40

and subchapter II of this chapter [44 USCS §§ 3531 et seq.], and related

information management laws.

(3) [Deleted]

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

(I) in consultation with the Director of the National Institute of

Standards and Technology and the Administrator of General Services--

(A) develop and oversee the implementation of policies, principles,

standards, and guidelines for information technology functions and

activities of the Federal Government, including periodic evaluations of

major information systems; and

(B) oversee the development and implementation of standards under

section 11331 of title 40;

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

under subtitle Ill of title 40 [40 USCS §§ I1101 et seq.] and directives

issued under section 322 of title 40;

(3) coordinate the development and review by the Office of

Information and Regulatory Affairs of policy associated with Federal

procurement and acquisition of information technology with the Office of

Federal Procurement Policy;

(4) ensure, through the review of agency budget proposals, information

resources management plans and other means--

(A) agency integration of information resources management plans,

program plans and budgets for acquisition and use of information

technology; and

(B) the efficiency and effectiveness of inter-agency information

technology initiatives to improve agency performance and the

accomplishment of agency missions; and

(5) promote the use of information technology by the Federal

Government to improve the productivity, efficiency, and effectiveness of

Federal programs, including through dissemination of public information

and the reduction of information collection burdens on the public.5

'Added and amended P.L. 104-13, § 2, 109 Stat. 167 (1995); P.L. 104-106, Div. E, Title LI, Subtitle D,

§ 5131(e)(i), Title LVI, §§ 5605(b), (c), 110 Stat. 688, 700 (1996); P.L. 105-85, Div. A, Title X, Subtitle G,

§§ 1073(h)(5)(B), (C), II1 Slat. 1907 (1997); P.L. 105-277, Div. C, Title XVII, § 1702, 112 Stat. 2681-749

(1998); P.L. 106-398, § I, 114 Stat. 1654 (2000); P.L. 107-198, § 2(a), 116 Slat. 729 (2002); P.L. 107-217,

§ 3(l)(5), 116 Stat. 1301 (2002); P.L. 107-296, Title X, § 1005(c)(1), 116 Stat. 2272 (2002); P.L. 107-347,

Title Il1, § 305(c)(I), 116 Slat. 2960 (2002).
Panerwork Reduction Act of 1995 (P.L. 104-13) 891

44 USC 3505. Sec. 3505. Assignment Of Tasks And Deadlines

(a) In carrying out the functions under this subchapter [44 USCS §§ 3501

et seq.], the Director shall--

(I) in consultation with agency heads, set an annual Governmentwide

goal for the reduction of information collection burdens by at least 10

percent during each of fiscal years 1996 and 1997 and 5 percent during

each of fiscal years 1998, 1999, 2000, and 2001, and set annual agency

goals to--

(A) reduce information collection burdens imposed on the public

that--

(i) represent the maximum practicable opportunity in each agency;

and

(ii) are consistent with improving agency management of the

process for the review of collections of information established under

section 3506(c); and

(B) improve information resources management in ways that increase

the productivity, efficiency and effectiveness of Federal programs,

including service delivery to the public;

(2) with selected agencies and non-Federal entities on a voluntary

basis, conduct pilot projects to test alternative policies, practices,

regulations, and procedures to fulfill the purposes of this subchapter [44

USCS §§ 3501 et seq.], particularly with regard to minimizing the

Federal information collection burden; and

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

Director of the National Institute of Standards and Technology, the

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

Management, develop and maintain a Governmentwide strategic plan for

information resources management, that shall include--

(A) a description of the objectives and the means by which the

Federal Government shall apply information resources to improve

agency and program performance;

(B) plans for--

(i) reducing information burdens on the public, including reducing

such burdens through the elimination of duplication and meeting shared

data needs with shared resources;

(ii) enhancing public access to and dissemination of, information,

using electronic and other formats; and

(iii) meeting the information technology needs of the Federal

Government in accordance with the purposes of this subchapter [44

USCS §§ 3501 et seq.]; and

(C) a description of progress in applying information resources

management to improve agency performance and the accomplishment of

missions.

(b) For purposes of any pilot project conducted under subsection (a)(2),

the Director may, after consultation with the agency head, waive the

application of any administrative directive issued by an agency with

which the project is conducted, including any directive requiring a

collection of information, after giving timely notice to the public and the

Congress regarding the need for such waiver.

(c) Inventory of major information systems.

(I) The head of each agency shall develop and maintain an inventory of

major information systems (including major national security systems)

operated by or under the control of such agency.

(2) The identification of information systems in an inventory under this

subsection shall include an identification of the interfaces between each
892 Paperwork Reduction Act of 1995 (P.L. 104-13)

such system and all other systems or networks, including those not

operated by or under the control of the agency.

(3) Such inventory shall be--

(A) updated at least annually;

(B) made available to the Comptroller General; and

(C) used to support information resources management, including--

(i) preparation and maintenance of the inventory of information

resources under section 3506(b)(4) [44 USCS § 3506(b)(4)];

(ii) information technology planning, budgeting, acquisition, and

management under section 3506(h) [44 USCS § 3506(h)], subtitle Ill of

title 40 [40 USCS §§ 11101 et seq.], and related laws and guidance;

(iii) monitoring, testing, and evaluation of information security

controls under subchapter 11 [44 USCS §§ 3531 et seq.];

(iv) preparation of the index of major information systems required

under section 552(g) of title 5, United States Code; and

(v) preparation of information system inventories required for

records management under chapters 21, 29, 31, and 33 [44 USCS §§

2101 et seq., 2901 et seq., 3101 et seq., 3301 et seq.].

(4) The Director shall issue guidance for and oversee the

implementation of the requirements of this subsection.

[(d)](c) Inventory of information systems.

(I) The head of each agency shall develop and maintain an inventory of

the information systems (including national security systems) operated

by or under the control of such agency;

(2) The identification of information systems in an inventory under this

subsection shall include an identification of the interfaces between each

such system and all other systems or networks, including those not

operated by or under the control of the agency;

(3) Such inventory shall be--

(A) updated at least annually;

(B) made available to the Comptroller General; and

(C) used to support information resources management, including--

(i) preparation and maintenance of the inventory of information

resources under section 3506(b)(4) [44 USCS § 3506(b)(4)];

(ii) information technology planning, budgeting, acquisition, and

management under section 3506(h) [44 USCS § 3506(h)], subtitle 1II of

title 40 [40 USCS §§ 11101 et seq.], and related laws and guidance;

(iii) monitoring, testing, and evaluation of information security

controls under subchapter 11 [44 USCS §§ 3531 et seq.];

(iv) preparation of the index of major information systems required

under section 552(g) of title 5, United States Code; and

(v) preparation of information system inventories required for

records management under chapters 21, 29, 31, and 33 [44 USCS §§

2101 etseq., 2901 etseq., 3101 etseq., 3301 et seq.].

(4) The Director shall issue guidance for and oversee the 6 implementation of the requirements of this subsection.

44 USC 3506. Sec. 3506. Federal Agency Responsibilities

(a) (I) 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

'Amended P.I... 106-398, § I, 114 Stat. 1654 (2000); P.L. 107-296, Title X, § 1005(c)(2), 116 Stat. 2272

(2002); P.L. 107-347, Title I11, § 305(c)(2), 116 Stat. 2961 (2002).
Par)erwork Reduction Act of 1995 (P.L. 104-13) 893

(B) complying with the requirements of this subchapter [44 USCS §§

3501 et seq.] and related policies established by the Director.

(2) (A) Except as provided under subparagraph (B), the head of each

agency shall designate a Chief Information Officer who shall report

directly to such agency head to carry out the responsibilities of the

agency under this subchapter [44 USCS §§ 3501 et seq.].

(B) The Secretary of the Department of Defense and the Secretary of

each military department may each designate Chief Information Officers

who shall report directly to such Secretary to carry out the

responsibilities of the department under this subchapter [44 USCS §§

3501 et seq.]. If more than one Chief Information Officer is designated,

the respective duties of the Chief Information Officers shall be clearly

delineated.

(3) The Chief Information Officer designated under paragraph (2) shall

head an office responsible for ensuring agency compliance with and

prompt, efficient, and effective implementation of the information

policies and information resources management responsibilities

established under this subchapter [44 USCS §§ 3501 et seq.], including

the reduction of information collection burdens on the public. The Chief

Information Officer and employees of such office shall be selected with

special attention to the professional qualifications required to administer

the functions described under this subchapter [44 USCS §§ 3501 et seq.].

(4) Each agency program official shall be responsible and accountable

for information resources assigned to and supporting the programs under

such official. In consultation with the Chief Information Officer

designated under paragraph (2) and the agency Chief Financial Officer

(or comparable official), each agency program official shall define

program information needs and develop strategies, systems, and

capabilities to meet those needs.

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

agency shall--

(1) manage information resources to--

(A) reduce information collection burdens on the public;

(B) increase program efficiency and effectiveness; and

(C) improve the integrity, quality, and utility of information to all

users within and outside the agency, including capabilities for ensuring

dissemination of public information, public access to government

information, and protections for privacy and security;

(2) in accordance with guidance by the Director, develop and maintain

a strategic information resources management plan that shall describe

how information resources management activities help accomplish

agency missions;

(3) develop and maintain an ongoing process to--

(A) ensure that information resources management operations and

decisions are integrated with organizational planning, budget, financial

management, human resources management, and program decisions;

(B) in cooperation with the agency Chief Financial Officer (or

comparable official), develop a full and accurate accounting of

information technology expenditures, related expenses, and results; and

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

complete inventory of the agency's information resources, including

directories necessary to fulfill the requirements of section 3511 of this

subchapter [44 USCS § 3511]; and

(5) in consultation with the Director and the Director of the Office of

Personnel Management, conduct formal training programs to educate

agency program and management officials about information resources

management.

(c) With respect to the collection of information and the control of

paperwork, each agency shall--

(1) establish a process within the office headed by the Chief

Information Officer designated under subsection (a), that is sufficiently

independent of program responsibility to evaluate fairly whether

proposed collections of information should be approved under this

subchapter [44 USCS §§ 3501 et seq.], to--

(A) review each collection of information before submission to the

Director for review under this subchapter [44 USCS §§ 3501 et seq.],

including--

(i) an evaluation of the need for the collection of information;

(ii) a functional description of the information to be collected;

(iii) a plan for the collection of the information;

(iv) a specific, objectively supported estimate of burden;

(v) a test of the collection of information through a pilot program, if

appropriate; and

(vi) a plan for the efficient and effective management and use of the

information to be collected, including necessary resources;

(B) ensure that each information collection--

(i) is inventoried, displays a control number and, if appropriate, an

expiration date;

(ii) indicates the collection is in accordance with the clearance

requirements of section 3507 [44 USCS § 3507]; and

(iii) informs the person receiving the collection of information of--

(1) the reasons the information is being collected;

(11) the way such information is to be used;

(111) 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 35070)

[44 USCS § 3507(j)], provide 60-day notice in the Federal Register, and

otherwise consult with members of the public and affected agencies

concerning each proposed collection of information, to solicit comment

to--

(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
Pai)erwork Reduction Act of 1995 (P.L. 104-13) 895

(iv) minimize the burden of the collection of information on those

who are to respond, including through the use of automated collection

techniques or other forms of information technology; and

(B) for any proposed collection of information contained in a proposed rule (to be reviewed by the Director under section 3507(d) [44

USCS § 3507(d)]), provide notice and comment through the notice of

proposed rulemaking for the proposed rule and such notice shall have the

same purposes specified under subparagraph (A)(i) through (iv);

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

including public comments received by the agency) that each collection

of information submitted to the Director for review under section 3507

[44 USCS § 3507]--

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

agency, including that the information has practical utility;

(B) is not unnecessarily duplicative of information otherwise

reasonably accessible to the agency;

(C) reduces to the extent practicable and appropriate the burden on

persons who shall provide information to or for the agency, including

with respect to small entities, as defined under section 601(6) of title 5,

the use of such techniques as--

(i) establishing differing compliance or reporting requirements or timetables that take into account the resources available to those who are

to respond;

(ii) the clarification, consolidation, or simplification of compliance

and reporting requirements; or (iii) an exemption from coverage of the collection of information,

or any part thereof;

(D) is written using plain, coherent, and unambiguous terminology

and is understandable to those who are to respond;

(E) is to be implemented in ways consistent and compatible, to the

maximum extent practicable, with the existing reporting and

recordkeeping practices of those who are to respond;

(F) indicates for each recordkeeping requirement the length of time

persons are required to maintain the records specified;

(G) contains the statement required under paragraph (I)(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;

(1) uses effective and efficient statistical survey methodology

appropriate to the purpose for which the information is to be collected;

and

(J) to the maximum extent practicable, uses information technology

to reduce burden and improve data quality, agency efficiency and

responsiveness to the public; and

(4) in addition to the requirements of this chapter [44 USCS §§ 3501 et

seq.] regarding the reduction of information collection burdens for small

business concerns (as defined in section 3 of the Small Business Act (15

U.S.C. 632)), make efforts to further reduce the information collection

burden for small business concerns with fewer than 25 employees.

(d) With respect to information dissemination, each agency shall--

(I) ensure that the public has timely and equitable access to the

agency's public information, including ensuring such access through--
896 Paperwork Reduction Act of 1995 (P.L. 104-13)

(A) encouraging a diversity of public and private sources for

information based on government public information;

(B) in cases in which the agency provides public information

maintained in electronic format, providing timely and equitable access to

the underlying data (in whole or in part); and

(C) agency dissemination of public information in an efficient,

effective, and economical manner;

(2) regularly solicit and consider public input on the agency's

information dissemination activities;

(3) provide adequate notice when initiating, substantially modifying, or

terminating significant information dissemination products; and

(4) not, except where specifically authorized by statute--

(A) establish an exclusive, restricted, or other distribution

arrangement that interferes with timely and equitable availability of

public information to the public;

(B) restrict or regulate the use, resale, or redissemination of public

information by the public;

(C) charge fees or royalties for resale or redissemination of public

information; or

(D) establish user fees for public information that exceed the cost of

dissemination.

(e) With respect to statistical policy and coordination, each agency shall--

(]) ensure the relevance, accuracy, timeliness, integrity, and objectivity

of information collected or created for statistical purposes;

(2) inform respondents fully and accurately about the sponsors,

purposes, and uses of statistical surveys and studies;

(3) protect respondents' privacy and ensure that disclosure policies fully

honor pledges of confidentiality;

(4) observe Federal standards and practices for data collection,

analysis, documentation, sharing, and dissemination of information;

(5) ensure the timely publication of the results of statistical surveys and

studies, including information about the quality and limitations of the

surveys and studies; and

(6) make data available to statistical agencies and readily accessible to

the public.

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

and enforce applicable policies and procedures, including requirements

for archiving information maintained in electronic format, particularly in

the planning, design and operation of information systems.

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

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

and guidelines on privacy, confidentiality, security, disclosure and

sharing of information collected or maintained by or for the agency; and

(2) assume responsibility and accountability for compliance with and

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

I1 of this chapter [44 USCS §§ 3531 et seq.], and related information

management laws.

(3) [Deleted]

(h) With respect to Federal information technology, each agency shall--

(1) implement and enforce applicable Governmentwide and agency

information technology management policies, principles, standards, and

guidelines;

(2) assume responsibility and accountability for information technology

investments;
Paperwork Reduction Act of 1995 (P.L. 104-13) 897

(3) promote the use of information technology by the agency to

improve the productivity, efficiency, and effectiveness of agency

programs, including the reduction of information collection burdens on

the public and improved dissemination of public information;

(4) propose changes in legislation, regulations, and agency procedures

to improve information technology practices, including changes that

improve the ability of the agency to use technology to reduce burden; and

(5) assume responsibility for maximizing the value and assessing and

managing the risks of major information systems initiatives through a

process that is--

(A) integrated with budget, financial, and program management

decisions; and

(B) used to select, control, and evaluate the results of major

information systems initiatives.

(i) (I) In addition to the requirements described in subsection (c), each

agency shall, with respect to the collection of information and the control

of paperwork, establish I point of contact in the agency to act as a liaison

between the agency and small business concerns (as defined in section 3

of the Small Business Act (15 U.S.C. 632)).

(2) Each point of contact described under paragraph (1) shall be

established not later than I year after the date of enactment of the Small

Business Paperwork Relief Act of 2002 [enacted June 28, 2002].'

44 USC 3507. 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-

(I) the agency has-

(A) conducted the review established under section

3506(c)(I);

(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

Federal (D) published a notice in the Federal Register-"(i) stating that

Register. the agency has made such submission; and

publication. (ii) setting forth-

(I) a title for the collection of information;

(11) a summary of the collection of information;

(Ill) 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;

7

Amended P.L. 104-106. Div. E, Title LI, Subtitle C, § 5125(a), 110 Stat. 684 (1996); P.L. 106-398, § J,

114 Stat. 1654 (2000); P.L. 107-198, §§ 2(b), (c), 116 Stat. 729 (2002); P.L. 107-217. § 3(l)(6), 116 Stat. 1302

(2002): P.t, 107-296, Title X, § 1005(c)(3), 116 Stat. 2273 (2002): P.l. 107-347, Title I1l. § 305(c)(3), 116 Stat. 2961 (2002).
898 Paperwork Reduction Act of 1995 (P.L. 104-13)

(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)(l)(D), whichever is later.

(3) If the Director does not notify the agency of a denial or

approval within the 60-day period described under paragraph (2)-

(A) the approval may be inferred;

(B) a control number shall be assigned without further delay;

and

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

year.

Proposed rule. (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

Federal (B) within 60 days after the notice of proposed rulemaking is

Register. published in the Federal Register, the Director may file public

publication, comments pursuant to the standards set forth in section 3508 on

the collection of information contained in the proposed rule;

Federal (2) When.a final rule is published in the Federal Register, the

Register, agency shall explainpublication. (A) how any collection of information contained in the final

Regulations. 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
Paperwork Reduction Act of 1995 (P.L. 104-13) 899

(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 (I) 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

() to disapprove a collection of information, or to instruct the agency to

make substantive or material change to a collection of information, shall

be publicly available and include an explanation of the reasons for such

decision.

(2) Any written communication between the Administrator of the

Office of Information and Regulatory Affairs, or any employee of the

Office of Information and Regulatory Affairs, and an agency or

person not employed by the Federal Government concerning a

proposed collection of information shall be made available to the

public.

(3) This subsection shall not require the disclosure of-

(A) any information which is protected at all times by

procedures established for information which has been

specifically authorized under criteria established by an Executive

order or an Act of Congress to be kept secret in the interest of

national defense or foreign policy; or

(B) any communication relating to a collection of information

which is not approved under this Subchapter, the disclosure of

which could lead to retaliation or discrimination against the

communicator.

(f)(1) An independent regulatory agency which is administered by 2

or more members of a commission, board, or similar body, may by

majority vote void-

(A) any disapproval by the Director, in whole or in part, of a

proposed collection of information of that agency; or

(B) an exercise of authority under subsection (d) of section

3507 concerning that agency.

(2) The agency shall certify each vote to void such disapproval or

exercise to the Director, and explain the reasons for such vote. The

Director shall without further delay assign a control number to such

collection of information, and such vote to void the disapproval or

exercise shall be valid for a period of 3 years.

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

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 shallFederal (A) publish an explanation thereof in the Federal Register;

Register, and

publication. (B) instruct the agency to undertake a rulemaking within a

reasonable time limited to consideration of changes to the

collection of information contained in the rule and thereafter to

submit the collection of information for approval or disapproval

under this subchapter.

(3) An agency may not make a substantive or material

modification to a collection of information after such collection has

been approved by the Director, unless the modification has been

submitted to the Director for review and approval under this

subchapter.

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

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

responsibility to evaluate fairly whether proposed collections of

information should be approved and has sufficient resources to carry out

this responsibility effectively, the Director may, by rule in accordance

with the notice and comment provisions of Chapter 5 of Title 5, United

States Code, delegate to such official the authority to approve proposed

collections of information in specific program areas, for specific

purposes, or for all agency purposes.

(2) A delegation by the Director under this section shall not

preclude the Director from reviewing individual collections of

information if the Director determines that circumstances warrant

such a review. The Director shall retain authority to revoke such

delegations, both in general and with regard to any specific matter, In

acting for the Director, any official to whom approval authority has

been delegated under this section shall comply fully with the rules

and regulations promulgated by the Director.

(j)(1) The agency head may request the Director to authorize a

collection of information, if an agency head determines that-

(A) a collection of information-

(i) is needed prior to the expiration of time periods

established under this Subchapter; and

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

(B) the agency cannot reasonably comply with the provisions

of this Subchapter because-

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

clearance procedures are followed;

(ii) an unanticipated event has occurred; or
Paperwork Reduction Act of 1995 (P.L. 104-13) 901

(iii) the use of normal clearance procedures is reasonably

likely to prevent or disrupt the collection of information or is

reasonably likely to cause a statutory or court ordered deadline

to be missed.

(2) The Director shall approve or disapprove any such

authorization request within the time requested by the agency head

and, if approved, shall assign the collection of information a control

number. Any collection of information conducted under this

subsection may be conducted without compliance with the provisions

of this subchapter for a maximum of 180 days after the date on which

the Director received the request to authorize such collection.8

44 USC 3508. Sec. 3508. Determination Of Necessity For Information; Hearing

Before approving a proposed collection of information, the Director

shall determine whether the collection of information by the agency is

necessary for the proper performance of the functions of the agency,

including whether the information shall have practical utility. Before

making a determination the Director may give the agency and other

interested persons an opportunity to be heard or to submit statements in

writing. To the extent, if any, that the Director determines that the

collection of information by an agency is unnecessary for any reason, the

agency may not engage in the collection of information.

44 USC 3509. Sec. 3509. Designation Of Central Collection Agency

The Director may designate a central collection agency to obtain

information for two or more agencies if the Director determines that the

needs of such agencies for information will be adequately served by a

single collection agency, and such sharing of data is not inconsistent with

applicable law. In such cases the Director shall prescribe (with reference

to the collection of information) the duties and functions of the collection

agency so designated and of the agencies for which it is to act as agent

(including reimbursement for costs). While the designation is in effect, an agency covered by the designation may not obtain for itself

information for the agency which is the duty of the collection agency to

obtain. The Director may modify the designation from time to time as

circumstances require. The authority to designate under this section is

subject to the provisions of section 3507(f) of this subchapter.9

44 USC 3510. 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

'P.L. 104-13, section 2, 109 Stat. 171 (1995); P.L. 104-106, Div. E, Title LVI, section 5605(d), 110 Stat. 700

ýI996); P.L, 106-398, § I [Div. A, Title X, § 1064(b)], 114 Siai. 1654, 1654A-275 (2000).

P.L. 106-398, § I [Div. A, Title X, § 1064(b)], 114 Stat. 1654, 1654A-275 (2000).
902 Paperwork Reduction Act of 1995 (P.L. 104-13)

disclosure of information as if the information had been collected

directly by that agency. 44 USC3511. See. 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 agencybased 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;

Establishment. (3) in cooperation with the Archivist of the United States, the

Administrator of General Services, the Public Printer, and the

Librarian of Congress, establish an interagency committee to advise

the Secretary of Commerce on the development of technical standards

for the Service to ensure compatibility, promote information sharing,

and uniform access by the public;

(4) consider public access and other user needs in the

establishment and operation of the Service;

(5) ensure the security and integrity of the Service, including

measures to ensure that only information which is intended to be

disclosed to the public is disclosed through the Service; and

(6) periodically review the development and effectiveness of the

Service and make recommendations for improvement, including other

mechanisms for improving public access to Federal agency public

information.

(b) This section shall not apply to operational files as defined by the

Central Intelligence Agency Information Act (50 USC 431 et seq.).

44 USC 3512. See. 3512. Public Protection

(a) Notwithstanding any other provision of law, no person shall be

subject to any penalty for failing to comply with a collection of

information that is subject to this subchapter if-'

(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.

44 USC 3513. 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.

'"P.L. 106-398, § I [Div. A, Title X, § 1064(b)], 114 Stat. 1654, 1654A-275 (2000).
Panerwork Reduction Act of 1995 (P.L. 104-13) 903

PaewokReutinAc f 199 (PL 0-3(0

(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.

44 USC 3514. See, 3514. Responsiveness To Congress

(a)(I) The Director shall-

(A) keep the Congress and congressional committees fully and

currently informed of the major activities under this subchapter;

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,

including-

(i) a summary of accomplishments and planned initiatives

to reduce collection of information burdens;

(ii) a list of all violations of this subchapter and of any

rules, guidelines policies, and procedures issued pursuant to

this subchapter;'

(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.

44 USC 3515. See. 3515. Administrative Powers

Upon the request of the Director, each agency (other than an

independent regulatory agency) shall, to the extent practicable, make its

services, personnel, and facilities available to the Director for the

performance of functions under this subchapter. 12

44 USC 3516. Sec. 3516. Rules And Regulations

The Director shall promulgate rules, regulations, or procedures

necessary to exercise the authority provided by this subchapter.13

P.L. 106-398, § I [Div. A. Title X, § 1064(b)], 114 Stat. 1654, 1654A-275 (2000).

'2 P.L. 106-398, § I [Div. A, Title X, § 1064(b)], 114 Stat. 1654, 1654A-275 (2000).

• P.L. 106-398, § I [Div. A, Title X, § 1064(b)], 114 Stat. 1654, 1654A-275 (2000).
904 Paperwork Reduction Act of 1995 (P.L. 104-13)

44 USC 3517. See. 3517. Consultation With Other Agencies And The Public

(a) In developing information resources management policies, plans, rules, regulations, procedures, and guidelines and in reviewing

collections of information, the Director shall provide interested agencies

and persons early and meaningful opportunity to comment.

(b) Any person may request the Director to review any collection of

information conducted by or for an agency to determine, if, under this

subchapter,"4 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-

(I) 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.

44 USC 3518. See. 3518. Effect On Existing Laws And Regulations

(a) Except as otherwise provided in this subchapter, the authority of an

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

procedures for Federal information resources management activities is

subject to the authority of the Director under this subchapter.

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

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

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

(as amended) and Executive order, relating to telecommunications and

information policy, procurement and management of telecommunications

and information systems, spectrum use, and related matters.

(c) (1) Except as provided in paragraph (2), this subchapter shall not

apply to the collection of information--

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

prosecution, or during the disposition of a particular criminal matter;

(B) during the conduct of-

(i) a civil action to which the United States or any official or agency

thereof is a party; or

(ii) an administrative action or investigation involving an agency

against specific individuals or entities;

(C) by compulsory process pursuant to the Antitrust Civil Process

Act and section 13 of the Federal Trade Commission Improvements Act

of 1980; or

(D) during the conduct of intelligence activities as defined in section

3.4(e) of Executive Order No. 12333, issued December 4, 1981, or

successor orders, or during the conduct of cryptologic activities that are

communications security activities.

(2) This subchapter applies to the collection of information during the

conduct of general investigations (other than information collected in an

antitrust investigation to the extent provided in subparagraph (C) of

paragraph (1)) undertaken with reference to a category of individuals or

entities such as a class of licensees or an entire industry.

(d) Nothing in this subchapter shall be interpreted as increasing or

decreasing the authority conferred by sections 11331 and 11332 of title

40 on the Secretary of Commerce or the Director of the Office of

Management and Budget.

'

4

P.L. 106-398, § I [Div. A, Title X, § 1064(b)], 114 Stat. 1654, 1654A-275 (2000).
Pat)erwork Reduction Act of 1995 (P.L. 104-13) 905

(e) Nothing in this subchapter shall be interpreted as increasing or decreasing the authority of the President, the Office of Management and

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

respect to the substantive policies and programs of departments, agencies

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

enforce the civil rights laws.15

44 USC 3519. See. 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.

44 USC 3520. Sec. 3520. Establishment Of Task Force On Information Collection

And Dissemination 1

6

"a) There is established a task force to study the feasibility of

streamlining requirements with respect to small business concerns regarding collection of information and strengthening dissemination of

information (in this section referred to as the 'task force').

"(b)(l) The Director shall determine-

"(A) subject to the minimum requirements under paragraph

(2), the number of representatives to be designated under each

subparagraph of that paragraph; and

"(B) the agencies to be represented under paragraph (2)(K).

"(2) After all determinations are made under paragraph (I), the

members of the task force shall be designated by the head of each

applicable department or agency, and include-

"(A) I representative of the Director, who shall convene and

chair the task force;

"(B) not less than 2 representatives of the Department of

Labor, including I representative of the Bureau of Labor Statistics

and I representative of the Occupational Safety and Health

Administration;

"(C) not less than I representative of the Environmental

Protection Agency;

"(D) not less than I representative of the Department of

Transportation;

"(E) not less than I representative of the Office of Advocacy

of the Small Business Administration;

"(F) not less than I representative of the Internal Revenue

Service;

"(G) not less than 2 representatives of the Department of

Health and Human Services, including I representative of the

Centers for Medicare and Medicaid Services;

"(H) not less than I representative of the Department of

Agriculture;

"(I) not less than I representative of the Department of the

Interior;

5

Arn ended by P.L. 104-106, Div. E, Title LI, Subtitle D, § 5131(c)(2), 110 Stat. 688 (1996); P.L. 105-85,

Div. A, Title'X, Subtitle G, § 1073(h)(5)(C), III Stat. 1907 (1997). P.L. 106-398, § t, 114 Stat. 1654 (2000);

P.L 107-217, § 3(I)(7), 116 Stat. 1302 (2002). 16

Section 3520 added by P.L. 107-198, § 3, 116 Stat. 730 (2002).
906 Paperwork Reduction Act of 1995 (P.L. 104-13)

"(J) not less than I representative of the General Services

Administration; and

"(K) not less than I representative of each of 2 agencies not

represented by representatives described under subparagraphs (A)

through (J).

"(c) The task force shall-

"(1) identify ways to integrate the collection of information

across Federal agencies and programs and examine the feasibility

and desirability of requiring each agency to consolidate

requirements regarding collections of information with respect to

small business concerns within and across agencies, without

negatively impacting the effectiveness of underlying laws and

regulations regarding such collections of information, in order that

each small business concern may submit all information required

by the agency-

"(A) to I point of contact in the agency;

"(B) in a single format, such as a single electronic

reporting system, with respect to the agency; and

"(C) with synchronized reporting for information

submissions having the same frequency, such as synchronized

quarterly, semiannual, and annual reporting dates;

"(2) examine the feasibility and benefits to small businesses of

publishing a list by the Director of the collections of information

applicable to small business concerns (as defined in section 3 of

the Small Business Act (15 U.S.C. 632)), organized-

"(A) by North American Industry Classification System

code;

"(B) by industrial sector description; or

"(C) in another manner by which small business concerns can more easily identify requirements with which those small

business concerns are expected to comply;

"(3) examine the savings, including cost savings, and develop

recommendations for implementing-

"(A) systems for electronic submissions of information to

the Federal Government; and

"(B) interactive reporting systems, including components

that provide immediate feedback to assure that data being

submitted-

"(i) meet requirements of format; and

"(ii) are within the range of acceptable options for each

data field;

"(4) make recommendations to improve the electronic

dissemination of information collected under Federal

requirements;

"(5) recommend a plan for the development of an interactive

Government wide system, available through the Internet, to allow

each small business to-

"(A) better understand which Federal requirements

regarding collection of information (and, when possible,

which other Federal regulatory requirements) apply to that

particular business; and

"(B) more easily comply with those Federal requirements;

and

"(6) in carrying out this section, consider opportunities for the

coordination-
Paperwork Reduction Act of 1995 (P.L. 104-13) 907

"(A) of Federal and State reporting requirements; and

"(B) among the points of contact described under section

3506(i), such as to enable agencies to provide small business

concerns with contacts for information collection requirements

for other agencies.

