DECLASSHHED 7 Aumoritymmeasaoaa TIONAL ATOMIC ENERGY AGENCY Dian RESTRICTED 11 May 1959 Board of Governors Original ENGLISH THIS DOCUMENT IS TD MEMBERS OF THE AGENCY FOR OFFICIAL USE Item 14 of the previeiOnal agenda THE SAFEGUARDS memorandum by the Director General General censideraticns 1 In Article XII of the Statute it is provided that the Agency shall have rights and responsibilities to apply safeguards in certain circumstances With a view to enabling the Agency to give effect to this Article the Director General is submitting for the Board's consideration the two papers that are annexed to this document In annex I are set forth a number of general prin ciples for determining the relevancy of the safeguards which the Agency would apply under different conditionso Annex II contains a set of regulations gg designed to enable the Agency to implement the principles set forth in annex I 2 In recent months there have been several developments which make it desir- able for the Board now to decide on the principles on which the Agency's safee guards should be based and to adopt a set of regulations to govern the appli cation The main reasons are the followings The safeguards which the Agency is to apply in connexion with the supply of some three tons of natural uranium metal to the Japanese Government have not as yet been fully determined although the gr Government has been notified that the Agency is now elaborating general safeguards procedures Approval by the Board of such w procedures is therefore necessary to enable the Agency to specify the safeguards that will be applied to operations with the uranium after the Japanese reactor which it is to fuel has reached criticality l g 300 document letter specifying the initial safeguards to be applied under the agreement between the Agency and the Japanese Government 1 DECLASSHHED 5 Authority mm Gov 334 page 2 3 529' Some Member States have made preliminary enquiries regarding the possibilities of the Agency supplying them With source and special fissionadhanmterials and these States will need information as to the Agency safeguards that may be applied in conjunction with the supply of such materials Some member States have indicated that they may Wish the Agency to assume responsibility for the application of safeguards in connexion with the aesistanee they are new furnishing or will begin to furnish in the near future to other member States under bilateral agreements But the States furnishing assistance can take no decision to transfer such responsibilities to the Agency until it has decided what safe guards it considers relevant to various types of asSistanceg' The right and responsibility to formulate safeguards procedures is not unique to the Agency for other intergovernmental organizations-N are already taking steps in the same directiono It is clearly desirable to aim at as great a degree of uniformity as possible in all Safeguards having an international character but the Opportunity_to achieve this result may well be lost if the Agency does net undertake its statutory tasks in the near future and more particularly if the announcement of the principles on which Agency safeguards will be based is further delayed and Now that the Agency has been in existence for some two years it seems likely that the General Conference will be expecting to receive- from the Board at its third regular'session some indication of the progress that has been made to develop the agency s safeguards As a corollary to the preparation of the papers annexed to the present document the Secretariat is new drafting safeguards procedures that would be applied to the storage and processing of source and special fissionable materials by the Agency itself These procedures will cover the methods of accounting measuring storehousing and inventory control to be used and it is hoped to circulate a draft to member States for their comments during the course of the coming month It is foreseen that such procedures would after approval by the Board be issued as a manual that could be used by member States in drawing_up their own internal safeguards-procedures DECLASSIFIED mu Authoritng Gov 334 a page 2 Some Member States have made'preliminary enquiries regarding the possibilities of the Agency supplying them with source and special fissionahkinmterials and these States will need information as to the Agency safeguards that may be applied in conjunction with the supply of such materials 0 Some Member States have indicated that they may wish the Agency to 43 assume responsibility for the application of safeguards in connexion with the assistance they are now furnishing or will begin to furnish in the near future to other member States under bilateral agreements But the States furnishing assistance can take no decision to transfer such responsibilities to the Agency until it has decided what safe guards it considers relevant to various types of assistance ' The right and responsibility to formulate safeguards procedures is not unique'to the Agency for other intergovernmental organisations are already taking steps in the same directiono It is clearly desirable to aim at as great a degree of uniformity as possible in all safeguards having an international character but the opportunity to achieve this result may well be lost if the Agency does not undertake its statutory tasks in the near future and more particularly if the announcement of the principles on which Agency Safeguards will be based is further delayed and Now that the Agency has been in existence for some two years it seems likely that the General Conference will be expecting to receive from the Board at its third regular'session some indication of the progress that has been made to develop the Agency's safeguards 3 As a corollary to the preparation