TREATIES AND OTHER INTERNATIONAL ACTS SERIES 12-919 

________________________________________________________________________ 

NUCLEAR SAFETY 

 Arrangement Between the 

UNITED STATES OF AMERICA 

and SWITZERLAND 

Signed at Vienna September 19, 2012 

with 

Addenda 
 NOTE BY THE DEPARTMENT OF STATE 

 Pursuant to Public Law 89—497, approved July 8, 1966 

(80 Stat. 271; 1 U.S.C. 113)—

“. . .the Treaties and Other International Acts Series issued 

under the authority of the Secretary of State shall be competent 

 evidence . . . of the treaties, international agreements other than 

treaties, and proclamations by the President of such treaties and 

international agreements other than treaties, as the case may be, 

therein contained, in all the courts of law and equity and of maritime 

jurisdiction, and in all the tribunals and public offices of the 

United States, and of the several States, without any further proof 

or authentication thereof.” 
SWITZERLAND 

Nuclear Safety 

 Arrangement signed at Vienna 

 September 19, 2012; 

 Entered into force September 19, 2012. 

 With addenda. 

 
ARRANGEMENT

BETWEEN

THE UNITED STATES NUCLEAR REGULATORY

COMMISSION

AND

THE SWISS FEDERAL NUCLEAR SAFETY INSPECTORATE

OF SWITZERLAND

FOR THE EXCHANGE OF TECHNICAL INFORMATION

AND

COOPERATION IN NUCLEAR SAFETY MATTERS

SEPTEMBER 19, 2012
ARRANGEMENT

BETWEEN

THE UNITED STATES NUCLEAR REGULATORY COMMISSION

AND

THE SWISS FEDERAL NUCLEAR SAFETY INSPECTORATE

FOR THE EXCHANGE OF TECHNICAL INFORMATION

COOPERATION IN NUCLEAR SAFETY MATTERS

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

Swiss Federal Nuclear Safety Inspectorate of Switzerland (hereinafter called the ENSI), both

hereinafter called the Parties;

Having a mutual interest, within the framework of their competence, in the exchange of

information and cooperation pertaining to regulatory matters and of standards required or

recommended by their organizations for the regulation of safety and environmental impact of

nuclear facilities;

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

Exchange of Technical Information and Cooperation in Nuclear Safety Matters, signed on

December 9, 1974, between their predecessor agencies, the United States Atomic Energy

Commission and the Swiss Federal Office of Energy;

They or their predecessor agencies having already continued such cooperation for fiveyear periods on August 10, 1982, September 23, 1987, September 23, 1992, September 30,

1997, September 18, 2002, and September 18, 2007; and having indicated their mutual desire

to continue the cooperation for another five years;

Have agreed as follows:
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I. SCOPE OF THE ARRANGEMENT

A. Technical Information Exchange

To the extent that the Parties are permitted to do so under the laws, regulations,

and policy directives of their respective countries, they shall exchange the

following types of unclassified technical information relating to the regulation of

safety, waste management, radiological safety, and environmental impact of

designated nuclear energy facilities and to nuclear safety research programs:

1. Topical reports concerning safety, waste management, radiological

safety, and environmental effects written by or for one of the Parties as a

basis for, or in support of, regulatory decisions and policies.

2. Documents relating to significant licensing actions and safety and

environmental decisions affecting nuclear facilities.

3. Detailed documents describing the USNRC process for licensing and

regulating certain U.S. facilities designated by the ENSI as similar to

certain facilities being built or planned in Switzerland and equivalent

documents on such Swiss facilities.

4. Information in the field of reactor safety research that the Parties have the

right to disclose, either in the possession of .one of the Parties or available

to it, including light water reactor safety information from the technical

areas described in Addenda "A" and "B", attached hereto and made a part

of this Arrangement. Cooperation in these itemized research areas may

require a separate agreement, as determined to be necessary by the

research organizations of one or both of the Parties. Each Party shall

transmit immediately to the other information concerning research results

that requires early attention in the interest of public safety, along with an

indication of significant implications.