Federal "(d) The task force shallRegister. "(1) by publication in the Federal Register, provide notice and an

publication, opportunity for public comment on each report in draft form; and

Notice. "(2) make provision in each report for the inclusion of-

"(A) any additional or dissenting views of task force members;

and

Deadline. "(B) a summary of significant public comments.

Readlie. "(e) Not later than 1 year after the date of enactment of the Small Reports. Business Paperwork Relief Act of 2002, the task force shall submit a

report of its findings under subsection (c) (1), (2), and (3) to-

"(1) the Director;

"(2) the chairpersons and ranking minority members of-

"(A) the Committee on Governmental Affairs and the

Committee on Small Business and Entrepreneurship of the

Senate; and

"(B) the Committee on Government Reform and the

Committee on Small Business of the House of

Representatives; and

"(3) the Small Business and Agriculture Regulatory Enforcement

Ombudsman designated under section 30(b) of the Small Business

Act (15 U.S.C. 657(b)).

Deadline. "(f) Not later than 1 year after the date of enactment of the Small

Reports. Business Paperwork Relief Act of 2002, the task force shall submit a

report of its findings under subsection (c) (1), (2), and (3) to-

"(I) the Director;

"(2) the chairpersons and ranking minority members of-

"(A) the Committee on Governmental Affairs and the

Committee on Small Business and Entrepreneurship of the

Senate; and

"(B) the Committee on Government Reform and the

Committee on Small Business of the House of

Representatives; and

"(3) the Small Business and Agriculture Regulatory Enforcement

Ombudsman designated under section 30(b) of the Small Business

Act (15 U.S.C. 657(b)).

Termination "(g) The task force shall terminate after completion of its work.

date. "(h) In this section, the term 'small business concern' has the meaning

given under section 3 of the Small Business Act (15 U.S.C. 632).".

(b) TECHNICAL AND CONFORMING AMENDMENT.-The

table of sections for chapter 35 of title 44, United States Code, is

amended by striking the item relating to section 3520 and inserting

the following:

"3520. Establishment of task force on information collection

and dissemination,

"3521. Authorization of appropriations.".
908 Paperwork Reduction Act of 1995 (P.L. 104-13)

44 USC 3521. See. 3521. Authorization Of Appropriations17

There are authorized to be appropriated to the Office of Information

and Regulatory Affairs to carry out the provisions of this Chapter, and

for no other purpose, $8,000,000 for each of the fiscal years 1996, 1997,

1998, 1999, 2000, and 2001.

Subchapter [I.

Information Security 44 USC 3531. Sec. 3531. Purposes

The purposes of this subchapter are to--

(]) provide a comprehensive framework for ensuring the effectiveness

of information security controls over information resources that support Federal operations and assets;

(2) recognize the highly networked nature of the current Federal

computing environment and provide effective governmentwide

management and oversight of the related information security risks,

including coordination of information security efforts throughout the

civilian, national security, and law enforcement communities;

(3) provide for development and maintenance of minimum controls

required to protect Federal information and information systems;

(4) provide a mechanism for improved oversight of Federal agency

information security programs;

(5) acknowledge that commercially developed information security

products offer advanced, dynamic, robust, and effective information

security solutions, reflecting market solutions for the protection of

critical information infrastructures important to the national defense and

economic security of the nation that are designed, built, and operated by

the private sector; and

(6) recognize that the selection of specific technical hardware and

software information security solutions should be left to individual

agencies from among commercially developed products."8

44 USC 3532. Sec. 3532. Definitions

(a) In general. Except as provided under subsection (b), the definitions

under section 3502 shall apply to this subchapter [44 USCS §§ 3531 et

seq.].

(b) Additional definitions. As used in this subchapter [44 USCS §§ 3531

et seq.]--

(1) the term "information security" means protecting information and

information systems from unauthorized access, use, disclosure,

disruption, modification, or destruction in order to provide--

(A) integrity, which means guarding against improper information

modification or destruction, and includes ensuring information

nonrepudiation and authenticity;

(B) confidentiality, which means preserving authorized restrictions

on access and disclosure, including means for protecting personal privacy

and proprietary information;

(C) availability, which means ensuring timely and reliable access to

and use of information; and

7

S•.ction 3521 was formerly section 3520, redesignated by P.L. 107-198, section 3, 116 Stat. 730 (2002).

"

8

Added P.L. 107-296, Title X, § 1001(b)(1) (2002). A prior § 3531 (P.U 106-398, § I, 114 Stat. 1654 (2000),

relating to information security, was replaced as part of the general revision of this subchapter by § 1001(b)(1)

of P.L. 107-296 (2002). Such section set out the purposes of former 44 U.S.C.S. § 3531 et seq. For similar

provisions, see this section.
PaDerwork Reduction Act of 1995 (P.L. 104-13) 909

(D) authentication, which means utilizing digital credentials to assure

the identity of users and validate their access;

(2) the term "national security system" means any information system

(including any telecommunications system) used or operated by an

agency or by a contractor of an agency, or other organization on behalf of

an agency, the function, operation, or use of which--

(A) involves intelligence activities;

(B) involves cryptologic activities related to national security;

(C) involves command and control of military forces;

(D) involves equipment that is an integral part of a weapon or

weapons system; or

(E) is critical to the direct fulfillment of military or intelligence

missions provided that this definition does not apply to a system that is

used for routine administrative and business applications (including

payroll, finance, logistics, and personnel management applications);

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

in section II 101 of title 40; and

(4) the term "information system" means any equipment or

interconnected system or subsystems of equipment that is used in the

automatic acquisition, storage, manipulation, management, movement,

control, display, switching, interchange, transmission, or reception of

data or information, and includes--

(A) computers and computer networks;

(B) ancillary equipment;

(C) software, firmware, and related procedures;

(D) services, includinA support services; and

(E) related resources.

44 USC 3533. See. 3533. Authority And Functions Of The Director

(a) The Director shall oversee agency information security policies and

practices, by--

(I) promulgating information security standards under section 11331 of

title 40;

(2) overseeing the implementation of policies, principles, standards,

and guidelines on information security;

(3) requiring agencies, consistent with the standards promulgated under

such section 11331 and the requirements of this subchapter [44 USCS §§

353 1 et seq.], to identify and provide information security protections

commensurate with the risk and magnitude of the harm resulting from

the unauthorized access, use, disclosure, disruption, modification, or

destruction of--

(A) information collected or maintained by or on behalf of an agency;

or

(B) information systems used or operated by an agency or by a

contractor of an agency or other organization on behalf of an agency;

(4) coordinating the development of standards and guidelines under

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

U.S.C. 278g-3) with agencies and offices operating or exercising control

of national security systems (including the National Security Agency) to

assure, to the maximum extent feasible, that such standards and

guidelines are complementary with standards and guidelines developed

for national security systems;

"Added P.L. 107-296, Title X, § 1001(b)(1) (2002). A prior § 3532 (P.L. 106-398, § I, 114 Stat. 1654 t2000), relating to information security, was replaced as part of the general revision of this subchapter by § 1001(b)(1) of P.L. 107-296 (2002). Such section set out the purposes of former 44 U.S.C.S. § 3531 et seq. For similar

provisions, see this section.
44 USC 3534.

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

(5) overseeing agency compliance with the requirements of this

subchapter [44 USCS §§ 3531 et seq.], including through any authorized

action under section 1 1303(b)(5) of title 40, to enforce accountability for

compliance with such requirements;

(6) reviewing at least annually, and approving or disapproving, agency

information security programs required under section 3534(b) [44 USCS

§ 3534(b)];

(7) coordinating information security policies and procedures with

related information resources management policies and procedures; and

(8) reporting to Congress no later than March I of each year on agency

compliance with the requirements of this subchapter [44 USCS §§ 3531

et seq.], including--

(A) a summary of the findings of evaluations required by section

3535 [44 USCS § 3535];

(B) significant deficiencies in agency information security practices;

(C) planned remedial action to address such deficiencies; and

(D) a summary of, and the views of the Director on, the report

prepared by the National Institute of Standards and Technology under

section 20(d)(9) of the National Institute of Standards and Technology

Act (15 U.S.C. 278g-3).

(b) Except for the authorities described in paragraphs (4) and (7) of

subsection (a), the authorities of the Director under this section shall not

apply to national security systems. 20

Sec. 3534. Federal Agency Responsibilities

(a) The head of each agency shall--

(1) be responsible for--

(A) providing information security protections commensurate with

the risk and magnitude of the harm resulting from unauthorized access,

use, disclosure, disruption, modification, or destruction of--

(i) information collected or maintained by or on behalf of the

agency; and

(ii) information systems used or operated by an agency or by a

contractor of an agency or other organization on behalf of an agency;

(B) complying with the requirements of this subchapter [44 USCS §§

3531 et seq.] and related policies, procedures, standards, and guidelines,

including--

(i) information security standards promulgated by the Director

under section 11331 of title 40; and

(ii) information security standards and guidelines for national

security systems issued in accordance with law and as directed by the

President; and

(C) ensuring that information security management processes are

integrated with agency strategic and operational planning processes;

(2) ensure that senior agency officials provide information security for

the information and information systems that support the operations and

assets under their control, including through--

(A) assessing the risk and magnitude of the harm that could result

from the unauthorized access, use, disclosure, disruption, modification,

or destruction of such information or information systems;

(B) determining the levels of information security appropriate to

protect such information and information systems in accordance with

2

4Added P.L. 107-296, Title X, § 1001(b)(1) (2002). A prior § 3533 (P.L. 106-398, § I, 114 Stat. 1654 (2000),

relating to information security, was replaced as part of'the general revision of this subchapter by § 1001(b)(1)

ol'P.L. 107-296 (Nov. 25, 2002). Such section set out the purposes of former 44 U.S.C.S. § 3531 et seq. For

similar provisions, see this section.
Paperwork Reduction Act of 1995 (P.L. 104-13) 911

* standards promulgated under section 11331 of title 40 for information

security classifications and related requirements;

(C) implementing policies and procedures to cost-effectively reduce

risks to an acceptable level; and

(D) periodically testing and evaluating information security controls

and techniques to ensure that they are effectively implemented;

(3) delegate to the agency Chief Information Officer established under

section 3506 [44 USCS § 3506] (or comparable official in an agency not

covered by such section) the authority to ensure compliance with the

requirements imposed on the agency under this subchapter [44 USCS §§

3531 et seq.], including--

(A) designating a senior agency information security officer who

shall--

(i) carry out the Chief Information Officer's responsibilities under

this section;

(ii) possess professional qualifications, including training and

experience, required to administer the functions described under this

section;

(iii) have information security duties as that official's primary duty;

and

(iv) head an office with the mission and resources to assist in

ensuring agency compliance with this section;

(B) developing and maintaining an agencywide information security

program as required by subsection (b);

(C) developing and maintaining information security policies,

procedures, and control techniques to address all applicable

requirements, including those issued under section 3533 of this title [44

USCS § 3533], and section 11331 of title 40;

(D) training and overseeing personnel with significant responsibilities

for information security with respect to such responsibilities; and

(E) assisting senior agency officials concerning their responsibilities

under paragraph (2);

(4) ensure that the agency has trained personnel sufficient to assist the

agency in complying with the requirements of this subchapter [44 USCS

§§ 3531 et seq.] and related policies, procedures, standards, and

guidelines; and

(5) ensure that the agency Chief Information Officer, in coordination

with other senior agency officials, reports annually to the agency head on

the effectiveness of the agency information security program, including

progress of remedial actions.

(b) Each agency shall develop, document, and implement an agencywide

information security program, approved by the Director under section

3533(a)(5) [44 USCS § 3533(a)(5)], to provide information security for

the information and information systems that support the operations and

assets of the agency, including those provided or managed by another

agency, contractor, or other source, that includes--

(1) periodic assessments of the risk and magnitude of the harm that

could result from the unauthorized access, use, disclosure, disruption,

modification, or destruction of information and information systems that

support the operations and assets of the agency;

(2) policies and procedures that--

(A) are based on the risk assessments required by paragraph (1);

(B) cost-effectively reduce information security risks to an acceptable

level;
912 Paperwork Reduction Act of 1995 (P.L. 104-13)

(C) ensure that information security is addressed throughout the life

cycle of each agency information system; and

(D) ensure compliance with--

(i) the requirements of this subchapter [44 USCS §§ 3531 et seq.];

(ii) policies and procedures as may be prescribed by the Director,

and information security standards promulgated under section 11331 of

title 40;

(iii) minimally acceptable system configuration requirements, as

determined by the agency; and

(iv) any other applicable requirements, including standards and

guidelines for national security systems issued in accordance with law

and as directed by the President;

(3) subordinate plans for providing adequate information security for

networks, facilities, and systems or groups of information systems, as

appropriate;

(4) security awareness training to inform personnel, including

contractors and other users of information systems that support the

operations and assets of the agency, of--

(A) information security risks associated with their activities; and

(B) their responsibilities in complying with agency policies and

procedures designed to reduce these risks;

(5) periodic testing and evaluation of the effectiveness of information

security policies, procedures, and practices, to be performed with a

frequency depending on risk, but no less than annually, of which such

testing-- (A) shall include testing of management, operational, and technical

controls of every information system identified in the inventory required

under section 3505(c) [44 USCS § 3505(c)]; and

(B) may include testing relied on in a evaluation under section 3535

[44 USCS § 3535]; (6) a process for planning, implementing, evaluating, and documenting

remedial action to address any deficiencies in the information security

policies, procedures, and practices of the agency;

(7) procedures for detecting, reporting, and responding to security

incidents, including--

(A) mitigating risks associated with such incidents before substantial

damage is done; and

(B) notifying and consulting with, as appropriate--

(i) law enforcement agencies and relevant Offices of Inspector

General;

(ii) an office designated by the President for any incident involving

a national security system; and

(iii) any other agency or office, in accordance with law or as

directed by the President; and

(8) plans and procedures to ensure continuity of operations for

information systems that support the operations and assets of the agency.

(c) Each agency shall--

(1) report annually to the Director, the Committees on Government

Reform and Science of the House of Representatives, the Committees on

Governmental Affairs and Commerce, Science, and Transportation of the

Senate, the appropriate authorization and appropriations committees of

Congress, and the Comptroller General on the adequacy and

effectiveness of information security policies, procedures, and practices,

and compliance with the requirements of this subchapter [44 USCS §§
Panerwork Reduction Act of 1995 (P.L. 104-13) 913

3531 et seq.], including compliance with each requirement of subsection

(b);

(2) address the adequacy and effectiveness of information security

policies, procedures, and practices in plans and reports relating to--

(A) annual agency budgets;

(B) information resources management under subchapter I of this

chapter [44 USCS §§ 3501 et seq.];

(C) information technology management under subtitle III of title 40

[40 USCS §§ 11101 et seq.];

(D) program performance under sections 1105 and 1115 through

1119 of title 31, and sections 2801 and 2805 of title 39;

(E) financial management under chapter 9 of title 31 [31 USCS §§

901 et seq.], and the Chief Financial Officers Act of 1990 (31 U.S.C. 501

note; Public Law 101-576) (and the amendments made by that Act);

(F) financial management systems under the Federal Financial

Management Improvement Act (31 U.S.C. 3512 note); and

(G) internal accounting and administrative controls under section

3512 of title 31, United States Code, (known as the "Federal Managers

Financial Integrity Act"); and

(3) report any significant deficiency in a policy, procedure, or practice

identified under paragraph (1) or (2)--

(A) as a material weakness in reporting under section 3512 of title 31;

and

(B) if relating to financial management systems, as an instance of a

lack of substantial compliance under the Federal Financial Management

Improvement Act (31 U.S.C. 3512 note).

(d) (I) In addition to the requirements of subsection (c), each agency, in

consultation with the Director, shall include as part of the performance

plan required under section 1115 of title 31 a description of--

(A) the time periods; and

(B) the resources, including budget, staffing, and training,

that are necessary to implement the program required under subsection

(b).

(2) The description under paragraph (1) shall be based on the risk

assessments required under subsection (b)(2)(l).

(e) Each agency shall provide the public with timely notice and

opportunities for comment on proposed information security policies and

procedures to the extent that such policies and procedures affect

communication with the public. 2"

44 USC 3535. See. 3535. Annual Independent Evaluation

(a) (I) Each year each agency shall have performed an independent

evaluation of the information security program and practices of that

agency to determine the effectiveness of such program and practices.

(2) Each evaluation by an agency under this section shall include--

(A) testing of the effectiveness of information security policies,

procedures, and practices of a representative subset of the agency's

information systems;

(B) an assessment (made on the basis of the results of the testing) of

compliance with--

(i) the requirements of this subchapter [44 USCS §§ 3531 et seq.];

and

2'Added P.L. 107-296, Title X, § 1001(b)(I) (2002). A prior § 3534 (P.L. 106-398, § 1, 114 Stat. 1654 (2000),

relating to information security, was replaced as part of the general revision of this subchapter by § I001(b)(i)

of P.L. 107-296 (2002). Such section set out the purposes of former 44 U.S.C.S. § 3531 et seq. For similar

provisions, see this section.
914 Paperwork Reduction Act of 1995 (P.L. 104-13)

(ii) related information security policies, procedures, standards, and

guidelines; and

(C) separate presentations, as appropriate, regarding information

security relating to national security systems.

(b) Subject to subsection (c)--

(1) for each agency with an Inspector General appointed under the

Inspector General Act of 1978 [5 USCS Appx (IGA)J or any other law,

the annual evaluation required by this section shall be performed by the

Inspector General or by an independent external auditor, as determined

by the Inspector General of the agency; and

(2) for each agency to which paragraph (1) does not apply, the head of

the agency shall engage an independent external auditor to perform the

evaluation.

(c) For each agency operating or exercising control of a national security

system, that portion of the evaluation required by this section directly

relating to a national security system shall be performed--

(1) only by an entity designated by the agency head; and

(2) in such a manner as to ensure appropriate protection for information

associated with any information security vulnerability in such system

commensurate with the risk and in accordance with all applicable laws.

(d) The evaluation required by this section--

(1) shall be performed in accordance with generally accepted

government auditing standards; and

(2) may be based in whole or in part on an audit, evaluation, or report

relating to programs or practices of the applicable agency,

(e) Each year, not later than such date established by the Director, the

head of each agency shall submit to the Director the results of the

evaluation required under this section.

(f) Agencies and evaluators shall take appropriate steps to ensure the

protection of information which, if disclosed, may adversely affect

information security. Such protections shall be commensurate with the

risk and comply with all applicable laws and regulations.

(g) (I) The Director shall summarize the results of the evaluations

conducted under this section in the report to Congress required under

section 3533(a)(8).

(2) The Director's report to Congress under this subsection shall

summarize information regarding information security relating to

national security systems in such a manner as to ensure appropriate

protection for information associated with any information security

vulnerability in such system commensurate with the risk and in

accordance with all applicable laws.

(3) Evaluations and any other descriptions of information systems

under the authority and control of the Director of Central Intelligence or

of National Foreign Intelligence Programs systems under the authority

and control of the Secretary of Defense shall be made available to

Congress only through the appropriate oversight committees of

Congress, in accordance with applicable laws.

(h) The Comptroller General shall periodically evaluate and report to

Congress on--

(I) the adequacy and effectiveness of agency information security

policies and practices; and
Panerwork Reduction Act of 1995 (P.L. 104-13) 915

(2) implementation of the requirements of this subchapter [44 USCS §§

353 1 et seq.] 1 2

44 USC 3536. Sec. 3536. National Security Systems.

The head of each agency operating or exercising control of a national

security system shall be responsible for ensuring that the agency--

(1) provides information security protections commensurate with the

risk and magnitude of the harm resulting from the unauthorized access,

use, disclosure, disruption, modification, or destruction of the

information contained in such system;

(2) implements information security policies and practices as required

by standards and guidelines for national security systems, issued in

accordance with law and as directed by the President; and

(3) complies with the requirements of this subchapter.

44 USC 3537. Sec. 3537. Authorization of Appropriations

There are authorized to be appropriated to carry out the provisions of

this subchapter such sums as may be necessary for each of fiscal years

2003 through 2007.24

44 USC 3538. Sec. 3538. Effect on Existing Law

Nothing in this subchapter, section 11331 of title 40, or section 20 of

the National Standards and Technology Act may be construed as

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

Budget or the Director thereof, the National Institute of Standards and

Technology, or the head of any agency, with respect to the authorized use

or disclosure of information, including with regard to the protection of

personal privacy under section 552a of title 5, the disclosure of

information under section 552 of title 5, the management and disposition

of records under chapters 29, 3 1, or 33 of title 44, the management of

information resources under subchapter I of chapter 35 of this title, or the

disclosure of information to Congress or the Comptroller General of the

United States.2 5

22

Added P.L. 107-296, Title X, § 1001(b)(1) (2002). P.L. 108-177, Title 111, Subtitle E, § 377(e),

117 Stat. 2631 (2003). A prior § 3535 (P.L. 106-398, § 1, 114 Stat. 1654 (2000), relating to information

security, was replaced as part of the general revision of this subchapter by § 1001(b)(1) of P.L. 107-296

(2002). Such section set out the purposes of former 44 U.S.C. § 3531 et seq. For similar provisions, see this

section. 23

Added P.L. 107-296, Title X. § 1001(b)(1), 116 Stat. 2266 (2002). A prior § 3536 (P.L. 106-398, § I,

114 Stat. 1654 (2000), relating to information security, was replaced as part of the general revision of this

subchapter by § 1001(b)(1) of P.L. 107-296 (2002). Such section provided for the expiration of former

44 U.S.C. § 3531 et seq. on May 31, 2003. This section is not to apply while Subchapter Ill ofthis chapter

ý44 U.S.C. § 3541 et seq.) is in effect. See 44 U.S.C. § 3549. 4

Added P.L. 107-296. Title X, § 1001(b)(1), 116 Stat. 2267 (2002). This section is not to apply while

Subchapter III of this chapter (44 U.S.C. § 3541 et seq.) is in effect. See 44 U.S.C. § 3549. 2

"Added P.L. 107-296, Title X, § 1001(b)(1), 116 Stat. 2267 (2002). This section is not to apply while

Subchapter II of this chapter (44 U.S.C. § 3541 et seq.) is in effect. See 44 U.S.C. § 3549.
916 Government Paperwork Elimination Act (P.L. 105-277)

C. GOVERNMENT PAPERWORK ELIMINATION ACT

Public Law 105-277 112 Stat. 2681 -749

DIVISION C-TITLE XVII

October 21, 1998

44 USC 3504

note.

Govemrnment

Paperwork

Elimination

Act.

Sec. 1701. Short Title.

Government Paperwork Elimination Act, 44 USC 3504 note. This

Title may be cited as the "Government Paperwork Elimination Act of

1996."

See. 1702. Authority Of OMB To Provide For Acquisition And Use

Of Alternative Information Technologies By Executive Agencies

Section 3504(a)(l)(B)(vi) of Title 44, United States Code, is amended

to read as follows:

"(vi) the acquisition and use of information technology,

including alternative information technologies that provide

for electronic submission, maintenance, or disclosure of

information as a substitute for paper and for the use and

acceptance of electronic signatures.".

See. 1703. Procedures For Use And Acceptance Of Electronic

Signatures By Executive Agencies

(a) IN GENERAL-In order to fulfill the responsibility to administer

the functions assigned under Chapter 35 of Title 44, United States Code,

the provisions of the Clinger-Cohen Act of 1996 (divisions D and E of

Public Law 104-106) and the amendments made by that Act, and the

provisions of this Title, the Director of the Office of Management and

Budget shall, in consultation with the National Telecommunications and

Information Administration and not later than 18 months after the date of

enactment of this Act, develop procedures for the use and acceptance of

electronic signatures by Executive agencies.

(b) REQUIREMENTS FOR PROCEDURES.-

(I) The procedures developed under subsection (a)-

(A) shall be compatible with standards and technology for

electronic signatures that are generally used in commerce and

industry and by State governments;

(B) may not inappropriately favor one industry or

technology;

(C) shall ensure that electronic signatures are as reliable as

is appropriate for the purpose in question and keep intact the

information submitted;

(D) shall provide for the electronic acknowledgment of

electronic forms that are successfully submitted; and

(E) shall, to the extent feasible and appropriate, require an Executive agency that anticipates receipt by electronic means

of 50,000 or more submittals of a particular form to take all

steps necessary to ensure that multiple methods of electronic

signatures are available for the submittal of such form.

(2) The Director shall ensure the compatibility of the procedures

under paragraph (1)(A) in consultation with appropriate private

bodies and State government entities that set standards for the use and

acceptance of electronic signatures.
Government Paperwork Elimination Act (P.L. 105-277) 917

Sec. 1704. Deadline For Implementation By Executive Agencies Of

Procedures For Use And Acceptance Of Electronic Signatures

In order to fulfill the responsibility to administer the functions

assigned under Chapter 35 of Title 44, United States Code, the provisions

of the Clinger-Cohen Act of 1996 (divisions D and E of Public Law 104-

106) and the amendments made by that Act, and the provisions of this

Title, the Director of the Office of Management and Budget shall ensure

that, commencing not later than five years after the date of enactment of

this Act, Executive agencies provide-

(1) for the option of the electronic maintenance, submission, or

disclosure of information, when practicable as a substitute for paper;

and

(2) for the use and acceptance of electronic signatures, when

practicable.

See. 1705. Electronic Storage And Filing Of Employment Forms

In order to fulfill the responsibility to administer the functions

assigned under Chapter 35 of Title 44, United States Code, the provisions

of the Clinger-Cohen Act of 1996 (divisions D and E of Public Law 104-

106) and the amendments made by that Act, and the provisions of this

Title, the Director of the Office of Management and Budget shall, not

later than 18 months after the date of enactment of this Act, develop

procedures to permit private employers to store and file electronically

with Executive agencies forms containing information pertaining to the

employees of such employers.

See. 1706. Study On Use Of Electronic Signatures

(a) ONGOING STUDY REQUIRED.-In order to fulfill the

responsibility to administer the functions assigned under Chapter 35 of

Title 44, United States Code, the provisions of the Clinger-Cohen Act of

1996 (divisions D and E of Public Law 104-106) and the amendments

made by that Act, and the provisions of this Title, the Director of the

Office of Management and Budget shall, in cooperation with the National

Telecommunications and Information Administration, conduct an

ongoing study of the use of electronic signatures under this Title on-

(I) paperwork reduction and electronic commerce;

(2) individual privacy; and

(3) the security and authenticity of transactions.

(b) REPORTS.-The Director shall submit to Congress on a periodic

basis a report describing the results of the study carried out under

subsection (a).

Sec. 1707. Enforceability And Legal Effect Of Electronic Records

Electronic records submitted or maintained in accordance with

procedures developed under this Title, or electronic signatures or other

forms of electronic authentication used in accordance with such

procedures, shall not be denied legal effect, validity, or enforceability

because such records are in electronic form.

See. 1708. Disclosure Of Information

Except as provided by law, information collected in the provision of

electronic signature services for communications with an executive

agency, as provided by this Title, shall only be used or disclosed by

persons who obtain, collect, or maintain such information as a business

or government practice, for the purpose of facilitating such

communications, or with the prior affirmative consent of the person

about whom the information pertains.
918 Government Paperwork Elimination Act (P.L. 105-277)

See. 1709. Application With Internal Revenue Laws

No provision of this Title shall apply to the Department of the

Treasury or the Internal Revenue Service to the extent that such

provision- (1) involves the administration of the internal revenue laws; or

(2) conflicts with any provision of the Internal Revenue Service

Restructuring and Reform Act of 1998 or the Internal Revenue Code

of 1986.

See. 1710. Definitions

For purposes of this Title:

(1) ELECTRONIC SIGNATURE.-The term "electronic signature"

means a method of signing an electronic message that-

(A) identifies and authenticates a particular person as the source

of the electronic message.

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

meaning given that term in section 105 of Title 5, United States Code.
Consolidated Apps. Act, 2001 (Data Quality) (P.L. 106-554) 919

D. CONSOLIDATED APPROPRIATIONS ACT, 2001

(DATA QUALITY)

Public Law 106-554 114 Stat. 2763A-153

December 21, 2000

Appendix C

(Treasury And General Government Appropriations Act, 2001)

44 USC 3516 Sec. 515

note. (a) IN GENERAL.-The Director of the Office of Management and

Budget shall, by not later than September 30, 2001, and with public and

Federal agency involvement, issue guidelines under sections 3504(d)(1)

and 3516 of Title 44, United States Code, that provide policy and

procedural guidance to Federal agencies for ensuring and maximizing the

quality, objectivity, utility, and integrity of information (including

statistical information) disseminated by Federal agencies in fulfillment of

the purposes and provisions of Chapter 35 of Title 44, United States

Code, commonly referred to as the Paperwork Reduction Act.

(b) CONTENT OF GUIDELINES.-The guidelines under subsection (a)

shall-

(I) apply to the sharing by Federal agencies of, and access to,

information disseminated by Federal agencies; and

(2) require that each Federal agency to which the guidelines

apply-

(A) issue guidelines ensuring and maximizing the quality,

objectivity, utility, and integrity of information (including statistical information) disseminated by the agency, by not

later than 1 year after the date of issuance of the guidelines

under subsection (a);

(B) establish administrative mechanisms allowing affected

persons to seek and obtain correction of information

maintained and disseminated by the agency that does not

comply with the guidelines issued under subsection (a); and

(C) report periodically to the Director-

(i) the number and nature of complaints received by the

agency regarding the accuracy of information disseminated

by the agency; and

(ii) how such complaints were handled by the agency.
920 Electronic Records and Signatures in Commerce (P.L. 106-229)

E. ELECTRONIC RECORDS AND SIGNATURES

IN COMMERCE

Public Law 106-229 114 Stat. 464

15 USC 7001.

June 30, 2000

An Act

to facilitate the use of electronic records and signatures in interstate or

foreign commerce

Sec. I. Short Title

This Act may be cited as the "Electronic Signatures in Global and

National Commerce Act".

Title I

Electronic Records And Signatures In Commerce

Sec. 101. General Rule Of Validity

(a) IN GENERAL.-Notwithstanding any statute, regulation, or other

rule of law (other than this Title and Title I1), with respect to any

transaction in or affecting interstate or foreign commerce-

(1) a signature, contract, or other record relating to such

transaction may not be denied legal effect, validity, or enforceability

solely because it is in electronic form; and

(2) a contract relating to such transaction may not be denied legal

effect, validity, or enforceability solely because an electronic

signature or electronic record was used in its formation.

