Proposal for a Council Decision approving a Commission Regulation on the application of Euratom safeguards
Date: 2002-03-22
Institutions: European Commission
Subjects: International Atomic Energy Agency, exchange of information, nuclear fuel, nuclear power station, nuclear safety

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Proposal for a Council Decision approving a Commission Regulation on the application of
Euratom safeguards

(2002/C 227 E/02)

COM(2002) 99 final

(Submitted by the Commission on 22 March 2002)

THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty establishing the European Atomic Energy Community, and in particular
Articles 77, 78, 79 and 81 thereof,

Having regard to the proposal from the Commission,

Whereas:

It is important to keep the requirements imposed by Commission Regulation (Euratom) No 3227/76 of
19 October 1976 concerning the application of the provisions on Euratom safeguards (1) in line with the
present legal framework and developments in the fields of nuclear and information technology,

HAS DECIDED AS FOLLOWS:

Sole Article

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

(1) OJ L 363, 31.12.1976, p. 1. Regulation as last amended by Regulation (Euratom) No 2130/93 (OJ L 191, 31.7.1993,

p. 75).

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Draft Commission Regulation (Euratom) No . . ./. . . of . . . on the application of Euratom safeguards

THE COMMISSION OF THE EUROPEAN COMMUNITIES,

Having regard to the Treaty establishing the European Atomic
Energy Community, and in particular Articles 77, 78, 79 and
81 thereof,

national Atomic Energy Agency on the application of
Article III(1) and (4) of the Treaty on the Non-Prolife-
ration of Nuclear Weapons. These procedures were
approved by the Board of Governors of that Agency.

Having regard to the approval of the Council,

Whereas:

(1) Commission Regulation (Euratom) No 3227/76 of
19 October 1976 concerning the application of
the
provisions on Euratom safeguards (1), as last amended
by Regulation (Euratom) No 2130/93 (2), defined the
nature and extent of
the requirements referred to in
Articles 78 and 79 of the Treaty.

the development of

(2) In view not only of the increasing quantities of nuclear
materials produced, used, carried and recycled in the
Community, but also of
trade in
these materials and of the further enlargement of the
in order to ensure the
European Union,
the nature and the
effectiveness of
extent of the requirements referred to in Article 79 of
the Treaty
in Regulation (Euratom)
No 3227/76 be brought up to date in the light of devel-
opments, particularly in the
and
information technology.

it is essential,
safeguards,

fields of nuclear

and set out

that

the Republic of Finland,

(3) The Republic of Austria, the Kingdom of Belgium, the
the
Kingdom of Denmark,
the Hellenic Republic,
Federal Republic of Germany,
the Grand Duchy of
Italian Republic,
Ireland,
the
the
Luxembourg,
the Kingdom of
Portuguese Republic,
the
Kingdom of Sweden and the European Atomic Energy
Community are parties to an Agreement (3) with the Inter-
national Atomic Energy Agency in implementation of
Article III(1) and (4) of the Treaty on the Non-Prolife-
ration of Nuclear Weapons. This Agreement entered
into force on 21 February 1977 and was supplemented
by an Additional Protocol (4) signed on 22 September
1998.

the Netherlands,
Spain,

the Kingdom of

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

(5) The procedures stipulated by the Agreement are the result
of wide-ranging international negotiations with the Inter-

(1) OJ L 363, 31.12.1976, p. 1.
(2) OJ L 191, 31.7.1993, p. 75.
(3) OJ L 51, 22.2.1978, p. 1.
(4) OJ L 67, 13.3.1999, p. 1.

(6) The Community,

for

the application of

the United Kingdom and the Inter-
to an
national Atomic Energy Agency are parties
Agreement
in the
safeguards
United Kingdom in connection with the Treaty on the
Non-Proliferation
That
Agreement entered into force on 14 August 1978, and
was supplemented by an Additional Protocol signed on
22 September 1998.

Nuclear Weapons (5).

of

(7) The Community, France and the International Atomic
Energy Agency are parties to an Agreement
for the
application of safeguards in France (6). That Agreement
entered into force on 12 September 1981, and was
signed on
supplemented by an Additional Protocol
22 September 1998.

(8) In the territories of France and the United Kingdom some
installations or parts thereof as well as certain materials
are liable to be involved in the production cycle for
defence needs. Special
should
therefore be applied to take account of these circum-
stances.

safeguard procedures

(9) The European Council at its meeting in Lisbon on 23 and
24 March 2000 stressed the need to foster the devel-
information technology and
opment of state-of-the-art
other telecom networks as well as the content for those
networks.

(10) In

view of

foregoing, Regulation
No 3227/76 should be repealed and replaced,

the

(Euratom)

HAS ADOPTED THIS REGULATION:

PART I

SCOPE AND DEFINITIONS

Article 1

Scope

This Regulation sets out the requirements for the application of
Euratom safeguards.

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

(5) IAEA document INFCIRC/263 dated October 1978.
(6) IAEA document INFCIRC/290 dated December 1981.

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Article 2

Definitions

a single set of specifications or measurements. The nuclear
material may be in bulk form or contained in a number of
identifiable items.

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

1.

State’ means Belgium,
‘Non-nuclear-weapon Member
Italy,
Ireland,
Spain,
Denmark, Germany, Greece,
Luxembourg, Netherlands, Austria, Portugal, Finland, or
Sweden.

2.

‘Nuclear-weapon Member State’ means France or
United Kingdom.

the

3.

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

12.

‘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 of individual items in the
batch shall be added together before rounding to the
nearest unit.

13.

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

14.

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

4.

‘Nuclear materials’ means ores, source materials and special
fissile materials as defined in Article 197 of the Treaty.

(a)

for plutonium, its weight in kilograms;

5.

‘Waste’ means nuclear material
in concentrations or
chemical forms which do not permit recovery at present
and which may be disposed of.

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

its weight
above,
square of its enrichment;

6.

7.

8.

9.

‘Retained waste’ means waste, measured or estimated on
the basis of measurements, which has been transferred to a
specific location within the material balance area from
which it could be retrieved. Waste belonging to this
category has not yet been conditioned and is regarded as
economically irrecoverable by current technology.

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

‘Discards to the environment’ means waste, measured or
estimated on the basis of measurements, which has been
irrevocably discarded to the environment as the result of a
licensed discharge.

‘Category’
(of nuclear material) means natural uranium;
depleted uranium; uranium enriched in uranium-235 or
uranium-233;
other
material which the Council may determine, acting by a
qualified majority on a proposal from the Commission.

plutonium;

thorium;

and

any

(c)

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

(d) for depleted uranium with an enrichment of 0,005
in

its weight

thorium,

(0,5 %) or below, and for
kilograms multiplied by 0,00005.

15.

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

16.

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

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

10.

‘Item’ means an identifiable unit such as a fuel assembly or
a fuel pin.

(b) the physical

inventory of nuclear material

in each
can be determined when

material balance
necessary in accordance with specified procedures.

area

11.

‘Batch’ means a portion of nuclear material handled as a
unit for accounting purposes at a key measurement point
and for which the composition and quantity are defined by

17.

‘Material unaccounted for’ means the difference between
physical inventory and book inventory.

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18.

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

25.

‘Closed-down installation’ means an installation or location
where operations have been stopped and the nuclear
material removed but which has not been decommis-
sioned.

19.

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

20.

data,

recorded

data’ means

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

concentration;

isotopic

ratios;

21.

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

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

‘Site’ also includes all plants co-located with the instal-
lations which provide or use essential services including
hot cells for processing irradiated materials not containing
nuclear material; plants for the treatment, storage and
disposal of waste; and buildings associated with activities
specified in Annex 1 of
the Additional Protocols and
identified by the State concerned.

PART II

BASIC TECHNICAL CHARACTERISTICS AND PARTICULAR
SAFEGUARD PROVISIONS

Article 3

Declaration of the basic technical characteristics

the production,

Any person or undertaking setting up or operating an
1.
installation for
reprocessing,
storage or any use of nuclear materials shall declare to the
Commission the basic technical characteristics of the instal-
lation, on the basis of the relevant questionnaire shown in
Annex I.

separation,

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

reprocessing,

isotope

Each Member State being a party to the Additional
2.
Protocol to the Agreement, signed on 22 September 1998,
shall designate a site representative for each site on its territory.
Any person or undertaking designated as site representative
shall forward to the Commission a declaration containing a
general description of the site, on the basis of the questionnaire
shown in Annex II.

