Article 1 Scope
This Regulation shall apply to any person or undertaking setting up or operating an installation for the production, separation, reprocessing, storage, disposal or other use of nuclear material. It shall not apply to holders of end products, such as alloys or ceramics, used for non-nuclear purposes which incorporate nuclear materials that are in practice irrecoverable, nor to holders of mineral materials other than ores, and related processed substances, which are used for non-nuclear purposes and not for obtaining source material.
Article 2 Definitions
For the purpose of this Regulation: (1) ‘non-nuclear-weapon Member States’ means Belgium, Bulgaria, Czechia, Denmark, Germany, Estonia, Ireland, Greece, Spain, Croatia, Italy, Cyprus, Latvia, Lithuania, Luxembourg, Hungary, Malta, Netherlands, Austria, Poland, Portugal, Romania, Slovenia, Slovakia, Finland, and Sweden; (2) ‘nuclear-weapon Member State’ means France; (3) ‘third country’ means any State which is not a member of the Community; (4) ‘nuclear material’ means ores, source materials or special fissile materials as defined in Article 197 of the Treaty; (5) ‘ores’ means ores as defined in Article 197, point 4, of the Treaty and as specified in the EAEC Council Regulation No 9 ( 11 ) ; (6) ‘categories’ (of nuclear material) are natural uranium, depleted uranium, uranium enriched in uranium-235 or uranium-233 to less than 20 %, uranium enriched in uranium-235 or uranium-233 to 20 % and above, thorium, plutonium, and any other material specified by the Council in accordance with the provisions of Art 197 of the Treaty; (7) ‘waste’ means nuclear material in concentrations or forms which make the nuclear material not recoverable for practical or economic reasons, for which no further use is foreseen and which may be disposed of; (8) ‘retained waste’ means waste, generated from processing or from an operational accident, that is measured or estimated on the basis of measurements, that has been transferred to a specific location within the material balance area from which it can be retrieved, and that is deemed to be not recoverable for the time being; (9) ‘conditioned waste’ means waste in which nuclear material, measured or estimated on the basis of measurements, has been conditioned in such a way (for example, in glass, cement, concrete or bitumen) that it is not suitable for further nuclear use; (10) ‘discards to the environment’ means nuclear material, measured or estimated on the basis of measurements, that has been irrevocably discarded into the environment as the result of a planned discharge and in such a way that it is not suitable for further use; (11) ‘disposal’ means the emplacement of waste, spent fuel or any other nuclear material in an installation without the intention of retrieval; (12) ‘spent fuel’ means nuclear fuel that has been irradiated in and permanently removed from a reactor core; spent fuel may either be considered as a usable resource that can be reprocessed or may be disposed of if no further use is foreseen; (13) ‘item’ means an identifiable unit such as a fuel assembly or a fuel pin; (14) ‘batch’ means a portion of nuclear material handled as a unit for accounting purposes at a key measurement point and for which the composition and quantity are defined by a single set of specifications or measurements; the nuclear material may be in bulk form or contained in a number of items; (15) ‘batch data’ means the total weight of each category of nuclear material and, in the case of plutonium and uranium, the isotopic composition when appropriate; for reporting purposes the weights of individual items in the batch shall be added together before rounding to the nearest unit; (16) ‘effective kilogram’ is a special unit used in the context of safeguarding nuclear material, obtained by taking: (a) for plutonium, its weight in kilograms; (b) for uranium with an enrichment of 0,01 (1 %) and above, its weight in kilograms multiplied by the square of its enrichment; (c) for uranium with an enrichment below 0,01 (1 %) and above 0,005 (0,5 %), its weight in kilograms multiplied by 0,0001; and (d) for depleted uranium with an enrichment of 0,005 (0,5 %) or below, and for thorium, its weight in kilograms multiplied by 0,00005; (17) ‘material balance area’ (MBA) means an area such that, for the purpose of establishing the material balance: (a) the quantity of nuclear material in each transfer into or out of each material balance area can be determined; and (b) the physical inventory of nuclear material in each material balance area can be determined when necessary in accordance with specified procedures; (18) ‘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; (19) ‘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; (20) ‘physical inventory’ means the sum of all the measured batch quantities or derived estimates of batch quantities of nuclear material on hand at a given time within a material balance area, obtained in accordance with specified procedures; (21) ‘material unaccounted for’ means the difference between the physical inventory and the book inventory; (22) ‘shipper/receiver difference’ means the difference between the quantity of nuclear material in a batch as measured at the receiving material balance area and the quantity as stated by the shipping material balance area; (23) ‘source data’ means those data, recorded during measurement or calibration or used to derive empirical relationships, which identify nuclear material and provide batch data, including: weight of compounds; conversion factors to determine weight of element; specific gravity; element concentration; isotopic ratios; relationship between volume and manometer readings; and relationship between plutonium produced and power generated; (24) ‘site’ means an area delimited by the Community and a non-nuclear-weapon Member State, comprising one or more installations, including closed-down installations, as defined in their relevant basic technical characteristics, whereby: (a) in the case of a closed-down installation where source material or special fissile material in quantities of less than one effective kilogram was customarily used, the meaning of ‘site’ is limited to locations with hot cells or where activities related to conversion, enrichment, fuel fabrication or reprocessing were carried out; (b) ‘site’ also includes all plants co-located with the installations which provide or use essential services including hot cells for processing irradiated materials not containing nuclear material; plants for the treatment, storage and disposal of waste; and buildings associated with activities specified in Annex 1 to Additional Protocol 1999/188/Euratom and identified by the State concerned; (c) in the case of a national Location Outside Facility (LOF), all included holders of small amounts of nuclear material may together constitute one site; (25) ‘hot cell’ means a cell or interconnected cells totalling at least 6 m 3 in volume with shielding equal to or greater than the equivalent of 0,5 m of concrete, with a density of 3,2 g/cm 3 or greater, outfitted with equipment for remote operations; (26) ‘site representative’ means any