of the papers annexed to the present document the Secretariat is now drafting safeguards procedures that would-be applied to the storage and processing of source and special fissienable materials by the Agency itself These procedures will cover the methods of accounting 14' measuring storehousing and_inventory control to be used and it is hoped to circulate a draft to Member States for their comments during the ocurse of the coming month It is foreseen that such procedures would after approval by the Board be issued as a manual that could be used by member States in drawing up their own internal safeguards procedures DECLASSHHED page 3 Recommended action Ey the Board 4 In the light of the foregoing the Director General recommends the Board To approve the general principles set forth in annex I section as the basis for determining the relevancy of Agency safeguards to any Agency project or other arrangement where the Agency is required to apply safeguards and Having decided on the general principles for determining the relevancy of Agency safeguards to approve the regulations required to enable these principles to be applied t Authority W3 i soy 334 Annex I page 1 A THE-RELEVANCE AND METHOD OF APPLICATION OF AGENCY SAFEGUARDS 15 April 1959 I INTRODUCTION 1 Under the Statute the-Agency is authorized to establish and administer a system of safeguards to ensure as far as it is able that assistance provided by it or at its request is not used so as to further any military purpose The Agency may also if so requested by the State or States concerned apply this system of safeguards to a State's own nuclear activities or to any bilateral or multilateral arrangement _ The Agency must9 in addition establish standards of health and safety for-the protection of life and property _and provide for their application to operations for which the Agency is furnishing assistance and if requested to the activities of a State or to any bilateral or multilateral arrangement To enable the Agency to fulfil theSe duties the Statute provides that it shall have certain rights and responsibilities with respect to any project for which it gives its assistance and with respect to any arrangement where it is requested to apply safeguards as far as relevant to such project _or arrangement 2a So that the Agency may be able to fulfil these statutory duties it is proposed that general regulations for the application of safeguards shOuld be adopted in orders To enable a State or group of States applying for assistance by Dr through the Agency to consider in advance the Agency safeguards that may be applied in connexion with such assistance To enable the parties to a'bilateral or multilateral arrangement or a State to determine how Agency safeguards might be applied to certain activities at their or its own request and' - To enable the Board to determine readily what safeguards should be applied to Agency projects or to arrangements that the Agency has been requested to safeguard IL- DECLASSIFIED Authorlmmeessma Gov 334 Annex I page 2 II SCOPE OF THE SAFEGUARDS PROPOSALS 3 The general principles which if approved by the Board would be followed by the Agency in determining the safeguards that are relevant to various types_ of nuclear materials and activities are set forth in section of this annex Annex II contains a set of detailed regulations that the Secretariat would re quire for the application of safeguards on the basis of these principles These regulations lay down the procedures for the application of safeguards which it is expected the Agency may be required to apply in the next three years As further safeguards methods are developed the regulations may have to be modified accordingly 4 The Secretariat intends to continue to sponsor and conduct research to improve the methodology of-safeguards to make it possible to achieve the same or better results in security and safety with the least possible expense to the Agency and inconvenience to its Membersu The Secretariat intends in addition to continue to develop safeguards procedures that may be required in the_future 'for installations that are larger or for other types than those covered in annex II for example large power reactors reactors using large amounts of thorium chemical processing plants for irradiated materials or separation plants for isotopes of uranium or isotopes of plutonium GENERAL PRINCIPLES FOR DETERMINING THE RELEVANCY OF AGENCY SAFEGUARDS 5 To the extent specified below Agency safeguards would_be applied to source and special fissionable materials and to nuclear facilities supplied by the Agency or voluntarily placed under its control similarly source and special fissionable materials produced from or by the use of such materials or facilities would be subject to Agency safeguards The principal factors for determining the relevance of particular Agency safeguards to various_types of materials or facilities are The type and amount of assistance supplied by the Agency The dogree_to which this assistance could be used to further any military purpose and The health and safety hazards connected with the activity DECLASSHHED 5 Authority W3 5 Gov 334 Annex I page 3 7 In determining the application of Agency safeguards the Agency would take account of the total amount of materials and nuclear facilities in the State subject to safeguards by other organizations or States This total would in clude The source and Special fissionable materials and nuclear facilities subject to Agency safeguards and The source and Special fissionable materials subject to Safeguards by other organizations or States and those produced by nuclear facilities subject to safeguards_by such other organizations or States 'The type and extent of safeguards applied to materials and facilities subject to