The declaration shall be submitted within 90 days of the entry
into force of the Additional Protocol and updates shall be
submitted by 31 January of each year.

22.

‘Site representative’ means any person or undertaking
designated by the Member State as being responsible for
the communications referred to in Article 3(2).

The declaration shall fulfil the requirements of Article 2(a)(iii)
of the Additional Protocol, and shall be separate from the
declaration required pursuant to paragraph 1 of this Article.

23.

‘Installation’ means a reactor, a critical
installation, a
conversion plant, a fabrication plant, a reprocessing
plant, an isotope separation plant, a separate storage instal-
lation, a waste handling, storing and processing instal-
lation; or any other location where nuclear material
is
customarily used.

24.

‘Decommissioned installation’ means an installation or
location at which residual
structures and equipment
essential for its use have been removed or rendered inop-
erable so that it is not used to store and can no longer be
used to handle, process or utilise nuclear material.

3.
The declarations provided for in paragraphs 1 and 2 shall
be submitted in electronic form if they are kept in such form
by the person or undertaking.

Article 4

Time limits

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

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

location,

capacity

type,

processing

Using the questionnaire in Annex I, existing waste handling
shall
and
communicate to the Commission the basic technical charac-
teristics of their installation within 30 days of the date on
which this Regulation enters into force.

installations

producers

and

ore

Any change affecting the outline programme of activities and,
in particular,
shall be
communicated to the Commission without delay.

the taking of physical

inventories

Article 7

Particular safeguard provisions

The Commission shall

1.
provisions relating to the matters set out in paragraph 2.

adopt particular

safeguard

Any additional
information required by the questionnaire in
Annex I shall be supplied within 30 days of the date on
which this Regulation enters into force.

Acting on the declarations of basic technical characteristics and
on the information communicated pursuant to Article 6, the
Commission may specify in particular the means by which the
persons or undertakings concerned shall meet the safeguards
requirements.

Article 5

2.

The particular safeguard provisions shall specify, inter alia:

Adoption of particular safeguard provisions and changes
to basic technical characteristics

The particular safeguard provisions set out in Article 7 shall be
the
drawn up by means of an individual decision of
Commission after
consulting the person or undertaking
concerned and the relevant Member State.

The person or undertaking affected by any individual decision
of the Commission shall be notified thereof, and a copy of such
notification shall be
transmitted to the Member State
concerned.

The particular safeguard provisions shall specify inter alia those
changes in the basic technical characteristics set out in Article
for which advance notification is required. Any other
3(1)
changes
shall be
technical
communicated to the Commission within 30 days after the
modification is complete.

in the basic

characteristics

Article 6

Programme of activities

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

(a) the material balance areas and the selection of those key
measurement points for determining 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, taking physical inven-
safeguards
tories
measures;

for accounting purposes as part of

(d) the containment and surveillance measures, in accordance
with the arrangements agreed upon with the plant
operators;

(e)

the arrangements for sample-taking by the plant operator
solely for safeguards purposes.

3.
The particular safeguard provisions may also specify the
content of subsequent communications required under Article
6 of this Regulation as well as the conditions requiring advance
notification of shipments and receipts of nuclear material.

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

(b) at least 40 days before taking a physical

inventory, the

programme for such work.

4.
The Commission shall reimburse the person or under-
taking concerned the cost of those special services which are
provided for in the particular safeguard provisions or which are
provided as the result of a special request by the Commission
or its inspectors, on the basis of an agreed estimate. The
amount of, and arrangements for, the reimbursement shall be
jointly determined by the parties concerned and shall be
reviewed periodically.

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PART III

NUCLEAR MATERIAL ACCOUNTANCY

Article 8

Accounting system

in particular,

The persons and undertakings referred to in Article 3(1) shall
maintain a system of accountancy and control
for nuclear
materials. This system shall include accounting and operating
records and,
information on the quantities,
nature, form and composition of these materials as required
under Article 19,
location and the particular
safeguards obligation as provided for in Article 18, together
with details of the recipient or shipper when nuclear materials
are transferred.

their actual

these records

The system of measurements on which the records are based
shall comply with the most recent international standards or
shall be equivalent in quality to those standards. On the basis
it must be possible to draw up and
of
substantiate
to the Commission.
Records shall be retained for a period of at least five years.
Accounting and operating records shall be made available to
the inspectors in electronic form if they are kept in this form
by the installation. Further details may be specified in the
particular safeguard provisions for each installation.

the declarations made

Article 9

Operating records

For each material balance area,
include, where appropriate:

the operating records shall

(a) the operating data used to determine changes in the

quantities and composition of nuclear material;

(b) a list of inventory items present, and their location, at any

time;

(c) the data,

including derived estimates of

random and
systematic errors, obtained from the calibration of tanks
and instruments as well as from sampling and analysis;

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

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

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

(g) the isotopic composition of plutonium, including its decay

isotope americium-241, and reference dates.

Article 10

Accounting records

The accounting records shall show in respect of each material
balance area:

(a) all inventory changes, so that the book inventory can be

determined at any time;

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

physical inventory;

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

and physical inventories.

The accounting records relating to any inventory change and
physical inventory shall show the material identification, batch
data and source data for each batch. These records shall
in
account separately for uranium, thorium and plutonium,
accordance with the categories listed in Article 19(2)(b).
In
addition, for each inventory change, the date of the change
and, when appropriate, the dispatching material balance area
and the receiving material balance area or the recipient shall be
indicated.

Article 11

Accounting reports

The persons and undertakings referred to in Article 3(1) shall
provide the Commission with accounting reports.

The accounting reports shall contain the information available
on the date of reporting and must be corrected at a later date if
necessary. Accounting reports shall be transmitted to the
Commission in electronic form, except
in cases where the
Commission has granted a written derogation.

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

Article 12

Initial inventory

If they have not already done so, the persons and undertakings
referred to in Article 3(1) shall transmit to the Commission an
initial book inventory of all nuclear materials they are holding,
in accordance with Annex V.

Article 13

Inventory change report

For each material balance area, the persons and undertakings
referred to in Article 3(1) shall transmit to the Commission
inventory change reports in respect of all nuclear materials in
accordance with Annex III.

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These reports shall be sent as soon as possible and, at the
latest, within 15 days of the end of the month in which the
inventory changes occur or become known. For months in
which no inventory changes occur, the persons or undertakings
concerned may simply send in the inventory change report,
carrying over the ending book inventory of
the previous
month.
they may be reported as a single
inventory change, small inventory changes, such as transfers
of samples for purposes of analysis, may be grouped together,
as laid down in the particular safeguard provisions referred to
in Article 7 for the installation concerned. Inventory change
reports may be accompanied by comments explaining the
inventory changes.

In order

that

Article 14

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 16

Unusual occurrences

A special report shall be made without delay:

(a)

if, as a result of any unusual incident or circumstances, it is
believed that there has been or might be a loss of nuclear
material in excess of the limits specified for these purposes
in the particular safeguard provisions;

Material balance report and physical inventory listing

For each material balance area, the persons and undertakings
referred to in Article 3(1) shall transmit to the Commission:

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

1. Material balance reports,

in accordance with Annex IV,

showing:

(a) beginning physical inventory;

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

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

(c) ending book inventory;

(d) ending physical inventory;

(e) material unaccounted for.

2. A physical inventory listing, in accordance with Annex V,

showing all batches separately.

Article 17

Reporting of nuclear transformations

the latest when irradiated fuel

reactors, calculated data on nuclear

In respect of
trans-
formations shall be reported in the inventory change report
is transferred from the
at
reactor material balance area.
In addition, other procedures
for recording and reporting nuclear transformations may be
specified in the particular safeguard provisions.

