1976R3227 — EN — 15.08.1993 — 001.001 — 1
This document is meant purely as a documentation tool and the institutions do not assume any liability for its contents
►B COMMISSIONREGULATION(EURATOM)No3227/76
of19October1976
concerningtheapplicationoftheprovisionsonEuratomsafeguards
(OJ L 363, 31.12.1976, p. 1)
Amended by:
Official Journal
No page date
►M1 Commission Regulation (Euratom) No 220/90 of 26 January 1990 L 22 56 27.1.1990
►M2 Commission Regulation (Euratom) No 2130/93 of 27 July 1993 L 191 75 31.7.1993
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COMMISSIONREGULATION(EURATOM)No3227/76
of19October 1976
concerningtheapplicationoftheprovisionsonEuratomsafeguards
THE COMMISSION OF THE EUROPEAN COMMUNITIES,
Having regard to the Treaty establishing the European Atomic Energy
Community, and in particular Articles 77, 73, 79 and 81 thereof,
Having regard to the approval of the Council,
Whereas Commission of the European Atomic Energy Community
Regulation No 7 established the implementing procedures for thedeclarations required by Article 78 of the Treaty (
1),
Whereas Commission of the European Atomic Energy CommunityRegulation No 8 (
2) defined the nature and the extent of the require-
ments referred to in Article 79 of the Treaty;
Whereas, in view of the increasing quantities of nuclear materials
produced, used and carried in the Community and the development of
trade in these materials, it is essential, in order to ensure the effective-
ness of safeguards, that the nature and the extent of the requirementsreferred to in Article 79 of the Treaty and laid out in Regulation No 8referred to above, be defined and brought up to date in the light ofexperienceparticularlywithregardtothetransportationof,  orcommerce in these materials;
Whereas, moreover, the Kingdom of Belgium, the Kingdom of
Denmark, the Federal Republic of Germany, Ireland, the ItalianRepublic, the Grand Duchy of Luxembourg, the Kingdom of the Neth-
erlands and the European Atomic Energy Community (Euratom)
concluded on 5 April 1973 an Agreement (hereinafter called ‘the
Agreement’)withtheInternationalAtomicEnergyAgencyinimple-
mentation of Article III (1) and (4) of the Treaty on the non-
proliferation of nuclear weapons;
Whereas the Agreement contains a particular undertaking entered into
by the Community concerning the application of safeguards on sourceand special fissile materials on the territories of the Community.
Member States which have no nuclear weapons of their own and which
are parties to the Treaty on the non-proliferation of nuclear weaponsand, in conjunction with the Community, to the Agreement signed on5 April 1973 with the International Atomic Energy Agency (hereinaftercalled ‘the Member States party to the Agreement’);
Whereas the implementation of this undertaking requires the establish-
ment of particular procedures for the application of safeguards on theterritories of the Member States party to the Agreement in order toamplify the provisions of the aforementioned Regulations No 7 and
No 8;
Whereas, moreover, the procedures foreseen by this Agreement are in
conformity with those devised in the course of a very wide-ranging
internationalnegotiationconducted,inviewoftheprovisionsofpara-graphs1and4ofArticleIIIoftheTreatyonthenon-proliferationofnuclear weapons, with the International Atomic Energy Agency, theresult of which has been approved by the Board of Governors of thatorganization, and that these procedures are based on the most modern
developments in the field of safeguards;
Whereas, accordingly, it is opportune to define new procedures for the
application of the provisions of Chapter VII of the Treaty;
Whereas the Community, the United Kingdom and the International
Atomic Energy Agency have signed on 6 September 1976 an Agree-ment comprising a particular commitment which concerns the1976R3227 — EN — 15.08.1993 — 001.001 — 2
(1) OJ No 15, 12. 3. 1959, p. 298/59, and communication on the numbering of
EAECRegulations(OJNo34,29.5.1959,p.649/59).
(2)OJNo34,29.5.1959,p.651/59.
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application of safeguards to source and special fissile materials on the
territory of the United Kingdom;
Whereas it is appropriate to arrange for particular provisions relative to
the accounting system and the presentation of records concerning ores;
Whereas, on the territories of the Member States not party to the
Agreement, some installations or parts thereof as well as certain mate-rials are liable to be involved in the production cycle for defenceneeds, therefore it is appropriate to specify particular safeguard proce-
dures to take account of these circumstances;
Whereas, for clarity's sake, and particularly to make the respect of safe-
guard Regulations easier for those concerned, it is appropriate to codify
these Regulations in a single text,
HAS ADOPTED THIS REGULATION:
PART I
BASIC TECHNICAL CHARACTERISTICS AND PARTICULAR
SAFEGUARDPROVISIONS
DECLARATIONOFTHETECHNICALCHARACTERISTICS
Article 1
Any person or undertaking setting up or operating an installation for
the production, separation or other use of source materials or specialfissile materials or for the processing of irradiated nuclear fuels shalldeclare to the Commission the basic technical characteristics of theinstallation, on the basis of the relevant questionnaire given in Annex
I hereto.
Any person or undertaking responsible for the storage of source mate-
rials or special fissile materials shall be subject to the provisions of the
firstparagraph.
Article 2
Where the basic technical characteristics of an installation have already
been communicated to the Commission, the declarations specified inthe said Article 1 may be made by reference to such earlier communi-cation, provided that any additional information required by the
questionnaire referred to in Article 1 is supplied within 30 days from
the date on which this Regulation comes into force.
The basic technical characteristics of new installations shall be declared
as laid down in Article 1 at least 200 days before the first consignment
of nuclear material is due to be received.
Furthermore, for new installations with an inventory or annual
throughput of nuclear material, whichever is the greater, of more than
one effective kilogramme, the owner, operator, purpose, location, type,
capacity and expected commissioning date shall be declared at least200 days before construction begins.
Article 3
The ‘particular safeguard provisions’ referred to in Article 7 shall
specify those important changes in the basic technical characteristicsfor which advance notification is required.
Any other changes in the basic technical characteristics shall be
communicated to the Commission, together with the first inventorychange report made after the modification is complete.1976R3227 — EN — 15.08.1993 — 001.001 — 3
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Article 4
On receipt of a reasoned request, the Commission may allow additional
time for the completion of the declarations required in the preceding
Articles.
Article 5
The provisions of Article 1 shall not apply to persons or undertakings
holding only nuclear materials exempted from the declaration require-
ments as provided for by Article 22.
PROGRAMMEOFACTIVITIES
Article 6
The persons or undertakings referred to in Article 1 shall also commu-nicate to the Commission, for the planning of its safeguard activities,the following information:
(a) annually, an outline programme of activities drawn up in accor-
dancewiththe‘particularsafeguardprovisions, referredtoinArticle 7, the first communication being made on the basis of theguidelines given in Annex X, at the same time as that of the basictechnical characteristics referred to in Article 1;
(b) at least 40 days before beginning the taking of a physical inven-
tory, the programme for such work;
(c) at least 40 days before starting to shut down a batch-loaded reactor
for reloading, the programme in respect of such shutting down
unlessotherwiseprovidedinthe‘particularsafeguardprovisions,
referred to in Article 7.
Any change affecting programmes for the taking of physical inven-
tories or for the shutting down of reactors to reload shall becommunicated to the Commission without delay.
PARTICULARSAFEGUARDPROVISIONS
Article 7
Acting on the declarations of basic technical characteristics and on theinformation communicated in pursuance of Article 6, the Commission
shall specify in the ‘particular safeguard provisions’ the procedures by
which the persons or undertakings concerned shall meet the require-ments in relation to safeguards imposed on them. Among others theseprocedures shall include:
(a) the designation of the material balance areas and the selection of
those strategic joints which are key measurement points for deter-mining the flow and stocks of nuclear materials;
(b) the procedures for keeping records of nuclear materials for each
material balance area and for drawing up reports;
(c) the frequency of and procedures for drawing up physical inven-
tories for accounting purposes as part of safeguard measures;
(d) containment and surveillance measures, in accordance with the
modalities agreed upon with the plant operators;
(e) sample-taking by the plant operator solely for safeguard purposes.
The ‘particular safeguard provisions’ shall also lay down the content ofsubsequent communications required under Article 6 of this Regulationas well as the conditions requiring advance notification of shipmentsand receipts of nuclear material.
The Commission will reimburse the person or undertaking concerned
the cost of those special services which are provided for in the ‘parti-cular safeguard provisions’, or which are provided because of a specialrequestoftheCommissionoroftheinspectorsandonthebasisofanagreed estimate. The extent and modality of the reimbursement will be1976R3227 — EN — 15.08.1993 — 001.001 — 4
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fixed between the parties concerned and will be reviewed periodically
as necessary.
Article 8
The ‘particular safeguard provisions’ referred to in Article 7 shall be
drawn up by means of an individual decision of the Commission after
consultation with the person or undertaking concerned and the appro-priate Member State.
The person or undertaking affected by any individual decision of the
Commission will be notified thereof, and a copy of such notificationwill be transmitted to the Member State concerned.
PART II
ACCOUNTINGSYSTEM
Article 9
The persons and undertakings referred to in Article 1 shall maintain asystem of accounting for and control of nuclear materials. This systemshall include accounting and operating records and, in particular, infor-mation on the quantities, nature, form and composition of thesematerials in accordance with the requirements of Article 21, their
actuallocation,theparticularsafeguardingobligation,andthewayin
which the persons for undertakings concerned have stated that theyintend to use such materials, in accordance with their own decisions,as well as the shipper or recipient when materials are transferred.
The system of measurements on which the records are based shall
comply with the most recent international standards or shall be equiva-
lentinqualityto thosestandards.Onthebasisoftheserecordsitmust
be possible to establish and justify the communications addressed tothe Commission in the form and at the intervals laid down in Articles12 to 21. Records shall be retained for a period of at least five years.
ACCOUNTINGRECORDS
Article 10
The accounting records shall show in respect of each material balance
area:
(a)allinventorychanges,soastopermitadeterminationofthebook
inventory at any time;
(b) all measurement and counting results that are used for determina-
tion of the physical inventory;
(c) all corrections that have been made in respect of inventory
changes, book inventories and physical inventories.
For all inventory changes and physical inventories the accountingrecords shall show, in respect of each batch of nuclear material, mate-
rial identification, batch data and source data. These records shallaccount separately for uranium, thorium and plutonium in each batchof nuclear material. Moreover for each inventory change, the date ofthe inventory change and, when appropriate, the dispatching materialbalance area and the receiving material balance area or the recipient,
shall be indicated.
OPERATINGRECORDS
Article 11
The operating records shall include, if appropriate, for each material
balance area:
(a)thoseoperatingdata whichareusedtoestablishchangesinthe
quantitiesandcompositionofthenuclearmaterial;1976R3227 — EN — 15.08.1993 — 001.001 — 5
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(b) the data obtained from the calibration of tanks and instruments and
from sampling and analysis, the procedures to control the quality ofmeasurements and the derived estimates of random and systematic
error;
(c) description of the sequence of actions taken in preparing for, and in
taking, a physical inventory in order to ensure that it is correct andcomplete;
(d) a description of the actions taken in order to ascertain the cause
and magnitude of any accidental or unmeasured loss that might
have occurred.