(b) PRESERVATION OF RIGHTS AND OBLIGATIONS.-This

Title does not-

(1) limit, alter, or otherwise affect any requirement imposed by a

statute, regulation, or rule of law relating to the rights and obligations

of persons under such statute, regulation, or rule of law other than a

requirement that contracts or other records be written, signed, or in

nonelectronic form; or (2) require any person to agree to use or accept electronic records

or electronic signatures, other than a governmental agency with

respect to a record other than a contract to which it is a party,

(c) CONSUMER DISCLOSURES.-

(I) CONSENT TO ELECTRONIC RECORDS.-Notwithstanding

subsection (a), if a statute, regulation, or other rule of law requires

that information relating to a transaction or transactions in or

affecting interstate or foreign commerce be provided or made

available to a consumer in writing, the use of an electronic record to

provide or make available (whichever is required) such information

satisfies the requirement that such information be in writing if-

(A) the consumer has affirmatively consented to such use

and has not withdrawn such consent;

(B) the consumer, prior to consenting, is provided with a

clear and conspicuous statement-

(i) informing the consumer of(1) any right or option

of the consumer to have the record provided or made available

on paper or in nonelectronic form, and (Ii) the right of the

consumer to withdraw the consent to have the record provided

or made available in an electronic form and of any conditions,
Electronic Records and Signatures in Commerce (P.L. 106-229) 921

consequences (which may include termination of the parties'

relationship), or fees in the event of such withdrawal;

(ii) informing the consumer of whether the consent

applies (I) only to the particular transaction which gave rise to

the obligation to provide the record, or (I!) to identified

categories of records that may be provided or made available

during the course of the parties' relationship;

(iii) describing the procedures the consumer must

use to withdraw consent as provided in clause (i) and to update

information needed to contact the consumer electronically;

and

(iv) informing the consumer (I) how, after the

consent, the consumer may, upon request, obtain a paper copy

of an electronic record, and (1I) whether any fee will be

charged for such copy;

(C) the consumer-

(i) prior to consenting, is provided with a statement

of the hardware and software requirements for access to and

retention of the electronic records; and

(ii) consents electronically,. or confirms his or her

consent electronically, in a manner that reasonably

demonstrates that the consumer can access information in the

electronic form that will be used to provide the information

that is the subject of the consent; and

(D) after the consent of a consumer in accordance with

subparagraph (A), if a change in the hardware or software

requirements needed to access or retain electronic records creates

a material risk that the consumer will not be able to access or

retain a subsequent electronic record that was the subject of the

consent, the person providing the electronic record-

(i) provides the consumer with a statement of(1) the

revised hardware and software requirements for access to and

retention of the electronic records, and (II) the right to

withdraw consent without the imposition of any fees for such

withdrawal and without the imposition of any condition or

consequence that was not disclosed under subparagraph (B)(i);

and (ii) again complies with subparagraph (C).

(2) OTHER RIGHTS.-

(A) PRESERVATION OF CONSUMER

PROTECTIONSNothing in this Title affects the content or timing of any

disclosure or other record required to be provided or made

available to any consumer under any statute, regulation, or other

rule of law.

(B) VERIFICATION OR ACKNOWLEDGMENT-if a

law that was enacted prior to this Act expressly requires a record

to be provided or made available by a specified method that

requires verification or acknowledgment of receipt, the record

may be provided or made available electronically only if the

method used provides verification or acknowledgment of receipt

(whichever is required).

(3) EFFECT OF FAILURE TO OBTAIN ELECTRONIC

CONSENT OR CONFIRMATION OF CONSENT-The legal

effectiveness, validity, or enforceability of any contract executed by a

consumer shall not be denied solely because of the failure to obtain
922 Electronic Records and Signatures in Commerce (P.L. 106-229)

electronic consent or confirmation of consent by that consumer in

accordance with paragraph (l)(C)(ii).

(4) PROSPECTIVE EFFECT.-Withdrawal of consent by a

consumer shall not affect the legal effectiveness, validity, or

enforceability of electronic records provided or made available to that

consumer in accordance with paragraph (1) prior to implementation

of the consumer's withdrawal of consent. A consumer's withdrawal of

consent shall be effective within a reasonable period of time after

receipt of the withdrawal by the provider of the record. Failure to

comply with paragraph (1)(D) may, at the election of the consumer,

be treated as a withdrawal of consent for purposes of this paragraph.

(5) PRIOR CONSENT.-This subsection does not apply to any

records that are provided or made available to a consumer who has

consented prior to the effective date of this Title to receive such

records in electronic form as permitted by any statute, regulation, or

other rule of law.

(6) ORAL COMMUNICATIONS.-An oral communication or a

recording of an oral communication shall not qualify as an electronic

record for purposes of this subsection except as otherwise provided

under applicable law.

(d) RETENTION OF CONTRACTS AND RECORDS.-

(I) ACCURACY AND ACCESSIBILITY.-If a statute,

regulation, or other rule of law requires that a contract or other record

relating to a transaction in or affecting interstate or foreign commerce

be retained, that requirement is met by retaining an electronic record

of the information in the contract or other record that-

(A) accurately reflects the information set forth in the

contract or other record; and

(B) remains accessible to all persons who are entitled to

access by statute, regulation, or rule of law, for the period

required by such statute, regulation, or rule of law, in a form that

is capable of being accurately reproduced for later reference,

whether by transmission, printing, or otherwise.

(2) EXCEPTION.-A requirement to retain a contract or other

record in accordance with paragraph (1) does not apply to any

information whose sole purpose is to enable the contract or other

record to be sent, communicated, or received.

(3) ORIGINALS.-If a statute, regulation, or other rule of law

requires a contract or other record relating to a transaction in or

affecting interstate or foreign commerce to be provided, available, or

retained in its original form, or provides consequences if the contract

or other record is not provided, available, or retained in its original

form, that statute, regulation, or rule of law is satisfied by an

electronic record that complies with paragraph (I).

(4) CHECKS.-If a statute, regulation, or other rule of law requires

the retention of a check, that requirement is satisfied by retention of

an electronic record of the information on the front and back of the

check in accordance with paragraph (I).

(e) ACCURACY AND ABILITY TO RETAIN CONTRACTS AND

OTHER RECORDS.-Notwithstanding subsection (a), if a statute,

regulation, or other rule of law requires that a contract or other record

relating to a transaction in or affecting interstate or foreign commerce be

in writing, the legal effect, validity, or enforceability of an electronic

record of such contract or other record may be denied if such electronic

record is not in a form that is capable of being retained and accurately
Electronic Records and Sipnatures in Commerce (P.L. 106-229) 923

reproduced for later reference by all parties or persons who are entitled to

retain the contract or other record.

(f) PROXIMITY.-Nothing in this Title affects the proximity required

by any statute, regulation, or other rule of law with respect to any

warning, notice, disclosure, or other record required to be posted,

displayed, or publicly affixed.

(g) NOTARIZATION AND ACKNOWLEDGMENT.-If a statute,

regulation, or other rule of law requires a signature or record relating to a

transaction in or affecting interstate or foreign commerce to be notarized,

acknowledged, verified, or made under oath, that requirement is satisfied

if the electronic signature of the person authorized to perform those acts,

together with all other information required to be included by other

applicable statute, regulation, or rule of law, is attached to or logically

associated with the signature or record.

(h) ELECTRONIC AGENTS.-A contract or other recordrelating to a

transaction in or affecting interstate or foreign commerce may not be

denied legal effect, validity, or enforceability solely because its

formation, creation, or delivery involved the action of one or more

electronic agents so long as the action of any such electronic agent is

legally attributable to the person to be bound.

Applicability. (i) INSURANCE.-It is the specific intent of the Congress that this

Title and Title I1 apply to the business of insurance.

(j) INSURANCE AGENTS AND BROKERS.-An insurance agent or

broker acting under the direction of a party that enters into a contract by

means of an electronic record or electronic signature may not be held

liable for any deficiency in the electronic procedures agreed to by the

parties under that contract if-

(1) the agent or broker has not engaged in negligent, reckless, or

intentional tortuous conduct;

(2) the agent or broker was not involved in the development or

establishment of such electronic procedures; and

(3) the agent or broker did not deviate from such procedures.

15 USC 7002. See. 102. Exemption To Preemption

(a) IN GENERAL.-A State statute, regulation, or other rule of law

may modify, limit, or supersede the provisions of section 101 with

respect to State law only if such statute, regulation, or rule of law-

(I) constitutes an enactment or adoption of the Uniform

Electronic Transactions Act as approved and recommended for

enactment in all the States by the National Conference of

Commissioners on Uniform State Laws in 1999, except that any

exception to the scope of such Act enacted by a State under section

3(b)(4) of such Act shall be preempted to the extent such exception is

inconsistent with this Title or Title 11, or would not be permitted

under paragraph (2)(A)(ii) of this subsection; or

(2)(A) specifies the alternative procedures or requirements for the

use or acceptance (or both) of electronic records or electronic

signatures to establish the legal effect, validity, or enforceability of

contracts or other records, if-

(i) such alternative procedures or requirements are

consistent with this Title and Title II; and

(ii) such alternative procedures or requirements do not

require, or accord greater legal status or effect to, the

implementation or application of a specific technology or

technical specification for performing the functions of creating,
924 Electronic Records and Signatures in Commerce (P.L. 106-229)

storing, generating, receiving, communicating, or authenticating

electronic records or electronic signatures; and

(B) if enacted or adopted after the date of the enactment of this

Act, makes specific reference to this Act.

(b) EXCEPTIONS FOR ACTIONS BY STATES AS MARKET

PARTICIPANTS.-Subsection (a)(2)(A)(ii) shall not apply to the statutes,

regulations, or other rules of law governing procurement by any State, or

any agency or instrumentality thereof.

(c) PREVENTION OF CIRCUMVENTION.-Subsection (a) does not

permit a State to circumvent this Title or Title II through the imposition

of nonelectronic delivery methods under section 8(b)(2) of the Uniform

Electronic Transactions Act.

15 USC 7003. Sec. 103. Specific Exceptions

(a) EXCEPTED REQUIREMENTS.-The provisions of section 101

shall not apply to a contract or other record to the extent it is governed

by-

(I) a statute, regulation, or other rule of law governing the

creation and execution of wills, codicils, or testamentary trusts;

(2) a State statute, regulation, or other rule of law governing

adoption, divorce, or other matters of family law; or

(3) the Uniform Commercial Code, as in effect in any State, other

than sections 1-107 and 1-206 and Articles 2 and 2A.

(b) ADDITIONAL EXCEPTIONS.-The provisions of section 101

shall not apply to-

(I) court orders or notices, or official court documents (including

briefs, pleadings, and other writings) required to be executed in

connection with court proceedings;

(2) any notice of-

(A) the cancellation or termination of utility services

(including water, heat, and power);

(B) default, acceleration, repossession, foreclosure, or

eviction, or the right to cure, under a credit agreement secured by,

or a rental agreement for, a primary residence of an individual;

(C) the cancellation or termination of health insurance or

benefits or life insurance benefits (excluding annuities); or

(D) recall of a product, or material failure of a product, that

risks endangering health or safety; or

(3) any document required to accompany any transportation or handling of hazardous materials, pesticides, or other toxic or

dangerous materials.

(c) REVIEW OF EXCEPTIONS.-

(1) EVALUATION REQUIRED.-The Secretary of Commerce

acting through the Assistant Secretary for Communications and

Deadline. Information, shall review the operation of the exceptions in subsections

Reports. (a) and (b) to evaluate, over a period of 3 years, whether such exceptions

continue to be necessary for the protection of consumers. Secretary shall submit a report to the Congress on the results of such

evaluation.

(2) DETERMINATIONS.-If a Federal regulatory agency, with

respect to matter within its jurisdiction, determines after notice and an

opportunity for public comment, and publishes a finding, that one or

more such exceptions are no longer necessary for the protection of

consumers and eliminating such exceptions will not increase the

material risk of harm to consumers, such agency may extend the

application of section 101 to the exceptions identified in such finding.
Electronic Records and Signatures in Commerce (P.L. 106-229) 925

15 USC 7004. See. 104. Applicability To Federal And State

(a) FILING AND ACCESS REQUIREMENTS.-Subject to

subsection (c)(2), nothing in this Title limits or supersedes any

requirement by a Federal regulatory agency, self-regulatory organization,

or State regulatory agency that records be filed with such agency or

organization in accordance with specified standards or formats.

(b) PRESERVATION OF EXISTING RULEMAKING

AUTHORITY.-

(1) Use of authority to interpret.-Subject to paragraph (2) and

subsection (c), a Federal regulatory agency or State regulatory agency

that is responsible for rulemaking under any other statute may

interpret section 101 with respect to such statute through-

(A) the issuance of regulations pursuant to a statute; or

(B) to the extent such agency is authorized by statute to

issue orders or guidance, the issuance of orders or guidance of

general applicability that are publicly available and published (in

the Federal Register in the case of an orderor guidance issued by

a Federal regulatory agency).

This paragraph does not grant any Federal regulatory agency or State

regulatory agency authority to issue regulations, orders, or guidance

pursuant to any statute that does not authorize such issuance.

(2) Limitations on interpretation authority.-Notwithstanding

paragraph (1), a Federal regulatory agency shall not adopt any

regulation, order, or guidance described in paragraph (1), and a State

regulatory agency is preempted by section 101 from adopting any

regulation, order, or guidance described in paragraph (I), unless-

(A) such regulation, order, or guidance is consistent with

section 101;

(B) such regulation, order, or guidance does not add to the

requirements of such section; and

(C) such agency finds, in connection with the issuance of

such regulation, order, or guidance, that-

(i) there is a substantial justification for the

regulation, order, or guidance;

(ii) the methods selected to carry out that purpose-

(I) are substantially equivalent to the

requirements imposed on records that are not electronic

records; and

(II) will not impose unreasonable costs on

the acceptance and use of electronic records; and

(iii) the methods selected to carry out that purpose

do not require, or accord greater legal status or effect to, the

implementation or application of a specific technology or

technical specification for performing the functions of

creating, storing, generating, receiving, communicating, or

authenticating electronic records or electronic signatures.

(3) PERFORMANCE STANDARDS.-

(A) ACCURACY, RECORD INTEGRITY,

ACCESSIBILITY.-Notwithstanding paragraph (2)(C)(iii), a

Federal regulatory agency or State regulatory agency may

interpret section 101(d) to specify performance standards to

assure accuracy, record integrity, and accessibility of records that

are required to be retained. Such performance standards may be

specified in a manner that imposes a requirement in violation of

paragraph (2)(C)(iii) if the requirement (i) serves an important
926 Electronic Records and Signatures in Commerce (P.L. 106-229)

governmental objective; and (ii) is substantially related to the

achievement of that objective. Nothing in this paragraph shall be

construed to grant any Federal regulatory agency or State

regulatory agency authority to require use of a particular type of

software or hardware in order to comply with section 101(d).

(B) PAPER OR PRINTED FORM.-Notwithstanding

subsection (c)(1), a Federal regulatory agency or State regulatory

agency may interpret section 101(d) to require retention of a

record in a tangible printed or paper form if-

(i) there is a compelling governmental interest relating

to law enforcement or national security for imposing such

requirement; and (ii) imposing such requirement is essential to

attaining such interest.

(4) Exceptions for actions by government as market participant.-

Paragraph (2)(C)(iii) shall not apply to the statutes, regulations, or

other rules of law governing procurement by the Federal or any

State government, or any agency or instrumentality thereof.

(c) ADDITIONAL LIMITATIONS.-

(1) REIMPOSING PAPER PROHIBITED.-Nothing in subsection

(b) (other than paragraph (3)(B) thereof) shall be construed to grant

any Federal regulatory agency or State regulatory agency authority to

impose or reimpose any requirement that a record be in a tangible

printed or paper form.

(2) CONTINUING OBLIGATION UNDER GOVERNMENT

PAPERWORK ELIMINATION ACT.-Nothing in subsection (a) or

(b) relieves any Federal regulatory agency of its obligations under the

Government Paperwork Elimination Act (Title XVII of Public Law

105-277).

(d) AUTHORITY TO EXEMPT FROM CONSENT PROVISION.-

(1) IN GENERAL.-A Federal regulatory agency may, with

respect to matter within its jurisdiction, by regulation or order issued

after notice and an opportunity for public comment, exempt without

condition a specified category or type of record from the

requirements relating to consent in section 101(c) if such exemption

is necessary to eliminate a substantial burden on electronic commerce

and will not increase the material risk of harm to consumers.

Deadline. 2) PROSPECTUSES.-Within 30 days after the date of enactment of

Regulations. this Act, the Securities and Exchange Commission shall issue a regulation or order pursuant to paragraph (1) exempting from section

101(c) any records that are required to be provided in order to allow

advertising, sales literature, or other information concerning a security

issued by an investment company that is registered under the Investment

Company Act of 1940, or concerning the issuer thereof, to be excluded

from the definition of a prospectus under section 2(a)(10)(A) of the

Securities Act of 1933.

(e) ELECTRONIC LETTERS OF AGENCY-The Federal

Communications Commission shall not hold any contract for

telecommunications service or letter of agency for q preferred carrier

change, that otherwise complies with the Commission's rules, to be

legally ineffective, invalid, or unenforceable solely because an electronic

record or electronic signature was used in its formation or authorization.
Electronic Records and Sianatures in Commerce (P.L. 106-229) 927

15 USC 7005. Sec. 105. Studies

Mail. (a) DELIVERY.-Within 12 months after the date of the enactment of this

Act, the Secretary of Commerce shall conduct an inquiry regarding the

effectiveness of the delivery of electronic records to consumers using

Reports. electronic mail as compared with delivery of written records via the

United States Postal Service and private express mail services. The

Secretary shall submit a report to the Congress regarding the results of

such inquiry by the conclusion of such 12-month period.

b) STUDY OF ELECTRONIC CONSENT.-Within 12 months after the

Reports. date of the enactment of this Act, the Secretary of Commerce and the

Federal Trade Commission shall submit a report to the Congress

evaluating any benefits provided to consumers by the procedure required

by section 101(c)(l)(C)(ii); any burdens imposed on electronic

commerce by that provision; whether the benefits outweigh the burdens;

whether the absence of the procedure required by section 101(c)(1)(C)(ii)

would increase the incidence of fraud directed against consumers; and

suggesting any revisions to the provision deemed appropriate by the

Secretary and the Commission. In conducting this evaluation, the

Public Secretary and the Commission shall solicit comment from the general

information, public, consumer representatives, and electronic commerce businesses.

15 USC 7006. See. 106. Definitions

For purposes of this Title:

(1) CONSUMER.-The term "consumer" means an individual

who obtains, through a transaction, products or services which are

used primarily for personal, family, or household purposes, and also

means the legal representative of such an individual.

(2) ELECTRONIC.-The term "electronic" means relating to

technology having electrical, digital, magnetic, wireless, optical,

electromagnetic, or similar capabilities.

(3) ELECTRONIC AGENT.-The term "electronic agent" means

a computer program or an electronic or other automated means used

independently to initiate an action or respond to electronic records or

performances in whole or in part without review or action by an

individual at the time of the action or response.

(4) ELECTRONIC RECORD.-The term "electronic record"

means a contract or other record created, generated, sent,

communicated, received, or stored by electronic means.

(5) ELECTRONIC SIGNATURE.-The term "electronic

signature" means an electronic sound, symbol, or process, attached to

or logically associated with a contract or other record and executed or

adopted by a person with the intent to sign the record.

* (6) FEDERAL REGULATORY AGENCY.-The term "Federal

regulatory agency" means an agency, as that term is defined in

section 552(f) of Title 5, United States Code.

(7) INFORMATION.-The term "information" means data, text,

images, sounds, codes, computer programs, software, databases, or

the like.

(8) PERSON.-The term "person" means an individual,

corporation, business trust, estate, trust, partnership, limited liability

company, association, joint venture, governmental agency, public

corporation, or any other legal or commercial entity.

(9) RECORD.-The term "record" means information that is

inscribed on a tangible medium or that is stored in an electronic or

other medium and is retrievable in perceivable form.
15 USC 7001

note.

928 Electronic Records and Signatures in Commerce (P.L. 106-229)

(10) REQUIREMENT.-The term "requirement" includes a

prohibition. (11) SELF-REGULATORY ORGANIZATION.-The term "selfregulatory organization" means an organization or entity that is not a

Federal regulatory agency or a State, but that is under the supervision

of a Federal regulatory agency and is authorized under Federal law to

adopt and administer rules applicable to its members that are enforced

by such organization or entity, by a Federal regulatory agency, or by

another self-regulatory organization.

(12) STATE.-The term "State" includes the District of Columbia

and the territories and possessions of the United States.

(13) TRANSACTION.-The term "transaction" means an action

or set of actions relating to the conduct of business, consumer, or

commercial affairs between two or more persons, including any of the

following types of conduct-

(A) the sale, lease, exchange, licensing, or other

disposition of (i) personal property, including goods and

intangibles, (ii) services, and (iii) any combination thereof; and

(B) the sale, lease, exchange, or other disposition of any

interest in real property, or any combination thereof.

Sec. 107. Effective Date

(a) IN GENERAL-Except as provided in subsection (b), this Title

shall be effective on October 1, 2000.

(b) EXCEPTIONS.-

(1) RECORD RETENTION.-

(A) IN GENERAL.-Subject to subparagraph (B), this Title

shall be effective on March 1, 2001, with respect to a requirement

that a record be retained imposed by-

(i) a Federal statute, regulation, or other rule of law, or

(ii) a State statute, regulation, or other rule of law

administered or promulgated by a State regulatory agency.

(B) DELAYED EFFECT FOR PENDING

RULEMAKINGS.- If on March 1, 2001, a Federal regulatory

agency or State regulatory agency has announced, proposed, or

initiated, but not completed, a rulemaking proceeding to prescribe

a regulation under section 104(b)(3) with respect to a requirement

described in subparagraph (A), this Title shall be effective on June

I, 200 1, with respect to such requirement.

(2) CERTAIN GUARANTEED AND INSURED LOANS.-With

regard to any transaction involving a loan guarantee or loan guarantee

commitment (as those terms are defined in section 502 of the Federal

Credit Reform Act of 1990), or involving a program listed in the

Federal Credit Supplement, Budget of the United States, FY 2001,

this Title applies only to such transactions entered into, and to any

loan or mortgage made, insured, or guaranteed by the United States

Government thereunder, on and after one year after the date of

enactment of this Act.

(3) Student loans.--With respect to any records that are provided

or made available to a consumer pursuant to an application for a loan,

or a loan made, pursuant to Title IV of the Higher Education Act of

1965, section 10 1(c) of this Act shall not apply until the earlier of-

(A) such time as the Secretary of Education publishes

revised promissory notes under section 432(m) of the Higher

Education Act of 1965; or

(B) one year after the date of enactment of this Act.
Electronic Records and Signatures in Commerce (P.L. 106-229) 929

Title TI-Transferable Records

15 USC 7021. Sec. 201. Transferable Records

(a) DEFINITIONS.-For purposes of this section:

(1) TRANSFERABLE RECORD.-The term "transferable record"

means an electronic record that-

(A) would be a note under Article 3 of the Uniform Commercial

Code if the electronic record were in writing;

(B) the issuer of the electronic record expressly has agreed

is a transferable record; and

(C) relates to a loan secured by real property.

A transferable record may be executed using an electronic signature.

(2) OTHER DEFINITIONS.-The terms "electronic record", "electronic signature", and "person" have the same meanings

provided in section 106 of this Act.

(b) CONTROL.-A person has control of a transferable record if a

system employed for evidencing the transfer of interests in the

transferable record reliably establishes that person as the person to which

the transferable record was issued or transferred.

(c) CONDITIONS.-A system satisfies subsection (b), and a person is

deemed to have control of a transferable record, if the transferable record

is created, stored, and assigned in such a manner that-

(I) a single authoritative copy of the transferable record exists

which is unique, identifiable, and, except as otherwise provided in

paragraphs (4), (5), and (6), unalterable;

(2) the authoritative copy identifies the person asserting control

as-

(A) the person to which the transferable record was issued;

or

(B) if the authoritative copy indicates that the transferable

record has been transferred, the person to which the transferable

record was most recently transferred;

(3) the authoritative copy is communicated to and maintained by

the person asserting control or its designated custodian;

(4) copies or revisions that add or change an identified assignee of

the authoritative copy can be made only with the consent of the

person asserting control;

(5) each copy of the authoritative copy and any copy of a copy is

readily identifiable as a copy that is not the authoritative copy; and

(6) any revision of the authoritative copy is readily identifiable as

authorized or unauthorized.

(d) Status as Holder.-Except as otherwise agreed, a person having

control of a transferable record is the holder, as defined in section 1-

201(20) of the Uniform Commercial Code, of the transferable record and

has the same rights and defenses as a holder of an equivalent record or writing under the Uniform Commercial Code, including, if the applicable

statutory requirements under sections 3-302(a), 9-308, or revised sections

9-330 of the Uniform Commercial Code are satisfied, the rights and

defenses of a holder in due course or a purchaser, respectively. Delivery,

possession, and endorsement are not required to obtain or exercise any of

the rights under this subsection.

(e) Obligor Rights.-Except as otherwise agreed, an obligor under a

transferable record has the same rights and defenses as an equivalent
930 Electronic Records and Signatures in Commerce (P.L. 106-229)

obligor under equivalent records or writings under the Uniform

Commercial Code.

(f) Proof of Control.-If requested by a person against which

enforcement is sought, the person seeking to enforce the transferable

record shall provide reasonable proof that the person is in control of the

transferable record. Proof may include access to the authoritative copy of

the transferable record and related business records sufficient to review

the terms of the transferable record and to establish the identity of the

person having control of the transferable record.

(g) UCC References.-For purposes of this subsection, all references

to the Uniform Commercial Code are to the Uniform Commercial Code

as in effect in the jurisdiction the law of which governs the transferable

record.

Sec. 202. Effective Date

This Title shall be effective 90 days after the date of enactment of

this Act.

1I USC 7021

note.

Title Ill-Promotion Of International Electronic Commerce

IS USC 7031. See. 301. Principles Governing The Use Of Electronic Signatures In

International Transactions

(a) PROMOTION OF ELECTRONIC SIGNATURES.-

(1) REQUIRED ACTIONS.-The Secretary of Commerce shall

promote the acceptance and use, on an international basis, of

electronic signatures in accordance with the principles specified in

paragraph (2) and in a manner consistent with section 101 of this Act.

The Secretary of Commerce shall take all actions necessary in a

manner consistent with such principles to eliminate or reduce, to the

maximum extent possible, the impediments to commerce in electronic

signatures, for the purpose of facilitating the development of

interstate and foreign commerce. (2) PRINCIPLES.-The principles specified in this paragraph are

the following:

(A) Remove paper-based obstacles to electronic transactions

by adopting relevant principles from the Model Law on Electronic

Commerce adopted in 1996 by the United Nations Commission

on International Trade Law.

(B) Permit parties to a transaction to determine the appropriate

authentication technologies and implementation models for their

transactions, with assurance that those technologies and

implementation models will be recognized and enforced.

(C) Permit parties to a transaction to have the opportunity to

prove in court or other proceedings that their authentication

approaches and their transactions are valid.

(D) Take a nondiscriminatory approach to electronic

signatures and authentication methods from other jurisdictions.

(b) CONSULTATION.-In conducting the activities required by this

section, the Secretary shall consult with users and providers of electronic

signature products and services and other interested persons.

(c) DEFINITIONS.-As used in this section, the terms "electronic

record" and "electronic signature" have the same meanings provided in

section 106 of this Act.
Electronic Records and Signatures in Commerce (P.L. 106-229) 931

Title IV-Commission On Online Child Protection

Sec. 401. Authority To Accept Gifts

Section 1405 of the Child Online Protection Act (47 USC 231 note) is

amended by inserting after subsection (g) the following new subsection:

"(h) GIFTS, BEQUESTS, AND DEVISES.-The Commission may

accept, use, and dispose of gifts, bequests, or devises of services or

property, both real (including the use of office space) and personal, for

the purpose of aiding or facilitating the work of the Commission. Gifts or

grants not used at the termination of the Commission shall be returned to

the donor or grantee."
932 Plain Writing Act of 2010 (P.L. 111-274)

F. PLAIN WRITING ACT OF 2010

Public Law 111-274 124 Stat. 2861

October 13, 2010

An Act

To enhance citizen access to Government information and services by

establishing that Government documents issued to the public must be

written clearly, and for other purposes.

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

States of America in Congress assembled,

5 USC 301 Sec. 1. Short Title

note. This Act may be cited as the "Plain Writing Act of 2010".

5 USC 301 See. 2. Purpose

note. The purpose of this Act is to improve the effectiveness and accountability

of Federal agencies to the public by promoting clear Government

communication that the public can understand and use.

See. 3. Definitions

In this Act:

(1) Agency.-- The term "agency" means an Executive agency, as

defined under section 105 of title 5, United States Code.

(2) Covered document.-- The term "covered document"--

(A) means any document that--

(i) is necessary for obtaining any Federal Government benefit or

service or filing taxes;

(ii) provides information about any Federal Government benefit or

service; or

(iii) explains to the public how to comply with a requirement the

Federal Government administers or enforces;

(B) includes (whether in paper or electronic form) a letter, publication,

form, notice, or instruction; and

(C) does not include a regulation. (3) Plain writing.-- The term "plain writing" means writing that is clear,

concise, well-organized, and follows other best practices appropriate to

the subject or field and intended audience.

5 USC 301 Sec. 4. Responsibilities Of Federal Agencies

note. (a) Preparation for Implementation of Plain Writing Requirements.--

(I) In general.-- Not later than 9 months after the date of enactment of

this Act, the head of each agency shall--

(A) designate I or more senior officials within the agency to oversee

the agency implementation of this Act;

(B) communicate the requirements of this Act to the employees of the

agency;

(C) train employees of the agency in plain writing;

(D) establish a process for overseeing the ongoing compliance of the

agency with the requirements of this Act;

(E) create and maintain a plain writing section of the agency's website

as required under paragraph (2) that is accessible from the homepage

of the agency's website; and

(F) designate I or more agency points-of-contact to receive and

respond to public input on--

(i) agency implementation of this Act; and
Plain Writing Act of 20 10 (P.L. 1] 1-274) 933

(ii) the agency reports required under section 5.

(2) Website.-- The plain writing section described under paragraph

(1)(E) shall--

(A) inform the public of agency compliance with the requirements of

this Act; and

(B) provide a mechanism for the agency to receive and respond to

public input on--

(i) agency implementation of this Act; and

(ii) the agency reports required under section 5.

(b) Requirement to Use Plain Writing in New Documents.--Beginning

not later than 1 year after the date of enactment of this Act, each agency

shall use plain writing in every covered document of the agency that the

agency issues or substantially revises.

(c) Guidance.--

(1) In general.-- Not later than 6 months after the date of enactment of

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

develop and issue guidance on implementing the requirements of this

section. The Director may designate a lead agency, and may use interagency working groups to assist in developing and issuing the

guidance.

(2) Interim guidance.-- Before the issuance of guidance under

paragraph (I), agencies may follow the guidance of--

(A) the writing guidelines developed by the Plain Language Action

and Information Network; or

(B) guidance provided by the head of the agency that is consistent

with the guidelines referred to in subparagraph (A).

5 USC 301 Sec. 5. Reports To Congress

note. (a) Initial Report.--Not later than 9 months after the date of enactment of

this Act, the head of each agency shall publish on the plain writing

section of the agency's website a report that describes the agency plan for

compliance with the requirements of this Act.

(b) Annual Compliance Report.--Not later than 18 months after the date

of enactment of this Act, and annually thereafter, the head of each agency

shall publish on the plain writing section of the agency's website a report

on agency compliance with the requirements of this Act.

