Commission Regulation (Euratom) No 302/2005 of 8 February 2005 on the application of Euratom safeguards - Council/Commission statement

COMMISSION REGULATION (Euratom) No 302/2005 of 8 February 2005 on the application of Euratom safeguards

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 or other use of source material or special fissile material.

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

Article 2

Definitions

For the purposes of this Regulation, the following definitions shall apply:

(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 ;

(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;

(a) waste treatment or waste storage installations do not constitute a site in themselves; (b) 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; (c) ‘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;

CHAPTER II

BASIC TECHNICAL CHARACTERISTICS AND PARTICULAR SAFEGUARD PROVISIONS

Article 3

Declaration of the basic technical characteristics

For the purpose of the first subparagraph ‘use’ of nuclear materials is taken to include, inter alia: power production in reactors, research in critical or zero energy installations, conversion, fabrication, reprocessing, storage, isotope separation, and ore concentration, as well as treatment or storage of waste.

For ore production, the provisions of Articles 24 and 25 apply.

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 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 paragraph 1 of this Article.

Article 4

Time-limits

The 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.

For new installations with an inventory or annual throughput of nuclear material of more than one effective kilogram, all relevant information relating to the owner, operator, purpose, location, type, capacity and expected commissioning date shall be communicated to the Commission at least 200 days before construction begins.

Changes in the basic technical characteristics for which advance notification is not required as specified in the particular safeguard provisions set out in Article 6, shall be communicated to the Commission within 30 days after the modification is complete.

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, except for waste treatment or waste storage installations whose basic technical characteristics shall be communicated within 120 days of the date of entry into force of this Regulation in that State.

Using the questionnaire in Annex I, existing waste treatment or waste storage installations shall communicate to the Commission the basic technical characteristics of their installation within 120 days of the date of entry into force of this Regulation.

For other existing installations any additional information required by the questionnaire in Annex I shall be supplied within 120 days of the date of entry into force of this Regulation.

Article 5

Programme of activities

To enable the Commission to plan its safeguards activities, the persons or undertakings referred to in the first subparagraph of Article 3(1) shall communicate to the Commission the following information:

(a) annually, 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.

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

Article 6

Particular safeguard provisions

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

Until the Commission decision on particular safeguard provisions is adopted, the person or undertaking concerned shall apply the general provisions of this Regulation.

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 person or undertaking concerned;

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

CHAPTER III

NUCLEAR MATERIAL ACCOUNTANCY

Article 7

Accounting system

The persons or undertakings referred to in the first subparagraph of Article 3(1) shall maintain a system of accountancy and control for nuclear materials. 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 18, their actual location and the particular safeguards obligation as provided for in Article 17, together with details of the recipient or shipper when nuclear materials are transferred.

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, which shall be retained for a period of at least five years, it must be possible to draw up and substantiate the declarations made to the Commission. Accounting and operating records shall be made available to the Commission’s inspectors in electronic form if they are kept in this form by the installation. Further details may be specified in the particular safeguard provisions referred to in Article 6 for each installation.

Article 8

Operating records

For each material balance area, the operating records shall include, where appropriate:

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

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

(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 ascertain the cause and magnitude of any accidental or unmeasured loss that might have occurred;

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

When available, the data referred to in point (g) shall be communicated to the Commission on request.

Article 9

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 18(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 10

Accounting reports

The persons or undertakings referred to in the first subparagraph of Article 3(1) 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, except in cases where the Commission has granted a written derogation, or the transitional arrangements specified in Article 39 apply.

On a reasoned request by the Commission, further details or explanations in connection with these reports shall be supplied within three weeks.

Article 11

Initial book inventory

The persons or undertakings referred to in the first subparagraph of Article 3(1) shall transmit to the Commission, within 30 days of the date of entry into force of this Regulation, an initial book inventory of all nuclear materials they are holding, using the format set out in Annex V. This Article does not apply to the persons or undertakings who have already transmitted an initial book inventory under Regulation (Euratom) No 3227/76, or to waste treatment or waste storage installations.

Article 12

Inventory change report

Unless otherwise specified in the particular safeguard provisions referred to in Article 6 for an installation, 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.

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.

Article 13

Material balance report and physical inventory listing

For each material balance area, the persons or undertakings referred to in the first subparagraph of Article 3(1) 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.