5. Reports on operating experience, such as reports on nuclear incidents,

accidents and shutdowns, and compilations of historical reliability data on

components and systems.

6. Regulatory procedures for the safety, waste management, radiological

safety, and environmental impact evaluation of nuclear facilities.

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

government-directed reactor shutdowns, and emerging technical issues,

that are of immediate interest to the Parties.

B. Cooperation in Nuclear Safety Research

The terms of cooperation for joint programs and projects of nuclear safety

research and development, or those programs and projects under which
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activities are divided between the two Parties, including the use of test facilities

and/or computer programs owned by either Party, shall be considered on a caseby-case basis and may be the subject of a separate letter of agreement, if

determined to be necessary by the research organizations of one or both of the

Parties. When not the subject of a separate letter of agreement, the terms of

cooperation may be established by an exchange of letters between the research

organizations of the Parties, and shall be subject to the terms and conditions of

the present Arrangement.

Technical areas specified by such exchanges of letters may be modified

subsequently by mutual consent. Temporary assignments of personnel by one

Party in the other Party's Agency shall also be considered on a case-by-case

basis and shall, in general, require a separate letter of agreement between the

research organizations of the Parties.

C. Training and Assignments

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

appropriated funds, the USNRC shall cooperate with the ENSI in providing

certain training and experience for ENSI safety personnel. Unless otherwise

agreed, costs of salary, allowances, and travel of ENSI participants shall be paid

by the ENSI. The following are typical of, but not necessarily restricted to, the

kinds of training and experience that may be provided:

1. ENSI designated inspector accompaniment of USNRC inspectors on

reactor operation and reactor construction inspection visits in the United

States, including extended briefings at USNRC regional inspection

offices.

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

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

Parties within the USNRC staff to work on USNRC staff duties and gain

on the job experience:

4. Training assignments of the ENSI within the radiation control program in

the United States.

II. ADMINISTRATION

A. The exchange of information under this Arrangement shall be accomplished

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

arranged in advance on a case-by-case basis. Periodic meetings shall be held at

such times as mutually agreed to review the exchange of information and

cooperation under this Arrangement, to recommend revisions to the provisions of

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

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

upon in advance. Visits which take place under the Arrangement, including their
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schedules, shall have the prior approval of the administrators referred to in

paragraph II.B.

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

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

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

all letters unless otherwise agreed. Within the terms of the exchange, the

administrators will be responsible for developing the scope of the exchange,

including agreement on the designation of the nuclear energy facilities subject to

the exchange, and on specific documents and standards to be exchanged. One

or more technical coordinators may be appointed as direct contacts for specific

disciplinary areas. These technical coordinators shall ensure that both

administrators receive copies of all transmittals. These detailed arrangements

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

exchange giving access to equivalent available information is achieved and

maintained.

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

documents exchanged. Each document shall be accompanied by an abstract in

English, 250 words or less, describing its scope and content.

D. The application or use of any information exchanged or transferred between the

Parties under this Arrangement shall be the responsibility of the receiving Party,

and the transmitting Party does not warrant the suitability of such information for

any particular use or application.

E. Recognizing that some information of the type covered in this Arrangement is not

available within the agencies that are Parties to this Arrangement, but is available

from other agencies of the governments of the Parties, each Party shall assist

the other to the maximum extent possible by organizing visits and directing

inquiries concerning such information to appropriate agencies of the government

concerned. The foregoing shall not constitute a commitment of other agencies to

furnish such information or to receive such visitors.

III. EXCHANGE AND USE OF INFORMATION

A. General

The Parties support the widest possible dissemination of information provided or

exchanged under this Arrangement, subject to the requirements of each Party's

national laws, regulations and policies and the need to protect proprietary and

other confidential or privileged information, and subject to the provisions of the

Intellectual Property Annex, which is an integral part of this Arrangement.

B. Definitions

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

safety, waste management, scientific or technical data, including information
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on results or methods of assessment, research, and any other

knowledge provided, created or exchanged under this Arrangement.

