SENATE AMENDED PRIOR PRINTER'S NOS. 2133, 3112 PRINTER'S NO. 3792
No. 1743 Session of 1989
INTRODUCED BY ITKIN AND J. L. WRIGHT, JUNE 20, 1989
SENATOR FISHER, ENVIRONMENTAL RESOURCES AND ENERGY, IN SENATE, AS AMENDED, JUNE 20, 1990
AN ACT 1 Creating a fee system to cover the costs related to the 2 establishment of a low-level radioactive waste disposal 3 regional facility in Pennsylvania; and regulating certain 4 low-level waste. 5 TABLE OF CONTENTS 6 Chapter 1. General Provisions 7 Section 101. Short title. 8 Section 102. Legislative findings and purpose. 9 Section 103. Definitions. 10 Section 104. Regulation of certain waste. 11 Chapter 3. Regional Facility Siting Fund 12 Section 301. Regional Facility Siting Fund. 13 Section 302. Fund contribution. 14 Section 303. Reconciliation of control account. 15 Section 304. Records and audits. 16 Section 305. Default. 17 Section 306. Withdrawal from Compact.
1 Section 307. Participation in regulatory proceedings. 2 Section 308. Retention of records. 3 Section 309. Construction. 4 Section 310. Expiration of fund. 5 Chapter 5. Disclosure Statements 6 Section 501. Requirements. 7 Section 502. Content. 8 Section 503. Procedure. 9 Section 504. Rules and regulations. 10 Chapter 11. Miscellaneous Provisions 11 Section 1101. Effective date. 12 The General Assembly of the Commonwealth of Pennsylvania 13 hereby enacts as follows: 14 CHAPTER 1 15 GENERAL PROVISIONS 16 Section 101. Short title. 17 This act shall be known and may be cited as the Low-Level 18 Radioactive Waste Disposal Regional Facility Act. 19 Section 102. Legislative findings and purpose. 20 (a) Findings.--The General Assembly finds: 21 (1) That the Low-Level Radioactive Waste Policy 22 Amendments Act of 1985 and the Appalachian States Low-Level 23 Radioactive Waste Compact Law, adopted pursuant thereto, 24 requires the Commonwealth to timely provide a regional 25 facility for disposal of low-level radioactive waste 26 generated within Compact member states; that the waste 27 generators are required, under the terms of the Appalachian 28 States Low-Level Radioactive Waste Compact Law and the Low- 29 Level Radioactive Waste Disposal Act, to pay the costs of 30 developing, establishing, and operating the low-level 19890H1743B3792 - 2 -
1 radioactive waste disposal facility; and that such costs 2 associated with preconstruction development of the facility 3 are estimated to be approximately $33,000,000. 4 (2) That those activities which generate low-level 5 radioactive wastes requiring disposal contribute to the 6 health and welfare of the citizens of the Compact member 7 states, and advance payment of funds by certain waste 8 generators will enhance the timely availability of a disposal 9 site and reduce the costs of waste disposal. 10 (b) Purpose.--The General Assembly therefore establishes 11 that the purposes of this act are as follows: 12 (1) To establish a low-level radioactive waste disposal 13 regional facility siting fund which would: 14 (i) Require nuclear power reactor constructors and 15 operators situated in this Commonwealth to pay to the 16 Department of Environmental Resources funds to be 17 utilized for reasonable and proper expenses, subject to 18 limitations set forth herein, that are incurred by the 19 department, its consultants, and the selected regional 20 facility operator in execution of activities required by 21 section 307 of the Low-Level Radioactive Waste Disposal 22 Act. 23 (ii) Authorize and encourage other potential users 24 of the regional facility to make voluntary payments to 25 the department for the purposes stated in subparagraph 26 (i). 27 (2) To provide for the recovery of an equitable portion 28 of funds advanced by persons described under paragraph (1) by 29 allowing them credits against surcharges to be billed to all 30 waste depositors by the department. 19890H1743B3792 - 3 -
1 Section 103. Definitions. 2 The following words and phrases when used in this act shall 3 have the meanings given to them in this section unless the 4 context clearly indicates otherwise: 5 "Appalachian States Low-Level Radioactive Waste Compact Law." 6 The act of December 22, 1985 (P.L.539, No.120). 7 "Business concern." Any corporation, association, firm, 8 partnership, trust or other form of commercial organization. 9 "Contractor." A person who enters into a contract with the 10 department TO IMPLEMENT THE LOW-LEVEL RADIOACTIVE WASTE DISPOSAL <-- 11 ACT. 12 "Contributor." A person who is mandated to make or who is 13 voluntarily making contributions to the fund. 14 "DEBT LIABILITY." AN OBLIGATION TO REPAY FUNDS ADVANCED FOR <-- 15 THE OVERALL OPERATIONS OR THE ACQUISITION OR REFINANCING OF 16 MAJOR ASSETS OF A CONTRACTOR OR CONTRIBUTOR, EXCLUDING THE 17 OBLIGATION TO REPAY NONAFFILIATED SUPPLIERS OF MATERIALS, 18 EQUIPMENT, SUPPLIES OR INVENTORY ENTERED INTO IN THE ORDINARY 19 COURSE OF BUSINESS. 20 "Department." The Department of Environmental Resources of 21 the Commonwealth. 22 "Disclosure statement." A statement submitted to the 23 department by a contributor or contractor as provided for in 24 chapter 5. 25 "Fund." The Regional Facility Siting Fund created by this 26 act. 27 "Key employee." Any person employed by the contractor or the 28 contributor in a supervisory capacity or empowered to make 29 discretionary decisions with respect to the radioactive waste 30 operations of the business concern but shall not include 19890H1743B3792 - 4 -