Agency safeguards would be determined as if the assistance referred to in sub paragraphs and above were supplied by the Agency but taking into account the safeguards applied by the other supplying organizations or States pie Significant quantities of materials 8 7 In determining the extent of the application of Agency safeguards the following criteria would be adoptedo Minimum quantities for application of safeguards 9g' It is not considered necessary to apply safeguards to very small quantities of materials 100 Agency Safeguards other than hea lth safeguards would first become applicable to source materials supplied %ysgratw%th the assistance of the amount supplied g aahw chaneswm ton of contained uranium and thoriumo Vagency safeguards other than health safeguards would be applied to Special fissionable materials ao'iewnh the assistance of the amount supplied exceeded 100 grammes of fissile materials i so plutonium uranium-233 and uranium 235 contained in special fissionable materialso If the amount of source or special fissionable materials supplied were less than the respective quantities indicated above only health safeguards may be applied to the material see paragraph 12 below However if the amount were greater than the reSpective quantities Agency safeguards would be applied to all such source or special fissionable materials if a 7 52 it If n a a DECLASSIFIED Amho mmuesacia Annex I page 4 11a Agency safeguards other than health safeguards would not be applied to source materials if the quantity in the State previously subject to Agency safeguards decreased to less than one tonnc and would not be applied to special 'fissionable materials if the quantity in the State decreased at any time to less than 100 grammes of fissile materials that would otherwise be subject to Agency safeguards 12 Source or special fissionable materials in much smaller quantities than those whOse diversion from peaceful purposes must be detected may endanger health and safety Health safeguards therefore may be applied to any amount of these materials or radioisotopes greater than the minimum significant quantities designated in the Agency s manual Safe Handling of Radioisotopes but regular inepections would not commence until the quantities of materials exceeded the quantities Specified in paragraph 10 above Rate of diversion 13 It is neither technically nor economically feasible to set up a system of 'safeguards that would guarantee that no source or Special fissionable material at all could be diverted to an unauthorized useo It is practicable to vary the degree of stringency of a system of safeguards to control within wide limits the rate of such possible diversion 14 Agency safeguards would be applied in such a manner as to achieve a high probability of detecting the diversion of even small quantities of material and to be almost certain of ensuring the detection of the diversion of as muchas six tonnes per year of uranium and thorium contained in source materials or 4 of as much as 5 grammes per year of fissile materials ice plutonium uranium 233 and uranium 235 contained in special fissionable materials Stocks of special fissionable materials Yll 5 safeguards exceeding certain quantities it will be essary to ensure that if the stocks be diverted they cannot be used for a military weapon before the 150 When a State has stocks of special fissionable Eagerials subject to Agency para-391010 and 11 5 Authority W51 2% Annex I page 5 diversion is deteCted Where the application of Agency safeguards under para graph 14 is insufficient to prevent this occurrenceg Agency safeguards would be 'increased until they were applied with suffiCient stringency'to ensure that such a diversion of special fissionahle materials would be detected Increased Agency safeguards would be applied when the total stocks of materials subject to such safeguards in any State exceeded the quantities shown in the table below Material' Quantity in kilogrammes Plutonium lye 55 'Uranium9235 and uraniumr233 comprising more than_ J f 4f 65 per cent of the uranium in which they are con tained Uranium 235 and uranium 233 comprising more than 40 per cent and up to 65 per cent Of the uranium - in which they are contained Uranium 235 and uraniumr233 comprising more than 20 30 per cent and up to 40 per cent of the uranium in which they are contained Uranium 235 and uranium 233 comprising more than A 25 20 per cent and up to 30 per cent of the uranium4 in which they are contained iih qumnamxmanishe LU B Application of safeguards to assistance other than the provision of source and special fissionable materials 16 Agency safeguards against diversion need he applied only in connexion with assistance by the Agency that could directly and significantly further a military purpose as the pram vision of materials services equipment or information that can either he used in anilitary weapon or can pneduce materialwthat sen be So used Direct assis tance as applied to a facility is that which meets both of the folloning conditions LL taaned 1a specaainissionahfer WbujarW ELLASSI IED I I Authorlty M83512 I Annex 1_ page 6 The facility Aaeapeoducekmater1als tha can be used - fagrlieels ai ner 1 an 4 we a 4 Ma dm ia at Ina- wk as -18 he1ema3a The facility is_cne which the Agency has aided substantially through the provision of materials services equipment or information see paragraphs 19x 21 below o 17 agency safeguards would thus be applied to reactors9 plants for sepa rating the isotopes of uranium or isotopes of plutonium and plants for process- ing m deated source or special fissionable materialsa @eenmintheseecasesy of special fissionable materials than aresnegdagdhle the point of wiew efw aai guesdsaagadnstediversion Therefore only health safeguards would be applied to such facrlities