II 

108TH CONGRESS 

1ST SESSION S. 1987

To implement the obligations of the United States under the Protocol Additional to the Agreement between the United States of America and 

the International Atomic Energy Agency for the Application of Safeguards in the United States of America, known as ‘‘the Additional 

Protocol’’ signed by the United States on June 12, 1998. 

IN THE SENATE OF THE UNITED STATES 

DECEMBER 9, 2003

Mr. LUGAR introduced the following bill; which was read twice and referred 

to the Committee on Foreign Relations 

A BILL

To implement the obligations of the United States under 

the Protocol Additional to the Agreement between the 

United States of America and the International Atomic 

Energy Agency for the Application of Safeguards in the 

United States of America, known as ‘‘the Additional 

Protocol’’ signed by the United States on June 12, 1998.

1 Be it enacted by the Senate and House of Representa2 tives of the United States of America in Congress assembled,

3 SECTION 1. SHORT TITLE. 

4 This division may be cited as the ‘‘Additional Pro5 tocol to the U.S.–IAEA Safeguards Agreement Implemen6 tation Act of 200–’’. 
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1 SEC. 2. TABLE OF CONTENTS. 

2 The table of contents for this Act is as follows:

Sec. 1. Short title. 

Sec. 2. Table of contents. 

Sec. 3. Congressional findings. 

Sec. 4. Definitions. 

Sec. 5. Severability. 

TITLE I—GENERAL PROVISIONS 

Sec. 101. Authorization. 

TITLE II—COMPLEMENTARY ACCESS 

Sec. 201. Authority to conduct complementary access. 

Sec. 202. Procedures for complementary access. 

Sec. 203. Consents, warrants and warrantless complementary access. 

TITLE III—CONFIDENTIALITY OF INFORMATION 

Sec. 301. Restrictions on disclosure. 

TITLE IV—RECORDKEEPING 

Sec. 401. Violations. 

TITLE V—ENFORCEMENT 

Sec. 501. Penalties. 

Sec. 502. Specific enforcement. 

TITLE VI—AUTHORIZATION OF FUNDS 

Sec. 601. Authorization.

3 SEC. 3. CONGRESSIONAL FINDINGS. 

4 CONGRESSIONAL DECLARATION OF POLICY

5 The Congress finds—

6 (1) that the proliferation of nuclear weapons or 

7 other nuclear explosive devices poses a grave threat 

8 to the security interests of the United States; 

9 (2) that the 1968 Treaty on the Non-Prolifera10 tion of Nuclear Weapons (NPT) has proven critical 

11 to limiting such proliferation, and remains the best 

12 means for preventing the spread of nuclear weapons 
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1 or other nuclear explosive devices to additional coun2 tries; 

3 (3) that for the NPT to be effective, each of its 

4 non-nuclear-weapon State Parties must conclude a 

5 comprehensive safeguards agreement with the Inter6 national Atomic Energy Agency (the ‘‘IAEA’’); 

7 (4) that recent events emphasize the urgency of 

8 strengthening the effectiveness and improving the ef9 ficiency of the safeguards system. This can best be 

10 accomplished by providing IAEA inspectors with 

11 more information about and broader (complemen12 tary) access to nuclear activities within the territory 

13 of non-nuclear-weapon State NPT parties; 

14 (5) that the proposed scope of such expanded 

15 information and complementary access has been ne16 gotiated by the member states of the IAEA in the 

17 form of a Model Additional Protocol to existing safe18 guards agreements and that universal acceptance of 

19 Additional Protocols is essential to enhancing the ef20 fectiveness of the NPT; 

21 (6) that the United States, as a nuclear-weapon 

22 State Party to the NPT, signed the Protocol Addi23 tional to the Agreement between the United States 

24 of America and the International Atomic Energy 

25 Agency for the Application of Safeguards in the 
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1 United States of America, which contains measures 

2 that protect its right to determine and exclude IAEA 

3 access to activities with direct national security sig4 nificance or to locations or information associated 

5 with such activities and to protect proprietary and 

6 commercially sensitive information; and

7 (7) that implementation of this Additional Pro8 tocol in the United States in a manner consistent 

9 with its obligations under the NPT will strongly en10 courage other Parties, especially non-nuclear-weapon 

