CHAPTER 88 —NUCLEAR NON-PROLIFERATION TREATY—UNITED STATES ADDITIONAL PROTOCOL IMPLEMENTATION
SUBCHAPTER I—GENERAL PROVISIONS
SUBCHAPTER II—COMPLEMENTARY ACCESS
SUBCHAPTER III—CONFIDENTIALITY OF INFORMATION
SUBCHAPTER IV—ENFORCEMENT
SUBCHAPTER V—ENVIRONMENTAL SAMPLING
SUBCHAPTER VI—PROTECTION OF NATIONAL SECURITY INFORMATION AND ACTIVITIES
SUBCHAPTER VII—REPORTS
SUBCHAPTER VIII—AUTHORIZATION OF APPROPRIATIONS
§8101. Findings
Congress makes the following findings:
(1) The proliferation of nuclear weapons and other nuclear explosive devices poses a grave threat to the national security of the United States and its vital national interests.
(2) The Nuclear Non-Proliferation Treaty has proven critical to limiting such proliferation.
(3) For the Nuclear Non-Proliferation Treaty to be effective, each of the non-nuclear-weapon State Parties must conclude a comprehensive safeguards agreement with the IAEA, and such agreements must be honored and enforced.
(4) Recent events emphasize the urgency of strengthening the effectiveness and improving the efficiency of the safeguards system. This can best be accomplished by providing IAEA inspectors with more information about, and broader access to, nuclear activities within the territory of non-nuclear-weapon State Parties.
(5) The proposed scope of such expanded information and access has been negotiated by the member states of the IAEA in the form of a Model Additional Protocol to its existing safeguards agreements, and universal acceptance of Additional Protocols by non-nuclear weapons states is essential to enhancing the effectiveness of the Nuclear Non-Proliferation Treaty.
(6) On June 12, 1998, the United States, as a nuclear-weapon State Party, signed an Additional Protocol that is based on the Model Additional Protocol, but which also contains measures, consistent with its existing safeguards agreements with its members, that protect the right of the United States to exclude the application of IAEA safeguards to locations and activities with direct national security significance or to locations or information associated with such activities.
(7) Implementation of the Additional Protocol in the United States in a manner consistent with United States obligations under the Nuclear Non-Proliferation Treaty may encourage other parties to the Nuclear Non-Proliferation Treaty, especially non-nuclear-weapon State Parties, to conclude Additional Protocols and thereby strengthen the Nuclear Non-Proliferation Treaty safeguards system and help reduce the threat of nuclear proliferation, which is of direct and substantial benefit to the United States.
(8) Implementation of the Additional Protocol by the United States is not required and is completely voluntary given its status as a nuclear-weapon State Party, but the United States has acceded to the Additional Protocol to demonstrate its commitment to the nuclear nonproliferation regime and to make United States civil nuclear activities available to the same IAEA inspections as are applied in the case of non-nuclear-weapon State Parties.
(9) In accordance with the national security exclusion contained in Article 1.b of its Additional Protocol, the United States will not allow any inspection activities, nor make any declaration of any information with respect to, locations, information, and activities of direct national security significance to the United States.
(10) Implementation of the Additional Protocol will conform to the principles set forth in the letter of April 30, 2002, from the United States Permanent Representative to the International Atomic Energy Agency and the Vienna Office of the United Nations to the Director General of the International Atomic Energy Agency.
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Statutory Notes and Related Subsidiaries
Short Title
Executive Documents
Ex. Ord. No. 13458. Implementation of the Protocol Additional to the Agreement Between the United States and the International Atomic Energy Agency for the Application of Safeguards in the United States of America
Ex. Ord. No. 13458, Feb. 4, 2008, 73 F.R. 7181, provided:
By the authority vested in me as President by the Constitution and the laws of the United States of America, including the United States Additional Protocol Implementation Act (the "Act") (
George W. Bush.
§8102. Definitions
In this chapter:
(1) Additional protocol
The term "Additional Protocol", when used in the singular form, means 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, with Annexes, signed at Vienna June 12, 1998 (T. Doc. 107–7).