5 USC 301 See. 6. Judicial Review And Enforceability

note. (a) Judicial Review.--There shall be no judicial review of compliance or

noncompliance with any provision of this Act.

(b) Enforceability.--No provision of this Act shall be construed to create

any right or benefit, substantive or procedural, enforceable by any

administrative orjudicial action.

5 USC 301 Sec. 7. Budgetary Effects Of Paygo Legislation For This Act

note. The budgetary effects of this Act, for the purpose of complying with the

Statutory Pay-As-You-Go Act of 2010, shall be determined by reference

to the latest statement titled "Budgetary Effects of PAYGO Legislation"

for this Act, submitted for printing in the Congressional Record by the

Chairman of the House Budget Committee, provided that such statement

has been submitted prior to the vote on passage.

Environmental Le2islation 935

Environmeta! Le~Iratin 3

9. Environmental Legislation

937

Environmental Legislation i937

9. Environmental Legislation

Contents

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

A M E N D E D ............................................................................................................ 9 3 9

S ec. 3 02 . D efin itio ns ....................................................................................... 939

T itle III ..................................................................................................................... 9 4 1

Sec. 301. H azardous A ir Pollutants .............................................................. 941

Sec. 112. H azardous A ir Pollutants .............................................................. 941

Sec. 116. Retention of State Authority ......................................................... 952

Sec. 122. Listing of Certain Unregulated Pollutants ............... 953

T itle IV .................................................................................................................... 9 5 4

S ec. 50 1. P erm its ............................................................................................ 9 54

T itle V ..................................................................................................................... 9 5 4

S ee. 50 1. D efi n itions ....................................................................................... 954

Sec. 502. Perm it P rogram s ............................................................................ 954

See. 503. Perm it A pplications ....................................................................... 960

Sec. 504. Permit Requirements And Conditions ......................................... 961

Sec. 505. Notification To Administrator And Contiguous States ............... 962

Sec. 506. O ther A uthorities ........................................................................... 964

Sec. 507. Small Business Stationary Source Technical And

Environmental Compliance Assistance Program ..................................... 964

B. SECTION 511 OF THE FEDERAL WATER POLLUTION CONTROL

A C T O F 19 72 ......................................................................................................... 9 6 5

Sec. 511. O ther A ffected A uthority .............................................................. 965

C. NATIONAL ENVIRONMENTAL POLICY ACT OF 1969, AS

A M E N D E D ............................................................................................................ 9 6 6

S ec. 1. S h o rt T itle ........................................................................................... 966

S ec. 2. P u rpose ................................................................................................ 966

T itle I ....................................................................................................................... 9 6 6

Sec. 101. Declaration Of National Environmental Policy ........................... 966

Sec. 102. Cooperation Of Agencies; Reports; Availability Of

Information; Recommendations; International And National

C oordination O f E fforts ............................................................................. 967

Sec. 103. Conformity Of Administrative Procedures To National

E nvironm ental P olicy .................................................................................. 968

See. 104. Other Statutory Obligations Of Agencies .................................... 969

Sec. 105. Efforts Supplemental To Existing Authorizations ...................... 969

T itle 1I ..................................................................................................................... 9 6 9

Sec. 201. Council On Environmental Quality (Omit) ................................. 969

Sec. 202. Establishment; Membership; Chairman; Appointments ........... 969

See. 203. Employment Of Personnel, Experts And Consultants ................ 970

Sec. 204. D uties A nd Functions ..................................................................... 970

Sec. 205. Consultation With Citizens' Advisory Committee On

Environmental Quality And Other Representatives ................................ 970

See. 206. Tenure And Compensation Of Members ..................................... 971

Sec. 207. Travel Reimbursement By Private Organizations And

Federal, State, And Local Governments ................................................... 971

Sec. 208. Expenditures In Support Of International Activities ................. 971
938 Environmental Legislation

Sec. 209. A uthorization O f A ppropriations ................................................. 971

D. WEST VALLEY DEMONSTRATION PROJECT ACT ................................. 972

Sec. 1. Title ...................................................................................................... 972

Sec. 2. Purpose ................................................................................................ 972

Sec. 3. A ppropriation/A uthorization ............................................................ 974

Sec. 4. Report ................................................................................................. 974

Sec. 5. R ights A nd O bligations ..................................................................... 974

Sec. 6. Definitions ........................................................................................... 974

Other Provisions: Reduction In Funding For West Valley Demonstration

Project ................................................................................................................ 975
Pertinent Sections of the Clean Air Act (P.L. 101-549) 939

A. PERTINENT SECTIONS OF THE CLEAN AIR ACT OF

1977, AS AMENDED

(Including amendments made by) Public Law 101-549 104 Stat. 2399

November 14, 1990

42 USC 7602. 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

flollowing:

(1) A single State agency designated by the Governor of that State

as the official State air pollution control agency for purposes of this

Chapter. (2) An agency established by two or more States and having

substantial powers or duties pertaining to the prevention and control

of air pollution.

(3) A city, county, or other local government health authority, or,

in the case of any city, county, or other local government in which

there is an agency other than the health authority charged with

responsibility for enforcing ordinances or laws relating to the

prevention and control of air pollution, such other agency. (4) An agency of two or more municipalities located in the same

State or in different States and having substantial powers or duties

pertaining to the prevention and control of air pollution.

(5) An agency of an Indian tribe.

(c) The term "interstate air pollution control agency" means-

(1) an air pollution control agency established by two or more

States, or

(2) an air pollution control agency of two or more municipalities

located in different States.

(d) The term "State" means a State, the District of Columbia, the

Commonwealth of Puerto Rico, the Virgin Islands, Guam, and American

Samoa and includes the Commonwealth of the Northern Mariana Islands.

(e) The term "person" . includes an individual, corporation,

partnership, association, State, municipality, political subdivision of a

State, and any agency, department or instrumentality of the United States

and any officer, agent, or employee thereof

(f) The term "municipality" means a city, town, borough, county,

parish, district, or other public body created by or pursuant to State law.

(g) The term "air pollutant" means any air pollution agent or

combination of such agents, including any physical, chemical, biological,

radioactive (including source material, special nuclear material, and

byproduct material) substance or matter which is emitted into or

otherwise enters the ambient air. Such term includes any precursors to

the formation of any air pollutant, to the extent the Administrator has

identified such precursor or precursors for the particular purpose for

which the term "air pollutant" is used.

(h) All language referring to effects on welfare includes, but is not

limited to, effects on soils, water, crops, vegetation, man-made materials,

animals, wildlife, weather, visibility, and climate, damage to and

deterioration of property, and hazards to transportation, as well as effects

on economic values and on personal comfort and well-being, whether
940 Pertinent Sections of the Clean Air Act (P.L. 101-549)

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.

() 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

services provided by the United States to Indians because of their status

as Indians.

(s) VOC

The term "VOC" means volatile organic compound, as defined by the

Administrator.

(t) PM- 10
Pertinent Sections of the Clean Air Act (P.L. 10 1-549) 941

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 IH

Sec. 301. Hazardous Air Pollutants

Section 112 of the Clean Air Act is amended to read as follows:

42 USC 7412. Sec. 112. Hazardous Air Pollutants

(a) DEFINITIONS.-For purposes of this section, except subsection

(R)-

(1) Major Source.-The term "major source" means any stationary

source or group of stationary sources located within a contiguous area

and under common control that emits or has the potential to emit

considering controls, in the aggregate, 10 tons per year or more of

any hazardous air pollutant or 25 tons per year or more of any

combination of hazardous air pollutants. The Administrator may

establish a lesser quantity, or in the case of radionuclides different

criteria, for a major source than that specified in the previous

sentence, on the basis of the potency of the air pollutant, persistence,

potential for bioaccumulation, other characteristics of the air

pollutant, or other relevant factors.

'July 14. 1955, c. 360, Title III, 302, formerly 9, as added Dec. 17, 1963, Public Law 88-206, 1. 77 Stat. 400,

renumbered Oct. 20, 1965, Public Law 89-272, Title I, 101(4), 79 Stat. 992, and amended Nov. 21, 1967,

Public Law 90-48, 2,81 Stat. 504; Dec. 31, 1970, Public Law 91-604, 15(a)(1), (c)(1), 84 Stat. 1710, 1713;

Aug. 7, 1977, Public Law 95-95, Title II, 218(c), Title 111, 301.91 Stat. 761, 769; Nov. 16, 1977, Public Law

95-190, 1

4

(a)(76), 91 Stat. 1404, Public Law 101-549. Title I, 101(d)(4), 107(a), (b), 108(i), 109(b), Title IHI,

302(e), Title VII, 709, Nov. 15, 1990, 104 Stat. 2409, 2464, 2468, 2470, 2574, 2684.
942 Pertinent Sections of the Clean Air Act (P.L. 10 1-549)

(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

11.

(3) Stationary Source.-The term "stationary source" shall have the

same meaning as such term has under section 11 (a).

(4) New Source.-The term "new source" means a stationary

source the construction or reconstruction of which is commenced

after the Administrator first proposes regulations under this section

establishing an emission standard applicable to such source.

(5) Modification.-The term "modification" means any physical

change in, or change in the method of operation of, a major source

which increases the actual emissions of any hazardous air pollutant

emitted by such source by more than a de minimis amount or which

results in the emission of any hazardous air pollutant not previously

emitted by more than a de minimis amount.

(6) Hazardous Air Pollutant.-The term "hazardous air pollutant"

means any air pollutant listed pursuant to subsection (b).

(7) Adverse Environmental Effect.-The term "adverse

environmental effect" means any significant and widespread adverse

effect, which may reasonably be anticipated, to wildlife, aquatic life,

or other natural resources, including adverse impacts on populations

of endangered or threatened species or significant degradation of

environmental quality over broad areas.

(8) Electric Utility Steam Generating Unit.-The term "electric

utility steam generating unit" means any fossil fuel fired combustion

unit of more than 25 megawatts that serves a generator that produces

electricity for sale. A unit that cogenerates steam and electricity and

supplies more than one-third of its potential electric output capacity

and more than 25 megawatts electrical output to any utility power

distribution system for sale shall be considered an electric utility

steam generating unit.

(9) Owner or Operator.-The term "owner or operator" means any

person who owns, leases, operates, controls, or supervises a stationary

source.

(10) Existing Source.-The term "existing source" means any

stationary source other than a new source.

(11) Carcinogenic Effect.-Unless revised, the term "carcinogenic

effect" shall have the meaning provided by the Administrator under

Guidelines for Carcinogenic Risk Assessment as of the date of

enactment. Any revisions in the existing Guidelines shall be subject

to notice and opportunity for comment.

(b) LIST OF POLLUTANTS.-

(1) Initial List.-The Congress establishes for purposes of this

section a list of hazardous air pollutants as follows:

0 Radionuclides (including radon) 2

(2) 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

2

A type of atom which spontaneously undergoes radioactive decay.
Pertinent Sections of the Clean Air Act (P.L. 101-549) 943

routes of exposure, a threat of adverse human health effects

(including, but not limited to, substances which are known to be, or

may reasonably be anticipated to be, carcinogenic, mutagenic,

teratogenic, neurotoxic, which cause reproductive dysfunction, or

which are acutely or chronically toxic) or adverse environmental

effects whether through ambient concentrations, bioaccumulation,

deposition, or otherwise, but not including releases subject to

regulation under subsection r. as a result of emissions to the air. No

air pollutant which is listed under section 108(a) may be added to the

list under this section, except that the prohibition of this sentence

shall not apply to any pollutant which independently meets the listing

criteria of this paragraph and is a precursor to a pollutant which is

listed under section 108(a) or to any pollutant which is in a class of

pollutants listed under such section. No substance, practice, process

or activity regulated under Title VI of this act shall be subject to

regulation under this section solely due to its adverse effects on the

environment.

(3) Petitions To Modify The List.-

(A) Beginning at any time after 6 months after the date of

enactment of the Clean Air Act Amendments of 1990, any person

may petition the Administrator to modify the list of hazardous air

pollutants under this subsection by adding or deleting a substance

or, in case of listed pollutants without CAS numbers (other than

coke oven emissions, mineral fibers, or polycyclic organic matter)

removing certain unique substances. Within 18 months after

receipt of a petition, the Administrator shall either grant or deny

the petition by publishing a written explanation of the reasons for

the Administrator's decision. Any such petition shall include a

showing by the petitioner that there is adequate data on the health

or environmental defects of the pollutant or other evidence

adequate to support the petition. The Administrator may not deny

a petition solely on the basis of inadequate resources or time for

review.

(B) The Administrator shall add a substance to the list upon a

showing by the petitioner or on the Administrator's own

determination that the substance is an air pollutant and that

emissions, ambient concentrations, bioaccumulation or deposition

of the substance are known to cause or may reasonably be

anticipated to cause adverse effects to human health or adverse

environmental effects.

(C) The Administrator shall delete a substance from the list

upon a showing by the petitioner or on the Administrator's own

determination that there is adequate data on the health and

environmental effects of the substance to determine that

emissions, ambient concentrations, bioaccumulation or deposition

of the substance may not reasonably be anticipated to cause any

adverse effects to the human health or adverse environmental

effects.

(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
944 Pertinent Sections of the Clean Air Act (P.L. 101-549)

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 III 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 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
Pertinent Sections of the Clean Air Act (P.L. 10 1-549) 945

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

(I) 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 (I) or (3),

emission standards under subsection (d) for the category or

subcategory shall be promulgated within 10 years after the date of

enactment of the Clean Air Act Amendments of 1990, or within 2

years after the date on which such category or subcategory is listed,

whichever is later.

(9) Deletions From This List.-

(A) Where the sole reason for the inclusion of a source

category on the list required under this subsection is the emission

of a unique chemical substance, the Administrator shall delete the

source category from this list if it is appropriate because of action

taken under either subparagraphs (C) or (D) of subsection (b)(3).

(B) The Administrator may delete any source category from

the list under this subsection, on petition of any person or on the

Administrator's own motion, whenever the Administrator makes

the following determination or determinations, as applicable:

(i) In the case of hazardous air pollutants emitted by

sources in the category that may result in cancer in humans, a

determination that no source in the category (or group of

sources in the case of area sources) emits such hazardous air

pollutants in quantities which may cause a lifetime risk of

cancer greater than one in one million to the individual in the

population who is most exposed to emissions of such

pollutants from the source (or group of sources in the case of

area sources).

(ii) In the case of hazardous air pollutants that may result

in adverse health effects in humans other than cancer or

adverse environmental effects, a determination that emissions

from no source in the category or subcategory concerned (or

group of sources in the case of area sources) exceed a level

which is adequate to protect public health with an ample

margin of safety and no adverse environmental effect will

result from emissions from any source (or from a group of

sources in the case of area sources).

The Administrator shall grant or deny a petition under this paragraph

within 1 year after the petition is filed.

(d) EMISSION STANDARDS.-

(I) 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
946 Pertinent Sections of the Clean Air Act (P.L. 101-549)

applicable to any source under subsection (i) as the result of the

authority provided by this sentence.

(2) Standards And Methods.-Emissions standard promulgated

under this subsection and applicable to new or existing sources of

hazardous air pollutants shall require the maximum degree of

reduction in emissions of the hazardous air pollutants subject to this

section (including a prohibition on such emissions, where achievable)

that the Administrator, taking into consideration the cost of achieving

such emission reduction, and any non-air quality health and

environmental impacts and energy requirements, determines is

achievable for new or existing sources in the category or subcategory

to which such emission standard applies, through application of

measures, processes, methods, systems or techniques including, but

not limited to, measures which-

(A) reduce the volume of, or eliminate emissions of, such

pollutants through process changes, substitution of materials or

other modifications,

(B) enclose systems or processes to eliminate emissions,

(C) collect, capture or treat such pollutants when released

from a process, stack, storage or fugitive emissions point,

(D) are design, equipment, work practice, or operational

standards (including requirements for operator training or

certification) as provided in subsection (h), or (E) are a combination of the above,

None of the measures described in subparagraphs (A) through (D) shall,

consistent with the provisions of section 114(c), in any way compromise

any United States patent or United States trademark right, or any

confidential business information, or any trade secret or any, other

intellectual property right.

(3) New And Existing Sources.-The maximum degree of

reduction in emissions that is deemed achievable for new sources in a

category or subcategory shall not be less stringent than the emission

control that is achieved in practice by the best controlled similar

source, as determined by the Administrator. Emission standards

promulgated under this subsection for existing sources in a category

or subcategory may be less stringent than standards for new sources in the same category or subcategory but shall not be less stringent,

and may be more stringent than-

(A) the average emission limitation achieved by the best

performing 12 percent of the existing sources (for which the

Administrator has emissions information), excluding those

sources that have, within 18 months before the emission standard

is proposed or within 30 months before such standard is

promulgated, whichever is later, first achieved a level of emission

rate or emission reduction which complies, or would comply if the source is not subject to such standard, with the lowest achievable

emission rate (as defined by section 171) applicable to the source

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.
Pertinent Sections of the Clean Air Act (P.L. 10 1-549) 947

(4) Health Threshold.-With respect to pollutants for which a

health threshold has been established, the Administrator may consider

such threshold level, with an ample margin of safety, when

establishing emission standards under this subsection.

(5) Alternative Standard For Area Sources.-With respect only to

categories and subcategories of area sources listed pursuant to

subsection (c), the Administrator may, in lieu of the authorities

provided in paragraph (2) and subsection (f), elect to promulgate

standards or requirements applicable to sources in such categories or

subcategories which provide for the use of generally available control

technologies or management practices by such sources to reduce

emissions of hazardous air pollutants.

(6) Review And Revision.-The Administrator shall review, and

revise as necessary (taking into account developments in practices,

processes, and control technologies), emission standards promulgated

under this section no less often than every 8 years.

(7) Other Requirements Preserved.-No emission standard or other

requirement promulgated under this section shall be interpreted,

construed or applied to diminish or replace the requirements of a

more stringent emission limitation or other applicable requirement

established pursuant to section I 11, 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

I ll or this section.

(10) Effective Date.-Emission standards or other regulations

promulgated under this subsection shall be effective upon

promulgation.

(q) SAVINGS PROVISION.-

(1) Standard Previously Promulgated.-Any standard under this

section in effect before the date of enactment of the Clean Air Act

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
948 Pertinent Sections of the Clean Air Act (P.L. 101-549)

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 (I), 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 (I), 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 II 2(d)(9).

r) PREVENTION OF ACCIDENTAL RELEASES.-

(I) Purpose And General Duty.-lt 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
Pertinent Sections of the Clean Air Act (P.L. 10 1-549) 949

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

Regulations. health or the environment from accidental releases. Regulations

establishing the list shall include an explanation of the basis for

establishing the list. The list may be revised from time to time by the

Administrator on the Administrator's own motion or by petition and

shall be reviewed at least every 5 years. No air pollutant for which a

national primary ambient air quality standard has been established

shall be included on any such list. No substance, practice, process, or

activity regulated under subchapter VI of this Chapter shall be subject

to regulations under this subsection. The Administrator shall establish

procedures for the addition and deletion of substances from the list

established under this paragraph consistent with those applicable to

the list in subsection (b).

(4) Factors to be considered. In listing substances under paragraph

(3), the Administrator-

(A) shall consider-

(i) the severity of any acute adverse health effects associated

with accidental releases of the substance;

(ii) the likelihood of accidental releases of the substance; and

(iii) the potential magnitude of human exposure to accidental

releases of the substance; and
950 Pertinent Sections of the Clean Air Act (P.L. 101-549)

(B) shall not list a flammable substance when used as a fuel or

held for sale as a fuel at a retail facility under this subsection solely

because of the explosive or flammable properties of the substance,

unless a fire or explosion caused by the substance will result in acute

adverse health effects from human exposure to the substance,

including the unburned fuel or its combustion byproducts, other than

those caused by the heat of the fire or impact of the explosion.

(5) Threshold Quantity.-At the time any substance is listed

pursuant to paragraph (3), the Administrator shall establish by rule, a

threshold quantity for the substance, taking into account the toxicity, reactivity, volatility, dispersibility, combustibility, or flammability of

the substance and the amount of the substance which, as a result of an

accidental release, is known to cause or may reasonably be

anticipated to cause death, injury or serious adverse effects to human

health for which the substance was listed. The Administrator is

authorized to establish a greater threshold quantity for, or to exempt

entirely, any substance that is a nutrient used in agriculture when held

by a farmer.

(II) 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. Rcgulations. (B)(i) Within 3 years after the date of enactment of the Clean

Air Act Amendments of 1990, the Administrator shall promulgate reasonable regulations and appropriate guidance to provide, to the

greatest extent practicable, for the prevention and detection of

accidental releases of regulated substances and for response to

such releases by the owners or operators of the sources of such

releases. The Administrator shall utilize the expertise of the

Secretaries of Transportation and Labor in promulgating such

regulations. As appropriate, such regulations shall cover the use,

operation, repair, replacement, and maintenance of equipment to

monitor, detect, inspect, and control such releases, including

training of persons in the use and maintenance of such equipment

and in the conduct of periodic inspections. The regulations shall
Pertinent Sections of the Clean Air Act (P.L. 101-549) 951

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

(111) 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.

(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
952 Pertinent Sections of the Clean Air Act (P.L. 101-549)

planning for or responding to accidental releases which may

occur at such source, and shall be available to the public under

section 114(c). The Administrator shall establish, by rule, an

auditing system to regularly review and, if necessary, require

revision in risk management plans to assure that the plans comply with this subparagraph. Each such plan shall be

updated periodically as required by the Administrator, by rule.

(C) Any regulations promulgated pursuant to this subsection

shall to the maximum extent practicable, consistent with this

subsection, be consistent with the recommendations and standards

established by the American Society of Mechanical Engineers

(ASME), the American National Standards Institute (ANSI) or the

American Society of Testing Materials (ASTM). The

Administrator shall take into consideration the concerns of small

business in promulgating regulations under this subsection.

(D) In carrying out the authority of this paragraph, the

Administrator shall consult with the Secretary of Labor and the

Secretary of Transportation and shall coordinate any requirements

under this paragraph with any requirements established for

comparable purposes by the Occupational Safety and Health

Administration or the Department of Transportation. Nothing in

this subsection shall be interpreted, construed or applied to

impose requirements affecting, or to grant the Administrator, the

Chemical Safety and Hazard Investigation Board, or any other

agency any authority to regulate (including requirements for

hazard assessment), the accidental release of radionuclides arising

from the construction and operation of facilities licensed by the

Nuclear Regulatory Commission.

(E) After the effective date of any regulation or requirement

imposed under this subsection, it shall be unlawful for any person

to operate any stationary source subject to such regulation or

requirement in violation of such regulation or requirement. Each

regulation or requirement under this subsection shall for purposes

of section 113, 114, 116, 120, 304, and 307 and other enforcement

provisions of this Act, be treated as a standard in effect under

subsection (d).

(F) Notwithstanding the provisions of Title V or this section,

no stationary source shall be required to apply for, or operate

pursuant to, a permit issued under such Title solely because such

source is subject to regulations or requirements under this

subsection.

(G) In exercising any authority under this subsection, the

Administrator shall not, for purposes of section 653(b)(1) of Title

29 of the United States Code, be deemed to be exercising

statutory authority to prescribe or enforce standards or regulations

affecting occupational safety and health.

42 USC 7416. 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

'July 14, 1955, Chapter 360, Title 1, 112, as added Dec. 31, 1970, P.L. 91-604, 4(a), 84 Stat. 1685, and

amended Aug. 7, 1977; P.L. 95-95, Title 1, 109(d)(2), 110, Title 401(c), 91 Stat. 701, 703, 791; P.L. 95- 623,

13(b), 92 Stat. 3458 (1978); Public Law 101-549, Title III, 301, 104 Stat. 2531 (1990); P.L. 102-187, 105 Stat.

1285 (1991); P.L. 105-362, Title IV, § 402(b), 112 Stat. 3283 (1998); P.L. 106-40, §§ 2, 3(a), 113 Stat. 207

(1999).
Pertinent Sections of the Clean Air Act (P.L. 101-549) 953

(preempting certain State regulation of moving sources) nothing in this

Act shall preclude or deny the right of any State or political subdivision

thereof to adopt or enforce (1) any standard or limitation respecting

emissions of air pollutants or (2) any requirement respecting control or

abatement of air pollution; except that if an emission standard or limitation is in effect under an applicable implementation plan or under

section 7411 or 7412, such State or political subdivision may not adopt or enforce any emission standard or limitation which is less stringent

than the standard or limitation under such plan or section.4

42 USC 7422. See. 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)(l)(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)(l)(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, 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

4

July 14. 1955, Chapter 360, Title I, section 116, formerly section 109, as added Public Law 90-148, section 2,

81 Stat. 497 (1967). renumbered and amended Public Law 91-604, section4(a),(c), 84 Stat. 1678 (1970), 1689ý

Public Law 93-319, section6(b), 88 Slat. 259 (1974): Public Law 95-190, section14(a)(24), 91 Slat. 1400

(1978).
954 Pertinent Sections of the Clean Air Act (P.L. 101-549)

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.

Sec. 502.

Sec. 503.

Sec. 504.

Sec. 505.

Sec. 506.

Sec. 507.

Definitions.

Permit programs.

Permit applications.

Permit requirements and conditions.

Notification to Administrator and contiguous States.

Other authorities.

Small business stationary source technical

and environmental compliance assistance program.

42 USC 7661. Sec. 501. Definitions

As used in this Title-

(I) 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.

42 USC 7 661a. Sec. 502. Permit Programs

(a) VIOLATIONS.-After the effective date of any permit program

approved or promulgated under this Title, it shall be unlawful for any

person to violate any requirement of a permit issued under this Title,.or

to operate an affected source (as provided in Title IV), a major source,

any other source (including an area source) subject to standards or regulations under section I I I 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

5July 14, 1955, Chapter 360, Title I, section 122, as added P.L. 95-95, Title 1, section 120(a), 91 Slat. 720

(1977).
Pertinent Sections of the Clean Air Act (P.L. 101-549) 955

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 $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 (1) a volatile organic compound; (I) each

pollutant regulated under section 11I or 112; and (Ill) each

pollutant for which a national primary ambient air quality
956 Pertinent Sections of the Clean Air Act (P.L. 10 1-549)

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-

(1) 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

(1I) 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

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.
Pertinent Sections of the Clean Air Act (P.L. 10 1 -549) 957

(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

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
958 Pertinent Sections of the Clean Air Act (P.L. 101-549)

Title I and the changes do not exceed the emissions allowable under

the permit (whether expressed therein as a rate of emissions or in

terms of total emissions: Provided, That the facility provides the

Administrator and the permitting authority with written notification in

advance of the proposed changes which shall be a minimum of 7

days, unless the permitting authority provides in its regulations a

different timeframe for emergencies.

(c) SINGLE PERMIT.-A single permit may be issued for a facility

with multiple sources.

(d) SUBMISSION AND APPROVAL.-(I) 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 I 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 (I), 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).

(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 (I), 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
Pertinent Sections of the Clean Air Act (P.L. 10 1-549) 959

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.

(t) 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:

(I) All requirements established under Title IV applicable to

affected sources.

(2) All requirements established under section 112 applicable to

major sources, area sources, and new sources. . (3) All requirements of Title I (other than section 112) applicable

to sources required to have a permit under this Title.

Approval of a partial program shall not relieve the State of its

obligation to submit a complete program, nor from the application of any

sanctions under this Act for failure to submit an approvable permit

program.

(g) INTERIM APPROVAL.-If a program (including a partial permit

program) submitted under this Title substantially meets the requirements

of this Title, but is not fully approvable, the Administrator may by rule

grant the program interim approval. In the notice of final rulemaking, the

Administrator shall specify the changes that must be made before the

program can receive full approval. An interim approval under this

subsection shall expire on a date set by the Administrator not later than

two years after such approval, and may not be renewed. For the period of

any such interim approval, the provisions of subsection (d)(2), and the

obligation of the Administrator to promulgate a program under this Title

for the State pursuant to subsection (d)(3), shall be suspended. Such

provisions and such obligation of the Administrator shall apply after the

expiration of such interim approval.

(h) EFFECTIVE DATE.-The effective date of a permit program, or

partial or interim program, approved under this Title, shall be the

effective date of approval by the Administrator. The effective date of a

permit program, or partial permit program, promulgated by the

Administrator shall be the date of promulgation.

(i) ADMINISTRATION AND ENFORCEMENT.-(I) 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, 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
42 USC 7661b.

Reports.

960 Pertinent Sections of the Clean Air Act (P.L. 101-549)

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-

(I) 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.-(]) The regulations required by section

502(b) shall include a requirement that the applicant submit with the

permit application a compliance plan describing how the source will

comply with all applicable requirements under this Act. The compliance

plan shall include a schedule of compliance and a schedule under which

the permittee will submit progress reports to the permitting authority no

less frequently than every 6 months.

(2) The regulations shall further require the permittee to

periodically (but no less frequently than annually) certify that the

facility is in compliance with any applicable requirements of the

permit, and to promptly report any deviations from permit

requirements to the permitting authority.

(c) DEADLINE.-Any person required to have a permit shall, not later

than 12 months after the date on which the source becomes subject to a

permit program approved or promulgated under this Title, or such earlier

date as the permitting authority may establish, submit to the permitting

authority a compliance plan and an application for a permit signed by a

responsible official, who shall certify the accuracy of the information

submitted. The permitting .authority shall approve or disapprove a

completed application consistent with the procedures established under

this Title for consideration of such applications), and shall issue or deny

the permit, within 18 months after the date of receipt thereof, except that

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
Pertinent Sections of the Clean Air Act (P.L. 101-549) 961

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).

Public (e) COPIES; AVAILABILITY.-A copy of each permit application,

information, 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).

42 USC 7661c. 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 fbr determining compliance. Nothing in this subsection shall

be construed to affect any continuous emissions monitoring requirement

of Title IV, or where required elsewhere in this Act.

(c) INSPECTION, ENTRY, MONITORING, CERTIFICATION,

AND REPORTING.-Each permit issued under this Title shall set forth

inspection, entry, monitoring, compliance certification, and reporting

requirements to assure compliance with the permit terms and conditions.

Such monitoring and reporting requirements shall conform to any

applicable regulation under subsection (b). Any report required to be

submitted by a permit issued to a corporation under this Title shall be

signed by a responsible corporate official, who shall certify its accuracy.

(d) GENERAL PERMITS.-The permitting authority may, after

notice and opportunity for public hearing, issue a general permit covering

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 atall 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.
42 USC 7661d.

962 Pertinent Sections of the Clean Air Act (P.L. 101-549)

(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-

(]) 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.-(I) Each permitting authority-

(A) shall transmit to the Administrator a copy of each permit

application (and any application for a permit modification or

renewal) or such portion thereof, including any compliance plan,

as the Administrator may require to effectively review the

application and otherwise to carry out the Administrator's

responsibilities under this Act, and

(B) shall provide to the Administrator a copy of each permit

proposed to be issued and issued as a final permit.

(2) The permitting authority shall notify all States-

(A) whose air quality may be affected and that are contiguous

to the State in which the emission originates, or

(B) that are within 50 miles of the source,

of each permit application or proposed permit forwarded to the

Administrator under this section, and shall provide an opportunity for

such States to submit written recommendations respecting the issuance of

the permit and its terms and conditions. If any part of those

recommendations are not accepted by the permitting authority, such

authority shall notify the State submitting the recommendations and the

Administrator, in writing of its failure to accept those recommendations

and the reasons therefor.