1 employees exclusively engaged in the physical or mechanical 2 collection, transportation, treatment, storage or disposal of 3 radioactive waste. 4 "Low-Level Radioactive Waste Disposal Act." The act of 5 February 9, 1988 (P.L.31, No.12). 6 "Low-Level Radioactive Waste Policy Amendments Act of 1985." 7 Public Law 99-240, 99 Stat. 1842, 42 U.S.C. § 2021b et seq. 8 "Waste depositor." Any person disposing of low-level 9 radioactive waste in the regional facility during the operative 10 period of this act. 11 Section 104. Regulation of certain waste. 12 Low-level radioactive waste, as defined in the Low-Level 13 Radioactive Waste Disposal Act, generated by any government 14 agency or pursuant to a government contract or license, which 15 was classified by the United States Nuclear Regulatory 16 Commission as low-level radioactive waste as of January 1, 1989, 17 whether or not such waste has been deregulated to below 18 regulatory concern by the United States Nuclear Regulatory 19 Commission or other Federal agency, shall only be disposed of at 20 a commercial waste facility licensed BY OR OPERATED BY OR FOR A <-- 21 FEDERAL GOVERNMENT AGENCY OR LICENSED BY A STATE UNDER AN 22 AGREEMENT WITH SUCH AN AGENCY, for disposal of radioactive waste 23 by the Commonwealth of Pennsylvania. Unless required under <-- 24 Federal law, the Commonwealth does not assume responsibility or 25 ownership over these wastes by retaining jurisdiction over their 26 storage and disposal. 27 CHAPTER 3 28 REGIONAL FACILITY SITING FUND 29 Section 301. Regional Facility Siting Fund. 30 (a) Establishment.--There shall be established within the 19890H1743B3792 - 5 -
1 State Treasury an interest-bearing, non-lapsing, restricted 2 account to be known as the Regional Facility Siting Fund. 3 (b) Deposits.--All mandated and voluntary contributions 4 under this act, together with actual interest earned on these 5 contributions by the State Treasurer, shall be deposited into 6 the fund. Separate accounting of contributions and actual 7 interest earned thereon shall be continuously maintained for 8 purposes of implementing sections 306 and 310. 9 (c) Appropriation and purpose.--Moneys in the fund are 10 hereby appropriated and, upon authorization of the Governor, may 11 be expended by the department on a continuing basis solely for 12 the following purposes: 13 (1) Reimbursement of expenses incurred by the regional 14 facility operator for regional facility site selection, 15 regional facility design and land purchase activities, but 16 not to include any profit. 17 (2) Fees paid by the department to consultants for the 18 purpose of assisting the department in the implementation of 19 the Low-Level Radioactive Waste Disposal Act. 20 (3) Cost of the department for its expenses incurred in 21 the implementation of the Low-Level Radioactive Waste 22 Disposal Act. 23 (d) Disbursements.--Each disbursement from the fund shall be 24 deemed to be made from both contributions, and actual interest 25 earned thereon, in the same proportion as each bears to the 26 fund's total balance at the time of such disbursement. 27 Section 302. Fund contribution. 28 (a) Maximum fund contribution.--The sum of $33,000,000, 29 exclusive of interest earned or imputed, shall be the maximum 30 amount to be paid by mandated fund contributors. The actual 19890H1743B3792 - 6 -
1 amounts to be paid by mandated fund contributors shall be 2 ratably reduced to the extent that the department determines 3 that an amount less than $33,000,000 suffices for the purposes 4 of this act, to the extent of voluntary contributions received 5 or reasonably anticipated, or to the extent of actual 6 commitment, for the purposes of this act, of financial resources 7 by persons or organizations other than mandated or voluntary 8 contributors. It is the intent of this section that no funds 9 significantly in excess of those reasonably required to 10 effectuate the purposes of this act be paid into the fund. 11 (b) Mandated fund contributors.-- 12 (1) Each person who is constructing or is operating in 13 Pennsylvania, pursuant to a construction permit or operating 14 license issued by the United States Nuclear Regulatory 15 Commission, one or more of the nine nuclear power reactor 16 facilities identified in this subsection, which are expected 17 to produce electric energy for commercial purposes and low- 18 level radioactive waste for significant portions of the 19 functional life of the regional facility, shall pay to the 20 department a mandated contribution in the form of a fee for 21 each such reactor facility in the amount and at such time as 22 follows: 23 Date of required payment Fee per reactor 24 Not later than the 30th day 25 following the effective date 26 of this act................................$933,000 27 July 1, 1990.............................$1,200,000 <-- 28 July 1, 1991...............................$933,000 29 July 1, 1992...............................$333,000 30 July 1, 1993...............................$264,000 19890H1743B3792 - 7 -
1 JULY 1, 1991.............................$1,200,000 <-- 2 JULY 1, 1992...............................$933,000 3 JULY 1, 1993...............................$597,000 4 (2) The provisions of this subsection shall be 5 applicable to the following nuclear power reactor facilities, 6 which are producing or are reasonably anticipated to produce 7 electric energy for commercial purposes and are generating or 8 are reasonably anticipated to generate low-level radioactive 9 waste throughout a significant portion of the functional life 10 of the regional facility: 11 (i) Beaver Valley - No. 1 12 (ii) Beaver Valley - No. 2 13 (iii) Limerick - No. 1 14 (iv) Limerick - No. 2 15 (v) Peach Bottom - No. 2 16 (vi) Peach Bottom - No. 3 17 (vii) Susquehanna - No. 1 18 (viii) Susquehanna - No. 2 19 (ix) Three Mile Island - No. 1 20 (c) Voluntary fund contributors.--Any person, other than one 21 required to make fund contributions pursuant to subsection (b), 22 in an Appalachian States Compact member state who anticipates 23 future use of the regional facility may, in one or more of the 24 annual payment periods specified in subsection (b), make a 25 voluntary contribution to the fund by payment to the department. 26 Unless clearly stated otherwise, for the purposes of this act 27 generally, and for the purposes of section 303 specifically, a 28 person making such a voluntary contribution shall, to the extent 29 of that contribution, be regarded without distinction as a 30 mandated contributor. Such designation does not obligate or 19890H1743B3792 - 8 -