(2) Appropriate congressional committees
The term "appropriate congressional committees" means the Committee on Armed Services, the Committee on Foreign Relations, and the Committee on Appropriations of the Senate and the Committee on Armed Services, the Committee on International Relations, the Committee on Science, and the Committee on Appropriations of the House of Representatives.
(3) Complementary access
The term "complementary access" means the exercise of the IAEA's access rights as set forth in Articles 4 to 6 of the Additional Protocol.
(4) Executive agency
The term "executive agency" has the meaning given such term in
(5) Facility
The term "facility" has the meaning set forth in Article 18i. of the Additional Protocol.
(6) IAEA
The term "IAEA" means the International Atomic Energy Agency.
(7) Judge of the United States
The term "judge of the United States" means a United States district judge, or a United States magistrate judge appointed under the authority of
(8) Location
The term "location" means any geographic point or area declared or identified by the United States or specified by the International Atomic Energy Agency.
(9) Nuclear Non-Proliferation Treaty
The term "Nuclear Non-Proliferation Treaty" means the Treaty on the Non-Proliferation of Nuclear Weapons, done at Washington, London, and Moscow July 1, 1968, and entered into force March 5, 1970 (21 UST 483).
(10) Nuclear-weapon State Party and non-nuclear-weapon State Party
The terms "nuclear-weapon State Party" and "non-nuclear-weapon State Party" have the meanings given such terms in the Nuclear Non-Proliferation Treaty.
(11) Person
The term "person", except as otherwise provided, means any individual, corporation, partnership, firm, association, trust, estate, public or private institution, any State or any political subdivision thereof, or any political entity within a State, any foreign government or nation or any agency, instrumentality, or political subdivision of any such government or nation, or other entity located in the United States.
(12) Site
The term "site" has the meaning set forth in Article 18b. of the Additional Protocol.
(13) United States
The term "United States", when used as a geographic reference, means the several States of the United States, the District of Columbia, and the commonwealths, territories, and possessions of the United States and includes all places under the jurisdiction or control of the United States, including—
(A) the territorial sea and the overlying airspace;
(B) any civil aircraft of the United States or public aircraft, as such terms are defined in paragraphs (17) and (41), respectively, of
(C) any vessel of the United States, as such term is defined in
(14) Wide-area environmental sampling
The term "wide-area environmental sampling" has the meaning set forth in Article 18g. of the Additional Protocol.
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Editorial Notes
Codification
In par. (13)(C), "
Statutory Notes and Related Subsidiaries
Change of Name
Committee on International Relations of House of Representatives changed to Committee on Foreign Affairs of House of Representatives and Committee on Science of House of Representatives changed to Committee on Science and Technology of House of Representatives by House Resolution No. 6, One Hundred Tenth Congress, Jan. 5, 2007. Committee on Science and Technology of House of Representatives changed to Committee on Science, Space, and Technology of House of Representatives by House Resolution No. 5, One Hundred Twelfth Congress, Jan. 5, 2011.
§8103. Severability
If any provision of this chapter, or the application of such provision to any person or circumstance, is held invalid, the remainder of this chapter, or the application of such provision to persons or circumstances other than those as to which it is held invalid, shall not be affected thereby.
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SUBCHAPTER I—GENERAL PROVISIONS
§8111. Authority
(a) In general
The President is authorized to implement and carry out the provisions of this chapter and the Additional Protocol and shall designate through Executive order which executive agency or agencies of the United States, which may include but are not limited to the Department of State, the Department of Defense, the Department of Justice, the Department of Commerce, the Department of Energy, and the Nuclear Regulatory Commission, shall issue or amend and enforce regulations in order to implement this chapter and the provisions of the Additional Protocol.
(b) Included authority
For any executive agency designated under subsection (a) that does not currently possess the authority to conduct site vulnerability assessments and related activities, the authority provided in subsection (a) includes such authority.
(c) Exception
The authority described in subsection (b) does not supersede or otherwise modify any existing authority of any Federal department or agency already having such authority.
