[Congressional Bills 107th Congress]
[From the U.S. Government Publishing Office]
[S. 1439 Placed on Calendar Senate (PCS)]






                                                       Calendar No. 164
107th CONGRESS
  1st Session
                                S. 1439

  To provide and revise conditions and requirements for the ballistic 
           missile defense programs, and for other purposes.


_______________________________________________________________________


                   IN THE SENATE OF THE UNITED STATES

                           September 19, 2001

 Mr. Levin introduced the following bill; which was read the first time

                           September 20, 2001

            Read the second time and placed on the calendar

_______________________________________________________________________

                                 A BILL


 
  To provide and revise conditions and requirements for the ballistic 
           missile defense programs, and for other purposes.

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

SECTION 1. SHORT TITLE.

    This Act may be cited as the ``Ballistic Missile Defense Act of 
2001''.

SEC. 2. PRESIDENTIAL CERTIFICATION AND EXPEDITED CONGRESSIONAL APPROVAL 
              PROCESS FOR CERTAIN USES OF BALLISTIC MISSILE DEFENSE 
              FUNDS.

    (a) Limitation.--No funds authorized to be appropriated for 
ballistic missile defense under the National Defense Authorization Act 
for Fiscal Year 2002 may be obligated or expended for any activity that 
would be inconsistent with the requirements of the Anti-Ballistic 
Missile Treaty of 1972 (as in effect on August 1, 2001), as determined 
by the President with the advice of the Secretary of State and the 
Secretary of Defense, unless--
            (1) the ABM Treaty has been modified or superseded by a new 
        strategic framework or other agreement in a manner that, as 
        determined by the President with the advice of those officials, 
        permits such activity; or
            (2)(A) the President submits a certification to Congress in 
        accordance with the requirements of subsection (b); and
            (B) there is enacted a joint resolution specifically 
        authorizing the obligation or expenditure in accordance with 
        the expedited procedures specified in subsection (c).
    (b) Presidential Certification.--(1) A certification satisfies the 
requirements of this subsection if the certification states that--
            (A) the President has endeavored in good faith and for a 
        reasonable period to negotiate a new strategic framework or 
        other appropriate modification to the ABM Treaty, but has been 
        unable to do so;
            (B) further efforts to negotiate such framework or other 
        modification are not likely to be successful within a 
        reasonable period; and
            (C) it is in the national security interest of the United 
        States to conduct activities that would be inconsistent with 
        the requirements of the ABM Treaty.
    (2) The President shall submit to Congress, with a certification 
under subsection (a)(2)(A), a written statement that--
            (A) sets forth the basis for the President's determination 
        to certify the matters in the certification under subparagraphs 
        (B) and (C) of paragraph (1); and
            (B) specifies each activity for which the President has 
        determined that it is in the national interest to conduct with 
        funds authorized to be appropriated by the National Defense 
        Authorization Act for Fiscal Year 2002, notwithstanding the 
        inconsistency of the activity with the requirements of the ABM 
        Treaty.
    (c) Expedited Approval Procedures.--(1) A joint resolution referred 
to in subparagraph (B) of subsection (a)(2) means only a joint 
resolution introduced after the date on which a certification of the 
President pursuant to subparagraph (A) of such subsection is received 
by Congress--
            (A) the title of which is as follows: ``A joint resolution 
        approving the expenditure of funds for activities proposed by 
        the President on ________.'', the blank space being filled in 
        with the date on which the President submitted the 
        certification;
            (B) which does not have a preamble; and
            (C) the text of which only approves the activities 
        specified by the President in the written statement submitted 
        with the certification pursuant to subsection (b)(2)(B) by 
        providing after the enacting clause only the following: ``That 
        Congress approves the expenditure of funds for activities 
        proposed by the President on ________, notwithstanding the 
        inconsistency of such activities with the requirements of the 
        Anti-Ballistic Missile Treaty of 1972.'', the blank space being 
        filled in with the date on which the President submitted the 
        certification.
    (2) A joint resolution described in paragraph (1) shall be 
considered in a House of Congress in accordance with the procedures 
applicable to joint resolutions under paragraphs (3) through (8) of 
section 8066(c) of the Department of Defense Appropriations Act, 1985 
(as contained in section 101(h) of Public Law 98-473; 98 Stat. 1936), 
except that--
            (A) the committee to which the joint resolution is referred 
        under this paragraph in the Senate shall be the Committee on 
        Armed Services of the Senate, and the committee to which the 
        joint resolution is referred under this paragraph in the House 
        of Representatives shall be the Committee on Armed Services of 
        the House of Representatives; and
            (B) the limitation on total time for debate under section 
        8066(c)(5)(B) of the Department of Defense Appropriations Act, 
        1985, as applied to a joint resolution under this paragraph, 
        shall be 20 hours instead of 10 hours.
    (d) Relationship to ABM Treaty.--Nothing in this section shall be 
construed--
            (1) to limit the authority of the United States to withdraw 
        from the ABM Treaty at any time upon a decision for the United 
        States that extraordinary events related to the subject matter 
        of the Treaty have jeopardized its supreme interests in 
        accordance with Article XV of the Treaty; or
            (2) to authorize any obligation or expenditure of funds for 
        activities that would be inconsistent with the requirements of 
        the ABM Treaty, if the United States has not withdrawn from the 
        Treaty in accordance with Article XV of the Treaty.
    (e) ABM Treaty Defined.--In this section, the terms ``Anti-
Ballistic Missile Treaty of 1972'' and ``ABM Treaty'' mean the Treaty 
Between the United States of America and the Union of Soviet Socialist 
Republics on the Limitation of Anti-Ballistic Missile Systems, signed 
at Moscow on May 26, 1972, and includes the Protocol to that treaty, 
signed at Moscow on July 3, 1974.

