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

TABLE OF CONTENTS	TABLE OF CONTENTS
	Commission Regulation (Euratom) No 302/2005 on the application of Euratom safeguards
Chapter I	Scope and definitions
Chapter II	Basic technical characteristics and particular safeguard provisions
Chapter III	Nuclear material accountancy
Chapter IV	Transfers between States
Chapter V	Specific provisions
Chapter VI	Specific provisions applicable in the territories of the nuclear-weapon member states
Chapter VII	Final provisions
ANNEX I	QUESTIONNAIRE FOR THE DECLARATION OF THE BASIC TECHNICAL CHARACTERISTICS OF THE INSTALLATIONS
I-A	REACTORS
I-B	CRITICAL AND ZERO ENERGY INSTALLATIONS
I-C	CONVERSION, FABRICATION AND REPROCESSING INSTALLATIONS
I-D	STORAGE INSTALLATIONS
I-E	ISOTOPE SEPARATION INSTALLATIONS
I-F	INSTALLATIONS USING NUCLEAR MATERIAL IN QUANTITIES EXCEEDING ONE EFFECTIVE KILOGRAM
I-G	INSTALLATIONS CANDIDATE MEMBERS OF THE CATCH ALL MBA (CAM)
I-H	WASTE TREATMENT OR WASTE STORAGE INSTALLATIONS
I-J	OTHER INSTALLATIONS
ANNEX II	GENERAL DESCRIPTION OF THE SITE
ANNEX III	INVENTORY CHANGE REPORT (ICR)
ANNEX IV	MATERIAL BALANCE REPORT (MBR)
ANNEX V	PHYSICAL INVENTORY LISTING (PIL)
ANNEX VI	ADVANCE NOTIFICATION OF EXPORTS/SHIPMENTS OF NUCLEAR MATERIAL
ANNEX VII	ADVANCE NOTIFICATION OF IMPORTS/RECEIPTS OF NUCLEAR MATERIAL
ANNEX VIII	REPORT OF ORE EXPORTS/SHIPMENTS
ANNEX IX	REQUEST FOR DEROGATION OF AN INSTALLATION FROM THE RULES GOVERNING THE FORM AND FREQUENCY OF NOTIFICATIONS
ANNEX X	ANNUAL REPORT OR EXPORT REPORT FOR DEROGATED NUCLEAR MATERIAL
ANNEX XI	OUTLINE PROGRAMME OF ACTIVITIES
ANNEX XII	ADVANCE NOTIFICATION OF FURTHER WASTE PROCESSING ACTIVITIES
ANNEX XIII	ANNUAL REPORTOF EXPORTS/SHIPMENTS OF CONDITIONED WASTE
ANNEX XIV	ANNUAL REPORTOF IMPORTS/RECEIPTS OF CONDITIONED WASTE
ANNEX XV	ANNUAL REPORT ON CHANGES OF LOCATION OF CONDITIONED WASTE

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:

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

• 1. ‘nuclear-weapon Member States’ means France and the United Kingdom;

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

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

• 1. ‘waste’ means nuclear material in concentrations or chemical forms considered as irrecoverable for practical or economic reasons and which may be disposed of;

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

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

• 1. ‘discards to the environment’ means waste, measured or estimated on the basis of measurements, which has been irrevocably discarded to the environment as the result of a planned discharge;

• 1. ‘categories’ (of nuclear material) are natural uranium, depleted uranium, uranium enriched in uranium-235 or uranium-233, thorium, plutonium, and any other material which the Council may determine, acting by a qualified majority on a proposal from the Commission;

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

• 1. ‘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;

• 1. ‘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;

• 1. ‘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 ;

• 1. ‘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;

• 1. ‘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;

• 1. ‘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;

• 1. ‘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;

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

• 1. ‘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;

• 1. ‘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;

• 1. ‘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) 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;

• 1. ‘site representative’ means any person, undertaking or entity designated by the Member Stateas being responsible for the declarations referred to in Article 3(2);