ACCOUNTINGANDSPECIALREPORTS
Article 12
The persons and undertakings referred to in Article 1 shall provide the
Commission with accounting reports and, when appropriate, with
special reports.
The accounting reports shall set forth the information available on the
date of reporting and must be corrected at a later date if necessary.
On a reasoned request by the Commission, further details or explana-
tions in connection with these reports shall be supplied normally
within three weeks of that request.
Initialinventory
Article 13
The persons and undertakings referred to in Article 1 shall transmit to
the Commission an initial book inventory of all nuclear materials
which for any reason they have in their possession within 15 days ofthe last day of the month in which this Regulation comes into force.This inventory shall describe the situation on the last day of thatmonth. The form set out in Annex IV to this Regulation shall be usedfor this purpose.
Inventorychangereport
Article 14
For each material balance area, the persons and undertakings referred
to in Article 1 shall transmit to the Commission inventory changereports in respect of all nuclear materials in accordance with the
specimen set out in Annex II. The reports shall identify the materials
and give batch data for each batch thereof, the date of the inventorychange and, when appropriate, the dispatching material balance areaand the receiving material balance area or the recipient.
The reports concerning transfers shall also indicate for receipts the
intended use, pursuant to Article 9, and for dispatches the use madeof the nuclear materials in the reporting installation. Unless otherwisedefined in the ‘particular safeguard provisions’ referred to in Article
7, no declaration of use is mandatory for transfers between different
material balance areas of the same installation.
These reports showing inventory changes, book inventories and correc-
tions shall be sent as soon as possible and, in any case, within 15 days
after the end of the month in which the inventory changes occur or areknown, either periodically in a consolidated list or individually. Formonths in which no inventory changes occur, the persons or undertak-ings concerned may simply send in the form intended for the inventory
change report carrying the indication that the situation remained
unchanged. Small inventory changes, such as transfers of samples forpurposes of analysis, may be grouped, as laid down in the ‘particularsafeguard provisions’ referred to in Article 7 for the installationconcerned, in order that they may be reported as a single inventorychange.1976R3227 — EN — 15.08.1993 — 001.001 — 6
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Article 15
The reports referred to in Article 14 shall be accompanied by concise
notes:
(a) explaining the inventory changes on the basis of the operating data
contained in the operating records provided for in Article 11 (a) ofthis Regulation;
(b) describing as specified in the ‘particular safeguard provisions’
referred to in Article 7, the planned operational programme forthe installation concerned and, in particular, the taking of aphysical inventory.
If the required information is contained in documents which alreadyexist, copies of such documents may take the place of the concise
notes.
Material balancereportandphysicalinventorylisting
Article 16
For each material balance area, the persons and undertakings referred
to in Article 1 shall transmit to the Commission, in accordance withthe specimen set out in Annex III to this Regulation, material balancereports showing:
(a) beginning physical inventory;
(b) inventory changes (first increases, then decreases);
(c) ending book inventory;
(d) ending physical inventory;
(e) material unaccounted for.
A physical inventory, in accordance with the specimen set out in
Annex IV, listing all batches separately giving, inter alia , identification
of the materials and giving batch data for each batch thereof and the
use, pursuant to Article 9, which the persons or undertakings concernedintend to make of the materials, shall he attached to each materialbalance report.
These reports shall be transmitted as soon as possible and in any case
within 30 days from the date on which a physical inventory was taken,
unless otherwise specified in the ‘particular safeguard provisions’
referred to in Article 7.
Specialreports
Article 17
The persons and undertakings referred to in Article 1 shall transmit tothe Commission a special report whenever the circumstances
mentioned in Articles 18 and 27 arise.
The type of information to be dealt with in such reports shall be speci-
fied in the ‘particular safeguard provisions’ referred to in Article 7.
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 18
A special reportmustbe made wit houtdelay:
(a) if, as a resultof any unusual incidentor circumst ances, itis
believed that there has been or might be a loss of nuclear materialin excess of the limits specified for these purposes in the ‘particularsafeguardprovisions’referredtoinArticle7;or
(b) if the containment has unexpectedly changed from that specified in
the ‘particular safeguard provisions’ referred to in Article 7, to a1976R3227 — EN — 15.08.1993 — 001.001 — 7
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point where an unauthorized removal of nuclear material has
become possible.
The abovementioned obligations shall devolve upon the persons andundertakings concerned as soon as they have become aware of any
such loss or sudden change in the containment conditions, or of
anything which leads them to believe that there has been such anoccurrence. The causes shall also be stated as soon as they are known.
Detailedrulesofapplication
Article 19
In respect of reactors, the obligations laid down in Articles 10 to 16shall apply under the following conditions.
As far as nuclear transformations are concerned, calculated data will be
reported in the inventory change report at the latest when irradiatedfuel is transferred from the reactor material balance area. In addition,
where appropriate, other procedures for recording and reporting nuclear
transformations shall be specified in the ‘
particular safeguardprovisions’
referred toinArticle7.
Article 20
Nuclear materials subject to particular safeguard obligations entered
into by the Community in an Agreement concluded with a non-
Member State or an international organization shall, unless otherwisestipulated by such Agreement, be identified separately for each obliga-tion in the following notifications:
(a) initial book inventory (Article 13);
(b) inventory change reports, but excluding book inventories (Article
14);
(c) physical inventory listings (Article 16); and
(d) intended imports and exports (Articles 24 and 25).
Unless specifically prohibited in the Agreement referred to above, such
separation shall not preclude the physical mixing of materials.
This Article shall not apply to the Agreement or to any other Agree-
ment concluded by the Community and a Member State with theInternational Atomic Energy Agency.
Article 21
(a) In any notification referred to in this Regulation, quantities of
source materials shall be expressed in kilogrammes and quantitiesof special fissile materials in grammes.
(b) The corresponding material accounting records shall be kept in the
units referred to in (a) of this Article 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.
(c) In the notifications provided for above, quantities may be rounded
down to the nearest unit when the first decimal is 0 to 4 androunded up when the first decimal is 5 to 9.
(d) Unless otherwise provided for in the ‘particular safeguard provi-
sions’ referred to in Article 7:
(i) notifications shall indicate the total weight of the elements
contained: uranium, thorium or plutonium and also, forenriched uranium, the total weight of the fissile isotopes. Theisotopic composition of plutonium, if recorded at the installa-
tion for operational needs, shall be made available to the
Commission on request;
(ii) separate line entries in inventory change reports and in physical
inventory listings and separate material balance reports must beused for the following categories of nuclear material:
— depleted uranium,1976R3227 — EN — 15.08.1993 — 001.001 — 8
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— natural uranium,
— uranium enriched up to 20 %,— uranium enriched above 20 %,— plutonium,
— thorium.
DEROGATIONSANDEXEMPTIONS
Article 22
(a) In order to take account of any particular circumstances in which
safeguarded materials are used or produced, the Commission may,
in the ‘particular safeguard provisions’ referred to in Article 7,grant producers and users of nuclear materials a derogation fromthe rules governing the form and frequency of notification providedfor in this Regulation.
The Commission may so decide especially in the case of installa-
tions holding only small quantities which are kept in the same
state for long periods.
(b) At the request of the persons or undertakings concerned in accor-
dance with the form set out in Annex VIII, the Commission mayexempt the following materials from declaration, provided that
they are not processed or stored together with non-exemptednuclear materials:
— special fissile materials which are used in quantities of the order
of a gramme or less as sensing components in instruments,
— plutonium with an isotopic concentration of plutonium-238 in
excess of 80 %,
— nuclear materials which are used exclusively in non-nuclear
activities.
If the conditions for exemption cease to be fulfilled, the exemption
shall be rescinded. The person or undertaking concerned shall
inform the Commission in accordance with the form set out in
Annex IX that the conditions for exemption no longer exist.
Article 23
This Regulation shall not apply to holders of finished products used fornon-nuclearpurposeswhichincorporatenuclearmaterialsthatare
virtually irrecoverable.
PART III
TRANSFERS:IMPORTS/EXPORTS
Article 24
(a) The persons and undertakings referred to in Article 1 which export
source or special fissile materials to a non-Member State shall give
advance notification to the Commission of every such export. Simi-larly, advance notification shall be given to the Commission:
— in the case of any export from a Member State party to the
Agreement to a Member State not party to the Agreement; and
— in the case of any export from the United Kingdom to a
Member State party to the Agreement.
However, advance notification is required only:
(i)wheretheconsignmentexceedsoneeffectivekilogramme;
(ii) where the ‘particular safeguard provisions’ referred to in
Article 7 so specify, in the case of installations habitually trans-
ferring large total quantities of materials to the same State,even though no single consignment exceeds ode effective kilo-
gramme.
(b) Such notification shall be given after the conclusion of the contrac-
tual arrangements leading to the transfer and in any cafe in time to1976R3227 — EN — 15.08.1993 — 001.001 — 9
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reach the Commission eight working days before the material is to
be prepared for shipment.
(c) Such notification shall be given in accordance with the form set out
in Annex V to this Regulation and shall state, inter alia ,
— the identification and, if possible, the expected quantity and
composition of the material to be transferred, and the materialbalance area from which itwill come,
— the State to which the nuclear material is to be sent,
— the dates on and locations at which the nuclear material will be
prepared for shipment,
— the approximate dates of dispatch and arrival of the nuclear
material,
— the use which the persons or undertakings concerned had made
of the nuclear material.
(d) If so required for reasons of physical protection, special arrange-
ments concerning the form and transmission of such notification
may be agreed upon with the Commission.
Article 25
(a) The persons and undertakings referred to in Article 1 which import
source or special fissile materials from a non-member State shallgive advance notification to the Commission of every such import.
Similarly, advance notification shall be given to the Commission:
— in the case of any import into a Member State party to the
Agreement from a Member State not party to the Agreement,
and
— in the case of any import into the United Kingdom from a
Member State party to the Agreement.
However, advance notification is required only:
(i)wheretheconsignmentexceedsoneeffectivekilogramme;
(ii)wherethe‘particularsafeguardprovisions’referredtoin
Article 7 so specify, in the case of installations to which largetotal quantities of materials are habitually transferred from thesame State, even though no single consignment exceeds one
effective kilogramme.
(b) Such notification shall be given as far in advance as possible of the
expected arrival of the nuclear material and, in any case, on the
date of receipt and in time to reach the Commission five workingdays before the material is unpacked.
(c) Such notification shall be given in accordance with the form set out
in Annex VI and shall state, inter alia :
— the identification and, if possible, the expected quantity and
composition of the material,
— the expected date of arrival, the location where and the date on
which the nuclear material is expected to be unpacked.
(d) If so required for reasons of physical protection, special arrange-
ments concerning the form and transmission of such notificationmay be agreed upon with the Commission.
Article 26
When persons or undertakings not subject to Article 1 decide to exportor import nuclear materials referred to in Articles 24 and 25, these
persons or undertakings are required to make the notifications foreseen
in Articles 24 and 25.