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.

Unless otherwise specified in the particular safeguard provisions referred to in Article 6 for an installation, a physical inventory shall be taken every calendar year and the period between two successive physical inventory takings shall not exceed 14 months.

Article 14

Special reports

The persons and undertakings referred to in the first subparagraph of Article 3(1) shall transmit to the Commission a special report whenever the circumstances referred to in Articles 15 or 22 arise.

The type of information to be supplied in such reports shall be specified in the particular safeguard provisions referred to in Article 6.

The special reports, and further details or explanations which may be requested by the Commission in connection with these reports, shall be supplied without delay.

Article 15

Unusual occurrences

A special report shall be made 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 in excess of the limits specified for these purposes in the particular safeguard provisions referred to in Article 6;

(b) if the containment has unexpectedly changed from that specified in the particular safeguard provisions referred to in Article 6, to a point where an unauthorised removal of nuclear material has become possible.

The persons or undertakings 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.

Article 16

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 6.

Article 17

Particular safeguard obligations

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, unless otherwise stipulated by such an agreement, be identified separately for each obligation in the following notifications:

(a) initial book inventory provided for in Article 11;

(b) inventory change reports, including ending book inventories, provided for in Article 12;

(c) material balance reports and physical inventory listings provided for in Article 13;

(d) intended imports and exports provided for in Articles 20 and 21.

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

Article 18

Weight units and categories of nuclear materials

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 current 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.

Unless otherwise provided for in the particular safeguard provisions referred to in Article 6 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 19

Derogations

The derogation shall be granted on submission of a request by the person or undertaking concerned using the form set out in Annex IX.

The derogation shall be granted only for a whole material balance area in which nuclear material is not processed or stored together with nuclear material for which no derogation can be granted.

The Commission may grant a derogation for a material balance area holding:

(a) quantities of nuclear material commensurate with those specified in Annex I-G, 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 %.

CHAPTER IV

TRANSFERS BETWEEN STATES

Article 20

Exports and shipments

The persons or undertakings referred to in the first subparagraph of Article 3(1) 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.

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 could exceed one effective kilogram in any consecutive period of twelve months, even though no single consignment exceeds one effective kilogram.

Article 21

Imports and receipts

The persons or undertakings referred to in the first subparagraph of Article 3(1) 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.

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 could exceed one effective kilogram in any consecutive period of twelve months, even though no single consignment exceeds one effective kilogram.

Article 22

Loss or delay during transfer

A special report shall be submitted, as provided for in Article 14, by the persons or undertakings notifying a transfer under Articles 20 and 21 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.

Article 23

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 20 and 21, 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 24

Ore producers

Such records shall be retained for at least five years.

Article 25

Ore shipment/export reports

By way of derogation from Articles 10 to 18, any person or undertaking 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 26

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 persons or undertakings referred to in the first subparagraph of Article 3(1).

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

Article 27

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 26, provided that such records contain all the information required under that Article.

Article 28

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 29

Transmission of information and data

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

Article 30

Waste initial stock list and accounting records

By way of derogation from Articles 7 to 11, Article 13 and Article 17(1) for material that has been previously declared as retained waste and Articles 7 to 13 and Article 17(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) a 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.

The reporting requirements for the processing of retained waste shall be specified in the particular safeguard provisions referred to in Article 6.

Article 31

Processing of waste

The persons or undertakings referred to in the first subparagraph of Article 3(1) 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 at least 200 days before the campaign starts.

Article 32

Transfers of conditioned waste

The persons or undertakings referred to in the first subparagraph of Article 3(1) shall submit, 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 without a material balance area code or from an installation 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 33

International obligations

The provisions of this Regulation, and in particular Article 3(2), Article 31 and point (c) of Article 32, shall be applied in conformity with the obligations of the Community and non-nuclear-weapon Member States, under Additional Protocol 1999/188/Euratom.

CHAPTER VI

SPECIFIC PROVISIONS APPLICABLE IN THE TERRITORIES OF THE NUCLEAR-WEAPON MEMBER STATES

Article 34

Specific provisions for nuclear-weapon Member States

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 a nuclear-weapon Member State; or

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

Notwithstanding paragraphs 1 and 2:

(a) the provisions of Articles 3(1), 4 and 6 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 6 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 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 5, Articles 7 to 32, paragraphs 1 and 2 of this Article and Articles 35, 36 and 37 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 3(2), Article 31 and Article 32(c) shall not apply in the territories of nuclear-weapon Member States.