(b) OBJECTION BY EPA.-(I) 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)(l), 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 (I) to take such action. A copy

of such petition shall be provided to the permitting authority and the
Pertinent Sections of the Clean Air Act (P.L. 101-549) 963

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 modifyv, 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.-lf the permitting authority fails, within

90 days after the date of an objection under subsection (b), to submit a

permit revised to meet the objection, the Administrator shall issue or

deny the permit in accordance with the requirements of this Title. No

objection shall be subject to judicial review until the Administrator takes

final action to issue or deny a permit under this subsection.

(d) WAIVER OF NOTIFICATION REQUIREMENTS.-(1) The

Administrator may waive the requirements of subsections (a) and (b) at

the time of approval of a permit program under this Title for any category

(including any class, type, or size within such category) of sources

covered by the program other than major sources.

(2) The Administrator may, by regulation, establish categories of

sources (including any class, type, or size within such category) to

which the requirements of subsections (a) and (b) shall not apply. The

preceding sentence shall not apply to major sources.

(3) The Administrator may exclude from any waiver under this

subsection notification under subsection (a)(2). Any waiver granted

under this subsection may be revoke or modified by the

Administrator by rule.

(e) REFUSAL OF PERMITTING AUTHORITY TO TERMINATE,

MODIFY, OR REVOKE AND REISSUE.-If the Administrator finds

that cause exists to terminate, modify, or revoke and reissue a permit

under this Title, the Administrator shall notify the permitting authority

and the source of the Administrator's finding. The permitting authority

shall, within 90 days after receipt of such notification, forward to the

Administrator under this section a proposed determination of

termination, modification, or revocation and reissuance, as appropriate.

The Administrator may extend such 90 day period for an additional 90

days if the Administrator finds that a new or revised permit application is
42 USC 7661e.

42 USC 7661f.

964 Pertinent Sections of the Clean Air Act (P.L. 101-549)

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

"See P.L. 101-549.

iJuly 14, 1955, Ch. 360, Title V, 507, as added P.L. 101-549, 501, 105 Stat. 2645 (1990).
Sec. 511 of the Fed. Water Pollution Control Act of 1972 965

B. SECTION 511 OF THE FEDERAL WATER POLLUTION

CONTROL ACT OF 1972

33 USC 1371. See. 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 441-451 b) shall

be regulated pursuant to this Act, and not subject to such Act of 19 10 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 42 tJSC 4321 source as defined in section 306 of this Act, no action of the

note. 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 11 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.

'P.L. 93-243, § 3, 87 Stat. 1069 (1974), added subsection (d).
966 National Environmental Policy Act of 1969 (P.L. 91-190)

C. NATIONAL ENVIRONMENTAL POLICY ACT OF 1969,

AS AMENDED

Public Law 91-190 83 Stat. 852

National

Environmental

Policy Act of

1969.

42 USC 4321.

Policies and

goals.

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,

See. 1. Short Title

That this Act may be cited as the "National Environmental Policy Act of

1969"

See. 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

42 USC 433 1. Sec. 101. Declaration Of National Environmental Policy

(a) The Congress, recognizing the profound impact of man's activity

in the interrelations of all components of the natural environment,

particularly the profound influences of population growth, high-density

urbanization, industrial expansion, resource exploitation, and new and

expanding technological advances and recognizing further the critical

importance of restoring and maintaining environmental quality to the

overall welfare and development of man, declares that it is the continuing

policy of the Federal Government, in cooperation with State and local

governments, and other concerned public and private organizations, to use all practicable means and measures, including financial and technical

assistance, in a manner calculated to foster and promote the general

welfare, to create and maintain conditions under which man and nature

can exist in productive harmony, and fulfill the social, economic, and

other requirements of present and future generations of Americans.

(b) In order to carry out the policy set forth in this Act, it is the

continuing responsibility of the Federal Government to use all practicable

means, consistent with other essential considerations of national policy,

to improve and coordinate Federal plans, functions, programs, and resources to the end that the Nation may

(1) fulfill the responsibilities of each generation as trustee of the

environment for succeeding generations;

(2) assure for all Americans safe, healthful, productive, and

aesthetically and culturally pleasing surroundings;
National Environmental Policy Act of 1969 (P.L. 91-190) 967

(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.

42 USC 4332. Sec. 102. Cooperation Of Agencies; Reports; Availability Of

Information; Recommendations; International And National

Coordination Of Efforts

Administration. The Congress authorizes and directs that, to the fullest extent possible

(I) 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.

Copies of Prior to making any detailed statement, the responsible Federal

statemcnts, official shall consult with and obtain the comments of any Federal

etc.: agency which has jurisdiction by law or special expertise with respect

availability, to any Environmental impact involved. Copies of such statement and

the comments and views of the appropriate Federal, State, and local

agencies, which are authorized to develop and enforce environmental

standards, shall be made available to the President, the Council on

Environmental Quality and to the public as provided by section 552

of Title 5, United States Code, and shall accompany the proposal

through the existing agency review processes;
968 National Environmental Policy Act of 1969 (P.L. 91-190)

(D) Any detailed statement required under subparagraph (C) after

January 1, 1970, for any major Federal action funded under a

program of grants to States shall not be deemed to be legally

insufficient solely by reason of having been prepared by a State

agency or officials, if:

(i) the State agency or official has statewide jurisdiction and

has the responsibility for such action,

(ii) the responsible Federal official furnishes guidance and

participates in such preparation, (iii) the responsible Federal official independently evaluates

such statement prior to its approval and adoption, and

(iv) after January 1, 1976, the responsible Federal official

provides early notification to, and solicits the views of, any other

State or any Federal land management entity of any alternative,

thereto which may have significant impacts upon such State or

affected Federal land management entity and, if there is any

disagreement on such impacts, prepares a written assessment of

such impacts and views for incorporation into such detailed

statement.

The procedures in this subparagraph shall not relieve the Federal official

of his responsibilities for the scope, objectivity, and content of the entire

statement or of any other responsibility under this Act; and further, this

subparagraph does not affect the legal sufficiency of statements prepared

by State agencies with less than statewide jurisdiction.

(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.

42 USC 4333. Sec. 103. Conformity Of Administrative Procedures To National

Environmental Policy 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

to bring their authority and policies into conformity with the intent,

purposes, and procedures set forth in this Act.

'P.L. 94-83, 89 Stat. 424 (1975), amended section 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).
National Environmental Policy Act of 1969 (P.L. 91-190) 969

42 USC 4334. See. 104. Other Statutory Obligations Of Agencies

Nothing in section 102 or 103 shall in any way affect the specific

statutory obligations of any Federal agency (1) to comply with criteria or standards of environmental quality, (2) to coordinate or consult with any

other Federal or State agency, or (3) to act, or refrain from acting

contingent upon the recommendations or certification of any other

Federal or State agency.

42 USC 4335. See. 105. Efforts Supplemental To Existing Authorizations

The polices and goals set forth in this Act are supplementary to those

set forth in existing authorization of Federal agencies.

Title II

42 USC 4341.

Report to

Congress.

42 USC 4342.

Council on

Environmental

Quality.

Report to

Congress.

See. 201, Council On Environmental Quality (Omit) 2

The President shall transmit to the Congress annually beginning July

1, 1970, an Environmental Quality Report (hereinafter referred to as the "report") which shall set forth (1) the status and condition of the major

natural manmade, or altered environmental classes of the Nation,

including, but not limited to, the air, the aquatic, including marine,

estuarine, and fresh water, and the terrestrial environment, including, but

not limited to, the forest, dryland, wetland, range, urban, suburban, and

rural environment; (2) current and foreseeable trends in the quality,

management and utilization of such environments and the effects of those

trends on the social, economic, and other requirements of the Nation; (3)

the adequacy of available natural resources for fulfilling human and

economic requirements of the Nation in the light of expected population

pressures; (4) a review of the programs and activities (including

regulatory activities) of the Federal Government, the State and local

governments, and non-governmental entities or individuals, with

particular reference to their effect on the environment and on the

conservation, development and utilization of natural resources; and (5) a

program for remedying the deficiencies of existing programs and

activities, together with recommendations for legislation.

See. 202. Establishment; Membership; Chairman; Appointments

There is created in the Executive Office of the President a council on Environmental Quality (hereinafter referred to as the "Council"). The

council shall be composed of three members who shall be appointed by

the President to serve at his pleasure, by and with the advice and consent

of the Senate. The President shall designate one of the members of the

Council to serve as Chairman. Each member shall be a person who, as a

result of his training, experience, and attainments, is exceptionally well

qualified to analyze and interpret environmental trends and information

of all kinds; to appraise programs and activities of the Federal

Government in the light of the policy set forth in Title I of this Act; to be

conscious of and responsive to the scientific, economic, social, esthetic,

and cultural needs and interests of the Nation; and to formulate and

recommend national policies to promote the improvement of the quality

of the environment.

2 P.L. 91-190, Title II, § 201,83 Stat. 854 (1970), which required the President to transmit to Congress

annually an Environmental Quality Report, terminated, effective May 15, 2000, pursuant to P.L. 104-66,

§ 3003. as amended, set out as a note under 31 U.S.C. § 1113.
970 National Environmental Policy Act of 1969 (P.L. 91-190)

42 USC 4343. See. 203. Employment Of Personnel, Experts And Consultants

(a) 3 The Council may employ such officers and employees as may be

necessary to carry out its functions under this Act. In addition, the

Council may employ and fix the compensation of such experts and

consultants as may be necessary for the carrying out of its functions

under this Act, in accordance with section 3109 of Title 5, United States

Code (but without regard to the last sentence thereof).

Voluntary and (b) Notwithstanding section 3679(b) of the Revised Statutes (31 USC

uncompensated 665(b)), the Council may accept and employ voluntary and

services. uncompensated services in furtherance of the purposes of the Council.4

42 USC 4344. Sec. 204. Duties And Functions

It shall be the duty and function of the CouncilDuties and (1) to assist and advise the President in the preparation of the

functions. Environmental Quality Report required by section 201;

(2) to gather timely and authoritative information concerning the

conditions and trends in the quality of the environment both current

and prospective, to analyze and interpret such information for the

purpose of determining whether such conditions and trends are

interfering, or are likely to interfere, with the achievement of the

policy set forth in Title I of this Act, and to compile and submit to the

President studies relating to such conditions and trends;

(3) to review and appraise the various programs and activities of

the Federal Government in the light of the policy set forth in Title I of

this Act for the purpose of determining the extent to which such

programs and activities are contributing to the achievement of such

policy, and to make recommendations to the President with respect

thereto;

(4) to develop and recommend to the President national policies to

foster and promote the improvement of environmental quality to meet

the conservation, social, economic, health, and other requirements

and goals of the Nation;

(5) to conduct investigations, studies, surveys, research, and

analyses relating to ecological systems and environmental quality;

(6) to document and define changes in the natural environment,

including the plant and animal systems, and to accumulate necessary

data and other information for a continuing analysis of these changes

or trends and an interpretation of their underlying causes;

(7) to report at least once each year to the President on the state

and condition of the environment; and

(8) to make and furnish such studies, reports thereon, and

recommendations with respect to matters of policy and legislation as

the President may request.

42 USC 4345. Sec. 205. Consultation With Citizens' Advisory Committee On

Environmental Quality And Other Representatives

In exercising its powers, functions, and duties under this Act, the

council shall-

(1) consult with the Citizens' Advisory Committee on

Environmental Quality established by Executive Order numbered

11472, dated May 29, 1969, and with such representatives of science,

industry, agriculture, labor, conservation organizations, State and

local governments and other groups, as it deems advisable; and

'P.L. 94-52, § 2, 89 Stat. 258 (1975), added (a) immediately after section 203. 4

P.L. 94-52, § 2, 89 Slat. 258 (1975), added a new subsection (b).
National Environmental Policy Act of 1969 (P.L. 91-190) 971

42 USC 4346.

Tenure and

compensation.

42 USC 4346a.

42 USC 4346b.

42 USC 4347.

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 Of Members

Members of the Council shall serve full time and the Chairman of the

Council shall be compensated at the rate provided for Level II of the

Executive Schedule Pay Rates (5 USC 5313). The other members of the

council shall be compensated at the rate provided for Level IV or the

Executive Schedule Pay Rates (5 USC 5315).

Sec. 207. Travel Reimbursement By Private Organizations And

Federal, State, And Local Governments

The Council may accept reimbursements from any private nonprofit

organization or from any department, agency, or instrumentality of the

Federal Government, any State, or local government, for the reasonable

travel expenses incurred by an officer or employee of the Council in

connection with his attendance at any conference, seminar, or similar

meeting conducted for the benefit of the Council.'

Sec. 208. Expenditures In Support Of International Activities

The Council may make expenditures in support of its international

activities, including expenditures for; (1) international travel; (2)

activities in implementation of international agreements; and (3)- the

support of international exchange programs in the United States and in

foreign countries.

Sec. 209. Authorization Of Appropriations

There are authorized to be appropriated to carry out the provisions of

this Act not to exceed $300,000 for fiscal year 1970, $700,000 for fiscal

year 1971, and $1,000,000 for each fiscal year thereafter.6

'P.L. 94-52, § 3, 89 Slat. 258 (1975), redesignated section 207 as section 209 and added new subsections 207

and 208. 6

P.L. 94-52, § 3, 89 Stat. 258 (1975), redesignated section 207 as section 209.
972 West Valley Demonstration Project Act (P.L. 96-368)

D. WEST VALLEY DEMONSTRATION PROJECT ACT

Public Law 96-368 94 Stat. 1347

42 USC 2021a

note.

West Valley

Demonstration

Project Act.

42 USC 2021a

note.

Activities.

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 ofAmerica in Congress assembled,

See. 1. Title

This Act may be cited as the "West Valley Demonstration Project

Act."

Sec. 2. Purpose

"(a) The Secretary shall carry out, in accordance with this Act a high

level radioactive waste management demonstration project at the

Western New York Service Center in West Valley, New York, for the

purpose of demonstrating solidification techniques which can be used for

preparing high level radioactive waste for disposal. Under the project the

Secretary shall carry out the following activities:

"(1) The Secretary shall solidify, in a form suitable for transportation

and disposal, the high level radioactive waste at the Center by

vitrification or by such other technology which the Secretary determines

to be the most effective for solidification.

"(2) The Secretary shall develop containers suitable for the

permanent disposal of the high level radioactive waste solidified at the

Center.

"(3) The Secretary shall, as soon as feasible, transport, in accordance

with applicable provisions of law, the waste solidified at the Center to an

appropriate Federal repository for permanent disposal.

"(4) The Secretary shall, in accordance with applicable licensing

requirements, dispose of low level radioactive waste and transuranic

waste produced by the solidification of the high level radioactive waste

under the project.

"(5) The Secretary shall decontaminate and decommission--

"(A) the tanks and other facilities of the Center in which the high

level radioactive waste solidified under the project was stored,

"(B) the facilities used in the solidification of the waste, and

"(C) any material and hardware used in connection with the project,

in accordance with such requirements as the Commission may

prescribe.

"(b) Before undertaking the project and during the fiscal year ending

September 30, 1981, the Secretary shall carry out the following:

"(I) The Secretary shall hold in the vicinity of the Center public

hearings to inform the residents of the area in which the Center is located

of the activities proposed to be undertaken under the project and to

receive their comments on the project.

"(2) The Secretary shall consider the various technologies available

for the solidification and handling of high level radioactive waste taking

into account the unique characteristics of such waste at the Center.
West Vallev Demonstration Proiect Act (P.L. 96-368) 973

We ValyDmosrto t Prjc Ac PL 638 7

"(3) The Secretary shall--

"(A) undertake detailed engineering and cost estimates for the

project,

"(B) prepare a plan for the safe removal of the high level

radioactive waste at the Center for the purposes of solidification and

include in the plan provisions respecting the safe breaching of the tanks

in which the waste is stored, operating equipment to accomplish the

removal, and sluicing techniques,

"(C) conduct appropriate safety analyses of the project, and

"(D) prepare required environmental impact analyses of the project.

"(4) The Secretary shall enter into a cooperative agreement with the

State in accordance with the Federal Grant and Cooperative Agreement

Act of 1977 [41 USCS §§ 501 et seq.] under which the State will carry

out the following:

"(A) The State will make available to the Secretary the facilities of

the Center and the high level radioactive waste at the Center which are

necessary for the completion of the project. The facilities and the waste

shall be made available without the transfer of title and for such period as

may be required for completion of the project.

"(B) The Secretary shall provide technical assistance in securing

required license amendments.

"(C) The State shall pay 10 per centum of the costs of the project,

as determined by the Secretary. In determining the costs of the project,

the Secretary shall consider the value of the use of the Center for the

project. The State may not use Federal funds to pay its share of the cost

of the project, but may use the perpetual care fund to pay such share.

"(D) Submission jointly by the Department of Energy and the State

of New York of an application for a licensing amendment as soon as possible with the Nuclear Regulatory Commission providing for the

demonstration.

(c) Within one year from the date of the enactment of this Act [enacted

Oct. 1, 1980], the Secretary shall enter into an agreement with the

Commission to establish arrangements for review and consultation by the

Commission with respect to the project: Provided, That review and

consultation by the Commission pursuant to this subsection shall be

conducted informally by the Commission and shall not include nor require formal procedures or actions by the Commission pursuant to the

Atomic Energy Act of 1954, as amended [42 USCS §§ 2011 et seq.

generally], the Energy Reorganization Act of 1974, as amended [42

USCS §§ 5801 et seq. generally], or any other law. The agreement shall

provide for the following:

"(I) The Secretary shall submit to the Commission, for its review and

comment, a plan for the solidification of the high level radioactive waste

at the Center, the removal of the waste for purposes of its solidification,

the preparation of the waste for disposal, and the decontamination of the

facilities to be used in solidifying the waste. In preparing its comments

on the plan, the Commission shall specify with precision its objections to

any provision of the plan. Upon submission of a plan to the Commission,

the Secretary shall publish a notice in the Federal Register of the

submission of the plan and of its availability for public inspection, and,

upon receipt of the comments of the Commission respecting a plan, the

Secretary shall publish a notice in the Federal Register of the receipt of

the comments and of the availability of the comments for public

inspection. If the Secretary does not revise the plan to meet objections
42 USC 2021a

note.

Appropriation

authorization.

42 USC 2021a

note.

Report to

Speaker ofthe

House and

President pro

tempore of the

Senate.

42 USC 2021a

note.

42 USC 2011

note.

42 USC 5801

note.

42 USC 2021a

note.

Definitions.

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

specified in the comments of the Commission, the Secretary shall publish

in the Federal Register a detailed statement for not so revising the plan.

"(2) The Secretary shall consult with the Commission with respect to

the form in which the high level radioactive waste at the Center shall be

solidified and the containers to be used in the permanent disposal of such

waste.

"(3) The Secretary shall submit to the Commission safety analysis

reports and such other information as the Commission may require to

identify any danger to the public health and safety which may be

presented by the project.

"(4) The Secretary shall afford the Commission access to the Center

to enable the Commission to monitor the activities under the project for

the purpose of assuring the public health and safety.

"(d) In carrying out the project, the Secretary shall consult with the

Administrator of the Environmental Protection Agency, the Secretary of

Transportation, the Director of the [United States] Geological Survey,

and the commercial operator of the Center.

See. 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.

See. 4. Report

Not later than February 1, 1981, and on February I of each calendar

year thereafter during the term of the project, the Secretary shall transmit

to the Speaker of the House of Representatives and the President pro

tempore of the Senate an up-to-date report containing a detailed

description of the activities of the Secretary in carrying out the project,

including agreements entered into and the costs incurred during the

period reported on and the activities to be undertaken in the next fiscal

year and the estimated costs thereof.

Sec. 5. Rights And Obligations

(a) Other than the costs and responsibilities established by this Act

for the project, nothing in this Act shall be construed as affecting any

rights, obligations, or liabilities of the commercial operator of the Center,

the State, or any person, as is appropriate, arising under the Atomic

Energy Act of 1954 or under any other law, contract, or agreement for

the operation, maintenance, or decontamination of any facility or

property at the Center or for any wastes at the Center. Nothing in this Act

shall be construed as affecting any applicable licensing requirement of

the Atomic Energy Act of 1954 or the Energy Reorganization Act of

1974. This Act shall not apply or be extended to any facility or property

at the Center which is not used in conducting the project. This Act may

not be construed to expand or diminish the rights of the Federal

Government.

(b) This Act does not authorize the Federal Government to acquire

title to any high level radioactive waste at the Center or to the Center or

any portion thereof.

See. 6. Definitions

For purposes of this Act:

(I) The term "Secretary" means the Secretary of Energy.
West Vallev Demonstration Proiect Act (P.L. 96-368) 975

(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.

42 USC 2014. (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.

Other Provisions: Reduction In Funding For West Valley

Demonstration Project.

Act November 12, 2001, Public Law 107-66, Title 111, 115 Stat. 503,

provides:

Funding for the West Valley Demonstration Project shall be

reduced in subsequent fiscal years to the minimum necessary to

maintain the project in a safe and stable condition, unless not later

than September 30, 2002, the Secretary:

(I) provides written notification to the Committees on

Appropriations of the House of Representatives and the Senate

that agreement has been reached with the State of New York on

the final scope of Federal activities at the West Valley site and on

the respective Federal and State cost shares for those activities;

(2) submits a written copy of that agreement to the

Committees on Appropriations of the House of Representatives

and the Senate; and

(3) provides a written certification that the Federal actions

proposed in the agreement will be in full compliance with all

relevant Federal statutes and are in the best interest of the Federal

Government.

Miscellaneous Domestic Le.Rislation and Executive Orders 977 Miscellaneous Domestic Leg~islato n xctieOdr 7

10. Miscellaneous Domestic

Legislation and Executive Orders
UI
Miscellaneous Domestic Lepislation and Executive Orders 979

10. Miscellaneous Domestic Legislation and Executive

Orders

Contents

A. UNITING AND STRENGTHENING AMERICA BY PROVIDING

APPROPRIATE TOOLS REQUIRED TO INTERCEPT AND

OBSTRUCT TERRORISM (USA PATRIOT ACT) ACT OF 2001 ................ 981

Sec. 808. Definition Of Federal Crime Of Terrorism ................................. 981

B. NATIONAL DEFENSE AUTHORIZATION ACT FOR FISCAL YEAR

2002 (H O M ELA N D SEC URITY) ........................................................................ 983

Sec. 3154. Annual Assessment And Report On Vulnerability Of

Department Of Energy Facilities To Terrorist Attack ............................ 983

C. PERTINENT SECTIONS OF THE INTELLIGENCE REFORM AND

TERRORISM PREVENTION ACT OF 2004 .................................................... 984

Subtitle E-Criminal History Background Checks .......................................... 984

S ec. 640 1. P rotect A ct .................................................................................... 984

Sec. 6402. Reviews Of Criminal Records Of Applicants For Private

Security O fficer Em ploym ent .................................................................... 984

See. 6403. Criminal History Background Checks ........................................ 987

Subtitle F-G rand Jury Information Sharing ................................................... 989

Sec. 6501. G rand Jury Information Sharing ................................................ 989

Sec. 6702. Hoaxes And Recovery Costs ......................................................... 990

Sec. 6703. Obstruction Of Justice And False Statements In Terrorism

C a se s ............................................................................................................. 9 9 1

Sec. 6704. C larification O f Definition ............................................................ 991

Sec. 6803. Participation In Nuclear And Weapons Of Mass

Destruction Threats To The United States ................................................ 991

Sec. 6905. Radiological Dispersal Devices ..................................................... 992

D. NATIONAL DEFENSE AUTHORIZATION ACT FOR FISCAL YEAR

2000 (TR ITIUM PRO DUCTIO N) ....................................................................... 994

Sec. 3134. Procedures For Meeting Tritium Production Requirements ....994

E. STROM THURMOND NATIONAL DEFENSE AUTHORIZATION

ACT FOR FISCAL YEAR 1999 (LICENSING MOX FUEL FACILITIES) ..995

Sec. 3134. Licensing Of Certain Mixed Oxide Fuel Fabrication And

Irrad iatio n F acilities ................................................................................... 995

F. NATIONAL DEFENSE AUTHORIZATION ACT FOR FISCAL YEAR

2002 (M O X F U E L ) ................................................................................................ 996

Sec. 3155. Disposition Of Surplus Defense Plutonium At Savannah

R iver Site, A iken, South C arolina .............................................................. 996

G. MISCELLANEOUS DEPARTMENT OF ENERGY NUCLEAR

PROVISIONS, ENACTED BY PUBLIC LAW 109-58, THE ENERGY

P O L IC Y A C T O F 2005 ......................................................................................... 998

Sec. 628. Decom m issioning Pilot Program .................................................... 998

Sec. 634. Demonstration Hydrogen Production At Existing Nuclear

P o w er P la n ts ................................................................................................ 9 9 8

Sec. 635. Prohibition On Assumption By United States Government Of

Liability For Certain Foreign Incidents .................................................... 998

Sec. 636. Authorization O f Appropriations .................................................. 999

Sec. 638. Standby Support For Certain Nuclear Plant Delays .................... 999
980 Miscellaneous Domestic Legislation and Executive Orders

Subtitle C-Next Generation Nuclear Plant Project ....................................... 1001

See. 641. Project Establishm ent .................................................................. 1001

Sec. 642. Project M anagem ent .................................................................... 1002

Sec. 643. Project O rganization .................................................................... 1002

See. 644. Nuclear Regulatory Commission ............................................... 1004

Sec. 645. Project Timelines And Authorization Of Appropriations ........ 1005

Sec. 657. Department Of Homeland Security Consultation ..................... 1006

See. 951. Nuclear Energy ................................ 1006

Sec. 952. Nuclear Energy Research Programs .......................................... 1007

Sec. 953. Advanced Fuel Cycle Initiative ................................................... 1008

Sec. 954. University Nuclear Science And Engineering Support ............. 1008

See. 955. Department Of Energy Civilian Nuclear Infrastructure And

F a c ilities ..................................................................................................... 10 0 9

Sec. 956. Security O f Nuclear Facilities ..................................................... 1010

Sec. 957. Alternatives To Industrial Radioactive Sources ........................ 1010

H, EXECUTIVE ORDER 12656-ASSIGNMENT OF EMERGENCY

PREPAREDNESS RESPONSIBILITIES ......................................................... 1012

P a rt I- P rea m b le ............................................................................................... 10 12

Section 101. National Security Emergency Preparedness Policy .............. 1012

S ectio n 10 2. P u rpose ..................................................................................... 10 12

S ectio n 103 . S co pe ......................................................................................... 10 12

Section 104. Management Of National Security Emergency .................... 1013

Section 105. Interagency Coordination ....................................................... 1013

Part 2-G eneral P rovisions ............................................................................... 10 14

Section 20 1. G eneral ..................................................................................... 10 14

Section 202. Continuity O f G overnm ent ..................................................... 1015

Section 203. Resource M anagem ent ............................................................ 1015

Section 204. Protection Of Essential Resources And Facilities ................. 1015

Section 205. Federal Benefit, Insurance, And Loan Programs ................. 1015

S ection 206. R esea rch ................................................................................... 10 15

Section 207. R edelegation ............................................................................. 10 16

Section 208. T ransfer O f Functions ............................................................. 1016

Section 209. Retention Of Existing Authority ............................................ 1016

Part 7-D epartm ent O f Energy ........................................................................ 1016

Section 701. Lead R esponsibilities ............................................................... 1016

Section 702. Support R esponsibilities .......................................................... 1017

Part 21-Nuclear Regulatory Commission ...................................................... 1017

Section 2101. Lead R esponsibilities ............................................................. 1017

Section 2102. Support R esponsibilities ........................................................ 1017

P a rt 29- G en era l ............................................................................................... 1 0 18

S ectio n 2 901 ................................................................................................... 10 18

1. EXECUTIVE ORDER 12657-DEPARTMENT OF HOMELAND

SECURITY ASSISTANCE IN EMERGENCY PREPAREDNESS

PLANNING AT COMMERCIAL NUCLEAR POWER PLANTS ................ 1019

S ectio n 1. S co p e ............................................................................................. 1 0 19

Section 2. General Applicable Principles And Directives .......................... 1019

Section 3. FEMA Participation in Emergency Preparedness Planning ...1020

Section 4. Evaluation O f Plans ..................................................................... 1020

Section 5. Response To A Radiological Emergency ................................... 1020

Section 6. Im plem entation O f O rder ........................................................... 1021

S ection 7. A m end m ents ................................................................................ 102 1
Sec. 808 of the U.S.A. Patriot Act (P.L. 107-56) 981

A. UNITING AND STRENGTHENING AMERICA BY

PROVIDING APPROPRIATE TOOLS REQUIRED TO

INTERCEPT AND OBSTRUCT TERRORISM (USA

PATRIOT ACT) ACT OF 2001

Public Law 107-56 115 Stat. 379

October 26, 2001

An Act

To deter and punish terrorist acts in the United States and around the

world, to enhance law enforcement investigatory tools, and for other

purposes.

See. 808. Definition Of Federal Crime Of Terrorism

Section 2332b of title 18, United States Code, is amended-

(I) in subsection (f), by inserting "and any violation of section

351(e), 844(e), 844(f)(1), 956(b), 1361, 1366(b), 1366(c), 1751(e),

2152, or 2156 of this title," before "and the Secretary"; and

(2) in subsection (g)(5)(B), by striking clauses (i) through (iii) and

inserting the following:

"(i) section 32 (relating to destruction of aircraft or aircraft

facilities), 37 (relating to violence at international airports), 81

(relating to arson within special maritime and territorial

jurisdiction), 175 or 175b (relating to biological weapons), 229

(relating to chemical weapons), subsection (a), (b), (c), or (d) of

section 351 (relating to congressional, cabinet, and Supreme

Court assassination and kidnapping), 83 1 (relating to nuclear

materials), 842(m) or (n) (relating to plastic explosives), 844(0(2)

or (3) (relating to arson and bombing of Government property

risking or causing death), 844(i) (relating to arson and bombing of

property used in interstate commerce), 930(c) (relating to killing

or attempted killing during an attack on a Federal facility with a

dangerous weapon), 956(a)(1) (relating to conspiracy to murder,

kidnap, or maim persons abroad), 1030(a)(l) (relating to

protection of computers), 1030(a)(5)(A)(i) resulting in damage as

defined in 1030(a)(5)(B)(ii) through (v) (relating to protection of

computers), 1114 (relating to killing or attempted killing of

officers and employees of the United States), 1116 (relating to

murder or manslaughter of foreign officials, official guests, or

internationally protected persons), 1203 (relating to hostage

taking), 1362 (relating to destruction of communication lines,

stations, or systems), 1363 (relating to injury to buildings or

property within special maritime and territorial jurisdiction of the

United States), 1366(a) (relating to destruction of an energy

facility), 1751(a), (b), (c), or (d) (relating to Presidential and

Presidential staff assassination and kidnapping), 1992 (relating to

wrecking trains), 1993 (relating to terrorist attacks and other acts

of violence against mass transportation systems), 2155 (relating to

destruction of national defense materials, premises, or utilities),

2280 (relating to violence against maritime navigation), 2281

(relating to violence against maritime fixed platforms), 2332

(relating to certain homicides and other violence against United

States nationals occurring outside of the United States), 2332a
982 Sec. 808 of the U.S.A. Patriot Act (P.L. 107-56)

(relating to use of weapons of mass destruction), 2332b (relating

to acts of terrorism transcending national boundaries), 2339

(relating to harboring terrorists), 2339A (relating to providing

material support to terrorists), 2339B (relating to providing

material support to terrorist organizations), or 2340A (relating to

torture) of this title;

(ii) section 236 (relating to sabotage of nuclear facilities or

fuel) of the Atomic Energy Act of 1954 (42 USC 2284); or

(iii) section 46502 (relating to aircraft piracy), the second

sentence of section 46504 (relating to assault on a flight crew with

a dangerous weapon), section 46505(b)(3) or (c) (relating to

explosive or incendiary devices, or endangerment of human life

by means of weapons, on aircraft), section 46506 if homicide or

attempted homicide is involved (relating to application of certain

criminal laws to acts on aircraft), or section 60123(b) (relating to

destruction of interstate gas or hazardous liquid pipeline facility)

of title 49.
Nat. Defense Auth. Act, 2002 (Homeland Sec.) (P.L. 107-107) 983

B. NATIONAL DEFENSE AUTHORIZATION ACT

FOR FISCAL YEAR 2002 (HOMELAND SECURITY)

Public Law 107-107 115 Stat. 1271

December 28, 2001

An Act

To authorize appropriations for fiscal year 2002 for military activities of

the Department of Defense, for military construction, and for defense

activities of the Department of Energy, to prescribe personnel

strengths for such fiscal year for the Armed Forces, and for other

purposes.