person, undertaking or entity designated by a non-nuclear-weapon Member State as being responsible for the declaration referred to in Article 6(1); (27) ‘installation’ means, from the planning stage until it is confirmed as decommissioned: (a) a reactor, a critical installation, a conversion plant, a fabrication plant, a reprocessing plant, an isotope separation plant, a separate storage installation, an encapsulation plant, a geological repository, a waste treatment, waste storage or waste disposal installation or any other location where source material or special fissile material is held or is customarily used in amounts greater than one effective kilogram; (b) any LOF; (c) any location where, in order to obtain source materials, ores are extracted, kept or processed; (28) ‘Location Outside Facilities’ (LOF) means a location not covered under the definition set out in point 27(a) where source material or special fissile material is held or customarily used in amounts of one effective kilogram or less; (29) ‘national Location Outside Facilities’ means a particular LOF comprising holders of small amounts of nuclear material in line with criteria agreed between the Member States where the material is held and the Commission; (30) ‘Catch All MBA’ (CAM) means a particular LOF comprising small amounts of nuclear material according to criteria set out in Annex I-N; (31) ‘closed-down’ means, when referring to an installation, that it has been verified that operations have been stopped and that all nuclear material subject to Euratom safeguards has been removed; (32) ‘under decommissioning’ means, when referring to an installation, that activities on dismantling, or recovery and removal of nuclear material or the removing or rendering inoperable of essential equipment are ongoing with the aim of decommissioning the installation; (33) ‘decommissioned’ means, when referring to an installation, that it has been verified that all nuclear material subject to Euratom safeguards has been removed and residual structures and equipment essential for using the installation for purposes other than disposal of nuclear material which is no longer subject to Euratom safeguards have been removed or rendered inoperable so that processing or utilization of nuclear material is no longer possible; (34) ‘operator’ means any person or undertaking, including any organisation, planning to set up or legally responsible for setting up or operating an installation; (35) ‘equivalence principle’ means that a particular safeguard obligation applying to a quantity of nuclear material may be transferred to another quantity of nuclear material, subject to equivalence criteria; (36) ‘equivalence criteria’ means specific criteria to be fulfilled with regard to the quantity, category, isotopic composition, physical form, chemical form and material state of nuclear material in order to apply the equivalence principle; (37) ‘proportionality principle’ means that, when nuclear material subject to a particular safeguard obligation is mixed or transformed in a given proportion with nuclear material not subject thereto, the product, by-product, waste or losses generated from processing is subject to the particular safeguard obligation in the same proportion; (38) ‘pool accounting’ means a specific accounting method whereby a unique obligation code (pool code) is used to declare book inventories and physical inventory listings to the Commission pursuant to Articles 14 and 15, although the nuclear material may be subject to various particular safeguard obligations; (39) ‘accountancy pool’ means the scope within which the application of pool accounting has been authorised in one or several material balance areas.
Article 3 Declaration of the basic technical characteristics
1. Operators shall declare to the Commission the basic technical characteristics of their installations. For installations referred to in Article 2, point (27)(c), the provisions of Articles 27 and 28 apply. For installations referred to in Article 2, point (29), the provisions of Article 37 apply. For new installations referred to in Article 2, point (27)(a), a preliminary declaration shall be submitted to the Commission and the Member State concerned as soon as the main design options are defined to enable the inclusion of safeguards considerations early in the installation’s planning stage. 2. Whenever basic technical characteristics are declared for the first time (‘initial declaration of the basic technical characteristics’) or updated, the relevant questionnaire in Annex I shall be used in order to fill in the relevant information applicable to the installation. 3. The declaration of the basic technical characteristics shall be submitted electronically. 4. The Commission’s inspectors shall transmit initial observations including on essential equipment, where applicable, or request additional initial information within 6 months of the operator’s declaration of the basic technical characteristics. If requested, further explanations in connection with the information submitted in the declaration of the basic technical characteristics shall be provided to the Commission within 30 days, or within a different agreed timeframe.
Article 4 Time-limits for the initial declaration of the basic technical characteristics
1. The complete declaration of the basic technical characteristics of new installations shall be submitted 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. 2. For new installations referred to in Article 2, point (27)(a), all available information relating to the owner, operator, location, installation purpose and type, capacity as well as pre-operation information shall be communicated to the Commission as soon as the information is available or within a different timeframe agreed upon by the operator, the Member State and the Commission based on the preliminary declaration of the basic technical characteristics referred to in Article 3(1), fourth subparagraph, which shall not be later than the first submission of the application for a construction licence. To facilitate the inclusion of safeguards considerations early in the design process of installations, the type, form and expected throughput and inventories of nuclear material as well as drawings indicating expected flows and storage of nuclear materials may also be provided to the Commission as part of the information referred to in the first subparagraph. 3. Any operator of an installation planning to use techniques for the chemical processing of irradiated materials shall provide, at the same time as the information referred to in paragraph 2, any additional information needed to enable the Commission to approve those techniques as required by Article 78 of the Treaty. 4. Information required under paragraphs 2 and 3 shall be provided in the dedicated fields of the relevant questionnaire in Annex I. 5. Any operator of an installation in the territory of a State acceding to the European Union shall declare to the Commission the basic technical characteristics of that installation within 30 days of the date of entry into force of this Regulation in that State, or within a different agreed timeframe.
