EUROPEAN COMMISSION

Brussels, 21.12.2023

COM(2023) 793 final

2023/0465(NLE)

Proposal for a

COUNCIL DECISION

approving a Commission Regulation (Euratom)
on the application of Euratom safeguards

EXPLANATORY MEMORANDUM

1.CONTEXT OF THE PROPOSAL

•Reasons for and objectives of the proposal

•Consistency with existing policy provisions in the policy area

–First, because the Directives and the new Regulation address different actors and aim at different purposes. The Directives define ‘radioactive waste’, whereas the Regulation defines ‘waste’. For safeguards purposes, the ‘waste’ definition needs to consider the strategic value and risk of diversion of nuclear material contained in waste; therefore, the concept that nuclear material is unrecoverable for economic or practical reasons needs to be part of the definition. Moreover, ‘waste’ is a material description declared as such in accountancy reports. In addition, the Directives give “the Member State or a legal or natural person whose decision is accepted by the Member State” direct influence on what is to be considered radioactive waste (in the respective Member States), whereas in the case of the Regulation on Euratom safeguards Euratom/the Commission acts as regulator.

–Second, because the formulation of the definition of ‘waste’ has implications for Euratom safeguards activities as well as for the fulfilment of obligations under the Safeguards Agreements with the IAEA. These agreements include specific provisions for nuclear material in waste, including for reporting such material to the IAEA. Nuclear material remains under IAEA safeguards until it meets the technical criteria defined by the IAEA for the termination of its safeguards.

•Consistency with other Union policies

2.LEGAL BASIS, SUBSIDIARITY AND PROPORTIONALITY

•Legal basis

•Subsidiarity (for non-exclusive competence)

•Proportionality

•Choice of the instrument

3.RESULTS OF EX-POST EVALUATIONS, STAKEHOLDER CONSULTATIONS AND IMPACT ASSESSMENTS

•Ex-post evaluations/fitness checks of existing legislation

–introducing a more graded approach in nuclear material reporting based on the strategic value of materials, and related installations and activities;

–introducing provisions for application of the safeguards-by-design concept for certain complex installations, including new builds, major modifications and decommissioning;

–properly addressing the particularities of the processes of decommissioning of nuclear installations and geological disposal of waste and spent fuel;

–adapting the provisions of the Regulation to new types of installations expected to become operational in the near future, such as geological repositories, encapsulation plants and novel types of reactors;

–properly addressing installations holding small amounts of nuclear materials, namely locations outside facilities (LOFs), national LOFs, and installations in the Catch All MBA (CAM holders);

–ensuring coherence with all international obligations, including Nuclear Cooperation Agreements between the Euratom Community and third countries;

–exploring the potential for facilitation by use of digital technology;

–updating definitions accordingly.

•Stakeholder consultations

–targeted stakeholder consultations with the objective of collecting and taking into account the views and experience of the stakeholders that are directly affected by the implementation of the Regulation, i.e. operators and the responsible national authorities 11 in the EU Member States;

–broader stakeholder consultations - gathering the views of the wider nuclear safeguards community on the aspects related to the implementation of the Regulation and expressed at different forums at the EU and global level.

•Collection and use of expertise

•Impact assessment

•Regulatory fitness and simplification

•Fundamental rights

4.BUDGETARY IMPLICATIONS

5.OTHER ELEMENTS

•Implementation plans and monitoring, evaluation and reporting arrangements

•Detailed explanation of the specific provisions of the proposal

2023/0465 (NLE)

Proposal for a

COUNCIL DECISION

approving a Commission Regulation (Euratom)
on the application of Euratom safeguards

THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty establishing the European Atomic Energy Community, and in particular Article 79 thereof,

Having regard to the proposal from the European Commission,

Whereas:

It is important to keep the requirements imposed by Commission Regulation (Euratom) No 302/2005 of 8 February 2005 on the application of Euratom safeguards 16 in line with the present legal framework and developments in the fields of nuclear and information technology,

HAS ADOPTED THIS DECISION:

Sole Article

The Commission Regulation on the application of Euratom safeguards is hereby approved.

The text of the Regulation is attached to this Decision.

Done at Brussels,

(1)    ‘Nuclear materials’ means ores, source materials or special fissile materials as defined in Article 197 of the Euratom Treaty. According to Article 84 of the Euratom Treaty, "The safeguards may not extend to materials intended to meet defence requirements which are in the course of being specially processed for this purpose or which, after being so processed, are, in accordance with an operational plan, placed or stored in a military establishment."

(2)    OJ L 54, 28.2.2005, p. 1. Regulation as last amended by Commission Regulation (EU) No 519/2013 of 21 February 2013 (OJ L 158, 10.6.2013, p. 74).

(3)    Commission staff working document SWD(2023) 5 final, Evaluation of Commission Regulation (Euratom) No 302/2005 of 8 February 2005 on the application of Euratom safeguards.

(4)    OJ L 13, 17.1.2014, p. 1–73

(5)    OJ L 172, 2.7.2009, p. 18–22. Directive as amended, OJ L 219, 25.7.2014, p. 42–52

(6)    OJ L 199, 2.8.2011, p. 48–56.

(7)    OJ L 337, 5.12.2006, p. 21–32

(8)    OJ L 72, 17.3.2015, p. 53–88.

(9)    OJ 17, 6.10.1958, p. 406/58.

(10)    Communication to the Commission: European Commission digital strategy Next generation digital Commission, Brussels, C(2022) 4388 final, 30.6.2022. 

(11)    Authorities specified in Article 79 of the Euratom Treaty.

(12)    https://ec.europa.eu/transparency/expert-groups-register/screen/expert-groups/consult?lang=en&groupID=1084

(13)    https://esarda.jrc.ec.europa.eu/index_en

(14)    Commission Recommendation of 15 December 2005 on guidelines for the application of Regulation (Euratom) No 302/2005 on the application of Euratom safeguards (2006/40/Euratom), OJ L 28, 1.2.2006, p.1-85, and Commission Recommendation of 11 February 2009 on the implementation of a nuclear material accountancy and control system by operators of nuclear installations (2009/120/Euratom), OJ L 41, 12.2.2009, p. 17-23.

(15)    Commission Staff Working Documents on the principles and modalities of the implementation of the European Commission's nuclear safeguards tasks "Implementing Euratom Treaty Safeguards", SEC (2007) 293, and on the revised Implementation of Euratom Treaty Safeguards (IETS), SWD (2021) 215 final.

(16)    OJ L 54, 28.2.2005, p. 1. Regulation as last amended by Commission Regulation (EU) No 519/2013 of 21 February 2013 (OJ L 158, 10.6.2013, p. 74).

EUROPEAN COMMISSION

Brussels, 21.12.2023

COM(2023) 793 final

ANNEX

to the

Proposal for a COUNCIL DECISION

approving a Commission Regulation (Euratom)
on the application of Euratom safeguards

TABLE OF CONTENTS

ANNEX    1

CHAPTER I SCOPE AND DEFINITIONS    3

CHAPTER II BASIC TECHNICAL CHARACTERISTICS AND PARTICULAR SAFEGUARD PROVISIONS    7

CHAPTER III NUCLEAR MATERIAL ACCOUNTANCY    10

CHAPTER IV TRANSFERS BETWEEN STATES    17

CHAPTER V SPECIFIC PROVISIONS    19

CHAPTER VI SPECIFIC PROVISIONS APPLICABLE IN THE TERRITORY OF THE NUCLEAR-WEAPON MEMBER STATE    23

CHAPTER VII FINAL PROVISIONS    24

ANNEX I QUESTIONNAIRE FOR THE DECLARATION OF THE BASIC TECHNICAL CHARASTERISTICS (BTC) OF THE INSTALLATIONS    26

ANNEX I-A. POWER AND RESEARCH REACTORS    26

ANNEX I-B. CRITICAL AND SUB-CRITICAL INSTALLATIONS    32

ANNEX I-C. CONVERSION AND FUEL FABRICATION INSTALLATIONS    37

ANNEX I-D. REPROCESSING INSTALLATIONS    43

ANNEX I-E. ISOTOPE ENRICHMENT INSTALLATIONS    49

ANNEX I-F. RESEARCH AND DEVELOPMENT (R&D) INSTALLATIONS    54

ANNEX I-G. STORAGE INSTALLATIONS    59

ANNEX I-H WASTE TREATMENT, STORAGE AND DISPOSAL INSTALLATIONS    63

ANNEX I-J. SPENT FUEL ENCAPSULATION INSTALLATIONS    68

ANNEX I-K. GEOLOGICAL REPOSITORIES    73

ANNEX I-L. LOCATION OUTSIDE FACILITIES (LOF)    77

ANNEX I-M. NATIONAL LOCATION OUTSIDE FACILITIES (NATIONAL LOF)    80

ANNEX I-N. INSTALLATIONS CANDIDATE MEMBERS OF THE CATCH ALL MBA (CAM)    81

ANNEX I-P. OTHER INSTALLATIONS USING NUCLEAR MATERIAL EXCEEDING ONE EFFECTIVE KILOGRAM    83

ANNEX I-Q. ORE PRODUCERS    86

ANNEX II GENERAL DESCRIPTION OF THE SITE (1)    87

ANNEX III INVENTORY CHANGE REPORT (ICR)    89

ANNEX IV MATERIAL BALANCE REPORT (MBR)    101

ANNEX V PHYSICAL INVENTORY LISTING (PIL)    107

ANNEX VI ADVANCE NOTIFICATION OF EXPORTS/SHIPMENTS OF NUCLEAR MATERIAL    111

ANNEX VII ADVANCE NOTIFICATION OF IMPORTS/RECEIPTS OF NUCLEAR MATERIAL    115

ANNEX VIII REPORT OF ORE EXPORTS/SHIPMENTS    119

ANNEX IX REQUEST FOR DEROGATION OF AN INSTALLATION FROM THE RULES GOVERNING THE FREQUENCY OF NOTIFICATIONS    121

ANNEX X LIST OF INVENTORY ITEMS (LII)    124

ANNEX XI OUTLINE PROGRAMME OF ACTIVITIES    127

ANNEX XII ADVANCE NOTIFICATION OF FURTHER WASTE PROCESSING ACTIVITIES    128

ANNEX XIII ANNUAL REPORT ON EXPORTS/SHIPMENTS OF CONDITIONED WASTE    131

ANNEX XIV ANNUAL REPORT ON IMPORTS/RECEIPTS OF CONDITIONED WASTE    133

ANNEX XV ANNUAL REPORT ON CHANGES IN LOCATION OF CONDITIONED WASTE    135

ANNEX XVI REQUEST FOR AUTHORISING AN EXCHANGE OF SAFEGUARD OBLIGATIONS ON NUCLEAR MATERIAL    138

ANNEX XVII NOTIFICATION OF TRANSFER OF ITEMS OTHER THAN NUCLEAR MATERIAL    141

ANNEX XVII-A. NOTIFICATION OF TRANSFER OF NON-NUCLEAR MATERIAL    141

ANNEX XVII-B. NOTIFICATION OF TRANSFER OF NUCLEAR EQUIPMENT    145

ANNEX XVII-C. NOTIFICATION OF TRANSFER OF NUCLEAR TECHNOLOGY    148

ANNEX

Draft

COMMISSION REGULATION (EURATOM) XXXX/YY

of […]

on the application of Euratom safeguards

THE EUROPEAN COMMISSION,

Having regard to the Treaty establishing the European Atomic Energy Community (hereinafter ‘the Treaty’), and in particular Articles 77, 78, 79, 81 and 84 thereof,

Having regard to the approval of the Council,

Whereas:

(1)Commission Regulation (Euratom) No 302/2005 of 8 February 2005 on the application of Euratom safeguards 1  defines the nature and extent of the requirements referred to in Articles 78 and 79 of the Treaty.

(2)In view of the increasing quantities of nuclear materials produced, used, carried, recycled and designated to be disposed of in the Community, and of the development of trade in these materials, it is essential to ensure the effectiveness and efficiency of safeguards. The nature and the extent of the requirements referred to in Article 79 of the Treaty and set out in Regulation (Euratom) No 302/2005 should therefore be brought up to date in the light of developments, particularly in the fields of nuclear and information technology.

(3)Austria, Belgium, Bulgaria, Croatia, Cyprus, Czechia, Denmark, Estonia, Finland, Germany, Greece, Hungary, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, the Netherlands, Poland, Portugal, Romania, Slovenia, Slovakia, Spain, Sweden and the European Atomic Energy Community are parties to Agreement 78/164/Euratom 2 with the International Atomic Energy Agency in implementation of Article III(1) and (4) of the Treaty on the Non-Proliferation of Nuclear Weapons. Agreement 78/164/Euratom entered into force on 21 February 1977 and was supplemented by Additional Protocol 1999/188/Euratom 3 , which entered into force on 30 April 2004.

(4)Agreement 78/164/Euratom contains a particular undertaking entered into by the Community concerning the application of safeguards on source and special fissile materials in the territories of the Member States which have no nuclear weapons of their own and which are parties to the Treaty on the Non-Proliferation of Nuclear Weapons.

(5)The procedures stipulated by Agreement 78/164/Euratom are the result of wide-ranging international negotiations with the International Atomic Energy Agency on the application of Article III(1) and (4) of the Treaty on the Non-Proliferation of Nuclear Weapons. These procedures were approved by the Board of Governors of that Agency.

(6)The Community, France and the International Atomic Energy Agency are parties to an Agreement for the application of safeguards in France 4 . That Agreement entered into force on 12 September 1981, and was supplemented by an Additional Protocol, which entered into force on 30 April 2004.

(7)In the territory of France some installations or parts thereof as well as certain materials are liable to be involved in the production cycle for defence needs. Special safeguard procedures should therefore be applied to take account of these circumstances.

(8)Nuclear Cooperation Agreements (NCAs) are agreements for cooperation on the peaceful use of nuclear energy concluded between the Community and third countries. They aim to facilitate nuclear trade, undertakings in the field of research and development, or other activities of common interest to the parties in connection with the peaceful use of nuclear energy, in the interest of the nuclear fuel cycle industry, utilities, research institutes and consumers, while abiding by the commitments and policies of the Community. Under Article 77(b) of the Treaty, the European Commission should satisfy itself that, in the territories of the Member States, any particular safeguarding obligations assumed by the Community under such an agreement are complied with.

(9)To ensure the effectiveness of safeguards, it is essential to incorporate safeguards considerations early in the planning and design processes for new installations as well as for major modifications and decommissioning of existing installations.

(10)To ensure the efficiency of safeguards, the nature and extent of the requirements for reporting nuclear material and declaring the basic technical characteristics of nuclear installations should take into account the suitability of the nuclear material and installation to be used for non-peaceful purposes, without prejudice to any particular safeguarding obligations assumed by the Community under an agreement concluded with a third country or an international organisation.

(11)The Digital Strategy of the European Commission 5 stresses the importance of structuring data access and exchange between the European Commission and the Member States. As part of this strategy, the European Commission aims at enabling cross-border digital interaction, interoperability and digital modernisation of European public administrations. Against this background and to enhance the efficiency of safeguards, reports and declarations should be submitted in electronic form.

(12)The provisions on security rules set out in Commission Decision (EU, Euratom) 2015/443 6  and in Commission Decision (EU, Euratom) 2015/444 7 should apply to information acquired under this Regulation without prejudice to Council Regulation No 3 of 31 July 1958 implementing Article 24 of the Treaty establishing the European Atomic Energy Community 8 .

(13)The application of this Regulation should be evaluated within 10 years after its entry into force in light of the technological progress in the nuclear industry and developments in information technologies. However, under special circumstances, the Regulation might need to be revised before that evaluation, as for example, to comply with any particular safeguarding obligations assumed by the Community under an agreement concluded with a third State or an international organization.

(14)In the interest of clarity, Commission Regulation (Euratom) No 302/2005 should be repealed by this Regulation,

HAS ADOPTED THIS REGULATION:

CHAPTER I

SCOPE AND DEFINITIONS

Article 1
Scope

This Regulation shall apply to any person or undertaking setting up or operating an installation for the production, separation, reprocessing, storage, disposal or other use of nuclear material. It shall also apply to any person or undertaking holding, exporting, importing or transferring items other than nuclear material, if such items are subject to obligations stemming from NCAs in force between the Community and third countries.

It shall not apply to holders of end products such as alloys or ceramics, used for non-nuclear purposes which incorporate nuclear materials that are in practice irrecoverable.