The reports and the listing shall be transmitted as soon as
possible and at
the date on
which a physical inventory was taken.

the latest within 30 days of

Article 18

Particular safeguard obligations

specified

in the particular

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

Article 15

Special reports

Nuclear materials subject to particular safeguard obligations
entered into by the Community in an agreement concluded
with a third country or an international organisation shall,
unless otherwise stipulated by such an agreement, be identified
separately for each obligation in the following notifications:

(a)

initial book inventory provided for in Article 12;

(b) inventory change

reports,
provided for in Article 13;

including book inventories

The persons and undertakings referred to in Article 3(1) shall
transmit to the Commission a special report whenever the
circumstances referred to in Articles 16 or 23 arise.

(c) material balance reports and physical

inventory listings

provided for in Article 14;

The type of information to be supplied in such reports will be
specified in the particular safeguard provisions.

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

and 22.

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Unless specifically prohibited in any of the agreements referred
to in the first subparagraph, such separate identification shall
not preclude the physical mixing of materials.

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

Article 19

Categories of nuclear materials and weight units

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

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

The Commission may grant a derogation for a material

2.
balance area holding:

(a) only small quantities of nuclear material which are kept in

the same state for long periods;

(b) depleted uranium, natural uranium or thorium which is

used exclusively in non-nuclear activities;

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

(c) special fissile materials which are used in quantities of the
order of one gram or less as sensing components in
instruments;

Unless otherwise provided for in the particular safeguard

2.
provisions the notifications shall include the following:

(a) the total weight of

the elements uranium,

plutonium, and also,
weight of the fissile isotopes;

for enriched uranium,

thorium or
the total

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

in inventory change

(i) depleted uranium;

(ii) natural uranium;

(iii) uranium enriched to less than 20 %;

(iv) uranium enriched to 20 % and above;

(v) plutonium;

(vi) thorium.

Article 20

Derogations

a written derogation from the

The Commission may grant producers and users of
1.
nuclear materials
rules
governing the form and frequency of notification provided
for in Articles 11 to 19,
in order to take account of any
particular circumstances in which safeguarded materials are
used or produced.

(d) plutonium with

an

isotopic

concentration

of

plutonium-238 exceeding 80 %.

3.
The persons or undertakings to whom a derogation is
granted shall transmit to the Commission an annual report
by 31 January of each year, using the form set out in Annex
X. This report shall describe the situation at the end of each
calendar year.

4.
In the case of exports to a third country of nuclear
material subject to derogation, the persons or undertakings
concerned shall transmit a report to the Commission by the
end of the month in which the transfer occurred, using the
form set out in Annex X. This report shall indicate the quantity
of nuclear material exported and the stock of nuclear material
still subject to derogation.

5.
In the case of imports from a third country of nuclear
material which may qualify for a derogation, the persons or
undertakings to whom a derogation is granted shall transmit a
new request to the Commission to add this material to the list
of materials in respect of which a derogation applies. The
request shall be transmitted to the Commission as soon as
the persons or undertakings are aware of the transfer date
and, at the latest, by the end of the month in which the
transfer occurred. The form set out
in Annex IX shall be
used for this purpose.

The

6.
other
requirements in the particular safeguard provisions.

Commission may

establish

specific

The derogation shall be granted on submission of a request by
the persons or undertakings concerned based on the form set
out in Annex IX.

7.
If the conditions for derogation are no longer met, the
derogation shall be withdrawn by the Commission, acting upon
receipt of information from the persons or undertakings to
whom a derogation is granted.

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PART IV

2.

Such advance notification is required only:

TRANSFERS BETWEEN STATES

Article 21

(a) where the consignment exceeds one effective kilogram; or

Export and shipment of nuclear material

1.
The persons and undertakings referred to in Article 3(1)
shall give advance notification to the Commission if any source
materials or special fissile materials:

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

(a) are exported to a third country;

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

nuclear-weapon Member State;

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

non-nuclear-weapon Member State.

2.

Advance notification is required only:

(a) where the consignment exceeds one effective kilogram; or

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

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

least eight working days before the material

4.
If so required for reasons of physical protection, special
arrangements concerning the form and transmission of such
notification may be agreed upon with the Commission.

Article 22

Import and reception of nuclear materials

1.
The persons and undertakings referred to in Article 3(1)
shall give advance notification to the Commission if any source
materials or special fissile materials:

(a) are imported from a third country;

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

nuclear-weapon Member State;

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

least

4.
If so required for reasons of physical protection, special
arrangements concerning the form and transmission of such
notification may be agreed upon with the Commission.

Article 23

Loss or delay during transfer

A special report shall be submitted, as provided for in Article
16, by the persons or undertakings notifying a transfer under
Articles 21 and 22 if, following exceptional circumstances or
an incident,
they have received information that nuclear
materials have been lost or appear to be lost, particularly
when there has been a considerable delay during transfer.

Article 24

Communication of change of date

Any change of date in the packing for transfer, in the transport
or in the unpacking of nuclear materials with respect to the
dates given in the notifications provided for in Articles 21 and
22, 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 V

SPECIFIC PROVISIONS

Article 25

Ore production records

Any person or undertaking extracting ores in the territory of a
Member State shall keep accounting records thereof.

By way of derogation from Articles 8 to 19, these records shall
indicate, in particular, the quantities of the ore extracted, with
the average uranium and thorium content, and the stock of
extracted ore at the mine. They shall also contain details of
shipments, stating the date, consignee and quantity in each
case.

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

non-nuclear-weapon Member State.

Such records shall be retained for at least five years.

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Article 26

Dispatch of ore

Article 31

Transmission of information and data

By 31 January of each year at the latest, ore producers shall
inform the Commission of the amount of material dispatched
from each mine during the previous year, using the form in
Annex VIII.

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

Article 27

Exportation of ore

Any person or undertaking exporting ores to third countries
shall inform the Commission thereof, on the date of dispatch at
the latest, using the form in Annex VIII.

Article 28

Carriers and temporary storage agents

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

If so required for reasons of physical protection, the description
of the materials transferred may be replaced by a suitable
identification of the consignment. Such identification shall be
traceable to records held by the persons and undertakings
referred to in Article 3(1).

The records
contracting parties for at least five years.

referred to above shall be retained by the

Article 29

Substitute records for carriers and temporary storage
agents

Records already held by persons or undertakings in accordance
with existing regulations which apply to them in the territory
of the Member States in which they operate may take the place
of the records provided for in Article 28, provided that such
records contain all the required information.

Article 30

Intermediaries

taking part

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

five years after expiry of

for at

least

Article 32

Processing of waste

The persons or undertakings referred to in Article 3(1) shall
give advance notification to the Commission of any waste-
processing campaign, excluding repackaging or further condi-
tioning without separation of elements. This advance notifi-
cation, using the form in Annex XII,
include the
amount of material per batch (plutonium, high enriched
uranium and uranium-233 only), the form (glass, high active
liquid, etc.), the expected duration of the campaign, and the
location of the material before and after the campaign. Such
notification shall reach the Commission at
least 200 days
before the campaign starts.

shall

Article 33

Transfers of conditioned waste

If any of

1.
the persons or undertakings referred to in
Article 3(1) ship or export conditioned waste to an installation
within or outside the territories of the Member States, they
shall, upon transfer of these materials, communicate to the
Commission the MBA code or the name and address of the
receiver together with the accounting data, using the form in
Annex XIII.

If any of

the persons or undertakings referred to in
2.
Article 3(1) receive or import conditioned waste from an instal-
lation without a material balance area code or from an instal-
lation outside the territories of the Member States, they shall,
upon receipt of these materials, communicate the name and
address of the shipper together with the accounting data, using
the form in Annex XIV.

3.
The persons or undertakings referred to in Article 3(1)
shall submit, by 31 January of each year at the latest, an annual
report of changes in location of conditioned waste containing
plutonium, high enriched uranium or uranium-233, using the
form in Annex XV.

PART VI

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

Article 34

Specific provisions for nuclear-weapon Member States

1.

This Regulation shall not apply:

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

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

For nuclear materials, installations or parts of installations
2.
which are liable to be assigned to meet defence requirements
and which are situated in the territory of a nuclear-weapon
Member State, the extent of the application of this Regulation
shall be defined by the
it
and the procedures under
Commission in consultation and in agreement with the
Member State concerned, taking into account the provisions
of the second paragraph of Article 84 of the Treaty.