11 State Parties, to conclude Additional Protocols and 

12 thereby strengthen the NPT safeguards system and 

13 reduce the threat of nuclear proliferation, which is 

14 of direct and substantial benefit to the United 

15 States. 

16 SEC. 4. DEFINITIONS. 

17 In this Act: 

18 (1) ADDITIONAL PROTOCOL.—The term ‘‘Addi19 tional Protocol’’ means the Protocol Additional to 

20 the Agreement between the United States of Amer21 ica and the International Atomic Energy Agency for 

22 the Application of Safeguards in the United States 

23 of America, which was signed by both parties in Vi24 enna on June 12, 1998. 
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1 (2) IAEA.—The term ‘‘IAEA’’ means the 

2 International Atomic Energy Agency. 

3 (3) COMPLEMENTARY ACCESS.—The term 

4 ‘‘complementary access’’ means the IAEA’s access 

5 rights as set forth in the Additional Protocol. 

6 (4) FACILITY.—The term ‘‘facility’’ has the 

7 meaning set forth in article 18 of the Additional 

8 Protocol. 

9 (5) JUDGE OF THE UNITED STATES.—The term 

10 ‘‘judge of the United States’’ means a judge or mag11 istrate judge of a district court of the United States. 

12 (6) PERSON.—The term ‘‘person’’, except as 

13 otherwise provided, means any individual, corpora14 tion, partnership, firm, association, trust, estate, 

15 public or private institution, any State or any polit16 ical subdivision thereof, or any political entity within 

17 a State, any foreign government or nation or any 

18 agency, instrumentality or political subdivision of 

19 any such government or nation, or other entity lo20 cated in the United States. 

21 (7) SAFEGUARDS AGREEMENT.—The term 

22 ‘‘Safeguards Agreement’’ means the Agreement be23 tween the United States of America and the Inter24 national Atomic Energy Agency for the Application 
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1 of Safeguards in the United States of America, 

2 which entered into force in December 9, 1980. 

3 (8) SITE.—The term ‘‘site’’ has the meaning 

4 set forth in article 18 of the Additional Protocol. 

5 (9) UNITED STATES.—The term ‘‘United 

6 States’’ means the several States of the United 

7 States, the District of Columbia, and the common8 wealths, territories, and possessions of the United 

9 States and includes all places under the jurisdiction 

10 or control of the United States, including—

11 (A) any of the places within the provisions 

12 of paragraph (41) of section 40102 of title 49, 

13 United States Code; 

14 (B) any civil aircraft of the United States 

15 or public aircraft, as such terms are defined in 

16 paragraphs (17) and (37), respectively, of sec17 tion 40102 of title 49, United States Code; and 

18 (C) any vessel of the United States, as 

19 such term is defined in section 3(b) of the Ma20 rine Drug Enforcement Act, as amended (sec21 tion 1903(b) of title 46, United States Code 

22 App.). 

23 (10) LOCATION.—The term ‘‘location’’ means 

24 any geographic point or area declared by the United 
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1 States or specified by the International Atomic En2 ergy Agency. 

3 SEC. 5. SEVERABILITY. 

4 If any provision of this Act, or the application of such 

5 provision to any person or circumstance, is held invalid, 

6 the remainder of this Act, or the application of such provi7 sion to persons or circumstances other than those as to 

8 which it is held invalid, shall not be affected thereby. 

9 TITLE I—GENERAL PROVISIONS 

10 SEC. 101. AUTHORIZATION. 

11 (a) AUTHORIZATION.—The President is authorized to 

12 implement and carry out the provisions of this Act and 

13 the Additional Protocol and shall designate through Exec14 utive Order which agencies of the United States, which 

15 may include but are not limited to the Department of 

16 State, the Department of Defense, the Department of Jus17 tice, the Department of Commerce, the Department of En18 ergy, and the Nuclear Regulatory Commission, shall issue, 

19 amend, or revise and enforce regulations in order to imple20 ment this Act and the provisions of the Additional Pro21 tocol. 
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1 TITLE II—COMPLEMENTARY 