Article 2
Definitions

In the context of Euratom safeguards under this Regulation:

1.‘non-nuclear-weapon Member States’ means Austria, Belgium, Bulgaria, Croatia, Cyprus, Czechia, Denmark, Estonia, Finland, Germany, Greece, Hungary, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, the Netherlands, Poland, Portugal, Romania, Slovenia, Slovakia, Spain, and Sweden;

2.‘nuclear-weapon Member State’ means France;

3.‘third country’ means any State which is not a member of the European Atomic Energy Community;

4.‘nuclear materials’ means ores, source materials or special fissile materials as defined in Article 197 of the Treaty;

5.‘waste’ means nuclear material in concentrations or forms which make the nuclear material not recoverable for practical or economic reasons, for which no further use is foreseen and which may be disposed of;

6.‘retained waste’ means waste, generated from processing or from an operational accident, measured or estimated on the basis of measurements, transferred to and stored in a specific location within the material balance area from which it can be retrieved;

7.‘conditioned waste’ means waste in which nuclear material, measured or estimated on the basis of measurements, has been conditioned in such a way (for example, in glass, cement, concrete or bitumen) that it is not suitable for further nuclear use;

8.‘discards to the environment’ means nuclear material, measured or estimated on the basis of measurements, which has been irrevocably discarded to the environment as the result of a planned discharge in such a way that it is not suitable for further use;

9.‘disposal’ means the emplacement of waste or spent fuel in an installation without the intention of retrieval;

10.‘spent fuel’ means nuclear fuel that has been irradiated in and permanently removed from a reactor core; spent fuel may either be considered as a usable resource that can be reprocessed or may be disposed of if no further use is foreseen;

11.‘categories’ (of nuclear material) are natural uranium, depleted uranium, uranium enriched in uranium-235 or uranium-233 to less than 20 %, uranium enriched in uranium-235 or uranium-233 to 20 % and above, thorium, plutonium, and any other material specified by the Council in accordance with the provisions of Art 197 of the Treaty;

12.‘item’ means an identifiable unit such as a fuel assembly or a fuel pin;

13.‘batch’ means a portion of nuclear material handled as a unit for accounting purposes at a key measurement point and for which the composition and quantity are defined by a single set of specifications or measurements. The nuclear material may be in bulk form or contained in a number of items;

14.‘batch data’ means the total weight of each category of nuclear material and, in the case of plutonium and uranium, the isotopic composition when appropriate. For reporting purposes the weights of individual items in the batch shall be added together before rounding to the nearest unit;

15.‘effective kilogram’ is a special unit used in safeguarding nuclear material, obtained by taking:

(a)for plutonium, its weight in kilograms;

(b)for uranium with an enrichment of 0,01 (1 %) and above, its weight in kilograms multiplied by the square of its enrichment;

(c)for uranium with an enrichment below 0,01 (1 %) and above 0,005 (0,5 %), its weight in kilograms multiplied by 0,0001;

and

(d)for depleted uranium with an enrichment of 0,005 (0,5 %) or below, and for thorium, its weight in kilograms multiplied by 0,00005;

16.‘material balance area’ means an area such that, for the purpose of establishing the material balance:

(a)the quantity of nuclear material in each transfer into or out of each material balance area can be determined;

and

(b)the physical inventory of nuclear material in each material balance area can be determined when necessary in accordance with specified procedures;

17.‘key measurement point’ means a location where nuclear material appears in such a form that it may be measured to determine material flow or inventory, including but not limited to, the places where nuclear material enters, leaves or is stored in, material balance areas;

18.‘book inventory’ of a material balance area means the algebraic sum of the most recent physical inventory of that material balance area, and of all inventory changes that have occurred since that physical inventory was taken;

19.‘physical inventory’ means the sum of all the measured batch quantities or derived estimates of batch quantities of nuclear material on hand at a given time within a material balance area, obtained in accordance with specified procedures;

20.‘material unaccounted for’ means the difference between the physical inventory and the book inventory;

21.‘shipper/receiver difference’ means the difference between the quantity of nuclear material in a batch as measured at the receiving material balance area and the quantity as stated by the shipping material balance area;

22.‘source data’ means those data, recorded during measurement or calibration or used to derive empirical relationships, which identify nuclear material and provide batch data, including: weight of compounds; conversion factors to determine weight of element; specific gravity; element concentration; isotopic ratios; relationship between volume and manometer readings; and relationship between plutonium produced and power generated;

23.‘site’ means an area delimited by the Community and the Member State, comprising one or more installations, including closed-down installations, as defined in their relevant basic technical characteristics, whereby:

(a)in the case of a closed-down installation where source material or special fissile material in quantities less than one effective kilogram was customarily used, the term is limited to locations with hot cells or where activities related to conversion, enrichment, fuel fabrication or reprocessing were carried out;

(b)‘site’ also includes all plants co-located with the installations which provide or use essential services including hot cells for processing irradiated materials not containing nuclear material; plants for the treatment, storage and disposal of waste; and buildings associated with activities specified in Annex 1 to Additional Protocol 1999/188/Euratom and identified by the State concerned;

(c)in the case of a national LOF, all included users of small amounts of nuclear material together constitute one site;

24.‘site representative’ means any person, undertaking or entity designated by the Member State as being responsible for the declarations referred to in Article 6(1);

25.‘installation’ means, from the planning stage until it is confirmed as decommissioned: 

(a)a reactor, a critical installation, a conversion plant, a fabrication plant, a reprocessing plant, an isotope separation plant, a separate storage installation, an encapsulation plant, a geological repository, a waste treatment, waste storage or waste disposal installation or any other location where source material or special fissile material is held or is customarily used in amounts greater than one effective kilogram;

(b)any location not covered under (a) where source material or special fissile material is held or is customarily used in amounts of one effective kilogram or less, referred to as “Location Outside Facilities” (LOF);

(c)any location where ore is extracted, stored or used;

26.‘closed-down’ means, when referring to an installation, that it has been verified that operations have been stopped and that all nuclear material subject to Euratom safeguards has been removed;

27.‘under decommissioning’ means, when referring to an installation, that activities on dismantling, and/or recovery and removal of nuclear material and/or removing or rendering inoperable of essential equipment are ongoing with the aim to decommission the installation;

28.‘decommissioned’ means, when referring to an installation, that it has been verified that all nuclear material subject to Euratom safeguards has been removed and residual structures and equipment essential for using the installation for purposes other than disposal of nuclear material which is no longer subject to Euratom safeguards have been removed or rendered inoperable so that handling, processing or utilization of nuclear material is no longer possible;

29.‘national Location Outside Facilities’ means a particular LOF, comprising several holders of small amounts of nuclear material in line with criteria agreed between the Member State where they are located and the Commission;

30.‘Catch All MBA (CAM)’ means a particular LOF, comprising several holders of small amounts of nuclear material according to criteria laid out in Annex I-N;

31.‘equivalence principle’ means the concept that a particular safeguard obligation applying to a quantity of nuclear material may be transferred to another quantity of nuclear material, subject to equivalence criteria;

32.‘equivalence criteria’ means specific criteria to be fulfilled with regard to the quantity, category, isotopic composition, physical form, chemical form and material state of nuclear material in order to apply the equivalence principle;

33.‘proportionality principle’ means the concept that, when nuclear material subject to a particular safeguard obligation is mixed or transformed in a given proportion with nuclear material not subject thereto, the product, by-product, waste or losses generated from processing will be subject to the particular safeguard obligation in the same proportion;

34.‘pool accounting’ means a specific accounting method whereby a unique obligation code (pool code) is used to declare book inventories and physical inventory listings to the Commission pursuant to Articles 14 and 15 of this Regulation, although the nuclear material may be subject to various particular safeguard obligations;

35.‘accountancy pool’ means the scope within which the application of pool accounting has been authorised in one or several material balance areas.

36.‘operator’ means any person, undertaking or organisation operating or planning to set up an installation.

CHAPTER II

BASIC TECHNICAL CHARACTERISTICS AND PARTICULAR SAFEGUARD PROVISIONS

Article 3
Declaration of the basic technical characteristics

1.All operators shall declare to the Commission the basic technical characteristics of their installations.

For ore producers, the provisions of Articles 27 and 28 apply.

For national LOFs, the provisions of Article 38 apply.

2.Whenever basic technical characteristics are initially declared or updated, the relevant questionnaire in Annex I shall be used.

3.The declaration shall be submitted in electronic form.

4.If requested, further details or explanations in connection with the information submitted in the declaration shall be provided to the Commission within 30 days, or within a different agreed timeframe.

Article 4
Time-limits for the initial declaration of the basic technical characteristics

1.The complete declaration of the basic technical characteristics of new installations shall be communicated to the Commission in accordance with Article 3(1) at least 200 days before the first consignment of nuclear material is due to be received.

2.For new installations referred to in Article 2(25)(a), all information relating to the owner, operator, location, installation purpose and type, capacity as well as pre-operation information shall be communicated to the Commission as soon as the information is available and not later than 200 days before the date of application for a construction licence, or within a different agreed timeframe.

To enable the inclusion of safeguards requirements early in the design process of nuclear installations, as a minimum, the type, form and expected throughput and inventories of nuclear material as well as drawings indicating flows and storage of nuclear materials shall also be provided at that point in time.

3.All operators of an installation planning to use techniques for the chemical processing of irradiated materials shall at the same time provide any additional information needed to enable the Commission to approve those techniques, as required by Article 78 of the Treaty.

4.Information required under paragraphs 2 and 3 shall be provided in the dedicated fields of the relevant questionnaire in Annex I.

5.Installations in the territory of States acceding to the European Union shall communicate to the Commission their basic technical characteristics within 30 days of the date of entry into force of this Regulation in that State, or within a different agreed timeframe.

Article 5
Declaration of changes to the basic technical characteristics

1.Changes in the information referred to in Articles 4(2) and 4(3) shall be communicated to the Commission whenever the design of the installation is modified, or within a different agreed timeframe.

2.Changes in the basic technical characteristics regarding the purpose, type or layout of the installation and in particular changes affecting the access routes to areas where nuclear materials are used or stored shall be communicated as soon as the decision on their implementation is taken, and not later than 20 days before the work on the modification is scheduled to commence. Additional requirements regarding changes in the basic technical characteristics to be communicated in advance may be specified in the particular safeguard provisions referred to in Article 8.

3.Changes in the basic technical characteristics for which advance notification is not required as specified in paragraph 2 shall be communicated within 30 days after the modification is complete.

4.Decommissioning plans and timeframes for their implementation shall be communicated using the dedicated fields of the questionnaire shown in Annex I. This information shall be communicated as soon as the decision to cease the operation of the installation is taken and shall be updated whenever plans or timeframes are changed. Changes in the basic technical characteristics resulting from decommissioning activities, in particular the removal or rendering inoperable of essential equipment, shall be communicated within 30 days after the modification is completed.

Article 6
Declaration of a general description of the site

1.Each Member State being a party to Additional Protocol 1999/188/Euratom, shall designate a site representative for each site on its territory who shall provide to the Commission a declaration containing a general description of the site, using the questionnaire shown in Annex II.

The declaration shall be submitted within 120 days of the date of entry into force of Additional Protocol 1999/188/Euratom in the Member State concerned and updates shall be submitted by 1 April of each year. The declarations shall be submitted in electronic form.

The declaration shall fulfil the requirements of Article 2(a)(iii) of Additional Protocol 1999/188/Euratom and shall be separate from the declaration required pursuant to Article 3(1).

2.While the site representative carries the responsibility for the timely collection of the relevant information and the submission of the general description of the site to the Commission, the responsibility for the correctness and the completeness of the declarations remains with the persons or the undertakings setting up or operating the installation, and for buildings on a site which do not involve nuclear material with the Member State concerned.

3.If requested, further details or explanations in connection with the information submitted in the declaration shall be provided to the Commission within 15 days.

Article 7
Programme of activities

1.To enable the Commission to plan its safeguards activities, operators shall communicate electronically to the Commission the following information:

(a)an outline programme of activities on the basis of Annex XI, indicating, in particular, provisional dates for taking a physical inventory;

(b)at least 40 days before taking a physical inventory, the programme for such work.

For installations referred to in Article 2(25)(b), as a minimum the provisional dates for taking a physical inventory shall be provided.

Changes affecting the outline programme of activities and, in particular, the taking of physical inventories shall be communicated to the Commission without delay.

2.Unless otherwise specified in the particular safeguard provisions referred to in Article 8, the programme of activities shall be sent annually, at the latest on 15 November of the year before.

Article 8
Particular safeguard provisions

1.Acting on the basis of the basic technical characteristics submitted pursuant to Article 3(1) and Article 4, the Commission adopts particular safeguard provisions relating to the matters set out in paragraph 2 of this Article.

For installations referred to in Article 2(25)(a), the particular safeguard provisions are drawn up by means of a Commission decision addressed to the operator concerned, taking account of operational and technical constraints and in close consultation with the operator concerned and the relevant Member State.

For installations referred to in Article 2(25)(b), one Commission decision addressed to several or all operators concerned may be drawn up, setting out the particular safeguard provisions.

The operator to whom a decision of the Commission is addressed shall be notified thereof, and a copy of such notification shall be transmitted to the Member State concerned.

2.For installations referred to in Article 2(25)(a), the particular safeguard provisions shall include the following:

(a)the material balance areas and the selection of key measurement points for determining the flow and stocks of nuclear materials;

(b)the changes in basic technical characteristics for which advance notification is required;

(c)the procedures for keeping records of nuclear materials for each material balance area and for drawing up reports;

(d)the frequency of, and procedures for, taking physical inventories for accounting purposes as part of safeguards measures;

(e)the containment and surveillance measures, in accordance with the arrangements agreed upon with the operator concerned;

(f)the arrangements for sample-taking by the person or undertaking concerned solely for safeguards purposes.

For installations referred to in Article 2(25)(b), the particular safeguard provisions may be limited to points (a), (c) and (d).

3.The particular safeguard provisions may also specify:

(a)the content of subsequent communications required under Article 7 or 16;

(b)the conditions under which the provisions of this Regulation shall be applied, in particular the conditions under which shipments and receipts of nuclear material require advance notification;

(c)measures considered necessary to ensure that nuclear materials are not diverted from their intended uses.

4.The Commission shall reimburse the operator concerned the cost of those special services which are provided for in the particular safeguard provisions or which are provided as the result of a special request by the Commission or its inspectors, exclusively based on an agreement defining those costs and the conditions of their reimbursement. Works executed by the operator before the signature of the agreement shall not be reimbursable. The reimbursement shall be limited to the amount necessary to balance the costs incurred by the operator for the special services and shall not include any profit.

CHAPTER III

NUCLEAR MATERIAL ACCOUNTANCY

Article 9
Accounting system

1.Operators shall maintain a system of accountancy and control for nuclear materials, which shall be effective in preventing, detecting and timely fixing irregularities leading to situations where nuclear material is incorrectly accounted for. This system shall include accounting and operating records and, in particular, information on the quantities, category, form and composition of these materials as provided for in Article 21, their actual location and the particular safeguard obligation as provided for in Article 19, together with details of the recipient or shipper when nuclear materials are transferred.

2.The system of measurements on which the records are based shall comply with the most recent international standards or shall be equivalent in quality to those standards. On the basis of these records, it must be possible to draw up and substantiate all the declarations made to the Commission. All records related to nuclear materials shall be retained as long as the nuclear materials are present in the installation, and for at least five years after the nuclear materials stopped being present in the installation or decommissioned installation. Further details may be specified in the particular safeguard provisions referred to in Article 8 for each installation.

3.Accounting and operating records shall be made available in electronic form, if they are kept in this form by the installation. For installations referred to in Article 2(25)(a), an up-to-date list of inventory items shall be made available to the Commission's inspectors in electronic form upon request, using the format set out in Annex X.

Article 10
Operating records

1.For each material balance area, the operating records shall include, where applicable:

(a)the operating data used to determine all changes in the quantities and composition of nuclear material present in the installation, including shipping documents for both received and shipped batches of nuclear material;

(b)a list of inventory items and their location, kept up to date to the best extent possible;

(c)the data, including derived estimates of random and systematic errors, obtained from the calibration of tanks and instruments as well as from sampling and analysis;

(d)the data resulting from quality control measures applied to the nuclear material accountancy system, including derived estimates of random and systematic errors;

(e)a description of the sequence of actions taken to prepare for, and take, a physical inventory, and to ensure that the inventory is correct and complete;

(f)a description of the actions taken in order to recognise, investigate and solve nuclear material accountancy and control discrepancies;

(g)the results from inventory control procedures and of the tests for acceptance of the material balance, taking into account justified measurement and process uncertainties;

(h)a description of the actions taken in order to ascertain the cause and magnitude of any accidental or unmeasured loss that might have occurred;

(i)the isotopic composition of plutonium, including its decay isotopes, and reference dates, if recorded at the installation for operational needs.