1 require future contributions by such persons. Voluntary 2 contributions shall be applied by the department to reduce the 3 fees of mandated contributors on a pro rata basis. 4 (d) Contributor reconciliation accounts.--At all times 5 during the effective period of this act, the department shall 6 maintain a reconciliation ledger consisting of a reconciliation 7 account for each person making a contribution under this 8 section. Contributions by such person, and the imputed 9 interested accrued pursuant to subsection (e), shall be promptly 10 debited to the contributor's reconciliation account. Fee 11 payments, and imputed interest thereon, by a person who is a 12 mandated contributor for more than one nuclear power reactor 13 facility shall, for the purposes of this act, be merged in a 14 single reconciliation account in the name of such person. 15 (e) Imputed interest.--Mandated and voluntary contributions 16 made under this section shall accrue imputed interest. Such 17 interest shall be computed on an annual basis for the period 18 beginning with the time of receipt of a contribution and ending 19 on each successive June 30th. Such interest shall be simple 20 annual interest at a rate equal to the rate then being imposed 21 by the Department of Revenue for unpaid State taxes due and 22 payable to the Commonwealth. It is the intent of this subsection 23 to properly recognize the time value of funds contributed so as 24 to allow for inclusion of that additional imputed interest in 25 fixing surcharges provided for by section 303. Accordingly, 26 withdrawal from the fund and expenditure by the department of 27 funds contributed under this section shall not be credited 28 against, deducted from, or otherwise cause to diminish the debit 29 balance of contributors' reconciliation accounts on which 30 imputed interest is accrued under this subsection. The imputed 19890H1743B3792 - 9 -
1 interest required by this subsection is a separate and distinct 2 calculation for the purpose of implementing section 303 and 3 shall not, for any purpose or in any circumstance, be regarded 4 as the actual interest on amounts in the fund which may be 5 earned pursuant to section 301(a). 6 (f) Final value of contributions.--For the purposes of 7 determining surcharges and otherwise administering the 8 provisions of section 303, the debit balance in each 9 contributor's reconciliation account as of June 30, 1994, 10 together with imputed interest accrued thereon, shall be 11 regarded as the final reconciliation account value of each 12 contributor, and the sum of all such contributor's final 13 reconciliation account values shall be regarded as the final 14 reconciliation control account value. No further imputed 15 interest shall be accrued after that date on the final 16 reconciliation account value of each contributor's account. 17 (g) Host Municipal Long-Term Residual Radioactive Waste <-- 18 Disposal Fund.-- 19 (1) In addition to the fees otherwise collected under 20 this section, each person who is constructing or operating a 21 facility in this Commonwealth shall pay an additional fee in 22 the amount of 10% of the fee established under the schedule 23 contained in subsection (b). These funds shall be paid into 24 an interest-bearing, nonlapsing, restricted account to be 25 known as the Host Municipal Long-Term Residual Radioactive 26 Waste Disposal Fund, which is hereby established in the State 27 Treasury. All moneys in this account, including all interest 28 earned thereon, are hereby appropriated to the department on 29 a continuing basis specifically and only for the purpose of 30 making the payments provided in this section. No costs shall 19890H1743B3792 - 10 -
1 be deducted for expenses of administration of the disposal 2 fund. 3 (2) At the time of decommissioning of any of the nuclear 4 power reactor facilities listed in subsection (b)(2), payment 5 in an amount determined by dividing the balance of the 6 disposal fund by the number of remaining reactor facilities 7 shall be made to the host municipality in which the nuclear 8 power reactor facility is located. A host municipality may 9 expend money received under this subsection for any purpose 10 for which the municipality is otherwise authorized by law to 11 expend funds. 12 (3) As used in this subsection, the term "decommission" 13 means the time at which a nuclear power reactor facility is 14 permanently removed from the service of providing power. 15 (G) HOST MUNICIPALITY LOW-LEVEL RADIOACTIVE WASTE FUND.-- <-- 16 (1) EACH PERSON WHO IS CONSTRUCTING OR IS OPERATING ONE 17 OR MORE OF THE NINE NUCLEAR POWER REACTOR FACILITIES 18 IDENTIFIED IN SUBSECTION (B) SHALL PAY TO THE HOST 19 MUNICIPALITY OF EACH SUCH FACILITY FIVE ANNUAL PAYMENTS OF 20 $36,000 FOR EACH SUCH FACILITY. THE FIRST SUCH ANNUAL PAYMENT 21 SHALL BE PAID 30 DAYS AFTER THE FIRST DAY THE REGIONAL 22 FACILITY BEGAN OPERATION AND WAS CAPABLE OF ACCEPTING FOR 23 DISPOSAL WASTE FROM ANY WASTE DEPOSITOR. EACH OF THE 24 REMAINING FOUR ANNUAL PAYMENTS SHALL BE PAID AT THE END OF 25 FOUR SUCCESSIVE 12-MONTH PERIODS FOLLOWING THE DATE ON WHICH 26 THE FIRST ANNUAL PAYMENT WAS MADE. 27 (2) FOR THE PURPOSES OF THIS SECTION ONLY, THE TERM 28 "HOST MUNICIPALITY" SHALL MEAN THE MUNICIPALITY OTHER THAN 29 THE COUNTY WITHIN WHICH ONE OR MORE OF THE NINE NUCLEAR POWER 30 REACTOR FACILITIES IS LOCATED. IN THE EVENT THAT SUCH A 19890H1743B3792 - 11 -