CHAPTER VII

FINAL PROVISIONS

Article 35

Confidentiality of data

The Commission provisions on security set out in Decision 2001/844/EC/ECSC/Euratom shall apply without prejudice to Regulation No 3 implementing Article 24 of the Treaty establishing the European Atomic Energy Community, to information, knowledge and documents acquired or obtained by the Commission under the present Regulation.

The security of information transmission shall be agreed between the Commission and the person, undertaking or entity concerned, and shall be in accordance with Member State requirements for the transmission of such information.

Article 36

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 37

Guidelines

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.

Article 38

Repeal

Regulation (Euratom) No 3227/76 is repealed.

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

Article 39

Transitional period

The Commission may grant an exemption from the obligation to use the reporting formats set out in Annexes III, IV and V. The exemption shall apply to persons or undertakings using the reporting format of Annex II, III and IV of Regulation (Euratom) No 3227/76 on the date of entry into force of this Regulation. It shall be granted for a maximum of five years from that date.

The persons or undertakings referred to in the first subparagraph of Article 3(1) shall, within a period of three years of the date of entry into force of this Regulation, inform the Commission of the date on which they intend to start using the reporting formats set out in Annexes III, IV and V. Upon duly justified request and the presentation of an implementation programme the Commission may, on a case by case basis, extend the period by up to two years.

Article 40

Entry into force

This Regulation shall enter into force on the twentieth 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.

ANNEX I

I-A.   REACTORS

Date: …………

NB:

IDENTIFICATION OF THE INSTALLATION

(a) structural containment, fences and access routes; (b) incoming-material storage area; (c) reactor area; (d) test and experiment area, laboratories; (e) outgoing-material storage area; (f) nuclear waste disposal area.

(a) nominal thermal output; (b) source material or special fissile material; (c) initial core enrichments; (d) moderator; (e) coolant.

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

(a) chemical composition or main alloy constituents; (b) average enrichment per assembly; (c) nominal weight of nuclear material per assembly, with design tolerances.

(a) reactor core loading; (b) expected burn-up; (c) annual refuelling amount; (d) refuelling interval (on-load or off-load); (e) forecast of throughput and inventory, and of receipts and shipments.

(a) drawing of storage area; (b) method of storage; (c) design storage capacity; (d) drawing of equipment for handling irradiated fuel; (e) minimum cooling time before shipment of spent fuel; (f) drawing and description of shipping cask for spent fuel (e.g. to determine whether sealing is possible).

(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 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) drawings of the above, if not covered elsewhere.

NUCLEAR MATERIAL ACCOUNTANCY AND CONTROL

OTHER INFORMATION RELEVANT TO APPLICATION OF SAFEGUARDS

I-B.   CRITICAL AND ZERO ENERGY INSTALLATIONS

Date: …………

IDENTIFICATION OF THE INSTALLATION

(a) structural containment, fences and access routes; (b) nuclear material storage area(s); (c) fuel element assembling area, laboratories, etc.; (d) critical assembly proper (^*2).

(a) maximum expected operating power and/or neutron flux; (b) main type(s) of nuclear material and their enrichment; (c) moderator; (d) reflector, blanket; (e) coolant.

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

(a) chemical composition or main alloy constituents; (b) form and dimensions; (c) enrichment of fuel rods/pins, fuel plates etc.; (d) nominal weight of nuclear material, with design tolerances.

(a) nuclear material storage and assembly areas and critical assembly (assemblies) proper (inventory locations); (b) the estimated range of inventories of nuclear material in these locations; (c) the physical arrangement of equipment used for assembling, testing and measuring nuclear material; and (d) the routes followed by nuclear material.