2.Original operating records shall be made available to the Commission’s inspectors, in electronic form if available. Upon a reasoned request, copies of operating records shall be communicated to the Commission, in electric form if available. Upon reasoned request by the operator, special arrangements concerning the form and transmission of the information may be agreed.

Article 11
Accounting records

In respect of each material balance area the accounting records shall show the following:

(a)all inventory changes, so that the book inventory can be determined at any time;

(b)all measurement and counting results used to determine the physical inventory;

(c)all corrections made to inventory changes, book inventories and physical inventories.

The accounting records relating to any inventory change and physical inventory shall show the material identification, batch data and source data for each batch. These records shall account separately for uranium, thorium and plutonium, in accordance with the categories listed in Article 21(2)(b). In addition, for each inventory change, the date of the change and, when appropriate, the dispatching material balance area or the shipper and the receiving material balance area or the recipient shall be indicated.

Article 12
Accounting reports

Operators shall provide the Commission with accounting reports.

The accounting reports shall contain the information available on the date of reporting and must be corrected at a later date if necessary. Accounting reports shall be transmitted to the Commission in electronic form.

If requested, further details or explanations in connection with these reports shall be provided to the Commission within three weeks or within a different agreed timeframe.

Article 13
Initial book inventory

Operators in the territory of States acceding to the European Union shall transmit to the Commission, within 30 days of the date of entry into force of this Regulation in that State, an initial book inventory of all nuclear materials they are holding (including nuclear materials previously considered as retained waste and nuclear materials previously exempted from IAEA safeguards), except nuclear material on which IAEA safeguards were terminated. The format set out in Annex V shall be used.

Article 14
Inventory change report

1.For each material balance area, operators shall transmit to the Commission inventory change reports in respect of all nuclear materials using the format set out in Annex III.

These reports shall be sent monthly, at the latest 15 days after the end of the month, and shall state all inventory changes which have occurred or become known during that month.

2.For months in which a physical inventory is taken, and the physical inventory taking date is not the last date of the month, two separate inventory change reports shall be transmitted:

(a)a first inventory change report containing any inventory changes up to and including the physical inventory taking date, which shall be sent at the latest, together with the second inventory change report, or together with the physical inventory listing and the material balance report if the latter are sent before the second inventory change report;

(b)a second inventory change report containing all inventory changes from the first day after the physical inventory taking date to the end of the month, which shall be sent within 15 days of the end of the month.

3.For months in which no inventory changes occur, operators concerned shall send the inventory change report, carrying over the ending book inventory of the previous month.

4.In order that they may be reported as a single inventory change, small inventory changes, such as transfers of samples for purposes of analysis, may be grouped together, as laid down in the particular safeguard provisions referred to in Article 8 for the installation concerned.

5.Inventory change reports may be accompanied by comments explaining the inventory changes.

Article 15
Material balance report and physical inventory listing

1.For each material balance area, operators shall transmit to the Commission:

(a)material balance reports, in the format set out in Annex IV, showing:

(i) beginning physical inventory;

(ii) inventory changes (first increases, then decreases);

(iii) ending book inventory;

(iv) ending physical inventory;

(v) material unaccounted for;

(b)a physical inventory listing, in the format set out in Annex V, showing all batches separately.

2.The reports and the listing shall be transmitted as soon as possible and at the latest within 30 days of the date on which a physical inventory was taken.

3.Unless otherwise specified in the particular safeguard provisions referred to in Article 8 for an installation, a physical inventory listing, based on an actual inventory taking of all nuclear materials present in the material balance area, shall be produced every calendar year and the period between two successive physical inventory takings shall not exceed 14 months.

Article 16
Special reports

Operators shall transmit to the Commission a special report whenever the circumstances referred to in Articles 17 or 25 arise.

The special reports, and further details or explanations requested in connection with these reports, shall be supplied to the Commission without delay. If further technical investigations are required, the reports shall contain the information available on the date of reporting and be completed as soon as possible with the outcome of the investigations.

Article 17
Unusual occurrences

A special report shall be submitted, as provided for in Article 16, in the following cases:

(a)if, as a result of any unusual incident or circumstances, it is believed that there has been or might be an increase or a loss of nuclear material, including during transfer to or from the installation. In such cases, the special report shall include a description of the incident or circumstances, the weights of uranium, thorium and plutonium, in accordance with the categories listed in Article 21(2)(b), the weight of the fissile isotopes in case of enriched uranium, as well as a description of the way the weights were established, and any further actions taken including to avoid recurrence of a loss.

(b)if the containment has unexpectedly changed, to a point where an unauthorised removal of nuclear material has become possible. In such cases, the special report shall include a description of the incident or circumstances, as well as a description of any actions taken to reduce the risk of unauthorised removal and avoid recurrence.

Operators concerned shall submit these reports as soon as they have become aware of any such loss or increase or sudden change in the containment conditions, or of anything which leads them to believe that there has been such an occurrence. The causes shall also be stated as soon as they are known.

For each installation, further details on the information to be supplied may be specified in the particular safeguard provisions referred to in Article 8.

Article 18
Reporting of nuclear transformations

In respect of reactors, calculated data on nuclear transformations shall be reported in the inventory change report at the latest when irradiated fuel is transferred from the reactor material balance area. In addition, other procedures for recording and reporting nuclear transformations may be specified in the particular safeguard provisions referred to in Article 8.

Article 19
Particular safeguard obligations

1.Nuclear materials subject to particular safeguard obligations entered into by the Community in an agreement concluded with a third country or an international organisation shall be identified with the appropriate obligation code, as communicated by the Commission, in the following notifications and records:

(a)initial book inventory provided for in Article 13;

(b)inventory change reports, including ending book inventories, provided for in Article 14;

(c)material balance reports and physical inventory listings provided for in Article 15;

(d)intended imports and exports provided for in Articles 23 and 24;

(e)accounting records provided for in Article 11.

Unless specifically prohibited in any of those agreements, such identification shall not preclude the physical mixing of materials.

2.When applicable, the attribution of obligation codes in the reports provided for in Articles 14 and 15 and the records provided for in Article 11 shall comply with the proportionality principle.

3.Paragraph 1 shall not apply to the Agreements concluded by the Community and the Member States with the International Atomic Energy Agency.

Article 20
Pool accounting and obligation exchanges

1.The use, scope, reporting and modalities of pool accounting require prior authorisation by the Commission, which may be granted on a case-by-case basis if such use is justified in view of the type and activities of the installation. The modalities of pool accounting shall not bring any prejudice to the fulfilment of the commitments of the Community, such as the respect of the equivalence and proportionality principles.

A reasoned and motivated request for authorising the use of pool accounting shall be addressed in writing to the Commission, with a proposal of pool accounting modalities.

2.The pool code, as communicated by the Commission, shall be used to identify all nuclear material in the accountancy pool, in the reports provided for in Articles 14 and 15 and the records provided for in Article 11. The total amounts of nuclear material assigned to the pool shall be known at all times for each obligation code, and shall be provided to the Commission each month in the form of an electronic pool report.

3.The authorisation may be withdrawn if the provisions of this Regulation or the conditions specified in the authorisation are no longer met.

4.Particular safeguard obligations may be exchanged between two quantities of nuclear material, subject to equivalence criteria applicable to the relevant NCA(s) and to specific conditions communicated to the operator after the request is received.

A reasoned and motivated request for an exchange of obligations shall be communicated electronically to the Commission using the form set out in Annex XVI. The operator concerned will be informed whether the conditions for the exchange of obligations are met.

Article 21
Weight units and categories of nuclear materials

1.In any notification referred to in this Regulation, quantities of materials covered by the Regulation shall be expressed in grams.

The corresponding material accounting records shall be kept in grams or in smaller units. They shall be kept in such a manner as to render them trustworthy and, in particular, to comply with cur rent practices in the Member States.

In the notifications, quantities may be rounded down when the first decimal is 0 to 4 and rounded up when the first decimal is 5 to 9.

2.Unless otherwise provided for in the particular safeguard provisions referred to in Article 8, the notifications shall include the following:

(a)the total weight of the elements uranium, thorium and plutonium, and also, for enriched uranium, the total weight of the fissile isotopes;

(b)separate material balance reports as well as separate line entries in inventory change reports and in physical inventory listings for the following categories of nuclear material:

(i) depleted uranium;

(ii) natural uranium;

(iii) uranium enriched to less than 20 %;

(iv) uranium enriched to 20 % and above;

(v) plutonium;

(vi) thorium.

Article 22
Derogations

1.An operator may be derogated from the rules governing the frequency of the reports provided for in Article 14, in order to take account of any particular circumstances in which safeguarded materials are used or produced.

A request for derogation shall be submitted electronically to the Commission by the operator concerned using the format set out in Annex IX.

The derogation may only apply to a whole material balance area, in which nuclear material is not processed or stored together with nuclear material for which no derogation is granted.

2.A derogation may apply to a material balance area holding:

(a)quantities of nuclear material commensurate with those specified in Annex I-N, which are kept in the same state for long periods;

(b)depleted uranium, natural uranium or thorium which is used exclusively in non-nuclear activities;

(c)special fissile materials when used in gram quantities or less as sensing components in instruments;

(d)plutonium with an isotopic concentration of plutonium-238 exceeding 80 %.

3.The operator concerned will be informed whether the above conditions for derogation are met. If those conditions are met, an annual inventory change report shall be transmitted electronically to the Commission by 31 January of each year, provided that no inventory change occurred during the period, using the format set out in Annex III. This report shall describe the situation at 31 December of the previous calendar year. At the same time, a material balance report and a physical inventory listing showing all batches separately shall be transmitted electronically using the formats set out in Annex IV and V.

4.In the case of any inventory change occurring during the year in a material balance area to which a derogation applies, the operator concerned shall transmit electronically an inventory change report to the Commission as soon as possible and, at the latest, within 15 days of the end of the month in which the inventory change occurred, using the format set out in Annex III.

5.If the conditions for derogation are no longer met, the derogation shall no longer apply.

CHAPTER IV

TRANSFERS BETWEEN STATES

Article 23
Exports and shipments

1.Operators shall give advance notification to the Commission if any source materials or special fissile materials:

(a)are exported to a third country;

(b)are shipped from a non-nuclear-weapon Member State to a nuclear-weapon Member State;

(c)are shipped from a nuclear-weapon Member State to a non nuclear-weapon Member State.

2.Advance notification is required only:

(a)where the consignment exceeds one effective kilogram;

or

(b)where an installation transfers a total quantity of materials to the same State that exceeds or may exceed one effective kilogram in any consecutive period of twelve months, even though no single consignment exceeds one effective kilogram.

3.The notification shall be given after the conclusion of the contractual arrangements leading to the transfer, using the form set out in Annex VI, and shall reach the Commission at least eight working days before the material is to be packed for transfer.

4.In case a prior consent by a third country is required for the transfer, the shipment shall not take place before confirmation by the Commission that such prior consent has been granted.

5.On a reasoned request by the operator, special arrangements concerning the form and transmission of the notification may be agreed.

6.Exports and shipments of nuclear material contained in waste or ores are not subject to the provisions of paragraphs 1 to 4.

Article 24
Imports and receipts

1.Operators shall give advance notification to the Commission if any source materials or special fissile materials:

(a)are imported from a third country;

(b)are received in a non-nuclear-weapon Member State from a nuclear-weapon Member State;

(c)are received in a nuclear-weapon Member State from a non nuclear-weapon Member State.

2.Advance notification is required only:

(a)where the consignment exceeds one effective kilogram;

or

(b)where an installation imports or receives a total quantity of materials from the same State that exceeds or may exceed one effective kilogram in any consecutive period of twelve months, even though no single consignment exceeds one effective kilogram.

3.The notification shall be given as far in advance as possible of the expected arrival of the material and, at the latest, on the date of receipt, using the form set out in Annex VII, and shall reach the Commission at least five working days before the material is unpacked.

4.On a reasoned request by the operator, special arrangements concerning the form and transmission of the notification may be agreed.

5.Imports and receipts of nuclear material contained in waste or ores are not subject to the provisions of paragraphs 1 to 4.

Article 25
Loss or delay during transfer

A special report shall be submitted, as provided for in Article 16, by the operators notifying a transfer under Articles 23 and 24 where, following exceptional circumstances or an incident, they have received information that nuclear materials have been lost or appear to be lost, or where there has been a considerable delay during transfer. In such cases, the special report shall include a description of the incident or circumstances and any further actions taken.

For each installation, further details on the information to be supplied may be specified in the particular safeguard provisions referred to in Article 8.

Article 26
Communication of change of date

Any change of the dates for packing before transfer, transport or unpacking of nuclear materials which have been given in the notifications provided for in Articles 23 and 24, shall be communicated without delay, with an indication of the revised dates if known, unless the change gives rise to a special report.

CHAPTER V

SPECIFIC PROVISIONS

Article 27
Ore producers

1.Any person or undertaking extracting ores in the territory of a Member State shall declare the basic technical characteristics of the installation to the Commission, using the questionnaire in Annex I-Q, at least 120 days before extraction of ores commences, and shall communicate the programme of activities in accordance with Article 7.

2.By way of derogation from Articles 9, 10 and 11, any person or undertaking extracting ores shall keep accounting records indicating, in particular, the quantities of the ore extracted, with the average uranium and thorium content, and the stock of extracted ore at the mine. The records shall also contain details of shipments, stating the date, consignee and quantity in each case.

Such records shall be retained for at least five years.

3.Ore producers in the territory of States acceding to the European Union shall communicate to the Commission their basic technical characteristics within 30 days of the date of entry into force of this Regulation in that State.

Article 28
Ore shipment/export reports

By way of derogation from Articles 12 to 19 and article 21, any operator extracting ores shall inform the Commission, using the form set out in Annex VIII of:

(a)the amount of material dispatched from each mine, by 31 January of each year for the previous calendar year;

and

(b)exports of ores to third countries, by the date of the dispatch at the latest.

Article 29
Carriers and temporary storage agents

Any person or undertaking engaged, within the territories of the Member States, in transporting, or temporarily storing during transport, nuclear materials shall accept or hand over such materials only against a duly signed and dated receipt. This receipt shall state the names of the parties handing over and receiving the materials and indicate the quantities carried as well as the category, form and composition of the materials.

If so required for reasons of physical protection, the description of the materials transferred may be replaced by a suitable identification of the consignment. Such identification shall be traceable to records held by the operators shipping and receiving the materials.

Those records shall be retained by the contracting parties for at least five years.

Article 30
Substitute records for carriers and temporary storage agents

Records already held by persons or undertakings in accordance with existing regulations which apply to them in the territory of the Member States in which they operate may take the place of the records referred to in Article 29, provided that such records contain all the information required under that Article.

Article 31
Intermediaries

Any intermediaries taking part in the conclusion of any contract for the supply of nuclear materials, such as authorised agents, brokers or commission agents, shall keep all records relating to the transactions performed by them or on their behalf for at least five years after expiry of the contract. Such records shall contain the names of the contracting parties and indicate the date of the contract as well as the quantity, category, form, composition, origin and destination of the materials.

Article 32
Transmission of information and data

The Commission may transmit to the International Atomic Energy Agency information and data obtained pursuant to this Regulation.

Article 33
Waste initial stock list and accounting records

1.Operators in the territory of States acceding to the European Union holding nuclear material in conditioned waste on which IAEA safeguards were terminated shall transmit to the Commission, within 30 days of the date of entry into force of this Regulation in that State, an initial stock list of all such material by category.

2.Any operator treating or storing nuclear material that has previously been declared as retained or conditioned waste, shall keep accounting records thereof.

By way of derogation from Articles 9 to 13, Article 15 and Article 19(1) for material that has been previously declared as retained waste and Articles 9 to 15 and Article 19(1) for material that has previously been declared as conditioned waste, these records shall include:

(a)the operating data used to determine changes in the quantities and composition of nuclear material;

(b)stock list to be updated yearly after the physical inventory taking;

(c)a description of the sequence of actions taken to prepare for and take a physical inventory, and to ensure that the inventory is correct and complete;

(d)a description of the actions taken in order to ascertain the cause and magnitude of any accidental loss that might have occurred;

(e)all stock changes, so that the book inventory can be established when requested.