SEC. 3. PROGRAM ELEMENTS AND PROCUREMENT BUDGET DISPLAYS FOR BALLISTIC 
              MISSILE DEFENSE PROGRAMS.

    (a) Program Elements.--Section 223 of title 10, United States Code, 
is amended--
            (1) by redesignating subsections (b) and (c) as subsections 
        (d) and (e); and
            (2) by striking subsection (a) and inserting the following:
    ``(a) Program Elements Specified.--In the budget justification 
materials submitted to Congress in support of the Department of Defense 
budget for any fiscal year (as submitted with the budget of the 
President under section 1105(a) of title 31), the amount requested for 
activities of the Ballistic Missile Defense Organization shall be set 
forth in accordance with the following program elements:
            ``(1) Ballistic Missile Defense system.
            ``(2) Terminal Defense segment.
            ``(3) Mid-Course Defense segment.
            ``(4) Boost Defense segment.
            ``(5) Sensors.
            ``(6) Technology.
    ``(b) Additional Information Required.--(1) Within each program 
element set forth in paragraphs (2) through (5) of subsection (a), the 
budget justification materials submitted to Congress shall separately 
specify the amounts requested for specific categories of systems, as 
follows:
            ``(A) Land-based systems.
            ``(B) Sea-based systems.
            ``(C) Air-based systems.
            ``(D) Space-based systems.
    ``(2) Within the amounts specified pursuant to paragraph (1), the 
budget justification materials shall separately set forth amounts 
requested for established programs, as follows:
            ``(A) Within the amount specified for land-based systems in 
        the Terminal Defense segment, the materials shall set forth the 
        amount requested for the Theater High-Altitude Area Defense 
        system and the amount requested for the Arrow system.
            ``(B) Within the amount specified for sea-based systems in 
        the Mid-Course Defense segment, the materials shall set forth 
        the amount requested for the Navy Theater Wide system.
            ``(C) Within the amount specified for air-based systems in 
        the Boost Defense segment, the materials shall set forth the 
        amount requested for the Airborne Laser system.
            ``(D) Within the amount specified for space-based systems 
        in the Boost Defense segment, the materials shall set forth the 
        amount requested for the Space-Based Laser system.
            ``(E) Within the amount specified for space-based systems 
        in the Sensors segment, the materials shall set forth the 
        amount requested for the Space-Based Infrared System Low 
        Component and the amount requested for the Russian American 
        Observation Satellites (RAMOS) system.
    ``(c) Limited Authority To Vary Individual Amounts.--(1) Subject to 
paragraphs (2) and (3), in any case in which the Secretary of Defense 
determines that it is necessary to do so in the national interest, the 
Secretary may obligate amounts authorized to be appropriated for an 
established program or class of systems described in subsection (b) in 
excess of the amount specifically authorized for such program or class 
of systems.
    ``(2) An obligation of funds for a program or class of systems 
described in subsection (b) in excess of the specific amount authorized 
for such program or class of systems may be made under the authority of 
paragraph (1) only after--
            ``(A) the Secretary submits to Congress a notification of 
        the intent to do so together with a complete discussion of the 
        justification for doing so; and
            ``(B) 15 days have elapsed following the date of the 
        notification.
    ``(3) The Secretary may not, under the authority of paragraph (1)--
            ``(A) obligate an amount for any program or class of 
        systems described in subsection (b) that is in excess of the 
        lesser of--
                    ``(i) the amount that is 115 percent of the amount 
                specifically authorized for such program or class of 
                systems; or
                    ``(ii) the amount that is $100,000,000 more than 
                the amount specifically authorized for such program or 
                class of systems;
            ``(B) reduce the amount that is available for obligation or 
        expenditure for any such program or class of systems below the 
        higher of--
                    ``(i) the amount that is 85 percent of the amount 
                specifically authorized for such program or class of 
                systems; or
                    ``(ii) the amount that is $100,000,000 less than 
                the amount specifically authorized for such program or 
                class of systems; or
            ``(C) obligate amounts for any program element described in 
        subsection (a) in excess of the amount specifically authorized 
        for such program element.''.
    (b) Repeal of Procurement Budget Display Requirement.--(1) Section 
224 of such title is repealed.
    (2) The table of sections at the beginning of chapter 9 of such 
title is amended by striking the item relating to section 224.