2 ACCESS 

3 SEC. 201. AUTHORITY TO CONDUCT COMPLEMENTARY AC4 CESS. 

5 (a) PROHIBITION.—No complementary access to any 

6 location in the United States shall take place pursuant to 

7 the Additional Protocol without the authorization of the 

8 United States Government in accordance with the require9 ments of this Act. 

10 (b) AUTHORITY.—

11 (1) Complementary access to any location in 

12 the United States subject to access under the Addi13 tional Protocol is authorized in accordance with this 

14 Act. 

15 (2) UNITED STATES REPRESENTATIVE.—

16 (A) In the event of complementary access 

17 to a privately owned or operated location, no 

18 employee of the Environmental Protection 

19 Agency, the Mine Safety and Health Adminis20 tration, or the Occupational Safety and Health 

21 Administration may participate in the access. 

22 (B) The number of duly designated rep23 resentatives shall be kept to the minimum nec24 essary. 
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1 SEC. 202. PROCEDURES FOR COMPLEMENTARY ACCESS. 

2 (a) IN GENERAL.—Each instance of complementary 

3 access to a location in the United States under the Addi4 tional Protocol shall be conducted in accordance with this 

5 section and sections 201 and 203. 

6 (b) NOTICE.—

7 (1) IN GENERAL.—Complementary access re8 ferred to in subsection (a) may occur only upon 

9 issuance of an actual written notice by the United 

10 States Government to the owner, operator, occupant, 

11 or agent in charge of the location to be subject to 

12 complementary access. 

13 (2) TIME OF NOTIFICATION.—The notice shall 

14 be submitted to the owner, operator, occupant, or 

15 agent in charge as soon as possible after the United 

16 States Government has received notification that the 

17 IAEA seeks complementary access. Notices may be 

18 posted prominently at the location if the United 

19 States Government is unable to provide actual writ20 ten notice to the owner, operator, occupant, or agent 

21 in charge of the premises. 

22 (3) CONTENT OF NOTICE.—

23 (A) IN GENERAL.—The notice under para24 graph (1) shall include all appropriate informa25 tion supplied by the IAEA to the Department 

26 of State concerning—
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1 (i) the purpose for the complementary 

2 access; 

3 (ii) the basis for the selection of the 

4 facility, site or other location for the com5 plementary access sought; 

6 (iii) the activities that will be carried 

7 out during the complementary access; 

8 (iv) the time and date that the com9 plementary access will begin, and the an10 ticipated period covered by the complemen11 tary access; and 

12 (v) the names and titles of the inspec13 tors.

14 (4) SEPARATE NOTICES REQUIRED.—A sepa15 rate notice shall be provided each time that com16 plementary access is sought by the IAEA. 

17 (c) CREDENTIALS.—The complementary access team 

18 of the IAEA and representatives of the United States Gov19 ernment or designees of the United States Government 

20 shall display appropriate identifying credentials to the 

21 owner, operator, occupant, or agent in charge of the loca22 tion before gaining complementary access. 

23 (d) SCOPE.—

24 (1) IN GENERAL.—Except as provided in a war25 rant issued under section 203, and subject to the 
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1 United States Government’s rights under the Addi2 tional Protocol to limit complementary access, com3 plementary access to a location pursuant to this title 

4 may extend to all activities specifically permitted for 

5 such locations by article 6 of the Additional Pro6 tocol. 

7 (2) EXCEPTION.—Unless required by the Addi8 tional Protocol, no inspection under this title shall 

9 extend to—

10 (A) financial data; 

11 (B) sales and marketing data (other than 

12 shipment data); 

13 (C) pricing data; 

14 (D) personnel data; 

15 (E) patent data; 

16 (F) data maintained for compliance with 

17 environmental or occupational health and safety 

18 regulations; or 

19 (G) research data. 

20 (e) ENVIRONMENT, HEALTH, SAFETY, AND SECU21 RITY.—

22 (1) COMPLIANCE WITH REGULATIONS.—In car23 rying out their activities, members of the IAEA com24 plementary access team and representatives of the 

25 United States Government or designees of the 
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1 United States Government shall observe applicable 

2 environmental, health, safety, and security regula3 tions established at the location subject to com4 plementary access, including those for protection of 

5 controlled environments within a facility and for per6 sonal safety. 