Specific reporting requirements for the processing of waste may be specified in the particular safeguard provisions referred to in Article 8.

Article 34
Processing of waste

Operators shall give advance notification to the Commission of any processing campaign of material that has previously been declared as retained or conditioned waste, excluding repackaging or further conditioning without separation of elements.

This advance notification, using the form set out in Annex XII, shall include information on the amount of plutonium, high enriched uranium and uranium-233 per batch, the form (glass, high active liquid, etc.), the expected duration of the campaign, and the location of the material before and after the campaign. Such notification shall be communicated to the Commission in electronic form at least 200 days before the campaign starts.

Article 35
Transfers of conditioned waste

Operators shall submit in electronic form, by 31 January of each year at the latest, annual reports on:

(a)shipments or exports of conditioned waste to an installation within or outside the territories of the Member States, using the form set out in Annex XIII;

(b)receipts or imports of conditioned waste from an installation within or outside the territories of the Member States, using the form set out in Annex XIV;

(c)changes in location of conditioned waste containing plutonium, high enriched uranium or uranium-233, using the form set out in Annex XV.

Article 36
Termination of safeguards

1.Safeguards under this Regulation may be terminated on nuclear material under the following circumstances:

(a)nuclear material which is measured or estimated on the basis of measurements, and which has been irrevocably discarded to the environment as the result of a planned discharge. For this purpose, discards to the environment shall be declared in the inventory change report referred to in Article 14;

(b)nuclear material considered as irrecoverable for practical or economic reasons which is incorporated in end products used for non-nuclear purposes such as alloys or ceramics. For this purpose, termination of use shall be declared in the inventory change report referred to in Article 14;

(c)    nuclear material considered as irrecoverable for practical or economic reasons which is contained in waste in very low concentrations measured or estimated on the basis of measurements, even if these materials are not disposed of. For this purpose, termination of safeguards shall be declared in the inventory change report referred to in Article 14.

2.For termination of safeguards as foreseen under points (b) and (c), a reasoned and justified request shall be transmitted to the Commission. The operator concerned will be informed whether the conditions for termination of safeguards are met.

Article 37
Transfers and inventories of items other than nuclear material

1.The persons or undertakings referred to in Article 1 shall give advance notification and provide as soon as possible confirmation to the Commission of transfers of items other than nuclear material if such items are subject to any NCA, using the relevant form in Annex XVII or a similar accepted form.

2.In case a prior consent of the third country is required for the transfer, the shipment shall not take place before confirmation by the Commission that such prior consent has been granted.

3.Persons or undertakings holding items other than nuclear material which are subject to any NCA shall provide the Commission with an annual report in electronic form reflecting the inventory on 31 December, by 31 January of the following year.

Article 38
National LOF

1.A national LOF, comprising several individual holders of small amounts of nuclear material (smallholders) within that Member State, may be put in place upon request by the responsible authority of a Member State to the Commission.

2.The responsible authority shall supervise the national LOF and ensure implementation of Articles 3-7, 12-19, 21 and 23-26.

3.The combined inventory of source material and special fissile material in a national LOF shall not exceed one effective kilogram.

4.The declaration of the basic technical characteristics of the national LOF shall be submitted by the responsible authority to the Commission using the questionnaire in Annex I-M. Any update shall be submitted, at the latest when transmitting the physical inventory listing provided for in Article 15.

5.The declaration of the basic technical characteristics shall describe how responsibilities are shared between responsible authorities and individual smallholders for the purpose of implementing Articles 9-11.

6.For the purpose of implementing Articles 9, 14 and 15, the responsible authority shall take appropriate measures to ensure that:

(a)the physical inventory is taken on the same date by all individual smallholders comprising the national LOF;

(b)the physical inventories of each individual smallholder can be identified in the physical inventory listing transmitted to the Commission;

(c)the accounting reports are substantiated with appropriate operating records;

(d)the provisions of this Regulation are effectively implemented within the scope of the national LOF.

Article 39
International obligations

1.The provisions of this Regulation, and in particular Article 6(1), Article 34 and point (c) of Article 35, shall be applied in conformity with the obligations of the Community and non-nuclear weapon Member States, under Additional Protocol 1999/188/Euratom.

2.The provisions of this Regulation, and in particular Articles 19, 20, 23, 24 and 37 shall be applied in conformity with NCAs in force between the Community and third countries and in such a way that the Commission can fulfil the obligations of the Community under such Agreements.

3.The provisions of this Regulation, and in particular Articles 9-18, 22-26 and 36, shall be applied in conformity with the obligations of the Community and its Member States under Safeguards Agreements with the International Atomic Energy Agency.

CHAPTER VI

SPECIFIC PROVISIONS APPLICABLE IN THE TERRITORY OF THE NUCLEAR-WEAPON MEMBER STATE

Article 40
Specific provisions for the nuclear-weapon Member State

1.This Regulation shall not apply:

(a)to installations or parts of installations which have been assigned to meet defence requirements and which are situated in the territory of the nuclear-weapon Member State;

or

(b)to nuclear materials which have been assigned to meet defence requirements by that nuclear-weapon Member State.

2.For nuclear materials, installations or parts of installations which are liable to be assigned to meet defence requirements and which are situated in the territory of a nuclear-weapon Member State, the extent of the application of this Regulation and the procedures under which it applies are defined in agreement between the Commission and the nuclear-weapon Member State concerned, taking into account the provisions of the second paragraph of Article 84 of the Treaty. Such procedures are without prejudice to the possibility for the Commission's inspectors to apply safeguards and to ensure compliance with the provisions of Article 77 of the Treaty. Such procedures include provisions for installations or parts of installations under decommissioning. By way of derogation, it may be agreed, on a case-by-case basis, that specific records are presented to the Commission's inspectors instead of the shipping documents provided for in Article 10(a).

3.Notwithstanding paragraphs 1 and 2:

(a)the provisions of Articles 3(1), 4 and 8 shall apply to installations or parts of installations which at certain times are operated exclusively with nuclear materials liable to be assigned to meet defence requirements but which at other times are operated exclusively with civil nuclear materials;

(b)the provisions of Articles 3(1), 4 and 8 shall apply, with exceptions for reasons of national security, to installations or parts of installations to which access could be restricted for such reasons but which produce, treat, separate, reprocess, store or use in any other way, simultaneously, both civil nuclear materials and nuclear materials assigned or liable to be assigned to meet defence requirements;

(c)the provisions of Articles 2 and 7, Articles 9 to 37, paragraphs 1 and 2 of this Article and Articles 41, 42 and 43 shall apply in relation to all civil nuclear materials situated in the installations or parts of installations referred to in points (a) and (b) of this paragraph;

(d)the provisions of Article 6(1), Article 34 and Article 35(c) shall not apply in the territories of the nuclear-weapon Member State.

CHAPTER VII

FINAL PROVISIONS

Article 41
Confidentiality of data

1.The information obtained or handled by the Commission under the present Regulation is subject to the security rules set out in Commission Decision (EU/Euratom) 2015/443 and in Commission Decision (EU/Euratom) 2015/444, without prejudice to Regulation (Euratom) No 3 implementing Article 24 of the Treaty.

2.The security of information transmission shall be in compliance with the Commission rules and Member State requirements for the transmission of such information.

Article 42
Installations controlled from outside the Community

Where an installation is controlled by a person or undertaking established outside the Community, any obligations imposed by this Regulation shall be fulfilled by the local management of the installation.

Article 43
Implementation and monitoring

1.The Commission shall adopt and publish Guidelines for the application of this Regulation by means of a Recommendation, and, if necessary, update them in the light of the experience gained, in close consultation with the Member States, and after having obtained observations from interested parties.

2.The Commission shall evaluate the application of this Regulation within 10 years after its entry into force and report on the main findings to the Council.

Article 44
Repeal

Regulation (Euratom) No 302/2005 is repealed.

References to the repealed Regulation shall be construed as references to this Regulation.

Article 45
Transitional period

Upon a duly justified request and the presentation of an implementation programme, the Commission may, on a case-by-case basis, grant an exemption from the obligation to use the format set out in Annex X for the list of inventory items. It shall be granted for a maximum of two years.

Article 46
Entry into force

This Regulation shall enter into force on the xxxth day following its publication in the Official Journal of the European Union.

This Regulation shall be binding in its entirety and directly applicable in all Member States.

Done at Brussels,

ANNEX I

QUESTIONNAIRE FOR THE DECLARATION OF THE BASIC TECHNICAL CHARASTERISTICS (BTC) OF THE INSTALLATIONS

NB:

1.The answer ‘not applicable’ may be given when the question is considered not pertinent in view of the particular situation of the installation. In such case, the reason why the question is considered not applicable must be briefly explained.

2.For declaration updates, please highlight the introduced modifications. In case of updates, the full BTC should be transmitted with a new version number.

3.Electronic templates are available through the Commission.

4.The declaration, duly completed and signed (digitally if possible), should be forwarded in electronic form to the European Commission, Euratom Safeguards.

ANNEX I-A. POWER AND RESEARCH REACTORS

Administrative details:

(a)date (date on which the BTC was completed);

(b)version (unique number for reference);

(c)responsible officer (name and contact details).

IDENTIFICATION OF THE INSTALLATION

1.Name of the installation (indicate usual abbreviation, if applicable).

-    Indicate MBA code(s) (once attributed).

2.Location, postal and e-mail address (functional mailbox when available) and telephone number.

3.Owner (legally responsible body or individual) with contact details.

4.Operator (legally responsible body or individual) with contact details.

5.Description (main features only).

6.Purpose and type of the installation.

7.Present status (e.g. design phase, under construction, in operation, closed down and/or under decommissioning).

8.Pre-operation information

Design and construction schedule dates, estimated commissioning and operation starting dates. Requested and/or approved licence dates (e.g. decision in principle, construction and expected operation licence request dates). Information on expected date of receipts of the nuclear material. Installation design drawings to be communicated as soon as these are available.

Pre-operation information is related to the “safeguards by design” process and is essential to enable the integration of safeguards equipment infrastructure into the design and subsequent construction of the installation.

9.Normal operating mode (shift system adopted, approximate dates of operating periods in year, etc.).

10.Area layout (map showing the installation, reactor(s) and storage areas, boundaries, buildings, roads, rivers, railways, etc.).

11.Layout of installation:

(a)identification of main areas (structural containment, fences and access routes);

(b)incoming-material storage area;

(c)reactor(s) area;

(d)test and experiment area, laboratories;

(e)outgoing-material storage area;

(f)waste storage area. 

12.Safeguards responsible person, also for nuclear material accountancy, with e-mail address (functional mailbox when available) and telephone number.

General reactor data

13.Description of the installation (indicating main items of equipment).

14.Rated thermal and electricity output (when applicable).

15.Number of units.

16.Reactor type.

17.Type of refuelling (cycle length, on-load or off-load, percentage of fuel reloading).

18.Core enrichment range and Pu concentration (at equilibrium for on-load reactors, initial and final for off-load reactors).

19.Moderator.

20.Coolant.

21.Blanket, reflector.

GENERAL ARRANGEMENTS AT THE INSTALLATION, INCLUDING THOSE RELATING TO MATERIAL USE AND HANDLING

Description of nuclear material

22.Types of fresh fuel.

23.Fresh fuel enrichment (U-235) and/or Pu content (average enrichment for each type of assembly).

24.Nominal weight of fuel in elements/assemblies with design tolerances.

25.Physical and chemical form of fresh fuel.

26.Detailed description of reactor assemblies:

(a)type of fuel assemblies;

(b)number of fuel assemblies, control and shim assemblies, experimental assemblies in the core, in blanket zone(s);

(c)number and types of fuel rods/elements;

(d)average enrichment and/or Pu content per assembly;

(e)general structure;

(f)geometric form;

(g)dimensions;

(h)cladding material.

27.Detailed description of each type of fresh fuel:

(a)physical and chemical form of fuel;

(b)nuclear material and fissionable material and its quantity;

(c)enrichment and/or Pu content;

(d)geometric form;

(e)dimensions;

(f)number of slugs/pellets per element;

(g)composition of alloy;

(h)cladding material (thickness, composition of material, bonding).

28.Provision for pin exchange in each type of fuel assemblies. Indicate whether this is foreseen to become a routine operation.

29.Basic operational accounting units (fuel elements/assemblies, etc.).

30.Other types of accounting units.

31.Means of nuclear material and/or fuel identification.

32.Other nuclear material and dummies (e.g. shielding, fission chambers, sources, etc.).

Flow of nuclear material

33.Schematic flow sheet for nuclear material (identifying measurement points, accountability areas, inventory locations).

34.Inventory with quantity range including uranium enrichment and plutonium content, number of items in Key Measurement Points (under normal operating conditions) in:

(a)fresh fuel storage;

(b)reactor core;

(c)spent fuel storage;

(d)other locations.

35.Load factor.

36.Reactor core loading (number of elements and assemblies).

37.Refuelling requirements.

38.Burn-up, average and maximum.

39.Indicate the way to handle irradiated fuel assemblies (to be dry/wet stored or reprocessed).

Handling of nuclear material

40.General arrangement for fresh fuel:

(a)layout, storage plan and packaging;

(b)capacity of store;

(c)fuel preparation and assay room and reactor loading area, description and indication of layout and general arrangement.

41.Fuel transfer equipment (including refuelling machine).

42.Routes followed by fresh fuel, irradiated fuel, blanket and other nuclear material.

43.Reactor vessel (showing core location, access to vessel, vessel openings and fuel handling in vessel).

44.Reactor core diagram (showing general disposition, lattice, form, pitch, dimensions of core, reflector, blanket, location, shapes and dimensions of fuel elements/assemblies, control elements/assemblies, experimental elements/assemblies).

45.Number and size of channels for fuel elements or assemblies and for control elements in the core.

46.Average mean neutron flux in the core (thermal/fast).

47.Instrumentation for measuring neutron and gamma flux.

48.General arrangement for irradiated fuel:

(a)layout, spent fuel storages;

(b)method of storage;

(c)design capacity of storage;

(d)minimum and normal cooling period prior to shipment;

(e)description of irradiated fuel transport equipment and shipping cask.

49.Maximum radiation level of fuel/blanket after refuelling (dose rate at the surface and at a distance of 1 meter).

50.Methods and equipment used for handling irradiated fuel (pin removal, top nozzle)

51.Nuclear material testing area (if applicable):

(a)brief description of the activities performed;

(b)description of main equipment (e.g. hot cell, fuel assembly decladding and dissolving equipment);

(c)description of shipping and storage containers for nuclear material and of waste and scrap packaging (e.g. to determine whether sealing is possible);

(d)description of storage area for non-irradiated and irradiated nuclear material;

(e)layout and general arrangement.

Coolant data

52.Flow diagram (indicating mass flow, temperature and pressure at major points, etc.).

Protection and safety measures

53.Basic measures for physical protection of nuclear material.

54.Specific health and safety rules for inspector compliance.

NUCLEAR MATERIAL ACCOUNTANCY AND CONTROL (NMAC)

55.The NMAC system shall be described under the following headings:

(a)General

Description of the ledgers and their forms (electronic or hard copies), method of recording accountancy data and establishing material balance;

(b)Main inventory changes

Description of typical inventory changes e.g. receipts, shipments (including waste), nuclear loss and production, including a description of how these changes are determined. The corresponding operational records and source data (e.g. receiving and shipping forms, the initial recording of measurements and measurement control sheets) should be identified;

(c)Physical inventory

Description of procedures, scheduled frequency, methods of operator’s inventory taking (both for the number of items as well as their nuclear material weights), including relevant assay methods and expected accuracy, access to nuclear material, possible methods for the physical verification of fresh and irradiated nuclear materials;

(d)Operational and accounting records (including logbooks, general ledgers, internal transfer forms, method of adjustment or correction, control measures and responsibility for records)

Description of how these records are maintained, including when an adjustment or correction is needed, place where the records can be consulted, retention time and language;

(e)Particular accounting provisions

Description of particular provisions, e.g. for the designation of batch IDs and methods for preventing, detecting and timely fixing of accounting discrepancies.

56.Provisions related to existing or foreseen containment and surveillance measures (general description in reference to floor plan and installation layout enabling to install seals, cameras, lasers, remote data transmission, etc.).