3.

Notwithstanding paragraphs 1 and 2:

(a) the provisions of Articles 3(1), 4, 5 and 7 shall apply to
installations or parts of installations which at certain times
are operated exclusively with nuclear materials liable to be
assigned to meet defence requirements but which at other
times are operated exclusively with civil nuclear materials;

(b) the provisions of Articles 3(1), 4, 5 and 7 shall apply, with
exceptions for reasons of national security, to installations
or parts of installations to which access could be restricted
for
separate,
reprocess or use in any other way, simultaneously, both
civil nuclear materials and nuclear materials assigned or
liable to be assigned to meet defence requirements;

such reasons but which produce,

treat,

(c) the provisions of Articles 2, 6 and 8 to 35 shall apply in
relation to all civil nuclear materials situated in the instal-
lations or parts of installations referred to in subparagraphs
(a) and (b) above;

PART VII

FINAL PROVISIONS

Article 35

Installations controlled from outside the Community

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

Article 36

Repeal

Regulation (Euratom) No 3227/76 is repealed.

Article 37

Transitional period

The Commission may, upon a duly reasoned request by the
persons or undertakings referred to in Article 3(1), grant
exemption from the obligation to use the reporting formats
set out in Annexes III, IV and V.

This exemption shall not extend beyond a period of three years
from the date of entry into force of this Regulation.

Article 38

Entry into force

This Regulation shall enter into force on the twentieth day
following that of its publication in the Official Journal of the
European Communities.

(d) the provisions of Articles 3(2) and 32 shall not apply in the

territories of nuclear-weapon Member States.

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

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

ANNEX I

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ANNEX II

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ANNEX III

INVENTORY CHANGE REPORT (ICR)

Label/Tag

Content

Comments

#

MBA

Report type

Report date

Character (4)

MBA code of reporting MBA

Character (1)

I for Inventory Change Report

DDMMYYYY

Date on which the report was completed

Report number

Number (8)

Sequential number, no gaps

Line count

Start report

End report

Number (8)

Total number of lines reported

DDMMYYYY

Date of first day in reporting period

DDMMYYYY

Date of last day in reporting period

Reporting person

Character (20)

Name of person responsible for the report

Transaction ID

Number (8)

Sequential number

IC code

Batch

KMP

Character (2)

Type of inventory change

Character (20)

Unique identifier for a batch of nuclear material

Character (1)

Key measurement point

Measurement

Character (1)

Measurement code

Material form

Character (2)

Material form code

Material container

Character (1)

Material container code

Material state

Character (1)

Material state code

MBA from

MBA to

Character (4)

MBA code of shipping MBA (for IC codes RD and
RF only)

Character (4)

MBA code of receiving MBA (for IC codes SD and
SF only)

Previous batch

Character (20)

Name of previous batch (for IC code RB only)

Original date

PIT date

DDMMYYYY

Accounting date of the line to be corrected (always
of first line in correction chain)

DDMMYYYY

Date of Physical Inventory Taking (PIT) to which MF
adjustment refers (use with IC code MF only)

Line number

Number (8)

Sequential number, no gaps

Accounting date

DDMMYYYY

Date on which the inventory change occurred or
became known

1

2

3

4

5

6

7

8

9

10

11

12

13

14

15

16

17

18

19

20

21

22

23

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#

24

25

26

27

28

29

30

31

32

Label/Tag

Content

Comments

Items

Number (4)

Number of items

Element category

Character (1)

Element category

Element weight

Number (24.3)

Element weight

Isotope

Character (1)

G for U-235, K for U-233, J for a mixture of U-235
and U-233

Fissile weight

Number (24.3) Weight of fissile isotope

Obligation

Character (2)

Safeguards obligation

Previous category

Character (1)

Previous category (use for IC codes CB, CC and CE
only)

Previous obligation

Character (2)

Previous obligation (use for IC codes BR, CR, PR and
SR only)

CAM code

Document

Character (8)

Code to identify small holder

Character (20)

Operator-defined reference to supporting documents

33

Container ID

Character (20)

Operator-defined identifier for the container

Correction

Character (1)

D for deletions, A for additions forming part of a
deletion/addition pair, L for late lines (stand-alone
additions)

Previous report

Number (8)

Report number of line to be corrected

Previous line

Number (8)

Line number of line to be corrected

Comment

Burn-up

CRC

Character
(256)

Number (6)

Operator comment

Burn-up in MWdays/tonne (use for IC codes NL and
NP in power reactors only)

Number (12)

Hash code of line for quality control purposes

Previous CRC

Number (12)

Hash code of line to be corrected

Advance notification

Character (8)

Reference to advance notification sent to Euratom
(use for IC codes RD, RF, SD and SF only)

Campaign

Reactor

Error path

Character (12)

Campaign identifier for reprocessing installations

Character (12)

Reactor code for reprocessing campaigns

Character (8)

Special code for evaluation purposes

34

35

36

37

38

39

40

41

42

43

44

45

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Explanatory notes

1. MBA:

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

2. Report type:

I for inventory change reports.

3. Report date:

Date on which the report was completed.

4. Report number:

Sequential number, no gaps.

5. Line count:

Total number of lines reported.

6. Start report:

Date of first day of reporting period.

7. End report:

Date of last day of reporting period.

8. Reporting person:

Name of person responsible for the report.

9. Transaction ID:

Sequential number. This is used to identify all inventory change lines relating to the same physical transaction.

10. IC code:

One of the following codes must be used:

Keyword

Code

RD

Explanation

Receipt of nuclear material
within the European Union

from a material balance area

RF

Import of nuclear material from outside the European Union

Receipt

Import

Receipt from non-safeguarded activity

RN

Receipt of nuclear material from a non-safeguarded activity
(Article 34)

Shipment

Export

SD

Transfer of nuclear material to a material balance area within
the European Union

SF

Export of nuclear material outside the European Union

Shipment to non-safeguarded activity

SN

Transfer of nuclear material to a non-safeguarded activity
(Article 34)

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Keyword

Transfer to conditioned waste

Code

TC

Discards to the environment

TE

Transfer to retained waste

TW

Explanation

Nuclear material, contained in waste and measured or
estimated on the basis of measurements, which has been
in glass, cement, concrete
conditioned in such a way (e.g.
or bitumen) 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 area. Separate records
must be kept for this type of material

Nuclear material, contained in waste and measured or
estimated on the basis of measurements, which has been
irrevocably discarded to the environment as the result of a
licensed discharge. The quantity of nuclear material involved
is to be subtracted from the inventory of the material balance
area

specific

Nuclear material, contained in waste and measured or
estimated on the basis of measurements, which has been
transferred to a
location within the material
balance area from which it could be retrieved. Waste
belonging to this category has not yet been conditioned
and is regarded as economically irrecoverable by current
technology. The quantity of nuclear material involved is to
be subtracted from the inventory of the material balance
area. Separate records must be kept for this type of material

Retransfer from conditioned waste

FC

Retransfer of conditioned waste to the inventory of
the
material balance area. This applies whenever conditioned
waste undergoes processing

Retransfer from retained waste

FW

Retransfer of retained waste to the inventory of the material
balance area. This applies whenever
retained waste is
retrieved from the specific location within the material
balance area, either for processing in the material balance
area or for shipment from the material balance area

Accidental loss

Accidental gain

Category change

Category change

Category change

LA

GA

CE

CB

CC

Irretrievable and inadvertent loss of a quantity of nuclear
material as the result of an operational accident. Use of
to the
this code requires a special
Commission

to be sent

report

Nuclear material unexpectedly found, except when detected
in the course of a physical inventory taking. Use of this code
requires a special report to be sent to the Commission

Accountancy transfer of a quantity of nuclear material from
to another as a result of an
one category (Article 19)
enrichment process
(only one line to be reported per
category change)

Accountancy transfer of a quantity of nuclear material from
one category (Article 19) to another as a result of a blending
operation (only one line to be reported per category change)

Accountancy transfer of a quantity of nuclear material from
one category (Article 19) to another for all types of category
change not covered by codes CE and CB (only one line to be
reported per category change)