7 SEC. 203. CONSENTS, WARRANTS AND WARRANTLESS COM8 PLEMENTARY ACCESS. 

9 (a) IN GENERAL.—

10 (1) Where a warrant would otherwise be re11 quired, the United States Government shall seek the 

12 consent of the owner or the operator, occupant, or 

13 agent in charge of the location prior to gaining com14 plementary access to that location pursuant to sec15 tions 201 and 202. If consent is obtained, no 

16 warrant is required for such complementary access. 

17 The owner or the operator, occupant, or agent in 

18 charge of the location may withhold consent for any 

19 reason or no reason. If consent is withheld, the 

20 United States Government may seek an administra21 tive search warrant from a judge of the United 

22 States pursuant to subsection (b). Proceedings re23 garding the issuance of an administrative search 

24 warrant shall be conducted ex parte, unless other25 wise requested by the United States Government. 
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1 (2) Nothing in this Act shall be construed to re2 quire the United States Government to obtain a 

3 warrant to gain complementary access in any situa4 tion in which the Fourth Amendment would not oth5 erwise require a warrant. 

6 (b) ADMINISTRATIVE SEARCH WARRANTS FOR COM7 PLEMENTARY ACCESS.—

8 (1) OBTAINING ADMINISTRATIVE SEARCH WAR9 RANTS.—For complementary access conducted on 

10 the territory of the United States pursuant to the 

11 Additional Protocol, and for which the acquisition of 

12 a warrant is required, the United States Government 

13 shall first obtain an administrative search warrant 

14 from a judge of the United States. The United 

15 States Government shall provide to the judge of the 

16 United States all appropriate information supplied 

17 by the IAEA to the Department of State regarding 

18 the basis for the selection of the facility, site or 

19 other location to which complementary access is 

20 sought. The United States Government shall also 

21 provide any other appropriate information available 

22 to it relating to the reasonableness of the selection 

23 of the facility, site or other location. 

24 (2) CONTENT OF AFFIDAVITS FOR ADMINISTRA25 TIVE SEARCH WARRANTS.—The judge of the United 
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1 States shall promptly issue an administrative search 

2 warrant authorizing the requested complementary 

3 access upon an affidavit submitted by the United 

4 States Government showing—

5 (A) that the Additional Protocol is in 

6 force; 

7 (B) that the designated facility, site or 

8 other location is subject to complementary ac9 cess under the Additional Protocol; 

10 (C) that the purpose of IAEA complemen11 tary access is to verify the correctness and com12 pleteness of information declared by the United 

13 States Government pursuant to article 2 of the 

14 Additional Protocol; 

15 (D) that complementary access is in ac16 cordance with article 4 of the Additional Pro17 tocol; 

18 (E) that the scope of the IAEA’s com19 plementary access, as well as what it may col20 lect, shall be limited to that listed in article 6 

21 of the Additional Protocol; 

22 (F) the items, documents, and areas to be 

23 searched and seized; 

24 (G) the earliest commencement and the an25 ticipated duration of the complementary access 
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1 period, as well as the expected times of day 

2 during which such complementary access will 

3 take place; and 

4 (H) that the location to which complemen5 tary access is sought was selected either (i) be6 cause there is probable cause, on the basis of 

7 specific evidence, to believe that information re8 quired to be reported regarding a location pur9 suant to regulations promulgated under the Act 

10 is incorrect or incomplete, and that the location 

11 to be accessed contains evidence regarding that 

12 violation; or (ii) pursuant to a reasonable gen13 eral administrative plan based upon specific 

14 neutral criteria. 

15 (3) CONTENT OF WARRANTS.—A warrant 

16 issued under paragraph (2) shall specify the same 

17 matters required of an affidavit under that para18 graph. In addition to the requirements for a warrant 

19 issued under this paragraph, each warrant shall con20 tain, if known, the identities of the representatives 

21 of the IAEA on the complementary access team and 

22 the identities of the representatives of the United 

23 States Government or designees of the United States 

24 Government required to display identifying creden25 tials under paragraph 202(c) of this Act.
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1 TITLE III—CONFIDENTIALITY OF 

2 INFORMATION 

3 SEC. 301. RESTRICTIONS ON DISCLOSURE. 

4 (a) PROTECTION OF CONFIDENTIALITY OF INFORMA5 TION.—Information reported to, or otherwise acquired by, 

6 the United States Government under this Act or under 

7 the Additional Protocol shall be exempt from disclosure 

8 under sections 552 and 552a of title 5, United States 

9 Code. 

10 (b) CONTRACTOR PERSONNEL.—Contractor per11 sonnel shall not disclose information acquired in connec12 tion with aid they provide in the execution of complemen13 tary access. 