Article 27
A special report as provided for in Article 17 shall be prepared by thepersons or undertakings covered by Articles 24 and 25 if, followingexceptional circumstances or an incident, they have received informa-tion that nuclear materials have been or appear to be lost, particularlywhen there has been a considerable delay during transfer. In the same1976R3227 — EN — 15.08.1993 — 001.001 — 10
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circumstances persons or undertakings covered by Article 26 are also
required to inform the Commission.
Article 28
Any change of date in the preparation for shipment, in the shipment or
in the unpacking of nuclear materials with respect to the dates given inthe notifications provided for in Articles 24 and 25, but not a change
that gives rise to special reports, shall be communicated without delay,
with an indication of the revised dates, if known.
PART IV
SPECIFICPROVISIONS
OREPRODUCERS
Article 29
Any person or undertaking extracting ores on the territory of a Member
State shall keep accounting records thereof. These records must indi-cate, in particular, the tonnage and average uranium and thorium
content of the ore extracted and of the stock at the mine, and proof of
shipment, stating the date, consignee, and quantity. Such records shallbe keptfor atleastfive years.
Article 30
No later than the end of January each year, producers of ores shall
inform the Commission, in accordance with the form set out in AnnexVII, of the amount of material dispatched from each mine during theprivious year.
Article 31
Any person or undertaking exporting ores to non Member States shall
inform the Commission thereof, in accordance with the form set out inAnnex VII, on the actual date of dispatch.
CARRIERS
Article 32
Any person or undertaking engaged, within the territories of the
Member States, in carrying or temporarily storing source or specialfissile materials during shipment may accept them or hand them overonly against a duly signed and dated receipt. This shall state the names
of the parties handing over and receiving the materials and the quanti-
ties carried, together with the nature, form and composition of thematerials.
If so required for reasons of physical protection, the specification of the
materials transferred may be replaced by a suitable identification of the
consignment. Such identification shall be traceable to records held bythe persons and undertakings referred to in Article 1 and showing thespecification mentioned.
Such documents shall be kept by the contracting parties for at least one
year.
Article 33
Documents and papers already held and compiled by persons or under-
takings in accordance with existing regulations which apply to them onthe territory of the Member States in which they operate may take theplace of the documents and receipts provided for in Article 32,provided that such documents and papers contain all the required infor-mation.1976R3227 — EN — 15.08.1993 — 001.001 — 11
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INTERMEDIARIES
Article 34
Every intermediary whatsoever, in particular authorized agents,
brokers, commission or business agents, taking part in the conclusion
of any contract for the supply of nuclear materials shall keep all docu-ments relating to the transactions performed by him or on his behalf forat least one year after the expiry of the contract. Such documents shallmention the names of the contracting parties, the date of the contract,
the quantity, nature, form and composition together with the origin and
destination of the materials.
TRANSMISSIONOFINFORMATIONANDDATA
Article 34a
The Commission may transmit to the International Atomic EnergyAgency information and data obtained pursuant to this Regulation.
PART V
SPECIFIC PROVISIONS APPLICABLE IN THE TERRITORIES
OF MEMBERSTATES WHICH AR E NUCLEARWEAPON
STATES
Article 35
1. The provisions of this Regulation shall not apply:
(a) to installations or parts of installations which have been assigned to
meet defence requirements and which are situated on the territoryof a Member State not party to the Agreement; or
(b) to nuclear materials which have been assigned to meet defence
requirements by that Member State.
2. For nuclear materials, installations or parts of installations which
are liable to he assigned to meet defence requirements and which aresituated on the territory of a Member State not party to the Agreement,theextentoftheapplicationofthisRegulationandtheproceduresunder it shall be defined by the Commission in consultation and inagreement withtheMemberStateconcerned,takingintoaccountthe
provisions of the second paragraph of Article 84 of the Treaty.
3. It is understood in any event that:
(a) the provisions of Articles 1 to 4, 7 and 8 shall apply to installations
or parts of installations which at certain times are operated exclu-
sively with nuclear materials liable to be assigned to meet defence
requirements but at other times are operated exclusively with civil
nuclear materials;
(b) the provisions of Articles 1 to 4, 7 and 8 shall apply, with excep-
tions for reasons of national security, to installations or parts ofinstallations to which access could be restricted for such reasonsbut which produce, treat, separate, reprocess or use in any otherway simultaneously both civil nuclear materials and nuclear mate-rials assigned or liable to be assigned to meet defencerequirements;
(c) the provisions of Articles 6, and 9 to 37 shall apply in relation to
all civil nuclear materials situated in installations or parts of instal-lations as referred to in subparagraphs (a) and (b) above.1976R3227 — EN — 15.08.1993 — 001.001 — 12
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PART VI
FINALPROVISIONS
DEFINITIONS
Article 36
For the purposes of this Regulation:
(a) ‘The Agreement’ means the Agreement concluded on 5 April 1973
between the Kingdom of Belgium, the Kingdom of Denmark, the
Federal Republic of Germany, Ireland, the Italian Republic, theGrand Duchy of Luxembourg, the Kingdom of the Netherlands
and the European Atomic Energy Community (Euratom) with the
International Atomic Energy Agency, in implementation of para-graphs1and4ofArticleIII oftheTreatyonthenon-proliferation of nuclear weapons.
(b) ‘Member State party to the Agreement’ means the Kingdom of
Belgium, the Kingdom of Denmark, the Federal Republic ofGermany, Ireland, the Italian Republic, the Grand Duchy ofLuxembourg or the Kingdom of the Netherlands.
(c) ‘Member State not party to the Agreement’ means France or the
United Kingdom.
(d) ‘Non-Member State’ means any State which is not a member of
the European Atomic Energy Community.
(e) ‘Special fissile materials’ means plutonium-239; uranium-233;
uranium enriched in uranium-235 or uranium-233, and anysubstance containing one or more of the foregoing isotopes andsuch other fissile materials as may be specified by the Council,acting by a qualified majority on a proposal from the Commission;the expression ‘special fissile materials’ does not; however,include source materials nor ores or ore waste.
(f) ‘Uranium enriched in uranium-235 or uranium-233’ means
uranium containing uranium-235 or uranium-233 or both in anamount such that the abundance ratio of the sum of these isotopes
to isotope 238 is greater than the ratio of isotope 235 to isotope
238 occurring in nature. ‘Enrichment’ means the ratio of thecombined weight of uranium-233 and uranium-235 to the totalweight of the uranium under consideration.
(g) ‘Source materials’ means uranium containing the mixture of
isotopes occurring in nature; uranium whose content in uranium-235 is less than the normal; thorium; any of the foregoing in theform of metal, alloy; chemical compound or concentrate; any othersubstance containing one or more of the foregoing in such aconcentration as shall be specified by the Council, acting by a
qualified majority on a proposal from the Commission, and any
other material which the Council may determine, acting by aqualified majority on a proposal from the Commission. The words
'sourcematerials'shallnotbetakentoincludeoresororewaste.
(h) ‘Ores’ means any ore containing, in such average concentration as
shall be specified by the Council acting by a qualified majority on
a proposal from the Commission, substances from which thesource materials defined above may be obtained by the appropriatechemical and physical processing.
(i) ‘Nuclear materials’ means any ore, source and special fissile mate-
rial as defined in paragraphs (e), (f), (g) and (h) above.
(j) ‘Nature’ of a material means natural uranium, depleted uranium,
uranium enriched in uranium-235 or uranium-233, thorium orplutonium, depending on the case.
(k) ‘Batch’ means a portion of nuclear material handled as a unit for
accounting purposes at a key measurement point and for which thecomposition and quantity are defined by a since set of specifica-tions or measurements. The nuclear material may be in bulk formor contained in a number of identifiable items.1976R3227 — EN — 15.08.1993 — 001.001 — 13
▼B
(l) ‘Batch data’ means the total weight of each element of nuclear
material and, in the case of plutonium and uranium, the isotopic
composition when appropriate. For reporting purposes the weights
ofindividualitemsinthebatchshallbeaddedtogetherbefore
rounding to the nearest unit.
(m) ‘Book inventory’ of a material balance area means the algebraic
sum of the most recent physical inventory of that material balancearea and of all inventory changes that have occurred since thatphysical inventory was taken.
(n) ‘Correction’ means an entry in an accounting record or a report to
rectify an identified mistake or to reflect an improved measure-ment of a quantity previously entered into the record or report.Each correction must identify the entry to which it pertains.
(o) ‘Effective kilogramme’ means a special unit used in safeguarding
nuclear material. The quantity in effective kilogrammes is obtainedby taking:
(i)    forplutonium,itsweightinkilogrammes;
(ii)   foruraniumwithanenrichmentof0·01(1%)andabove,its
weightinkilogrammesmultipliedbythesquareofits enrich-
ment;
(iii)foruraniumwithanenrichmentbelow0·01(1%)andabove
0·005(05%),itsweightinkilogrammesmultipliedby 0·0001;
and
(iv)fordepleteduraniumwithanenrichmentof0·005(05%)or
below, and for thorium, its weight in kilogrammes multiplied
by0·00005.
(p) ‘Inventory change’ means an increase or decrease, in terms of
batches, of nuclear material in a material balance area.
(q) ‘Key measurement point’ means location where nuclear material
appears in such a form that it may be measured to determine mate-rial flow or inventory. Key measurement points thus include, but
are not limited to, inputs and outputs (including measured
discards) and storages in material balance areas.
(r) ‘Material balance area’ means an area such that:
(i) thequantityofnuclearmaterialineachtransferintooroutof
each material balance area can be determined; and
(ii)thephysicalinventoryofnuclearmaterialineachmaterial
balance area can be determined when necessary in accordancewith specified procedures,
in order that the material balance may be established.
(s) ‘Material unaccounted for’ means the difference between physical
inventory and book inventory.
(t) ‘Physical inventory’ means the sum of all the measured or derived
estimates of batch quantities of nuclear material on hand at a giventime within a material balance area, obtained in accordance withspecified procedures.
(u) ‘Shipper/receiver difference’ means the difference between the
quantity of nuclear material in a batch as stated by the shippingmaterial balance area and as measured at the receiving materialbalance area.
(v) ‘Source data’ means those data, recorded during measurement or
calibration or used to derive empirical relationships, which identifynuclear material and provide batch data. Source data may include,for example, weight of compounds, conversion factors to deter-
mine weight of element, specific gravity, element concentration,
isotopic ratios, relationship between volume and manometer read-ings and relationship between plutonium produced and powergenerated.
(w) ‘Strategic point’ means a location selected during examination of
design information where, under normal conditions and whencombined with the information from all ‘strategic points’ takentogether, the information necessary and sufficient for the imple-mentation of safeguard measures under the Agreement is obtained1976R3227 — EN — 15.08.1993 — 001.001 — 14
▼B
and verified; a strategic point' may include any location where key
measurements related to material accountancy are made and wherecontainment and surveillance measures are executed.
INSTALLATIONS CONTROLLED FROM OUTSIDE THE COMMU-
NITY
Article 37
Where an installation is controlled by a person or undertaking estab-lished outside the Community, any obligations imposed by thisRegulation shall devolve upon the local management of the installation.