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Keyword

Rebatching

Code

RB

Explanation

Accountancy transfer of a quantity of nuclear material from
one batch to another (only one line to be reported per
rebatching)

Change in particular obligation

BR

Accountancy transfer of a quantity of nuclear material from
one particular safeguard obligation to another (Article 18), to
balance the total uranium stock following a blending
operation (only one line to be reported per change of obli-
gation)

Change in particular obligation

PR

Accountancy transfer of a quantity of nuclear material from
one particular safeguards obligation to another (Article 18),
used when nuclear material enters or leaves an accountancy
pool (only one line to be reported per change of obligation)

Change in particular obligation

SR

Accountancy transfer of a quantity of nuclear material from
one particular safeguards obligation to another (Article 18),
following an obligation exchange or a substitution (only one
line to be reported per change of obligation)

Change in particular obligation

CR

Accountancy transfer of a quantity of nuclear material from
one particular safeguards obligation to another (Article 18),
for all cases not covered by codes BR, PR or SR (only one
line to be reported per change of obligation)

Nuclear production

Nuclear loss

Shipper/receiver difference

NP

NL

DI

New measurement

NM

New balance

NB

Material unaccounted for

MF

Increase in the quantity of nuclear material due to nuclear
transformation

Decrease in the quantity of nuclear material due to nuclear
transformation

Shipper/receiver difference (Article 2)
The difference between the quantity of nuclear material in a
batch as measured at the receiving material balance area and
as stated by the shipping material balance area

Quantity of nuclear material,
in one particular batch,
accounted for in the nuclear 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

Quantity of nuclear material accounted for in the material
balance area, being the difference between the result of a
physical inventory taken by the plant operator for his own
purposes (without reporting a physical inventory listing to
the Commission) and the book inventory established on the
same date

Book adjustment for material unaccounted for. Must be equal
to the difference between the ending physical inventory (PE)
and the ending book inventory (BA) reported in the material
balance report (Annex IV). The original date must be that of
the physical
inventory taking, while the accounting date
must be after the date of the physical inventory taking

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Keyword

Code

Explanation

Roundings

Isotope adjustment

Material production

Termination of use

Derogation

RA

R5

MP

TU

DE

Rounding adjustment to make the sum of the quantities
reported in a given period coincide with the ending book
inventory of the material balance area

to make the sum of

Adjustment
the isotope quantities
reported coincide with the ending book inventory for
U-235 of the material balance area

Quantity of nuclear material, obtained from substances
to safeguards, which has become
originally not subject
subject
concentration now
exceeds the minimum levels

to safeguards because

its

Quantity of nuclear material incorporated in products used
for non-nuclear purposes from which it is regarded as econ-
omically irrecoverable by current technology

Derogation of a quantity of nuclear material from declaration
(Article 20)
To be used only by MBAs at the moment the initial dero-
gation from the rules of reporting is granted, or when
nuclear material which qualifies for derogation is received
or imported

Derogation withdrawal

DW

Withdrawal of derogation from declaration of a quantity of
nuclear material (Article 20)
To be used only by MBAs for which derogation from the
rules of reporting is withdrawn, or when the nuclear material
is shipped or exported

Ending book inventory

BA

Book inventory at the end of a reporting period and at the
PIT date, separate for each category of nuclear material and
for each particular safeguards obligation

11. Batch:

The batch designation may be chosen by the operator, but:

(a)

in the case of the inventory change ‘Receipt (RD)’, the batch designation used by the shipper must be reported;

(b) a batch designation must not be used again for another batch in the same material balance area.

12. KMP:

Key measurement point. The codes are notified to the installation concerned in the particular safeguard provisions.
If no codes have been specified, ‘&’ should be used.

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13. Measurement:

The basis on which the quantity of nuclear material reported was established has to be indicated. One of the
following codes must be used:

Measured

Estimated

Explanation

M

N

T

L

E

F

G

H

In the reporting material balance area

In another material balance area

In the reporting material balance area when the weights have
already been given in a previous inventory change report or
physical inventory listing

In another material balance area when the weights have
already been given in a previous inventory change report
or physical
the present material
balance area

inventory listing for

14. Material form:

The following codes must be used:

Main category

Subcategory

Ores

Concentrates

Uranium hexafluoride (UF6)

Uranium tetrafluoride (UF4)

Uranium dioxide (UO2)

Uranium trioxide (UO3)

Uranium oxide (U3O8)

Thorium oxide (ThO2)

Solutions

Powder

Ceramics

Metal

Nitrate

Fluoride

Other

Homogeneous

Heterogeneous

Pellets

Spheres

Other

Pure

Alloys

Code

OR

YC

U6

U4

U2

U3

U8

T2

LN

LF

LO

PH

PN

CP

CS

CO

MP

MA

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Main category

Subcategory

Code

ER

EP

EB

EA

EO

QS

SS

SH

SN

AH

AM

AC

AO

WL

WM

WH

NV

NG

NB

NC

NO

Fuel

Sealed sources

Small quantities/samples

Rods, pins

Plates

Bundles

Assemblies

Other

—

—

Scrap

Homogeneous

Heterogeneous (clean-outs, clinkers, sludges,
fines, other)

Solid waste

Hulls

Mixed (plastics, gloves, papers, etc.)

Contaminated equipment

Other

Low active

Medium active

High active

Vitrified

Glass

Bitumen

Concrete

Other

Liquid waste

Conditioned waste

15. Material container:

The following codes must be used:

Cylinder

Pack

Drum

Discrete fuel unit

Bird cage

Bottle

Tank or other container

Other

Type of container

Code

C

P

D

S

B

F

T

O

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16. Material state:

The following codes must be used:

State

Fresh nuclear material

Irradiated nuclear material

Waste

Irrecoverable material

17. MBA from:

Code

F

I

W

N

Use only for inventory change codes RD and RF. For inventory change code RD, the code of the shipping material
balance area is reported. If this code is unknown, the code ‘F’, ‘Q’ or ‘W’ (for the shipping MBA in France, the UK or
a non-nuclear-weapon State) is reported and the shipper's full name and address must be entered in the comment
field (38). For inventory change code RF, the country code of the exporting State is reported and the shipper's full
name and address must be entered in the comment field (38).

18. MBA to:

Use only for inventory change codes SD and SF. For inventory change code SD, the code of the receiving material
balance area is reported. If this code is unknown, the code ‘F’, ‘Q’ or ‘W’ (for the receiving MBA in France, the UK or
a non-nuclear-weapon State) is reported and the receiver's full name and address must be entered in the comment
field (38). For inventory change code SF, the country code of the importing State is reported and the receiver's full
name and address must be entered in the comment field (38).

19. Previous batch:

Batch designation before rebatching. The batch designation after the rebatching must be reported in field 11.

20. Original date:

In the case of a correction, the day, month and year when the line to be corrected was originally entered must be
reported. For correction chains, the original date is always the accounting date of the first line in the chain. For late
lines (stand-alone additions), the original date is the date on which the inventory change occurred.

21. PIT date:

Date of the physical inventory taking as reported in the material balance report on which the book adjustment for
MUF (material unaccounted for) is based. Use only with inventory change code MF.

22. Line number:

Sequential number starting with 1 in each report, no gaps.

23. Accounting date:

Day, month and year when the inventory change occurred or became known.

24. Items:

The number of items making up the batch must be reported. If an inventory change consists of several lines, the
sum of the number of items reported must equal the total number of items belonging to the same transaction ID. If
the transaction involves more than one element the number of items should be declared in the line(s) for the
element of highest strategic value only (in descending order: P, H, L, N, D, T).

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25. Element category:

The following code for categories of nuclear material must be used:

Category

Code

Plutonium

High enriched uranium (20 % enrichment and above)

Low enriched uranium (higher than natural but less than 20 % enrichment)

Natural uranium

Depleted uranium

Thorium

26. Element weight:

P

H

L

N

D

T

The weight of the element referred to in field 25 must be reported. All weights must be reported in grams. The
decimal digits appearing in the accounting lines can be reported up to a maximum of three decimal places.