• 1. ‘installation’ means a reactor, a critical installation, a conversion plant, a fabrication plant, a reprocessing plant, an isotope separation plant, a separate storage installation, a waste treatment or waste storage installation; or any other location where source material or special fissile material is customarily used;

• 1. ‘decommissioned installation’ means an installation for which it has been verified that residual structures and equipment essential for its use have been removed or rendered inoperable so that it is not used to store and can no longer be used to handle, process or utilise source material or special fissile material;

• 1. ‘closed-down installation’ means an installation for which it has been verified that operations have been stopped and the nuclear material removed but which has not been decommissioned.

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.

• (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.

• (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

• (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.

• (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.

• (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

• (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.

• (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

• (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.

• (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

• (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.

• (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

QUESTIONNAIRE FOR THE DECLARATION OF THE BASIC TECHNICAL CHARACTERISTICS OF THE INSTALLATIONS

I-A.   REACTORS

Date: …………

NB:

• 1. 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.

• 1. The reply ‘not applicable’ can be given to questions which are not applicable. The Commission is still entitled to request any additional information it considers necessary in connection with the relevant questionnaire.

• 1. The declaration, duly completed and signed, should be forwarded to the European Commission, Euratom Safeguards, L-2920 Luxembourg.

IDENTIFICATION OF THE INSTALLATION

• 1. Name.

• 1. Location, exact address with telephone and fax numbers and e-mail address.

• 1. Owner (legally responsible body or individual).

• 1. Operator (legally responsible body or individual).

• 1. Present status (e.g. under construction, in operation or closed down).

• 1. Purpose and type.

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

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

• 1. Layout of 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.

• 1. Additional data per reactor:
• (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

Description of nuclear material ([^E0009])

• 1. Description of the use of nuclear material (Article 3(1)).

• 1. Outline drawings of fuel assemblies, fuel rods/pins, fuel plates etc., in sufficient detail to indicate general structure with overall dimensions. (Provisions for pin exchange should be described, if applicable, and an indication given if this is a routine operation.).

• 1. Fuel material (including material in control or shim assemblies, if applicable):
• (a) chemical composition or main alloy constituents;
• (b) average enrichment per assembly;
• (c) nominal weight of nuclear material per assembly, with design tolerances.

• 1. Cladding material.

• 1. Method of identifying individual assemblies, rods/pins, plates etc., if applicable.

• 1. Other nuclear material used in the installation (briefly state material, purpose and method of use, e.g. as booster rods).

Flow of nuclear material

• 1. Flow sheet showing: points where nuclear material is identified or measured; material balance areas and inventory locations used for material accountancy; and the estimated range of nuclear material inventories at these locations under normal operating conditions.

• 1. Expected nominal fuel cycle data, including:
• (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.

Handling of nuclear material

• 1. Layout of the fresh fuel storage area, drawings of fresh fuel storage locations, and description of packaging.

• 1. Drawings of fresh fuel preparation and/or assay room and reactor loading area.

• 1. Drawings of transfer equipment for fresh and irradiated fuel, including refuelling machines or equipment.

• 1. Drawings of reactor vessel showing location of core and openings in vessel; description of method of fuel handling in vessel.

• 1. Drawing of core showing: general layout, lattice, form, pitch and dimensions of core; reflector; location, shapes and dimensions of control devices; experimental and/or irradiation positions.

• 1. Number and size of channels for fuel assemblies and control devices in the core.

• 1. Spent fuel storage area:
• (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).

• 1. 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 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.

Coolant data

• 1. Coolant flow diagrams as required for heat balance calculations (indicating pressure, temperatures and mass flow rates at main points).

NUCLEAR MATERIAL ACCOUNTANCY AND CONTROL

Accountancy system

• 1. Description of nuclear material accountancy and control system (describe item and/or mass accountancy system, including assay methods used and assessed accuracies, supplying specimen blank forms used in all accountancy and control procedures). Period during which such records must be retained should be stated.