1 FACILITY IS LOCATED WITHIN MORE THAN ONE SUCH HOST 2 MUNICIPALITY, EACH ANNUAL PAYMENT SHALL BE EQUALLY DIVIDED 3 AMONG THEM. A HOST MUNICIPALITY MAY EXPEND MONEY RECEIVED 4 UNDER THIS SUBSECTION FOR ANY PURPOSE FOR WHICH THE 5 MUNICIPALITY IS OTHERWISE AUTHORIZED BY LAW TO EXPEND FUNDS. 6 Section 303. Reconciliation of control account. 7 (a) Intent.--It is the intent of this section to provide a 8 procedure to assure that each fund contributor be provided 9 credits, to the extent of its final reconciliation account 10 value, against surcharges to be imposed on all waste depositors 11 under section 315(c) of the Low-Level Radioactive Waste Disposal 12 Act. 13 (b) Reconciliation period for final reconciliation control 14 account.--The final reconciliation account value of each 15 contributor shall be reconciled over ten annual reconciliation 16 periods against any surcharges on waste depositors imposed by 17 the department under section 315(c) of the Low-Level Radioactive 18 Waste Disposal Act. The first annual reconciliation period shall 19 commence with the first day of the first month of the fifth 20 calendar quarter during which waste is deposited in the regional 21 facility. 22 (c) Reconciliation credits.--For each annual reconciliation 23 period, the department shall determine the revenue required by 24 all surcharges to be imposed under section 315(c) of the Low- 25 Level Radioactive Waste Disposal Act and add to such requirement 26 an additional amount equal to one-tenth of the final 27 reconciliation control account value, the sum to be termed the 28 annual reconciliation period revenue. An annual reconciliation 29 period surcharge rate applicable to current reconciliation 30 period disposal operations shall be then determined by dividing 19890H1743B3792 - 12 -
1 the annual reconciliation period revenue by the total volume and 2 waste classification of waste deposited in the regional facility 3 by all waste depositors during the preceding 12 months. The 4 annual surcharge rate thus determined shall be multiplied by the 5 volume and waste classification of waste deposited at the 6 regional facility in the current reconciliation period by each 7 waste depositor and the resulting surcharge assessed upon each 8 such waste depositor. The surcharge assessment of such a waste 9 depositor who is a fund contributor shall be credited in an 10 amount up to one-tenth of its final reconciliation account 11 value. If, in any reconciliation period, the applicable 12 surcharge assessment shall be less than one-tenth of the fund 13 contributor's final reconciliation account value, the difference 14 may be carried over and usable as additional credit against 15 applicable surcharges in the next reconciliation period or 16 alternatively applied to any permit fee imposed under section 17 315(a) of the Low-Level Radioactive Waste Disposal Act. 18 Section 304. Records and audits. 19 (a) Records.--In addition to the particular records and 20 accounts specified elsewhere in this act, the department, at all 21 times during the effective period of this act, shall maintain 22 such additional records and accounts in such form and manner as 23 will allow detailed review, examination and audit, by the 24 Auditor General, of all monetary transactions pursuant to this 25 act. 26 (b) Fiscal audits.--Within 120 days following June 30 of 27 each of the fiscal years 1990 through 1994 and the fiscal year 28 in which the facility begins licensed operations, the department 29 shall furnish to each fund contributor three copies of a 30 financial audit performed in accordance with generally accepted 19890H1743B3792 - 13 -
1 auditing standards compatible with the most intensive current
2 practices of the Department of the Auditor General. Such audit
3 shall be performed by the Department of the Auditor General.
4 (c) Expenses.--The department may withdraw from the fund
5 such amounts as are reasonably necessary and proper for
6 reimbursement of audit costs.
7 Section 305. Default.
8 (a) Default.--For the purposes of this act, a default shall
9 be deemed to be a material failure to timely make available for
10 waste deposition a functioning regional facility conforming in
11 all material respects to applicable law. In addition to any
12 other such circumstance or set of circumstances, any of the
13 following may SHALL be deemed to be a default: <--
14 (1) Termination of the contract to be entered into by
15 the department on or about May 1, 1990, with a regional
16 facility operator, prior to submittal to the DEPARTMENT OR <--
17 THE appropriate Federal agency of a license application for
18 such a facility.
19 (2) Failure by the regional facility operator to
20 commence physical construction of a regional facility by
21 January 1, 1996, at a site having final approval of the
22 Secretary of Environmental Resources.
23 (3) Failure by the department to move forward to site
24 approval and to operate a site where there has been a default
25 by the regional facility operator.
26 (b) Declaration of default.--The Appalachian States Compact
27 Commission may declare a default when a majority of both
28 mandatory and voluntary fund contributors request such, setting
29 forth in a written declaration, the circumstances constituting
30 the default.
19890H1743B3792 - 14 -
1 (c) Special rights and remedies.-- 2 (1) Upon the declaration of default, the rights and 3 remedies specified in this subsection shall be available to 4 fund contributors, and duties specified by this subsection 5 shall be imposed on the department. 6 (2) Each fund contributor shall, within 60 days of 7 declaration of default, be refunded a pro rata amount of 8 unexpended contributions, including actual interest earned 9 thereon, remaining in the fund in the proportion that each 10 contributor's contributions to the date bears to the total 11 contributions of all contributors to that date. Contributions 12 in transit or received by the department on or after that 13 date shall not be deposited in the fund, but shall be 14 returned to the sender. 15 (3) The department shall refund to fund contributors all 16 moneys, including the portion thereof attributable to actual 17 interest earned thereon, previously released to the facility 18 operator to the extent that the department has or will 19 receive any or all of such moneys as a result of the default. 20 From time to time, upon recovery of reasonable amounts of 21 such moneys, the department shall refund these moneys to each 22 fund contributor in the same pro rata proportion stated in 23 paragraph (2). 24 (d) Remedies preserved.--Nothing in this section shall be in 25 any way construed to limit the rights and remedies available to 26 a fund contributor at law or equity. In no event shall the 27 department or the Commonwealth be liable for unrecovered 28 expended portions of the fund. 29 Section 306. Withdrawal from Compact. 30 In the event that a Compact member state withdraws from the 19890H1743B3792 - 15 -