27. Isotope:

This code indicates the fissile isotopes involved and should be used when the weight of fissile isotopes is reported
(28). Use the code G for U-235, K for U-233, and J for a mixture of U-235 and U-233.

28. Fissile weight:

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. All weights must be reported in grams.
The decimal digits appearing in the accounting lines can be reported up to a maximum of three decimal places.

29. Obligation:

Indication of the particular safeguards obligation assumed by the Community under an Agreement concluded with
a third country or an international organisation, to which the material is subject (Article 18). The Commission will
communicate the appropriate codes to the installations.

30. Previous category:

Code of the category of nuclear material before the category change. The corresponding code after the change must
be reported in field 25. Use only with the inventory change codes CE, CB and CC.

31. Previous obligation:

Code of the particular safeguards obligation to which the nuclear material was subject before the change. The
corresponding obligation code after the change must be reported in field 29. Use only with the inventory change
codes BR, CR, PR and SR.

32. CAM code:

Code for installations holding small quantities of nuclear material. The Commission will communicate to the
operator the appropriate code. Simplified reporting procedures apply to these operators.

33. Document:

Operator-defined reference to supporting document(s).

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34. Container ID:

Operator-defined container number. Optional data element which can be used in those cases where the container
number does not appear in the batch designation.

35. Correction:

Corrections have to be made by deleting the wrong line(s) and adding the correct one(s), where appropriate. The
following codes must be used:

Code

D

A

L

Explanation

Deletion. The line to be deleted must be identified by indicating in field 36 the report number
(4), in field 37 the line number (22) and in field 41 the CRC (40) which were declared for the
original line. Other fields need not be reported

Addition (forming part of a deletion/addition pair). The correct line must be reported with all
data fields,
including the ‘previous report’ field (36) and the ‘previous line’ field (37). The
‘previous line’ field (37) must repeat the line number (22) of the line being replaced by the
deletion/addition pair

Late line (stand-alone addition). The late line to be added must be reported with all data fields,
including the ‘previous report’ field (36). The ‘previous report’ field (36) must contain the report
number (4) of the report in which the late line should have been included

36. Previous report:

Indicate the report number (4) of the line to be corrected.

37. Previous line:

For deletions, or additions forming part of a deletion/addition pair, indicate the line number (22) of the line to be
corrected.

38. Comment:

Free-text comment field for short comments by operator (replaces separate concise note).

39. Burn-up:

For inventory changes of type NP or NL in power reactors, burn-up in MWdays/tonne.

40. CRC:

Hash code of line for quality control purposes. The Commission will inform the operator of the algorithm to be
used.

41. Previous CRC:

Hash code of the line to be corrected.

42. Advance notification:

Reference code for the advance notification (Articles 21 and 22). Use with inventory changes SF and RF and with
those inventory changes of type SD and RD when the States where the shipper and receiver are located are not
party to the same safeguards agreement with the International Atomic Energy Agency and Euratom.

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43. Campaign:

Unique identifier for the reprocessing campaign. Use only for inventory changes in the process material balance
area(s) of spent fuel reprocessing installations.

44. Reactor:

Unique identifier for the reactor from which irradiated fuel is being stored or reprocessed. Use only for inventory
changes in spent fuel storage or reprocessing installations.

45. Error path:

Special code describing measurement errors and their propagation, for material balance evaluation purposes. The
codes are agreed between the installation and the Commission.

GENERAL REMARKS CONCERNING THE COMPLETION OF THE REPORTS

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. If numerical data contain fractions of units, a point should precede the decimal digits.

3. The following 55 characters may be used: the 26 capital letters A to Z, figures 0 to 9 and the characters ‘plus’,
‘close bracket’,

‘minus’,
‘colon’, ‘dollar’, ‘percent’, ‘quotation mark’, ‘semi-colon’, ‘question mark’ and ‘ampersand’.

‘open bracket’,

‘greater than’,

‘less than’,

‘comma’,

‘asterisk’,

‘space’,

‘point’,

‘equal’,

‘slash’,

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

5. Reports must be prepared in the XML version of labelled format.

6. The reports, duly completed and digitally signed, should be forwarded to the European Commission, Euratom

Safeguards Office, L-2920 Luxembourg.

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ANNEX IV

MATERIAL BALANCE REPORT (MBR)

Label/Tag

Content

Comments

#

MBA

Character (4)

MBA code of reporting MBA

Report type

Character (1)

M for Material Balance Report

Report date

DDMMYYYY

Date on which the report was completed

Start report

DDMMYYYY

Starting date of MBR (date of last PIT + 1 day)

End report

DDMMYYYY

End date of MBR (date of current PIT)

Report number

Number (8)

Sequential number, no gaps

Element category

Character (1)

Element category

Line count

Number (8)

Total number of lines reported

Reporting person

Character (20)

Name of person responsible for report

IC code

Character (2)

Type of inventory change

Line number

Number (8)

Sequential number, no gaps

Element weight

Number (24.3)

Element weight

Isotope

Character (1)

G for U-235, K for U-233, J for a mixture of U-235
and U-233

Fissile weight

Number (24.3) Weight of fissile isotope

Obligation

Correction

Character (2)

Two-character code

Character (1)

D for deletions, A for additions forming part of a
deletion/addition pair, L for late lines (stand-alone
additions)

Previous report

Number (8)

Report number of line to be corrected

Previous line

Number (8)

Line number of line to be corrected

Comment

Character
(256)

Operator comment

CRC

Number (12)

Hash code of line for quality control purposes

Previous CRC

Number (12)

Hash code of line to be corrected

1

2

3

4

5

6

7

8

9

10

11

12

13

14

15

16

17

18

19

20

21

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Explanatory notes

1. MBA:

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

2. Report type:

M for material balance reports.

3. Report date:

Date on which the report was completed.

4. Start report:

Start date of MBR, date of the day immediately following the day of the previous physical

inventory taking.

5. End report:

End date of MBR, date of current physical inventory taking.

6. Report number:

Sequential number, no gaps.

7. Element category:

The following code for categories of nuclear material must be used:

Category

Code

Plutonium

High enriched uranium (20 % enrichment and above)

Low enriched uranium (higher than natural but less than 20 % enrichment)

Natural uranium

Depleted uranium

Thorium

8. Line count:

Total number of lines reported.

9. Reporting person:

Name of person responsible for report.

P

H

L

N

D

T

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10. IC code:

The different types of inventory information and of inventory change should be entered in the sequence indicated
below. The following codes must be used:

Keyword

Beginning physical inventory

Code

PB

Explanation

Physical inventory at the beginning of the reporting period
(must be equal to the physical inventory at the end of the
previous reporting period)

Inventory changes (for codes, see list
below)

For each type of
‘RB’ excluded, one
inventory change,
consolidated line has to be entered for the entire reporting
Inventory changes
period (first
with original date before the current period should be
excluded

then decreases).

increases,

Ending book inventory

BA

Book inventory at the end of the reporting period. It must be
equal to the arithmetic sum of the MBR entries above

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)’

For inventory changes, one of the following codes must be used:

Keyword

Code

RD

Explanation

Receipt of nuclear material
within the European Union

from a material balance area

RF

Import of nuclear material from outside the European Union

Receipt

Import

Receipt from non-safeguarded activity

RN

Receipt of nuclear material from a non-safeguarded activity
(Article 34)

Shipment

SD

Transfer of nuclear material to a material balance area within
the European Union

Export

SF

Export of nuclear material outside the European Union

Shipment to non-safeguarded activity

SN

Transfer of nuclear material to a non-safeguarded activity
(Article 34)

Transfer to conditioned waste

TC

Nuclear material, contained in waste and measured or
estimated on the basis of measurements, which has been
in glass, cement, concrete
conditioned in such a way (e.g.
or bitumen) 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 area. Separate records
must be kept for this type of material

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Keyword

Discards to the environment

Code

TE

Transfer to retained waste

TW

Explanation

Nuclear material, contained in waste and measured or
estimated on the basis of measurements, which has been
irrevocably discarded to the environment as the result of a
licensed discharge. The quantity of nuclear material involved
is to be subtracted from the inventory of the material balance
area

specific

Nuclear material, contained in waste and measured or
estimated on the basis of measurements, which has been
transferred to a
location within the material
balance area from which it could be retrieved. Waste
belonging to this category has not yet been conditioned
and is regarded as economically irrecoverable by current
technology. The quantity of nuclear material involved is to
be subtracted from the inventory of the material balance
area. Separate records must be kept for this type of material