Physical inventory

• 1. Description of: procedures, scheduled frequency and methods for operator’s physical inventory taking (both for item and/or mass accountancy, including main assay methods and expected accuracy); access to nuclear material in the core and to irradiated nuclear material outside the core; expected radiation levels.

OTHER INFORMATION RELEVANT TO APPLICATION OF SAFEGUARDS

• 1. Organisational arrangements for material accountancy and control.

• 1. Information on the health and safety rules which have to be observed at the installation, and with which the inspectors must comply.

I-B.   CRITICAL AND ZERO ENERGY INSTALLATIONS

Date: …………

IDENTIFICATION OF THE INSTALLATION

• 1. Name.

• 1. Location, exact address with telephone and fax numbers and e-mail addresses.

• 1. Owner (legally responsible body or individual).

• 1. Operator (legally responsible body or individual).

• 1. Present status (e.g. under construction, in operation or closed down).

• 1. Purpose and type.

• 1. Operating mode (shift system adopted, approximate dates of operating periods in year, etc.)

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

• 1. Layout of 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 ([^E0010]).

• 1. Additional data (*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

Description of nuclear material

• 1. Description of the use of nuclear material (Article 3(1)).

• 1. Outline drawings of fuel assemblies, fuel rods/pins, fuel plates etc., in sufficient detail to indicate general structure with overall dimensions.

• 1. Fuel material (including material in control or shim assemblies, if applicable).
• (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.

• 1. Cladding material.

• 1. Method of identifying individual assemblies, rods/pins, plates etc., if applicable.

• 1. Other nuclear material used in the installation (briefly state material, purpose and method of use, e.g. as booster rods).

Location and handling of nuclear material

• 1. Description, including layout drawings, of:
• (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.

• 1. Sketch of critical assembly core showing core support structure, shielding and heat removal systems, with description (to be provided for each critical assembly if more than one in the installation).

NUCLEAR MATERIAL ACCOUNTANCY AND CONTROL

Accountancy system

• 1. Description of nuclear material accountancy and control system (describe item and/or mass accountancy system, including assay methods used and assessed accuracies, supplying specimen blank forms used in all accountancy and control procedures). Period during which such records must be retained should be stated.

Physical inventory

• 1. Description of: procedures, scheduled frequency and methods for operator’s physical inventory taking (both for item and/or mass accountancy, including main assay methods and expected accuracy); access to nuclear material in the core and to irradiated nuclear material outside the core; expected radiation levels.

OTHER INFORMATION RELEVANT TO APPLICATION OF SAFEGUARDS

• 1. Organisational arrangements for material accountancy and control.

• 1. Information on the health and safety rules which have to be observed at the installation and with which the inspectors must comply.

I-C.   CONVERSION, FABRICATION AND REPROCESSING INSTALLATIONS

Date: …………

IDENTIFICATION OF THE INSTALLATION

• 1. Name.

• 1. Location, exact address with telephone and fax numbers and e-mail addresses.

• 1. Owner (legally responsible body or individual).

• 1. Operator (legally responsible body or individual).

• 1. Present status (e.g. under construction, in operation or closed down).

• 1. Purpose and type.

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

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

• 1. Layout of 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

Flow, location and handling of nuclear material

• 1. Flow sheet showing: points where nuclear material is identified or measured; material balance areas and inventory locations used for material accountancy; and the estimated range of nuclear material inventories at these locations under normal operating conditions. The description should include (if applicable):
• (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.

• 1. In addition to point 10 above, a description and a layout drawing should be provided of feed storage areas for reprocessing installations, indicating:
• (a) locations for fuel elements and handling equipment;
• (b) type of fuel elements including nuclear material content and enrichment.

• 1. In addition to point 10 above, the description of the recycling stage of the process should include, if available:
• (a) duration of temporary storage;
• (b) schedules for external recycling (if applicable).

• 1. In addition to point 10 above, the description of the discard stage of the process should include the discard method (disposal or storage).