Article 5 Declaration of changes to the basic technical characteristics
1. Significant changes in the information referred to in Article 4(2) and (3) shall be declared to the Commission and the relevant Member State whenever the notified design of the installation is modified, or within a different agreed timeframe. 2. Significant changes in the basic technical characteristics regarding the purpose, type or layout of the installation and in particular changes affecting the access routes to areas where nuclear materials are used or stored shall be declared as soon as the decision on their implementation is taken, and not later than 20 days before the work on the modification is scheduled to commence. Additional requirements regarding changes in the basic technical characteristics to be declared in advance may be specified in the particular safeguard provisions referred to in Article 8. 3. Changes in the basic technical characteristics for which advance declaration is not required under paragraph 2 shall be declared within 30 days after the modification is complete. Decommissioning plans and timeframes for their implementation shall be declared using the dedicated fields of the relevant questionnaire in Annex I when they have been adopted or decided, respectively. Any update shall be declared whenever the information provided in the questionnaire changes. 4. Changes in the basic technical characteristics resulting from decommissioning activities shall be declared monthly, by the end of the following month, but only if the information in the relevant questionnaire in Annex I has changed during the month.
Article 6 Declaration of a general description of the site
1. Each Member State which is a party to Additional Protocol 1999/188/Euratom shall designate a site representative for each site on its territory, who shall submit to the Commission a declaration containing a general description of the site, in accordance with Annex II of this Regulation. The declaration of a general description of the site shall be submitted within 120 days of the date of entry into force of Additional Protocol 1999/188/Euratom in the Member State concerned and an update shall be submitted by 1 April of each year. The declaration of a general description of the site and its update shall be submitted electronically. The declaration of a general description of the site shall fulfil the requirements of Article 2, point (a) (iii), of Additional Protocol 1999/188/Euratom and shall be separate from the declaration of the basic technical characteristics. 2. While the site representative carries the responsibility for the timely collection of the relevant information and the submission of the declaration of a general description of the site to the Commission, the responsibility for the correctness and the completeness of that declaration remains with the persons or undertakings setting up or operating the installation; for buildings on a site which do not involve nuclear material, that responsibility remains with the Member State concerned. 3. If requested, further details or explanations in connection with the information submitted in the declaration of a general description of the site shall be provided to the Commission within 15 days.
Article 7 Programme of activities
1. To enable the Commission to plan its safeguards activities, operators shall communicate electronically to the Commission the following information: (a) an outline programme of activities on the basis of Annex XI, indicating, in particular, provisional dates for taking a physical inventory; (b) at least 40 days before taking a physical inventory, the programme for such work. For installations referred to in Article 2, point (27)(b), as a minimum the provisional dates for taking a physical inventory shall be provided. Changes affecting the outline programme of activities and, in particular, the taking of physical inventories shall be communicated to the Commission without delay. 2. Unless otherwise specified in the particular safeguard provisions referred to in Article 8, the programme of activities shall be communicated annually, at the latest on 15 November of the preceding year.
Article 8 Particular safeguard provisions
1. Acting on the basis of the declaration of the basic technical characteristics, the Commission adopts particular safeguard provisions relating to the matters set out in paragraph 2. Those particular safeguard provisions may be revised at the request of the Member State concerned. For installations referred to in Article 2, point (27)(a), the particular safeguard provisions shall be drawn up by means of a Commission decision addressed to the operator concerned, taking account of operational and technical constraints and after close consultation with the operator concerned and the relevant Member State. For installations referred to in Article 2, point (27)(b), a single Commission decision addressed to several or all operators concerned may be drawn up, setting out the particular safeguard provisions. These particular safeguard provisions shall be set out after close consultation with the operators concerned and the relevant Member State. The operator to whom a decision of the Commission is addressed shall be notified thereof, and a copy of such notification shall be transmitted to the relevant Member State. 2. For installations referred to in Article 2, point (27)(a), the particular safeguard provisions shall include the following: (a) the material balance areas and the selection of key measurement points for determining the flow and stocks of nuclear materials; (b) the changes in basic technical characteristics for which advance notification is required; (c) the procedures for keeping records of nuclear materials for each material balance area and for drawing up reports; (d) the frequency of, and procedures for, taking physical inventories for accounting purposes as part of safeguards measures; (e) the containment and surveillance measures, in accordance with the arrangements agreed upon with the operator concerned; (f) the arrangements for sample-taking by the operator solely for safeguards purposes; (g) the list of essential equipment for the installation. For installations referred to in Article 2, point (27)(b), the particular safeguard provisions may be limited to points (a), (c) and (d) of the first subparagraph of this paragraph. 3. The particular safeguard provisions may also specify: (a) the content of subsequent communications required under Article 7 or 16; (b) the conditions under which the provisions of this Regulation apply, in particular the conditions under which shipments and receipts of nuclear material require advance notification; (c) other agreed safeguards measures considered necessary to ensure that nuclear materials are not diverted from their intended uses, in accordance with the arrangements with the operator concerned. 4. The Commission shall reimburse the operator concerned the cost of 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, exclusively based on an agreement defining those costs and the conditions of their reimbursement. Works executed by the operator before the signature of the agreement shall not be reimbursable. The reimbursement shall be limited to the amount necessary to balance the costs incurred by the operator for the special services and shall not include any profit. The procedure to be followed for the operator to claim reimbursement of the cost related to the inspections shall be described in the guidelines referred to in Article 42.