57.For each measurement point of the material balance area provide the following information, when applicable:

(a)location, type, identification;

(b)anticipated types of inventory changes;

(c)possibility to use this measurement point for physical inventory taking;

(d)physical and chemical form of nuclear material;

(e)nuclear material containers and packaging;

(f)sampling procedures and equipment used;

(g)measurement methods and equipment used for item counting, neutron flux, power level, nuclear burn-up and production etc;

(h)source and level of accuracy;

(i)technique and frequency of calibration of equipment used;

(j)programme for the continuing appraisal of the accuracy of methods and techniques used;

(k)method of converting source data to batch data (calculative procedures, constant used, etc.);

(l)anticipated batch flow per year;

(m)anticipated number of inventory batches;

(n)anticipated number of items per flow;

(o)type, composition and estimated quantity of nuclear material per batch (average), form of nuclear material and typical isotopic composition;

(p)access to nuclear material and its location.

POST- OPERATION INFORMATION

58.Decommissioning schedule dates (end of operation and of decommissioning dates).

59.Decommissioning plan, which shall include the following:

(a)key events of the decommissioning plan;

(b)removal and recovery of nuclear material. Provide a plan containing estimates of how, where and when nuclear material will be recovered and/or removed (e.g. loose material consolidated into items, removal of items, recovery/removal of material from decontamination activities, and recovery/removal of nuclear material in waste) and how it will be accounted for;

(c)removing or rendering inoperable of equipment essential for the functioning of the installation, for handling or storing nuclear material.

OTHER INFORMATION RELEVANT FOR THE APPLICATION OF SAFEGUARDS

60.Other optional information and drawings that the operator considers relevant to safeguarding the installation.

ANNEX I-B. CRITICAL AND SUB-CRITICAL INSTALLATIONS

Administrative details:

(a)date (date on which the BTC was completed);

(b)version (unique number for reference);

(c)responsible officer (name and contact details).

IDENTIFICATION OF THE INSTALLATION    

1.Name of the installation (indicate usual abbreviation, if applicable).

-    Indicate MBA code(s) (once attributed).

2.Location, postal and e-mail address (functional mailbox when available) and telephone number.

3.Owner (legally responsible body or individual) with contact details.

4.Operator (legally responsible body or individual) with contact details.

5.Description (main features only).

6.Purpose and type of the installation.

7.Present status (e.g. design phase, under construction, in operation, closed down and/or under decommissioning).

8.Pre-operation information

Design and construction schedule dates, estimated commissioning and operation starting dates. Requested and/or approved licence dates (e.g. decision of principle, construction and expected operation licence request dates. Information on expected date of receipts of the nuclear material. Installation design drawings to be communicated as soon as these are available.

Pre-operation information is related to the “safeguards by design” process and is essential to enable the integration of safeguards equipment infrastructure into the design and subsequent construction of the installation.

9.Normal operating mode (shift system adopted, approximate dates of operating periods in year, etc).

10.Area layout (map showing the installation, boundaries, buildings, roads, rivers, railways, etc.).

11.Layout of installation:

(a)identification of main areas (structural containment, fences and access routes);

(b)nuclear material storage area(s);

(c)waste storage areas;

(d)routes followed by nuclear material;

(e)test and experimental areas, laboratories.

12.Safeguards responsible person, also for nuclear material accountancy, with e-mail address (functional mailbox when available) and telephone number.

General installation data

13.Number of critical assemblies in the installation and their location.

14.Maximum expected operating power and/or neutron flux.

15.Description of the moderator, reflector, blanket and coolant.

GENERAL ARRANGEMENTS AT THE INSTALLATION, INCLUDING THOSE RELATING TO MATERIAL USE AND HANDLING

Description of nuclear material

16.Main types of nuclear material/fuel and nominal weight of nuclear material in the installation.

17.Range of fuel enrichment and Pu content.

18.Description, by means of drawings or otherwise, of fuel material (for each type):

(a)chemical composition or main alloy constituents;

(b)form and dimensions;

(c)number of slugs per element;

(d)enrichment;

(e)nominal weight of nuclear material, with design tolerances;

(f)composition of alloy, etc.

19.Cladding material (thickness, composition of material and bonding).

20.Sub-assemblies of fuel (number of fuel elements per nuclear assembly, arrangement of fuel elements in sub-assembly, configuration and nominal weight of nuclear material per sub-assembly with design tolerance).

21.Basic operational accounting unit (fuel elements/assemblies, etc.).

22.Other types of units.

23.Means of nuclear material/fuel identification.

24.Other nuclear material and dummies (briefly state material, purpose and method of use, e.g. as booster rods, shielding, fission chambers, sources).

Flow of nuclear material

25.Schematic flowsheet for nuclear material (identifying measurement points, accountability areas, inventory locations, etc, for operator purposes).

26.Inventory with quantity range including uranium enrichment and plutonium content, for:

(a)nuclear material storage(s);

(b)core area(s);

(c)assembly core(s) itself;

(d)other locations.

Location and handling of nuclear material (for each accountability area)

27.Core diagram (for each critical assembly showing the general disposition, core support structure, shielding and heat removal arrangements, channels for fuel elements or sub-assemblies, control rods, moderator, reflector, beam tubes, dimensions, etc.).

28.Ranges of critical mass and maximum radius.

29.Description of most common configurations.

30.Average mean neutron flux in the core (thermal/ fast).

31.Instrumentation for measuring neutron and gamma flux (accuracy and type of instruments; location of indicator and recorder).

32.Maximum radiation level outside/inside shielding at specified places (dose rate).

33.Maximum radiation level of fuel after refuelling/operation (dose rate at the surface and at a distance of 1 meter).

34.Nuclear material storage:

(a)description of packaging;

(b)storage plan and arrangements;

(c)capacity of storage;

(d)nuclear material preparation (description and identification of layout and general arrangement).

35.Routes followed by nuclear material.

36.Main equipment used for:

(a)assembling and disassembling of fuel;

(b)nuclear material testing;

(c)nuclear material measuring.

37.Fuel transfer equipment, if any.

Protection and safety measures

38.Basic measures for physical protection of nuclear material.

39.Specific health and safety rules for inspector compliance.

NUCLEAR MATERIAL ACCOUNTANCY AND CONTROL (NMAC)

40.The NMAC system shall be described under the following headings:

(a)General

Description of the ledgers and their forms (electronic or hard copies), method of recording accountancy data and establishing material balance;

(b)Main inventory changes

Description of typical inventory changes e.g. receipts and shipments, including a description of how these changes are determined. Corresponding operational records and source data (e.g. receiving and shipping forms, the initial recording of measurements and measurement control sheets) should be identified;

(c)Physical inventory

Description of procedures, scheduled frequency, methods of operator’s inventory taking (both for the number of items as well as their nuclear material weights), including relevant assay methods and expected accuracy, access to nuclear material, possible methods for the physical verification of fresh and irradiated nuclear materials;

(d)Operational and accounting records (including logbooks, general ledgers, internal transfer forms, method of adjustment or correction, control measures and responsibility for records).

Description of how these records are maintained, including when an adjustment or correction is needed, place where the records can be consulted, retention time and language;

(e)Particular accounting provisions

Description of particular provisions, e.g. for the designation of batch IDs and methods for preventing, detecting and timely fixing of accounting discrepancies.

41.Frequency of core disassembling to permit the verification of contained nuclear material.

42.Provisions related to existing or foreseen containment and surveillance measures (general description in reference to floor plan and installation layout enabling to install seals, cameras, lasers, remote data transmission, etc.).

43.For each measurement point of the material balance area provide the following information, when applicable:

(a)description of location, type, identification;

(b)anticipated types of inventory change;

(c)possibilities to use this measurement point for physical inventory taking;

(d)physical and chemical form of nuclear material (with cladding materials description);

(e)nuclear material containers, packaging;

(f)sampling procedure and equipment used;

(g)measurement method(s) and equipment used;

(h)source and level of random and systematic errors (measurements);

(i)technique and frequency of calibration of equipment used;

(j)method of converting source data to batch data;

(k)means of batch identification;

(l)anticipated batch flow rate per year;

(m)anticipated number of inventory batches;

(n)anticipated number of items per flow;

(o)type, composition and quantity of nuclear material per batch, total weight of nuclear material in item, the isotopic composition when appropriate and form of nuclear material.

POST- OPERATION INFORMATION

44.Decommissioning schedule dates (end of operation and of decommissioning dates).

45.Decommissioning plan, which shall include the following:

(a)key events of the decommissioning plan;

(b)removal and recovery of nuclear material. Provide a plan containing estimates of how, where and when nuclear material will be recovered and/or removed (e.g. loose material consolidated into items, removal of items, recovery/removal of material from decontamination activities, and recovery/removal of nuclear material in waste) and how it will be accounted for;

(c)removing or rendering inoperable of equipment essential for the functioning of the installation, for handling or storing nuclear material.

OTHER INFORMATION RELEVANT FOR THE APPLICATION OF SAFEGUARDS

46.Other optional information that the operator considers relevant to safeguarding the installation.

ANNEX I-C. CONVERSION AND FUEL FABRICATION INSTALLATIONS

Administrative details:

(a)date (date on which the BTC was completed);

(b)version (unique number for reference);

(c)responsible officer (name and contact details).

IDENTIFICATION OF THE INSTALLATION

1.Name of the installation (indicate usual abbreviation, if applicable).

-    Indicate MBA code(s) (once attributed).

2.Location, postal and e-mail address (functional mailbox when available) and telephone number.

3.Owner (legally responsible body or individual) with contact details.

4.Operator (legally responsible body or individual) with contact details.

5.Description (main features only).

6.Purpose and type of the installation.

7.Present status (e.g. design phase, under construction, in operation, closed down and/or under decommissioning).

8.Pre-operation information

Design and construction schedule dates, estimated commissioning and operation starting dates. Requested and/or approved licence dates (e.g. decision of principle, construction and expected operation licence request dates). Information on expected date of receipts of the nuclear material. Installation design drawings to be communicated as soon as these are available.

Pre-operation information relates to the “safeguards by design” process and is essential to enable the integration of safeguards equipment infrastructure at an early stage of the construction project into the design of the installation.

9.Operating mode influencing its production (shift system adopted, approximate dates of operating periods in year, etc.).

10.Area layout (map showing the installation, boundaries, buildings, roads, rivers, railways, etc.).

11.Layout of installation:

(a)structural containment, fences and access routes;

(b)containment of certain parts of the installation;

(c)routes followed by nuclear material;

(d)nuclear material storage areas;

(e)each main processing area and process laboratory;

(f)test or experimental areas;

(g)waste storage area;

(h)analytical laboratory.

12.Safeguards responsible person, also for nuclear material accountancy, with e-mail address (functional mailbox when available) and telephone number.

Overall process parameters

13.Description of the installation (indicating main items of equipment).

14.Process description (indicating type of conversion, method of fabrication, sampling methods, etc., indicating also the modification of physical and chemical forms).

15.Design capacity (in weight of principal products per year).

16.Anticipated throughput (in the form of a forward programme indicating proportion of various feeds and products).

17.Other important items of equipment using, producing or processing nuclear material (such as testing and experimental equipment).

GENERAL ARRANGEMENTS AT THE INSTALLATION, INCLUDING THOSE RELATING TO MATERIAL USE AND ACCOUNTANCY, CONTAINMENT AND SURVEILLANCE

Description of nuclear material

18.Main material description (feed, intermediate product, product):

(a)chemical and physical form (for product include types of fuel element/assemblies, give detailed description indicating general structure and overall structure and overall dimensions of fuel element/assemblies, including nuclear material content and enrichment);

(b)throughput, enrichment ranges and Pu contents (for normal flowsheet operation indicating if blending and/or recycling takes place);

(c)batch size/flow rate and campaign period, means of batch identification;

(d)maximum value of storage/plant inventory;

(e)frequency of receipt or shipment (batches/units per month).

19.Scrap material.

20.Waste material (including contaminated equipment and retained waste). For each waste stream, description of:

(a)major contributions (sources);

(b)types of waste;

(c)chemical and physical form (liquid, solid, etc.);

(d)estimated enrichment ranges and uranium/plutonium content;

(e)estimated quantities per year, period of storing;

(f)waste generated rates (as % of input/ throughput, quantities per month);

(g)store inventory range and maximum capacity;

(h)method and frequency of recovery/discharge.

21.Waste treatment system (attach diagrams).

22.Other nuclear material in the installation and its location, if any.

23.Schematic flowsheet for nuclear material (identifying sampling points, flow and inventory measurement points, accountability areas, inventory locations, etc.).

24.Types, form, ranges of nuclear material content (including enrichment, as applicable), ranges of quantities of nuclear material flow for each nuclear material handling area.

25.Recycle processes (brief description of any such processes giving source and form of material, method of storage, normal inventory, frequency of processing, duration of temporary storage, schedules for any external recycling, measurement method of fissile content of recycle material).

26.Inventory:

(a)in-process (within plant and equipment during normal operation, indicate quantity, range of enrichment, Pu content, form and principal locations and any significant change in time or throughput; indicate anticipated residual hold-up and mechanism, e.g. plate out, condensation);

(b)feed and product storages;

(c)other locations (quantity, range of enrichment, Pu content, form and location of inventory not already specified).

Handling of nuclear material

27.Containers, packaging and storage area description.

Describe for feeds, products and wastes: the type and size of storage and shipping containers and packaging used (including nominal capacity and capacity for normal operation, and type of material); method of storage or packing, filling and emptying procedures, shielding; and any special identification features.

28.Methods and means of transfer of nuclear material (describe also equipment used for handling of feed, product, waste).

29.Transportation routes followed by nuclear material (with reference to plant layout).

30.Shielding (for storage, transfer and process area).

Maintenance of the installation

31.Maintenance, decontamination, clean-out (in cases where clean-out and/or sampling is not possible, indicate how the hold-up of nuclear material is measured or calculated):

(a)normal maintenance of the installation;

(b)installation and equipment decontamination and subsequent nuclear material recovery;

(c)installation and equipment clean-out including means of ensuring vessels are empty;

(d)installation start-up and plant shut-down (if different from normal operation).

Protection and safety measures

32.Basic measures for physical protection of nuclear material.

33.Specific health and safety rules for inspector compliance (if extensive, attach separately).

NUCLEAR MATERIAL ACCOUNTANCY AND CONTROL (NMAC)

34.Description of the NMAC system, the method of recording and reporting accountancy data and establishing material balances, frequency of physical inventory takings, procedures for account adjustment after plant inventory, mistakes, etc., under the following headings:

(a)General

Description of the ledgers and their form (electronic or hard copies). Source data (e.g. shipping and receiving forms, internal transfer documents, physical inventory forms, the initial recording of measurements and measurement control sheets). Procedures for making adjustments and corrections (indicating how the adjustments are authorized and substantiated);

(b)Receipts (including method of dealing with shipper/receiver differences and subsequent accounting corrections; checks and measurements used to confirm nuclear material content);

(c)Shipments (products, waste);

(d)Transfers to retained waste (method of establishing quantities, method and envisaged period of storage, possible subsequent uses of retained waste);

(e)Discards to the environment (method of establishing quantities, method of discharge);

(f)Other inventory changes, e.g. transfers to conditioned waste, unmeasured losses (method of establishing quantities);

(g)Physical inventory

Description of procedures, scheduled frequency, estimated distribution of nuclear material, methods of operator's inventory taking (both for the number of items as well as their nuclear material weights, including relevant assay method), accessibility and possible verification method for nuclear material, expected accuracy, and access to nuclear material. In particular the description of procedures should also provide the basic inventory approach to be used, i.e. planning, organizing, and conducting the inventory taking, primary responsibility for the inventory, process clean-out, accountancy of process residual hold-up;

(h)Operational and accounting records (including logbooks, general ledgers, internal transfer forms, method of adjustment or correction, control measures and responsibility for records). Description of how these records are maintained, including when an adjustment or correction is needed, place where the records can be consulted, retention time and language;

(i)Particular accounting provisions

Description of particular provisions, e.g. for the designation of batch IDs and methods for preventing, detecting and timely fixing of accounting discrepancies.

35.Features related to containment and surveillance measures (general description of applied or possible measures in reference to floor plan or plant layout).

