IAEA Guidelines and Format for Declarations (2004) PDF

Guidelines and Format for Preparation and Submission of Declarations Pursuant to Articles 2 and 3 of the Model Protocol Additional to Safeguards Agreements Vienna, May 2004 Services Series 11 Guidelines and Format for Preparation and Submission of Declarations Pursuant to Articles 2 and 3 of the...

Guidelines and Format for Preparation and Submission of Declarations Pursuant to Articles 2 and 3 of the Model Protocol Additional to Safeguards Agreements Vienna, May 2004 Services Series 11 Guidelines and Format for Preparation and Submission of Declarations Pursuant to Articles 2 and 3 of the Model Protocol Additional to Safeguards Agreements Vienna, May 2004 Services Series 11  The originating Section of this publication in the IAEA was: Section for System Studies International Atomic Energy Agency Wagramer Strasse 5 P.O. Box 100 A-1400 Vienna, Austria GUIDELINES AND FORMAT FOR PREPARATION AND SUBMISSION OF DECLARATIONS PURSUANT TO ARTICLES 2 AND 3 OF THE MODEL PROTOCOL ADDITIONAL TO SAFEGUARDS AGREEMENTS IAEA, VIENNA, 2004 IAEA-SVS-11 © IAEA, 2004 Printed by the IAEA in Austria May 2004  FOREWORD The information to be provided to the International Atomic Energy Agency (hereinafter referred to as “the Agency”) by States under an additional protocol (INFCIRC/540) is identified in Article 2. The timing with which the information is to be provided is specified in Article 3. It was widely recognized during the negotiation of the additional protocol that States and the Agency would need explanation and guidance, regarding the information to be declared, beyond that possible to incorporate in the language of the protocol itself. The Board of Governors, meeting in special session on 15 May 1997 to approve the additional protocol, was assured that such guidance would be quickly available to States. The initial Additional Protocol Reporting Guidelines, drawing from Programme 93+2 documentation and the negotiating record of Committee 24, were published in August 1997. A simplified set of Guidelines was subsequently produced for States whose safeguards agreement includes a small quantities protocol. The Guidelines serve two purposes. First, they provide specificity as to what information is required and at what level of detail. Second, the Guidelines provide a consistent reporting format. The Guidelines have been supplemented with Agency developed software, the PROTOCOL REPORTER, which simplifies the process through which States can prepare and submit their declarations electronically. There is no legal requirement that States follow the Guidelines in preparing and submitting their Article 2 declarations. However, if States submit declarations prepared according to these Guidelines, it will reduce greatly the Agency’s workload in processing, reviewing and storing the information provided. With minor exceptions, all States that have submitted declarations prior to 2004 have followed the Guidelines. The process of improving the Guidelines, based on the cumulative experience of States and the Agency, began in mid-2002. The process involved the development of a detailed compendium of suggested improvements and problems, article-by-article, based on written comments from States, consultations with States and comments from Agency staff. A draft revision addressing all suggestions and comments, often accompanied by new examples, was produced and extensively reviewed within the Agency. Finally, the Agency sought comment from States on the revised Guidelines, culminating in a meeting with State authorities in London, October 2003. The revisions to the Guidelines were finalized following that meeting. The Agency is indebted to the many States who contributed their experience and comments to the process of improving the Guidelines. 3  CONTENTS 100 I. INTRODUCTION.............................................................................................................. 1 II GENERAL GUIDANCE.................................................................................................... 5 III. SPECIFIC GUIDANCE..................................................................................................... 9 Article 2.a.(i)....................................................................................................................... 9 Article 2.a.(ii).................................................................................................................... 18 Article 2.a.(iii).................................................................................................................. 20 Article 2.a.(iv)................................................................................................................... 34 Article 2.a.(v).................................................................................................................... 41 Article 2.a.(vi)................................................................................................................... 46 Article 2.a.(vii).................................................................................................................. 54 Article 2.a.(viii)................................................................................................................ 59 Article 2.a.(ix)................................................................................................................... 63 Article 2.a.(x).................................................................................................................... 69 Article 2.b.(i).................................................................................................................... 73 Article 2.b.(ii)................................................................................................................... 79 Article 2.c......................................................................................................................... 82 Attachment 1: Determination of declaration due dates and numbering.................................. 84 Attachment 2: Formatting instructions and procedures for electronic submission of declarations.......................................................................................... 86 Attachment 3: Examples of protocol reporter ouptput in hardcopy and character-delimited format.......................................................................................... 90 100  I. INTRODUCTION The central components of a strengthened and more efficient safeguards system are increased access to information and increased physical access. The vehicle whereby a State party to an additional protocol will provide increased information on its nuclear activities is the declarations prescribed in Article 2 of the Model Protocol Additional to Safeguards Agreements (thereafter referred to as the Model Protocol).1/2 The information required pursuant to Article 2 is not intended to limit the Agency’s right to information under other provisions of the safeguards agreements. During the meetings of the Board of Governors’ Committee on Strengthening the Effectiveness and Improving the Efficiency of the Safeguards System (Committee 24), the Secretariat was requested to provide guidelines and a standard format for use by a State party to an additional protocol in preparing and submitting the declarations provided for in Article 2 of the Model Protocol. Guidelines were prepared immediately following Board of Governors approval of the Model Protocol on 15 May 1997 and were available to States in August 1997. The Guidelines have generally been effective in providing clarification of what information is required, the appropriate level of detail and a standardized report format. Even so, the accumulated experience of States and the Secretariat has identified a number of areas where improvements are needed and this is the purpose of this revision. These Guidelines necessarily cover Article 3, which deals with the timing for submission of the various parts of the declarations, and Annexes I and II of the Model Protocol, which list and elaborate on the items referred to in Articles 2.a.