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SUBCHAPTER II—COMPLEMENTARY ACCESS
§8121. Requirement for authority to conduct complementary access
(a) Prohibition
No complementary access to any location in the United States shall take place pursuant to the Additional Protocol without the authorization of the United States Government in accordance with the requirements of this chapter.
(b) Authority
(1) In general
Complementary access to any location in the United States subject to access under the Additional Protocol is authorized in accordance with this chapter.
(2) United States representatives
(A) Restrictions
In the event of complementary access to a privately owned or operated location, no employee of the Environmental Protection Agency or of the Mine Safety and Health Administration or the Occupational Safety and Health Administration of the Department of Labor may participate in the access.
(B) Number
The number of designated United States representatives accompanying IAEA inspectors shall be kept to the minimum necessary.
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§8122. Procedures for complementary access
(a) In general
Each instance of complementary access to a location in the United States under the Additional Protocol shall be conducted in accordance with this subchapter.
(b) Notice
(1) In general
Complementary access referred to in subsection (a) may occur only upon the issuance of an actual written notice by the United States Government to the owner, operator, occupant, or agent in charge of the location to be subject to complementary access.
(2) Time of notification
The notice under paragraph (1) shall be submitted to such owner, operator, occupant, or agent as soon as possible after the United States Government has received notification that the IAEA seeks complementary access. Notices may be posted prominently at the location if the United States Government is unable to provide actual written notice to such owner, operator, occupant, or agent.
(3) Content of notice
(A) 1 In general
The notice required by paragraph (1) shall specify—
(i) the purpose for the complementary access;
(ii) the basis for the selection of the facility, site, or other location for the complementary access sought;
(iii) the activities that will be carried out during the complementary access;
(iv) the time and date that the complementary access is expected to begin, and the anticipated period covered by the complementary access; and
(v) the names and titles of the inspectors.
(4) Separate notices required
A separate notice shall be provided each time that complementary access is sought by the IAEA.
(c) Credentials
The complementary access team of the IAEA and representatives or designees of the United States Government shall display appropriate identifying credentials to the owner, operator, occupant, or agent in charge of the location before gaining entry in connection with complementary access.
(d) Scope
(1) In general
Except as provided in a warrant issued under
(2) Exception
Unless required by the Additional Protocol, no inspection under this chapter shall extend to—
(A) financial data (other than production data);
(B) sales and marketing data (other than shipment data);
(C) pricing data;
(D) personnel data;
(E) patent data;
(F) data maintained for compliance with environmental or occupational health and safety regulations; or
(G) research data.
(e) Environment, health, safety, and security
In carrying out their activities, members of the IAEA complementary access team and representatives or designees of the United States Government shall observe applicable environmental, health, safety, and security regulations established at the location subject to complementary access, including those for protection of controlled environments within a facility and for personal safety.
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1 So in original. No subpar. (B) has been enacted.
§8123. Consents, warrants, and complementary access
(a) In general
(1) Procedure
(A) Consent
Except as provided in paragraph (2), an appropriate official of the United States Government shall seek or have the consent of the owner, operator, occupant, or agent in charge of a location prior to entering that location in connection with complementary access pursuant to
(B) Administrative search warrant
In the absence of consent, the United States Government may seek an administrative search warrant from a judge of the United States under subsection (b). Proceedings regarding the issuance of an administrative search warrant shall be conducted ex parte, unless otherwise requested by the United States Government.
(2) Expedited access
For purposes of obtaining access to a location pursuant to Article 4b.(ii) of the Additional Protocol in order to satisfy United States obligations under the Additional Protocol when notice of two hours or less is required, the United States Government may gain entry to such location in connection with complementary access, to the extent such access is consistent with the Fourth Amendment to the United States Constitution, without obtaining either a warrant or consent.
(b) Administrative search warrants for complementary access
(1) Obtaining administrative search warrants
For complementary access conducted in the United States pursuant to the Additional Protocol, and for which the acquisition of a warrant is required, the United States Government shall first obtain an administrative search warrant from a judge of the United States. The United States Government shall provide to such judge all appropriate information regarding the basis for the selection of the facility, site, or other location to which complementary access is sought.