36.For each flow and inventory measurement point, and sampling points of accountability areas, give the following:

(a)description of location, type, identification;

(b)expected types of inventory change at this measurement point and possibility to use this measurement point for physical inventory taking;

(c)physical and chemical form of nuclear material (including enrichment range, Pu content, and cladding materials description);

(d)nuclear material containers, packaging and method of storage;

(e)sampling procedure and equipment used (including number of samples taken, frequency and rejection criteria);

(f)measurement/analytical method(s) and equipment used and corresponding accuracies;

(g)source and level of random and systematic errors for feed, product, scrap, waste (weight, volume, sampling, analytical);

(h)calculative and error propagation techniques;

(i)technique and frequency of calibration of equipment used, and standards used;

(j)programme for the continuing appraisal of the accuracy of weight, volume, sampling and analytical techniques and measurement methods;

(k)programme for statistical evaluation of data from (i) and (j);

(l)means of batch identification;

(m)anticipated batch flow rate per year;

(n)anticipated number of inventory batches;

(o)anticipated number of items per flow and inventory batches;

(p)type, composition and quantity of nuclear material per batch (with indication of batch data, total weight of each element of nuclear material and form of nuclear material);

(q)features related to containment-surveillance measures.

37.Overall limit of error. Describe procedures to combine individual measurement error determination to obtain the overall limit of error for:

(a)shipper/receiver differences;

(b)book inventory;

(c)physical inventory;

(d)material unaccounted for (MUF).

POST- OPERATION INFORMATION

38.Decommissioning schedule dates (end of operation and of decommissioning dates).

39.Decommissioning plan, which shall include the following:

(a)key events of the decommissioning plan;

(b)removal and recovery of nuclear material. Provide a plan containing estimates of how, where and when nuclear material will be recovered and/or removed (e.g. loose material consolidated into items, removal of items, recovery/removal of material from decontamination activities, and recovery/removal of nuclear material in waste) and how it will be accounted for;

(c)removing or rendering inoperable of equipment essential for the functioning of the installation, for handling or storing nuclear material.

OTHER INFORMATION RELEVANT FOR THE APPLICATION OF SAFEGUARDS

40.Other optional information that the operator considers relevant to safeguarding the installation.

ANNEX I-D. REPROCESSING INSTALLATIONS

Administrative details:

(a)date (date on which the BTC was completed);

(b)version (unique number for reference);

(c)responsible officer (name and contact details).

IDENTIFICATION OF THE INSTALLATION

1.Name of the installation (indicate usual abbreviation, if applicable).

-    Indicate MBA code(s) (once attributed).

2.Location, postal and e-mail address (functional mailbox when available) and telephone number.

3.Owner (legally responsible body or individual) with contact details.

4.Operator (legally responsible body or individual) with contact details.

5.Description (main features only).

6.Purpose and type of the installation.

7.Present status (e.g. design phase, under construction, in operation, closed down and/or under decommissioning).

8.Pre-operation information

Design and construction schedule dates, estimated commissioning and operation starting dates. Requested and/or approved licence dates (e.g. decision of principle, construction and expected operation licence request dates). Information on expected date of receipts of the nuclear material and/or fuel assemblies. Installation design drawings to be communicated as soon as these are available.

Pre-operation information relates to the “safeguards by design” process and is essential to enable the integration of safeguards equipment infrastructure at an early stage of the construction project into the design of the installation.

9.Operating mode influencing its production (shift system adopted, approximate dates of operating periods in year.

10.Area layout (map showing the installation, boundaries, buildings, roads, rivers, railways, etc.).

11.Layout of installation:

(a)structural containment, fences and access routes;

(b)containment of certain parts of the installation;

(c)routes followed by nuclear material;

(d)nuclear material storage areas;

(e)each main processing area and process laboratory;

(f)test or experimental areas;

(g)waste storage area;

(h)analytical laboratory.

12.Safeguards responsible person, also for nuclear material accountancy, with e-mail address (functional mailbox when available) and telephone number.

Overall process parameters

13.Description of the installation (indicating main items of equipment).

14.Process description (also indicating the modification of physical and chemical forms).

15.Design capacity (in weight of principal products per year).

16.Anticipated throughput (in the form of a forward programme indicating proportion of various feeds and products).

17.Other important items of equipment using, producing or processing nuclear material (such as testing and experimental equipment).

GENERAL ARRANGEMENTS AT THE INSTALLATION, INCLUDING THOSE RELATING TO MATERIAL USE AND ACCOUNTANCY, CONTAINMENT AND SURVEILLANCE

Description of nuclear material

18.Main material description (feed, product (U, Pu)):

(a)chemical and physical form (for feed include types of fuel elements/assemblies, give detailed description indicating general structure and overall structure and overall dimensions of fuel elements/assemblies, including nuclear material content and enrichment);

(b)throughput, enrichment ranges and Pu contents (for normal flowsheet operation indicating if blending and/or recycling takes place);

(c)batch size/flow rate and campaign period, means of batch identification;

(d)storage and plant inventory (indicating any change with throughput);

(e)frequency of receipt or shipment (batches/units per month).

19.Waste material (including contaminated equipment and retained waste). For each waste stream, description of:

(a)major contributions (sources);

(b)types of waste after waste processing;

(c)chemical and physical form (liquid, solid, etc.) of waste feeds, waste in intermediate storage and waste product after processing;

(d)for each material in point c, uranium content and its enrichment ranges, plutonium content;

(e)estimated quantities per year, period of storing;

(f)waste generated rates (as % of input/ throughput, quantities per month);

(g)store inventory range and maximum capacity;

(h)method and frequency of recovery/discharge.

20.Waste treatment system (attach diagrams).

21.Other nuclear material in the installation and its location, if any.

22.Schematic flowsheet for nuclear material (identifying sampling points, flow and inventory measurement points, accountability areas, inventory locations, etc.).

23.Types, form, ranges of nuclear material content (including enrichment, as applicable), ranges of quantities of nuclear material flow for each nuclear material handling area.

24.Recycle processes (brief description of any such processes giving source and form of material, method of storage, normal inventory, frequency of processing, duration of temporary storage, schedules for any external recycling, measurement method of fissile content of recycle material).

25.Inventory:

(a)in-process (within plant and equipment during normal operation, indicate quantity, range of enrichment, Pu content, form and principal locations and any significant change in time or throughput; indicate anticipated residual hold-up and mechanism, e.g. plate out, condensation);

(b)feed and product storages;

(c)other locations (quantity, range of enrichment, Pu content, form and location of inventory not already specified).

Handling of nuclear material

26.Containers, packaging and storage area description.

Description for feeds, products and wastes of the type and size of storage and shipping containers and packaging used (including nominal capacity and capacity for normal operation, and type of material). Description of storage, packing, filling and emptying procedures.

27.Methods and means of transfer of nuclear material (describe also equipment used for handling of feed, product, waste).

28.Transportation routes followed by nuclear material (with reference to plant layout).

29.Shielding (for storage and transfer).

Maintenance of the installation

30.Maintenance, decontamination, clean-out (in cases where clean-out and/or sampling is not possible, indicate how the hold-up of nuclear material is measured or calculated):

(a)normal maintenance of the installation;

(b)installation and equipment decontamination and subsequent nuclear material recovery;

(c)installation and equipment clean-out including means of ensuring vessels are empty;

(d)installation start-up and plant shut-down (if different from normal operation).

Protection and safety measures

31.Basic measures for physical protection of nuclear material.

32.Specific health and safety rules for inspector compliance (if extensive, attach separately).

NUCLEAR MATERIAL ACCOUNTANCY AND CONTROL (NMAC)

33.Description of the NMAC system, the method of recording and reporting accountancy data and establishing material balances, frequency of physical inventory takings, procedures for account adjustment after plant inventory, mistakes, etc., under the following headings:

(a)General

Description of the ledgers and their form (electronic or hard copies). Source data (e.g. shipping and receiving forms, internal transfer documents, physical inventory forms, the initial recording of measurements and measurement control sheets). Procedures for making adjustments and corrections (indicating how the adjustments are authorized and substantiated);

(b)Receipts (including method of dealing with shipper/receiver differences and subsequent accounting corrections; checks and measurements used to confirm nuclear material content);

(c)Shipments (products, waste);

(d)Transfers to retained waste (method of establishing quantities, method and envisaged period of storage, possible subsequent uses of retained waste);

(e)Discards to the environment (method of establishing quantities, method of discharge);

(f)Other inventory changes, e.g. transfers to conditioned waste, unmeasured losses (method of establishing quantities);

(g)Physical inventory

Description of procedures, scheduled frequency, estimated distribution of nuclear material, methods of operator's inventory taking (both for the number of items as well as their nuclear material weights, including relevant assay method), accessibility and possible verification method for nuclear material, expected accuracy, and access to nuclear material. In particular the description of procedures should also provide the basic inventory approach to be used, i.e. planning, organizing, and conducting the inventory taking, primary responsibility for the inventory, process clean-out, accountancy of process residual hold-up;

(h)Operational and accounting records (including logbooks, general ledgers, internal transfer forms, method of adjustment or correction, control measures and responsibility for records). Description of how these records are maintained, including when an adjustment or correction is needed, place where the records can be consulted, retention time and language;

(i)Particular accounting provisions

Description of particular provisions, e.g. for the designation of batch IDs and methods for preventing, detecting and timely fixing of accounting discrepancies.

34.Features related to containment and surveillance measures (general description of applied or possible measures in reference to floor plan or plant layout).

35.For each flow and inventory measurement point, and sampling points of accountability areas, provide the following information, when applicable:

(a)description of location, type, identification;

(b)expected types of inventory change at this measurement point and possibility to use this measurement point for physical inventory taking;

(c)physical and chemical form of nuclear material (including enrichment range, Pu content, and cladding materials description);

(d)nuclear material containers, packaging and method of storage;

(e)sampling procedure and equipment used (including number of samples taken, frequency and rejection criteria);

(f)measurement/analytical method(s) and equipment used and corresponding accuracies;

(g)source and level of random and systematic errors for feed, product, scrap, waste (weight, volume, sampling, analytical);

(h)calculative and error propagation techniques;

(i)technique and frequency of calibration of equipment used, and standards used;

(j)programme for the continuing appraisal of the accuracy of weight, volume, sampling and analytical techniques and measurement methods;

(k)programme for statistical evaluation of data from (i) and (j);

(l)means of batch identification;

(m)anticipated batch flow rate per year;

(n)anticipated number of inventory batches;

(o)anticipated number of items per flow and inventory batches;

(p)type, composition and quantity of nuclear material per batch (with indication of batch data, total weight of each element of nuclear material and form of nuclear material);

(q)features related to containment-surveillance measures.

36.Overall limit of error. Describe procedures to combine individual measurement error determination to obtain the overall limit of error for:

(a)shipper/receiver differences;

(b)book inventory;

(c)physical inventory;

(d)material unaccounted for (MUF).

POST- OPERATION INFORMATION

37.Decommissioning schedule dates (end of operation and of decommissioning dates).

38.Decommissioning plan, which shall include the following:

(a)key events of the decommissioning plan;

(b)removal and recovery of nuclear material. Provide a plan containing estimates of how, where and when nuclear material will be recovered and/or removed (e.g. loose material consolidated into items, removal of items, recovery/removal of material from decontamination activities, and recovery/removal of nuclear material in waste) and how it will be accounted for;

(c)removing or rendering inoperable of equipment essential for the functioning of the installation, for handling or storing nuclear material.

OTHER INFORMATION RELEVANT FOR THE APPLICATION OF SAFEGUARDS

39.Other optional information that the operator considers relevant to safeguarding the installation.

 ANNEX I-E. ISOTOPE ENRICHMENT INSTALLATIONS

Administrative details:

(a)date (date on which the BTC was completed);

(b)version (unique number for reference);

(c)responsible officer (name and contact details).

IDENTIFICATION OF THE INSTALLATION

1.Name of the installation (indicate usual abbreviation, if applicable)

-    Indicate MBA code(s) (once attributed).

2.Location, postal and e-mail address (functional mailbox when available) and telephone number.

3.Owner (legally responsible body or individual) with contact details.

4.Operator (legally responsible body or individual) with contact details.

5.Description (main features only).

6.Purpose and type of the installation.

7.Present status (e.g. design phase, under construction, in operation, closed down and/or under decommissioning).

8.Pre-operation information

Design and construction schedule dates, estimated commissioning and operation starting dates. Requested and/or approved licence dates (e.g. decision of principle, construction and expected operation licence request dates). Information on expected date of receipts of the nuclear material and/or fuel assemblies. Installation design drawings to be communicated as soon as these are available.

Pre-operation information relates to the “safeguards by design” process and is essential to enable the integration of safeguards equipment infrastructure at an early stage of the construction project into the design of the installation.

9.Operating mode influencing its production (shift system adopted, approximate dates of operating periods in year.

10.Area layout (map showing the installation, boundaries, buildings, roads, rivers, railways, etc.).

11.Layout of installation:

(a)structural containment, fences and access routes;

(b)containment of certain parts of the installation;

(c)routes followed by nuclear material;

(d)nuclear material storage areas;

(e)each main processing area and process laboratory;

(f)test or experimental areas;

(g)waste storage area;

(h)analytical laboratory.

12.Safeguards responsible person, also for nuclear material accountancy, with e-mail address (functional mailbox when available) and telephone number.

Overall process parameters

13.Description of the installation (indicating main items of equipment).

14.Process description (identifying sampling and key measurement points, MBAs, inventory locations).

15.Design capacity (throughput and energy consumption).

16.Anticipated throughput (in the form of a forward programme indicating proportion of various feeds and products).

17.Other important items of equipment using, producing or processing nuclear material (such as testing and experimental equipment).

GENERAL ARRANGEMENTS AT THE INSTALLATION, INCLUDING THOSE RELATING TO MATERIAL USE AND ACCOUNTANCY, CONTAINMENT AND SURVEILLANCE

Description of nuclear material

18.Main material description (feed, product, tails):

(a)chemical and physical form;

(b)throughput and enrichment ranges (for normal flowsheet operation indicating if blending and/or recycling takes place);

(c)batch size/flow rate and campaign period;

(d)maximum capability as concentration of top product (nat. U feed);

(e)storage inventory;

(f)frequency of receipt or shipment.

19.Waste material:

(a)source and form (indicating major contributors; liquid or solid; range of constituents; enrichment range; include contaminated equipment);

(b)storage inventory range, method and frequency of recovery/discharge.

20.Container and storage area descriptions.

21.Discards to the environment, conditioned waste and retained waste as % of input.

22.In-process inventory (within plant and equipment during normal operation; indicate quantity, form and main location and any significant change with time or throughput).

Maintenance of the installation

23.Maintenance, decontamination, clean-out:

(a)normal maintenance of the installation;

(b)installation and equipment decontamination and subsequent nuclear material recovery;

(c)installation and equipment clean-out including means of ensuring vessels are empty.

Protection and safety measures

24.Basic measures for physical protection of nuclear material.

25.Specific health and safety rules for inspector compliance (if extensive, attach separately).

NUCLEAR MATERIAL ACCOUNTANCY AND CONTROL (NMAC)

26.Description of the NMAC system, the method of recording and reporting accountancy data and establishing material balances, frequency of physical inventory takings, procedures for account adjustment after plant inventory, mistakes, etc., under the following headings:

(a)General

Description of the ledgers and their form (electronic or hard copies). Source data (e.g. shipping and receiving forms, internal transfer documents, physical inventory forms, the initial recording of measurements and measurement control sheets). Procedures for making adjustments and corrections (indicating how the adjustments are authorized and substantiated);

(b)Receipts (including method of dealing with shipper/receiver differences and subsequent accounting corrections; checks and measurements used to confirm nuclear material content);

(c)Shipments (products, waste);

(d)Transfers to retained waste (method of establishing quantities, method and envisaged period of storage, possible subsequent uses of retained waste);

(e)Discards to the environment (method of establishing quantities, method of discharge);

(f)Other inventory changes, e.g. transfers to conditioned waste, unmeasured losses (method of establishing quantities);

(g)Physical inventory

Description of procedures, scheduled frequency, estimated distribution of nuclear material, methods of operator's inventory taking (both for the number of items as well as their nuclear material weights, including relevant assay method), accessibility and possible verification method for nuclear material, expected accuracy, and access to nuclear material. In particular the description of procedures should also provide the basic inventory approach to be used, i.e. planning, organizing, and conducting the inventory taking, primary responsibility for the inventory, process clean-out, accountancy of process residual hold-up;

(h)Operational and accounting records (including logbooks, general ledgers, internal transfer forms, method of adjustment or correction, control measures and responsibility for records). Description of how these records are maintained, including when an adjustment or correction is needed, place where the records can be consulted, retention time and language;

(i)Particular accounting provisions

Description of particular provisions, e.g. for the designation of batch IDs and methods for preventing, detecting and timely fixing of accounting discrepancies.

27.Features related to containment and surveillance measures (general description of applied or possible measures in reference to floor plan or plant layout).