Retransfer from conditioned waste

FC

Retransfer of conditioned waste to the inventory of
the
material balance area. This applies whenever conditioned
waste undergoes processing

Retransfer from retained waste

FW

Accidental loss

Accidental gain

Category change

Category change

Category change

LA

GA

CE

CB

CC

Retransfer of retained waste to the inventory of the material
balance area. This applies whenever
retained waste is
retrieved from the specific location within the material
balance area, either for processing in the material balance
area or for shipment from the material balance area

Irretrievable and inadvertent loss of a quantity of nuclear
material as the result of an operational accident. Use of
this code in the MBR is only allowed if a special report
was sent to the Commission when the inventory change
occurred or became known

Nuclear material unexpectedly found, except when detected
in the course of a physical inventory taking. Use of this code
in the MBR is only allowed if a special report was sent to the
Commission when the inventory change occurred or became
known

Accountancy transfer of a quantity of nuclear material from
to another as a result of an
one category (Article 19)
enrichment process

Accountancy transfer of a quantity of nuclear material from
one category (Article 19) to another as a result of a blending
operation

Accountancy transfer of a quantity of nuclear material from
one category (Article 19) to another for all types of category
change not covered by codes CE and CB

Change in particular obligation

BR

Accountancy transfer of a quantity of nuclear material from
one particular safeguards obligation to another (Article 18),
to balance the total uranium stock following a blending
operation

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Keyword

Change in particular obligation

Code

PR

Explanation

Accountancy transfer of a quantity of nuclear material from
one particular safeguards obligation to another (Article 18),
used when nuclear material enters or leaves an accountancy
pool

Change in particular obligation

SR

Accountancy transfer of a quantity of nuclear material from
one particular safeguards obligation to another (Article 18),
following an obligation exchange or a substitution

Change in particular obligation

CR

Accountancy transfer of a quantity of nuclear material from
one particular safeguards obligation to another (Article 18),
for all cases not covered by codes BR, PR or SR

Nuclear production

Nuclear loss

Shipper/receiver difference

NP

NL

DI

New measurement

NM

New balance

Roundings

Isotope adjustment

Material production

Termination of use

NB

RA

R5

MP

TU

Increase in the quantity of nuclear material due to nuclear
transformation

Decrease in the quantity of nuclear material due to nuclear
transformation

Shipper/receiver difference (Article 2)
The difference between the quantity of nuclear material in a
batch as measured at the receiving material balance area and
as stated by the shipping material balance area

Quantity of nuclear material,
in one particular batch,
accounted for in the nuclear 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

Quantity of nuclear material accounted for in the material
balance area, being the difference between the result of a
physical inventory taken by the plant operator for his own
purposes (without reporting a physical inventory listing to
the Commission) and the book inventory established on the
same date

Rounding adjustment to make the sum of the quantities
reported in a given period coincide with the ending book
inventory of the material balance area

to make the sum of

Adjustment
the isotope quantities
reported coincide with the ending book inventory for
U-235 of the material balance area

Quantity of nuclear material, obtained from substances
to safeguards, which has become
originally not subject
concentration now
subject
exceeds the minimum levels

to safeguards because

its

Quantity of nuclear material
incorporated in products for
non-nuclear purposes from which it is regarded as econ-
omically irrecoverable by current technology

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11. Line number:

Sequential number starting with 1, no gaps.

12. Element weight:

The weight of the element referred to in field 7 must be reported. All weights must be reported in grams. The
decimal digits appearing in the accounting lines can be reported up to a maximum of three decimal places.

13. Isotope:

This code indicates the kind of fissile isotopes involved and should be used when the weight of fissile isotopes is
reported. Use the code G for U-235, K for U-233, and J for a mixture of U-235 and U-233.

14. Fissile weight:

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. All weights must be reported in grams.
The decimal digits appearing in the accounting lines can be reported up to a maximum of three decimal places.

15. Obligation:

Indication of the particular safeguards obligation assumed by the Community under an Agreement concluded with
a third country or an international organisation, to which the material is subject (Article 18). The Commission will
communicate the appropriate codes to the installations.

16. Correction:

Corrections have to be made by deleting the wrong line(s) and adding the correct one(s), where appropriate. The
following codes must be used:

Code

Explanation

D

A

L

Deletion. The line to be deleted must be identified by indicating in field 17 the report number
(6), in field 18 the line number (11) and in field 21 the CRC (20) which were declared for the
original line. Other fields need not be reported

Addition (forming part of a deletion/addition pair). The correct line must be reported with all
including the ‘previous report’ field (17) and the ‘previous line’ field (18). The
data fields,
‘previous line’ field (18) must repeat the line number (11) of the line being replaced by the
deletion/addition pair

Late line (stand-alone addition). The late line to be added must be reported with all data fields,
including the ‘previous report’ field (17). The ‘previous report’ field (17) must contain the report
number (6) of the report in which the late line should have been included

17. Previous report:

Indicate the report number (6) of the line to be corrected.

18. Previous line:

For deletions, or additions forming part of a deletion/addition pair, indicate the line number (11) of the line to be
corrected.

19. Comment:

Free-text comment field for short comments by operator (replaces separate concise note).

20. CRC:

Hash code of line for quality control purposes. The Commission will inform the operator of the algorithm to be
used.

21. Previous CRC:

Hash code of the line to be corrected.

GENERAL REMARKS CONCERNING THE COMPLETION OF THE REPORTS

General remarks 2, 3, 4, 5 and 6 at the end of Annex III apply mutatis mutandis.

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ANNEX V

PHYSICAL INVENTORY LISTING (PIL)

Label/Tag

Content

Comments

#

MBA

Report type

Report date

Character (4)

MBA code of reporting MBA

Character (1)

P for physical inventory listings

DDMMYYYY

Date on which the report was completed

Report number

Number (8)

Sequential number, no gaps

PIT date

Line count

DDMMYYYY

Date on which the physical inventory was taken

Number (8)

Total number of lines reported

Reporting person

Character (20)

Name of person responsible for report

PIL_ID

Batch

KMP

Number (8)

Sequential number

Character (20)

Unique identifier for a batch of nuclear material

Character (1)

Key measurement point

Measurement

Character (1)

Measurement code

Element category

Character (1)

Element category

Material form

Character (2)

Material form code

Material container

Character (1)

Material container code

Material state

Character (1)

Material state code

Line number

Number (8)

Sequential number, no gaps

Items

Number (6)

Number of items

Element weight

Number (24.3)

Element weight

Isotope

Character (1)

G for U-235, K for U-233, J for a mixture of U-235
and U-233

Fissile weight

Number (24.3) Weight of fissile isotope

1

2

3

4

5

6

7

8

9

10

11

12

13

14

15

16

17

18

19

20

21

Obligation

Document

Character (2)

Two-character code

Character (20)

Operator-defined reference to supporting documents

22

Container ID

Character (20)

Operator-defined identifier for the container

Correction

Character (1)

D for deletions, A for additions forming part of a
deletion/addition pair, L for late lines (stand-alone
additions)

23

24

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Label/Tag

Content

Comments

Previous report

Number (8)

Report number of line to be corrected

Previous line

Number (8)

Line number of line to be corrected

Comment

Character
(256)

Operator comment

CRC

Number (12)

Hash code of line for quality control purposes

Previous CRC

Number (12)

Hash code of line to be corrected

#

25

26

27

28

29

Explanatory notes

1. MBA:

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

2. Report type:

P for physical inventory listings.

3. Report date:

Date on which the report was completed.

4. Report number:

Sequential number, no gaps.

5. PIT date:

Day, month and year when the physical inventory was taken, reflecting the situation at 24.00.

6. Line count:

Total number of lines reported.

7. Reporting person:

Name of person responsible for report.

8. PIL_ID:

Sequential number.