ANNEXES
Article 38
The Annexes to this Regulation form an integral part thereof. The
Commission may make minor technical adjustments thereto.
ENTRYINTOFORCE
Article 39
This Regulation shall enter into force 15 days after its publication in
theOfficial Journal of the European Communities .
Without prejudice to Article 40, Commission of the European AtomicEnergy Community Regulations No 7 and No 8 are hereby repealed.
Article 40
Articles 9 to 16, 19 and 21 of this Regulation shall apply as from theadoptionofthe'particularsafeguardprovisions'referredtoinArticle7.
Until the adoption of those provisions, Articles 2, 5, 7, 8 and 10 of the
abovementioned Regulation No 8 shall continue to apply.
This Regulation shall be binding in its entirety and directly applicable
in all Member States.1976R3227 — EN — 15.08.1993 — 001.001 — 15
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ANNEX I
QUESTIONNAIRE FOR THE DECLARATION OF THE BASIC TECH-
NICALCHARACTERISTICSOFTHEINSTALLATIONS
A.REACTORS
D a te… ....................
IDENTIFICATION OF THE INSTALLATION
1. Name.
2. Location, exact address with telephone and telex numbers.
3. Owner (legally responsible body or individual).
4. Operator (legally responsible body or individual).5. Present status (in operation or expected date of entry into operation).6. Purpose and type of installation.7. Operating mode of installation influencing its throughput. (Shift system
adopted, approximate dates of operating periods in year, etc.)
8. Layout of installation site. Map showing perimeters and premises of the
installation in the form of a site layout; buildings, roads, rivers, railways,
etc.
9. 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 material waste disposal.
10. Additional main installation data:
(a) rated thermal output per reactor for continuous operation;
(b) source and special fissionable material;
(c) initial core enrichments;
(d) moderator;
(e) coolant.
GENERAL ARRANGEMENT OF THE INSTALLATION, INCLUDING
FEATURES RELATING TO MATERIAL ACCOUNTANCY, CONTAIN-
MENT AND SURVEILLANCE
Descriptionofnuclearmaterial (*)
11. Fuel element and/or assembly outline drawing in sufficient detail to indicate
general structure with overall dimensions. (Element is the smallest
contained fuel unit; assembly is the combination of elements to a handling1976R3227 — EN — 15.08.1993 — 001.001 — 16
(*) Items 11 to 14 are to be answered for each type of assembly in the installation. Termi-
nology consistent with item 11 should be used.
NB.: 1. Pursuant to Article 79 of the Treaty those subject to safeguard require-
ments shall notify the authorities of the Member State concerned of any
communication they make to the Commission pursuant to Article 78.
2. The reply ‘not applicable’ can be given to questions which are not
applicable. The Commission is still entitled to request any additionalinformation it considers necessary in connection with the relevant ques-
tionnaire.
This questionnaire, duly completed and signed, shouldbe forwarded to the
Commission of the European Communities, Euratom Safeguards Directo-
rate, ‘Jean Monnet’ Building, Kirchberg, Luxembourg (Grand Duchy of
Luxembourg).
▼B
unitsuch as clust er or bundle. Provisions for elementexchange should be
shown if applicable and indication given if this is a routine operation.)
12. Fuel material (including material in control or shim assemblies if applic-
able):
(a) chemical composition or major alloy constituents;
(b) average enrichmentper assembly;
(c) nominal weight of fuel material per assembly with design tolerances.
13. Cladding material.
14. Method of identifying individual fuel elements and/or assemblies if applic-
able.
15. Other nuclear material used in the installation (state briefly material,
purpose and way of using material, e.g. booster rods).
Flowofnuclearmaterial16. Flowsheet showing points where nuclear material is identified or measured,
material balance areas and inventory locations used for material accoun-
tancy and estimated range of inventories of nuclear material in these areas
under normal operating conditions.
17. Expected nominal fuel cycle data including (as applicable):
(a) reactor core loading;
(b) expected burn-up;
(c) annual refuelling amount;
(d) refuelling interval (on-load or off-load);
(e) approximate forecast of throughput and inventory and of receipts and
shipments.
Handlingofnuclearmaterial18. Layoutand general arrangementdrawings of fresh fuel st orage, and descrip-
tion of packaging.
19. Layoutand general arrangementdrawings of fresh fuel preparat ion and/or
assay room and reactor loading area.
20. General arrangementdrawings of fuel t ransfer equipmentfor fresh and irra-
diated fuel, including refuelling machines or equipment.
21. General arrangement drawing of reactor vessel, location of core and open-
ings in vessel, method of fuel handling in vessel.
22. Sketch of core showing the general disposition, lattice, form, pitch and
dimensions of core, reflector, location, shapes and dimensions of control
elements, experimental and/or irradiation positions.
23. Number and size of channels for fuel elements or assemblies and for control
elements in the core.
24. Spentfuel st orage:
(a) general arrangement drawings of storage site;
(b) method of storage;
(c) design capacity of storage;
(d) equipmentfor handling irradiat ed fuel;
(e) minimum cooling time before shipment of irradiated fuel;
(f) drawing and description of shipping cask for irradiated fuel (as required
to explore the possibility of sealing).
25. Nuclear material testing area (if applicable):
(a) brief description of the nature of the activities performed;
(b) description of major equipment (e.g. hot cell, fuel element decladding
and dissolution equipment);
(c) description of shipping containers for nuclear material and packaging of
waste and scrap (as required to explore the possibility of sealing);
(d) storage of unirradiated and irradiated nuclear material;
(e) layoutand general arrangementdrawings for t he above, if notcovered
elsewhere.1976R3227 — EN — 15.08.1993 — 001.001 — 17
▼B
Coolantdata
26. Coolant flow diagrams as required for heat balance calculations (indicating
pressure, temperatures and mass flow rates at major points).
NUCLEAR MATERIAL ACCOUNTANCY AND CONTROL
Accountancysystem
27. Nuclear material control and accountancy system (describe item and/or
mass accountancy system, including relevant assay measurement methods
used with assessed accuracies, supplying specimen blank forms used in all
control and accountancy procedures). Length of preservation of such records
should be stated.
Physicalinventory
28. Description of procedures, scheduled frequency, methods of operator's
physical inventory taking (both for item and/or mass accountancy including
main assay methods), 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 SAFE-
GUARDS
29. Organization of material accountancy and control.
30. Information on the health and safety rules which have to be observed and
with which the inspectors must comply at the installation.1976R3227 — EN — 15.08.1993 — 001.001 — 18
▼B
B.CRITICAL(ANDZEROENERGY)INSTALLATIONS
D a te… ....................
IDENTIFICATION OF THE INSTALLATION
1. Name.
2 Location, exact address with telephone and telex numbers.
3. Owner (legally responsible body or individual).4. Operator (legally responsible body or individual).
5. Present status (in operation or expected date of entry into operation).
6. Purpose and type' of installation.7. Operating mode of installation influencing its throughput. (Shift system
adopted, approximate dates of operating periods in year, etc.)
8. Layout of installation site. Map showing perimeters and premises of the
installation in the form of site layout; buildings, roads, rivers, railways, etc.
9. 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 (*)
10. Additional main installation data (*):
(a) maximum expected operating power and/or neutron flux;
(b) main type(s) of nuclear material and enrichment;
(c) moderator;
(d) reflector, blanket;
(e) coolant.
GENERAL ARRANGEMENT OF THE INSTALLATION, INCLUDING
FEATURES RELATING TO MATERIAL ACCOUNTANCY, CONTAIN-
MENT AND SURVEILLANCE
Descriptionofnuclearmaterial
11. Description by means of drawings or otherwise of all nuclear material in the
installation showing:
(a) all types of units including normal handling units;
(b) chemical composition or main alloy constituents;
(c) form and dimensions;
(d) enrichment;
(e) nominal weight of nuclear material with design tolerances
(f) cladding material; and
(g) method(s) of identifying units.
Locationandhandlingofnuclearmaterial
12. Description by means of layout and general arrangement drawings or other-
wise of:
(a) nuclear material storage and assembly areas and critical assembly(ies)
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 of nuclear material.
13. Sketch of critical assembly core showing core support structure, shielding
and heat removal arrangements with description (to be provided for each
critical assembly if more than one in the installation).1976R3227 — EN — 15.08.1993 — 001.001 — 19
(*) To be provided for each critical assembly if more than one in the installation.
▼B
NUCLEAR MATERIAL ACCOUNTANCY AND CONTROL
Accountancysystem
14. Description of the nuclear material control and accountancy system
(describe item and/or mass accountancy system, including main assay
methods used with assessed accuracies), supplying specimen blank formsused in all control and accountancy procedures. Length of preservation of
such records should be stated.
Physicalinventory
15. Description of procedures, scheduled frequency, methods of operator's
physical inventory taking (both for item and/or mass accountancy including
main assay methods), 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 SAFE-
GUARDS
16. Organization of material accountancy and control.
17. Information on the health and safety rules which have to be observed and
with which the inspectors must comply at the installation.1976R3227 — EN — 15.08.1993 — 001.001 — 20
▼B
C.CONVERSION,FABRICATIONANDREPROCESSINGPLANTS
D a te… ....................
IDENTIFICATION OF THE INSTALLATION
1. Name.
2. Location, exact address with telephone and telex numbers.3. Owner (legally responsible body or individual).
4. Operator (legally responsible body or individual).
5. Present status (in operation or expected date of entry into operation).
6. Purpose and type of installation.
7. Operating mode of installation influencing its throughput. (Shift system
adopted, approximate dates of operating times in year, etc.)
8. Layout of installation site. Map showing perimeters and premises of the
installation in the form of a site layout; buildings, roads, rivers, railways,
etc.
9. Layout of installation:
(a) structural containment, fences and access routes;
(b) routes followed by nuclear material;
(c) incoming nuclear material storage;
(d) each main processing area and process laboratory;
(e) test or experimental areas;
(f) outgoing nuclear material storage;
(g) waste disposal facilities;(h) analytical laboratory.
GENERAL ARRANGEMENT OF THE INSTALLATION, INCLUDING
FEATURES RELATING TO MATERIAL ACCOUNTANCY, CONTAIN-
MENT AND SURVEILLANCE
Flow,locationandhandlingofnuclearmaterial
10. Flowsheet showing points where nuclear material is identified or measured,
material balance areas and inventory locations used f6r material accoun-
tancy and estimated range of inventories of nuclear material in these areas
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 ship-
ments.
11. In addition to item 10 above, feed storage areas for reprocessing plants
should be described by a general arrangementdrawing showing:
(a) locations for fuel elements and handling equipment;
(b) type of fuel elements including nuclear material content and enrich-
ment.
12. In addition to item 10 above, the description of the recycle stage of the
process should include if available:
(a) duration of temporary storage;
(b) schedules for external recycling (if applicable).
13. In addition to item 10 above, the description of the discard stage of the
process should include the discard method (disposal or storage).
14. Under equilibrium conditions for each flowsheet referred to in items 10 and
16 and assuming the modes of operation in item 7, state:
(a) the nominal throughput per year;
(b) the in-process inventory based on design capacity.