14 TITLE IV—RECORDKEEPING 

15 SEC. 401. VIOLATIONS. 

16 (a) It shall be unlawful for any person willfully to 

17 fail or refuse—

18 (1) to establish or maintain any record required 

19 by any regulation prescribed under this Act; 

20 (2) to submit any report, notice or other infor21 mation to the United States Government in accord22 ance with any regulation prescribed under this Act; 

23 or 
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1 (3) to permit access to or copying of any record 

2 by the United States Government in accordance with 

3 any regulation prescribed under this Act. 

4 TITLE V—ENFORCEMENT 

5 SEC. 501. PENALTIES. 

6 (a) CIVIL.—

7 (1) PENALTY AMOUNTS.—

8 (A) RECORDKEEPING VIOLATIONS.—Any 

9 person that is determined, in accordance with 

10 paragraph (2), to have violated title IV of this 

11 Act shall be required by order to pay a civil 

12 penalty in an amount not to exceed $25,000 for 

13 each violation. 

14 (2) AGENCY ORDERS.—Each agency described 

15 in section 101 may issue an order, including a final 

16 order, to enforce its regulations issued pursuant to 

17 that section. 

18 (3) JUDICIAL REVIEW.—A person adversely af19 fected by a final order issued pursuant to paragraph 

20 (2) may, within 30 days after the date the final 

21 order is issued, file a petition in the Court of Ap22 peals for the District of Columbia Circuit or any 

23 other circuit in which the person resides or transacts 

24 business. 
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1 (4) ENFORCEMENT OF ORDERS.—If a person 

2 fails to comply with a final order issued under para3 graph (2) and—

4 (A) the time has elapsed for filing a peti5 tion for judicial review under paragraph (3) and 

6 no petition has been filed, or 

7 (B) a court in an action for judicial review 

8 brought under paragraph (3) has entered a 

9 final judgment in favor of the agency, 

10 the Attorney General, at the request of such agency, 

11 shall file a suit to seek compliance with the order in 

12 any appropriate district court of the United States, 

13 plus interest at currently prevailing rates calculated 

14 from the date of expiration of the 30-day period re15 ferred to in paragraph (3) or the date of such final 

16 judgment, as the case may be. In any such suit, the 

17 validity and appropriateness of the final order shall 

18 not be subject to review. 

19 (b) CRIMINAL.—Any person that violates any provi20 sion of title IV of this Act shall, in addition to or in lieu 

21 of any civil penalty which may be imposed under sub22 section (a) for such violation, be fined under title 18, 

23 United States Code, imprisoned for not more than five 

24 years, or both. 
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1 SEC. 502. SPECIFIC ENFORCEMENT. 

2 (a) JURISDICTION.—The district courts of the United 

3 States Government shall have jurisdiction over civil ac4 tions brought by the Attorney General to—

5 (1) restrain any violation of title IV of this Act; 

6 and 

7 (2) compel the taking of any action required by 

8 or under this Act or the Additional Protocol. 

9 (b) CIVIL ACTIONS.—

10 (1) IN GENERAL.—A civil action described in 

11 subsection (a) may be brought—

12 (A) in the case of a civil action described 

13 in subsection (a)(1), in the United States dis14 trict court for the judicial district in which any 

15 act, omission, or transaction constituting a vio16 lation of title IV occurred or in which the de17 fendant is found or transacts business; or 

18 (B) in the case of a civil action described 

19 in subsection (a)(2), in the United States dis20 trict court for the judicial district in which the 

21 defendant is found or transacts business. 

22 (2) SERVICE OF PROCESS.—In any such civil 

23 action, process shall be served on a defendant wher24 ever the defendant may reside or may be found. 
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1 TITLE VI—AUTHORIZATION OF 

2 FUNDS 

3 SEC. 601. AUTHORIZATION. 

4 There are authorized to be appropriated such sums 

5 as may be necessary to carry out the purposes of this Act.

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