Article 9 Accounting system
1. Starting from the moment operators hold nuclear material, they shall maintain a system of accountancy and control for nuclear materials, which shall be effective in preventing, detecting and timely fixing irregularities leading to situations where nuclear material is incorrectly accounted for. This system shall include accounting and operating records and, in particular, information on the quantities, category, form and composition of nuclear materials as provided for in Article 21, their actual location and the particular safeguard obligation as provided for in Article 19, together with details of the recipient or shipper when nuclear materials are transferred. 2. The system of measurements on which the records are based shall comply with the most recent international standards or shall be equivalent in quality to those standards. On the basis of those records, it must be possible to draw up and substantiate all accounting declarations made to the Commission. All records related to nuclear materials shall be retained as long as the nuclear materials are present in the installation, and for at least 5 years after the nuclear materials stopped being present in the installation, unless agreed otherwise. Further details may be specified in the particular safeguard provisions referred to in Article 8 for each installation. 3. Accounting and operating records shall be made available in electronic form, if they are kept in this form by the installation. For installations referred to in Article 2, point (27)(a), an up-to-date list of inventory items shall be made available to the Commission’s inspectors in electronic form upon reasoned request, using the available information in accordance with the indicative format set out in Annex X.
Article 10 Operating records
1. For each material balance area of an installation, the operating records shall include, where appropriate: (a) the operating data used to determine all changes in the quantities and composition of nuclear material present in the installation, including shipping documents for both received and shipped batches of nuclear material; (b) a list of inventory items and their location, kept up to date to the best extent possible; (c) the data, including derived estimates of random errors and systematic errors, obtained from the calibration of tanks and instruments as well as from sampling and analysis; (d) the data resulting from quality control measures applied to the nuclear material accountancy system, including derived estimates of random errors and systematic errors; (e) a description of the sequence of actions taken to prepare for, and take, a physical inventory, and to ensure that the inventory is correct and complete; (f) a description of the actions taken to recognise, investigate and solve nuclear material accountancy and control discrepancies that have arisen; (g) the results from inventory control procedures and, for bulk-handling installations, the results of the tests for acceptance of the material balance, taking into account justified measurement and process uncertainties; (h) a description of the actions taken to ascertain the cause and magnitude of any accidental or unmeasured loss that might have occurred; (i) the isotopic composition of plutonium, including its decay isotopes, and reference dates, if recorded at the installation for operational needs. 2. Original operating records shall be made available to the Commission’s inspectors, in electronic form if available. Upon a reasoned request and in compliance with Article 40(2), copies of operating records shall be communicated to the Commission, in electronic form if available. Upon a reasoned request by the operator, special arrangements concerning the form and transmission of the information may be agreed.
Article 11 Accounting records
In respect of each material balance area, the accounting records shall contain the following: (a) all inventory changes, so that the book inventory can be determined at any time; (b) all measurement and counting results used to determine the physical inventory; (c) all corrections made to inventory changes, book inventories and physical inventories. The accounting records relating to any inventory change and physical inventory shall include the material identification, batch data and source data for each batch. These records shall account separately for uranium, thorium and plutonium, in accordance with the categories listed in Article 21(2), point (b). In addition, for each inventory change, the date of the change and, when appropriate, the dispatching material balance area or the shipper and the receiving material balance area or the recipient shall be indicated.
Article 12 Accounting reports
Starting from the moment operators hold nuclear material, they 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 electronically. Upon a reasoned request, further details or explanations in connection with those accounting reports shall be provided to the Commission within 3 weeks or within a different agreed timeframe.
Article 13 Initial book inventory
Any operator in the territory of a State acceding to the European Union shall provide the Commission, within 30 days of the date of entry into force of this Regulation in that State, with an initial book inventory of all nuclear materials it is holding, including nuclear materials previously considered as retained waste and nuclear materials previously exempted from IAEA safeguards, except nuclear material on which IAEA safeguards were terminated. The format set out in Annex V shall be used.
Article 14 Inventory change report
1. Starting from the moment operators hold nuclear material and for each material balance area, they shall provide the Commission with inventory change reports in respect of all nuclear materials using the format set out in Annex III. Unless otherwise specified in the particular safeguard provisions referred to in Article 8 for an installation, inventory change reports shall be sent monthly, at the latest 15 days after the end of the month, and shall state all inventory changes which have occurred or become known during that month. 2. For months in which a physical inventory is taken, and the physical inventory taking date is not the last day of the month, two separate inventory change reports shall be provided: (a) a first inventory change report containing any inventory changes up to and including the physical inventory taking date, which shall be sent at the latest, together with the second inventory change report, or together with the physical inventory listing and the material balance report if the latter are sent before the second inventory change report; (b) a second inventory change report containing all inventory changes from the first day after the physical inventory taking date to the end of the month, which shall be sent within 15 days of the end of the month. 3. For months in which no inventory changes occur, operators concerned shall send the inventory change report, carrying over the ending book inventory of the previous month. 4. In order that 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 8 for the installation concerned. 5. Inventory change reports may be accompanied by comments explaining the inventory changes.