NUCLEAR MATERIAL ACCOUNTANCY AND CONTROL

OTHER INFORMATION RELEVANT TO APPLICATION OF SAFEGUARDS

I-C.   CONVERSION, FABRICATION AND REPROCESSING INSTALLATIONS

Date: …………

IDENTIFICATION OF THE INSTALLATION

(a) structural containment, fences and access routes; (b) routes followed by nuclear material; (c) incoming nuclear material storage area; (d) each main processing area and process laboratory; (e) test or experimental areas; (f) outgoing nuclear material storage; (g) nuclear waste disposal area; (h) analytical laboratory.

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

(a) batch size or flow rate; (b) method of storage or packing; (c) storage capacity; (d) general forecasts of throughput and inventory and of receipts and shipments.

(a) locations for fuel elements and handling equipment; (b) type of fuel elements including nuclear material content and enrichment.

(a) duration of temporary storage; (b) schedules for external recycling (if applicable).

(a) the nominal throughput per year; (b) the in-process inventory based on design capacity.

(a) physical and chemical form; (b) content range or expected upper limits for each category of solid or liquid discard material; (c) enrichment range.

NUCLEAR MATERIAL ACCOUNTANCY AND CONTROL

OTHER INFORMATION RELEVANT TO APPLICATION OF SAFEGUARDS

I-D.   STORAGE INSTALLATIONS (^*3)

Date: …………

IDENTIFICATION OF THE INSTALLATION

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

(a) all types of items, including normal handling equipment; (b) chemical composition or main alloy constituents; (c) form and dimensions; (d) enrichment; (e) nominal weight of nuclear material, with design tolerances; (f) cladding materials; (g) methods of identifying items.

(a) nuclear material storage areas (inventory locations); (b) the estimated range of inventories of nuclear material in these locations; (c) nuclear material storage and/or shipping containers; (d) the routes and equipment used for movement of nuclear material, if applicable.

NUCLEAR MATERIAL ACCOUNTANCY AND CONTROL

OTHER INFORMATION RELEVANT TO APPLICATION OF SAFEGUARDS

I-E.   ISOTOPE SEPARATION INSTALLATIONS

Date: …………

IDENTIFICATION OF THE INSTALLATION

(a) date building starts; (b) date of installation acceptance; (c) commissioning date.

(a) structural containment, fences and access routes; (b) containment of certain parts of the installation; (c) routes followed by nuclear material; (d) incoming nuclear material storage area; (e) each main processing area and process laboratory, including weighing and sampling area, decontamination, purification and feed areas, etc.; (f) test or experimental areas; (g) outgoing nuclear material storage area; (h) nuclear waste disposal area; (i) analytical laboratory.

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

(a) physical and chemical form; (b) enrichment range for feed, product and tails; (c) content range or expected upper limits for each category of solid or liquid discard material.

(a) sampling and measuring points; (b) batch size and/or flow rate; (c) method of storage or packing; (d) storage capacities.

(a) separation capacity; (b) enrichment techniques or methods; (c) possible points for feed, product and tails; (d) recycling facilities; (e) type and size of UF6 cylinders used, filling and emptying methods.

(a) nominal throughput per year; (b) physical inventory of in-process materials; (c) material loss rate owing to leakage, decomposition, deposition, etc.; (d) arrangements for regular plant maintenance (periodic shutdown or continuous component replacement, etc.)

NUCLEAR MATERIAL ACCOUNTANCY AND CONTROL

OTHER INFORMATION RELEVANT TO APPLICATION OF SAFEGUARDS

I-F.   INSTALLATIONS USING NUCLEAR MATERIAL IN QUANTITIES EXCEEDING ONE EFFECTIVE KILOGRAM

Date: …………

For any installation of a type not referred to in sections A to E which uses more than one effective kilogram per annum, information should be given on the following:

— identification of the installation,

— general arrangements at the installation, including those relating to material use and accountancy, containment and surveillance,

— description of the use of nuclear material (Article 3(1)),

— nuclear material accountancy and control system, including techniques for physical inventory taking,

— other information relevant to the application of safeguards.

The information required under these headings is, where applicable, the same as that required for the types of installations coming under sections C, D and E of this Annex.