(iv) and 2.a.(ix), respectively. These Guidelines are not mandatory but rather intended as advice for States on preparing declarations. The text of the Additional Protocol remains the only legally binding document. Separate Guidelines for States whose comprehensive safeguards agreement includes a small quantities protocol have also been prepared and are available on request. In either case, the Guidelines will be used in consultations between the Agency and States regarding the information requirements of the additional protocol. To describe the nature, scope and interrelationship of information that would be provided by States, the Secretariat included in its report on Programme 93+2 to the June 1996 Board — entitled “Strengthening the Effectiveness and Improving the Efficiency of the Safeguards System” (reproduced in GOV/2863) an Annex II entitled “Annotated Outline of Proposed Expanded Declaration.” It referred not only to the information to be submitted under the draft protocol, as proposed at that time by the Secretariat, but also to the information to be provided under comprehensive safeguards agreements, including the strengthening measures referred to 1 Approved by the Board of Governors on 15 May 1997, as reproduced in INFCIRC/540 (Corrected). 2 The general reference in these Guidelines to a “State party to an additional protocol” is made without prejudice to the possibility that regional systems may be parties to such agreements as well 71 in GOV/2807 and approved by the Board of Governors on 15 June 1995. The information required by INFCIRC/153-type safeguards agreements was indicated as “Part 1”. The items of information to be submitted under the protocol were indicated as “Part 2”. Although the information covered by Article 2 of the Model Protocol differs in some details from that proposed in GOV/2863, Annex II of GOV/2863 remains useful for understanding the combined scope of the information States will provide under safeguards agreements with additional protocols. The totality of information required under a safeguards agreement with an additional protocol is intended to provide the Agency with a fuller and clearer understanding of the nuclear activities in a State and will serve three important purposes: Because of its scope and comprehensiveness, this information will lead to increased transparency, thus allowing the Agency to confirm with a high degree of confidence that no undeclared nuclear activities are concealed within the State’s declared programme and that no elements of that programme are used for undeclared nuclear activities; By committing itself to an expanded declaration about its nuclear and nuclear-related activities, the State will provide considerably improved information on all aspects of its nuclear activities, which can be compared with information obtained from other sources (e.g., on procurement activities or from environmental sampling) for consistency and follow-up. The more accurate and comprehensive the information, the less frequently questions and inconsistencies should arise; and The requested information will provide a basis for the efficient planning and implementation of Agency activities relevant not only to the safeguarding of declared nuclear material, but also to the providing of assurance of the absence of undeclared nuclear material and nuclear activities in the State. The approach reflected in Article 2 is intended to be comprehensive, while ensuring that States are not burdened by excessive or irrelevant reporting. The required information does not include all details of a State’s nuclear activities, but represents a reasonable balance between the benefits of having additional information and the practicalities and costs of regularly providing and using such information. States are not asked to provide information which may not be within their reach but nonetheless (Article 2.b.), the State is obliged to make “every reasonable effort” to provide the requested information. The Agency applies a stringent regime to protect all confidential information coming to its knowledge in accordance with the provisions of Article 15 of the Model Protocol. The procedures and practices of the Agency for meeting this obligation are subject to periodic review by the Board of Governors (GOV/2897, GOV/2959 and GOV/INF/2002/1). The Agency understands that, at some locations identified in the Article 2 declarations, a State may wish to make arrangements for managed Agency access pursuant to Article 7 of its 28 additional protocol. The need for managed access at specific locations on sites or other locations, where the State foresees such a need, should be identified in the declarations to the extent practical. Where the State sees a continuing need for access controls, the arrangements proposed by the State for managing Agency access to specific locations on sites should be communicated to the Agency as soon as possible. For other locations, the proposed arrangements for managed access would be provided by the State upon receiving notice from the Agency of the need for access. The State's proposal for how access might be managed would be evaluated by the Agency in light of specific Agency objectives. As stipulated in Article 7 of the Model Protocol, the arrangements should not preclude the Agency from “conducting the activities necessary to provide credible assurance of the absence of undeclared nuclear material and activities at the location in question, including the resolution of a question relating to the correctness and completeness of the information referred to in Article 2 or of an inconsistency relating to that information”. The information provided under additional protocols will be processed and evaluated, both for internal consistency and consistency with all other relevant information available to the Agency. This may result in the identification of inconsistencies in the information, questions regarding the information or the need for specific information to be amplified or clarified. Agency requests for amplification or clarification of any of the information provided relevant for purposes of safeguards, will be made under Article 2.c. of the Model Protocol. In the event of an inconsistency or question, the process of resolution is as specified in Article 4.d of the Model Protocol, which is similar to the well-established consultative process under existing safeguards agreements for resolving discrepancies and anomalies. The following sections provide general guidance for preparing and submitting declarations and specific guidance for each paragraph of Article 2 of the Model Protocol. The sections providing specific guidance contain the text of each paragraph of Article 2 from the Model Protocol, followed by relevant definitions from the Model Protocol; the purpose and intended use of the information; explanations, the declaration submission times and the format for submitting the information, with examples. Where the State, in spite of the advice given in these guidelines, is unsure whether a declaration is required or of the form and timing in which a declaration should be made, informal contacts with the Agency to seek advice or clarify the issues of concern are highly recommended. 93  II. GENERAL GUIDANCE 1. The preferred language in which the declarations are to be provided is English, the working language of the Secretariat. However, a submission in any official language of the Agency would be acceptable. 