15. Describe the normal procedures adopted for complete or partial clean-out of
the plant. Include description of special sampling and measurement points1976R3227 — EN — 15.08.1993 — 001.001 — 21
▼B
associated with the clean-out procedure and subsequent physical inventory
taking, if not described in item 10 above.
Descriptionofnuclearmaterial
16. Describe, by means of flowsheets or otherwise, the estimated flow and
inventory of all nuclear material for storage and process areas. The descrip-tion should include:
(a) physical and chemical form;
(b) content range or expected upper limits for each category of solid or
liquid discard material;
(c) enrichmentrange.
NUCLEAR MATERIAL ACCOUNTANCY AND CONTROL
Accountingsystem
17. Description of the accountancy system used to record and report accoun-
tancy data and establish material balances, supplying specimen forms used
in all procedures. Length of preservation of such records should be stated.
18. Indicate when and how often material balances are made, including any
during campaigns. Describe method and procedure for adjustment of
accounts after a physical inventory taking.
19. Describe procedure for handling shipper/receiver differences and method of
adjustment of accounts.
20. Describe procedure for making corrections to accounts due to procedural or
clerical mistakes and the effect on shipper/receiver differences, if applic-
able.
Physicalinventory
21. Reference is made to item 15. Identify the items of equipment on the flow-
sheets of items 10 and 16 to be regarded as containers for nuclear material
under physical inventory conditions. State the timing of physical inventory
taking during the campaign.
Methodsformeasurement,samplingandanalysis
22. Method of establishing each measurement at the point indicated should be
described; equations or tables used and calculations made to determine
actual quantities of weights or volumes should be identified. Recording of
data automatically or manually should be stated. Method of and practical
procedures for sampling for each pointindicat ed should be described.
23. Analytical methods used for accountancy purposes should be described.
Reference to a manual or report would be suitable.
Controlofmeasurementaccuracy24. Describe measurement quality control programme relevant for material
accounting 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 cali-
brating the measuring equipment referred to in item 23; type and quality of
standards used for analytical methods referred to in item 23; type of analy-
tical equipment used, method of calibration and frequency.
Statisticalevaluation
25. Describe methods of statistical evaluation of data accumulated in measure-
ment control programmes for the evaluation of precision and accuracy of
measurements and the estimation of measurement uncertainty (i.e. determi-
nation of the random and systematic errors of the measurements and the
associated limits of error; statistical procedures used to combine individual
measurement error estimates to obtain the overall limits of error for SIR
differences, the book inventory, the physical inventory and MUF).
OTHER INFORMATION RELEVANT TO APPLICATION OF SAFE-
GUARDS
26. Organization of material accountancy and control.27. Information on the health and safety rules which have to be observed and
with which the inspectors must comply at the installation.1976R3227 — EN — 15.08.1993 — 001.001 — 22
▼B
D.STORAGEINSTALLATIONS (*)
D a te… ....................
IDENTIFICATION OF THE INSTALLATION
1. Name.
2. Location, exact address with telephone and telex numbers.
3. Owner (legally responsible body or individual).4. Operator (legally responsible body or individual).5. Present status (in operation or expected date of entry into operation).
6. Purpose and type of installation.
7. Layout of installation. Structural containment, fences and access routes, if
appropriate.
GENERAL ARRANGEMENT OF THE INSTALLATION, INCLUDING
FEATURES RELATING TO MATERIAL ACCOUNTANCY, CONTAIN-
MENT AND SURVEILLANCE
Descriptionofnuclearmaterial
8. Description by means of drawings or otherwise of all nuclear material in the
installation showing:
(a) all types of units including normal handling units;
(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 units.
Locationsandhandlingofnuclearmaterial
9. Description by means of layout and general arrangement drawings or other-
wise 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 CONTROLAccountancysystem10. Description of the nuclear material control and accountancy system
(describe item and/or mass accountancy system, including main assay
methods used with assessed accuracies), supplying specimen blank forms
used in all control and accountancy procedures.
Physicalinventory
11. Description of procedures, scheduled frequency, methods of 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 SAFE-GUARDS
12. Organization of material accountancy and control.
13. Information on the health and safety rules which have to be observed and
with which the inspectors must comply at the installation.1976R3227 — EN — 15.08.1993 — 001.001 — 23
(*) Separate installations not normally associated with enrichment, conversion, fabrica-
tion,reactors,andchemicalreprocessingandrecoveryinstallations.
▼B
E.ISOTOPESEPARATIONPLANTS
D a te… ....................
IDENTIFICATION OF THE INSTALLATION
1. Name.
2. Location, exact address with telephone and telex numbers.3. Owner (legally responsible body or individual).4. Operator (legally responsible body or individual).5. Present status (in operation or expected date of entry into operation).6. Building schedule (if installation not in operation):
(a) date building starts;
(b) date of installation acceptance;
(c) commissioning date.
7. Purpose and type of installation (nominal separation capacity, enrichment
facilities, etc.).
8. Operating mode of installation influencing its throughput. (Shift system
adopted, approximate dates of operating times in year, etc.)
9. Layout of installation site. Map showing perimeters and premises of the
installation in the form of a site layout; buildings, roads, rivers, railways,
etc.
10. 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;
(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;
(h) waste disposal facilities;
(i) analytical laboratory.
GENERAL ARRANGEMENT OF THE INSTALLATION, INCLUDING
FEATURES RELATING TO MATERIAL ACCOUNTANCY, CONTAIN-
MENT AND SURVEILLANCE
Flow,locationandhandlingofnuclearmaterial
11.Descriptionbymeansofdiagramsorotherwiseofstorageareasandprocess
areas. The description should include (if applicable):
(a) sampling and measuring points;
(b) batch size and/or flow rate;
(c) method of storage or packing;
(d) storage capacities.
12. In addition to item 11 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)typeandsizeofUF6cylindersusedandfillingandemptyingmethods.
13. Power consumption should be given, where necessary.14. Each diagram should indicate, under equilibrium conditions:
(a) nominal throughput per year;
(b) physical inventory of in-process materials;
(c) material loss rate owing to leakage, decomposition, deposition, etc.;1976R3227 — EN — 15.08.1993 — 001.001 — 24
▼B
(d) arrangements for regular plant maintenance (periodic shutdown or
continuous component replacement, etc.).
15. Describe special sampling and measurement points associated with deconta-
mination of off-process equipment for maintenance or replacement.
16. Describe process waste disposal point, including disposal method, storage
period, type of disposal, etc.
Descriptionofnuclearmaterial17. Describe, by means of flowsheets or otherwise, the estimated flow and
inventory of all nuclear material for storage and process areas. The descrip-
tion should include:
(a) physical and chemical form;
(b) enrichmentrange for feed, productand t ails;
(c) content range or expected upper limits for each category of solid or
liquid discard material.
NUCLEAR MATERIAL ACCOUNTANCY AND CONTROL
Accountancysystem
18. Description of the accountancy system used to record and report accoun-
tancy data and to establish material balances, supplying specimen forms
used in all procedures.
19. Indicate when and how often material balances are made, including any
during campaigns. Describe method and procedure for adjustment of
accounts after a physical inventory taking.
20. Describe procedure for handling shipper/receiver differences and method of
adjustment of accounts.
21. Describe procedure for making corrections to accounts due to procedural or
clerical mistakes and the effect on shipper/receiver differences, if applic-
able.
Physicalinventory
22. Identify the items of equipment on the flowsheets of items 11 and 17 to be
regarded as containers for nuclear material under physical inventory condi-
tions. State the timing of physical inventory taking.
Methodsformeasurement,samplingandanalysis
23. Refer to the flowsheets of items 11 and 17 for location of sampling and
measurementpoint s.
24. Method of establishing each measurement at the point indicated should be
described; equations or tables used and calculations made to determine
actual quantities of weights or volumes should be identified. Recording of
data automatically or manually should be stated. Method of and practical
procedures for sampling for each pointindicat ed should be described. Indi-
cate number of samples taken and rejection criteria.
25. Analytical methods used for accountancy purposes should be described.
Reference may be made to a manual or report.
Controlofmeasurementaccuracy
26. Describe programmes for the continuous appraisal of weight, volume and
sampling precision and biases and for the calibration of associated equip-
ment.
27. Describe type and quality of standards used for analytical methods referred
to in paragraph 25, type of analytical equipment used, method of calibration
and frequency.
Statisticalevaluation
28. Describe statistical evaluation programmes for data accumulated in control
programmes for weight, volume, sampling and analytical measurements (i.e.
determination of the random and systematic errors of the measurements and
associated limits of error); statistical methods used to combine individual
measurement error estimates to obtain the overall limits of error for S/R
differences, the book inventory, the physical inventory and MUF.1976R3227 — EN — 15.08.1993 — 001.001 — 25
▼B
OTHER INFORMATION RELEVANT TO APPLICATION OF SAFE-
GUARDS
29. Organization of material accountancy and control.
30. Information on the health and safety rules which have to be observed and
with which the inspectors must comply at the installation.1976R3227 — EN — 15.08.1993 — 001.001 — 26
▼B
F.INSTALLATIONS USING NUCLEARMATER IAL IN QUANTITIES
EXCEEDINGONEEFFECTIVEKILOGRAMME
D a te… ....................
For any installation of a type not referred to in Sections A to E using more than
one effective kilogramme per annum, the questionnaire includes the following:
— identification of the installation;
— general arrangement of the installation, including features relating to mate-
rial accountancy, containment and surveillance;
— nuclear material accountancy and control system, including techniques for
physical inventory taking;
— other information relevant to the application of safeguards.
The information required under these headings is, as applicable, the same as
described in the questionnaires for the types of installations coming under
Sections C, D and E.1976R3227 — EN — 15.08.1993 — 001.001 — 27
▼B
G.OTHERINSTALLATIONS (*)
D a te… ....................
IDENTIFICATION OF THE INSTALLATION AND OF THE NUCLEAR
MATERIAL
1. Name
2. Location, exact address with telephone and telex numbers.3. Owner (legally responsible body or individual).
4. Operator (legally responsible body or individual).
5. Type of nuclear material.6. Description of containers used for storage and handling (as required to
explore the possibility of sealing).
7. Description of the use of the nuclear material.
NUCLEAR MATERIAL ACCOUNTANCY AND CONTROL
8. General description of the existing and proposed procedures for nuclear
material accountancy and control, including procedures for physical inven-
tory taking.
9. Organization of material accountancy and control.1976R3227 — EN — 15.08.1993 — 001.001 — 28
(*) The term ‘other’ denotes all the installations not covered by Sections A to F, and
where nuclear material in quantities not exceeding one effctivee kilogramme is habi-
tually used.
▼B
ANNEX II1976R3227 — EN — 15.08.1993 — 001.001 — 29

▼B
EXPLANATORYNOTES
(1)Installation:
Name and address of the reporting installation and, in the event of a
transfer, name and address of the corresponding installation (receiver in
the case of shipment and shipper in the case of receipt).
(2)MBA:
Code of the reporting material balance area. This code is notified to the
installation concerned in the particular safeguard provisions.
(3)Date:
Day, month and year on which the change in inventory occurred.