SEC. 4. BALLISTIC MISSILE DEFENSE RESEARCH AND DEVELOPMENT PROGRAM 
              BASELINE DOCUMENT.

    (a) Requirement for Baseline Document.--Not later than February 1, 
2002, the Secretary of Defense shall submit to the congressional 
defense committees a baseline document for the ballistic missile 
defense research and development program through the period covered 
by the future-years defense program that is submitted to Congress that 
year under section 221 of title 10, United States Code.
    (b) Contents of Baseline Document.--The baseline document required 
by subsection (a) shall, at a minimum, include the following matters:
            (1) A statement of the objectives of the ballistic missile 
        defense research and development program, including, at a 
        minimum, a specification of--
                    (A) the country or countries the program is 
                intended to protect;
                    (B) the type or types of missile threat the program 
                is intended to protect against, including the number of 
                ballistic missiles and types of countermeasures to be 
                addressed; and
                    (C) the level of success and degree of confidence 
                that are the intended standards for determining whether 
                and when the objectives are achieved.
            (2) For each established program and each class of systems 
        identified under section 223(b) of title 10, United States 
        Code--
                    (A) each major technology to be pursued; and
                    (B) an explanation of how each such technology 
                relates to the objectives of the ballistic missile 
                defense research and development program.
            (3) For each technology identified pursuant to paragraph 
        (2)(A)--
                    (A) a technical baseline that identifies research 
                and development objectives and program requirements for 
                the technology;
                    (B) a schedule baseline for the period covered by 
                the baseline document, including the specific key 
                program milestones and when the program is expected to 
                achieve each milestone;
                    (C) a cost baseline that includes estimates of the 
                total life-cycle costs and specifies for each year of 
                such period the costs for research and development of 
                the technology; and
                    (D) a testing baseline for such period that 
                specifies--
                            (i) key test events for the program;
                            (ii) when the tests are to be conducted;
                            (iii) the purposes of the tests; and
                            (iv) whether the tests are expected to 
                        conflict with existing United States 
                        obligations under international law.
    (c) Consultation Requirements.--In developing the baseline document 
required by subsection (a), the Secretary shall ensure that--
            (1) the technical baseline required by subsection (b)(3)(A) 
        is developed in consultation with the Joint Requirements 
        Oversight Council and the Director of Program Analysis and 
        Evaluation of the Department of Defense;
            (2) the schedule baseline required by subsection (b)(3)(B) 
        is developed in consultation with the Under Secretary of 
        Defense for Acquisition, Technology, and Logistics and the 
        Director of Program Analysis and Evaluation of the Department 
        of Defense;
            (3) the cost baseline required by subsection (b)(3)(C) is 
        developed in consultation with the Cost Analysis and 
        Improvement Group of the Department of Defense; and
            (4) the testing baseline required by subsection (b)(3)(D) 
        is developed in consultation with the Director of Operational 
        Testing and Evaluation and the Treaty Compliance Review Group 
        of the Department of Defense.
    (d) Annual Updates to Baseline Document.--Beginning in 2003 and 
ending with 2010, the Secretary shall--
            (1) update the baseline document each year to cover the 
        period covered by the future-years defense program that is 
        submitted to Congress that year under section 221 of title 10, 
        United States Code; and
            (2) submit the updated baseline document to the 
        congressional defense committees not later than February 1 of 
        that year.

SEC. 5. ANNUAL PROGRAM PLAN FOR BALLISTIC MISSILE DEFENSE RESEARCH AND 
              DEVELOPMENT PROGRAM.