2. The sample formats are shown in hard copy form to facilitate understanding of the level of detail expected, and submission in that form is acceptable. However, States are strongly urged to submit these declarations (including maps) electronically to facilitate processing and use by the Agency, as well as to minimize transcription errors. Specifications for providing the information electronically, together with documentation describing Agency developed software called the PROTOCOL REPORTER are provided in the attachments 2 and 3 to these Guidelines. States are strongly recommended to utilize the PROTOCOL REPORTER for preparing and submitting their declarations. 3. A separate declaration is required for each article and, in the case of Article 2.a.(iii), for each site and for any update of a previously provided declaration. Each declaration should show the name of the State (or Party) and the number of the declaration, with the first declaration number being “1” and continuing sequentially for each subsequent declaration. Each entry on each declaration should be numbered sequentially beginning with “1” on each declaration. The combination of the State, the declaration number and the entry number provides a unique reference for each declaration entry. This reference number should be entered in the “Ref.” column in other declarations whenever it is relevant to make reference to another declaration entry. 4. The header information for each declaration should consist of the name of the State (Party); the INFCIRC number of the Safeguards Agreement to which the Protocol is additional; the number of the Protocol article covered by the declaration (e.g., Article 2.a.(ix)(a)); the declaration number; the date the declaration is prepared; and the declaration period. There are two kinds of declaration periods. The first is for initial declarations that provide the description of an activity or inventory at a point in time within 180 days of entry into force of the Protocol; the appropriate entry for such a declaration period is an “as of” date. The second is for update declarations that provide a description of activities over a period of time. In this case the appropriate entry for the declaration period is the beginning date and the ending date of the time period with the understanding that the information provided is valid as of the ending date. A declaration period is most often appropriate for updates but it may also be appropriate for initial declarations depending when the Protocol enters into force. For initial declarations, the declaration period most convenient for States and the Agency is the most recent calendar year. The examples provided in the sections that follow provide further clarification. 115 5. All dates should be entered as YYYY-MM-DD, e.g., 2002-11-21 for 21 November 2002. 6. All material quantities will be rounded by the Agency to the nearest tenth of a reporting unit. 7. The “Ref.” column should be used to refer in the current entry to another entry. The contents of the “Ref.” column consist of the relevant declaration and entry numbers (e.g., 13–22 provides a reference to entry 22 of declaration 13). The reference indicates that the current entry either adds to or updates information in another entry earlier declared under the same article or complements information in an entry declared under another article. Several references may be reported, if necessary. The State is not shown as part of the reference except where it is necessary to refer to an entry declared by another State as, for example, where the Agency is requesting confirmation from an importing State of an export declared by another State. 8. If more than one page is used for declarations submitted in hard copy, the name of the State, the declaration number, the article number and “page x of y pages” should be entered on each page. 9. A declaration is required for each article and, in the case of Article 2.a.(iii) each site, at the times specified in Article 3. The initial set of declarations due 180 days after entry into force pursuant to Article 3.a would normally consist of declaration numbers 1 through 7 plus the number of sites. Thus, for a State with five sites, the initial set of declarations would in most cases consist of 12 declarations numbered 1 for Article 2.a.(i), 2–6 for the five sites under 2.a.(iii) and 7–12 for Articles 2.a.(iv), (v), (vi)(a), (vii), (x) and 2.b.(i), respectively. Any subsequent declarations (including updates) should be numbered sequentially from the last used declaration number. Further, responses to specific requests from the Agency are declarations, which again should be numbered sequentially from the last used declaration number. In some cases declaration number 1 may be the first quarterly declaration of exports (Article 2.a.(ix)(a)) due 60 days after the end of the calendar quarter during which the additional protocol enters into force (see example in Attachment 1). 10. If there is nothing to be declared under an article, “Nothing to Declare” should be entered in the comment line of the header. Similarly when there is no change to declare with respect to a previously submitted declaration, “No Change” should be entered in the comment line of the header. If there has been any change in an entry since the previous declaration, the correspondent entry in the update declaration for that article must be submitted in its entirety as a new declaration entry. The new entry should cross-reference the previous entry that is being changed or updated. This reference signals that the current entry adds or updates information. If an update 612  declaration is silent with respect to an entry provided previously, the Agency will assume that the previously provided entry is still valid. 11. Further, while updates of the information referred to in Article 3.a. for the period covering the previous calendar year are to be provided by 15 May of each year (i.e., per Article 3.b.), corrections or additions to previously provided information can be provided at any time. The full set of update declarations required by 15 May of each year can be submitted at any time before that date. It would be helpful if the information were provided as soon as it is available. This would help alleviate operational difficulties for the Agency in dealing with a sudden flood of data on 15 May. 12. Should the 31 December YYYY (where YYYY is the year of entry into force) be within the 180 day period following the date of entry into force of the additional protocol, then it is suggested for a State to select that 31 December YYYY as the “As of” date of the initial declaration. In such cases, the first annual update for the eight Articles included in the initial declaration would be expected by the 15 May YYYY+2 rather than 15 May YYYY+1. The annual updates for the declarations pursuant to Articles 2.a.(vi)(b) and (c) and 2.a.(viii) are expected independently of the “As of” date of the initial declaration at the times specified in Articles 3.c and 3.e. 13. The Agency would welcome any note or notes with a declaration whenever the State considers it useful to elaborate on or explain a declaration entry. Such notes should reference the declaration number or declaration entry numbers, as appropriate. The use of the comments column is optional and could be a mechanism to provide additional information about an entry. This additional information can also be provided as an attachment to the declarations. 14. For explanation of terms, the reader of these guidelines is referred to the “IAEA Safeguards Glossary, 2001 Edition” (published by the IAEA in the International Nuclear Verification Series No. 3). 