I-G.   INSTALLATIONS CANDIDATE MEMBERS OF THE CATCH ALL MBA (CAM)

Date: …………

For these holders, the total inventory is calculated as the sum of the stock of each category of nuclear material held, each expressed as a percentage of the following limits:

depleted uranium	350 000 g or
thorium	200 000 g or
natural uranium	100 000 g or
low enriched uranium	1 000 g or
high enriched uranium	5 g or
plutonium	5 g

For example:

(a) a holder with 4 g of plutonium has a percentage inventory equal to 80 % (4/5);

(b) a holder with 1 g of high enriched uranium plus 20 000 g of natural uranium has a percentage inventory equal to 40 % (1/5 + 20 000 /100 000 ).

IDENTIFICATION OF THE INSTALLATION AND OF THE NUCLEAR MATERIAL

NUCLEAR MATERIAL ACCOUNTANCY AND CONTROL

The holders’ obligations have been simplified as following:

A. Limits on holdings/movements If any individual receipt of nuclear material exceeds the quantities indicated above or if the ‘percentage inventory’ of the installation exceeds 100 % at any time, the Commission must be notified immediately.

B. Accounting/operating records to be maintained Accounting/operating records must be kept in a manner permitting ready verification of reports made to the Commission and of any correction thereto.

C. Inventory change reports (ICR) Need be submitted only if an inventory change occurs. A note explaining unusual inventory changes and corrections or any other piece of information included in the report should be attached. In particular, the identification and address should be given of any entity to which material is shipped (including export) or from whom material is received (including import). Even if no inventory change occurred during the year, an ending book inventory by category as at 31 December must be declared. This declaration must be forwarded to the European Commission, Euratom Safeguards, L-2920 Luxembourg by 31 January of each year.

D. Report form No special form is required for the report under C above. The report can be made by letter.

I-H.   WASTE TREATMENT OR WASTE STORAGE INSTALLATIONS (^*4)

Date: …………

IDENTIFICATION OF THE INSTALLATION

(a) structural containment, fences and access routes; (b) routes followed by nuclear material; (c) nuclear waste disposal areas; (d) each main processing area and process laboratory; (e) test or experimental areas; (f) analytical laboratory.

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

(a) nuclear material storage areas (inventory locations); (b) the estimated range of inventories of nuclear material in these locations; (c) nuclear material storage and/or shipping containers; (d) the routes and equipment used for movement of nuclear material, if applicable.

NUCLEAR MATERIAL ACCOUNTANCY AND CONTROL

OTHER INFORMATION RELEVANT TO APPLICATION OF SAFEGUARDS

I-J.   OTHER INSTALLATIONS (^*5)

Date: …………

IDENTIFICATION OF THE INSTALLATION AND OF THE NUCLEAR MATERIAL

NUCLEAR MATERIAL ACCOUNTANCY AND CONTROL

ANNEX II

Site identification
Declaration No (2)	Declaration date
Reporting period (3)	Comments (4)
Entry (5)	Ref. (6)
---	---

Name and signature of the site representative: …………

Explanatory notes

(¹) The initial declaration should include all nuclear installations, and all other buildings on their sitesas described in Article 2(21). A separate entry should be made for each building on the site. Subsequent annual update declarations should include only those sites and buildings which have undergone a change since the previous declaration. A map of the site shall be attached with the initial declaration and updated when necessary.

(²) The ‘Declaration No’ is a sequential number for each site, starting with ‘1’ for the initial site declaration.

(³) The ‘Reporting period’ for the initial declaration is an ‘as of’ date, while for all subsequent annual updates the appropriate entry is the beginning and the ending date of the time period. It is understood that the information provided is valid as of the ending date. All dates should be reported using the DDMMYYYY format.

(⁴) Comments applicable to the whole of the site.

(⁵) Each ‘Entry’ in each declaration should be numbered sequentially, beginning with ‘1’.

(⁶) The ‘Ref.’ column should be used to refer to another entry. The contents of the ‘Ref.’ column consist of the relevant declaration and entry numbers (e.g. 10-20 refers to entry 20 of declaration 10). The reference indicates that the current entry adds to or updates information reported earlier. Several references may be inserted, if necessary.

(⁷) The ‘MBA code’ column should make reference to the MBA code to which the building in this entry belongs.

(⁸) The ‘Building’ column should include a building number or other designation that provides an unambiguous identification of the building on the schematic map of the site.