if iess than grammes of fi ssile material- ccn iT TTy be pro uced or processed 18 No Agency safeguards would be applied to types of facilities other than those mentioned above such as ore processing plantsa However safeguar tness if 4e hE gI Ifi would be applied to materials used or processed in such facilitie if such materials were otherwise subject to Agency safeguardso 9 19 Agency safeguards against diversion woulddbe applied to facilities speci- fied in paragraph 17 which incorporate any equipment or any material other than 1kg fay 41% sane mmg source or special fissionable material supplied by the Agency spaa1faeadlyw er mead wg mem nww 9f wweeaew 1s usaede primarily as'a component of 6 $311 1 t at hgizmlamk er W gmg nuclear fa0111t1es gand that is es-se tial eithertto th operation of the ES WW 1 WWste was s We 2Oo Agency safeguards would be applied to any of the facilities specified in paragraph 17 that was deSigned9 built or Operated with the assistance of in formation or services supplied by the Agency specifically for that facility under a project agreement with a States If information services or technical eXperts were prOVided in any manner other than under the conditions indicated in this paragraph such assistance would not be subject to Agency safeguards 21o Appropriate health safeguards would be applied to all assistance supplied by the Agency whether or not safeguards against diversion were applied The health and safety measures that would be required to be observed are those DECLASSHHED 3 Authority mg i Annex I page 7 designated in_the Agency's manual Safe Handling of Radioisotopes in other manuals of the Agency published in the Safety Series and such other health and safety precautions that the Agency may designate as necessary 0 Production of special fissionable materials 22 Special fissionablo materials may be produced from or by the use of source or special fissionablo materials The special fissionable materials so pro duced may be used in a reactor to assist in the production of a second gener- atien of special fissionable materials 7 In a similar way the second gener ation of special fissionable materials may be used in the production of a third generation of special fissionable materials and so on ad infinituma 23 Agency safeguards would be applied to second and subsequent generations of special fissionable materials produced in a reactor not subject to Agency safeguards for other reasons only if the special fissionable materials subject to Agency safeguards in the reactor made a significant contribution to the production of such second or subsequent generations of special fissionable materials 3 Annex II page 1 a I I DRAFT REGULATIONS FOR THE AGENCY SAFEGUARDS Table of contents Section 1 PREAMBLE 1 1 Rights and responsibilities of the Agency 1 2 Criteria for the application of safeguards Section 2 DEFINITIONS Section 3 PRINCIPLES FOR THE APPLICATION OF SAFEGUARDS 3 1 Application of safeguards 3 2 Exemptions from safeguards 3 3 Termination of safeguards Section 4 GENERAL PROCEDURES FOR THE APPLICATION OF AGENCY SAFEGUARDS 4 1 Application of Agency safeguards to materials 4 1 1 General 4 1 2 Approval of design 4 1 3 Health and safety 4 1 4 Records 4 1 5 Reports 4 4 1 6 Deposit of excess special fissionable materials Inspections A 7 I 4 1 8 Materials in facilities 4 2 Application of health safeguards to materials and radioisotopes 4 2 1 General 4 2 2 Health and safety 4 2 3 Records 4 2 4 Reports 4 2 5 Inspections 3 1 9-4 Anner II page 2 4 3 Application_of Agency safeguards to facilities 4 3 l General 4 3 2 Approval of designs 4 13 3 Health and safety 4 3 4 Records 4 3 5 Reports 4 3 6 Inspections 4 4 Application of health safeguards to facilities and installations 4 4 1 General 4 4 2 Approval of designs 4 4 3 Health and safety 4 4 4 Records 7 4 4 5 Reports 4 4 6 Inspections 4 5 Incidents 4 5 1 General 4 5 2 Reports 4 5 3 Inspections Section 5 RIGHTS PRIVILEGES AND IMMUNITIES OF AGENCY INSPECTORS 5 1 General privileges of Agency inspectors 5 2 Designations of Agency inspectors 5 3 Visits of Agency inspectors 5 4 Rights of access and inspection - Morin We Gov 334 Annex II 'page 2 4 3 3 Application of Agency safeguards to facilities 4 303 o General 4 3 2 Approval of designs 4 3 3 Health and safety 4 304 Records 4u3c5 Reports 4 3 6 Inspections 4049 Application of health safeguards to facilities and installations 4 4 1a General 4 4 2 Approval of designs 7 i 4 4 39 Health and safety 4 4 4 Records 4 4-5 Reports 4 406 Inspections 4 5 Incidents 4 5 1 General 4 5 2 Reports 4 593c Inspections Section 5 RIGHTS PRIVILEGES AND IMMUNITIES OF AGENCY INSPECTORS 5 10 General privileges of Agency inspectors 5 2 Designations of Agency inspectors 5 30 Visits of Agency inspectors 5 4 Rights of access and inspection Annex II page 3 A551F1ED LU AuthorityWa DRAFT REGULATIONS FOR THE APPLICATION OF AGENCY SAFEGUARDS Section I PREAMBLE 1 1 Rights and responsibilities of the Agency 1 1 1 The Agency has under its Statute responsibility for safe guarding to the extent relevant those nuclear activities that are assisted by it or that are voluntarily submitted to Agency safeguards 1 1 2 In both cases the Agency is authorized and required to-establish land administer safeguards in order To ensure so far as it is abley that materials services equipment facilities and information made available by or through the Agency or under its supervision or control lare not used in such a way as to further any military purpcse Articles II and the Statute and To ensure the observance of standards of safety for protection of health and minimization of danger to life and property established or adepted pursuant to yArticle of the Statute and of measures prescribed for a particular operation purSuant to Article XII A 2 1 1 3 order to fulfil