(2) Content of affidavits for administrative search warrants
A judge of the United States shall promptly issue an administrative search warrant authorizing the requested complementary access upon an affidavit submitted by the United States Government—
(A) stating that the Additional Protocol is in force;
(B) stating that the designated facility, site, or other location is subject to complementary access under the Additional Protocol;
(C) stating that the purpose of the complementary access is consistent with Article 4 of the Additional Protocol;
(D) stating that the requested complementary access is in accordance with Article 4 of the Additional Protocol;
(E) containing assurances that the scope of the IAEA's complementary access, as well as what it may collect, shall be limited to the access provided for in Article 6 of the Additional Protocol;
(F) listing the items, documents, and areas to be searched and seized;
(G) stating the earliest commencement and the anticipated duration of the complementary access period, as well as the expected times of day during which such complementary access will take place; and
(H) stating that the location to which entry in connection with complementary access is sought was selected either—
(i) because there is probable cause, on the basis of specific evidence, to believe that information required to be reported regarding a location pursuant to regulations promulgated under this chapter is incorrect or incomplete, and that the location to be accessed contains evidence regarding that violation; or
(ii) pursuant to a reasonable general administrative plan based upon specific neutral criteria.
(3) Content of warrants
A warrant issued under paragraph (2) shall specify the same matters required of an affidavit under that paragraph. In addition, each warrant shall contain the identities of the representatives of the IAEA on the complementary access team and the identities of the representatives or designees of the United States Government required to display identifying credentials under
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§8124. Prohibited acts relating to complementary access
It shall be unlawful for any person willfully to fail or refuse to permit, or to disrupt, delay, or otherwise impede, a complementary access authorized by this subchapter or an entry in connection with such access.
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SUBCHAPTER III—CONFIDENTIALITY OF INFORMATION
§8131. Protection of confidentiality of information
Information reported to, or otherwise acquired by, the United States Government under this chapter or under the Additional Protocol shall be exempt from disclosure under
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SUBCHAPTER IV—ENFORCEMENT
§8141. Recordkeeping violations
It shall be unlawful for any person willfully to fail or refuse—
(1) to establish or maintain any record required by any regulation prescribed under this chapter;
(2) to submit any report, notice, or other information to the United States Government in accordance with any regulation prescribed under this chapter; or
(3) to permit access to or copying of any record by the United States Government in accordance with any regulation prescribed under this chapter.
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§8142. Penalties
(a) Civil
(1) Penalty amounts
Any person that is determined, in accordance with paragraph (2), to have violated
(2) Notice and hearing
(A) In general
Before imposing a penalty against a person under paragraph (1), the head of an executive agency designated under
(B) Conduct of hearing
Any hearing so requested shall be conducted before an administrative judge. The hearing shall be conducted in accordance with the requirements of
(C) Issuance of orders
If the administrative judge determines, upon the preponderance of the evidence received, that a person named in the complaint has violated
(D) Factors for determination of penalty amounts
In determining the amount of any civil penalty, the administrative judge or the head of the designated agency shall take into account the nature, circumstances, extent, and gravity of the violation or violations and, with respect to the violator, the ability to pay, effect on ability to continue to do business, any history of such violations, the degree of culpability, the existence of an internal compliance program, and such other matters as justice may require.
(E) Content of notice
For the purposes of this paragraph, notice shall be in writing and shall be verifiably served upon the person or persons subject to an order described in paragraph (1). In addition, the notice shall—
(i) set forth the time, date, and specific nature of the alleged violation or violations; and
(ii) specify the administrative and judicial remedies available to the person or persons subject to the order, including the availability of a hearing and subsequent appeal.
(3) Administrative appellate review
The decision and order of an administrative judge shall be the recommended decision and order and shall be referred to the head of the designated executive agency for final decision and order. If, within 60 days, the head of the designated executive agency does not modify or vacate the decision and order, it shall become a final agency action under this subsection.
(4) Judicial review
A person adversely affected by a final order may, within 30 days after the date the final order is issued, file a petition in the Court of Appeals for the District of Columbia Circuit or in the Court of Appeals for the district in which the violation occurred.