(⁹) The ‘General description’ for each building should include: (a) the approximate size of the building in terms of the number of floors and the total square metres of floor space; (b) the use of the building, including any prior uses of the building that might be relevant to interpreting other information, such as the results of environmental sampling, available to the Commission; and (c) the main contents of the building, where this is not readily apparent from the stated use. However, descriptions of activities previously provided in the Basic Technical Characteristics questionnaire need not be repeated.

(¹⁰) Comments applicable to each entry.

NB: Under Article 79 of the Treaty, those subject to safeguards requirements shall notify the authorities of the Member State concerned of any communications they make to the Commission pursuant to Article 78 and the first paragraph of Article 79 of the Treaty.

This form, duly completed and signed, or the equivalent form in electronic format, must be forwarded to the European Commission, Euratom Safeguards, L-2920 Luxembourg.

ANNEX III

Label/tag	Content	Comments	#
MBA	Character (4)	MBA code of reporting MBA	1
Report type	Character (1)	I for Inventory Change Report	2
Report date	DDMMYYYY	Date on which the report was completed	3
Report number	Number (8)	Sequential number, no gaps	4
Line count	Number (8)	Total number of lines reported	5
Start report	DDMMYYYY	Date of first day in reporting period	6
End report	DDMMYYYY	Date of last day in reporting period	7
Reporting person	Character (30)	Name of person responsible for the report	8
Transaction ID	Number (8)	Sequential number	9
IC code	Character (2)	Type of inventory change	10
Batch	Character (20)	Unique identifier for a batch of nuclear material	11
KMP	Character (1)	Key measurement point	12
Measurement	Character (1)	Measurement code	13
Material form	Character (2)	Material form code	14
Material container	Character (1)	Material container code	15
Material state	Character (1)	Material state code	16
MBA from	Character (4)	MBA code of shipping MBA (for IC codes RD and RF only)	17
MBA to	Character (4)	MBA code of receiving MBA (for IC codes SD and SF only)	18
Previous batch	Character (20)	Name of previous batch (for IC code RB only)	19
Original date	DDMMYYYY	Accounting date of the line to be corrected (always of first line in correction chain)	20
PIT date	DDMMYYYY	Date of physical inventory taking (PIT) to which MF adjustment refers (use with IC code MF only)	21
Line number	Number (8)	Sequential number, no gaps	22
Accounting date	DDMMYYYY	Date on which the inventory change occurred or became known	23
Items	Number (6)	Number of items	24
Element category	Character (1)	Category of nuclear material	25
Element weight	Number (24.3)	Element weight	26
Isotope	Character (1)	G for U-235, K for U-233, J for a mixture of U-235 and U-233	27
Fissile weight	Number (24.3)	Weight of fissile isotope	28
Isotopic composition	Character(130)	U, Pu isotopic weight (only if agreed in particular safeguard provisions)	29
Obligation	Character (2)	Safeguards obligation	30
Previous category	Character (1)	Previous category of nuclear material (use for IC codes CB, CC and CE only)	31
Previous obligation	Character (2)	Previous obligation (use for IC codes BR, CR, PR and SR only)	32
CAM code from	Character (8)	Code to identify the shipping small holder	33
CAM code to	Character (8)	Code to identify the receiving small holder	34
Document	Character (70)	Operator-defined reference to supporting documents	35
Container ID	Character (20)	Operator-defined identifier for the container	36
Correction	Character (1)	D for deletions, A for additions forming part of a deletion/addition pair, L for late lines (stand-alone additions)	37
Previous report	Number (8)	Report number of line to be corrected	38
Previous line	Number (8)	Line number of line to be corrected	39
Comment	Character (256)	Operator comment	40
Burn-up	Number (6)	Burn-up in MWdays/tonne (use for IC codes NL and NP in nuclear reactors only)	41
CRC	Number (20)	Hash code of line for quality control purposes	42
Previous CRC	Number (20)	Hash code of line to be corrected	43
Advance notification	Character (8)	Reference to advance notification sent to Euratom (use for IC codes RD, RF, SD and SF only)	44
Campaign	Character (12)	Campaign identifier for reprocessing installations	45
Reactor	Character (12)	Reactor code for reprocessing campaigns	46
Error path	Character (8)	Special code for evaluation purposes	47

Explanatory notes

Code of the reporting material balance area. This code is notified to the installation concerned by the Commission.

I for inventory change reports.