these tasks in a non-discriminatory manner the Agency hereby Determines the safeguards applicable to the various types of nuclear activities that are undertaken with Agency assistance er submitted to Agency safeguards and Specifies its rights and responsibilities relevant to particular cases and the extent to whiCh these rights and responsibilities can be exercised In the case of Agency assistance the regulations set out below shall as far as applicable by their terms be incorporated by reference as integral parts of the agreements between Member States and the Agency 2 Section 2 For the purpoSe of applying its safeguards to materials or facilities the Agency expects the State concerned to set up an adequate system of internal measures designed to prevent loss diversion9 or misuse of any material equipment or facility subject to such safeguards and to ensure compliance Agency safeguards are relevant and Shall be applicable whenever aesistance provided by or through the Agency or activities under Agency control are able to contribute significantly and directly towards increasing the ability of a State to further Gov 334 Annex II A page 4 1411450 with applicable health standards 1 2 'Criteria for the application of safeguards l 2 l a military purpose or may endanger health and safety 1 2 2 Agency safeguards other than health safeguards are designed and will be applied in such a manner as to achieve a high probe bility of deteCting the diversion f even small quantities of nuclear materials They-are furthermore expected to detect at least Any annual diversion of special fissionable materials With a fissile content in excess of 5 grammes or of source materials with a Source content in excess of 6 tonnes and Any diversion of special fissionable materials in sufficient amounts and of sufficiently high concentrations to form a major portion of any military weapon before these materials can be so used DEFINITIONS 2 1 Statute shall mean the Statute of the International Atomic Energy Agency Director General shall mean the Director General of the International Atomic Energy Agency Radioisotope manual shall mean the Agency manual Safe Handling of A Radioisotopes as corrected amended or supplemented from time to time DECLASSHHED 3 2 4 2 5 2 6 2 7 2 8 2 9 2 10 2 11 2 12 2 13 2 14 a Annex II pas9 5 Supplied by the Agency shall mean supplied by the Agency directly or With the assistance of the Agency Nuclear material shall mean any source or special fissionable material defined in Article XX of the Statute Radioisotope shall mean any material or combination of materials other than nuclear materials with a radioactivity per gramme greater than 0 002 microcurie I Reactor shall mean any device that can be operated so as to maintain a controlled self-sustaining chain reaction Nuclear_facility shall mean any reactor any plant for separating the isotopes of uranium or isotopes of plutonium 'or any plant for processing nuclear-materials Nuclear installation shall mean any accommodation or facility except nuclear facilities where radieactive substances are used processed produced or stored or any conveyance in or by which such substances are transported or any device producing alpha or beta particles or sub atomic or atomic particles excepting devices that produce only radiofrequency Waves or visible infra-red or ultraeviolet light i Reactor material shall mean any subatance other than nuclear materials Whiff t 3'5 his vwwmam_integral component of a reactor Source content shall mean the total weight o uranium and thorium con tained in source materials Fissile content shall mean the tetal weight of uraniumu235 of uranium 233 and of plutonium contained in source or special fissionable materials Enrichment shall mean in the case of uranium9 the percentage by weight of the isotopes uranium 233 and uraniumm235 in the total quantity of the isotopes of uranium present and in the case of plutonium the percentage by weight of the isotope plutonium 239 in the total quantity of the iso tepes of plutonium present Equivalent materials shall mean9 in the case of special fissionable materials the same amount Of uranium and thorium and the same quantities Gov 334- Annex page 6 2 15 II of each or the isOtopes uranium 55 uranium 23 and plutonium-239 in at least equal enrichment and chemical purity in the case oi source materials the same quantity of source Godle T tat T 3 t sq 2l ment and chemical purity and in the case of radioisotopes the same I quantity of the same isotopes Conversion ra tie shall mean for a re actor the ratio of the rate of formation of atoms of uranium72335 uranium 235 and plutonium 239 to the rate of destruction of such atoms when the reactor is operating at maximum powern Whnimum significant quantity shall mean i_n the case of any nuclear material or radioisotope listed in Tc able I in sub section 3 lilof the Agency manual Safe Handling of Radioisotopes 1 the corresponding quantity listed in the Second column of table II in subusection 3 1 11 of that manual and in the case of any nuclear material or radioisotOpe 7 not so listed it shall mean 0 1 microcurie 2J7 2 189 2 19 2 20 State shall mean the_Member State in whose territory are located the nuclear materials radioisotopes nuclear facilities or nuclear instalw latiens covered by these regulations Diversion shall mean the use of any nuclear material or nuclear facility in such a way as to further any military purpose or in violation of any other condition prescribed in the agreement between the Agency and the State econcerning such material or facilityj Fame at or 395 34 the meaf n in is We g tmitz d as amen a by A gae sisaew aag t ei the i a a Agency shall mga thethcasu g gtd cn gg'th'e gency Mt pgursuant to the Statute to prevent loss or diversion of nuclear materials