Article 15 Material balance report and physical inventory listing
1. For each material balance area, operators shall transmit to the Commission: (a) material balance reports, in the format set out in Annex IV, indicating: (i) beginning physical inventory; (ii) inventory changes (first increases, then decreases); (iii) ending book inventory; (iv) ending physical inventory; (v) material unaccounted for; (b) a physical inventory listing, in the format set out in Annex V, showing all batches separately. 2. The reports and the listing referred to in paragraph 1 shall be transmitted as soon as possible and at the latest within 30 days of the date on which a physical inventory was taken. 3. Unless otherwise specified in the particular safeguard provisions referred to in Article 8 for an installation, a physical inventory listing, based on an actual inventory taking of all nuclear materials present in the material balance area, shall be produced every calendar year. The period between two successive physical inventory takings shall not exceed 14 months.
Article 16 Special reports
Operators shall transmit to the Commission a special report whenever any of the circumstances referred to in Article 17 or 25 arise. The special reports, and further details or explanations requested in connection with those reports, shall be provided to the Commission without delay. If further technical investigations are required, those special reports shall contain the information available on the date of reporting and be completed as soon as possible with the outcome of those investigations.
Article 17 Unusual occurrences
A special report shall be provided, as required in Article 16, in the following cases: (a) if, as a result of any unusual incident or circumstances, it is considered that there has been or might be an increase or a loss of nuclear material, including during transfer to or from the installation; in such case, the special report shall include a description of the incident or circumstances, the weights of uranium, thorium and plutonium, in accordance with the categories listed in Article 21(2), point (b), the weight of the fissile isotopes in the case of enriched uranium, as well as a description of how the weights were established, and any further actions taken, including to avoid recurrence of a loss; (b) if the containment has unexpectedly changed, to a point where an unauthorised removal of nuclear material has become possible; in such case, the special report shall include a description of the incident or circumstances, and it may also include a description of any actions taken to reduce the risk of unauthorised removal and to avoid recurrence. The operators concerned shall provide those special reports as soon as they have become aware of any such increase or loss or of any such sudden unexpected change, or of anything which leads them to consider that there has been such an occurrence. The causes for such unusual occurrences shall also be stated as soon as they are known. For each installation, further details on the information to be provided may be specified in the particular safeguard provisions referred to in Article 8.
Article 18 Reporting of nuclear transformations
In respect of reactors, calculated data on nuclear transformations shall be reported in the inventory change report at the latest when irradiated fuel is transferred from the reactor material balance area. In addition, other procedures for recording and reporting nuclear transformations may be specified in the particular safeguard provisions referred to in Article 8.
Article 19 Particular safeguard obligations
1. 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 be identified with the appropriate obligation code, as communicated by the Commission, in the following notifications and records: (a) initial book inventory provided for in Article 13; (b) inventory change reports, including ending book inventories, provided for in Article 14; (c) material balance reports and physical inventory listings provided for in Article 15; (d) intended exports and imports provided for in Articles 23 and 24; (e) accounting records provided for in Article 11, first paragraph, points (a) and (c). Unless specifically prohibited in any of those agreements with a third country or an international organisation, the identification of nuclear materials referred to in the first subparagraph shall not preclude the physical mixing of nuclear materials. 2. Where applicable, the attribution of obligation codes in the records provided for in Article 11 and in the reports provided for in Articles 14 and 15 shall comply with the proportionality principle. 3. Paragraph 1 shall not apply to any agreement concluded by the Community and the Member States with the International Atomic Energy Agency.
Article 20 Pool accounting and obligation exchanges
1. The use, scope, reporting and modalities of pool accounting require prior authorisation by the Commission, which may be granted on a case-by-case basis if such use is justified in view of the type and activities of the installation and in accordance with criteria described in the recommendation referred to in Article 42. The modalities of pool accounting shall not prejudice the fulfilment of the commitments of the Community, such as respect for the equivalence principle and the proportionality principle. A reasoned and motivated request for authorising the use of pool accounting shall be submitted in writing to the Commission, with a proposal of pool accounting modalities. 2. The pool code, as communicated by the Commission, shall be used to identify all nuclear materials in the accountancy pool in the reports provided for in Articles 14 and 15. The total amounts of nuclear materials assigned to the pool shall be known at all times for each obligation code and shall be provided to the Commission each month in the form of an electronic pool report. 3. The authorisation referred to in paragraph 1 may be withdrawn if the provisions of this Regulation or the conditions specified in the authorisation are no longer met. 4. Particular safeguard obligations as referred to in Article 19 may be exchanged between two quantities of nuclear materials, subject to equivalence criteria applicable to the relevant NCA and to specific conditions communicated to the operator within an agreed timeframe after the request and all relevant information is received. A reasoned and motivated request for an exchange of obligations shall be submitted electronically to the Commission using the form set out in Annex XVI. The operator concerned shall be informed within an agreed timeframe whether the conditions for the exchange of obligations are met.