• 1. Under steady-state conditions, for each flow sheet referred to in points 10 and 17 and assuming the modes of operation in point 7, state:
• (a) the nominal throughput per year;
• (b) the in-process inventory based on design capacity.

• 1. Description of the normal procedures adopted for complete or partial clean-out of the plant. Include description of special sampling and measurement points associated with the clean-out procedure and subsequent physical inventory taking, if not described in point 10 above.

Description of nuclear material

• 1. Description of the use of nuclear material (Article 3(1)).

• 1. Description, by means of flow sheets or otherwise, of estimated flow and inventory of all nuclear material for storage and process areas. The description should include:
• (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

Accountancy system

• 1. Description of the accountancy system used to record and report accountancy data and establish material balances, supplying specimen blank forms used in all procedures. Period during which such records must be retained should be stated.

• 1. Indicate when and how often material balances are established, including those established during campaigns. Description of method and procedure for adjusting accounts after a physical inventory taking.

• 1. Description of procedure for handling shipper/receiver differences and method of adjusting accounts.

• 1. Description of procedure for correcting accounts following procedural or clerical errors and its effect on shipper/receiver differences.

Physical inventory

• 1. Refer to point 15. Identify items of equipment on the flow sheets referred to in points 10 and 17 that are to be regarded as containers for nuclear material under physical inventory conditions. State the schedule of physical inventory taking during the campaign.

Methods for measurement, sampling and analysis

• 1. Description of method for establishing each measurement at the point indicated; equations or tables used and calculations made to determine actual quantities of weights or volumes should be identified. Indicate whether data are recorded automatically or manually. Method and practical procedures for sampling at each point indicated should be described.

• 1. Description of analytical methods used for accountancy purposes. Refer to a manual or report, if possible.

Control of measurement accuracy

• 1. Description of: measurement quality control programme needed for material accountancy purposes, including programmes (together with accuracy values) for the continuing appraisal of analytical, weight, volume and sampling precisions and biases, and for the calibration of associated equipment; method of calibrating the measuring equipment referred to in point 24; type and quality of standards used for analytical methods referred to in point 24; typeof analytical equipment used, indicating method and frequency of calibration.

Statistical evaluation

• 1. Description of methods for statistical evaluation of data collected in measurement control programmes for evaluating the precision and the accuracy of measurements and for estimating measurement uncertainties (i.e. determination of the standard deviations of random and systematic error in the measurements). Also description of statistical procedures used to combine individual error estimates to obtain the standard deviations of overall error for shipper/receiver differences, the book inventory, the physical inventory and material unaccounted for.

OTHER INFORMATION RELEVANT TO APPLICATION OF SAFEGUARDS

• 1. Organisational arrangements for material accountancy and control.

• 1. Information on the health and safety rules which have to be observed at the installation and with which the inspectors must comply.

I-D.   STORAGE INSTALLATIONS ([^E0011])

Date: …………

IDENTIFICATION OF THE INSTALLATION

• 1. Name.

• 1. Location, exact address with telephone and fax numbers and e-mail addresses.

• 1. Owner (legally responsible body or individual).

• 1. Operator (legally responsible body or individual).

• 1. Present status (e.g. under construction, in operation or closed down).

• 1. Purpose and type.

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

• 1. Layout of installation, showing structural containment, fences and access routes.

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

Description of nuclear material

• 1. Description of the use of nuclear material (Article 3(1)).

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

Location and handling of nuclear material

• 1. Description, by means of layout drawings or otherwise, of:
• (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

Accountancy system

• 1. Description of nuclear material accountancy and control system (describe item and/or mass accountancy system, including assay methods used and assessed accuracies, supplying specimen blank forms used in all accountancy and control procedures). Period during which such records must be retained should be stated.

Physical inventory

• 1. Description of procedures, scheduled frequency and methods for operator’s physical inventory taking (both for item and/or mass accountancy, including main assay methods), and expected accuracy.