special- izcd equipment or nuclear facilities and to ensure compliance with appli cable health and safety standards and measures Health safeguards shall mean these Agency safeguards that are designed to ensure compliance with applicable health and safety standards and measure So i 110 1 DECLASSHUED Austin 11119383031 2 21 2 220 2 23 Annex II page 7 Externally safeguarded materials or externally safeguarded facilities shall mean nuclear materials or nuclear facilities subject to Agency _safeguards or to any obligations ab gainst use to further a military purpose undertaKen towards any other organization or towards a Member 3'StateQ Derived special-fissionable materials subject to Agency safeguards shall mean special fis sionable materials subject to Ag renoy safeguards only because they have been produced in a reactor subject to Agency safeguards or because they have been processed in a nuclear facility or installation subject to Agency ea feguards or because the y ilave been produced bya nuclear transformation 0f any material subject to Agency safeguards Tonne shall mean 000 Kilogrammes Section 3 PRINCIPLES FOR THE APPLICATION OF SAFEGUARDS 3 1 Application of safeguards 3 1 1 Agency safeguards shall be applicable to the followings Any nuclear material or nuclear facility supplied by the Agencya Any nuclear material or nuclear facility placed under Agency safeguards by special agreements according to the_ terms of such agreement Any nuclear material or nuclear facility that has been Isubject to Agency safeguards in a State and that is trans ferred from that State to any other State 6 Any nuclear material produced by a chemical or physical trans formation of any material subject to Agency safe- 1 guards This paragraph should be roe in conjunction with subusections 3 2 and 3 3 listing the exemptions from and terminations of safeguards see in particular9 paragraphs 3 1 and 3 3 2 new See paragraph 3 2 29 See paragraph 3 2 7 Sec paragraphs 3 2 61 9 3 3 4 and 3e3 5 UECLASSHHED 7 NA mama Gov 334 Annex II page 8 Any nuclear material so intermixed with any nuclear material subject to Agency safeguards that it is not possible to separate out the material subject to Agency safeguards Any nuclear material used3 processed recovered or produced 1 in any nuclear facility subject to Agency safeguards Any nuclear facility incorporating any reactor material or specialized equipment that is supplied by the Agency specie fically for that facility under an agreement that'is usable primarily as a component of such a facility and that is essential either to the operation of the facility or to an increase in its capacity Any nuclear facility designed built or operated with the assistance of information or services supplied by the Agency specifically for that facility under an agreement and 1 Any reactor using nuclear materials subject to Agency safe 2 guards A a 10 3 1 2 Health safeguards shall be applicable to the fellOW1ng3 Any radioisotope or nuclear installation supplied by the Agencygi Any nuclear material radiOisotope nuclear facility or nuclear installation placed under health safeguards by special agreement according to the terms of such agreew ment see paragraph 333 3 2 See paragraph 3 204 10 This paragraph should be read in conjunction with sub-sections 302 and't 3 3 listing the exemptions from and terminations of safeguards see9 in particular paragraphs 3 261 363 1e and 30362 DECLASSHHED Anemia message i - 6 I Gov 334 Annex II page 9 Any nuclear material radioisotope nuclear facility or nuclear installation that has been subject to health safe guards in a State and that is transferred from that State to any otherStatey6 VAny nuclear material or radioisotope produced by a chemical or phySical transformation of any material or radioisotope subject to health safeguards Any nuclear material or radioisotope so intermiXed with any nuclear material or radioisotope subject to health safeguards that it is not possible to separate out the material or radioisotope subject to health safeguardsg Any nuclear material or radioisotope used processed rem covered produced or stored in any nuclear facility or nuclear installation subject to health Any nuclear installation incorporating any specialized equipment that is supplied by the Agency specifically for that installation under an agreement that-is usable primarily as a component of such an installation and that is essential either to the operation of the installation or to an increase in its capacity 'Any nuclear installation designed built or operated with the assistance of information or services supplied by the Agency specifically for that installation under an agreement and Any nuClear facility or nuclear inatallation in which nuclear materials or radioisotopes subject to health safe - 12 guards are used processed stored or conveyed - 3 2 Exemptions from safeguards 3 2 1 No Agency-safeguards other than health safeguards shall be ll See'paragraphs 3 2 6e and 3 3 56 lg See paragraph 3 2 5 Authorimnmsaoia DECLASSHHED Gov 334 Annex_ll page 10 36 292 3 253 supplied by the Agency with a fissile content in excess'of grammes applicable to any source material if the total source content of the externally safeguarded source materials in the State is pless than 1 tonne9 or to any special fissionable material if the total fissile content of the externally safeguarded special fissionable materials in the State is less than 100 grammesa No health safeguards shall be applicable to nuclear materials or radioisotopes if the total quantity of each such material or radioisotope-present in a State is less than ten times the applicable minimum significant quantity No Agency safeguards other than health safeguards shall be 'applicable under sub paragraph 3 l le a to source materials supplied by the Agency