15. All declarations should be transmitted through regular channels of communication to: Director Division of Safeguards Operations A or B or C (as appropriate) Department of Safeguards International Atomic Energy Agency Wagramer Strasse 5 A-1400 Vienna, Austria 137  III. SPECIFIC GUIDANCE The following sections provide specific guidance for each individual article of Article 2 of the Model Protocol. Article 2.a.(i) “.......... shall provide the Agency with a declaration containing: (i) A general description of and information specifying the location of nuclear fuel cycle-related research and development activities not involving nuclear material carried out anywhere that are funded, specifically authorized or controlled by, or carried out on behalf of,...........” Article 18.a provides that: “Nuclear fuel cycle-related research and development activities means those activities which are specifically related to any process or system development aspect of any of the following: ņ conversion of nuclear material, ņ enrichment of nuclear material, ņ nuclear fuel fabrication, ņ reactors, ņ critical facilities, ņ reprocessing of nuclear fuel, ņ processing (not including repackaging or conditioning not involving the separation of elements, for storage or disposal) of intermediate or high-level waste containing plutonium, high enriched uranium or uranium-233, but do not include activities related to theoretical or basic scientific research or to research and development on industrial radioisotope applications, medical, hydrological and agricultural applications, health and environmental effects and improved maintenance.” Article 18.e provides that: “High enriched uranium means uranium containing 20 percent or more of the isotope uranium-235.” Article 18.h provides that: “Nuclear material means any source or any special fissionable material as defined in Article XX of the Statute. The term source material shall not be interpreted as applying to ore or ore 159 residue. Any determination by the Board under Article XX of the Statute of the Agency after the entry into force of this Protocol which adds to the materials considered to be source material or special fissionable material shall have effect under this Protocol only upon acceptance by...........” Purpose and use of the information There are nuclear processes and associated process equipment that can be developed to an advanced level without the introduction of nuclear material. Examples include centrifuges utilized to enrich uranium in the isotope U-235 or the development of pulsed columns and centrifugal contactors used in the separation of plutonium. Information provided under Article 2.a.(i), Article 2.b.(i) and information on fuel cycle research and development (R&D) involving nuclear material provided under the safeguards agreement give the Agency as complete a picture as practical of the R&D activities in a State relevant to the future development of its fuel cycle. The reporting under Article 2.a.(i) addresses the nuclear fuel cycle-related R&D activities not involving nuclear material, per Article 18.a., where the State is involved. The reporting under Article 2.b.(i) requires that the State make every reasonable effort to provide the Agency with information regarding private sector nuclear fuel cycle-related R&D not involving nuclear material that are specifically related to enrichment, reprocessing and the processing of intermediate or high level waste containing plutonium, high enriched uranium or uranium- 233. This combined information will increase the transparency of a State’s nuclear programme and will improve the basis for confirming the overall consistency of the State’s nuclear programme with its nuclear-related activities, imports and exports (of specified equipment and non-nuclear materials listed in Annex II of the Model Protocol). Explanations 1. Guidance for the header, the “Entry” column and the “Ref.” column is contained in the GENERAL GUIDANCE section. 2. The original version of the Article 2 Guidelines reiterated the language of the Model Protocol regarding Article 2.a.(i) reporting requirements with little further explanation. Experience of both the Agency and States clearly indicates that clarification is needed, but it must be acknowledged in advance that it is not possible to cover every possible case. Judgment will still be required, consistent with the spirit and intent of the additional protocol, and consultations with the Agency are encouraged. 3 The language of Article 2.a.(i) (and 2.b.(i)) specifies that only a general description, at the programme or project level, of the relevant R&D need be provided. Details are not required or needed but the general description needs to be clear regarding the R&D 10 16  being carried out, the time frame and the objective(s). The examples that follow are intended to provide further clarification regarding level of detail. It is recognized that the distinction between what must be declared under Articles 2.a.(i) and 2.b.(i) is sometimes difficult, and should sometimes be decided on a case by case basis in consultation with the Agency. 4. Article 18.a provides a positive definition of what is meant by nuclear fuel cycle- related R&D (i.e., those activities which are specifically related to any process or systems development aspect of the seven indicated areas of the fuel cycle) and then goes on to exclude what is termed “theoretical or basic scientific research” and R&D on specified non-nuclear applications, health and environmental effects and improved maintenance. Specifically R&D addressing industrial radioisotopes, medical, hydrological and agricultural applications need not be declared. Difficulties may arise in deciding what is “theoretical or basic scientific research” and in dealing with the considerable intersection that exists between R&D addressing health and environmental effects and improved maintenance (which are specifically excluded) and R&D addressing safety (which was not excluded). 5. Theoretical and basic research addresses some basic or fundamental aspect of a process. Theoretical and basic research may develop from established principles and the results of the research may have an application but the research, as presently constituted, is not motivated by nor does it address application (e.g., the intent is to add to a body of scientific knowledge). The decision regarding research being theoretical or basic and the reporting obligation under Article 2.a.(i) is best addressed through the answer to two questions: (a) Does the research, if successfully concluded, have direct application? (b) Is the application, wholly or in part, directly related to the development of the nuclear processes or systems identified in Article 18.a? For example, research directed to the measurement of chemical reaction rates that is to be used in the development of a process for reprocessing spent fuel should be reported, as the answer to both questions is yes. On the other hand, similar research directed to the chemistry for recovery of a radioisotope for medical applications from irradiated target material need not be reported (i.e., the answer to the second question is no). Seen in this fashion, feasibility studies or computer based studies (e.g., simulations) that address development of any of the elements of the fuel cycle identified in article 18.a should be reported. 6. Research on any of a number of elements that relate to the safe operation of any of the processes identified in Article 18.a. should be reported. Safety considerations, whether they are hardware design and operating procedures to prevent criticalities, systems for 11 17  heat removal in the event of a loss of coolant, instrumentation and equipment to control reactors or a myriad of other factors are inherent to the development of the identified processes. This is the rationale for including these kinds of research in the reporting requirements under Article 2.a.