2. The term "proprietary information" means information made available under this

Arrangement that contains trade secrets or other privileged or confidential

commercial information (such that the person having the information may derive

a commercial benefit from it or may have a commercial advantage over those

who do not have it), and may only include information that:

a. has been held in confidence by its owner;

b. has not been transmitted by the owner to other entities (including the

receiving Party), except on the basis that it be held in confidence;

c. is not otherwise available to the receiving Party from another source

without restriction on its further dissemination; and

d. is not already in the possession of the receiving Party.

3. The term "other confidential or privileged information" means information, other

than "proprietary information," that has been transmitted and received in

confidence under this Arrangement and is protected from public disclosure under

the laws, regulations, or policies of the country of the Party providing the

information.

C. Marking Procedures for Documentary Proprietary Information

A Party receiving documentary proprietary information pursuant to this

Arrangement shall respect the privileged nature of such information, provided

that such proprietary information is clearly marked with the following (or

substantially similar) restrictive legend:

"This document contains proprietary information furnished in

confidence under an Arrangement dated September 19th, 2012,

between the United States Nuclear Regulatory Commission and

the Swiss Federal Nuclear Safety Inspectorate (ENSI) and shall

not be disseminated outside.these organizations, their

consultants, contractors, and licensees, or concerned

departments and agencies of the Government of the United States

and the Government of Switzerland, without the prior written

approval of (name of transmitting Party). This notice shall be

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

part. These limitations shall automatically terminate when the

proprietary information is disclosed by the owner without

restriction."

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

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

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

Arrangement without the prior written consent of the transmitting Party.

Proprietary information bearing this restrictive legend shall not be used by the
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receiving Party or its contractors and consultants for any commercial purposes

without the prior written consent of the transmitting Party.

D. Dissemination of Documentary Proprietary Information

1. In general, proprietary information received under this Arrangement may

be disseminated by the receiving Party without prior consent to persons

within or employed by the receiving Party, and to concerned Government

departments and Government agencies in the country of the receiving

Party, provided:

a. such dissemination is made on a case-by-case basis; and

b. such proprietary information bears the restrictive legend appearing

in Section 111.C. of this Arrangement.

2. Proprietary information received under this Arrangement may be

disseminated by the receiving Party without prior consent to contractors

and consultants of the receiving Party located within the geographical

limits of that Party's country provided:

a. that the proprietary information is used by such contractors and

consultants only for work within the scope of their contracts with the

receiving Party relating to the subject matter of the proprietary

information, and shall not be used by such contractors and

consultants for any other private commercial purposes;

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

contractors and consultants who have executed a non-disclosure

agreement; and

c. that such proprietary information shall bear the restrictive legend

appearing in Section 111.C. of this Arrangement.

3. With the prior written consent of the Party furnishing proprietary

information under this Arrangement, the receiving Party may disseminate

such proprietary information more widely than otherwise permitted under

the terms set forth in this Arrangement. The Parties shall endeavor to

grant such approval to the extent permitted by their respective national

laws, regulations and policies, provided:

a. that the entities receiving proprietary information under Section

111.D.3. of this Arrangement, including domestic organizations

permitted or licensed by the receiving Party to construct or operate

nuclear production or utilization facilities, or to use nuclear and

materials radiation sources, have executed a non-disclosure

agreement;
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b. that the entities receiving proprietary information under Section

III.D.3. of this Arrangement, including domestic organizations

permitted or licensed by the receiving Party to construct or operate

nuclear production or utilization facilities, shall not use such

proprietary information for any private commercial purposes; and

c. that those entities receiving proprietary information under Section

III.D.3. of this Arrangement that are domestic organizations

permitted or licensed by the receiving Party; agree to use the

proprietary information only for activities carried out under or within

the terms of their specific permit or license.

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

Documentary Nature 

A Party receiving under this Arrangement other confidential or privileged

information shall respect its confidential nature, provided such information is

clearly marked so as to indicate its confidential or privileged nature and is

accompanied by a statement indicating:

1. that the information is protected from public disclosure by the government

of the transmitting Party; and

2. that the information is transmitted under the condition that it be

maintained in confidence.