inhanyiealendamenear if the total source content of the externally safeguarded source materials supplied to the State less than 1 tonnes or to special fissionable materials if the total fissile content of the enternally safeguarded special fissionable materials supplied to the State in that calendar-year is less than 100 grammes No health safeguards shall be applicable under sub paragraph 3 1 le a or to nuclear materials or radioisotopes nryear if the total quantity of each of such materials or radioisotopes supplied in_ibam calendanapeer is less than one hundred times the applicable minimum significant quantity No Agency safeguards other than health safeguards shall be applicable to any nuclear facility that does not have a capacity to recover er produce annually special fissionable_materials LBJ no Agency safeguards9 other than health safeguards shall be applicable to special fissionable material produoed in any reactor or to that reactor provided that it has a maximum con version ratio of less than 190 and is subject to Agency safeguards under sub-paragraph only if the reactor contains in See howeve sub section 4 1 8 UECLASSHUED 1 Ashram 3 2 5 3 2 6 hisotepe subject to health Annex II page 11 addition to the materials subject to Agency safeguards under sUb paragraph or externally safeguarded source materials With a source content of less than 1 tonne and ex ternally safeguarded special fissionable materials with a fissileg applicable at any given time to a maximum of four reactors 32 content of less than 100 grammes exemption shall be designated in advance by the State No health safeguards shall be applicable to any nuclear facility or nuclear installation-subject to health safeguards under subm paragraph onlys if each nuclear material and radio- safeguards in the installation is present in an amount which is less than the applicable minimum significant quantity In a resetor that is subject to Agency safeguards only because it contains derived special fissionable materials subject to Agency safeguards if when the reactor is operating at its maximum thermal output the mathematical product of The total fissile content of the special fissionable materials produced annually by the reactor and I The ratio of the fissile content of all externally safe- guarded materials to the total fissile content of all materials in the reactor is less than annually the special fissionable materials produced in that reactor shall 5 not be subject to Agency safeguards This exemption shall be If applicable only with respect to_such reactors as are deSignated in advance by the State provided that only so many reactors may be so designated at anyg iven time that the sum of the mathemr atical products as defined above for all of them does not annually and provided that no reactor With a maximum conversion ratio in excess of 1 0 may be designated 9 Annex II page 12 7N0 Agency safeguards shall_be applicable under subwparagraph to any nuclear material that is transferred by a State 'to any other State for the purpose of processing only under an agreement approved by the Agency provided that the transferring State shall place under Agency safeguards at a time agreed to by the Agency at least equivalent source and special fissienable materials not otherwise externally safeguarded 3 3 Termination of safeguards 3 3 1 Agency safeguards with regard to a State shall terminate in the case of any nuclear material radioisotope nuclear facility or nuclear installation returned to and-aocepted-by the Agency transferred to any other State with the approval of the Agency disposed of as waste or scrapped according to procedures approved by the Agency or lost or destroyed under circumstances explained to the satisfaction of the Agency provided that if such nuclear materials or radioisotopos are subsequently found or recovered safeguards shall again become applicable to them similarly safeguards shall terminato-as to any nuclear facility or nuclear installation subject to safeguards_under sub-paragraph or only if the reactor material or specialized equip ment supplied by the Agency is disposed of as above 3 3 2 Agency safeguards shall terminate in the case-of any nuclear material radioisotope nuclear facility or nuclear installation previously subject to Agency safeguards when any of the con ditions specified in sub section 3 2 become applicable to such nuclear material radioisotope nuclear facility or nuclear installation 3 3 3 Where Agency safeguards are applicable to any nuclear material or radioisotope under subwparagraph or such safeguards shall terminate as to any remaining portion of 'the intermixed nuclear materials or radioisotopcs from which are separated other portions to which safeguards continue to be applicable provided that the portions to which safeguards #9 h DECLASSHHED Authorimmbasaoaa 3a3y4 Gov 334 Annex II page 13 continue to be applicable are designated by the State and contain 'at least equivalent materials as compared to the materials that were subject to Agency safeguards before the materials were inter- mixed and provided that the total materials subject to external safeguards after such termination shall be at least equivalent to the total materials subject to external safeguards before the materials were intermixedo In the ease of radioisotopes the decay since the time of admixture shall be taken into accounto No further terminations of safeguards under this paragraph shall be-permitted as to any chemical element designated as remaining under safeguards after a separation and termination of safeguards as to such element under this paragraph Agency safeguards other than health safeguards shall terminate in the ease of any derived special fissionable material subject to Agency safeguards when used in or transferred to any nuclear facility