(i). Obviously, a safety failure can have health, environmental or maintenance consequences but this is incidental to the reporting requirements. Among the kinds of research that are specifically excluded from a reporting obligation are those that directly address health and environmental effects and improved maintenance. Studies addressing the long term health effects of exposure to low levels of ionizing radiation, research on the transport of certain radionuclides in the environment and the development of a NDA device for assessing the continuing integrity of piping in the primary coolant loop of a power reactor are examples of research that need not be reported. It is recognized that in some instances States will need to make a judgment on whether a specific safety project requires declaration. As already mentioned in the Introduction, consultations with the Agency are recommended. 7. Clarification of some other language and intent of Article 2.a.(i) and 18.a. are provided as follows: (c) The language “---carried out anywhere that are funded, specifically authorized or controlled by, or carried out on behalf of, ---’’ is intended to cover any nuclear fuel cycle-related R&D where the State is involved, either in pursuit of its own interests or on behalf of any other entity. Examples of State involvement would be: ownership, funding, administrative control or licensing. b) The phrase “related to any process or system development aspect” is intended in a broad sense to include R&D to improve the performance of an existing process or system and components of a multi-component R&D project where nuclear material is not present even though one or more of the components do involve nuclear material. 8. For each entry, the “Fuel Cycle Stage” column should include the relevant area of R&D listed in Article 18.a (e.g., conversion or enrichment). Single R&D projects may be relevant to more than one fuel cycle stage. When this is the case, other fuel cycle stages should be reflected in the comment column. As a “Fuel Cycle Stage”, the term reactor should be taken broadly to include spent fuel management. Spent fuel management should also include R&D activities related to disposal of spent fuel. When single R&D projects involve activities at more than one location, the activity at each location should be reflected in a separate entry. 9. The “Location” column should include the name of the organization and the address where the R&D is being carried out. This is essential even if the name and address of a parent organization is included optionally. The address must be detailed and specific 12 18  enough for the Agency to be able to determine the geographical relationship of the location to other locations specified in this or other parts of the State's declarations and, should access be necessary, to provide notice of access that is unambiguous in respect of location. Where there is any imprecision or ambiguity as to location, geographic coordinates are required in order for the Agency to be able to locate the activity. If the activity is located at a nuclear facility or location outside facilities (LOF), the facility or LOF code (optionally also the site name or code) should be included in the “Location” column, and the Article 2.a.(iii) declaration and entry number for the building housing the activity should be entered in the “Ref.” column. There may be instances where the R&D is being carried out at several locations, possibly even in other States or by several organizations. The declaration should include a separate entry for each organization and the locations at which the activities take place, including locations in other States. 10. The updates to declarations under Article 2.a.(i) will generally be status reports covering activities over a period of time (e.g., the status of activities at the end of a calendar year covering activities carried out in the course of the year). Previously declared R&D that may have been stopped during the year in question should be reported one last time even though the status at end of the period is that the project is terminated. 11. The “General Description” of each R&D activity should include: a. The title of the R&D activity; b. The activity's project number or other unique designation to avoid any ambiguities in future references to the activity; c. The relationship or connection of the State to the R&D activity; d. A brief description of the work being performed (where the work is distributed over several organizations, the description of the work should identify who is doing what); e. The objectives of the specific R&D activity and the degree to which those objectives have been met at the time of the declaration (e.g., whether work toward the objective has just begun or is in progress or the objective has been met); f. The intended application of the R&D results if this is not apparent from the objectives; and g. Identification, if applicable, of the organization and location within another State with which there is collaboration on the R&D activity. 13 19 12. In addition, it would be helpful to the Agency to have included under the “General Description” of each R&D activity the places, if any, on the site or location at which managed access may be applicable (Article 7.b). Declaration submission times 1. In accordance with Article 3.a., the initial declaration for Article 2.a.(i) should be dispatched to the Agency within 180 days of the entry into force of an additional protocol. The declaration should normally reflect the “as of” date for the status of R&D being described. This “as of” date may be any date between the entry into force of an additional protocol and 180 days after entry into force. 2. In accordance with Article 3.b., the annual updates of this declaration should be dispatched to the Agency by 15 May of each year. These declaration updates should be labeled in the header with the time period covered by the declaration. With the exception of the time period between the initial declaration and the first annual update, it is expected that the declaration period will be one calendar year (see Attachment 1). 14 20  Example Format of declaration for Article 2.a.(i) (initial declaration with example entries) Name of State (or Party): Ruritania Safeguards Agreement INFCIRC: 000 Protocol Article: 2.a.(i) Declaration number: 2 Declaration Date: 2001-10-14 Declaration period: as of 2001-10-01 This is declaration number 2. Number 1 was declaration for Article 2.a.(ix)(a) for the period Comment: 30 April 2001 to 30 June 2001. Entry Ref. Fuel Cycle Location General Description Comments Stage 1 3-21 Enrichment Advanced Projects RAPA Isotope Separation - Phase I. Project RA-01-12. Privately funded but carried out at the APA, of nuclear Agency, 23 Main a government laboratory. Phase I is a study of the feasibility of adapting a molecular method of laser material Avenue, R-1384 isotope separation for stable isotopes (developed at the University of Ruritania) to uranium Pointsmore, Ruritania. enrichment. The objectives are to conduct a feasibility study of the use of two commercially (APA laboratory on available laser systems. Work is just beginning with completion scheduled for the end of 2003. site AEC-NRC, building RA-18) 2 Enrichment Advanced Projects RAPA Isotope Separation - Phase II. Project RA-01-12. Privately funded but carried out at the APA, of nuclear Agency, 23 Main a government laboratory. Phase II is an engineering and economic study of adapting a molecular material Avenue, R-1384 method of laser isotope separation for stable isotopes (developed at the University of Ruritania) to Pointsmore, Ruritania uranium enrichment. The objectives are to develop estimates of enrichment costs and prepare design (APA headquarters) of laboratory-scale test equipment. Work is scheduled for completion at the end of 2002. 