Article 21 Weight units and categories of nuclear materials
1. In any notification referred to in this Regulation, 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. 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. 2. Unless otherwise provided for in the particular safeguard provisions referred to in Article 8, any notification referred to in this Regulation shall include the following: (a) the total weight of the elements uranium, thorium and plutonium, and also, for enriched uranium, the total weight of the fissile isotopes; (b) separate material balance reports as well as separate line entries in inventory change reports and in physical inventory listings for the following categories of nuclear material: (i) depleted uranium; (ii) natural uranium; (iii) uranium enriched to less than 20 %; (iv) uranium enriched to 20 % and above; (v) plutonium; (vi) thorium.
Article 22 Derogations
1. An operator may be derogated from the rules governing the frequency of the inventory change reports provided for in Article 14, in order to take account of any particular circumstances in which safeguarded materials are used or produced. A request for such derogation shall be submitted electronically to the Commission by the operator concerned using the format set out in Annex IX. Such derogation may only apply to a whole material balance area in which nuclear material is not processed or stored together with nuclear material for which no derogation is granted. 2. A derogation may apply to a material balance area holding: (a) quantities of nuclear material commensurate with those specified in Annex I-N, which are kept in the same state for long periods; (b) depleted uranium, natural uranium or thorium which is used exclusively in non-nuclear activities; (c) special fissile materials when used in gram quantities or less as sensing components in instruments; (d) plutonium with an isotopic concentration of plutonium-238 exceeding 80 %. 3. The operator and the Member State concerned shall be informed whether the conditions for derogation set out in paragraphs 1 and 2 are met. If those conditions are met, an annual inventory change report shall be transmitted electronically to the Commission by 31 January, using the format set out in Annex III. That report shall describe the situation at 31 December of the previous calendar year. At the same time, a material balance report and a physical inventory listing showing all batches separately shall be transmitted electronically using the formats set out in Annexes IV and V. 4. In addition, in the case of an inventory change occurring during the year in a material balance area to which a derogation applies, the operator concerned shall transmit electronically an inventory change report to the Commission as soon as possible and, at the latest, within 15 days of the end of the month in which the inventory change occurred, using the format set out in Annex III. 5. If the conditions for derogation set out in paragraphs 1 and 2 are no longer met, and after verification with the operator concerned, the operator concerned and the relevant Member State shall be informed that the derogation no longer applies.
Article 23 Exports and shipments
1. Operators shall give advance notification to the Commission if any source materials or special fissile materials: (a) are exported to a third country; (b) are shipped from a non-nuclear-weapon Member State to a nuclear-weapon Member State; or (c) are shipped from a nuclear-weapon Member State to a non nuclear-weapon Member State. 2. Advance notification shall be 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 exceeds or may exceed one effective kilogram in any consecutive period of 12 months, even though no single consignment exceeds one effective kilogram. 3. The advance notification shall be given after the conclusion of the contractual arrangements leading to the transfer, using the form set out in Annex VI, and it shall reach the Commission at least 8 working days before the material is to be packed for transfer. 4. Where a prior consent by a third country is required for the transfer, the transfer shall not take place before confirmation by the Commission that such prior consent has been granted. 5. On a reasoned request by the operator, special arrangements concerning the form and transmission of the advance notification may be agreed. 6. Exports and shipments of nuclear material contained in waste or ores are not subject to the provisions of paragraphs 1 to 4.
Article 24 Imports and receipts
1. Operators 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; or (c) are received in a nuclear-weapon Member State from a non nuclear-weapon Member State. 2. Advance notification shall be required only: (a) where the consignment exceeds one effective kilogram; or (b) where an installation imports or receives a total quantity of materials from the same State that exceeds or may exceed one effective kilogram in any consecutive period of 12 months, even though no single consignment exceeds one effective kilogram. 3. The advance notification shall be given as far in advance as possible of the expected arrival of the material and, at the latest, on the date of receipt, using the form set out in Annex VII, and shall reach the Commission at least 5 working days before the material is unpacked. 4. On a reasoned request by the operator, special arrangements concerning the form and transmission of the advance notification may be agreed. 5. This Article shall not apply to imports and receipts of nuclear material contained in waste or ores.
Article 25 Loss or delay during transfer
A special report as referred to in Article 16 shall be submitted by the operators notifying a transfer under Article 23 or 24 where, following exceptional circumstances or an incident, they have received information that nuclear materials have been lost or appear to be lost, or where there has been a considerable delay during transfer. In such cases, the special report shall include a description of the incident or circumstances and may also include any further actions taken. For each installation, further details on the information to be provided may be specified in the particular safeguard provisions referred to in Article 8.
Article 26 Communication of change of date
Any change of the dates indicated for packing before transfer, transport or unpacking of nuclear materials in the advance notifications referred to in Articles 23 and 24 shall be communicated without delay, with an indication of the revised dates if known, unless that change gives rise to a special report.