Sec. 3154. Annual Assessment And Report On Vulnerability Of

Department Of Energy Facilities To Terrorist Attack

(a) IN GENERAL.-Part C of title VI of the Department of Energy

Organization Act (42 U.S.C. 7251 et seq.) is amended by adding at the

end the following new section:

Sec. 663.

(a) The Secretary shall, on an annual basis, conduct a

comprehensive assessment of the vulnerability of Department

facilities to terrorist attack.

(b) Not later than January 31 each year, the Secretary shall submit

to Congress a report on the assessment conducted under subsection

(a) during the preceding year. Each report shall include the results of

the assessment covered by such report, together with such findings

and recommendations as the Secretary considers appropriate.".

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

beginning of that Act is amended by inserting after the item relating to

section 662 the following new item:

Sec. 663. Annual assessment and report on vulnerability of

facilities to terrorist attack.

42 USC 7270c.

Deadline.
42 USC 5119a

note.

28 USC 534

note.

Private

Security

Officer

Employment

Authorization

Act of 2004.

984 Intel. Reform and Terrorism Prevention Act (P.L. 108-458)

C. PERTINENT SECTIONS OF THE INTELLIGENCE

REFORM AND TERRORISM

PREVENTION ACT OF 2004

Public Law 108-458 118 Stat. 3755

December 17, 2004

Subtitle E-Criminal History Background Checks

Sec. 6401. Protect Act

Public Law 108-21 is amended-

(I) in section 108(a)(2)(A) by striking "an 18 month" and inserting "a 30-month"; and

(2) in section 108(a)(3)(A) by striking "an 18-month" and inserting "a

30-month".

Sec. 6402. Reviews Of Criminal Records Of Applicants For Private

Security Officer Employment

Security Officer Employment Authorization Act of 2004".

(a) SHORT TITLE.-This section may be cited as the "Private

Security Officer Employment Authorization Act of 2004".

(b) FINDINGS.-Congress finds that-

(I) employment of private security officers in the United States is

growing rapidly;

(2) private security officers function as an adjunct to, but not a

replacement for, public law enforcement by helping to reduce and

prevent crime;

(3) such private security officers protect individuals, property, and

proprietary information, and provide protection to such diverse

operations as banks, hospitals, research and development centers,

manufacturing facilities, defense and aerospace contractors, high

technology businesses, nuclear power plants, chemical companies, oil

and gas refineries, airports, communication facilities and operations,

office complexes, schools, residential properties, apartment

complexes, gated communities, and others;

(4) sworn law enforcement officers provide significant services to

the citizens of the United States in its public areas, and are

supplemented by private security officers;

(5) the threat of additional terrorist attacks requires cooperation

between public and private sectors and demands professional,

reliable, and responsible security officers for the protection of people,

facilities, and institutions;

(6) the trend in the Nation toward growth in such security services

has accelerated rapidly;

(7) such growth makes available more public sector law

enforcement officers to combat serious and violent crimes, including

terrorism;

(8) the American public deserves the employment of qualified, well-trained private security personnel as an adjunct to sworn law

enforcement officers; and

(9) private security officers and applicants for private security

officer positions should be thoroughly screened and trained.
Intel. Reform and Terrorism Prevention Act (P.L. 108-458) 985

(c) DEFINITIONS.-In this section:

(1) EMPLOYEE.-The term "employee" includes both a current

employee and an applicant for employment as a private security

officer.

(2) AUTHORIZED EMPLOYER-The term "authorized

employer" means any person that-

(A) employs private security officers; and

(B) is authorized by regulations promulgated by the Attorney

General to request a criminal history record information search of

an employee through a State identification bureau pursuant to this

section.

(3) PRIVATE SECURITY OFFICER.-The term "private security

officer"-

(A) means an individual other than an employee of a Federal,

State, or local government, whose primary duty is to perform

security services, full or part time, for consideration, whether

armed or unarmed and in uniform or plain clothes (except for

services excluded from coverage under this Act if the Attorney

General determines by regulation that such exclusion would serve

the public interest); but

(B) does not include-

(i) employees whose duties are primarily internal audit or

credit functions;

(ii) employees of electronic security system companies

acting as technicians or monitors; or

(iii) employees whose duties primarily involve the secure

movement of prisoners.

(4) SECURITY SERVICES.-The term "security services" means

acts to protect people or property as defined by regulations

promulgated by the Attorney General.

(5) STATE IDENTIFICATION BUREAU.-The term "State

identification bureau" means the State entity designated by the

Attorney General for the submission and receipt of criminal history

record information.

(d) CRIMINAL HISTORY RECORD INFORMATION SEARCH.-

(I) IN GENERAL.-

(A) SUBMISSION OF FINGERPRINTS.-An authorized

employer may submit to the State identification bureau of a

participating State, fingerprints or other means of positive

identification, as determined by the Attorney General, of an

employee of such employer for purposes of a criminal history

record information search pursuant to this Act.

(B) EMPLOYEE RIGHTS.-

(i) PERMISSION.-An authorized employer shall obtain

written consent from an employee to submit to the State

identification bureau of the participating State the request to

search the criminal history record information of the employee

under this Act.

(ii) ACCESS.-An authorized employer shall provide to the

employee confidential access to any information relating to

the employee received by the authorized employer pursuant to

this Act.

(C) PROVIDING INFORMATION TO THE STATE

IDENTIFICATION BUREAU.-Upon receipt of a request for a

criminal history record information search from an authorized
986 Intel. Reform and Terrorism Prevention Act (P.L. 108-458)

employer pursuant to this Act, submitted through the State

identification bureau of a participating State, the Attorney General

shall-

(i) search the appropriate records of the Criminal Justice

Information Services Division of the Federal Bureau of

Investigation; and

(ii) promptly provide any resulting identification and

criminal history record information to the submitting State

identification bureau requesting the information.

(D) USE OF INFORMATION.-

(i) IN GENERAL.-Upon receipt of the criminal history

record information from the Attorney General by the State

identification bureau, the information shall be used only as

provided in clause (ii).

(ii) TERMS-In the case ofNotilication. (I) a participating State that has no State standards for

qualification to be a private security officer, the State shall

notify an authorized employer as to the fact of whether an

employee has been-

(aa) convicted of a felony, an offense involving

dishonesty or a false statement if the conviction

occurred during the previous 10 years, or an offense

involving the use or attempted use of physical force

against the person of another if the conviction occurred

during the previous 10 years; or

(bb) charged with a criminal felony for which there

has been no resolution during the preceding 365 days;

or

(II) a participating State that has State standards for

qualification to be a private security officer, the State shall

use the information received pursuant to this Act in

applying the State standards and shall only notify the

employer of the results of the application of the State

standards.

(E) FREQUENCY OF REQUESTS.-An authorized employer

may request a criminal history record information search for an

employee only once every 12 months of continuous employment

by that employee unless the authorized employer has good cause

to submit additional requests.

(2) REGULATIONS.-Not later than 180 days after the date of

Deadline, enactment of this Act, the Attorney General shall issue such final or

interim final regulations as may be necessary to carry out this Act,

including-

(A) measures relating to the security, confidentiality,

accuracy, use, submission, dissemination, destruction of

information and audits, and record keeping;

(B) standards for qualification as an authorized employer; and

(C) the imposition of reasonable fees necessary for conducting

the background checks.

(3) CRIMINAL PENALTIES FOR USE OF INFORMATION.-

Whoever knowingly and intentionally uses any information obtained

pursuant to this Act other than for the purpose of determining the

suitability of an individual for employment as a private security

officer shall be fined under title 18, United States Code, or

imprisoned for not more than 2 years, or both.
Intel. Reform and Terrorism Prevention Act (P.L. 108-458) 987

(4) USER FEES.-

(A) IN GENERAL.-The Director of the Federal Bureau of

Investigation may-

(i) collect fees to process background checks provided for

by this Act; and

(ii) establish such fees at a level to include an additional

amount to defray expenses for the automation of fingerprint

identification and criminal justice information services and

associated costs.

(B) LIMITATIONS.-Any fee collected under this subsection-

(i) shall, consistent with Public Law 101-515 and

Public Law 104-99, be credited to the appropriation to be

used for salaries and other expenses incurred through

providing the services described in such Public Laws and

in subparagraph (A);

(ii) shall be available for expenditure only to pay the

costs of such activities and services; and

(iii) shall remain available until expended.

(C) STATE COSTS.-Nothing in this Act shall be construed as

restricting the right of a State to assess a reasonable fee on an

authorized employer for the costs to the State of administering

this Act.

(5) STATE OPT OUT.-A State may decline to participate in the

background check system authorized by this Act by enacting a law or

issuing an order by the Governor (if consistent with State law)

providing that the State is declining to participate pursuant to this

subsection.

Sec. 6403. Criminal History Background Checks

Deadline (a) IN GENERAL. -Not later than 180 days after the date of

Reports. enactment of this Act, the Attorney General shall report to the Judiciary Reports. Committee of the Senate and the Judiciary Committee of the House of

Representatives regarding all statutory requirements for criminal history

record checks that are required to be conducted by the Department of

Justice or any of its components.

(b) DEFINITIONS.-As used in this section-

(1) the terms "criminal history information" and "criminal history

records" include-

(A) an identifying description of the individual to whom the

information or records pertain;

(B) notations of arrests, detentions, indictments, or other

formal criminal charges pertaining to such individual; and

(C) any disposition to a notation described in subparagraph

(B), including acquittal, sentencing, correctional supervision, or

release; and

(2) the term "IAFIS" means the Integrated Automated Fingerprint

Identification System of the Federal Bureau of Allocation, which

serves as the national depository for fingerprint, biometric, and

criminal history information, through which fingerprints are

processed electronically.

(c) IDENTIFICATION OF INFORMATION.-The Attorney General

shall identify-

(1) the number of criminal history record checks requested,

including the type of information requested;

(2) the usage of different terms and definitions regarding criminal

history information; and
988 Intel. Reform and Terrorism Prevention Act (P.L. 108-458)

(3) the variation in fees charged for such information and who

pays such fees.

Procedures. (d) RECOMMENDATIONS. -The Attorney General shall make

recommendations to Congress for improving, standardizing, and

consolidating the existing statutory authorization, programs, and

procedures for the conduct of criminal history record checks for noncriminal justice purposes. In making these recommendations to

Congress, the Attorney General shall consider-

(]) the effectiveness and efficiency of utilizing commercially

available databases as a supplement to IAFIS criminal history

information checks;

(2) any security concerns created by the existence of these

commercially available databases concerning their ability to provide

sensitive information that is not readily available about law

enforcement or intelligence officials, including their identity,

residence, and financial status;

(3) the effectiveness of utilizing State databases;

(4) any feasibility studies by the Department of Justice of the

resources and structure of the Federal Bureau of Investigation to

establish a system to provide criminal history information;

(5) privacy rights and other employee protections, including-

(A) employee consent;

(B) access to the records used if employment was denied;

(C) the disposition of the fingerprint submissions after the

records are searched;

(D) an appeal mechanism; and

(E) penalties for misuse of the information;

(6) the scope and means of processing background checks for

private employers utilizing data maintained by the Federal Bureau of

Investigation that the Attorney General should be allowed to

authorize in cases where the authority for such checks is not available

at the State level;

(7) any restrictions that should be placed on the ability of an

employer to charge an employee or prospective employee for the cost

associated with the background check;

(8) which requirements should apply to the handling of

incomplete records;

(9) the circumstances under which the criminal history

information should be disseminated to the employer;

(10) the type of restrictions that should be prescribed for the

handling of criminal history information by an employer;

(11) the range of Federal and State fees that might apply to such

background check requests;

(12) any requirements that should be imposed concerning the time

for responding to such background check requests;

(13) any infrastructure that may need to be developed to support

the processing of such checks, including-

(A) the means by which information is collected and

submitted in support of the checks; and

(B) the system capacity needed to process such checks at the

Federal and State level;

(14) the role that States should play; and

(15) any other factors that the Attorney General determines to be

relevant to the subject of the report.
Intel. Reform and Terrorism Prevention Act (P.L. 108-458) 989

(e) CONSULTATION.-In developing the report under this section,

the Attorney General shall consult with representatives of State criminal

history record repositories, the National Crime Prevention and Privacy

Compact Council, appropriate representatives of private industry, and

representatives of labor, as determined appropriate by the Attorney

General.

Subtitle F-Grand Jury Information Sharing

Sec. 6501. Grand Jury Information Sharing

(a) RULE AMENDEMENTS.-Rule 6(e) of the Federal Rules of

18 USC app. Criminal Procedure is amended-

(1) in paragraph (3)-

(A) in subparagraph (A)(ii), by striking "or state subdivision

or of an Indian tribe" and inserting ", state subdivision, Indian

tribe, or foreign government";

(B) in subparagraph (D)-

(i) by inserting after the first sentence the following: "An

attorney for the government may also disclose any grand jury

matter involving, within the United States or elsewhere, a

threat of attack or other grave hostile acts of a foreign power

or its agent, a threat of domestic or international sabotage or

terrorism, or clandestine intelligence gathering activities by an

intelligence service or network of a foreign power or by its

agent, to any appropriate Federal, State, State subdivision,

Indian tribal, or foreign government official, for the purpose of

preventing or responding to such threat or activities."; and

(ii) in clause (i)-

(I) by striking "federal"; and

(II) by adding at the end the following: "Any State,

State subdivision, Indian tribal, or foreign government

official who receives information under Rule 6(e)(3)(D)

may use the information only consistent with such

guidelines as the Attorney General and the Director of

National Intelligence shall jointly issue."; and

(C) in subparagraph (E)-

(i) by redesignating clauses (iii) and (iv) as clauses (iv) and

(v), respectively;

(ii) by inserting after clause (ii) the following:

"(iii) at the request of the government, when sought by

a foreign court or prosecutor for use in an official criminal

investigation;"; and

(iii) in clause (iv), as redesignated-

(1) by striking "state or Indian tribal" and inserting

"State, Indian tribal, or foreign"; and

(II) by striking "or Indian tribal official" and

inserting "Indian tribal, or foreign government

official"; and

(2) in paragraph (7), by inserting", or of guidelines jointly issued

by the Attorney General and the Director of National Intelligence

pursuant to Rule 6," after "Rule 6".

(b) CONFORMING AMENDMENT.-Section 203(c) of Public Law

107-56 (18 U.S.C. 2517 note) is amended by striking "Rule 6(e)(3)

(C)(i)(V) and (VI)" and inserting "Rule 6(e)(3)(D)".
18 USC I note.

990 Intel. Reform and Terrorism Prevention Act (P.L. 108-458)

See. 6702. Hoaxes And Recovery Costs

(a) PROHIBITION ON HOAXES.- Chapter 47 of title 18, United

States Code, is amended b inserting after section 1037 the following:

"§1038. False Information and Hoaxes

(a) CRIMINAL VIOLATION.-

(1) IN GENERAL-Whoever engages in any conduct with

intent to convey false or misleading information under

circumstances where such information may reasonably be

believed and where such information indicates that an activity has

taken, is taking, or will take place that would constitute a violation

of chapter 2, 10, 1IB, 39, 40, 44, 111, or 113B of this title, section

236 of the Atomic Energy Act of 1954 (42 U.S.C. 2284), or

section 46502, the second sentence of section 46504, section

46505(b)(3) or (c), section 46506 if homicide or attempted

homicide is involved, or section 60123(b) of title 49, shall-

"(A) be fined under this title or imprisoned not more than 5

years, or both;

(B) if serious bodily injury results, be fined under this title

or imprisoned not more than 20 years, or both; and

(C) if death results, be fined under this title or imprisoned

for any number of years up to life, or both.

"(2) ARMED FORCES.-Any person who makes a false

statement, with intent to convey false or misleading information,

about the death, injury, capture, or disappearance of a member of

the Armed Forces of the United States during a war or armed

conflict in which the United States is engaged-

(A) shall be fined under this title, imprisoned not more

than 5 years, or both;

(B) if serious bodily injury results, shall be fined under this

title, imprisoned not more than 20 years, or both; and

(C) if death results, shall be fined under this title,

imprisoned fbr any number of years or for life, or both.

(b) CIVIL ACTION.-Whoever engages in any conduct with intent to

convey false or misleading information under circumstances where such

information may reasonably be believed and where such information

indicates that an activity has taken, is taking, or will take place that

would constitute a violation of chapter 2, 10, 11B, 39, 40, 44, III, or

113B of this title, section 236 of the Atomic Energy Act of 1954 (42

U.S.C. 2284), or section 46502, the second sentence of section 46504,

section 46505 (b)(3) or (c), section 46506 if homicide or attempted

homicide is involved, or section 60123(b) of title 49 is liable in a civil

action to any party incurring expenses incident to any emergency or investigative response to that conduct, for those expenses.

(c) REIMBURSEMENT.-

(I) IN GENERAL.-The court, in imposing a sentence on a

defendant who has been convicted of an offense under subsection (a),

shall order the defendant to reimburse any state or local government,

or private not-for-profit organization that provides fire or rescue service incurring expenses incident to any emergency or investigative

response to that conduct, for those expenses.

(2) LIABILITY.-A person ordered to make reimbursement under

this subsection shall be jointly and severally liable for such expenses
Intel. Reform and Terrorism Prevention Act (P.L. 108-458) 991

with each other person, if any, who is ordered to make reimbursement

under this subsection for the same expenses.

(3) CIVIL JUDGMENT.-An order of reimbursement under this

subsection shall, for the purposes of enforcement, be treated as a civil

judgment.

(d) ACTIVITIES OF LAW ENFORCEMENT.-This section does not

prohibit any lawfully authorized investigative, protective, or intelligence

activity of a law enforcement agency of the United States, a State, or

political subdivision of a State, or of an intelligence agency of the United

States.

(b) CLERICAL AMENDMENT.-The table of sections as the

beginning of chapter 47 of title 18, United States Code, is amended by

adding after the item for section 1037 the following:

"1038. False information and hoaxes.".

Sec. 6703. Obstruction Of Justice And False Statements In

Terrorism Cases

(a) ENHANCED PENALTY-Section 1001(a) and the third

undesignated paragraph of section 1505 of title 18, United States

Code, are amended by striking "be fined under this title or

imprisoned not more than 5 years, or both" and inserting "be

fined under this title, imprisoned not more than 5 years or, if the

offense involves international or domestic terrorism (as defined

in section 2331), imprisoned not'more than 8 years, or both".

(b) SENTENCING GUIDELINE. -Not later than 30 days of the

Deadlinc. enactment of this section, the United States Sentencing Commission

28 USC 994 shall amend the Sentencing Guidelines to provide for an increased

notv, offense level for an offense under sections 1001(a) and 1505 of title 18,

United States Code, if the offense involves international or domestic

terrorism, as defined in section 2331 of such title.

Sec. 6704. Clarification Of Definition

Section 1958 of title 18, United States Code, is amended-

(I) in subsection (a), by striking "facility in" and inserting

"facility of"; and

(2) in subsection (b)(2), by inserting "or foreign" afler "interstate".

Sec. 6803. Participation In Nuclear And Weapons Of Mass

Destruction Threats To The United States

(2) by inserting after section 831 the following:

"Sec. 832. Participation in Nuclear and Weapons of Mass

Destruction Threats to the United States

"(a) Whoever , within the United States or subject to the

jurisdiction of the United States, willfully participates in or

knowingly provides material support or resources (as defined in

section 2339A) to a nuclear weapons program or other weapons of

mass destruction program of a foreign terrorist power, or attempts or

conspires to do so, shall be imprisoned for not more than 20 years. "(b) There is extraterritorial Federal jurisdiction over an offense

under this section.

"(c) Whoever without lawful authority develops, possesses, or attempts or conspires to develop or possess a radiological weapon, or

threatens to use or uses a radiological weapon against any person

within the United States, or a national of the United States while such

national is outside of the United States or against any property that is
992 Intel. Reform and Terrorism Prevention Act (P.L. 108-458)

owned, leased, funded, or used by the United States, whether that

property is within or outside of the United States, shall be imprisoned

for any term of years or for life.

"(d) As used in this section-

"(1) 'nuclear weapons program' means a program or plan for

the development, acquisition, or production of any nuclear

weapon or weapons;

"(2) 'weapons of mass destruction program' means a program

or plan for the development, acquisition, or production of any

weapon or weapons of mass destruction (as defined in section

233 2a(c));

"(3) 'foreign terrorist power' means a terrorist organization

designated under section 219 of the Immigration and Nationality

Act, or a state sponsor of terrorism designated under section 60)

of the Export Administration Act of 1979 or section 620A of the

Foreign Assistance Act of 1961; and

"(4) 'nuclear weapon' means any weapon that contains or uses

nuclear material as defined in section 831(f)(1)."; and

"(3) in section 2332b(g)(5)(B)(i), by inserting after "nuclear

materials)," the following: -832 (relating to participation in

nuclear and weapons of mass destruction threats to the United

States)".

Sec. 6905. Radiological Dispersal Devices

Chapter 1 I3B of title 18, United States Code, is amended by adding

after section 2332g the following:

Sec. 2332h. Radiological dispersal devices

(a) UNLAWFUL CONDUCT.-

"(I) IN GENERAL.-Except as provided in paragraph (2), it

shall be unlawful for any person to knowingly produce, construct,

otherwise acquire, transfer directly or indirectly, receive, possess,

import, export, or use, or possess and threaten to use-

"(A) any weapon that is designed or intended to release

radiation or radioactivity at a level dangerous to human life; or

"(B) any device or other object that is capable of and

designed or intended to endanger human life through the

release of radiation or radioactivity.

"(2) EXCEPTION-This subsection does not apply with

respect to-

"(A) conduct by or under the authority of the United States or any department or agency thereof; or

"(B) conduct pursuant to the terms of a contract with the

United States or any department or agency thereof.

"(b) JURISDICTION.-Conduct prohibited by subsection (a) is

within the jurisdiction of the United States if-

"(1) the offense occurs in or affects interstate or foreign

commerce;

"(2) the offense occurs outside of the United States and is

committed by a national of the United States;

"(3) the offense is committed against a national of the United

States while the national is outside the United States;

"(4) the offense is committed against any property that is

owned, leased, or used by the United States or by any department
Intel. Reform and Terrorism Prevention Act (P.L. 108-458) 993

or agency of the United States, whether the property is within or

outside the United States; or

"(5) an offender aids or abets any person over whom

jurisdiction exists under this subsection in committing an offense

under this section or conspires with any person over whom

jurisdiction exists under this subsection to commit an offense

under this section.

"(c) CRIMINAL PENALTIES,-

"(1) IN GENERAL.--Any person who violates, or attempts

or conspires to violate, subsection (a) shall be fined not more

than $2,000,000 and shall be sentenced to a term of

imprisonment not less than 25 years or to imprisonment for

life.

"(2) OTHER CIRCUMSTANCES.-Any person who, in

the course of a violation of subsection (a), uses, attempts or

conspires to use, or possesses and threatens to use, any item or

items described in subsection (a), shall be fined not more than

$2,000,000 and imprisoned for not less than 30 years or

imprisoned for life.

"(3) SPECIAL CIRCUMSTANCES.-If the death of

another results from a person's violation of subsection (a), the

person shall be fined not more than $2,000,000 and punished

by imprisonment for life.".
994 Nat. Def. Auth. Act, FY 2000 (Tritium Prod.) (P.L. 106-65)

D. NATIONAL DEFENSE AUTHORIZATION ACT FOR

FISCAL YEAR 2000 (TRITIUM PRODUCTION)'

FISCAL YEAR 2000

Public Law 106-65 113 Stat. 927

October 5, 1999

50 USC 2545. Sec. 3134. Procedures For Meeting Tritium Production

Requirements

(a) PRODUCTION OF NEW TRITIUM-The Secretary of Energy

shall produce new tritium to meet the requirements of the Nuclear

Weapons Stockpile Memorandum at the Tennessee Valley Authority

Watts Bar or Sequoyah nuclear power plants consistent with the

Secretary's December 22, 1998, decision document designating the

Secretary's preferred tritium production technology.

(b) SUPPORT-To support the method of tritium production set forth

in subsection (a), the Secretary shall design and construct a new tritium

extraction facility in the H-Area of the Savannah River Site, Aiken,

South Carolina,

(c) DESIGN AND ENGINEERING DEVELOPMENT-The

Secretary shall-

(I) complete preliminary design and engineering development of

the Accelerator Production of Tritium technology design as a backup

source of tritium to the source set forth in subsection (a) and

consistent with the Secretary's December 22, 1998, decision

document; and

(2) make available those funds necessary to complete eng;neering

development and demonstration, preliminary design, and detailed

design of key elements of the system consistent with the Secretary's

decision document of December 22, 1998.

'This section, which was enacted as section 3134 of P.L.106-65, was redesignated section 4235 of

P.L. 107-314, by section 3141 (e)(20) of P. L. 108-136, 117 Stat. 1762.
Nat. Defense Auth. Act. 1999 (MOX Fuel Lic.) (P.L. 105-261) 995

E. STROM THURMOND NATIONAL DEFENSE

AUTHORIZATION ACT FOR

FISCAL YEAR 1999 (LICENSING MOX FUEL

FACILITIES)

Public Law 105-261 112 Stat. 2247

October 17, 1998

Sec. 3134. Licensing Of Certain Mixed Oxide Fuel Fabrication And

Irradiation Facilities

(a) LICENSE REQUIREMENT-Section 202 of the Energy

Reorganization Act of 1974 (42 USC 5842) is amended by adding at the

end the following new paragraph:

"(5) Any facility under a contract with and for the account of the

Department of Energy that is utilized for the express purpose of

fabricating mixed plutonium-uranium oxide nuclear reactor fuel for

use in a commercial nuclear reactor licensed under such Act, other

than any such facility t hat is utilized for research, development,

demonstration, testing, or analysis purposes.".

(b) AVAILABILITY OF FUNDS FOR LICENSING BY NRCSection 210 of the Department of Energy Authorization Act of 1981 (42

USC 7272) shall not apply to any licensing activities required pursuant to

section 202(5) of the Energy Reorganization Act of 1974 (42 USC 5842),

as added by subsection (a).

(c) APPLICABILITY OF OCCUPATIONAL SAFETY AND

HEALTH REQUIREMENTS TO ACTIVITIES UNDER LICENSEAny activities carried out under a license required pursuant to section

202(5) of the Energy Reorganization Act of 1974 (42 USC 5842), as

added by subsection (a), shall be subject to regulation under the

Occupational Safety and Health Act of 1970 (29 USC 651 et seq.).

42 USC 5842

note.

42 USC 5842

note.
996 Nat. Def. Auth. Act, FY 2002 (MOX Fuel) (P.L. 107-107)

F. NATIONAL DEFENSE AUTHORIZATION ACT FOR

FISCAL YEAR 2002 (MOX FUEL)

Public Law 107-107 115 STAT. 1012

December 28, 2001

50 USC 2567. Sec. 3155. Disposition Of Surplus Defense Plutonium At Savannah

River Site, Aiken, South Carolina

(a) CONSULTATION REQUIRED.-The Secretary of Energy shall

consult with the Governor of the State of South Carolina regarding any

decisions or plans of the Secretary related to the disposition of surplus

defense plutonium and defense plutonium materials located at the

Savannah River Site, Aiken, South Carolina.

(b) NOTICE REQUIRED.-For each shipment of defense plutonium

or defense plutonium materials to the Savannah River Site, the Secretary

shall, not less than 30 days before the commencement of such shipment,

submit to the congressional defense committees a report providing notice

of such shipment.

(c) PLAN FOR DISPOSITION.-The Secretary shall prepare a plan

for disposal of the surplus defense plutonium and defense plutonium

materials currently located at the Savannah River Site and for disposal of

defense plutonium and defense plutonium materials to be shipped to the

Savannah River Site in the future. The plan shall include the following:

(I) A review of each option considered for such disposal.

(2) An identification of the preferred option for such disposal.

(3) With respect to the facilities for such disposal that are required

by the Department of Energy's Record of Decision for the Storage

and Disposition of Weapons-Usable Fissile Materials Final

Programmatic Environmental Impact Statement dated January 14,

1997-

(A) a statement of the cost of construction and operation of

such facilities;

(B) a schedule for the expeditious construction of such

facilities, including milestones; and

(C) a firm schedule for funding the cost of such facilities.

(4) A specification of the means by which all such defense

plutonium and defense plutonium materials will be removed in a

timely manner from the Savannah River Site for storage or disposal

elsewhere.

(d) PLAN FOR ALTERNATIVE DISPOSITION.-If the Secretary

determines not to proceed at the Savannah River Site with construction

of the plutonium immobilization plant, or with the mixed oxide fuel

fabrication facility, the Secretary shall prepare a plan that identifies a

disposition path for all defense plutonium and defense plutonium

materials that would otherwise have been disposed of at such plant or

such facility, as applicable.

Deadline. (e) SUBMISSION OF PLANS.-Not later than February 1, 2002, the

Secretary shall submit to Congress the plan required by subsection (c)

(and the plan prepared under subsection (d), if applicable).

(f) LIMITATION ON PLUTONIUM SHIPMENTS.-If the Secretary

does not submit to Congress the plan required by subsection (c) (and the

plan prepared under subsection (d), if applicable) by February 1, 2002,
Nat. Defense Auth. Act, 1999 (MOX Fuel) (P.L. 107-107) 997

the Secretary shall be prohibited from shipping defense plutonium or

defense plutonium materials to the Savannah River Site during the period

beginning on February 1, 2002, and ending on the date on which such

plans are submitted to Congress.

(g) RULE OF CONSTRUCTION.-Nothing in this section may be

construed to prohibit or limit the Secretary from shipping defense

plutonium or defense plutonium materials to sites other than the

Savannah River Site during the period referred to in subsection (f) or any

other period.