1 Compact before June 30, 1994, any person in such Compact member 2 state who has made voluntary contributions shall be entitled to 3 a refund of such contributions, not to include any actual 4 interest earned on such contributions. The department may, 5 pursuant to section 303, impose additional fees on mandated 6 contributors sufficient to provide the amount to be refunded. 7 This refund shall be paid when such additional fees become 8 available to the department. 9 Section 307. Participation in regulatory proceedings. 10 (a) Department.--Upon request of any admitted party to a 11 regulatory proceeding, including a contributor that is a public 12 utility, the department may agree to appear in proceedings 13 before or present appropriate submittals to that contributor's 14 public utility regulatory body regarding the contributor's 15 contribution to the fund. A contributor making such request 16 shall compensate the department for its actual costs for travel, 17 lodging and other out-of-pocket or administrative expenses 18 incurred in compliance with this request. 19 (b) Affidavit.--If the department does not appear, it may 20 submit an affidavit providing information relative to such 21 contributions and surcharges relating to the fund and made or 22 imposed under this act. 23 Section 308. Retention of records. 24 The department shall retain, in a reasonably accessible form 25 and place, all records pertaining to contributions, surcharges 26 and reconciliations made under this act for a period of seven 27 years beyond its termination. The department shall permit access 28 to all records pertaining to contributions, surcharges and 29 reconciliations made under this act. 30 Section 309. Construction. 19890H1743B3792 - 16 -
1 This act shall be construed in pari materia with the 2 Appalachian States Low-Level Radioactive Waste Compact Law and 3 the Low-Level Radioactive Waste Disposal Act. 4 Section 310. Expiration of fund. 5 The fund shall expire one year following the last day of the 6 tenth annual reconciliation period pursuant to section 303. 7 Unexpended amounts then remaining in the fund attributable to 8 actual contributions, and exclusive of actual interest earned on 9 such contributions, shall be refunded to each contributor in the 10 proportion that each contributor's contributions to the fund 11 bears to the total of all such contributions. Unexpended amounts 12 then remaining in the fund attributable to actual interest 13 earned on contributions shall be transferred to the Low-Level 14 Waste Fund, as established under the Low-Level Radioactive Waste 15 Disposal Act. 16 CHAPTER 5 17 DISCLOSURE STATEMENTS 18 Section 501. Requirements. 19 In addition to any procedure, condition or information 20 requirement of the Low-level Radioactive Waste Disposal Act, 21 every contractor or contributor shall file the disclosure 22 statement required under this chapter with the department and <-- 23 the Attorney General. 24 Section 502. Content. 25 The disclosure statement shall include the following: 26 (1) The full name, business address and social security <-- 27 number of the contractor or contributor, or, if the 28 contractor or contributor is a business concern, of any 29 officers, directors, partners or key employees thereof and 30 all persons or business concerns holding any equity in or 19890H1743B3792 - 17 -
1 debt liability of that business concern. If the business 2 concern is a publicly traded corporation, the disclosure 3 statement shall include all persons or business concerns 4 holding more than 5% of the equity in or debt liability of 5 that business concern, except that, where the debt liability 6 is held by a chartered lending institution, the contractor or 7 contributor need only supply the name and business address of 8 the lending institution. 9 (2) The full name, business address and social security 10 number of all officers, directors or partners of any business 11 concern disclosed in the statement and the names and 12 addresses of all persons holding any equity in or the debt 13 liability of any business concern so disclosed. If the 14 business concern is a publicly traded corporation, the 15 disclosure statement shall include all persons or business 16 concerns holding more than 5% of the equity in or debt 17 liability of that business concern, except that, where the 18 debt liability is held by a chartered lending institution, 19 the contractor or contributor need only supply the name and 20 business address of the lending institution. 21 (1) THE FULL NAME, BUSINESS ADDRESS AND FEDERAL TAX <-- 22 IDENTIFICATION NUMBER OF A CONTRACTOR OR CONTRIBUTOR OR, IF 23 THE CONTRACTOR OR CONTRIBUTOR IS A BUSINESS CONCERN, THE FULL 24 NAME, BUSINESS ADDRESS AND SOCIAL SECURITY NUMBER OF ALL 25 OFFICERS, DIRECTORS, PARTNERS OR KEY EMPLOYEES THEREOF, AND 26 EVERY PERSON HOLDING ANY EQUITY IN OR DEBT LIABILITY OF THAT 27 BUSINESS CONCERN. IF SUCH BUSINESS CONCERN OR ITS PARENT 28 ORGANIZATION IS A PUBLICLY TRADED CORPORATION OR THE BUSINESS 29 CONCERN IS A SUBSIDIARY OF A PUBLICLY TRADED CORPORATION, THE 30 DISCLOSURE STATEMENT, WITH RESPECT TO THE IDENTITY OF ITS 19890H1743B3792 - 18 -