F Dissemination of Other Confidential or Privileged Information of a Documentary

Nature 

Other confidential or privileged information may be disseminated in the same

manner as that set forth in Section III.D, "Dissemination of Documentary

Proprietary Information."

Non-Documentary Proprietary or Other Confidential or Privileged Information

Non-documentary proprietary or other confidential or privileged information

provided in seminars and other meetings organized under this Arrangement, or

information arising from the attachments of staff, use of facilities, or joint projects,

shall be treated by the Parties according to the principles specified for

documentary information in this Arrangement; provided, however, that the Party

communicating such proprietary or other confidential or privileged information

has placed the recipient on notice as to the character of the information

communicated.
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H Consultation 

If, for any reason, one of the Parties becomes aware that it will be, or may

reasonably be expected to become, unable to meet the non-dissemination

provisions of this Arrangement, it shall immediately inform the other Party. The

Parties shall thereafter consult to define an appropriate course of action.

Other

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

disseminating information received without restriction by a Party from sources

outside of this Arrangement.

IV. FINAL PROVISIONS

A. Nothing contained in this Arrangement shall require either Party to take any

action that would be inconsistent with its existing laws, regulations, and policy

directives. Should any conflict arise between the terms of this Arrangement and

those laws, regulations, and policy directives, the Parties agree to consult before

any action is taken. No nuclear information related to proliferation-sensitive

technologies shall be exchanged under this Arrangement.

B. Unless otherwise agreed, all costs resulting from cooperation pursuant to this

Arrangement shall be the responsibility of the Party that incurs them. The ability

of the Parties to carry out their obligations is subject to the appropriation of funds

by the appropriate governmental authority and to laws, regulations, and policies

applicable to the Parties.

C. All information protected by provisions of this Arrangement as proprietary or

other confidential or privileged information shall remain so protected for the

duration of this Arrangement and after this Arrangement has expired or been

terminated, unless otherwise agreed by the Parties in writing.

D. Cooperation under this Arrangement shall be in accordance with the laws and

regulations of the Parties. Any dispute or questions between the Parties

concerning the interpretation or application of this Arrangement shall be settled

by mutual agreement of the Parties.
Allison M. Macfarlane, Chairman Hans Wanner, Director General

CERBFIERATDI JE OP

Office of Secreimyt
Addendum A

USNRC- ENSI Safety Research Exchange

Areas in Which the USNRC Is Performing or Sponsoring Safety Research

1. Digital Instrumentation and Control

2. Reactor and Electrical Equipment Qualification

3. Environmental Transport

4. Radionuclide Transport and Waste Management

5. Dry Cask Storage and Transport

6. Fire Safety Research

7. Nuclear Fuel Analysis

8. Severe Accident Analysis

9. Operating Experience and Generic Issues

10. Human Factors Engineering

11. Organizational Factors/Safety Culture

12. Human Reliability Analysis (HRA)

13. Probabilistic Risk Assessments

14. Radiation Protection and Health Effects

15. Seismic Safety

16. State of the Art Risk Consequences

17. Reactor Containment Structural Safety

18. Reactor Vessel and Piping Integrity

19. Regulatory Guide Update

20. New and Advanced Reactor Designs

21. Decommissioning

22. Thermal Hydraulic Code Applications and Maintenance

23. Uncertainty Analysis for Thermal Hydraulic Kinetics

24. Coupled 3D Neutronic and Plant Thermal Hydraulics

25. Medical Isotope Production

26. Long-term Operational Management

27. Plant and Systems Operations
Addendum B

Areas in Which the ENSI Is Performing or Sponsoring Nuclear Safety Research 

1. Fuel safety criteria and ageing of structural materials

2. Internal events and damage occurrences

3. External events

4. Human factors

5. Systems behaviour and accident sequences

6. Radiological protection

7. Waste disposal
ANNEX

Intellectual Property Rights

General Obligation

The Parties shall ensure adequate and effective protection of intellectual property

created or furnished under this Arrangement and relevant implementing arrangements.