(5) Enforcement of final orders
(A) In general
If a person fails to comply with a final order issued against such person under this subsection and—
(i) the person has not filed a petition for judicial review of the order in accordance with paragraph (4), or
(ii) a court in an action brought under paragraph (4) has entered a final judgment in favor of the designated executive agency,
the head of the designated executive agency shall commence a civil action to seek compliance with the final order in any appropriate district court of the United States.
(B) No review
In any such civil action, the validity and appropriateness of the final order shall not be subject to review.
(C) Interest
Payment of penalties assessed in a final order under this section shall include interest at currently prevailing rates calculated from the date of expiration of the 60-day period referred to in paragraph (3) or the date of such final order, as the case may be.
(b) Criminal
Any person who violates
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§8143. Specific enforcement
(a) Jurisdiction
The district courts of the United States shall have jurisdiction over civil actions brought by the head of an executive agency designated under
(1) to restrain any conduct in violation of
(2) to compel the taking of any action required by or under this chapter or the Additional Protocol.
(b) Civil actions
(1) In general
A civil action described in subsection (a) may be brought—
(A) in the case of a civil action described in paragraph (1) of such subsection, in the United States district court for the judicial district in which any act, omission, or transaction constituting a violation of
(B) in the case of a civil action described in paragraph (2) of such subsection, in the United States district court for the judicial district in which the defendant is found or transacts business.
(2) Service of process
In any such civil action, process shall be served on a defendant wherever the defendant may reside or may be found.
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SUBCHAPTER V—ENVIRONMENTAL SAMPLING
§8151. Notification to Congress of IAEA Board approval of wide-area environmental sampling
(a) In general
Not later than 30 days after the date on which the Board of Governors of the IAEA approves wide-area environmental sampling for use as a safeguards verification tool, the President shall notify the appropriate congressional committees.
(b) Content
The notification under subsection (a) shall contain—
(1) a description of the specific methods and sampling techniques approved by the Board of Governors that are to be employed for purposes of wide-area sampling;
(2) a statement as to whether or not such sampling may be conducted in the United States under the Additional Protocol; and
(3) an assessment of the ability of the approved methods and sampling techniques to detect, identify, and determine the conduct, type, and nature of nuclear activities.
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§8152. Application of national security exclusion to wide-area environmental sampling
In accordance with Article 1(b) of the Additional Protocol, the United States shall not permit any wide-area environmental sampling proposed by the IAEA to be conducted at a specified location in the United States under Article 9 of the Additional Protocol unless the President has determined and reported to the appropriate congressional committees with respect to that proposed use of environmental sampling that—
(1) the proposed use of wide-area environmental sampling is necessary to increase the capability of the IAEA to detect undeclared nuclear activities in the territory of a non-nuclear-weapon State Party;
(2) the proposed use of wide-area environmental sampling will not result in access by the IAEA to locations, activities, or information of direct national security significance; and
(3) the United States—
(A) has been provided sufficient opportunity for consultation with the IAEA if the IAEA has requested complementary access involving wide-area environmental sampling; or
(B) has requested under Article 8 of the Additional Protocol that the IAEA engage in complementary access in the United States that involves the use of wide-area environmental sampling.
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§8153. Application of national security exclusion to location-specific environmental sampling
In accordance with Article 1(b) of the Additional Protocol, the United States shall not permit any location-specific environmental sampling in the United States under Article 5 of the Additional Protocol unless the President has determined and reported to the appropriate congressional committees with respect to that proposed use of environmental sampling that—
(1) the proposed use of location-specific environmental sampling is necessary to increase the capability of the IAEA to detect undeclared nuclear activities in the territory of a non-nuclear-weapon State Party;
(2) the proposed use of location-specific environmental sampling will not result in access by the IAEA to locations, activities, or information of direct national security significance; and
(3) with respect to the proposed use of environmental sampling, the United States—
(A) has been provided sufficient opportunity for consultation with the IAEA if the IAEA has requested complementary access involving location-specific environmental sampling; or
(B) has requested under Article 8 of the Additional Protocol that the IAEA engage in complementary access in the United States that involves the use of location-specific environmental sampling.