Article 27 Ore installations
1. Any operator of an installation referred to in Article 2, point (27)(c) in the territory of a Member State shall declare the basic technical characteristics of the installation to the Commission, using the questionnaire in Annex I-Q, at least 120 days before the extraction of ores commences, and shall communicate the programme of activities in accordance with Article 7. 2. By way of derogation from Articles 9, 10 and 11, any operator extracting or keeping ores shall keep accounting records indicating, in particular, the quantities of ores extracted, with the average uranium and thorium content, and the stock of extracted ores at the mine. The records shall also contain details of shipments, stating the date, consignee and quantity in each case. Such records shall be retained for at least 5 years. 3. Any operator of an installation referred to in Article 2, point (27)(c), in the territory of a State acceding to the European Union shall declare to the Commission the basic technical characteristics of that installation within 30 days of the date of entry into force of this Regulation in that State.
Article 28 Ore shipment/export reports
By way of derogation from Articles 12 to 19 and Article 21, any operator extracting ores or keeping ores shall report to the Commission, using the form set out in Annex VIII, on: (a) the amount of material dispatched from each mine, by 31 January of each year for the previous calendar year; and (b) exports of ores to third countries, by the date of the dispatch at the latest.
Article 29 Carriers and temporary storage agents
Any person or undertaking engaged, within the territories of the Member States, in transporting, or temporarily storing during transport, nuclear materials shall accept or hand over such nuclear materials only against a duly signed and dated receipt. This receipt shall state the names of the parties handing over and receiving the nuclear materials and indicate the quantities carried as well as the category, form and composition of the nuclear materials. If so required for reasons of physical protection, the description of the nuclear materials transferred may be replaced by a suitable identification of the consignment. Such identification shall be traceable to records held by the operators shipping and receiving the nuclear materials. Those records shall be retained by the contracting parties for at least 5 years.
Article 30 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 be considered as being the records referred to in Article 29, provided that such records contain all the information required under that Article.
Article 31 Intermediaries
Any intermediaries taking part in the conclusion of any contract for the supply of nuclear materials, such as authorised agents, brokers or commission agents, shall keep all records relating to the transactions performed by them or on their behalf for at least 5 years after expiry of the contract. Such records shall contain the names of the contracting parties and indicate the date of the contract as well as the quantity, category, form, composition, origin and destination of the materials.
Article 32 Transmission of information and data
The Commission may transmit to the International Atomic Energy Agency information and data obtained pursuant to this Regulation.
Article 33 Waste initial stock list and accounting records
1. Any operator in the territory of a State acceding to the European Union holding nuclear material in conditioned waste on which IAEA safeguards were terminated shall provide to the Commission, within 30 days of the date of entry into force of this Regulation in that State, an initial stock list of all such nuclear material by category. 2. Any operator treating or storing nuclear material that has previously been declared as retained or conditioned waste, shall keep accounting records thereof. By way of derogation from Articles 9 to 13, Article 15 and Article 19(1) for material that has been previously declared as retained waste and from Articles 9 to 15 and Article 19(1) for material that has previously been declared as conditioned waste, those records shall include: (a) the operating data used to determine changes in the quantities and composition of nuclear material; (b) a stock list to be updated yearly after the physical inventory taking; (c) a description of the sequence of actions taken to prepare for and take a physical inventory, and to ensure that the inventory is correct and complete; (d) a description of the actions taken in order to ascertain the cause and magnitude of any accidental loss that might have occurred; (e) all stock changes, so that the book inventory can be established when requested. Specific reporting requirements for the processing of waste may be specified in the particular safeguard provisions referred to in Article 8.
Article 34 Processing of waste
Operators shall give advance notification to the Commission of any processing campaign of material that has previously been declared as retained or conditioned waste, excluding repackaging or further conditioning without separation of elements. That advance notification shall include information on the amount of plutonium, high enriched uranium and uranium-233 per batch, the form, such as glass or high active liquid, the expected duration of the campaign, and the location of the material before and after the campaign. Such notification shall be communicated electronically to the Commission using the form set out in Annex XII, at least 200 days before the campaign starts.
Article 35 Transfers of conditioned waste
Operators shall submit electronically by 31 January annual reports on: (a) shipments or exports of conditioned waste to an installation within or outside the territories of the Member States, using the form set out in Annex XIII; (b) receipts or imports of conditioned waste from an installation within or outside the territories of the Member States, using the form set out in Annex XIV; (c) changes in location of conditioned waste containing plutonium, high enriched uranium or uranium-233, using the form set out in Annex XV.
Article 36 Termination of safeguards
1. Safeguards under this Regulation may be terminated on nuclear material as follows: (a) nuclear material which is measured or estimated on the basis of measurements, and which has been irrevocably discarded to the environment as the result of a planned discharge; for this purpose, discards to the environment shall be declared in the inventory change report referred to in Article 14; (b) nuclear material considered as irrecoverable for practical or economic reasons which is incorporated in end products used for non-nuclear purposes such as alloys or ceramics; for this purpose, termination of use shall be declared in the inventory change report referred to in Article 14; (c) nuclear material contained in waste in very low concentrations measured or estimated on the basis of measurements, even if these materials are not disposed of; for this purpose, termination of safeguards shall be declared in the inventory change report referred to in Article 14; (d) nuclear material contained in conditioned waste in very low concentrations, which is already disposed of. For this purpose, termination of safeguards shall be declared in the inventory change report referred to in Article 14. 2. For termination of safeguards under paragraph 1, points (b), (c) and (d), a reasoned and justified request shall be transmitted by an operator to the Commission. The operator concerned and the relevant Member State shall be informed whether the conditions for termination of safeguards are met.