(h) ANNUAL REPORT ON FUNDING FOR FISSILE

MATERIALS DISPOSITION ACTIVITIES.-The Secretary shall

include with the budget justification materials submitted to Congress in

support of the Department of Energy budget for each fiscal year (as

submitted with the budget of the President under section 1105(a) of title

31, United States Code) a report setting forth the extent to which

amounts requested for the Department for such fiscal year for fissile

materials disposition activities will enable the Department to meet

commitments for the disposition of surplus defense plutonium and

defense plutonium materials located at the Savannah River Site, and for

any other fissile materials disposition
998 Misc. Provisions from Energy Pol. Act of 2005 (P.L, 109-58)

G. MISCELLANEOUS DEPARTMENT OF ENERGY

NUCLEAR PROVISIONS, ENACTED BY PUBLIC LAW

109-58, THE ENERGY POLICY ACT OF 2005

Public Law 109-58 119 Stat. 785

August 8, 2005

42 USC 16011.

42 USC 16012.

Sec. 628. Decommissioning Pilot Program'

(a) PILOT PROGRAM.-The Secretary shall establish a

decommissioning pilot program under which the Secretary shall

decommission and decontaminate the sodium-cooled fast breeder

experimental test-site reactor located in northwest Arkansas, in

accordance with the decommissioning activities contained in the report of

the Department relating to the reactor, dated August 3 1, 1998.

(b) AUTHORIZATION OF APPROPRIATIONS.-There is

authorized

to be appropriated to the Secretary to carry out this section $16,000,000.

Sec. 634. Demonstration Hydrogen Production At Existing Nuclear

Power Plants2

(a) DEMONSTRATION PROJECTS.-The Secretary shall provide

for the establishment of 2 projects in geographic areas that are regionally

and climatically diverse to demonstrate the commercial production of

hydrogen at existing nuclear power plants.

(b) ECONOMIC ANALYSIS.-Prior to making an award under

subsection (a), the Secretary shall determine whether the use of existing

nuclear power plants is a cost-effective means of producing hydrogen.

(c) AUTHORIZATION OF APPROPRIATIONS.-There are

authorized to be appropriated to the Secretary for the purposes of

carrying out this section not more than $100,000,000.

Sec. 635. Prohibition On Assumption By United States Government

Of Liability For Certain Foreign Incidents 3

(a) IN GENERAL.-Notwithstanding any other provision of law, no

officer of the United States or of any department, agency, or

instrumentality of the United States Government.may enter into any

contract or other arrangement, or into any amendment or modification of

a contract or other arrangement, the purpose or effect of which would be

to directly or indirectly impose liability on the United States

Government, or any department, agency, or instrumentality of the United

States Government, or to otherwise directly or indirectly require an

indemnity by the United States Government, for nuclear incidents

occurring in connection with the design, construction, or operation of a

production facility or utilization facility in any country whose

government has been identified by the Secretary of State as engaged in

state sponsorship of terrorist activities (specifically including any country

the government of which, as of September 11, 2001, had been

determined by the Secretary of State under section 620A(a) of the

Foreign Assistance Act of 1961 (22 U.S.C. 2371(a)), section 60)(1) of

the Export Administration Act of 1979 (50 U.S.C. App. 2405(j)(1)), or

section 40(d) of the Arms Export Control Act (22 U.S.C. 2780(d)) to

'P.L. 109-58. 119 Stat. 785 (2005), added section 628. 2

P.L. 109-58, 119 Stat. 790 (2005), added section 634.

'P.L. 109-58, 119 Stat. 790 (2005), added section 635.
Misc. Provisions from Enerav Pol. Act of 2005 (P.L. 109-58) 999

42 USC 16013.

42 USC 16014.

have repeatedly provided support for acts of international terrorism). This

section shall not apply to nuclear incidents occurring as a result of

missions, carried out under the direction of the Secretary, the Secretary of

Defense, or the Secretary of State, that are necessary to safely secure,

store, transport, or remove nuclear materials for nuclear safety or

nonproliferation purposes.

(b) DEFINITIONS.-The terms used in this section shall have the

same meaning as those terms have under section II of the Atomic

Energy Act of 1954 (42 U.S.C. 2014), unless otherwise expressly

provided in this section.

Sec. 636. Authorization Of Appropriations 4

There are authorized to be appropriated such sums as are necessary to

carry out this subtitle and the amendments made by this subtitle.

See. 638. Standby Support For Certain Nuclear Plant Delays 5

(a) DEFINITIONS.-In this section:

(1) ADVANCED NUCLEAR FACILITY.-The term "advanced

nuclear facility" means any nuclear facility the reactor design for

which is approved after December 31, 1993, by the Commission (and

such design or a substantially similar design of comparable capacity

was not approved on or before that date).

(2) COMBINED LICENSE.-The term "combined license" means

a combined construction and operating license for an advanced

nuclear facility issued by the Commission.

(3) COMMISSION.-The term "Commission" means the Nuclear

Regulatory Commission.

(4) SPONSOR.-The term "sponsor" means a person who has

applied for or been granted a combined license.

(b) CONTRACT AUTHORITY.-

(1) IN GENERAL.-The Secretary may enter into contracts under

this section with sponsors of an advanced nuclear facility that cover a

total of 6 reactors, with the 6 reactors consisting of not more than 3

different reactor designs, in accordance with paragraph (2).

(2) REQUIREMENT FOR CONTRACTS.-

(A) DEFINITION OF LOAN COST.-In this paragraph, the

term "loan cost" has the meaning given the term "cost of a loan

guarantee" under section 502(5)(C) of the Federal Credit Reform

Act of 1990 (2 U.S.C. 661 a(5)(C)).

(B) ESTABLISHMENT OF ACCOUNTS.-There is

established in the Department 2 separate accounts, which shall be

known as the-

(i) "Standby Support Program Account"; and

(ii) "Standby Support Grant Account".

(C) REQUIREMENT.-The Secretary shall not enter into a

contract under this section unless the Secretary deposits-

(i) in the Standby Support Program Account established

under subparagraph (B), funds appropriated to the Secretary in

advance of the contract or a combination of appropriated funds

and loan guarantee fees that are in an amount sufficient to

cover the loan costs described in subsection (d)(5)(A); and

(ii) in the Standby Support Grant Account established

under subparagraph (B), funds appropriated to the Secretary in

advance of the contract, paid to the Secretary by the sponsor

4

P.L. 109-58, 119 Stat. 791 (2005), added section 636.

'P.L. 109-58, 119 Stat. 791 (2005), added section 638.
1000 Misc. Provisions from Energy Pol. Act of 2005 (P.L. 109-58)

of the advanced nuclear facility, or a combination of

appropriations and payments that are in an amount sufficient

cover the costs described in subparagraphs (B), (C), and (D) of

subsection (d)(5).6

(c) COVERED DELAYS.-

(]) INCLUSIONS.-Under each contract authorized by this

section, the Secretary shall pay the costs specified in subsection (d),

using funds appropriated or collected for the covered costs, if full

power operation of the advanced nuclear facility is delayed by-

(A) the failure of the Commission to comply with schedules

for review and approval of inspections, tests, analyses, and

acceptance criteria established under the combined license or the

conduct of preoperational hearings by the Commission for the

advanced nuclear facility; or

(B) litigation that delays the commencement of full power

operations of the advanced nuclear facility.

(2) EXCLUSIONS.-The Secretary may not enter into any

contract under this section that would obligate the Secretary to pay

any costs resulting from-

(A) the failure of the sponsor to take any action required by

law or regulation;

(B) events within the control of the sponsor; or

(C) normal business risks.

(d) COVERED COSTS.-

(I) IN GENERAL-Subject to paragraphs (2), (3), and (4), the

costs that shall be paid by the Secretary pursuant to a contract entered

into under this section are the costs that result from a delay covered

by the contract.

(2) INrIIAL 2 REACTORS.-In the case of the first 2 reactors

that receive combined licenses and on which construction is

commenced, the Secretary shall pay-

(A) 100 percent of the covered costs of delay; but

(B) not more than $500,000,000 per contract.

(3) SUBSEQUENT 4 REACTORS.-In the case of the next 4

reactors that receive a combined license and on which construction is

commenced, the Secretary shall pay-

(A) 50 percent of the covered costs of delay that occur after

the initial 180-day period of covered delay; but

(B) not more than $250,000,000 per contract.

(4) CONDITIONS ON PAYMENT OF CERTAIN COVERED

COSTS.-

(A) IN GENERAL-The obligation of the Secretary to pay the

covered costs described in subparagraph (B) of paragraph (5) is

subject to the Secretary receiving from appropriations or

payments from other non-Federal sources amounts sufficient to

pay the covered costs.

(B) NON-FEDERAL SOURCES.-The Secretary may receive

and accept payments from any non-Federal source, which shall be

made available without further appropriation for the payment of

the covered costs.

(5) TYPES OF COVERED COSTS.-Subject to paragraphs (2),

(3), and (4), the contract entered into under this section for an

6

P.L. 109-58, § 638, 119 Stat. 792 (2005). Note: Congress did not include §§ (C) and (D) in subsection (d)(5)

of this Act.
Misc. Provisions from Energy Pol. Act of 2005 (P.L. 109-58) 1001

Deadline.

Public

information.

Deadline.

advanced nuclear facility shall include as covered costs those costs

that result from a delay during construction and in gaining approval

for fuel loading and full-power operation, including-

(A) principal or interest on any debt obligation of an advanced

nuclear facility owned by a non-Federal entity; and

(B) the incremental difference between-

(i) the fair market price of power purchased to meet the

contractual supply agreements that would have been met

by the advanced nuclear facility but for the delay; and

(ii) the contractual price of power from the advanced

nuclear facility subject to the delay.

(e) REQUIREMENTS.-Any contract between a sponsor and the

Secretary covering an advanced nuclear facility under this section shall

require the sponsor to use due diligence to shorten, and to end, the delay

covered by the contract.

(f) REPORTS.-For each advanced nuclear facility that is covered by a contract under this section, the Commission shall submit to Congress

and the Secretary quarterly reports summarizing the status of licensing

actions associated with the advanced nuclear facility.

(g) REGULATIONS.-

(1) IN GENERAL.-Subject to paragraphs (2) and (3), the

Secretary shall issue such regulations as are necessary to carry out

this section.

(2) INTERIM FINAL RULEMAKING.-Not later than 270

days after the date of enactment of this Act, the Secretary shall

issue for public comment an interim final rule regulating contracts

authorized by this section.

(3) NOTICE OF FINAL RULEMAKING.-Not later than I

year after the date of enactment of this Act, the Secretary shall

issue a notice of final rulemaking regulating the contracts.

(h) AUTHORIZATION OF APPROPRIATIONS.-There are

authorized to be appropriated such sums as are necessary to carry out this

section.

Subtitle C-Next Generation Nuclear

Plant Project

Sec. 641. Project Establishment 7

(a) ESTABLISHMENT-The Secretary shall establish a project to be

known as the "Next Generation Nuclear Plant Project" (referred to in this

subtitle as the "Project").

(b) CONTENT.-The Project shall consist of the research,

development, design, construction, and operation of a prototype plant,

including a nuclear reactor that-

(1) is based on research and development activities supported by

the Generation IV Nuclear Energy Systems Initiative under section

942(d); and

(2) shall be used-

(A) to generate electricity;

(B) to produce hydrogen; or

(C) both to generate electricity and to produce hydrogen.

42 USC 16021.

7

P.L. 109-58, 119 Stat. 794 (2005), added section 641.
1002 Misc. Provisions from Energy Pol. Act of 2005 (P.L. 109-58)

42 USC 16022. Sec. 642. Project Management 8

(a) DEPARTMENTAL MANAGEMENT.-

(]) IN GENERAL.-The Project shall be managed in the

Department by the Office of Nuclear Energy, Science, and

Technology.

(2) GENERATION IV NUCLEAR ENERGY SYSTEMS

PROGRAM.-The Secretary may combine the Project with the

Generation IV Nuclear Energy Systems Initiative.

(3) EXISTING DOE PROJECT MANAGEMENT EXPERTISE.-

The Secretary may utilize capabilities for review of construction

projects for advanced scientific facilities within the Office of Science

to track the progress of the Project.

(b) LABORATORY MANAGEMENT.-

(1) LEAD LABORATORY.-The Idaho National Laboratory shall

be the lead National Laboratory for the Project and shall collaborate

with other National Laboratories, institutions of higher education,

other research institutes, industrial researchers, and international

researchers to carry out the Project.

(2) INDUSTRIAL PARTNERSHIPS.-

(A) IN GENERAL.-The Idaho National Laboratory shall

organize a consortium of appropriate industrial partners that

will carry out cost-shared research, development, design, and

construction activities, and operate research facilities, on

behalf of the Project.

(B) COST-SHARING.-Activities of industrial partners

funded by the Project shall be cost-shared in accordance with

section 988.

(C) PREFERENCE.-Preference in determining the final

structure of the consortium or any partnerships under this

subtitle shall be given to a structure (including designating as

a lead industrial partner an entity incorporated in the United

States) that retains United States technological leadership in

the Project while maximizing cost sharing opportunities and

minimizing Federal funding responsibilities.

(3) PROTOTYPE PLANT SITING.-The prototype nuclear

reactor and associated plant shall be sited at the Idaho National

Laboratory in Idaho.

(4) REACTOR TEST CAPABILITIES.-The Project shall use, if

appropriate, reactor test capabilities at the Idaho National Laboratory.

(5) OTHER LABORATORY CAPABILITIES.-The Project may

use, if appropriate, facilities at other National Laboratories.

42 USC 16023. Sec. 643. Project Organization 9

(a) MAJOR PROJECT ELEMENTS.-The Project shall consist of the

following major program elements:

(1) High-temperature hydrogen production technology

development and validation.

(2) Energy conversion technology development and validation.

(3) Nuclear fuel development, characterization, and qualification.

(4) Materials selection, development, testing, and qualification.

(5) Reactor and balance-of-plant design, engineering, safety

analysis, and qualification.

'P.L. 109-58, 119 Stat. 795 (2005), added section 642.

'P.L. 109-58, 119 Slat. 795 (2005), added section 643.
Misc. Provisions from Energy Pol. Act of 2005 (P.L. 109-58) 1003

(b) PROJECT PHASES.-The Project shall be conducted in the

following phases:

(1) FIRST PROJECT PHASE.-A first project phase shall be

conducted to-

(A) select and validate the appropriate technology under

subsection (a)(1);

(B) carry out enabling research, development, and

demonstration activities on technologies and components under

paragraphs (2) through (4) of subsection (a);

(C) determine whether it is appropriate to combine electricity

generation and hydrogen production in a single prototype nuclear

reactor and plant; and

(D) carry out initial design activities for a prototype nuclear

reactor and plant, including development of design methods and

safety analytical methods and studies under subsection (a)(5).

(2) SECOND PROJECT PHASE.-A second project phase shall

be conducted to-.

(A) continue appropriate activities under paragraphs (I)

through (5) of subsection (a);

(B) develop, through a competitive process, a final design for

the prototype nuclear reactor and plant;

(C) apply for licenses to construct and operate the prototype

nuclear reactor from the Nuclear Regulatory Commission; and

(D) construct and start up operations of the prototype nuclear

reactor and its associated hydrogen or electricity production

facilities.

(c) PROJECT REQUIREMENTS.-

(1) IN GENERAL.-The Secretary shall ensure that the Project is

structured so as to maximize the technical interchange and transfer of

technologies and ideas into the Project from other sources of relevant

expertise, including-

(A) the nuclear power industry, including nuclear power plant

construction firms, particularly with respect to issues associated

with plant design, construction, and operational and safety issues;

(B) the chemical processing industry, particularly with respect

to issues relating to-

(i) the use of process energy for production of hydrogen;

and

(ii) the integration of technologies developed by the

Project into chemical processing environments; and

(C) international efforts in areas related to the Project,

particularly with respect to hydrogen production technologies.

(2) INTERNATIONAL COLLABORATION.-

(A) IN GENERAL.-The Secretary shall seek international

cooperation, participation, and financial contributions for the

Project.

(B) ASSISTANCE FROM INTERNATIONAL PARTNERS.-

The Secretary, through the Idaho National Laboratory, may

contract for assistance from specialists or facilities from member

countries of the Generation IV International Forum, the Russian

Federation, or other international partners if the specialists or

facilities provide access to cost-effective and relevant skills or test

capabilities.

(C) PARTNER NATIONS.-The Project may involve

demonstration of selected project objectives in a partner country.
1004 Misc. Provisions from Energy Pol. Act of 2005 (P.L. 109-58)

(D) GENERATION IV INTERNATIONAL FORUM-The

Secretary shall ensure that international activities of the Project

are coordinated with the Generation IV International Forum.

(3) REVIEW BY NUCLEAR ENERGY RESEARCH

ADVISORY COMMITTEE.-

(A) IN GENERAL.-The Nuclear Energy Research Advisory

Committee of the Department (referred to in this paragraph as the

"NERAC") shall-

(i) review all program plans for the Project and all progress

under the Project on an ongoing basis; and (ii) ensure that important scientific, technical, safety, and

program management issues receive attention in the Project

and by the Secretary.

(B) ADDITIONAL EXPERTISE.-The NERAC shall

supplement the expertise of the NERAC or appoint subpanels to

incorporate into the review by the NERAC the relevant sources of

expertise described under paragraph ( I ).

(C) INITIAL REVIEW.-Not later than 180 days after the date

of enactment of this Act, the NERAC shall-

(i) review existing program plans for the Project in light of

the recommendations of the document entitled "Design

Features and Technology Uncertainties for the Next

Generation Nuclear Plant," dated June 30, 2004; and

(ii) address any recommendations of the document not

incorporated in program plans for the Project.

(D) FIRST PROJECT PHASE REVIEW.-On a determination

by the Secretary that the appropriate activities under the first

project phase under subsection (b)(1) are nearly complete, the

Secretary shall request the NERAC to conduct a comprehensive

review of the Project and to report to the Secretary the

recommendation of the NERAC concerning whether the Project is

ready to proceed to the second project phase under subsection

(b)(2).

(E) TRANSMITTAL OF REPORTS TO CONGRESS.-Not

later than 60 days after receiving any report from the NERAC

related to the Project, the Secretary shall submit to the appropriate

committees of the Senate and the House of Representatives a copy

of the report, along with any additional views of the Secretary that

the Secretary may consider appropriate.

Sec. 644. Nuclear Regulatory Commission 10

(a) IN GENERAL.-In accordance with section 202 of the Energy

Reorganization Act of 1974 (42 U.S.C. 5842), the Nuclear Regulatory

Commission shall have licensing and regulatory authority for any reactor

authorized under this subtitle.

(b) LICENSING STRATEGY.-Not later than 3 years after the date of

enactment of this Act, the Secretary and the Chairman of the Nuclear

Regulatory Commission shall jointly submit to the appropriate

committees of the Senate and the House of Representatives a licensing

strategy for the prototype nuclear reactor, including-

(I) a description of ways in which current licensing requirements

relating to light-water reactors need to be adapted for the types of

prototype nuclear reactor being considered by the Project;

42 USC 16024.

Deadline.

"'P.L. 109-58, 119 Stat. 797 (2005), added section 644.
Misc. Provisions from Enerv Pol. Act of 2005 (P.L. 109-58) 1005

42 USC 16025.

Deadline.

Reports.

Deadline.

Reports.

(2) a description of analytical tools that the Nuclear Regulatory

Commission will have to develop to independently verify designs and

performance characteristics of components, equipment, systems, or

structures associated with the prototype nuclear reactor;

(3) other research or development activities that may be required

on the part of the Nuclear Regulatory Commission in order to review

a license application for the prototype nuclear reactor; and

(4) an estimate of the budgetary requirements associated with the

licensing strategy.

(c) ONGOING INTERACTION.-The Secretary shall seek the active

participation of the Nuclear Regulatory Commission throughout the

duration of the Project to-

(I) avoid design decisions that will compromise adequate safety

margins in the design of the reactor or impair the accessibility of

nuclear safety-related components of the prototype reactor for

inspection and maintenance;

(2) develop tools to facilitate inspection and maintenance needed

for safety purposes; and

(3) develop risk-based criteria for any future commercial

development of a similar reactor architectures.

See. 645. Project Timelines And Authorization Of Appropriations"

(a)TARGET DATE TO COMPLETE THE FIRST PROJECT

PHASE.-Not later than September 30, 2011, the Secretary shall-

(1) select the technology to be used by the Project for hightemperature hydrogen productions and the initial design parameters for

the prototype nuclear plant; or

(2) submit to Congress a report establishing an alternative date for

making the selection.

(b) DESIGN COMPETITION FOR SECOND PROJECT PHASE.-

(I) IN GENERAL.-The Secretary, acting through the Idaho

National Laboratory, shall fund not more than 4 teams for not more

than 2 years to develop detailed proposals for competitive evaluation

and selection of a single proposal for a final design of the prototype

nuclear reactor.

(2) SYSTEMS INTEGRATION.-The Secretary may structure

Project activities in the second project phase to use the lead industrial

partner of the competitively selected design under paragraph (1) in a

systems integration role for final design and construction of the

Project.

(c) TARGET DATE TO COMPLETE PROJECT

CONSTRUCTION.-Not later than September 30, 2021, the Secretary

shall-

(I) complete construction and begin operations of the prototype

nuclear reactor and associated energy or hydrogen facilities; or

(2) submit to Congress a report establishing an alternative date for

completion.

(d) AUTHORIZATION OF APPROPRIATIONS.-There is

authorized to be appropriated to the Secretary for research and

construction activities under this subtitle (including for transfer to the

Nuclear Regulatory Commission for activities under section 644 as

appropriate)-

(1) $1,250,000,000 for the period of fiscal years 2006 through

2015; and

"P.L. 109-58, 119 Stat. 798 (2005), added section 645.
42 USC 16042.

42 USC 16271.

1006 Misc. Provisions from Energy Pol. Act of 2005 (P.L. 109-58)

(2) such sums as are necessary for each of fiscal years 2016

through 202 1.

Sec. 657. Department Of Homeland Security Consultation' 2

Before issuing a license for a utilization facility, the Nuclear

Regulatory Commission shall consult with the Department of Homeland

Security concerning the potential vulnerabilities of the location of the

proposed facility to terrorist attack.

Sec. 951. Nuclear Energy 13

(a) IN GENERAL.-The Secretary shall conduct programs of civilian

nuclear energy research, development, demonstration, and commercial

application, including activities described in this subtitle. Programs under

this subtitle shall take into consideration the following objectives:

(I) Enhancing nuclear power's viability as part of the United

States energy portfolio.

(2) Providing the technical means to reduce the likelihood of

nuclear proliferation.

(3) Maintaining a cadre of nuclear scientists and engineers.

(4) Maintaining National Laboratory and university nuclear

programs, including their infrastructure.

(5) Supporting both individual researchers and multidisciplinary

teams of researchers to pioneer new approaches in nuclear energy,

science, and technology.

(6) Developing, planning, constructing, acquiring, and operating

special equipment and facilities for the use of researchers.

(7) Supporting technology transfer and other appropriate activities

to assist the nuclear energy industry, and other users of nuclear

science and engineering, including activities addressing reliability,

availability, productivity, component aging, safety, and security of

nuclear power plants.

(8) Reducing the environmental impact of nuclear energy related

activities.

(b) AUTHORIZATION OF APPROPRIATIONS FOR CORE

PROGRAMS.-There are authorized to be appropriated to the Secretary

to carry out nuclear energy research, development, demonstration, and

commercial application activities, including activities authorized under

this subtitle, other than those described in subsection (c)-

(I) $330,000,000 for fiscal year 2007;

(2) $355,000,000 for fiscal year 2008; and

(3) $495,000,000 for fiscal year 2009.

(c) NUCLEAR INFRASTRUCTURE AND FACILITIES.-There are

authorized to be appropriated to the Secretary to carry out activities under

section 955-

(1) $135,000,000 for fiscal year 2007;

(2) $140,000,000 for fiscal year 2008; and

(3) $145,000,000 for fiscal year 2009.

(d) ALLOCATIONS.-From amounts authorized under subsection (a),

the following sums are authorized:

(I) For activities under section 953-

(A) $150,000,000 for fiscal year 2007;

(B) $155,000,000 for fiscal year 2008; and

(C) $275,000,000 for fiscal year 2009.

(2) For activities under section 954-

"P.L. 109-58, 119 Stat. 814 (2005), added section 657.

'P.L. 109-58, 119 Slat. 884 (2005), added section 951.
Misc. Provisions from Enerev Pol. Act of 2005 (P.L. 109-58) 1007

42 USC 16272.

(A) $43,600,000 for fiscal year 2007;

(B) $50,100,000 for fiscal year 2008; and

(C) $56,000,000 for fiscal year 2009.

(3) For activities under section 957, $6,000,000 for each of fiscal

years 2007 through 2009.

(e) LIMITATION.-None of the funds authorized under this section

may be used to decommission the Fast Flux Test Facility.

Sec. 952. Nuclear Energy Research Programs14

(a) NUCLEAR ENERGY RESEARCH INITIATIVE.-The Secretary

shall carry out a Nuclear Energy Research Initiative for research and

development related to nuclear energy.

(b) NUCLEAR ENERGY SYSTEMS SUPPORT PROGRAM.-The

Secretary shall carry out a Nuclear Energy Systems Support Program to

support research and development activities addressing reliability,

availability, productivity, component aging, safety, and security of

existing nuclear power plants.

(c) NUCLEAR POWER 2010 PROGRAM.-

(]) IN GENERAL.-The Secretary shall carry out a Nuclear

Power 2010 Program, consistent with recommendations of the

Nuclear Energy Research Advisory Committee of the Department

in the report entitled "A Roadmap to Deploy New Nuclear Power

Plants in the United States by 2010" and dated October 2001.

(2) ADMINISTRATION.-The Program shall include-

(A) use of the expertise and capabilities of industry,

institutions of higher education, and National Laboratories in

evaluation of advanced nuclear fuel cycles and fuels testing;

(B) consideration of a variety of reactor designs suitable

for both developed and developing nations;

(C) participation of international collaborators in research,

development, and design efforts, as appropriate; and

(D) encouragement for participation by institutions of

higher education and industry.

(d) GENERATION IV NUCLEAR ENERGY SYSTEMS

INITIATIVE.-

(1) IN GENERAL.-The Secretary shall carry out a Generation IV

Nuclear Energy Systems Initiative to develop an overall technology

plan for and to support research and development necessary to make

an informed technical decision about the most promising candidates

for eventual commercial application.

(2) ADMINISTRATION.-In conducting the Initiative, the

Secretary shall examine advanced proliferation-resistant and

passively safe reactor designs, including designs that-

(A) are economically competitive with other electric power

generation plants;

(B) have higher efficiency, lower cost, and improved safety

compared to reactors in operation on the date of enactment of this

Act;

(C) use fuels that are proliferation resistant and have

substantially reduced production of high-level waste per unit of

output; and

(D) use improved instrumentation.

"

4

P.L. 109-58, 119 Stat. 885 (2005), added section 952.
42 USC 16273.

42 USC 16274.

1008 Misc. Provisions from Energy Pol. Act of 2005 (P.L. 109-58)

(e) REACTOR PRODUCTION OF HYDROGEN.-The Secretary

shall carry out research to examine designs for high-temperature reactors

capable of producing large-scale quantities of hydrogen.

Sec. 953. Advanced Fuel Cycle Initiative 15

(a) IN GENERAL.-The Secretary, acting through the Director of the

Office of Nuclear Energy, Science and Technology, shall conduct an

advanced fuel recycling technology research, development, and

demonstration program (referred to in this section as the "program") to

evaluate proliferation-resistant fuel recycling and transmutation

technologies that minimize environmental and public health and safety

impacts as an alternative to aqueous reprocessing technologies deployed

as of the date of enactment of this Act in support of evaluation of

alternative national strategies for spent nuclear fuel and the Generation

IV advanced reactor concepts.

(b) ANNUAL REVIEW.-The program shall be subject to annual

review by the Nuclear Energy Research Advisory Committee of the

Department or other independent entity, as appropriate.

(c) INTERNATIONAL COOPERATION.-ln carrying out the

program, the Secretary is encouraged to seek opportunities to enhance the'

progress of the program through international cooperation.

(d) REPORTS.-The Secretary shall submit, as part of the annual

budget submission of the Department, a report on the activities of the

program.

Sec. 954. University Nuclear Science And Engineering Support' 6

(a) IN GENERAL.-The Secretary shall conduct a program to invest

in

human resources and infrastructure in the nuclear sciences and related

fields, including health physics, nuclear engineering, and radiochemistry,

consistent with missions of the Department related to civilian nuclear

research, development, demonstration, and commercial application.

(b) REQUIREMENTS.-In carrying out the program under this

section, the Secretary shall-

(1) conduct a graduate and undergraduate fellowship program to

attract new and talented students, which may include fellowships for

students to spend time at National Laboratories in the areas of nuclear

science, engineering, and health physics with a member of the

National Laboratory staff acting as a mentor;

(2) conduct a junior faculty research initiation grant program to

assist universities in recruiting and retaining new faculty in the

nuclear sciences and engineering by awarding grants to junior faculty

for research on issues related to nuclear energy engineering and

science;

(3) support fundamental nuclear sciences, engineering, and health

physics research through a nuclear engineering education and

research program;

(4) encourage collaborative nuclear research among industry,

National Laboratories, and universities; and

(5) support communication and outreach related to nuclear

science, engineering, and health physics.

(c) UNIVERSITY-NATIONAL LABORATORY INTERACTIONS.

- The Secretary shall conduct-

"P.L. 109-58, 119 Stat. 886 (2005), added section 953. '

6

P.L. 109-58, 119 Stat. 886 (2005), added section 954.
Misc. Provisions from Energy Pol. Act of 2005 (P.L. 109-58) 1009

(1) a fellowship program for professors at universities to spend

sabbaticals at National Laboratories in the areas of nuclear science

and technology; and

(2) a visiting scientist program in which National Laboratory staff

can spend time in academic nuclear science and engineering

departments.

(d) STRENGTHENING UNIVERSITY RESEARCH AND

TRAINING REACTORS AND ASSOCIATED INFRASTRUCTURE.-

In carrying out the program under this section, the Secretary may

support-

(1) converting research reactors from high-enrichment fuels to

low-enrichment fuels and upgrading operational instrumentation;

(2) consortia of universities to broaden access to university

research reactors;

(3) student training programs, in collaboration with the United

States nuclear industry, in relicensing and upgrading reactors,

including through the provision of technical assistance, and

(4) reactor improvements as part of a taking into consideration

effort that emphasizes research, training, and education, including

through the Innovations in Nuclear Infrastructure and Education

Program or any similar program.

(e) OPERATIONS AND MAINTENANCE.-Funding for a project

provided under this section may be used for a portion of the operating

and maintenance costs of a research reactor at a university used in the

project.

(I) DEFINITION.-In this section, the term "junior faculty" means a

faculty member who was awarded a doctorate less than 10 years before

receipt of an award from the grant program described in subsection

(b)(2).

Sec. 955. De artment Of Energy Civilian Nuclear Infrastructure

And FacilitiesP-7

(a) IN GENERAL.-The Secretary shall operate and maintain

infrastructure and facilities to support the nuclear energy research,

development, demonstration, and commercial application programs,

including radiological facilities management, isotope production, and

facilities management.