1 EQUITY OR DEBT HOLDERS, NEED ONLY IDENTIFY THE BENEFICIAL 2 OWNERS OF MORE THAN 5% OF THE EQUITY IN OR DEBT LIABILITY OF 3 SUCH BUSINESS CONCERN, EXCEPT THAT: 4 (I) WHERE THE DEBT LIABILITY OF SUCH BUSINESS 5 CONCERN OR ITS PARENT ORGANIZATION OR SUBSIDIARY IS HELD 6 BY A CHARTERED LENDING INSTITUTION, THE CONTRACTOR OR 7 CONTRIBUTOR NEED ONLY SUPPLY THE NAME AND BUSINESS 8 ADDRESS OF THE LENDING INSTITUTION; OR 9 (II) WHERE A CLASS OF EQUITY SECURITIES OF SUCH 10 BUSINESS CONCERN OR ITS PARENT ORGANIZATION OR SUBSIDIARY 11 IS REGISTERED ON A NATIONAL SECURITIES EXCHANGE, THE 12 CONTRACTOR OR CONTRIBUTOR WILL BE DEEMED IN COMPLIANCE 13 WITH ALL THE PROVISIONS OF THIS SECTION REQUIRING THE 14 DISCLOSURE OF ITS EQUITY AND DEBT LIABILITIES OF ITSELF, 15 ITS PARENT ORGANIZATION AND SUBSIDIARIES, IF THE BUSINESS 16 CONCERN SUPPLIES COPIES OF ANY FILINGS RECEIVED BY IT, 17 ITS PARENT ORGANIZATION AND SUBSIDIARIES, OF SCHEDULE 13- 18 D OR SCHEDULE 13-G PURSUANT TO THE SECURITIES EXCHANGE 19 ACT OF 1934 (48 STAT 881 15 U.S.C. § 78M(G)(1)). 20 (2) THE FULL NAME, BUSINESS ADDRESS AND SOCIAL SECURITY 21 NUMBER OF ALL OFFICERS, DIRECTORS OR PARTNERS OF ANY BUSINESS 22 CONCERN DISCLOSED IN THE STATEMENT AND THE NAMES AND 23 ADDRESSES OF ALL PERSONS HOLDING ANY EQUITY IN OR DEBT 24 LIABILITY OF ANY BUSINESS CONCERN SO DISCLOSED. IF SUCH 25 BUSINESS CONCERN OR ITS PARENT ORGANIZATION IS A PUBLICLY 26 TRADED CORPORATION OR IF THE BUSINESS CONCERN IS A SUBSIDIARY 27 OF A PUBLICLY TRADED CORPORATION, THE DISCLOSURE STATEMENT, 28 WITH RESPECT TO THE IDENTITY OF THE BUSINESS CONCERN'S EQUITY 29 OR DEBT HOLDERS, NEED ONLY IDENTIFY THE BENEFICIAL OWNERS OF 30 MORE THAN 5% OF THE EQUITY IN OR DEBT LIABILITY OF SUCH 19890H1743B3792 - 19 -
1 BUSINESS CONCERN; EXCEPT THAT: 2 (I) WHERE THE DEBT LIABILITY OF SUCH BUSINESS 3 CONCERN OR ITS PARENT ORGANIZATION OR SUBSIDIARY IS HELD 4 BY A CHARTERED LENDING INSTITUTION, THE CONTRACTOR OR 5 CONTRIBUTOR NEED ONLY SUPPLY THE NAME AND BUSINESS 6 ADDRESS OF THE LENDING INSTITUTION; OR 7 (II) WHERE A CLASS OF EQUITY SECURITIES OF SUCH 8 BUSINESS CONCERN OR ITS PARENT ORGANIZATION OR SUBSIDIARY 9 IS REGISTERED ON A NATIONAL SECURITIES EXCHANGE, THE 10 CONTRACTOR OR CONTRIBUTOR WILL BE DEEMED IN COMPLIANCE 11 WITH ALL THE PROVISIONS OF THIS SECTION REQUIRING THE 12 DISCLOSURE OF ITS EQUITY AND DEBT LIABILITIES OF ITSELF, 13 ITS PARENT ORGANIZATION AND SUBSIDIARIES, IF THE BUSINESS 14 CONCERN SUPPLIES COPIES OF ANY FILINGS RECEIVED BY IT, 15 ITS PARENT ORGANIZATION AND SUBSIDIARIES, OF SCHEDULE 13- 16 D OR SCHEDULE 13-G PURSUANT TO THE SECURITIES EXCHANGE 17 ACT OF 1934. 18 (3) The full name and business address of any company 19 which collects, transports, treats, stores or disposes of 20 radioactive waste and in which the contractor or contributor 21 holds an equity interest. 22 (4) A description of experience and credentials in, 23 including any past or present licenses for, the collection, 24 transportation, treatment, storage or disposal of radioactive 25 waste possessed by the contractor or contributor, or, if the 26 contractor or contributor is a business concern, by the key 27 employees, officers, directors or partners thereof. 28 (5) A listing and explanation of any notices of <-- 29 violation or prosecution, administrative orders or license 30 revocations which were issued by any State or Federal 19890H1743B3792 - 20 -
1 authority in the ten years immediately preceding and which 2 are pending or have resulted in a finding or a settlement of 3 a violation of any law or rule and regulation by the 4 contractor or contributor, or, if the contractor or 5 contributor is a business concern, by any key employee, 6 officer, director or partner thereof. 7 (6) A listing and explanation of any judgment of 8 liability or conviction which was rendered pursuant to any 9 State or Federal statute or local ordinance, against the 10 contractor or contributor, or, if the contractor or 11 contributor is a business concern, against any key employee, 12 officer, director or partner thereof. 13 (7) A listing of all labor unions and trade and business 14 associations with which the contractor or contributor had a 15 collective bargaining agreement during the preceding ten 16 years. 17 (8) A listing of any agencies outside this Commonwealth 18 which had regulatory responsibility over the contractor or 19 contributor in connection with his collection, 20 transportation, treatment, storage or disposal of radioactive 21 waste. 22 (9) Any other information the Attorney General or the 23 department may require that relates to the competency, 24 reliability or good character of the contractor or 25 contributor. 26 (5) A LISTING AND EXPLANATION OF ANY CIVIL JUDGMENT OR <-- 27 JUDGMENT OF SENTENCE WHICH WAS RENDERED WITHIN THE PREVIOUS 28 TEN YEARS, PURSUANT TO ANY FEDERAL OR STATE STATUTE, OR 29 AGAINST ANY PERSON REQUIRED TO BE LISTED ON THE DISCLOSURE 30 FORM, EXCEPT FOR ANY VIOLATION OF 75 PA.C.S. (RELATING TO 19890H1743B3792 - 21 -
1 VEHICLES) OR OFFENSE COMMITTED PRIOR TO THE AGE OF 18 FOR A 2 NATURAL PERSON UNLESS THE NATURAL PERSON WAS TRIED AS AN 3 ADULT, FOR THE FOLLOWING OFFENSES: 4 (I) MURDER. 5 (II) KIDNAPPING. 6 (III) GAMBLING. 7 (IV) ROBBERY. 8 (V) BRIBERY. 9 (VI) EXTORTION. 10 (VII) CRIMINAL USURY. 11 (VIII) ARSON. 12 (IX) BURGLARY. 13 (X) THEFT AND RELATED CRIMES. 14 (XI) FORGERY AND FRAUDULENT PRACTICES. 15 (XII) FRAUD IN THE OFFERING, SALE OR PURCHASE OF 16 SECURITIES. 17 (XIII) ALTERATION OF MOTOR VEHICLE IDENTIFICATION 18 NUMBERS. 19 (XIV) UNLAWFUL MANUFACTURE, PURCHASE, USE OR 20 TRANSFER OF FIREARMS. 21 (XV) UNLAWFUL POSSESSION OR USE OF DESTRUCTIVE 22 DEVICES OR EXPLOSIVES. 23 (XVI) VIOLATION OF FEDERAL OR STATE LAWS GOVERNING 24 THE SALE OR DISTRIBUTION OF CONTROLLED SUBSTANCES. 25 (XVII) VIOLATIONS OF THIS ACT. 26 (XVIII) PERJURY, FALSE SWEARING OR RELATED OFFENSES. 27 (XIX) VIOLATIONS OF 18 PA.C.S. § 911 (RELATING TO 28 CORRUPT ORGANIZATIONS). 29 (XX) VIOLATION OF 18 U.S.C. CH. 96 (RELATING TO THE 30 RACKETEER INFLUENCED AND CORRUPT ORGANIZATIONS). 19890H1743B3792 - 22 -
1 (XXI) FAILURE TO PAY FEDERAL OR STATE TAXES.