Article 37 National LOF
1. A national LOF, comprising individual holders of small amounts of nuclear material (‘smallholders’) within that Member State, may be put in place upon a request by the responsible authority of a Member State to the Commission. Several national LOFs may be put in place in a Member State. 2. The responsible authority shall supervise the national LOF and ensure implementation of Articles 3 to 7, 12 to 19, 21 and 23 to 26. 3. The combined inventory of source material and special fissile material in a national LOF shall not exceed one effective kilogram. 4. The declaration of the basic technical characteristics of the national LOF shall be submitted by the responsible authority to the Commission using the questionnaire in Annex I-M. Any update shall be submitted, at the latest, when transmitting the physical inventory listing referred to in Article 15. 5. The declaration of the basic technical characteristics shall describe how responsibilities are shared between the responsible authority and individual smallholders for the purpose of implementing Articles 9 to 11. 6. For the purpose of implementing Articles 9, 14 and 15, the responsible authority shall take appropriate measures to ensure that: (a) the physical inventory is taken by all individual smallholders comprising the national LOF and the data from the smallholders reflect the actual inventory at the date of the physical taking determined by the responsible authority; (b) the physical inventories of each individual smallholder can be identified in the physical inventory listing transmitted to the Commission; (c) the accounting reports are substantiated with the relevant operating records referred to in Article 10(1); (d) the provisions of this Regulation are effectively implemented within the scope of the national LOF.
Article 38 International obligations
1. The provisions of this Regulation, and in particular Article 6(1), Article 34 and Article 35, point (c), shall be applied in conformity with the obligations of the Community and non-nuclear weapon Member States under Additional Protocol 1999/188/Euratom. 2. The provisions of this Regulation, and in particular Articles 19, 20, 23 and 24 shall be applied in conformity with NCAs in force between the Community and third countries and in such a way that the Commission can fulfil the Community obligations on nuclear materials under such NCAs. 3. The provisions of this Regulation, and in particular Articles 9 to 18, 22 to 26 and 36, shall be applied in conformity with the obligations of the Community and its Member States under any Safeguards Agreements concluded with the International Atomic Energy Agency.
Article 39 Specific provisions applicable in the nuclear-weapon Member State
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 the nuclear-weapon Member State; nor (b) to nuclear materials which have been assigned to meet defence requirements by the nuclear-weapon Member State. 2. For nuclear materials, installations or parts of installations which are liable to be assigned to meet defence requirements and which are situated in the territory of the nuclear-weapon Member State, the extent of the application of this Regulation and the procedures under which it applies are defined in agreement between the Commission and the nuclear-weapon Member State, taking into account Article 84, second paragraph, of the Treaty. Such procedures are without prejudice to the possibility for the Commission’s inspectors to apply safeguards on the civil nuclear materials and to ensure compliance with Article 77 of the Treaty. Such procedures include provisions for installations or parts of installations under decommissioning. By way of derogation, it may be agreed, on a case-by-case basis, that specific records are presented to the Commission’s inspectors instead of the shipping documents referred to in Article 10(1)(a). 3. Notwithstanding paragraphs 1 and 2 of this Article: (a) the provisions of Articles 3(1), 4 and 8 shall apply to installations or parts of installations which at certain times are operated exclusively with nuclear materials liable to be assigned to meet defence requirements but which at other times are operated exclusively with civil nuclear materials; (b) the provisions of Articles 3(1), 4 and 8 shall apply, with exceptions for reasons of national security, to installations or parts of installations to which access could be restricted for such reasons but which produce, treat, separate, reprocess, store or use in any other way, simultaneously, both civil nuclear materials and nuclear materials assigned or liable to be assigned to meet defence requirements; (c) the provisions of Articles 2 and 7, Articles 9 to 37, paragraphs 1 and 2 of this Article and Articles 41, 42 and 43 shall apply in relation to all civil nuclear materials situated in the installations or parts of installations referred to in points (a) and (b) of this paragraph; (d) the provisions of Article 6, Article 34 and Article 35, point (c), shall not apply in the territories of the nuclear-weapon Member State.
Article 40 Confidentiality of data
1. The information obtained or handled by the Commission under this Regulation is subject to the security rules set out in Decisions (EU, Euratom) 2015/443 and (EU, Euratom) 2015/444, without prejudice to Regulation (Euratom) No 3. 2. The security of information transmission shall be in compliance with the Commission rules and Member State requirements for the transmission of such information.
Article 41 Installations controlled from outside the Community
Where an installation is controlled by a person or undertaking established outside the Community, any obligation laid down in this Regulation shall be fulfilled by the local management of that installation.
Article 42 Implementation and monitoring
1. The Commission shall adopt and publish guidelines for the application of this Regulation by means of a recommendation, and, if necessary, update them in the light of the experience gained, in close consultation with the Member States, and after having obtained observations from interested parties. 2. The Commission shall evaluate the application of this Regulation within 10 years of its entry into force. It shall report on the main findings to the Council.
Article 43 Repeal
Regulation (Euratom) No 302/2005 is repealed with effect from the date of entry into force of this Regulation. However, Annexes III to IX and XII to XV shall be repealed with effect from… [ 40 months after the date of publication of this Regulation ], and Annexes I, II and XI shall be repealed with effect from… [ 6 months after the date of publication of this Regulation ]. References to the repealed Regulation shall be construed as references to this Regulation.
Article 44 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 Union .