OTHER INFORMATION RELEVANT TO APPLICATION OF SAFEGUARDS

• 1. Organisational arrangements for material accountancy and control.

• 1. Information on the health and safety rules which have to be observed at the installation and with which the inspectors must comply.

I-E.   ISOTOPE SEPARATION INSTALLATIONS

Date: …………

IDENTIFICATION OF THE INSTALLATION

• 1. Name.

• 1. Location, exact address with telephone and fax numbers and e-mail address.

• 1. Owner (legally responsible body or individual).

• 1. Operator (legally responsible body or individual).

• 1. Present status (e.g. under construction, in operation or closed down).

• 1. Building schedule (if installation not in operation):
• (a) date building starts;
• (b) date of installation acceptance;
• (c) commissioning date.

• 1. Purpose and type (nominal separation capacity, enrichment facilities, etc.)

• 1. Operating mode influencing its production (shift system adopted, approximate periods of operating times in year, etc.)

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

• 1. 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) 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

Description of nuclear material

• 1. Description of the use of nuclear material (Article 3(1)).

• 1. Description, by means of flow sheets or otherwise, of estimated flow and inventory of all nuclear material for storage and process areas. The description should include:
• (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.

Flow, location and handling of nuclear material

• 1. Description, by means of diagrams or otherwise, of storage and process areas. The description should include:
• (a) sampling and measuring points;
• (b) batch size and/or flow rate;
• (c) method of storage or packing;
• (d) storage capacities.

• 1. In addition to point 13 above, the description of the installation should include:
• (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.

• 1. Power consumption should be given, where necessary.

• 1. Each diagram should indicate, under steady-state conditions:
• (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.)

• 1. Description of special sampling and measurement points associated with decontamination of off-process equipment that is to be maintained or replaced.

• 1. Description of process waste disposal point, including disposal method, storage period, type of disposal, etc.

NUCLEAR MATERIAL ACCOUNTANCY AND CONTROL

Accountancy system

• 1. Description of the accountancy system used to record and report accountancy data and to establish material balances, supplying specimen blank forms used in all procedures. Period during which such records must be retained should be stated.

• 1. Indicate when and how often material balances are established, including any established during campaigns. Description of method and procedure for adjusting accounts after a physical inventory taking.

• 1. Description of procedure for handling shipper/receiver differences and method of adjusting accounts.

• 1. Description of procedure for correcting accounts owing to procedural or clerical errors and the effect on shipper/receiver differences, if applicable.

Physical inventory

• 1. Identification of items of equipment mentioned in the description referred to in points 13 and 18 that are to be regarded as containers for nuclear material under physical inventory conditions. State the timing of physical inventory taking.

Methods for measurement, sampling and analysis

• 1. Refer to the information given under points 13 and 17 for location of sampling and measurement points.

• 1. Description of method for establishing each measurement at the point indicated; equations or tables used and calculations made to determine actual quantities of weights or volumes should be identified. Indicate whether data are recorded automatically or manually. Method and practical procedures for sampling at each point indicated should be described. Indicate number of samples taken and rejection criteria.

• 1. Description of analytical methods used for accountancy purposes. Refer to a manual or report, if possible.

Control of measurement accuracy

• 1. Description of programmes for the continuous appraisal of weight, volume and sampling precision and biases, and for the calibration of associated equipment.

• 1. Descriptions of type and quality of standards used for analytical methods referred to in point 26, type of analytical equipment used, method and frequency of calibration.

Statistical evaluation

• 1. Description of methods for statistical evaluation of data collected in measurement control programmes for evaluating the precision and the accuracy of measurements and for estimating measurement uncertainties (i.e. determination of the standard deviations of random and systematic error in the measurements). Also description of statistical procedures used to combine individual error estimates to obtain the standard deviations of overall error for shipper/receiver differences, the book inventory, the physical inventory and material unaccounted for.

OTHER INFORMATION RELEVANT TO APPLICATION OF SAFEGUARDS