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§8154. Rule of construction
As used in this subchapter, the term "necessary to increase the capability of the IAEA to detect undeclared nuclear activities in the territory of a non-nuclear-weapon State Party" shall not be construed to encompass proposed uses of environmental sampling that might assist the IAEA in detecting undeclared nuclear activities in the territory of a non-nuclear-weapon State Party by—
(1) setting a good example of cooperation in the conduct of such sampling; or
(2) facilitating the formation of a political consensus or political support for such sampling in the territory of a non-nuclear-weapon State Party.
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SUBCHAPTER VI—PROTECTION OF NATIONAL SECURITY INFORMATION AND ACTIVITIES
§8161. Protection of certain information
(a) Locations and facilities of direct national security significance
No current or former Department of Defense or Department of Energy location, site, or facility of direct national security significance shall be declared or be subject to IAEA inspection under the Additional Protocol.
(b) Information of direct national security significance
No information of direct national security significance regarding any location, site, or facility associated with activities of the Department of Defense or the Department of Energy shall be provided under the Additional Protocol.
(c) Restricted data
Nothing in this chapter shall be construed to permit the communication or disclosure to the IAEA or IAEA employees of restricted data controlled by the provisions of the Atomic Energy Act of 1954 (
(d) Classified information
Nothing in this Act shall be construed to permit the communication or disclosure to the IAEA or IAEA employees of national security information and other classified information.
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Editorial Notes
References in Text
The Atomic Energy Act of 1954, referred to in subsec. (c), is act Aug. 1, 1946, ch. 724, as added by act Aug. 30, 1954, ch. 1073, §1,
This Act, referred to in subsec. (d), is
§8162. IAEA inspections and visits
(a) Certain individuals prohibited from obtaining access
No national of a country designated by the Secretary of State under
(b) Presence of United States Government personnel
IAEA inspectors shall be accompanied at all times by United States Government personnel when inspecting sites, locations, facilities, or activities in the United States under the Additional Protocol.
(c) Vulnerability and related assessments
The President shall conduct vulnerability, counterintelligence, and related assessments not less than every 5 years to ensure that information of direct national security significance remains protected at all sites, locations, facilities, and activities in the United States that are subject to IAEA inspection under the Additional Protocol.
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SUBCHAPTER VII—REPORTS
§8171. Report on initial United States declaration
Not later than 60 days before submitting the initial United States declaration to the IAEA under the Additional Protocol, the President shall submit to Congress a list of the sites, locations, facilities, and activities in the United States that the President intends to declare to the IAEA, and a report thereon.
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§8172. Report on revisions to initial United States declaration
Not later than 60 days before submitting to the IAEA any revisions to the United States declaration submitted under the Additional Protocol, the President shall submit to Congress a list of any sites, locations, facilities, or activities in the United States that the President intends to add to or remove from the declaration, and a report thereon.
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§8173. Content of reports on United States declarations
The reports required under
(1) each site, location, facility, and activity included in the list has been examined by each agency with national security equities with respect to such site, location, facility, or activity; and
(2) appropriate measures have been taken to ensure that information of direct national security significance will not be compromised at any such site, location, facility, or activity in connection with an IAEA inspection.
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§8174. Report on efforts to promote the implementation of additional protocols
Not later than 180 days after the entry into force of the Additional Protocol, the President shall submit to the appropriate congressional committees a report on—
(1) measures that have been or should be taken to achieve the adoption of additional protocols to existing safeguards agreements signed by non-nuclear-weapon State Parties; and
(2) assistance that has been or should be provided by the United States to the IAEA in order to promote the effective implementation of additional protocols to existing safeguards agreements signed by non-nuclear-weapon State Parties and the verification of the compliance of such parties with IAEA obligations, with a plan for providing any needed additional funding.
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§8175. Notice of IAEA notifications
The President shall notify Congress of any notifications issued by the IAEA to the United States under Article 10 of the Additional Protocol.
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SUBCHAPTER VIII—AUTHORIZATION OF APPROPRIATIONS
§8181. Authorization of appropriations
There are authorized to be appropriated such sums as may be necessary to carry out this chapter.
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