(4)KMP:
Key measurement point. The codes are notified to the installation
concerned in the particular safeguard provisions. The code relevant to the
inventory change reported should be used.
(5)Measurement:
The basis on which the quantity of nuclear material reported was estab-
lished has to be indicated. One of the following codes must be used as
appropriate:
Measure-
dEsti-
matedExplanation
M E In the reporting material balance area
N F In another material balance area
T G In the reporting material balance area when the weights have already
been given in a previous inventory change report or physical inventory
listing
L H In another material balance area when the weights have already been
given in a previous inventory change report or physical inventory listing
for the present material balance area
(6)Typeofinventorychange:
The type of inventory change must be reported. One of the following codes
mustbe used:
Keyword Code Explanation
ReceiptRD Receipt of nuclear mat erial from a
material balance area within theCommunity
Import RF Import of nuclear material from outside
the Community
Receipt from non-safeguarded activity RN Receipt of nuclear material from a
non-safeguarded activity (Article 35)
Shipment SD Transfer of nuclear material to a mate-
rial balance area within the Commu-nity
Export SF Export of nuclear material outside the
Community
Shipment to non-safeguarded activity SN Transfer of nuclear material to a non-
safeguarded activity (Article 35)
MeasureddiscardsLDQuantityofnuclearmaterial,measured
or estimated on the basis of measure-
ments, which has been disposed of
from processing in such a way that it
is not suitable for further nuclear use.
The quantity of nuclear material
involved is to be subtracted from the
inventory of the material balance area1976R3227 — EN — 15.08.1993 — 001.001 — 30
▼B
Keyword Code Explanation
Transfer to retained waste TW Quantity of waste, measured or esti-
mated on the basis of measurements,
which has been transferred to a
specific location within the material
balance area, from which itcould be
retrieved. The quantity of nuclear
material involved is to be subtracted
from the inventory of the material
balance area. (Retained waste is under-
stood to include nuclear material which
is regarded economically irrecoverable
by currentt echnology)
Retransfer from retained waste FW Retransfer of a quantity of nuclear
material from the retained waste cate-
gory to the inventory of the material
balance area. This applies whenever
nuclear material in the retained waste
category is removed from the specific
location within the material balance
area either for processing at the mate-
rial balance area or for shipmentfrom
the material balance area
Discard from retained waste WD Transfer of a quantity of nuclear mate-
rial from the retained waste category to
measured discards. This inventory
change replaces the two inventory
changes ‘Retransfer from retained
waste (FW)’ and ‘Measured discards
(LD)’. The quantity of nuclear material
involved does not affect the inventory
of the material balance area
Accident al loss LA Irretrievable and inadvertent loss of a
known quantity of nuclear material as
the result of an operational accident
Exemption EU Exemption of a quantity of nuclear
material from declaration (Article 22).
The quantity of nuclear material
involved is to be subtracted from the
inventory of the material balance area
De-exemption DU De-exemption of a quantity of nuclear
material previously exempted from
declaration (Article 22). The quantity
of nuclear material involved is to be
added to the inventory of the material
balance area
Category change CC Accountancy transfer of a quantity of
nuclear material from one category
(Article 21) to another
Rebatching RB Accountancy transfer of a quantity of
nuclear material from one batch to
another. To be used only if batch-
follow-up is required in the particular
safeguard provisions
Change in particular obligation CR Accountancy transfer of a quantity of
nuclear material from one particular
safeguard obligation (Article 20), to
which the nuclear material is subject,
to another
Change in use CU Accountancy transfer of a quantity of
nuclear material from one use (Article
9), to which the material was assigned,
to another
Nuclear transformation NT Increase or decrease in the quantity of
nuclear material due to nuclear trans-
formation, e.g. by fission, capture or
radioactive decay
Shipper/receiver difference DI Shipper/receiver difference (Article 36
(u))1976R3227 — EN — 15.08.1993 — 001.001 — 31
▼B
Keyword Code Explanation
New measurement NM Quantity of nuclear material accounted
for in the material balance area being
the difference between a newly
measured quantity and the quantity
formerly accounted for, and which is
neither a shipper/receiver difference
nor a correction
(Information under this heading will
include differences resulting from
physical inventories taken by the plant
operator for his own purposes)
Roundings RA Rounding adjustment to make the sum
of rounded quantities reported in a
given period coincide with the ending
book inventory of the material balance
area, if appropriate
Ending book inventory BA Book inventory at the end of a month,
separate for each category of nuclear
material
No change NC No inventory change during the month
Production of nuclear material MP Nuclear material obtained from
substances not subject to safeguards as
a result of attaining the minimum
concentration requirements (Article 36
(i))
(7)CorrespondingMBA:
For certain inventory changes listed below, the code of the corresponding
material balance area must be reported.
(a)Receipt (RD):
Code of the shipping material balance area.
(b)Import (RF):
Code of the exporting material balance area (if unknown, the country
code of the exporting State is sufficient).
(c)Shipment (SD):
Code of the receiving material balance area.
(d)Export (SF):
Code of the importing material balance area (if unknown, the country
code of the importing State is sufficient).
(8)Batchdesignation:
The batch designation may be chosen by the operator, however:
(a) in the case of the inventory change ‘Receipt (RD)’, the batch designa-
tion chosen by the shipper must be used;
(b) a batch designation must not be used again for another batch in the
same material balance area;
(c) if batch-follow-up is required in the particular safeguard provisions,
the same batch designation as previously used for that batch must be
repeated. No two batches with the same batch designation must exist
at the same time in the material balance area (the batch designation
can be changed in this case using the inventory change ‘Rebatching
(RB)’).
(9)Numberofitems:
The number of similar items of which the batch consists must be reported.
If an inventory change consists of several entry lines, the number of items
in the batch is given by the sum of the number of items in the single entry
lines.
For concise notes consisting of several entry lines, these columns should be
used for numbering in sequential order, see (24).1976R3227 — EN — 15.08.1993 — 001.001 — 32
▼M1
▼B
▼B
(10)Material description:
The following codes mustbe used. They mustbe used in t he order of t he
following categories:
(a)Form (columns 32 and 33):
Main category Subcategory Code
Ores — OR
Concentrates — YC
Uranium hexafluoride (UF6)— U 6
Uranium tetrafluoride (UF4)— U 4
Solutions Nitrate LN
fluoride LF
Other LO
Powder Homogeneous PH
Heterogeneous PN
Ceramics Pellets CP
Spheres CS
Other CO
Metal Pure MP
Alloys MA
Fuel Rods, pins ER
Plates EP
Bundles EB
Assemblies EAOther EO
Sealed sources — QS
Small quantities/C148/C147/C147/C147/C147/C147/C149/C147/C147/C147/C147/C147/C150—S SSamples
Scrap Homogeneous SH
Heterogeneous (cleanouts, clinkers,
sludges, fines, other)SN
Solid waste Hulls AH
Mixed (plastics, gloves, papers,
etc.)AM
Contaminated equipment AC
Other AO
Liquid waste Low active WL
Medium active WM
High active WH
(b)Type of container or fuel element (column 34):
Type of container Code
Cylinder C
Pack P
Drum D
Discrete fuel unit S
Bird cage B
Bottle F
Tank or other container T
Other O1976R3227 — EN — 15.08.1993 — 001.001 — 33
▼B
(c)State of nuclear material (column 35):
State Code
Freshnuclearmaterial           F
IrradiatednuclearmaterialI
RetainedwasteW
Irrecoverable material N
Recoverable material R
(11)Element:
The following categories of nuclear material must be used:
Category Code
Depleted uranium D
Natural uranium N
Low enriched uranium (up to and including 20 %
enrichment)L
High enriched uranium (above 20 % enrichment) J
Plutonium P
Thorium T
If a batch contains more than one category of nuclear material, separate
entry lines must be used for each category.
(12)Weightofelement:
The weight of the element referred to in (11) must be reported. The
following units should be used: at least grammes of plutonium and
enriched uranium, at least kilogrammes of thorium, natural uranium and
depleted uranium. Nevertheless, the decimal digits appearing in the
accounting records could be reported. In the case of the inventory changes
‘Nuclear transformation (NT)’, ‘Shipper/receiver difference (DI)’, ‘New
measurement (NM)’ and ‘Roundings (RA)’, the quantities decreasing the
inventory must be marked with a minus in front of the figure.
(13)Unit:
The unit of the weight of element must be identified if it is different from
the standard units indicated in (12). Use the code K for kilogrammes or the
code G for grammes.
(14)Isotope:
This code indicates the kind of fissile isotopes involved and should only be
reported in the case the weight of fissile isotopes is reported. The
following codes should be used:
Code Explanation
G U-235
K U-233
JU-235plusU-233
(15)Weightoffissileisotopes:
Unless otherwise stated in the particular safeguard provisions, the weight
of fissile isotopes must only be reported for enriched uranium and category
changes involving enriched uranium. The same unitas for t he corre-
sponding weightof elementshould be used. The remarks under (12)
concerning the sign of the figure apply also here.1976R3227 — EN — 15.08.1993 — 001.001 — 34
▼B
(16)Unit:
The unit of the weight of fissile isotopes must be identified if it is different
from the standard units indicated in (15). Use the code K for kilogrammes
or the code G for grammes.
(17)Obligation:
Indication of the particular safeguard obligation assumed by the Commu-
nity under an Agreement concluded with a third non-member State or an
internationalorganization,towhichthenuclearmaterial issubject(Article
20). The Commission will communicate to the installations the appropriate
codes and any subsequentmodificat ions.
(18)Use:
Indication, by means of a two character code, of the use of the nuclear
material (Article 9). The indication of the use mandatory only for transfers
into and out of an installation (Article 14). The code to be applied should
be defined by the installation concerned under the following conditions:
(a) all nuclear materials assigned to the same use must be identified by the
same code;
(b) the significance of a code which is used for the first time must be
communicated to the Commission in advance;
(c) differentuses mustbe ident ified by means of differentcodes;
(d) if, within the same installation, the nuclear material is assigned to
another use than previously reported, this change has to be reportedbymeansoftheinventorychange‘Changeinuse (CU)’.
(19)Correspondinginformation:
For certain inventory changes, listed below, corresponding information
mustbe report ed.
(a)Category change (CC):
Code of the category of nuclear material before the change. (The
corresponding code after the change must be reported in (11)).
(b)Change in particular obligation (CR):
Code of the particular safeguard obligation, to which the nuclear mate-
rial is subject, before the change. (The corresponding code after the
change mustbe report ed in (17)).
(c)Change in use (CU):
Code of the use, to which the nuclear material was assigned, before the
change. (The corresponding code after the change must be reported in
(18)).
(d)Rebatching (RR):
Batch designation before rebatching which applies only if batch-
follow-up is required in the particular safeguard provisions and the
operator wishes to change an existing batch designation. (The batch
designation after the rebatching must be reported in (8)).