3 Reactors Univ. of Ruritania Development of a generalized computer simulation package (GCSP) for the calculation of nuclear Engineering School, fuel burn-up and the accumulation of specified fission and activation products, as a function of time McGrath Building, 401 and position in the reactor, for several types of LWR cores. The objective is an improved reactor Macron Drive, R-2257 code that will support implementation of an advanced nuclear fuel management scheme to achieve Dembigh, Ruritania high burn-up without loss of safety margins. This is a 3-year project set for completion 2003-06-30 being carried out in the Nuclear Engineering Department, University of Ruritania (project UR/GCSP/01). The sponsors are a consortium of private utilities and the Ruritania Ministry of Science and Industry. 21 15 21 16 22 Example (continuation) Format of declaration for Article 2.a.(i) (initial declaration with example entries) Name of State (or Party): Ruritania Safeguards Agreement INFCIRC: 000 Protocol Article: 2.a.(i) Declaration number: 2 Declaration Date: 2001-10-14 Declaration period: as of 2001-10-01 This is declaration number 2. Number 1 was declaration for Article 2.a.(ix)(a) for the period Comment: 30 April 2001 to 30 June 2001 Entry Ref. Fuel Cycle Location General Description Comments Stage 4 Nuclear fuel Univ. of Ruritania Design and testing of an induction-coil nuclear fuel pellet sintering oven. This is a Government fabrication Engineering School, funded development effort (Project RU-00-11). The objectives are: (1) the design of a sintering oven McGrath Building, that meets a variety of specified temperature control requirements; and (2) the construction and 401 Macron Drive, demonstration of a prototype oven. Work is nearing completion on the design phase (scheduled for R-2257 Dembigh, completion 2001-11-30). Ruritania 5 Processing Uratopia Nuclear The Government of Ruritania, through the Advanced Project Agency (APA), is participating, with Reprocessing of Waste Center, 15 King the Atomic Energy Commission of Uratopia in an international project with the objective of Road, U1250, Flavia producing a detailed comparative analysis of several identified nuclear waste management strategies Nova, Uratopia in terms of costs, environmental impact and technical difficulty. The strategies currently identified are: (1) spent fuel conditioning and storage in a geologic repository; (2) reprocessing, Pu recycle with conditioning (vitrification) of HAW; and (3) reprocessing, Pu recycle with partitioning/transmutation of HAW prior to conditioning. At this point, the study is limited to a review of the literature, initial project definition and strategy. The activities are carried out in Uratopia with participation of Ruritania (APA) specialists. The comparative analysis and the identification of the next steps to be taken are to be completed by the end of 2003. 22  Example Format of declaration for Article 2.a.(i) (first annual update declaration with example entries) Name of State (or Party): Ruritania Safeguards Agreement INFCIRC: 000 Protocol Article: 2.a.(i) Declaration number: 13 Declaration Date: 2002-05-02 Declaration period: 2001-05-01 through 2001-12-31 Comment: Entry Ref. Fuel Cycle Location General Description Comments Stage 1 2-2 Enrichment Advanced Projects The project (Phase II. Project RA-01-12) was extended until December 2003 in order to evaluate the of nuclear Agency (APA), 23 feasibility and costs of all the commercially available laser systems that could be suitable for the material Main Avenue, R- enrichment of uranium. 1384 Pointsmore, Ruritania 2 2-4 Nuclear fuel Univ. of Ruritania Design and testing of an induction-coil nuclear fuel pellet sintering oven. This is a Government fabrication Engineering School, funded development effort (Project RU-00-11). The objectives are: (1) the design of a sintering oven McGrath Building, that meets a variety of specified temperature control requirements; and (2) the construction and 401 Macron Drive, demonstration of a prototype oven. The design of the oven is complete and a prototype will be R-2257 Dembigh, available for testing by mid-year 2003. Ruritania 3 2-3 Reactors Univ. of Ruritania The GCSP reactor code development project (UR/GCSP/01) has reached the conclusion that the Engineering School, fission and activation cross-sections for certain isotopes of several minor actinide elements are not McGrath Building, sufficiently known for neutron energies in the appropriate thermal range. A separate study has been 401 Macron Drive, approved by the sponsors, that involves queries/consultations with the IAEA to see if better R-2257 Dembigh, information is available and to assess the availability of target materials should a measurement Ruritania programme be necessary. This side effort to the development of GCSP is to be completed by mid- 2004. The main project has been extended until 2006. 23 17 23 Article 2.a.(ii) “.......... shall provide the Agency with a declaration containing: (ii) Information identified by the Agency on the basis of expected gains in effectiveness or efficiency, and agreed to by.........., on operational activities of safeguards relevance at facilities and locations outside facilities where nuclear material is customarily used.” Article 18.i provides that: “Facility means: (i) A reactor, a critical facility, a conversion plant, a fabrication plant, a reprocessing plant, an isotope separation plant or a separate storage installation; or (ii) Any location where nuclear material in amounts greater than one effective kilogram is customarily used.” Article 18.j provides that: “Location outside facilities means any installation or location, which is not a facility, where nuclear material is customarily used in amounts of one effective kilogram or less.” Purpose and use of the information Article 2.a.(ii) establishes a mechanism to provide information, agreed between the Agency and the State, that could facilitate and increase the efficiency of safeguards implementation. Each additional item of information may be identified by the Agency on the basis of expected gains in safeguards effectiveness or efficiency or both and, following consultations with and agreement by the State, included in the State's Article 2.a.(ii) declarations for specific circumstances for specific facilities or LOFs. For example, the information could be used by the Agency to facilitate implementation of integrated safeguards approaches that incorporate unannounced or short notice routine inspections, for the evaluation of remotely transmitted surveillance records or to schedule interim inspections for flow verification. These arrangements could be mutually beneficial in reducing overall Agency inspection effort and the corresponding effort by operators and by the State. Explanations 1. Depending on the nature of the facility or LOF, the information could include, by way of example, more timely information on nuclear material transfers and inventories, 18 24  empty spent fuel cask transfers, crane movement records, reactor fuel production, isotope production programmes and the schedule and nature of maintenance activities. 2. Such information, when provided in advance, could be used in conjunction with unannounced or short notice inspections to increase the inspection coverage of nuclear material. Declaration submission times Article 3.f provides that the timing and frequency for the provision of any such information would be as agreed by the State and the Agency. The information to be provided, how it is to be provided and the frequency with which it is to be provided would be subject to the agreement of the State. This provision would become operative when and if the State and the Agency so agree. Format of declarations for Article 2.a.