Rights to such intellectual property shall be allocated as provided in this Annex.

II. Scope

A. This Annex is applicable to all cooperative activities undertaken pursuant to this

Arrangement, except as otherwise specifically agreed by the Parties or their

designees.

B. For purposes of this Arrangement, "intellectual property" shall mean the subject

matter listed in Article 2 of the Convention Establishing the World Intellectual

Property Organization, done at Stockholm, July 14, 1967 and may include other

subject matter as agreed by the Parties.

C. Each Party shall ensure, through contracts or other legal means with its own

participants, if necessary, that the other Party can obtain the rights to intellectual

property allocated in accordance with this Annex. This Annex does not otherwise

alter or prejudice the allocation between a Party and its nationals, which shall be

determined by that Party's laws and practices.

D. Except as otherwise provided in this Arrangement, disputes concerning

intellectual property arising under this Arrangement shall be resolved through

discussions between the concerned participating institutions, or, if necessary, the

Parties or their designees. Upon mutual Arrangement of the Parties, a dispute

shall be submitted to an arbitral tribunal for binding arbitration in accordance with

the applicable rules of international law. Unless the Parties or their designees

agree otherwise in writing, the arbitration rules of UNCITRAL shall govern.

E. Termination or expiration of this Arrangement shall not affect rights or obligations

under this Annex.

III. Allocation of Rights

A. Each Party shall be entitled to a non-exclusive, irrevocable, royalty-free license in

all countries to translate, reproduce, and publicly distribute scientific and

technical journal articles, reports, and books directly arising from cooperation

under this Arrangement. All publicly distributed copies of a copyrighted work

prepared under this provision shall indicate the names of the authors of the work

unless an author explicitly declines to be named.
B. Rights to all forms of intellectual property, other than those rights described in

paragraph IIIA above, shall be allocated as follows:

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

accordance with the policies of the host institution.

(2)(a) Any intellectual property created by persons employed or sponsored by

one Party under cooperative activities other than those covered by paragraph

III.(B)(1) shall be owned by that Party. Intellectual property created by persons

employed or sponsored by both Parties shall be jointly owned by the Parties.

In addition, each creator shall be entitled to awards, bonuses and royalties in

accordance with the policies of the institution employing or sponsoring that

person.

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

Party shall have within its territory a right to exploit or license intellectual

property created in the course of the cooperative activities.

(c) The rights of a Party outside its territory shall be determined by mutual

Arrangement considering the relative contributions of the Parties and their

participants to the cooperative activities, the degree of commitment in

obtaining legal protection and licensing of the intellectual property and such

other factors deemed appropriate. •

(d) Notwithstanding paragraphs III.B(2)(a) and (b) above, if either Party

believes that a particular project is likely to lead to or has led to the creation of

intellectual property not protected by the laws of the other Party, the Parties

shall immediately hold discussions to determine the allocation of rights to the

intellectual property. If an Arrangement cannot be reached within three months

of the date of the initiation of the discussions, cooperation on the project in

question shall be terminated at the request of either Party. Creators of

intellectual property shall nonetheless be entitled to awards, bonuses and

royalties as provided in paragraph III.B(2)(a).

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

employing or sponsoring the inventor(s) shall disclose the invention promptly

to the other Party together with any documentation and information necessary

to enable the other Party to establish any rights to which it may be entitled.

Either Party may ask the other Party in writing to delay publication or public

disclosure of such documentation or information for the purpose of protecting

its rights in the invention. Unless otherwise agreed in writing, the delay shall

not exceed a period of six months from the date of disclosure by the inventing

Party to the other Party.
IV. Business Confidential Information

In the event that information identified in a timely fashion as business-confidential is

furnished or created under this Arrangement, each Party and its participants shall protect

such information in accordance with applicable laws, regulations, and administrative

practices. Information may be identified as "business-confidential" if a person having the

information may derive an economic benefit from it or may obtain a competitive

advantage over those who do not have it, and the information is not generally known or

publicly available from other sources, and the owner has not previously made the

information available without imposing in a timely manner an obligation to keep it

confidential.