(20)Entry:
This column is provided solely for the indication of particular entry lines
and must be completed only in the following cases:
Code Explanation
I The entry line contains the isotopic composition, see
(23)
N The entry line contains a concise note, see (24)
(21)Correction:
Corrections have to be made by deleting the wrong entry line(s) and
adding the correct one(s). The following codes must be used:1976R3227 — EN — 15.08.1993 — 001.001 — 35
▼B
Code Explanation
D Deletion. The entry line to be deleted must be
repeated in its entirety (up to and including column
73), except (3) which must show the date on which
the deletion was made in the accounting records
A Addition. The correct entry line must be reported in
its entirety (up to and including column 73). In (3),
the date on which the addition was made to the
accounting records, must be reported
(22)Original date:
In the case of a correction, the day, month and year, on which the entry
line to be corrected was originally made, must be reported.
(23)Isotopicdata:
If so specified in the particular safeguard provisions, the percentage by
weight of the isotopes should be reported. An accuracy of at least two
decimal places is required. The information in (2) to (4), (6), and (8) to
(11) of the entry line, to which the isotopic data refer, must be repeated
in the relevant columns of this entry line.
(24)Concisenotes:
An explanation of an inventory change should be given (Article 15 of this
Regulation). The information in (2) to (6), (8), (10) and (11) of the entry
line, to which the concise note refers, must be repeated in the relevant
columns of this entry line.
Concise notes can also be reported under (25) on a separate sheet.
(25)Remarks:
Space available to the operator.
GENERAL REMARKS CONCERNING THE COMPLETION OF THE
REPORTFORMS
1. In the case of transfer of nuclear material, the shipper must provide the
receiver with all the necessary information for the inventory change report.
2. In the cases referred to in (19), the differences are reported directly in a
singleentryline(directaccounting).However,theoperatorisfreetoreport
additional information as line entries for example to show the derivation of
these differences provided that he codes this information in an agreed
manner.
3.Alltheappropriatecolumnsshouldbecompleted.Theinformationshould
beenteredinthecorrectspaces.
4. If the Commission has so agreed, reports may be produced by computer and
may be sent to the Commission in computer readable form, provided that allthe information required by this Regulation is included in them.
5. If numerical data contain fractions of units, the decimal point should be used
to separate the decimal places.
6. The following 54 characters may be used: the 26 capital letters A to Z,
figures 0 to 9 and the characters ‘plus’, ‘minus’, ‘slash’, ‘asterisk’, ‘space’,‘equal’, ‘greater than’, ‘less than’, ‘point’, ‘comma’, ‘open bracket’, ‘close
bracket’, ‘colon’, ‘dollar’, ‘per cent’, ‘quotation mark’, ‘semi-colon’ and
‘questionmark’.Theletter‘O’shouldbeslashedtoavoidconfusionwith
the figure ‘0’.
7. Pursuant to Article 79 of the Treaty, those subject to safeguard requirements
shall notify the authorities of the Member State concerned of any communi-
cations they make to the Commission pursuant to that Article.
8.Theforms,dulycompletedandsigned,shouldbeforwardedtotheCom-
mission of the European Communities, Euratom Safeguards Directorate,
‘Jean Monnet’ Building, Kirchberg, Luxembourg (Grand Duchy of Luxem-
bourg).1976R3227 — EN — 15.08.1993 — 001.001 — 36
▼B
ANNEX III1976R3227 — EN — 15.08.1993 — 001.001 — 37

▼B
EXPLANATORYNOTES
(1)Installation:
Name and address of the reporting installation.
(2)Startofreportingperiod:
Date on which the reporting period starts, i.e. at 00.00 hrs on the day
following the day on which the previous physical inventory was taken.
(3)Category:
Category of nuclear material, for which the material balance report is
established.
(4)MBA:
Code of the reporting material balance area. This code is notified to the
installation concerned in the particular safeguard provisions.
(5)Date:
Day, month and year on which the present physical inventory was taken.
The reporting period closes at 24.00 hrs on that date.
(6)Inventoryinformation:
The different types of inventory information should be entered, if appro-
priate, in the sequence indicated below. The following codes must be used:
Keyword Code Explanation
Beginning physical inventory PB Physical inventory at the beginning of the
reporting period
Inventory changes (for codes see (6)
of Explanatory Notes to Annex II)For each type of inventory change, one conso-lidated entry line has to be made for the entire
reporting period (first increases, then
decreases)
Ending book inventory BA Book inventory at the end of the reporting
period
Ending physical inventory PE Physical inventory at the end of the reporting
period
Material unaccounted for MF Material unaccounted for. Must be calculated
as ‘Ending physical inventory (PE)’ minus‘Ending book inventory (BA)’
(7)Element:
Separate material balance reports have to be established for each category
of nuclear material. The codes given in (11) of the Explanatory Notes to
Annex II mustbe used.
(8)to(12):
Explanatory Notes (12), (13), (14), (15) and (16) to Annex II are applic-
able.
(13)Correction:
Corrections have to be made by deleting the wrong entry line(s) and
adding the correct one(s). The following codes must be used:
Code Explanation
D Deletion. The entry line to be deleted must be
repeated in its entirety (up to and including column
73)
A Addition. The correct entry line must be reported in
its entirety (up to and including column 73)1976R3227 — EN — 15.08.1993 — 001.001 — 38
▼B
(14)Remarks:
Space available to the operator.
GENERAL REMARKS CONCERNING THE COMPLETION OF THE
REPORTFORMS
General remarks 3, 4, 5, 6, 7 and 8 at the end of the Explanatory Notes to
Annex II are applicable mutatis mutandis .1976R3227 — EN — 15.08.1993 — 001.001 — 39
▼B1976R3227 — EN — 15.08.1993 — 001.001 — 40

▼B
EXPLANATORYNOTES
(1)Installation:
Name and address of the reporting installation.
(2)MBA:Code of the reporting material balance area. This code is notified to the
installation concerned in the particular safeguard provisions.
(3)Date:
Day, month and year on which the physical inventory was taken reflecting
the situation at 24.00 hrs.
(4)KMP:
Key measurement point. The codes are notified to the installation
concerned in the particular safeguard provisions.
(5)Measurement:
Explanatory Note (5) to Annex II is applicable.
(6)Batchdesignation:
If batch-follow-up is required in the particular safeguard provisions, the
batch designation previously used for that batch in an inventory change
report or in a previous physical inventory listing must be repeated.
(7)to(16):
Explanatory Notes (9), (10), (11), (12), (13), (14), (15), (16), (17) and (18)to Annex II are applicable.
(17)Correction:
Corrections have to be made by deleting the wrong entry line(s) and
adding the correct one(s). The following codes must be used:
Code Explanation
D Deletion. The entry line to be deleted must be
repeated in its entirety (up to and including column
73)
A Addition. The correct entry line must be reported in
its entirety (up to and including column 73)
(18)Remarks:
Space available to the operator.
GENERAL REMARKS CONCERNING THE COMPLETION OF THE
REPORTFORMS
If on the date the physical inventory was taken there is no nuclear material in
the material balance area, only (1), (2), (3) and (9) above should be completed
on the report.
General remarks 3, 4, 5, 6, 7 and 8 at the end of the Explanatory Notes to
Annex II are applicable mutatis mutandis .1976R3227 — EN — 15.08.1993 — 001.001 — 41
▼B
ANNEX V
COMMISSIONOFTHEEUROPEANCOMMUNITIES
EURATOMSAFEGUARDS
ADVANCENOTIFICATIONOFEXPORTSOFNUCLEARMATERIAL
(1)Materialbalancearea
Code:…....................................
(2)Installation:
(Shipper)Installation: 
(Receiver)
… ......................................... … ..........................................
… ......................................... … ..........................................
(3) Quantities: … ....................................................................
(4) Chemical composition: … ..........................................................
(5) Enrichment or isotopic composition: … ..............................................
(6) Physical form: … . . ...............................................................
(7) Number of items: … ..............................................................
(8) Description of containers and seals: … . ..............................................
(9) Shipment identification data: … . ....................................................
(10) Means of transport: … . . ..........................................................
(11) Location where material will be stored or prepared: … ..................................
… .............................................................................
(12) Last date when material can be identified: … . .........................................
(13) Approximate dates of dispatch: … ...................................................
Expected dates of arrival: … . . . ....................................................
(14) Use: … .........................................................................
… .............................................................................
(15) International agreement: … .........................................................
— Commission authorization: … ...................................................
— Intervention of Supply Agency: … . ..............................................
Name and position of responsible signatory:
… ........................................................
Date and place of dispatch of notification:
… ........................................................
Signature:
… ........................................................1976R3227 — EN — 15.08.1993 — 001.001 — 42
▼B
EXPLANATORYNOTES
(1) Code of the reporting material balance area notified to the installation
concerned in the particular safeguard provisions.
(2) Name, address and country of the installation shipping and of the installa-
tion receiving the nuclear material. In the case of export out of the United
Kingdom, the receiver of ultimate destination should also be indicated
where applicable.
(3) The total weight of the elements shall be identified in kilogrammes for
natural and depleted uranium and for thorium, and in grammes for
enriched uranium and plutonium. The weight of fissile isotopes shall be
identified, if applicable.
(4) Chemical composition shall be identified.
(5) If applicable, the degree of enrichment or the isotopic composition shall be
identified.
(6) Use the description of materials as laid out in Annex II (10) to this Regu-
lation.
(7) The number of items included in the shipment shall be identified.(8) Description (type) of containers, including features that would permit
sealing.
(9) Shipment identification data (e.g. container markings or numbers).
(10) Indicate, as applicable, the means of transport.(11) Indicate the location within the material balance area where the nuclear
material is prepared for shipping and can be identified, and where its quan-
tity and composition can if possible be verified.
(12) Last date when material can be identified and when its quantity and
composition can if possible be verified.
(13) Approximate dates of dispatch and of expected arrival at destination.
(14) Indicate the use to which the nuclear material has been assigned.
(15) Give in particular as appropriate:
— the Agreement concluded by the Community with a non-Member Stab
or an international organization under which the material is transferred;
— the Commission authorization under Article 59 of the Treaty;
— the date on which the contract was concluded or considered as
concluded by the Supply Agency and any useful references;
— for jobbing contracts (Article 75 of the Treaty) and for contracts for the
supply of small quantities of material (Article 74 of the Treaty and
Commission Regulation No 17/66/Euratom, as amended by Regulation
(Euratom) No 3137/74), date of notification to the Supply Agency and
any useful references.1976R3227 — EN — 15.08.1993 — 001.001 — 43
NB: Pursuant to Article 79 of the Treaty, those subject to safeguard require-
ments shall notify the authorities of the Member State concerned of any
communicationstheymaketotheCommissionpursuanttothatArticle.
This form, duly completed and signed, must be forwarded to the Commis-
sion of the European Communities, Euratom Safeguards Directorate, ‘Jean
Monnet’ Building, Kirchberg, Luxembourg (Grand Duchy of Luxembourg).
▼B
ANNEX VI
COMMISSIONOFTHEEUROPEANCOMMUNITIES
EURATOMSAFEGUARDS
ADVANCENOTIFICATIONOFIMPORTSOFNUCLEARMATERIAL
(1) Material balance area
Code: … . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(2) Installation:
(Receiver)Installation:
(Shipper)
… ......................................... … ..........................................