9. Batch:

If batch follow-up is required in the particular safeguard provisions, the batch designation previously used for the
batch in an inventory change report or in a previous physical inventory listing must be used.

10. KMP:

Key measurement point. The codes are notified to the installation concerned in the particular safeguard provisions.
If no code has been specified, ‘&’ should be used.

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11. Measurement:

The basis on which the quantity of nuclear material reported was established has to be indicated. One of the
following codes must be used:

Measured

Estimated

Explanation

M

N

T

L

E

F

G

H

In the reporting material balance area

In another material balance area

In the reporting material balance area when the weights have
already been given in a previous inventory change report or
physical inventory listing

In another material balance area when the weights have
already been given in a previous inventory change report
or physical
the present material
balance area

inventory listing for

12. Element category:

The following categories of nuclear material must be used:

Category

Plutonium

High enriched uranium (20 % enrichment and above)

Low enriched uranium (higher than natural and less than 20 % enrichment)

Natural uranium

Depleted uranium

Thorium

13. Material form:

The following codes must be used:

Main category

Subcategory

Ores

Concentrates

Uranium hexafluoride (UF6)

Uranium tetrafluoride (UF4)

Uranium dioxide (UO2)

Uranium trioxide (UO3)

Uranium oxide (U3O8)

Thorium oxide (ThO2)

Solutions

Nitrate

Fluoride

Other

Code

P

H

L

N

D

T

Code

OR

YC

U6

U4

U2

U3

U8

T2

LN

LF

LO

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Main category

Subcategory

Code

Powder

Ceramics

Metal

Fuel

Sealed sources

Small quantities/samples

Homogeneous

Heterogeneous

Pellets

Spheres

Other

Pure

Alloys

Rods, pins

Plates

Bundles

Assemblies

Other

—

—

Scrap

Homogeneous

Heterogeneous (clean-outs, clinkers, sludges,
fines, other)

Solid waste

Hulls

Mixed (plastics, gloves, papers, etc.)

Contaminated equipment

Liquid waste

Conditioned waste

Other

Low active

Medium active

High active

Vitrified

Glass

Bitumen

Concrete

Other

PH

PN

CP

CS

CO

MP

MA

ER

EP

EB

EA

EO

QS

SS

SH

SN

AH

AM

AC

AO

WL

WM

WH

NV

NG

NB

NC

NO

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14. Material container:

The following codes must be used:

Type of container

Code

Cylinder

Pack

Drum

Discrete fuel unit

Bird cage

Bottle

Tank or other container

Other

15. Material state:

The following codes must be used:

State

Fresh nuclear material

Irradiated nuclear material

Waste

Irrecoverable material

C

P

D

S

B

F

T

O

Code

F

I

W

N

16. Line number:

Sequential number starting with 1 in each report, no gaps.

17. Items:

Each physical inventory line must indicate the number of items involved. If a group of items belonging to the same
batch are reported as several lines, the sum of the number of items reported must equal the total number of items
in the group. If the lines involve more than one element, the number of items should be declared in the line(s) for
the element of highest strategic value only (in descending order: P, H, L, N, D, T).

18. Element weight:

The weight of the element referred to in field 12 must be reported. All weights must be reported in grams. The
decimal digits appearing in the accounting lines can be reported up to a maximum of three decimal places.

19. Isotope:

This code indicates the fissile isotopes involved and should be used when the weight of fissile isotopes is reported.
Use the code G for U-235, K for U-233, and J for a mixture of U-235 and U-233.

20. Fissile weight:

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. All weights must be reported in grams.
The decimal digits appearing in the accounting lines can be reported up to a maximum of three decimal places.

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21. Obligation:

Indication of the particular safeguards obligation assumed by the Community under an Agreement concluded with
a third country or an international organisation, to which the material is subject (Article 18). The Commission will
communicate the appropriate codes to the installations.

22. Document:

Operator-defined reference to supporting document(s).

23. Container ID:

Operator-defined container number. Optional data element which can be used in those cases where the container
number does not appear in the batch designation.

24. Correction:

Corrections have to be made by deleting the wrong line(s) and adding the correct one(s), where appropriate. The
following codes must be used:

Code

D

A

L

Explanation

Deletion. The line to be deleted must be identified by indicating in field 25 the report number
(4), in field 26 the line number (16) and in field 29 the CRC (28) which were declared for the
original line. Other fields need not be reported

Addition (forming part of a deletion/addition pair). The correct line must be reported with all
data fields including the ‘previous report’ field (25) and the ‘previous line’ field (26). The
‘previous line’ field (26) must contain the line number (16) of the line being replaced by the
deletion/addition pair

Late line (stand-alone addition). The late line to be added must be reported with all data fields,
including the ‘previous report’ field (25). The ‘previous report’ field (25) must contain the report
number (4) of the report in which the late line should have been included

25. Previous report:

Indicate the report number (4) of the line to be corrected.

26. Previous line:

For deletions, or additions forming part of a deletion/addition pair, indicate the line number (16) of the line to be
corrected.

27. Comment:

Free-text comment field for short comments by operator (replaces separate concise note).

28. CRC:

Hash code of line for quality control purposes. The Commission will inform the operator of the algorithm to be
used.

29. Previous CRC:

Hash code of the line to be corrected.

GENERAL REMARKS CONCERNING THE COMPLETION OF THE REPORTS

If, on the date the physical inventory was taken, there was no nuclear material in the material balance area, only fields 1,
5, 7 and 17 above should be completed on the report.

General remarks 2, 3, 4, 5 and 6 at the end of Annex III apply mutatis mutandis.

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COMMISSION OF THE EUROPEAN COMMUNITIES — EURATOM SAFEGUARDS

ANNEX VI

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COMMISSION OF THE EUROPEAN COMMUNITIES — EURATOM SAFEGUARDS

ANNEX VII

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COMMISSION OF THE EUROPEAN COMMUNITIES — EURATOM SAFEGUARDS

ANNEX VIII

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COMMISSION OF THE EUROPEAN COMMUNITIES — EURATOM SAFEGUARDS

ANNEX IX

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X

X
E
N
N
A

S
D
R
A
U
G
E
F
A
S
M
O
T
A
R
U
E
—
S
E
I
T
I
N
U
M
M
O
C

N
A
E
P
O
R
U
E

E
H
T

F
O
N
O
I
S
S
I
M
M
O
C

24.9.2002

EN

Official Journal of the European Communities

C 227 E/285

C 227 E/286

EN

Official Journal of the European Communities

24.9.2002

COMMISSION OF THE EUROPEAN COMMUNITIES — EURATOM SAFEGUARDS

ANNEX XI

Guidelines for communicating the outline programme of activities

Communications should, if possible, cover the next 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, UO2, fresh or

irradiated fuels, etc.), anticipated type of container or packaging;

— anticipated schedule of waste processing campaigns (other than repackaging, or further conditioning without
the form (glass, high active liquid, etc.),

separation of elements), stating the amount of material per batch,
anticipated duration and location;

— dates by which the quantity of material in products is expected to be determined, and dates of dispatch;

— dates and duration of physical inventory taking.

NB:

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

This communication, duly completed and signed, must be forwarded to the European Commission, Euratom Safeguards
Office, L-2920 Luxembourg.

COMMISSION OF THE EUROPEAN COMMUNITIES — EURATOM SAFEGUARDS

ANNEX XII

.

.

2
4
9
2
0
0
2

E
N

O

f
f
i
c
i
a
l

J
o
u
r
n
a
l

o
f

t
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m
u
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s

C

2
2
7
E
/
2
8
7

C 227 E/288

EN

Official Journal of the European Communities

24.9.2002

24.9.2002

EN

Official Journal of the European Communities

C 227 E/289

COMMISSION OF THE EUROPEAN COMMUNITIES — EURATOM SAFEGUARDS

ANNEX XIII

C 227 E/290

EN

Official Journal of the European Communities

24.9.2002

COMMISSION OF THE EUROPEAN COMMUNITIES — EURATOM SAFEGUARDS

ANNEX XIV

24.9.2002

EN

Official Journal of the European Communities

C 227 E/291

COMMISSION OF THE EUROPEAN COMMUNITIES — EURATOM SAFEGUARDS

ANNEX XV