(b) DUTIES.-In carrying out this section, the Secretary shall-

(I) develop an inventory of nuclear science and engineering

facilities, equipment, expertise, and other assets at all of the National

Laboratories;

(2) develop a prioritized list of nuclear science and engineering

plant and equipment improvements needed at each of the National

Laboratories;

(3) consider the available facilities and expertise at all National

Laboratories and emphasize investments which complement rather

than duplicate capabilities; and

(4) develop a timeline and a proposed budget for the completion

of deferred maintenance on plant and equipment, with the goal of

ensuring that Department programs under this subtitle will be

generally recognized to be among the best in the world.

(c) PLAN.-The Secretary shall develop a comprehensive plan for the

facilities at the Idaho National Laboratory, especially taking into account

42 USC 16275.

'

7 P.L. 109-58, 119 Stat. 887 (2005), added section 955.
1010 Misc. Provisions from Energy Pol. Act of 2005 (P.L. 109-58)

the resources available at other National Laboratories. In developing the

plan, the Secretary shall-

(]) evaluate the facilities planning processes utilized by other

physical science and engineering research and development

institutions, both in the United States and abroad, that are generally

recognized as being among the best in the world, and consider how

those processes might be adapted toward developing such facilities

plan;

(2) avoid duplicating, moving, or transferring nuclear science and

engineering facilities, equipment, expertise, and other assets that

currently exist at other National Laboratories;

(3) consider the establishment of a national transuranic analytic

chemistry laboratory as a user facility at the Idaho National

Laboratory;

(4) include a plan to develop, if feasible, the Advanced Test

Reactor and Test Reactor Area into a user facility that is more readily

accessible to academic and industrial researchers;

(5) consider the establishment of a fast neutron source as a user

facility;

(6) consider the establishment of new hot cells and the

configuration of hot cells most likely to advance research,

development, demonstration, and commercial application in nuclear

science and engineering, especially in the context of the condition and

availability of these facilities elsewhere in the National Laboratories;

and

(7) include a timeline and a proposed budget for the completion of

deferred maintenance on plant and equipment.

(d) TRANSMITTAL TO CONGRESS.-Not later than 1 year after the

date of enactment of this Act, the Secretary shall transmit the plan under

subsection (c) to Congress.

See. 956. Security Of Nuclear Facilities

The Secretary, acting through the Director of the Office of Nuclear

Energy, Science and Technology, shall conduct a research and

development program on cost-effective technologies for increasing-

(1) the safety of nuclear facilities from natural phenomena; and

(2) the security of nuclear facilities from deliberate attacks.

See. 957. Alternatives To Industrial Radioactive Sources' 9

(a) SURVEY.-

(1) IN GENERAL.-Not later than August 1, 2006, the Secretary

shall submit to Congress the results of a survey of industrial

applications of large radioactive sources.

(2) ADMINISTRATION.-The survey shall-

(A) consider well-logging sources as one class of industrial

sources;

(B) include information on current domestic and international

Department, Department of Defense, State Department, and

commercial programs to manage and dispose of radioactive

sources; and

(C) analyze available disposal options for currently deployed

or future sources and, if deficiencies are noted for either deployed

or future sources, recommend legislative options that Congress

may consider to remedy identified deficiencies.

Deadline.

42 USC 16276.

42 USC 16277.

Deadline.

'P.L. 109-58, 119 Stat. 888 (2005), added section 956. 'qP.L. 109-58, 119 Stat. 888 (2005), added section 957.
Misc. Provisions from Energy Pol. Act of 2005 (P.L. 109-58) 1011

(b) PLAN.-

(1) IN GENERAL-In conjunction with the survey conducted

under subsection (a), the Secretary shall establish a research and

development program to develop alternatives to sources described in

subsection (a) that reduce safety, environmental, or proliferation risks

to either workers using the sources or the public.

(2) ACCELERATORS.-Miniaturized particle accelerators for

well-logging or other industrial applications and portable accelerators

for production of short-lived radioactive materials at an industrial site

shall be considered as part of the research and development efforts.

(3) REPORT.-Not later than August I, 2006, the Secretary shall

submit to Congress a report describing the details of the program

plan.
1012 E.O. 12656-Emergency Preparedness Responsibilities

H. EXECUTIVE ORDER 12656-ASSIGNMENT OF EMERGENCY

PREPAREDNESS RESPONSIBILITIES

November 18, 1988, 53 F.R. 47491

WHEREAS our national security is dependent upon our ability to assure continuity

of government, at every level, in any national security emergency situation that might

confront the Nation; and

WHEREAS effective national preparedness planning to meet such an emergency,

including a massive nuclear attack, is essential to our national survival; and

WHEREAS effective national preparedness planning requires the identification of

functions that would have to be performed during such an emergency, the assignment of

responsibility for developing plans for performing these functions, and the assignment of

responsibility for developing the capability to implement those plans; and

WHEREAS the Congress has directed the development of such national security

emergency preparedness plans and has provided funds for the accomplishment thereof;

NOW, THEREFORE, by virtue of the authority vested in me as President by the

Constitution and laws of the United States of America, and pursuant to Reorganization

Plan No. I of 1958 (72 Stat. 1799), the National Security Act of 1947, as amended, the

Defense Production Act of 1950, as amended, and the Federal Civil Defense Act, as

amended, it is hereby ordered that the responsibilities of the Federal departments and

agencies in national security emergencies shall be as follows:

Part 1-Preamble

Section 101. National Security Emergency Preparedness Policy

(a) The policy of the United States is to have sufficient capabilities at all levels of

government to meet essential defense and civilian needs during any national security

emergency. A national security emergency is any occurrence, including natural disaster,

military attack, technological emergency, or other emergency, that seriously degrades or

seriously threatens the national security of the United States. Policy for national security

emergency preparedness shall be established by the President. Pursuant to the President's

direction, the National Security Council shall be responsible for developing and

administering such policy, except that the Homeland Security Council shall be

responsible for administering such policy with respect to terrorist threats and attacks

within the United States.' All national security emergency preparedness activities shall

be consistent with the Constitution and laws of the United States and with preservation

of the constitutional government of the United States.

(b) Effective national security emergency preparedness planning requires:

identification of functions that would have to be performed during such an emergency;

development of plans for performing these functions; and development of the capability

to execute those plans.

Section 102. Purpose

(a) The purpose of this Order is to assign national security emergency preparedness

responsibilities to Federal departments and agencies. These assignments are based,

whenever possible, on extensions of the regular missions of the departments and

agencies.

(b) This Order does not constitute authority to implement the plans prepared

pursuant to this Order. Plans so developed may be executed only in the event that

authority for such execution is authorized by law.

Section 103. Scope

(a) This Order addresses national security emergency preparedness functions and

activities. As used in this Order, preparedness functions and activities include, as

'Executive Order 13228 (October 15, 2001) amended Sections 101(a), 104(a), 104(b), 104(c), 201(7), 206, and

208 by establishing Homeland Security Council duties.
E.O. 12656-Emergency Preparedness Responsibilities 1013

appropriate, policies, plans, procedure, and readiness measures that enhance the ability

of the United States Government to mobilize for, respond to, and recover from a national

security emergency.

(b) This Order does not apply to those natural disasters, technological emergencies, or other emergencies, the alleviation of which is normally the responsibility of

individuals, the private sector, volunteer organizations, State and local governments, and

Federal departments and agencies unless such situations also constitute a national

security emergency.

(c) This Order does not require the provision of information concerning, or

evaluation of, military policies, plans, programs, or states of military readiness.

(d) This Order does not apply to national security emergency preparedness

telecommunications functions and responsibilities that are otherwise assigned by

Executive Order 12472.

Section 104. Management Of National Security Emergency

(a) The National Security Council is the principal forum for consideration of national

security emergency preparedness policy, except that the Homeland Security Council is

the principal forum for consideration of policy relating to terrorist threats and attacks

within the United States.

(b) The National Security Council shall arrange for Executive branch liaison with,

and assistance to, the Congress and the Federal judiciary on national security-emergency

preparedness matters.

(c) The Secretary of Homeland Security 2 shall serve as an advisor to the National

Security Council and the Homeland Security Council on issues of national security

emergency preparedness, including mobilization preparedness, civil defense, continuity

of government, technological disasters, and other issues, as appropriate. Pursuant to such

procedures for the organization and management of the National Security Council and

Homeland Security Council processes as the President may establish, the Secretary of

Homeland Security also shall assist in the implementation of and management of those

processes as the President may establish. The Secretary of Homeland Security also shall

assist in the implementation of national security emergency preparedness policy by

coordinating with the other Federal departments and agencies and with State and local

governments, and by providing periodic reports to the National Security Council and the

Homeland Security Council on implementation of national security emergency

preparedness policy.

(d) National security emergency preparedness functions that are shared by more than

one agency shall be coordinated by the head of the Federal department or agency having

primary responsibility and shall be supported by the heads of other departments and

agencies having related responsibilities.

(e) There shall be a national security emergency exercise program that shall be

supported by the heads of all appropriate Federal departments and agencies.

(f Plans and procedure will be designed and developed to provide maximum

flexibility to the President for his implementation of emergency actions.

Section 105. Interagency Coordination

(a) All appropriate Cabinet members and agency heads shall be consulted regarding

national security emergency preparedness programs and policy issues. Each department

and agency shall support interagency coordination to improve preparedness and

response to a national security emergency and shall develop and maintain decentralized

capabilities wherever feasible and appropriate.

(b) Each Federal department and agency shall work within the framework

established by, and cooperate with those organizations assigned responsibility in.

Executive Order No. 12472, to ensure adequate national security emergency

2

Executive Order 13286 (February 28, 2003) amended sections 104(c), 201(15), and 701(5) by striking out

"the Director of the Federal Emergency Management Agency" and replacing it with "the Secretary of

I lomeland Security."
1014 E.O. 12656-Emergency Preparedness Responsibilities

preparedness telecommunications in support of the functions and activities addressed by

this Order.

Part 2-General Provisions

Section 201. General

The head of each Federal department and agency. as appropriate, shall:

(1) Be prepared to respond adequately to all national security emergencies, including

those that are international in scope. and those that may occur within any region of the

Nation;

(2) Consider national security emergency preparedness factors in the conduct of his

or her regular functions, particularly those functions essential in time of emergency.

Emergency plans and programs, and an appropriate state of readiness, including

organizational infrastructure, shall be developed as an integral part of the continuing

activities of each Federal department and agency;

(3) Appoint a senior policy official as Emergency Coordinator, responsible for

developing and maintaining a multi-year, national security emergency preparedness plan

for the department or agency to include objectives, programs, and budgetary

requirements;

(4) Design preparedness measures to permit a rapid and effective transition from

routine to emergency operations, and to make effective use of the period following

initial indication ofa probable national security emergency. This will include:

(a) Development of a system of emergency actions that defines alternatives,

processes, and issues to be considered during various stages of national security

emergencies:

(b) Identification of actions that could be taken in the early stages of a national

security emergency or pending national security emergency to mitigate the impact of

or reduce significantly the lead times associated with full emergency action

implementation;

(5) Base national security emergency preparedness measures on the use of existing

authorities, organizations, resources, and systems to the maximum extent practicable;

(6) Identify areas where additional legal authorities may be needed to assist

management and, consistent with applicable Executive orders, take appropriate measures

toward acquiring those authorities;

(7) Make policy recommendations to the National Security Council and the

Homeland Security Council regarding national security emergency preparedness

activities and functions of the Federal Government;

(8) Coordinate with State and local government agencies and other organizations,

including private sector organizations, when appropriate. Federal plans should include

appropriate involvement of and reliance upon private sector organizations in the

response to national security emergencies;

(9) Assist State, local, and private sector entities in developing plans for mitigating

the effects of national security emergencies and for providing services that are essential

to a national response;

(10) Cooperate, to the extent appropriate, in compiling, evaluating, and exchanging

relevant data related to all aspects of national security emergency preparedness;

(11) Develop programs regarding congressional relations and public information that

could be used during national security emergencies;

(12) Ensure a capability to provide, during a national security emergency,

information concerning Acts of Congress, presidential proclamations, Executive orders,

regulations, and notices of other actions to the Archivist of the United States, for

publication in the Federal Register, or to each agency designated to maintain the Federal

Register in an emergency;

(13) Develop and conduct training and education programs that incorporate

emergency preparedness and civil defense information necessary to ensure an effective

national response;
E.O. 12656-Emergency Preparedness Responsibilities 1015

(14) Ensure that plans consider the consequences for essential services provided by

State and local governments, and by the private sector, if the flow of Federal funds is

disrupted;

(15) Consult and coordinate with the Secretary of Homeland Security Agency to

ensure that those activities and plans are consistent with current Presidential guidelines

and policies.'

Section 202. Continuity Of Government

The head of each Federal department and agency shall ensure the continuity of essential

functions in any national security emergency by providing for: succession to office and

emergency delegation of authority in accordance with applicable law; safekeeping of

essential resources, facilities, and records; and establishment of emergency operating

capabilities.

Section 203. Resource Management

The head of each Federal department and agency, as appropriate within assigned areas

of responsibility, shall:

(I) Develop plans and programs to mobilize personnel (including reservist

programs), equipment, facilities, and other resources;

(2) Assess essential emergency requirements and plan for the possible use of

alternative resources to meet essential demands during and following national

security emergencies;

(3) Prepare plans and procedures to share between and among the responsible

agencies resources such an energy, equipment, food, land, materials, minerals,

services, supplies, transportation, water, and workforce needed to carry out assigned

responsibilities and other essential functions, and cooperate with other agencies in

developing programs to ensure availability of such resources in a national security

emergency;

(4) Develop plans to set priorities and allocate resources among civilian and

military claimants;

(5) Identify occupations and skills for which there may be a critical need in the

event of a national security emergency.

Section 204. Protection Of Essential Resources And Facilities

The head of each Federal department and agency, within assigned areas of

responsibility, shall:

(I) Identify facilities and resources, both government and private, essential to the

national defense and national welfare, and assess their vulnerabilities and develop

strategies, plans, and programs to provide for the security of such facilities and

resources, and to avoid or minimize disruptions of essential services during any national

security emergency;

(2) Participate in interagency activities to assess the relative importance of various

facilities and resources to essential military and civilian needs and to integrate

preparedness and response strategies and procedures;

(3) Maintain a capability to assess promptly the effect of attack and other disruptions

during national security emergencies.

Section 205. Federal Benefit, Insurance, And Loan Programs

The head of each Federal department and agency that administers a loan, insurance, or

benefit program that relies upon the Federal Government payment system shall

coordinate with the Secretary of the Treasury in developing plans for the continuation or

restoration, to the extent feasible, of such programs in national security emergencies.

Section 206. Research

The Director of the Office of Science and Technology Policy and the heads of Federal

departments and agencies having significant research and development programs shall

advise the National Security Council and the Homeland Security Council of scientific

'Executive Order 13286 (February 28, 2003) amended section 201(15) by striking out "consistent with current

National Security Council guidelines and policies" in the last sentence.
1016 E.O. 12656-Emergency Preparedness Responsibilities

and technological developments that should be considered in national security

emergency preparedness planning.

Section 207. Redelegation

The head of each Federal department and agency is hereby authorized, to the extent

otherwise permitted by law, to redelegate the functions assigned by this Order, and to

authorize successive redelegations to organizations, officers, or employees within that

department or agency.

Section 208. Transfer Of Functions

Recommendations for interagency transfer of any emergency preparedness function

assigned under this Order or for assignment of any new emergency preparedness

function shall be coordinated with all affected Federal departments and agencies before

submission to the National Security Council or the Homeland Security Council.

Section 209. Retention Of Existing Authority

Nothing in this Order shall be deemed to derogate from assignments of functions to any

Federal department or agency or officer thereof made by law.

Part 7-Department Of Energy

Section 701. Lead Responsibilities

In addition to the applicable responsibilities covered in Parts I and 2, the Secretary of

Energy shall:

(1) Conduct national security emergency preparedness planning, including

capabilities development, and administer operational programs for all energy,

resources, including:

(a) Providing information, in cooperation with Federal, State, and energy

industry officials, on energy supply and demand conditions and on the

requirements for and the availability of materials and services critical to energy

supply systems;

(b) In coordination with appropriate departments and agencies and in

consultation with the energy industry, develop implementation plans and

operational systems for priorities and allocation of all energy resource

requirements for national defense and essential civilian needs to assure national

security emergency preparedness;

(c) Developing, in consultation with the Board of Directors of the Tennessee

Valley Authority, plans necessary for the integration of its power system into the

national supply system;

(2) Identify energy facilities essential to the mobilization, deployment, and

sustainment of resources to support the national security and national welfare, and

develop energy supply and demand strategies to ensure continued provision of

minimum essential services in national security emergencies;

(3) In coordination with the Secretary of Defense, ensure continuity of nuclear

weapons production consistent with national security requirements;

(4) Assure the security of nuclear materials, nuclear weapons, or devices in the

custody of the Department of Energy, as well as the security of all other Department

of Energy programs and facilities;

(5) In consultation with the Secretaries of State and Defense and the Secretary of

Homeland Security, conduct appropriate international liaison activities pertaining to

matters within the jurisdiction of the Department of Enerjy;

(6) In consultation with the Secretaries of State, Defense, and Homeland

Security5 , the Members of the Nuclear Regulatory Commission, and others, as required, develop plans and capabilities for identification, analysis, damage

assessment, and mitigation of hazards from nuclear weapons, materials, and devices;

4

Executive Order 13286 (February 28, 2003) struck out "and" and inscrtcd a comma after "state." 5

Executive Order 13286 (February 28, 2003) inserted "Homeland Security" and struck out "the Director of the

Federal Emergency Management Agency."
E.O. 12656-Emergency Preparedness Responsibilities 1017

(7) Coordinate with the Secretary of Transportation in the planning and

management of transportation resources involved in the bulk movement of energy;

(8) At the request of or with the concurrence of the Nuclear Regulatory

Commission and in consultation with the Secretary of Defense, recapture special

nuclear materials from Nuclear Regulatory Commission licensees where necessary to assure the use, preservation, or safeguarding of such material for the common

defense and security;

(9) Develop national security emergency operational procedures for the control,

utilization, acquisition, leasing, assignment, and priority of occupancy of real

property within the jurisdiction of the Department of Energy;

(10) Manage all emergency planning and response activities pertaining to

Department of Energy nuclear facilities.

Section 702. Support Responsibilities

The Secretary of Energy shall:

(I) Provide advice and assistance, in coordination with appropriate agencies, to

Federal, State, local officials and private sector organizations to assess the radiological

impact associated with national security emergencies;

(2) Coordinate with the Secretaries of Defense and the Interior regarding the

operation of hydroelectric projects to assure maximum energy output;

(3) Support the Secretary of Housing and Urban Development and the heads of other

agencies, as appropriate, in the development of plans to restore community facilities;

(4) Coordinate with the Secretary of Agriculture regarding the emergency

preparedness of the rural electric supply systems throughout the Nation and the

assignment of emergency preparedness responsibilities to the Rural Electrification

Administration.

Part 21-Nuclear Regulatory Commission

Section 2101. Lead Responsibilities

In addition to the applicable responsibilities covered in Parts I and 2, the Members of

the Nuclear Regulatory Commission shall:

(1) Promote the development and maintenance of national security emergency

preparedness programs through security and safeguards programs by licensed facilities

and activities;

(2) Develop plans to suspend any licenses granted by the Commission; to order the

operations of any facility licensed under section 103 or 104; Atomic Energy Act of

1954, as amended (42 U.S.C. 2133 or 2134); to order the entry into any plant or facility in order to recapture special nuclear material as determined under Subsection (3) below;

and operate such facilities;

(3) Recapture or authorize recapture of special nuclear materials from licensees

where necessary to assure the use, preservation, or safeguarding of such materials for the common defense and security, as determined by the Commission or as requested by the

Secretary of Energy.

Section 2102. Support Responsibilities

The Members of the Nuclear Regulatory Commission shall:

(I) Assist the Secretary of Energy in assessing damage to Commission-licensed

facilities, identifying useable facilities, and estimating the time and actions necessary to

restart inoperative facilities;

(2) Provide advice and technical assistance to Federal, State, and local officials and

private sector organizations regarding radiation hazards and protective actions in

national security emergencies.
1018 E.O. 12656-Emergency Preparedness Responsibilities

Part 29-General

Section 2901.

Executive Order Nos. 10421 and 11490, as amended, are hereby revoked. This Order

shall be effective immediately.

Ronald Reagan

The White House,

November 18, 1988
E.O. 12657-DHS Assistance in Emergency Preparedness Planning 1019

I. EXECUTIVE ORDER 12657-DEPARTMENT OF HOMELAND

SECURITY ASSISTANCE IN EMERGENCY PREPAREDNESS PLANNING AT

COMMERCIAL NUCLEAR POWER PLANTS'

Executive Order 12657 of November 18, 1988

By the authority vested in me as President by the Constitution and laws of the United

States of America, including the Federal Civil Defense Act of 1950, as amended (50

U.S.C. App. 225 et seq.), the Disaster Relief Act of 1974, as amended (42 U.S.C. 512 et

seq.), the Atomic Energy Act of 1954, as amended (42 U.S.C. 201 et seq.),

Reorganization Plan No. I of 1958, Reorganization Plan No. I of 1973, and section 301

of Title 3 of the United States Code, and in order to ensure that plans and procedures are

in place to respond to radiological emergencies at commercial nuclear power plants in

operation or under construction, it is hereby ordered as follows:

Section 1. Scope.

(a) This Order applies whenever State or local governments, either individually or

together, decline or fail to prepare commercial nuclear power plant radiological

emergency preparedness plans that are sufficient to satisfy Nuclear Regulatory

Commission ("NRC") licensing requirements or to participate adequately in the

preparation, demonstration, testing, exercise, or use of such plans.

(b) In order to request the assistance of the Department of Homeland Security

("DHS") provided for in this Order, an affected nuclear power plant applicant or

licensee ("licensee") shall certify in writing to FEMA that the situation described in

Subsection (a) exists.

Section 2. General Applicable Principles And Directives

(a) Subject to the principles articulated in this Section, the Secretary of Homeland

Security is hereby authorized and directed to take the actions specified in sections 3

through 6 of this Order.

(b) In carrying out any of its responsibilities under this Order, DHS:

(1) shall work actively with the licensee, and, before relying upon its resources or

those of any other Department or agency within the Executive Branch, shall make

maximum feasible use of the licensee's resources;

(2) shall take care not to supplant State and local resources. DHS shall substitute

its own resources for those of the State and local governments only to the extent

necessary to compensate for the nonparticipation or inadequate participation of those

governments, and only as a last resort after appropriate consultation with the

Governors and responsible local officials in the affected area regarding State and

local participation;

(3) is authorized, to the extent permitted by law, to enter into interagency

Memoranda of Understanding providing for utilization of the resources of other

Executive branch Departments and agencies and for delegation to other Executive

branch Departments and agencies of any of the functions and duties assigned to DHS

under this Order; however, any such Memorandum of Understanding shall be subject

to approval by the Director of the Office of Management and Budget ("OMB") and

published in final form in the Federal Register, and

(4) shall assume for purposes of sections 3 and 4 of this Order that, in the event

of an actual radiological emergency or disaster, State and local authorities would

contribute their full resources and exercise their authorities in accordance with their

duties to protect the public from harm and would act generally in conformity with

the licensee's radiological emergency preparedness plan.

'Executive Order 13286 amends this Executive Order by striking out some of the references to the Federal

Emergency Management Agency and its Director and replacing them with Department of Homeland Security and its Secretary.

1019
1020 E.O. 12657-DHS Assistance in Emergency Preparedness Planning

(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:

(I) that DHS has utilized to the maximum extent possible the resources of the

licensee and State and local governments before it relies upon its appropriated and

lawfully available resources or those of any'Department or agency in the Executive

branch;

(2) that DHS shall use its existing resources to coordinate and manage, rather

than duplicate, other available resources;

(3) that implementation of this Order is accomplished with an economy of

resources; and

(4) that full reimbursement to the Federal Government is provided, to the extent

permitted by law.

Section 3. FEMA Participation in Emergency Preparedness Planning

(a) DHS assistance in emergency preparedness planning shall include advice,

technical assistance, and arrangements for facilities and resources as needed to satisfy

the emergency planning requirements under the Atomic Energy Act of 1954, as

amended, and any other Federal legislation or regulations pertaining to issuance or retention of a construction permit or an operating license for a nuclear power plant.

(b) DHS shall make all necessary plans and arrangements to ensure that the Federal

Government is prepared to assume any and all functions and undertakings necessary to

provide adequate protection to the public in cases within the scope of this Order. In

making such plans and arrangements,

(1) DHS shall focus planning of Federal response activities to ensure that:

(A) adequate resources and arrangements will exist, as of the time when an

initial response is needed, given the absence or inadequacy of advance State and

local commitments; and

(B) attention has been given to coordinating (including turning over) response

functions when State and local governments do exercise their authority, with

specific attention to the areas where prior State and local participation has been

insufficient or absent;

(2) DHS planning for Federal participation in responding to a radiological

emergency within the scope of this Order shall include, but not be limited to,

arrangements for using existing Federal resources to provide prompt notification of

the emergency to the general public; to assist in any necessary evacuation; to provide

reception centers or shelters and related facilities and services for evacuees; to

provide emergency medical services at Federal hospitals, including those operated by

the military services and by the Veteran's Administration; and to ensure the creation

and maintenance of channels of communication from commercial nuclear power

plant licensees or applicants to State and local governments and to surrounding

members of the public.

Section 4. Evaluation Of Plans

(a) DHS shall consider and evaluate all plans developed under the authority of this

Order as though drafted and submitted by a State or local government.

(b) DHS shall take all actions necessary to carry out the evaluation referred to in the

preceding Subsection and to permit the NRC to conduct its evaluation of radiological

emergency preparedness plans including, but not limited to, planning, participation in,

and evaluating exercises, drills, and tests, on a timely basis, as necessary to satisfy NRC

requirements for demonstrations of off-site radiological emergency preparedness.

Section 5. Response To A Radiological Emergency

(a) In the event of an actual radiological emergency or disaster, DHS shall take all

steps necessary to ensure the implementation of the plans developed under this Order

and shall coordinate the actions of other Federal agencies to achieve the maximum

effectiveness of Federal efforts in responding to the emergency.
E.O. 12657-DHS Assistance in Emergency Preparedness Planning 1021

(b) DHS shall coordinate Federal response activities to ensure that adequate

resources are directed, when an initial response is needed, to activities hindered by the

absence or inadequacy of advance State and local commitments. DHS shall also

coordinate with State and local governmental authorities and turn over response

functions as appropriate when State and local governments do exercise their authority.

(c) DHS shall assume any necessary command-and-control function, or delegate

such function to another Federal agency, in the event that no competent State and local

authority is available to perform such function.

(d) In any instance in which Federal personnel may be called upon, to fill a

command-and-control function during a radiological emergency, in addition to any other

powers it may have, DHS or its designee is authorized to accept volunteer assistance

from utility employees and other nongovernmental personnel for any purpose necessary

to implement the emergency response plan and facilitate off-site emergency response.

Section 6. Implementation Of Order

(a) DHS shall issue interim and final directives and procedures implementing this

Order as expeditiously as is feasible and in any event shall issue interim directives and

procedures not more than 90 days following the effective date of this Order and shall

issue final directives and procedures not more than 180 days following the effective date

of this order.

(b) Immediately upon the effective date of this Order, DHS shall review, and initiate

necessary revisions of all DHS regulations, directives, and guidance to conform them to

the terms and policies of this Order.

(c) Immediately upon the effective date of this Order, DHS shall review, and initiate

necessary renegotiations of, all interagency agreements to which DHS is a party, so as to

conform them to the terms and policies of this Order. This directive shall include, but

not be limited to, the Federal Radiological Emergency Response Plan (50 Fed. Reg.

46542 (November 8, 1985)).

(d) To the extent permitted by law, DHS is directed to obtain full reimbursement,

either jointly or severally, for services performed by DHS or other Federal agencies

pursuant to this Order from any affected licensee and from any affected nonparticipating

or inadequately participating State or local government.

Section 7. Amendments

This Executive Order amends Executive Order Nos. 11490 (34 Fed. Reg. 17567

(October 28, 1969)), 12148 (44 Fed. Reg. 43239 (July 20, 1979)), and 12241 (45 Fed.

Reg. 64879 (September 29, 1980)), and the same are hereby superseded to the extent

that they are inconsistent with this Order.

Ronald Reagan

The White House

November 18, 1988
NRC FORM 335 U.S. NUCLEAREGULATORY COMMISSION 1. REPORT NUMBER (12-2010) (Assigned by NRC, Add Vol.. Sopp., Rev.,

NRCMD 3.7 and Addendum Numbeor, if any.)

BIBLIOGRAPHIC DATA SHEET NUREG 0980

(Seeiinstruei-non the mnlese) Vol. 2, No. 9

2. TITLE AND SUBTITLE 3 DATE REPORT PUBLISHED

Nuclear Regulatory Legislation MONTH YEAR

111 th Congress, 2nd Session February 2011

4. FIN OR GRANT NUMBER

5. AUTHOR(S) 6. TYPE OF REPORT

Compilation of Nuclear Legislation

7. PERIOD COVERED (Inciusre Dates)

LThrough the 11 1th Con. (12/10)

8. PERFORMING ORGANIZATION - NAME AND ADDRESS (If NRC, proeide Division, Offie orRegion, U.S. NeuearoRegulatory Cominiseon. and maovng address; i contrato,.

piovide name and merding address)

Office of the General Counsel

U.S. Nuclear Regulatory Commission

Washington D.C. 20555-0001

9. SPONSORING ORGANIZATION - NAME AND ADDRESS (If NRC. type Samo as abovevs ifcontractoor provde NRC Divsiov. Office or Region. U S Nuvlear Regulatorn Cvrsswon.

and mnading aodreos.)

Same as 8 above

10. SUPPLEMENTARY NOTES

11. ABSTRACT (200 onds 0, Ie)

This document is a compilation of nuclear regulatory legislation and other rele vant material through the 11 1th Congress, 2nd

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 Appropriation Acts. Other materials included are statutes and treaties on export

licensing, nuclear non-proliferation, and environmental protection.

12. KEY WORDSIDESCRIPTORS (Usol ovrdv ophroase that Wole/ssist resesrche-s in locating the rmpoon.) 13. AVAILABILITY STATEMENT

Nuclear Regulatory Legislation; Atomic Energy Act; Energy Reorganization Act; N uclear Waste Policy unlimited

Act; NRC Authorization and Appropriation Acts; Statutes; Treaties; Agrements on Export Licensing and 1' SECURIoY CLASSIFICATION

Non-Proliferation. (This Page)

unclassified

(This Reod)

unclassified

15. NUMBER OF PAGES

16 PRICE

NRC FORM 335 (12-2010)

uaY U.S. GOVERNMENT PRINTING OFFICE: 2011-367-470
Transportation of Hazardous Materials

User Fees

Administrative Law Statutes

NRC Appropriation Acts

NRC Authorization Acts

Chief Financial Officers Legislation

Inspector General Legislation

Information Management Legislation

Environmental Legislation

Miscellaneous Domestic Legislation and Executive Orders