(ii) The format, contents and procedures for the provision of this information to the Agency would be specified on a case-by-case basis once a particular application of the article had been identified. This could result from a proposal either by the Agency or by the State, and agreed to by both parties. 25 19 25  Article 2.a.(iii) 26 “.......... shall provide the Agency with a declaration containing: (iii) A general description of each building on each site, including its use and, if not apparent from that description, its contents. The description shall include a map of the site.” Article 18.b provides that: “Site means that area delimited by.......... in the relevant design information for a facility, including a closed-down facility, and in the relevant information on a location outside facilities where nuclear material is customarily used, including a closed-down location outside facilities where nuclear material was customarily used (this is limited to locations with hot cells or where activities related to conversion, enrichment, fuel fabrication or reprocessing were carried out). It shall also include all installations, co-located with the facility or location, for the provision or use of essential services, including: hot cells for processing irradiated materials not containing nuclear material; installations for the treatment, storage and disposal of waste; and buildings associated with specified items identified by.......... under Article 2.a.(iv) above.” Article 18.d provides that: “Closed-down facility or closed-down location outside facilities means an installation or location where operations have been stopped and the nuclear material removed but which has not been decommissioned.” Purpose and use of the information A primary objective of strengthened safeguards is to provide assurance that no undeclared nuclear material or activities are co-located with nuclear facilities and LOFs in order to utilize the infrastructure of manpower, technology, equipment and services that is in place to support elements of the declared programme. This article, Article 2.b.(ii) and the associated access provisions support this objective. The information in these declarations will be the basis for actions to obtain credible assurance regarding the absence of undeclared nuclear material and activities on sites. It will be used for planning complementary access to the sites of facilities and LOFs and for evaluation of consistency with the results of access activities and other information available to the Agency. Explanations 1. A separate declaration, each with its own declaration number should be made for each site. Guidance for the header, the “entry column” and the “Ref.” column is contained 20 26  in the GENERAL GUIDANCE section. The header for a site declaration contains a field for the “Site identification”. The content of the field should indicate the site code and/or site name as long as it provides an unambiguous identification of the site. 2. It is the State’s responsibility to define the geographical area constituting a site. In most cases the site area is obvious and consistent with Article 18.b. and with information previously provided to the Agency. There are a few instances, however, where it is not so obvious and the following additional guidance is provided: ƒThe vast majority of sites are expected to be contiguous geographical areas. Due to changes that have occurred over time or the location of an installation providing an essential service to a site, there may be sites comprised of two or more separate areas. ƒWhen the geographical area of a site defined by a State appears idiosyncratic (e.g., appears to have been modified to exclude a building) or when a site is comprised of two or more separate areas (particularly in cases where the geographical area defined to be a site differs from that previously identified in the response to a Design Information Questionnaire), it is recommended that the State’s declaration for the site at issue include an explanation. (e.g., why specific buildings are excluded, see paragraph 13 in the General Guidance and the example below). ƒThe phrase “essential services” refers to installations providing services essential to the nuclear activities of the site. Such installations should be declared if they are located near the facility or LOF in question. Installations for providing normal utilities (e.g., electrical sub-stations and sewage treatment plants) need not be declared when they are not co-located. There may be 27 instances where an installation located adjacent to but outside what would normally be thought of as the site does provide an essential service (e.g., a training center, or computing services). Such installations should be included in the declaration for the site. Ownership should not be factor in deciding whether a building is included in a site. ƒThe site should also include all installations co-located with the nuclear facility(ies) or LOF(s) and associated with the provision or use of services, such as hot cells, waste and decontamination facilities, training centers, electrical substations, water treatment, shielded cask storage, cooling towers, mechanical workshops and general stores. The declaration under Article 2.a.(iii) should also include all co-located buildings housing R&D activities reported under Article 2.a.(i) or 2.b.(i) or associated with the equipment and non-nuclear materials reported under Article 2.a.(iv). Sites with a facility and 21 27  those associated with most nuclear LOFs would normally not be less than a 28 single building. ƒThere are many non-nuclear LOFs, i.e., LOFs where the nuclear material is in a non-nuclear application (a common example is depleted uranium shielding used in a radiation therapy unit in a hospital). For such cases, the site could be limited to a room or several rooms in a building. A preferred way to deal with these locations is for States to request that the nuclear material be exempted from safeguards under the non-nuclear use exemption provision contained in comprehensive safeguards agreements. Exemption, depending upon the nature and form of the material, does not eliminate other reporting obligations (e.g., Article 2.a.(vii)(b) of the Additional Protocol) but locations holding only exempted material are not considered to be LOFs. ƒThe criteria for defining the geographical area of a site do not, at least in principle, depend upon whether the facility and/or LOF is operating or closed- down. A closed-down facility remains a facility with an associated site until the State declares, and the Agency agrees, that the facility, for purposes relevant to safeguards, has been decommissioned. The same argument applies to the closed-down LOFs specified in Article 18.b. ƒIn some complex cases (e.g. universities or former nuclear research centers that now conduct mainly non-nuclear work) it may be difficult to decide which buildings require declaration as part of a site. Those buildings relevant to the nuclear activities of the site should be declared according to the criteria already discussed. Information on other nearby buildings could be provided as an attachment to the declaration or in some other way agreed between the State and the Agency. It would be important for buildings that previously contained nuclear material or housed nuclear related activities to be described. Such buildings would not be part of the site but the information provided on them will facilitate the correct planning and implementation of Agency safeguards activities for the site. 3. The initial declaration should include all buildings (and other relevant structures including temporary buildings or structures) on each site, with a separate entry for each building. Subsequent annual update declarations should only address those site declarations and associated buildings involving a change since the previous declaration. An update declaration for a site should be a new declaration with the relevant entries (where changes have occur or new information is provided) submitted in their entirety. Entries which remain the same do not have to be repeated. 