28.For each key measurement point provide the following information, when applicable:

(a)description of location, type, identification;

(b)expected types of inventory change at this measurement point and possibility to use this measurement point for physical inventory taking;

(c)chemical and physical form of material;

(d)sampling procedure and equipment used;

(e)measurement/analytical method and equipment used;

(f)source and level of random and systematic errors (weighing, volume, sampling, analytical);

(g)calculative and error propagation technique;

(h)technique and frequency of calibration of equipment used;

(i)programme for the continuing appraisal of the accuracy of weight, volume, sampling techniques and measurement methods;

(j)programme for statistical evaluation of data from (h) and (i).

29.Overall limit of error. Describe procedures to combine individual measurement error determination to obtain the overall limit of error for:

(a)shipper/receiver differences;

(b)book inventory;

(c)physical inventory;

(d)material unaccounted for (MUF).

POST- OPERATION INFORMATION

30.Decommissioning schedule dates (End of operation and of decommissioning dates).

31.Decommissioning plan, which shall include the following:

(a)key events of the decommissioning plan;

(b)removal and recovery of nuclear material. Provide a plan containing estimates of how, where and when nuclear material will be recovered and/or removed (e.g. loose material consolidated into items, removal of items, recovery/removal of material from decontamination activities, and recovery/removal of nuclear material in waste) and how it will be accounted for;

(c)removing or rendering inoperable of equipment essential for the functioning of the installation, for handling or storing nuclear material.

OTHER INFORMATION RELEVANT FOR THE APPLICATION OF SAFEGUARDS

32.Other optional information that the operator considers relevant to safeguarding the installation. 

ANNEX I-F. RESEARCH AND DEVELOPMENT (R&D) INSTALLATIONS

Administrative details:

(a)date (date on which the BTC was completed);

(b)version (unique number for reference);

(c)responsible officer (name and contact details).

IDENTIFICATION OF THE INSTALLATION    

1.Name of the installation (indicate usual abbreviation, if applicable).

-    Indicate MBA code(s) (once attributed).

2.Location, postal and e-mail address (functional mailbox when available) and telephone number.

3.Owner (legally responsible body or individual) with contact details.

4.Operator (legally responsible body or individual) with contact details.

5.Description (main features only).

6.Purpose and type of the installation.

7.Present status (e.g. design phase, under construction, in operation, closed down and/or under decommissioning).

8.Pre-operation information

Design and construction schedule dates, estimated commissioning and operation starting dates. Requested and/or approved licence dates (e.g. decision of principle, construction and expected operation licence request dates). Information on expected date of receipts of the nuclear material. Installation design drawings to be communicated as soon as these are available.

Pre-operation information is related to the “safeguards by design” process and is essential to enable the integration of safeguards equipment infrastructure into the design and subsequent construction of the installation.

9.Normal operating mode (shift system adopted, approximate dates of operating periods in year, etc).

10.Area layout (map showing the installation, boundaries, buildings, roads, rivers, railways, etc.).

11.Layout of installation:

(a)identification of main areas (structural containment, fences and access routes);

(b)nuclear material storage areas;

(c)waste storage area;

(d)routes followed by nuclear material;

(e)test and experiment area, laboratories.

12.Safeguards responsible person, also for nuclear material accountancy, with e-mail address (functional mailbox when available) and telephone number.

General installation data

13.Description of the installation (with indication of accountability areas).

14.Estimated total inventory per location and per category.

15.Anticipated annual throughput per category.

16.Description of the use of nuclear material.

17.Important items of equipment which use, produce or process nuclear material.

GENERAL ARRANGEMENTS AT THE INSTALLATION, INCLUDING THOSE RELATING TO MATERIAL USE AND HANDLING

Description of nuclear material

18.Main types of accounting units to be handled in the installation.

19.Description, by means of drawings or otherwise, of all nuclear material for each accountability area, showing:

(a)chemical and physical form (with cladding materials description);

(b)range of enrichment and Pu content;

(c)estimated nominal weight of nuclear material.

20.Waste material:

(a)source and form (indicating major contributors; liquid or solid; range of constituents, range of enrichment and Pu content including contaminated equipment);

(b)quantities in storage and at other locations;

(c)method and frequency of recovery/discharge.

21.Other nuclear material, not previously mentioned, and its location.

22.Means of nuclear material identification.

23.Range of radiation levels at nuclear material locations (dose rates at specified places).

Flow of nuclear material

24.Schematic flowsheet for nuclear material (identifying measurement points, accountability areas, inventory locations, etc., for operator purposes).

25.Types, form and range of quantities of nuclear material in operation areas, storage area and other locations (average data for each location).

Location and handling of nuclear material (for each accountability area)

26.Description of each nuclear material storage area (indicating capacity, anticipated inventory and throughput, etc.).

27.Maximum quantity of nuclear material to be handled in accountability areas.

28.Modification of the physical/chemical form during operation.

29.Nuclear material transfer.

30.Frequency of receipt and shipment.

31.Nuclear material transfer equipment (if applicable).

32.Description of containers used for storage and handling.

33.Routes followed by nuclear material.

34.Shielding (for storage and transfer).

Protection and safety measures

35.Basic measures for physical protection of nuclear material.

36.Specific health and safety rules for inspector compliance.

NUCLEAR MATERIAL ACCOUNTANCY AND CONTROL (NMAC)

37.The NMAC system shall be described under the following headings:

(a)General

Description of the ledgers and their forms (electronic or hard copies), method of recording accountancy data and establishing material balance;

(b)Main inventory changes

Description of typical inventory changes e.g. receipts (including method of dealing with the shipper/receiver differences and subsequent accounting corrections), shipments and waste related inventory changes, including a description of how these changes are determined. Corresponding operational records and source data (e.g. receiving and shipping forms, the initial recording of measurements and measurement control sheets) should be identified;

(c)Physical inventory

Description of procedures, scheduled frequency, methods of operator’s inventory taking (both for the number of items as well as their nuclear material weights), including relevant assay methods and expected accuracy, access to nuclear material, possible methods for the physical verification of fresh and irradiated nuclear materials;

(d)Operational and accounting records (including logbooks, general ledgers, internal transfer forms, method of adjustment or correction, control measures and responsibility for records).

Description of how these records are maintained, including when an adjustment or correction is needed, place where the records can be consulted, retention time and language;

(e)Particular accounting provisions

Description of particular provisions, e.g. for the designation of batch IDs and methods for preventing, detecting and timely fixing of accounting discrepancies.

38.Provisions related to existing or foreseen containment and surveillance measures (general description in reference to floor plan and installation layout enabling to install seals, cameras, lasers, remote data transmission, etc.).

39.For each measurement point of the material balance area, provide the following information, when applicable:

(a)description of location, type, identification;

(b)anticipated types of inventory change;

(c)possibility to use this measurement point for physical inventory taking;

(d)physical and chemical form of nuclear material (with cladding materials description);

(e)nuclear material containers, packaging;

(f)sampling procedure and equipment used;

(g)measurement method(s) and equipment used;

(h)source and level of random and systematic errors (weight, volume, sampling, non-destructive assay);

(i)technique and frequency of calibration of equipment used;

(j)method of converting source data to batch data;

(k)means of batch identification;

(l)anticipated batch flow rate per year;

(m)anticipated number of inventory batches;

(n)anticipated number of items per flow;

(o)type, composition and quantity of nuclear material per batch, total weight of nuclear material in item, the isotopic composition when appropriate and form of nuclear material.

POST- OPERATION INFORMATION

40.Decommissioning schedule dates (end of operation and of decommissioning dates).

41.Decommissioning plan, which shall include the following:

(a)key events of the decommissioning plan;

(b)removal and recovery of nuclear material. Provide a plan containing estimates of how, where and when nuclear material will be recovered and/or removed (e.g. loose material consolidated into items, removal of items, recovery/removal of material from decontamination activities, and recovery/removal of nuclear material in waste) and how it will be accounted for;

(c)removing or rendering inoperable of equipment essential for the functioning of the installation, for handling or storing nuclear material.

OTHER INFORMATION RELEVANT FOR THE APPLICATION OF SAFEGUARDS

42.Other optional information that the operator considers relevant to safeguarding the installation. 

ANNEX I-G. STORAGE INSTALLATIONS

Administrative details:

(a)date (date on which the BTC was completed);

(b)version (unique number for reference);

(c)responsible officer (name and contact details).

IDENTIFICATION OF THE INSTALLATION    

1.Name of the installation (indicate usual abbreviation, if applicable).

-    Indicate MBA code(s) (once attributed).

2.Location, postal and e-mail address (functional mailbox when available) and telephone number.

3.Owner (legally responsible body or individual) with contact details.

4.Operator (legally responsible body or individual) with contact details.

5.Description (main features only).

6.Purpose and type of the installation.

7.Present status (e.g. design phase, under construction, in operation, closed down and/or under decommissioning).

8.Pre-operation information

Design and construction schedule dates, estimated commissioning and operation starting dates. Requested and/or approved licence dates (e.g. decision of principle, construction and expected operation licence request dates). Information on expected date of receipts of the nuclear material. Installation design drawings to be communicated as soon as these are available.

Pre-operation information is related to the “safeguards by design” process and is essential to enable the integration of safeguards equipment infrastructure into the design and subsequent construction of the installation.

9.Normal operating mode (shift system adopted, approximate dates of operating periods in year, etc.).

10.Area layout (map showing the installation, boundaries, buildings, roads, rivers, railways, etc.).

11.Layout of installation:

(a)identification of main areas (structural containment, fences and access routes);

(b)nuclear material storage areas;

(c)waste storage area;

(d)routes followed by nuclear material;

(e)test and experiment area, laboratories.

12.Safeguards responsible person, also for nuclear material accountancy, with e-mail address (functional mailbox when available) and telephone number.

General storage data

13.Description of the installation (indicating main items of equipment for each storage area).

14.Design capacity.

15.Anticipated annual throughput and inventory.

GENERAL ARRANGEMENTS AT THE INSTALLATION, INCLUDING THOSE RELATING TO MATERIAL USE AND HANDLING

Description of nuclear material

16.Description of the use of nuclear material.

17.Description, by means of drawings or otherwise, of all nuclear material in the installation, showing:

(a)all types of items handled at the installation;

(b)chemical composition or main alloy constituents;

(c)form and dimensions;

(d)range of enrichment and Pu content;

(e)nominal weight of nuclear material, with design tolerances;

(f)cladding materials;

(g)methods of identifying items;

(h)range of radiation levels at nuclear material location (dose rates at specified locations).

Flow of nuclear material

18.Schematic flow sheet for nuclear material (identifying measurement points, accountability areas, inventory locations, etc., for operator purposes).

Location and handling of nuclear material

19.Description of each nuclear material storage area (inventory locations).

20.Estimated range of inventories of nuclear material in each storage area.

21.Method of positioning of nuclear material in storage.

22.Routes and equipment used for handling and movement of nuclear material.

23.Frequency of receipt and shipment.

24.Nuclear material storage and/or shipping containers and shielding.

Protection and safety measures

25.Basic measures for physical protection of nuclear material.

26.Specific health and safety rules for inspector compliance.

NUCLEAR MATERIAL ACCOUNTANCY AND CONTROL (NMAC)

27.The NMAC system shall be described under the following headings:

(a)General

Description of the ledgers and their forms (electronic or hard copies), method of recording accountancy data and establishing material balance;

(b)Main inventory changes

Description of typical inventory changes e.g. receipts (including method of dealing with the shipper/receiver differences and subsequent accounting corrections), shipments and waste related inventory changes, including a description of how these changes are determined. Corresponding operational records and source data (e.g. receiving and shipping forms, the initial recording of measurements and measurement control sheets) should be identified;

(c)Physical inventory

Description of procedures, scheduled frequency, methods of operator’s inventory taking (both for the number of items as well as their nuclear material weights), including relevant assay methods and expected accuracy, access to nuclear material, possible methods for the physical verification of fresh and irradiated nuclear materials;

(d)Operational and accounting records (including logbooks, general ledgers, internal transfer forms, method of adjustment or correction, control measures and responsibility for records).

Description of how these records are maintained, including when an adjustment or correction is needed, place where the records can be consulted, retention time and language;

(e)Particular accounting provisions

Description of particular provisions, e.g. for the designation of batch IDs and methods for preventing, detecting and timely fixing of accounting discrepancies.

28.Provisions related to existing or foreseen containment and surveillance measures (general description in reference to floor plan and installation layout enabling to install seals, cameras, lasers, remote data transmission, etc.).

29.For each measurement point of the material balance area, provide the following information, when applicable:

(a)description of location, type, identification;

(b)anticipated types of inventory changes;

(c)possibility to use this measurement point for physical inventory taking;

(d)physical and chemical form of nuclear material;

(e)nuclear material containers;

(f)sampling procedures and equipment used;

(g)measurement methods and equipment;

(h)source and level of random and systematic errors (weight, volume, sampling, non-destructive assay);

(i)technique and frequency of calibration of equipment used;

(j)method of converting source data to batch data;

(k)means of batch identification;

(l)anticipated batch flow per year;

(m)anticipated number of inventory batches with related storage capacity;

(n)anticipated number of items per flow;

(o)type, composition and quantity of nuclear material per batch, estimated weight of each element of nuclear material, the isotopic composition when appropriate and form of nuclear material.

POST- OPERATION INFORMATION

30.Decommissioning schedule dates (end of operation and of decommissioning dates).

31.Decommissioning plan, which shall include the following:

(a)key events of the decommissioning plan;

(b)removal and recovery of nuclear material. Provide a plan containing estimates of how, where and when nuclear material will be recovered and/or removed (e.g. loose material consolidated into items, removal of items, recovery/removal of material from decontamination activities, and recovery/removal of nuclear material in waste) and how it will be accounted for;

(c)removing or rendering inoperable of equipment essential for the functioning of the installation, for handling or storing nuclear material.

OTHER INFORMATION RELEVANT FOR THE APPLICATION OF SAFEGUARDS

32.Other optional information that the operator considers relevant to safeguarding the installation.

ANNEX I-H WASTE TREATMENT, STORAGE AND DISPOSAL INSTALLATIONS

Administrative details:

(a)date (date on which the BTC was completed);

(b)version (unique number for reference);

(c)responsible officer (name and contact details).

IDENTIFICATION OF THE INSTALLATION

1.Name of the installation (indicate usual abbreviation, if applicable).

-    Indicate MBA code(s) (once attributed).

2.Location, postal and e-mail address (functional mailbox when available) and telephone number.

3.Owner (legally responsible body or individual) with contact details.

4.Operator (legally responsible body or individual) with contact details.

5.Description (main features only).

6.Purpose and type of the installation.

7.Present status (e.g. design phase, under construction, in operation, closed down and/or under decommissioning, closed (for disposal installations only)).

8.Pre-operation information

Design and construction schedule dates, estimated commissioning and operation starting dates. Requested and/or approved licence dates (e.g. decision of principle, construction and expected operation licence request dates). Information on expected date of receipts of the nuclear material. Installation design drawings to be communicated as soon as these are available.

Pre-operation information relates to the “safeguards by design” process and is essential to enable the integration of safeguards equipment infrastructure at an early stage of the construction project into the design of the installation.

9.Operating mode influencing its production (shift system adopted, approximate dates of operating periods in year.

10.Area layout (map showing the installation, boundaries, buildings, roads, rivers, railways, etc.).

11.Layout of installation:

(a)structural containment, fences and access routes;

(b)routes followed by nuclear material;

(c)waste storage areas;

(d)waste disposal areas;

(e)each main processing area and process laboratory;

(f)test or experimental areas;

(g)analytical laboratory.

12.Safeguards responsible person, also for nuclear material accountancy, with e-mail address (functional mailbox when available) and telephone number.

Overall process parameters

13.Description of the installation (indicating main items of equipment).

14.Process description (also indicating the modification of physical and chemical forms).

15.Design capacity (in weight of principal products per year).

16.Anticipated throughput (in the form of a forward programme indicating proportion of various feeds and products).

17.Other important items of equipment using, producing or processing nuclear material (such as testing and experimental equipment).

GENERAL ARRANGEMENTS AT THE INSTALLATION, INCLUDING THOSE RELATING TO MATERIAL USE AND ACCOUNTANCY, CONTAINMENT AND SURVEILLANCE

Description of nuclear material

18.Main material description:

(a)chemical and physical forms (including nuclear material content and enrichment);

(b)batch size/flow rate and campaign period, means of batch identification;

(c)nuclear material storage areas and plant inventory (indicating any change with throughput);

(d)frequency of receipt or shipment (batches/units per month).