    (a) Requirement for Annual Program Plan.--With the submission of 
the program baseline document, and with each annual update of the 
program baseline document, required under section 223, the Secretary 
shall submit to the congressional defense committees each year a 
program of activities planned to be carried out during the fiscal year 
in which submitted and the two fiscal years following such fiscal year.
    (b) Content of Annual Program Plan.--Each program plan required by 
subsection (a) shall include, at a minimum, the following matters:
            (1) A funding profile that includes, for each major 
        technology identified in the program baseline document, an 
        estimate of--
                    (A) the total expenditures to be made in each 
                fiscal year covered by the program plan;
                    (B) the expenditures to be made for each 
                procurement or military construction activity to be 
                conducted in such period;
                    (C) the expenditures to be made for each ballistic 
                missile defense flight test to be conducted in such 
                period;
                    (D) the expenditures to be made for each other test 
                activity to be conducted in such period; and
                    (E) the expenditures to be made for each research 
                and development activity to be conducted in such 
                period.
            (2) A program schedule that identifies, for each major 
        technology identified in the program baseline document--
                    (A) the planned schedule for each procurement or 
                military construction activity to be conducted during 
                the period covered by the program plan;
                    (B) the planned date of each ballistic missile 
                defense flight test to be conducted in such period;
                    (C) the planned schedule for each other test 
                activity to be conducted in such period; and
                    (D) the planned schedule for each research and 
                development activity to be conducted in such period.
            (3) A legal compliance plan that includes a preliminary 
        assessment by the Treaty Compliance Review Group of the 
        Department of Defense regarding whether each expenditure 
        included in the funding profile and each activity included in 
        the schedule is likely to be consistent with existing United 
        States obligations under international law.
    (c) Interim Program Plan.-- Not later than 60 days after the date 
of the enactment of this Act, the Secretary shall submit to the 
congressional defense committees an interim program plan covering 
planned program activities for fiscal years 2002 and 2003. The interim 
program plan shall contain the information required by subsection (b) 
for such fiscal years, and shall govern program activities until the 
Secretary submits the program baseline document and program plan that 
are required to be submitted on February 1, 2002.
    (d) Modifications.--The Secretary may modify a program plan 
submitted to the congressional defense committees pursuant to 
subsection (a) at any time. A modification to a program plan shall 
become effective 30 days after the date on which the congressional 
defense committees are notified of the modification. Each notification 
shall include a description of how the plan is to be modified and an 
explanation of the reasons for the modification.
    (e) Requirement That Obligations and Expenditures Be Consistent 
With Program Plan.--(1) Not more than 25 percent of the funds 
authorized to be appropriated for ballistic missile defense research, 
development, test, and evaluation under section 201(4) of the National 
Defense Authorization Act for Fiscal Year 2002 may be obligated or 
expended before the date on which the interim program plan required by 
subsection (c) is submitted to the congressional defense committees.
    (2) Not more than 50 percent of the funds authorized to be 
appropriated for ballistic missile defense research, development, test, 
and evaluation under section 201(4) of the National Defense 
Authorization Act for Fiscal Year 2002 may be obligated or expended 
before the date on which the program baseline document required by 
section 4 and the first program plan required by subsection (a) are 
submitted to the congressional defense committees.
    (3) After the date on which the interim program plan required by 
subsection (c) is submitted to the congressional defense committees, 
none of the funds authorized to be appropriated for ballistic missile 
defense research, development, test, and evaluation may be obligated or 
expended for an activity unless--
            (A) the cost of the activity is specifically identified in 
        the funding profile included in an interim program plan, 
        program plan, or modification to a program plan in accordance 
        with subsection (b)(1);
            (B) the date or schedule for the activity is specifically 
        identified in an interim program plan, program plan, or 
        modification to a program plan in accordance with subsection 
        (b)(2);
            (C) a preliminary assessment of the legal status of the 
        activity is specifically included in an interim program plan, 
        program plan, or modification to a program plan in accordance 
        with subsection (b)(3); and
            (D) the interim program plan, program plan, or modification 
        to a program plan has been submitted to the congressional 
        defense committees and becomes effective in accordance with the 
        requirements of subsection (a), (c), or (d), respectively.

SEC. 6. CONGRESSIONAL DEFENSE COMMITTEES DEFINED.

    For purposes of this Act, the term ``congressional defense 
committees'' means--
            (1) the Committee on Armed Services and the Committee on 
        Appropriations of the Senate; and
            (2) the Committee on Armed Services and the Committee on 
        Appropriations of the House of Representatives.




                                                       Calendar No. 164

107th CONGRESS

  1st Session

                                S. 1439

_______________________________________________________________________

                                 A BILL

  To provide and revise conditions and requirements for the ballistic 
           missile defense programs, and for other purposes.

_______________________________________________________________________

                           September 20, 2001

            Read the second time and placed on the calendar