… ......................................... … ..........................................
(3) Quantities: … ....................................................................
(4)Chemicalcomposition:…..........................................................
(5)Enrichmentorisotopiccomposition:…..............................................
(6)Physicalform:….................................................................
(7)Numberofitems:…..............................................................
(8)Descriptionofcontainersandseals:…...............................................
(9)Meansoftransport:…............................................................
(10)Dataofarrival:…................................................................
(11)Locationwherematerialwillbeunpacked:….........................................….............................................................................
(12) Date(s) when material will be unpacked: … . . .........................................
(13) — International agreement: … . . ....................................................
— Intervention of Supply Agency: … . ..............................................
Name and position of responsible signatory:
… ........................................................
Date and place of dispatch of notification:
… ........................................................
Signature:
… ........................................................1976R3227 — EN — 15.08.1993 — 001.001 — 44
….............................................................................
▼B
EXPLANATORYNOTES
(1) Code of the reporting material balance area notified to the installation
concerned in the particular safeguard provisions.
(2) Name, address and country of the installation receiving and of the installa-
tion shipping the nuclear material.
(3) The total weight of the elements shall be identified in kilogrammes for
natural and depleted uranium and for thorium, and in grammes for
enriched uranium and plutonium. The weight of fissile isotopes shall be
identified if applicable.
(4) Chemical composition shall be identified.
(5) If applicable, the degree of enrichment or the isotopic composition shall be
identified.
(6) Use the description of materials as laid out in Annex II (10) to this Regu-
lation.
(7) The number of items included in the shipment shall be identified.(8) Description (type) of containers, and if possible, of the seals affixed.
(9) Indicate as applicable, the means of transport.
(10) Expected or actual date of arrival in the reporting material balance area.
(11) Indicate the location within the material balance area where the material
will be unpacked and can be identified and where its quantity and compo-
sition can be verified.
(12) Date(s) when material will be unpacked.
(13) Give in particular as appropriate:
— the Agreement concluded by the Community with a non-Member State
or an international organization under which the material is transferred;
— the date on which the contract wad concluded or considered as
concluded by the Supply Agency and any useful references;
—forjobbingcontracts(Article75oftheTreaty)andforcontractsforthe
supplyofsmallquantitiesofmaterial(Article74oftheTreatyand
CommissionRegulationNo17166/Euratom,asamendedbyRegulation
(Euratom)No3137/74),dateofnotificationtotheSupplyAgencyand
anyusefulreferences.1976R3227 — EN — 15.08.1993 — 001.001 — 45
NB: Pursuant to Article 79 of the Treaty, those subject, to safeguard require-
ments shall notify the authorities of the Member State concerned of any
communications they make to the Commission pursuant to that Article.
This form, duly completed and signed, must be forwarded to the Commis-
sion of the European Communities, Euratom Safeguards Directorate, ‘Jean
Monnet’ Building, Kirchberg, Luxembourg (Grand Duchy of Luxembourg).
▼B
ANNEX VII
COMMISSIONOFTHEEUROPEANCOMMUNITIES
EURATOMSAFEGUARDS
(1)DECLARATIONOFORESHIPMENTS/EXPORTS
(2) Undertaking: … ...................................................................
(3)Mine:… ........................................ (4)Code:….....................
Year:….........................................................................
Dateandplaceofdispatchofdeclaration:Nameandpositionofresponsiblesignatory:
… ............................................ … ............................................
Signature: … ..................................1976R3227 — EN — 15.08.1993 — 001.001 — 46

▼B
EXPLANATORYNOTES
(1) The declaration of shipments is to be made at the latest at the end of
January of each year for the previous year separately for each consignee.
The declaration of export is to be made for each export at the date of ship-
ment.
(2) Name and address of the reporting undertaking.
(3) Name of the mine in respect of which the declaration is made.
(4) Code of the mine as notified to the undertaking by the Commission.
NB: Pursuant to Article 79 of the Treaty, those subject to safeguard require-
ments shall notify the authorities of the Member State concerned of any
communications they make to the Commission pursuant to that Article.
This form, duly completed and signed, must be forwarded to the Commis-
sion of the European Communities, Euratom Safeguards Directorate, ‘Jean
Monnet’ Building, KirchLuxembourg (Grand Duchy of Luxembourg).1976R3227 — EN — 15.08.1993 — 001.001 — 47
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ANNEX VIII
COMMISSIONOFTHEEUROPEANCOMMUNITIES
EURATOMSAFEGUARDS
REQUESTFOREXEMPTIONFROMDECLARATIONOFNUCLEARMATERIAL
( 1 ) D a te : … ....................................
(2)Installation:….............................(3)Materialbalancearea
….........................................Code:… ...........................
(4)Quantities:…....................................................................
(5) Category of nuclear material: … ....................................................
(6)Chemicalcomposition:…..........................................................
(7)Enrichmentorisotopiccomposition:…..............................................
(8)Physicalform:….................................................................
(9)Numberofitems:…..............................................................
(10)Locationwherematerialisnowpresent:…...........................................
(11)Reason:(a)sensingcomponents
(b)PuwithPu-238>80%
(c)non-nuclearactivities
(12)Intendeduse:…..................................................................(13)Particularobligation:…...........................................................
(14)Approximatedateoftransfer:…....................................................
Dateandplaceofdispatchofrequest:….............................................
Nameandpositionofresponsiblesignatory:…........................................
.................................................................................
Signature:…...........................................
Exemptiongrantedasabove
Date:…............................................................................................
Nameandpositionofresponsiblesignatorygrantingtheexemption:………………………………….
Signature:…....................................
(FortheCommission)1976R3227 — EN — 15.08.1993 — 001.001 — 48
….................................................................................
….................................................................................
….....................................................................................
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EXPLANATORYNOTES
(1) Date on which the exemption is requested.
(2) Name, address and country of the installation requesting the exemption.(3) Code of the requesting material balance area notified to the installation in
the particular safeguard provisions.
(4) Total weight of the elements in kilogrammes for natural and depleted
uranium and thorium, and in grammes for enriched uranium and pluto-
nium. Weightof fissile isot opes, if applicable.
(5) Categories of nuclear materials as laid down in Annex II (11).
(6) Chemical composition shall be identified.
(7) Degree of enrichment or isotopic composition, if applicable.(8) Description of materials as laid down in Annex II (10).
(9) Number of items constituting the materials.
(10) Location within the material balance area where the nuclear material is
now stored.
(11) Delete the reasons which do not apply.(12) Indication of the intended use to which the nuclear material requested for
exemption is assigned.
(13) Indication of particular safeguard obligation to which the nuclear material
is subject, if applicable. Use the codification as laid down in Annex II (17)
to this Regulation.
(14) The approximate date of transfer out of the material balance area (for
sensing components) or transfer to non-nuclear use shall be given, if
applicable.
NB: Pursuant to Article 79 of the Treaty, those subject to safeguard require-
ments shall notify the authorities of the Member State concerned of any
communications they make to the Commission pursuant to that Article.
This form, duly completed and signed, must be forwarded to the Commis-
sion of the European Communities, Euratom Safeguards Directorate, ‘Jean
Monnet’ Building, Kirchberg, Luxembourg (Grand Duchy of Luxembourg).1976R3227 — EN — 15.08.1993 — 001.001 — 49
▼B
ANNEX IX
COMMISSIONOFTHEEUROPEANCOMMUNITIES
EURATOMSAFEGUARDS
DE-EXEMPTION OF NUCLEAR MATERIAL PREVIOUSLY EXEMPTED FROM
DECLARATION
( 1 ) D a te : … ....................................
(2)Installation:….............................(3)Materialbalancearea
…. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Code: … ...........................
(4)Quantities:…....................................................................
(5)Categoryofnuclearmaterials:…...................................................
(6) Chemical composition: … ..........................................................
(7) Enrichment or isotopic composition: … ..............................................
(8) Physical form: … . . ...............................................................
(9) Number of items: … ..............................................................
(10) Location where material is now present: … . . .........................................
(11) Date of de-exemption: … ..........................................................
(12) Exemption granted on: … ..........................................................
(13) Intended use: … . . . ...............................................................
Date and place of dispatch of communication: … . . . ...................................
… .............................................................................
Name and position of responsible signatory: … ........................................
… .............................................................................
Signature: … . . ........................1976R3227 — EN — 15.08.1993 — 001.001 — 50
….................................................................................
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EXPLANATORYNOTES
(1) Date on which the de-exemption is communicated.
(2) Name, address and country of the installation communicating the de-
exemption.
(3) Code of the communicating material balance area notified to the installa-
tion concerned in the particular safeguard provisions.
(4) Total weight of the elements in kilogrammes for natural and depleted
uranium and thorium, and in grammes for enriched uranium and pluto-
nium. Weight of the fissile isotopes, if applicable.
(5) Categories of nuclear materials as laid down in Annex II (11).(6) Chemical composition shall be identified.
(7) Degree of enrichment or isotopic composition, if applicable.
(8) Description of materials as laid down in Annex II (10).(9) The number of items constituting the materials.
(10) Location within the material balance area where the nuclear material is
now stored.
(11) Date from which de-exemption shall be applied.
(12) Date on which exemption from declarations in respect of the nuclear mate-
rial in question had been granted.
(13) Indication of the use to which the nuclear material is assigned.
NB: Pursuant to Article 79 of the Treaty, those subject to safeguard require-
ments shall notify the authorities of the Member State concerned of any
communications they make to the Commission pursuant to that Article.
This form, duly completed and signed, must be forwarded to the Commis-
sion of the European Communities, Euratom Safeguards Directorate, ‘Jean
Monnet’ Building, Kirchberg, Luxembourg (Grand Duchy of Luxembourg).1976R3227 — EN — 15.08.1993 — 001.001 — 51
▼B
ANNEX X
COMMISSIONOFTHEEUROPEANCOMMUNITIES
EURATOM SAFEGUARDS
GUIDELINES FORTHE COMMUNICATION OF THE OUTLINE
PROGRAMME OF ACTIVITIES WITH REFERENCE TO ARTICLE 6
OFTHISREGULATION
Communications should, if possible, cover the succeeding two years.
In particular, communications should indicate:
— types of operations, e.g. proposed campaigns with indication of type and
quantity of fuel elements to be fabricated or reprocessed, enrichment
programmes, reactor operating programmes, with planned shutdowns;
— expected schedule of arrival of materials, stating the amount of material per
batch, the form (UF6,U O2, fresh or irradiated fuels, etc.), expected type of
container or packaging;
— dates by which quantity of material in products is expected to be determined
and dates of dispatch;
— dates and duration of physical inventory taking.
NB: Pursuant to Article 79 of the Treaty, those subject to safeguard require-ments shall notify the authorities of the Member State concerned of any
communications they make to the Commission pursuant to that Article.
This communication, duly completed and signed, must be forwarded to the
Commission of the European Communities, Euratom Safeguards Directo-
rate, ‘Jean Monnet’ Building, Kirchberg, Luxembourg (Grand Duchy of
Luxembourg).1976R3227 — EN — 15.08.1993 — 001.001 — 52