2 (XXII) VIOLATION OF THE ACT OF OCTOBER 28, 1983
3 (P.L.176, NO.45), KNOWN AS THE ANTIBID-RIGGING ACT.
4 (XXIII) VIOLATION OF FEDERAL OR STATE ANTI-TRUST
5 STATUTES BY THE CONTRACTOR OR CONTRIBUTOR OR ITS OFFICERS
6 OR MEMBERS OF THE BOARD OF DIRECTORS.
7 (6) WITH THE EXCEPTION OF AGENCIES OF THIS COMMONWEALTH,
8 A LISTING OF ANY AGENCY, FEDERAL OR STATE, THAT HAS HAD OR
9 HAS REGULATORY RESPONSIBILITY OVER THE CONTRACTOR OR
10 CONTRIBUTOR IN CONNECTION WITH ITS COLLECTION,
11 TRANSPORTATION, TREATMENT, STORAGE OR DISPOSAL OF LOW-LEVEL
12 RADIOACTIVE WASTE.
13 (7) ANY OTHER INFORMATION THE ATTORNEY GENERAL MAY
14 REQUIRE THAT RELATES TO THE CRIMINAL RECORD, COMPETENCY,
15 RELIABILITY OR CHARACTER OF THE CONTRACTOR OR CONTRIBUTOR.
16 Section 503. Procedure.
17 (a) Investigative report.--The Attorney General shall,
18 within 120 days of the receipt of the disclosure statement from
19 the contractor or contributor prepare and transmit to the
20 department an investigative report on the contractor or
21 contributor, based in part upon the disclosure statement, except
22 that this deadline may be extended for a reasonable period of
23 time, for good cause, by the department and the Attorney <--
24 General. THE INVESTIGATIVE REPORT PREPARED BY THE ATTORNEY <--
25 GENERAL SHALL BE EVALUATED BY THE DEPARTMENT PURSUANT TO
26 SECTIONS 308(G) AND 310(C) OF THE LOW-LEVEL RADIOACTIVE WASTE
27 DISPOSAL ACT UNDER THE CONTINUING OBLIGATION OF THE DEPARTMENT
28 TO EVALUATE THE COMPLIANCE HISTORY OF THE CONTRACTOR AND
29 CONTRIBUTORS COVERED BY THIS ACT. In preparing this report, the
30 Attorney General may request and receive criminal history
19890H1743B3792 - 23 -
1 information from the Federal Bureau of Investigation AND THE <-- 2 PENNSYLVANIA STATE POLICE. 3 (b) Duty of contractors and contributors.--All contractors 4 and contributors shall have the continuing duty to provide any 5 assistance or information requested by the department or the <-- 6 Attorney General and to cooperate in any inquiry or 7 investigation conducted by the Attorney General and in any 8 inquiry, investigation, or hearing conducted by the department. 9 If, upon issuance of a formal request to answer any inquiry or 10 produce information, evidence or testimony, any contractor or 11 contributor refuses to comply, the agreement or contract with 12 that person may be revoked by the department. 13 (c) Fee.--The Attorney General may charge and collect, in 14 accordance with a fee schedule adopted by regulation, such fees 15 from contractors and contributors as may be necessary to cover 16 the costs of enforcing this act. The fee shall be calculated on 17 the basis of $100 per each individual required to be listed in 18 the disclosure statement or shown to have a beneficial interest 19 other than an equity interest or debt liability in the business 20 of the contractor or the contributor. THE ATTORNEY GENERAL MAY <-- 21 REVISE THE FEE BY REGULATION. 22 (d) Changes and additions.--If any of the information <-- 23 required to be included in the disclosure statement changes, or 24 if any additional information should be added after the filing 25 of the statement, the contractor or contributor shall provide 26 that information to the department and Attorney General, in 27 writing, within 30 days of the change or addition. 28 Section 504. Rules and regulations. 29 The department with the advice of the Attorney General and in 30 the manner provided by law, shall promulgate the rules and 19890H1743B3792 - 24 -
1 regulations necessary to carry out this chapter.