22 28  4. The “Facility/LOF code” column should contain the facility code (or in the case of LOFs the combination of MBA/KMP codes) for any building on the site that is part of a facility (or LOF). 5. The “Building” column should include a building number or other designation that provides an unambiguous identification of the building on the site map. 6. The “General Description” for each building should include: a. The size of the building (the number of floors and the approximate total square meters of floor area or the dimensions of the building); b. The use of the building and, where not apparent from the stated use, the main contents of the building; and c. Although not formally required, there will be instances where it will be helpful if the declaration entry for a building describes previous uses. This is particularly relevant when previous uses involved nuclear material. Information previously provided in the facility DIQ or LOF description need not be repeated but the DIQ or LOF information should be current and accurately reflect the situation at the facility or LOF. 7. A current diagram or map of the site showing the exact boundary of the site, the location of all buildings and other structures, railways, roads, rivers, etc., is to be attached to the Article 2.a.(iii) declaration for each site. The scale and geographical orientation to the North of the map or diagram should be indicated. If possible, 29 geographical coordinates for at least one reference location in the map or diagram should be provided. The availability of coordinates will facilitate the identification by the Agency of buildings on maps and satellite images. Declaration submission times 1. In accordance with Article 3.a, the initial declaration for Article 2.a.(iii) should be dispatched to the Agency within 180 days of the entry into force of the Protocol. The declaration period should be the “as of” date for the general descriptions provided. This “as of” date may be any date between the entry into force of the Protocol and 180 days after entry into force. 2. In accordance with Article 3.b, the annual updates of this declaration should be dispatched to the Agency by 15 May of each year. These declaration updates should be labeled in the header with the time period covered by the declaration. The 23 29  information provided should be valid as of the ending date of the declaration period. 30 With the exception of the time period between the initial declaration and the first annual update, it is expected that the declaration period will be one calendar year (see Attachment 1). 24 30  Example Format of declaration for Article 2.a.(iii) (initial declaration with example entries) Name of State (or Party): Ruritania Safeguards Agreement INFCIRC: 000 Protocol Article: 2.a.(iii) Site Identification AEC-NRC Declaration number: 3 Declaration Date: 2001-10-14 Declaration period: As of 2001-10-01 Comment: See attached map for location of buildings in AEC-NRC. Entry Ref. Facility/LOF Building General Description, Including Use and Contents Comments Code 1 3-21 RBE- RBE A small pilot centrifuge enrichment cascade (see response to DIQ- RBE-, 1998-08-20) (see attached 5-1 schematic map) 2 RBF- RBF Fuel fabrication and testing facility (see response to DIQ- RBF-, 1991-02-10) including post-irradiation test facility (APEX) 3 RBR- RBR Research and radioisotope production reactor (see response to DIQ - RBR-, 1982-02-17) 4 RBF- RA-1 Two floors (total 850m2; distributed 500m2 main floor and 250m2 partial basement). Building includes extensive hot cell complex utilized for post irradiation examination of fuel and other materials. 5 RA-2 Two floors (total 1160m2), housing administration and general services 6 RA-3 Three floors (total 1800m2 not including limited basement housing storage and utilities). Engineering support services primarily devoted to civil engineering support for the site. 7 RA-4 One floor (total 430m2). Physical protection services to the site (managed access). 8 RC-A, KMP A RA-5 One floor (total 500m2, not including limited basement training storage and utilities). Radiochemistry including development of analytical methods and low-level radiochemical measurements). 31 25 31 26 32 Example (continuation) Format of declaration for Article 2.a.(iii) (initial declaration with example entries) Name of State (or Party): Ruritania Safeguards Agreement INFCIRC: 000 Protocol Article: 2.a.(iii) Site Identification AEC-NRC Declaration number: 3 Declaration Date: 2001-10-14 Declaration period: As of 2001-10-01 Comment: See attached map for location of buildings in AEC-NRC. Entry Ref. Facility/LOF Building General Description, Including Use and Contents Comments Code 9 RA-6 Two floors plus basement (total 450m2). Housing common heating and air conditioning utilities. 10 RA-7 One floor (total 550m2). Auxiliary office space for RBR- personnel. 11 RA-8 One floor (total 510m2). Central stores annex including office space for administration personnel. 12 RA-9 Two floors (total 1200m2). Central receiving and stores for the site. 13 RA-10 Three floors (total 1500m2). Physics and life sciences support (together with building RA-11). 14 RA-11 Two floors (total 900m2). Physics and life sciences support. First floor includes small mechanical/optical workshop. 15 RA-12 One floor (total 1100m2). Cafeteria serving the site including serving area and a store. 16 RA-13 One floor (total 320m2). Visitor center. 17 RA-14 Three floors (total 560m2 including basement). Housing low-level solid waste conditioning/packaging installations and encapsulation R&D facility. 32  Example (continuation) Format of declaration for Article 2.a.(iii) (initial declaration with example entries) Name of State (or Party): Ruritania Safeguards Agreement INFCIRC: 000 Protocol Article: 2.a.(iii) Site Identification AEC-NRC Declaration number: 3 Declaration Date: 2001-10-14 Declaration period: As of 2001-10-01 Comment: See attached map for location of buildings in AEC-NRC. Entry Ref. Facility/LOF Building General Description, Including Use and Contents Comments Code 18 RA-15 Two floors (total 1800m2). Housing high-active waste treatment and vitrification studies. 19 RA-16 Two floors (total 3000m2 including partial basement). Radioisotope production, includes extensive hot cell complex. 20 RA-17 One floor (total 150m2). Waste treatment. 21 2-1 RA-18 One floor (total 1070m2). Enrichment development center includes Annex I centrifuge 5-1 manufacturing. Approximately 1/3 of the space is leased by the Advanced Project Agency (managed access may apply in some areas.) 22 RA-19 Two floors (total 460m2). Housing mechanical and optical workshops. 23 S1 Security gate 1. 24 S2 Security gate 2. 25 S3 Security gate 3. 26 S4 Security gate 4. 33 27 33 34 Figure 1: AEC-NRC Site Map (Attachment to Declaration No. 3). 28 34  Attachment (not part of declaration) B-buildings (not part of site AEC-NRC) The original site boundary (dotted line), as previously communicated to the Agency in responses to DIQs, included buildings B-1, B-2 and B-3. These buildings once housed studies directed to the exploitation of low-grade (