19.Other nuclear material in the installation and its location, if any.

20.Schematic flowsheet for nuclear material (identifying sampling points, flow and inventory measurement points, accountability areas, inventory locations, etc.).

21.Types, form, ranges of nuclear material content (including enrichment, as applicable), ranges of quantities of nuclear material flow for each nuclear material handling area.

Handling of nuclear material

22.Containers, packaging and storage area description.

23.Methods and means of transfer of nuclear material (describe also equipment used).

24.Transportation routes followed by nuclear material (with reference to plant layout).

25.Shielding (for storage and transfer).

Maintenance of the installation

26.Maintenance, decontamination, clean-out (in cases where clean-out and/or sampling is not possible, indicate how the hold-up of nuclear material is measured or calculated):

(a)normal maintenance of the installation;

(b)installation and equipment decontamination and subsequent nuclear material recovery;

(c)installation and equipment clean-out including means of ensuring vessels are empty;

(d)installation start-up and plant shut-down (if different from normal operation).

Protection and safety measures

27.Basic measures for physical protection of nuclear material.

28.Specific health and safety rules for inspector compliance (if extensive, attach separately).

NUCLEAR MATERIAL ACCOUNTANCY AND CONTROL (NMAC)

29.Description of the NMAC system, the method of recording and reporting accountancy data and establishing material balances, frequency of physical inventory takings, procedures for account adjustment after plant inventory, mistakes, etc., under the following headings:

(a)General

Description of the ledgers and their form (electronic or hard copies). Source data (e.g. shipping and receiving forms, internal transfer documents, physical inventory forms, the initial recording of measurements and measurement control sheets). Procedures for making adjustments and corrections (indicating how the adjustments are authorized and substantiated);

(b)Receipts (including method of dealing with shipper/receiver differences and subsequent accounting corrections; checks and measurements used to confirm nuclear material content);

(c)Shipments (products, waste);

(d)Transfers to retained waste (method of establishing quantities, method and envisaged period of storage, possible subsequent uses of retained waste);

(e)Discards to the environment (method of establishing quantities, method of discharge);

(f)Other inventory changes, e.g. transfers to conditioned waste, unmeasured losses (method of establishing quantities);

(g)Physical inventory

Description of procedures, scheduled frequency, estimated distribution of nuclear material, methods of operator's inventory taking (both for the number of items as well as their nuclear material weights, including relevant assay method), accessibility and possible verification method for nuclear material, expected accuracy, and access to nuclear material. In particular the description of procedures should also provide the basic inventory approach to be used, i.e. planning, organizing, and conducting the inventory taking, primary responsibility for the inventory, process clean-out, accountancy of process residual hold-up;

(h)Operational and accounting records (including logbooks, general ledgers, internal transfer forms, method of adjustment or correction, control measures and responsibility for records). Description of how these records are maintained, including when an adjustment or correction is needed, place where the records can be consulted, retention time and language;

(i)Particular accounting provisions

Description of particular provisions, e.g. for the designation of batch IDs and methods for preventing, detecting and timely fixing of accounting discrepancies.

30.For each flow and inventory measurement point, and sampling points of accountability areas, provide the following information, when applicable:

(a)description of location, type, identification;

(b)expected types of inventory change at this measurement point and possibility to use this measurement point for physical inventory taking;

(c)chemical and physical form of material;

(d)sampling procedure and equipment used;

(e)measurement/analytical method and equipment used;

(f)source and level of random and systematic errors (weighing, volume, sampling, analytical);

(g)calculative and error propagation technique;

(h)technique and frequency of calibration of equipment used;

(i)programme for the continuing appraisal of the accuracy of weight, volume, sampling techniques and measurement methods;

(j)    programme for statistical evaluation of data from (h) and (i).

31.Overall limit of error. Describe procedures to combine individual measurement error determination to obtain the overall limit of error for:

(a)shipper/receiver differences;

(b)book inventory;

(c)physical inventory;

(d)material unaccounted for (MUF).

POST- OPERATION INFORMATION

32.Decommissioning schedule dates (end of operation and of decommissioning dates).

33.Decommissioning plan, which shall include the following:

(a)key events of the decommissioning plan;

(b)removal and recovery of nuclear material. Provide a plan containing estimates of how, where and when nuclear material will be recovered and/or removed (e.g. loose material consolidated into items, removal of items, recovery/removal of material from decontamination activities, and recovery/removal of nuclear material in waste) and how it will be accounted for;

(c)removing or rendering inoperable of equipment essential for the functioning of the installation, for handling or storing nuclear material.

OTHER INFORMATION RELEVANT FOR THE APPLICATION OF SAFEGUARDS

34.Other optional information that the operator considers relevant to safeguarding the installation.

ANNEX I-J. SPENT FUEL ENCAPSULATION INSTALLATIONS

Administrative details:

(a)date (date on which the BTC was completed);

(b)version (unique number for reference);

(c)responsible officer (name and contact details).

IDENTIFICATION OF THE INSTALLATION    

1.Name of the installation (indicate usual abbreviation, if applicable).

-    indicate MBA code (once attributed).

2.Location, postal and e-mail address (functional mailbox when available) and telephone number.

3.Owner (legally responsible body or individual) with contact details.

4.Operator (legally responsible body or individual) with contact details.

5.Description (main features only).

6.Purpose and type of the installation.

7.Present status (e.g. design phase, under construction, in operation, closed down and/or under decommissioning).

8.Pre-operation information

Design and construction schedule dates, estimated commissioning and operation starting dates. Requested and/or approved licence dates (e.g. decision of principle, construction and expected operation licence request dates). Information on expected date of receipts of the nuclear material. Installation design drawings to be communicated as soon as these are available.

Pre-operation information is related to the “safeguards by design” process and is essential to enable the integration of safeguards equipment infrastructure into the design and the subsequent construction of the installation.

9.Normal operating mode (shift system adopted, approximate dates of operating periods in year, etc.).

10.Area layout (map showing the installation, boundaries, buildings, roads, rivers, railways, etc.).

11.Layout of the installation including floor and section drawings:

(a)identification of main areas (structural containment, fences and access routes);

(b)routes followed by nuclear material, disposal canisters and spent fuel casks;

(c)nuclear material and disposal canister storage areas;

(d)waste storage area;

(e)each main processing area and process laboratory;

(f)test and experiment area, analytical laboratories, if applicable.

12.Safeguards responsible person, also for nuclear material accountancy, with e-mail address (functional mailbox when available) and telephone number.

General installation data

13.Description of the process and locations indicating:

(a)all process stages;

(b)all receipt, shipment, process and storage areas.

14.Process description including process flow sheet.

15.Design capacity.

16.Anticipated annual throughput and inventory of storage and process areas.

17.Main items of equipment used in the installation including surveillance and measurement equipment, also for testing and experimental purpose.

GENERAL ARRANGEMENTS AT THE INSTALLATION INCLUDING THOSE RELATING TO NUCLEAR MATERIAL USE AND HANDLING

Description and flow of nuclear material

18.Nuclear material description:

(a)main types of nuclear material, and accounting units to be handled in the installation;

(b)physical (mechanical) form, cladding, and overall dimensions of spent fuel assemblies;

(c)    physical (mechanical) form, overall dimensions, and capacity of disposal canisters;

(d)physical form and overall dimensions and capacity of other types of containers and packaging;

(e)means of batch and item identification, batch size, flow rate, and campaign period;

(f)range of initial weights of heavy metal and initial enrichments of fuel assemblies;

(g)range of spent fuel burn-ups, cooling times, and Pu contents of fuel assemblies;

(h)range of radiation levels in nuclear material storage and process areas (dose rates);

(i)range of radiation levels and heat levels at exterior of transport and disposal containers (dose rates and temperatures).

19.Other nuclear material in the installation besides spent fuel (type, form, quantity, and location).

20.Flow of nuclear material:

(a)schematic flow sheet and drawings;

(b)flow and inventory measurement points, accountability areas, inventory locations;

(c)frequency of receipt and shipment.

21.Nuclear material flow quantities for each nuclear material handling area, including range and maximum quantities of nuclear material:

(a)receipt and shipment areas;

(b)process area (i.e. handling cell);

(c)storage area;

(d)other locations.

22.Design range of inventories of nuclear material in each storage and process area.

Handling of nuclear material

23.Description of container, canister and packaging in which nuclear material is transported (including size, design, internal basket design, material used, capacity, closure etc.) Refer to drawings when available.

24.Description of each nuclear material storage and process area including range of radiation levels in those areas (dose rates).

25.Shielding in different process, storage and transfer areas.

26.Methods and means of handling and transport of nuclear material and of transport containers in process and storage areas.

27.Transportation routes followed by nuclear material, containers and canisters with reference to installation layout.

28.Maintenance and decontamination:

(a)normal plant maintenance;

(b)plant and equipment decontamination;

(c)plant start-up and plant shut-down procedures.

Protection and safety measures

29.Basic measures for physical protection of nuclear material.

30.Specific health and safety rules for inspector compliance.

NUCLEAR MATERIAL ACCOUNTANCY AND CONTROL

31.The NMAC system shall be described under the following headings:

(a)General

Description of the ledgers and their forms (electronic or hard copies), method of recording and reporting accountancy data and establishing material balances;

(b)Main inventory changes

Description of typical inventory changes e.g. receipts (including method of dealing with accounting corrections, the checks and measurements used to confirm spent fuel items), rebatching, shipments of disposal canisters and other nuclear material (including waste), including a description of how these changes are determined. Corresponding operational records and source data (e.g. receiving and shipping forms) should be identified;

(c)Physical inventory

Description of procedures, method of operator’s inventory taking, scheduled frequency, estimated distribution of nuclear material, accessibility and verification method;

(d)Operational and accounting records (including logbooks, general ledgers, internal transfer forms, method of adjustment or correction, control measures and responsibility for records).

Description of how these records are maintained, including when an adjustment or correction is needed, place where the records can be consulted, retention time and language;

(e)Particular accounting provisions

Description of particular provisions, e.g. for the designation of batch IDs and methods for preventing, detecting and timely fixing of accounting discrepancies.

32.Provisions related to existing or foreseen containment and surveillance measures (general description in reference to floor plan and installation layout enabling to install seals, cameras, lasers, remote data transmission, etc.).

33.For each measurement point of the material balance area, provide the following information, when applicable:

(a)description of location, type, identification;

(b)anticipated types of inventory changes and possibility to use this measurement point for physical inventory taking;

(c)physical and chemical form of nuclear material;

(d)nuclear material containers;

(e)sampling procedures and equipment used;

(f)measurement methods and equipment used including radiation measurement in handling cell;

(g)source and level of accuracy;

(h)technique and frequency of calibration of equipment used;

(i)method of converting source data to batch data;

(j)means of batch identification;

(k)anticipated batch flow per year;

(l)anticipated number of inventory batches;

(m)anticipated number of items per flow;

(n)type, composition and quantity of nuclear material per batch, total weight of each element of nuclear material, the isotopic composition when appropriate and form of nuclear material.

POST- OPERATION INFORMATION

34.Decommissioning schedule dates (end of operation and of decommissioning dates).

35.Decommissioning plan, which shall include the following:

(a)key events of the decommissioning plan;

(b)removal and recovery of nuclear material. Provide a plan containing estimates of how, where and when nuclear material will be recovered and/or removed (e.g. loose material consolidated into items, removal of items, recovery/removal of material from decontamination activities, and recovery/removal of nuclear material in waste) and how it will be accounted for;

(c)removing or rendering inoperable of equipment essential for the functioning of the installation, for handling or storing nuclear material.

OTHER INFORMATION RELEVANT FOR THE APPLICATION OF SAFEGUARDS

36.Other optional information that the operator considers relevant to safeguarding the installation.

ANNEX I-K. GEOLOGICAL REPOSITORIES

Administrative details:

(a)date (date on which the BTC was completed);

(b)version (unique number for reference);

(c)responsible officer (name and contact details).

IDENTIFICATION OF THE INSTALLATION    

1.Name of the installation (indicate usual abbreviation, if applicable).

-    indicate MBA code(s) (once attributed).

2.Location, postal and e-mail address (functional mailbox when available) and telephone number.

3.Owner (legally responsible body or individual) with contact details.

4.Operator (legally responsible body or individual) with contact details.

5.Description (main features only).

6.Purpose and type of the installation.

7.Present status (e.g. design phase, under construction, in operation, post-operational phase).

8.Pre-operation information

Design and construction schedule dates, estimated commissioning and operation starting dates. Requested and/or approved licence dates (e.g. decision of principle, construction and expected operation licence request dates). Information on expected date of receipts of the nuclear material. Installation design drawings to be communicated as soon as these are available.

Pre-operation information is related to the “safeguards by design” process and is essential to enable the integration of safeguards equipment infrastructure into the design and subsequent construction of the installation.

9.Normal operating mode (shift system adopted, approximate dates of operating periods in year, etc.).

10.Area layout (map showing the installation, boundaries, buildings, roads, rivers, railways, etc.).

11.Layout of the installation including related drawings:

(a)identification of main areas (structural containment, fences and access routes);

(b)routes followed by nuclear material, disposal canisters;

(c)nuclear material, disposal canister storage areas;

(d)disposal area;

(e)main access routes for vehicles and personnel and ventilation shafts;

(f)access and disposal tunnels;

(g)test and experiment area, analytical laboratories, if applicable.

12.Safeguards responsible person, also for nuclear material accountancy, with e-mail address (functional mailbox when available) and telephone number.

General installation data

13.Description of geological data and installation design:

(a)information on the host geology of the geological repository (including geological stratification; geochemistry; geophysics; identification of radionuclides found in the repository environment; and evidence and conclusions on the integrity of the host rock);

(b)description of restricted zone and other controlled areas established around the repository;

(c)geological repository characterization activities (e.g. subsurface excavations and exploratory activities);

(d)monitoring systems for excavation activities (including types, exact locations and depths of sensors; other monitoring systems, including safety monitoring; other equipment including testing and experimental equipment);

(e)information on design of the surface areas (including receipt, storage, and preparation of canisters for disposal);

(f)information on the design of the geological repository underground area, (including layout, isolation doors, measures to strengthen or stabilize walls and ceilings of excavations; shaft and vent size and features, etc.);

(g)information on access routes for personnel and materials; provision of utilities; areas for receipt and storage of disposal canisters;

(h)hoist and canister transport vehicle capacity ( maximum weight loads).

14.Process description, including above and underground operations, ramp, tunnel and shaft excavation, rock removal, canister preparation, transportation and storage and backfilling and tunnel closure with nominal schedule of different processes.

15.Design capacity.

16.Anticipated annual disposal plan.

17.Main equipment used in the installation.

GENERAL ARRANGEMENTS AT THE INSTALLATION, INCLUDING THOSE RELATING TO NUCLEAR MATERIAL USE AND HANDLING

Description and flow of nuclear material

18.Nuclear material description:

(a)types of nuclear material, including other nuclear and radioactive material in the installation besides spent fuel if applicable (type, form, quantity, and location);

(b)types of accountability units (e.g. disposal canisters and other containers) to be handled in the installation;

(c)appearance, means of identification, and overall dimensions of accountability units;

(d)number of fuel assemblies or quantity of other radioactive material per disposal canister or other container;

(e)number of disposal canisters or other containers per transport container or transport vehicle;

(f)range of weight of nuclear material per disposal canister or other container;

(g)range of radiation and heat levels at exterior of disposal canisters and/or containers (dose rates at the surface and at a distance of 1 meter, and temperatures).

19.Flow of nuclear material:

(a)schematic flow sheet;

(b)flow and inventory measurement points, accountability areas, inventory locations;

(c)frequency of receipt of accountancy related units and transfers to underground;

(d)routes followed and emplacement of disposal canisters or other containers.

20.Designed range of inventories of nuclear material in each storage area.

Installation operation and handling of nuclear material

21.Description of container, canister and packaging in which nuclear material is transported (including size, design, internal basket design, material used, capacity, closure etc.). Refer to drawings when available.

22.Shielding in different storage and transfer areas.

23.Methods and means of handling and transfer of nuclear material and canisters in storage and emplacement areas including description of the transfer vehicle.

24.Transportation routes followed by nuclear material with reference to installation layout.

25.Description of each nuclear material storage area.

26.Method of positioning of nuclear material in storage areas.

27.Method of nuclear material emplacement and backfilling.

28.Description and number of nuclear material emplacement area and disposal tunnel.

29.Description of maintenance activities and areas.

Protection and safety measures

30.Basic measures for physical protection of nuclear material.