2 (D) DISCLOSURE STATEMENT CHANGES.--THE CONTRACTOR OR <--
3 CONTRIBUTOR SHALL PROVIDE TO THE ATTORNEY GENERAL, IN WRITING,
4 ANY CHANGES TO INFORMATION IN THE DISCLOSURE STATEMENT OR ANY
5 SUPPLEMENTAL INFORMATION, WITHIN 30 DAYS OF ANY CHANGE IN
6 INFORMATION CONTAINED IN THE DISCLOSURE STATEMENT OR RECEIPT OF
7 THE SUPPLEMENTAL INFORMATION. IF A CLASS OF EQUITY SECURITIES OF
8 THE CONTRACTOR OR CONTRIBUTOR, OR ITS PARENT ORGANIZATION OR A
9 SUBSIDIARY OF A PUBLICLY TRADED CORPORATION, IS REGISTERED ON A
10 NATIONAL SECURITIES EXCHANGE, THE CONTRACTOR OR CONTRIBUTOR WILL
11 BE DEEMED IN COMPLIANCE WITH THE REQUIREMENTS OF THIS
12 SUBSECTION, AS TO REVISED AND SUPPLEMENTAL DISCLOSURE OF HOLDERS
13 OF ITS EQUITY AND DEBT LIABILITIES, IF IT SUPPLIES TO THE
14 ATTORNEY GENERAL, WITHIN 30 DAYS OF THE RECEIPT THEREOF, COPIES
15 OF ANY RELEVANT SCHEDULE 13-D OR SCHEDULE 13-G RECEIVED BY THE
16 CONTRACTOR OR CONTRIBUTOR, OR ITS PARENT ORGANIZATION OR A
17 SUBSIDIARY OF A PUBLICLY TRADED CORPORATION.
18 (E) ENFORCEMENT.--
19 (1) ALL CONTRACTORS, CONTRIBUTORS AND PERSONS REQUIRED
20 BY SECTION 502(2) TO BE LISTED ON THE DISCLOSURE FORM HAVE A
21 DUTY TO COOPERATE IN PROVIDING TESTIMONY, BOOKS, PAPERS,
22 CORRESPONDENCE, MEMORANDA, AGREEMENTS OR ANY OTHER DOCUMENTS
23 OR TESTIMONY NEEDED TO COMPLY WITH THIS CHAPTER.
24 (2) THE ATTORNEY GENERAL, FOR THE PURPOSE OF ANY
25 INVESTIGATION UNDER THIS CHAPTER, BELIEVING THAT A PERSON OR
26 ENTITY MAY BE IN POSSESSION, CUSTODY OR CONTROL OF
27 DOCUMENTARY EVIDENCE OR MAY HAVE INFORMATION RELEVANT TO THE
28 SUBJECT MATTER OF THIS CHAPTER, MAY ADMINISTER OATHS OR
29 AFFIRMATIONS, SUBPOENA WITNESSES, COMPEL THEIR ATTENDANCE,
30 TAKE EVIDENCE AND REQUIRE THE PRODUCTION OF ANY BOOKS,
19890H1743B3792 - 25 -
1 PAPERS, CORRESPONDENCE, MEMORANDA, AGREEMENTS OR ANY OTHER 2 DOCUMENTS OR RECORDS WHICH THE ATTORNEY GENERAL DEEMS 3 RELEVANT TO THE INQUIRY. 4 (3) A REQUEST FOR INFORMATION SHALL STATE THE SUBJECT 5 MATTER OF THE INVESTIGATION, AND SHALL DESCRIBE THE MATERIAL 6 TO BE PRODUCED WITH REASONABLE PARTICULARITY SO AS TO FAIRLY 7 IDENTIFY THE DOCUMENTS DEMANDED, PROVIDE A RETURN DATE WITHIN 8 WHICH THE MATERIAL IS TO BE PRODUCED AND IDENTIFY THE MEMBER 9 OF THE ATTORNEY GENERAL TO WHOM THE MATERIAL SHOULD BE GIVEN. 10 (4) THE ATTORNEY GENERAL MAY INVOKE THE AID OF A COURT 11 OF RECORD OF THE COMMONWEALTH FOR FAILURE TO OBEY A SUBPOENA 12 OF A WITNESS APPEARING BEFORE THE ATTORNEY GENERAL OR HIS 13 REPRESENTATIVE, AND THE COURT MAY THEREUPON ISSUE AN ORDER 14 REQUIRING THE PERSON SUBPOENAED TO OBEY THE SUBPOENA OR GIVE 15 EVIDENCE OR PRODUCE THE BOOKS, RECORDS, ACCOUNTS, PAPERS, 16 DOCUMENTS OR FILES RELATIVE TO THE MATTER IN QUESTION. 17 FAILURE TO OBEY AN ORDER MAY BE PUNISHED BY THE COURT AS A 18 CONTEMPT. ANY MOTION TO CHALLENGE A SUBPOENA SHALL BE FILED 19 WITH THE COURT OF RECORD. ANY APPEAL OF THE DECISION OF THE 20 ISSUING AUTHORITY SHALL BE TO THE APPROPRIATE COURT OF 21 RECORD. 22 (5) IF A CONTRACTOR OR CONTRIBUTOR, AFTER A DILIGENT 23 EFFORT, CANNOT OBTAIN THE COOPERATION OF PERSONS REQUIRED BY 24 SECTION 502(2) TO BE LISTED ON THE DISCLOSURE FORM TO PROVIDE 25 THE INFORMATION REQUIRED BY THIS CHAPTER AND THE INFORMATION 26 IS NOT AVAILABLE FROM OTHER SOURCES ACCESSIBLE TO THE PUBLIC, 27 THE CONTRACTOR OR CONTRIBUTOR SHALL PROVIDE THE NAME OR NAMES 28 OF SUCH PERSONS TO THE ATTORNEY GENERAL. THE CONTRACTOR OR 29 CONTRIBUTOR SHALL PROVIDE AN EXPLANATION OF THE INFORMATION 30 REQUESTED, THE STEPS TAKEN TO OBTAIN THE INFORMATION AND THE 19890H1743B3792 - 26 -
1 RESPONSE OF THE PERSON BEING ASKED TO PROVIDE THE 2 INFORMATION. THE ATTORNEY GENERAL MAY USE THE AUTHORITY 3 CONTAINED IN THIS SECTION TO OBTAIN THE INFORMATION REQUIRED 4 TO BE INCLUDED ON THE DISCLOSURE FORM. 5 SECTION 504. RULES AND REGULATIONS. 6 THE ENVIRONMENTAL QUALITY BOARD, FOR THE DEPARTMENT, AND THE 7 ATTORNEY GENERAL SHALL HAVE THE AUTHORITY TO PROMULGATE ANY 8 RULES OR REGULATIONS NECESSARY TO IMPLEMENT THE RESPONSIBILITIES 9 GIVEN EACH OF THESE AGENCIES UNDER THIS CHAPTER. 10 CHAPTER 11 11 MISCELLANEOUS PROVISIONS 12 Section 1101. Effective date. 13 This act shall take effect immediately. F20L35DGS/19890H1743B3792 - 27 -