or nuclear installation provided that The total amount of special fissicnable materials subject to external safeguards used in or transferred to that facility or installation has a fissile content of not more than grammes The total amount of materials on which Agency safeguards may terminate under this paragraph less any special fission able material returned to Agency safeguards or otherwise satisfactorily disposed of according-to paragraph 3 3 1 shall not have a fissile content of more than 500 grammes for any State and Co The total amount of materials on which external safeguards may-so terminate less any special fissionahle material returned to external safeguards or otherwiSe satisfactorily disposed of shall not have a fissile content of more than 500 grammes for any State DECLASSIFIED Authority Annex II page 14 3 3 5 Health safeguards applicable only under sub paragraph or or to any derived special fissionable material subject to Agency safeguards shall terminate in the case of any nuclear material or radioisotope removed from the nuclear facility or nuclear installation in which it was used processed recovered or produced unless Agency safeguards remain applicable Section 4 GENERAL PROW DUKES FOR TliE APPLICATION OF AGENCY SAFEGUARDS 4 1 Application of Agency safeguards to materials 4 1 1 General 4 1 1 1 The procedures specified in subnsections 4 1 2 to 4 1 8 shall be applicable to all nuclear materials subjeCt to Agency safeguards Approval of design 4 1 2 1 With respect to each nuclear faci ity or nuclear in 4 1 2 2 The prOVisrea Of paragraph 4 3 2 2 shall be appliw s g cable ts the plans drawings descriptions and inform matntn to be furnished pure uant- -to this sub-section 4 1 2 3 The Agency shall approve the designs of nuclear facili f ties and nuclear installations in which nuclear materials subject to Agency safeguards are to be used processed recovered produced or stored and any Change therein only from the viewpoint that such design or change complies with the applicable health and safety standards and will permit effective application of Agency safeguards as Kit g a a L trkfa if 8th gel-Mm so Matt a F ws asa ww waraa 1 4 AW Lhasa an 6 1th 43 a 5 t taa w DECLASSHHED 5 Gov 334 Annex II -pago 15 4 1 3 Health and safety 4-1 3 1 4 1 3 2 4 1 3o3 4 1 4 - Records 4 1 4 1 The State shall ensure that all applicable provisions of the manual Safe Handling of Radioisotopes3 of any subsequent publications of the Agency's Safety Series and such other general health and safety measures as the Agency may designate as necessary are followed by_ all persons dealing with nuclear materials subject to Agency safeguards The State shall ensure when nuclear materials subject to Agency safeguards are employed that criticality is achieved only under technically controlled conditions and after adequate precautions to protect persons and property have been taken The State shall establish a system of health and safety measures for each operational procedure inw volving the use of nuclear materials subject to Agency safeguards and shall submit the system to the Agency for approvalgl operations shall not take place until the Agency has given its approval to the system The State shall be responsible that with respect to all nuclear materials subject to Agency safeguards the following records be kept by type or enrichment of material indicating chemical or physical form any special identifying marks and location Accountability records including receipts removals internal transfers losses and pro duction Inventory records including loCation form condition identifying marks and enrichment of all materials subject to Agency safeguards LL DECLASSHHED Liven-i r Authority ma 34 Annex page 16- 4- 104 2a 4 1 413 4 1 4 4 0 _Operating records giving pertinent operating data including production use burnuup and disposal Health and safety records including radiation surveys and personnel monitoring and waste disposal records9 including quantity and _activity physical and chemical form and method and location of disposal The State shall submit to the Agency the plan of the records system that it proposes for use and of any subsequent ehange therein including examples of transfer forms ledger sheets measurement documents and the health and safety and the Waste disposal records The Agency shall review and approve such system and any change therein only from the vieWpoint that it is amenable to the application of Agency safeguards and can he expected to reflect adequately the condition and location of the materials and permit the evaluation of any radiation hazard Records other than health and safety records shall he kepts For source materials to the nearest 0 1 kilo gramme of source content and b 7 For special fissionable materials to the nearest O l gramme of fissile content All records required by this subwseetion shall be kept available until after the second regularly scheduled inspection carried out after they are made but in no case for a period of less than one year 5 'Authoriwmmaag ma I 3 40 1 59 -Reports 4 1 5 1 Gov 334 Annex II page 17 The reports to the Agency listed in paragraphs 4 1 5 2 and 4 1 5 3 shall be made with respect to all nuclear materials subject to Agency'safeguards by type or en richment of material indicating chemical or physical 4 1 5 2 4 1 5 3 form any special identifying marks and location on the basis of the records provided for in sub section 4 1 4 Periodic reports relating to nuclear materials Subject to Agency safeguards shall be submitted These reports shall be Material balance reports giving beginning and ending inventories receiptsg removals and losses Detailed inventory reports giving location form condition identifying marks and methods of assess- ment of nuclear materials that are used for each inventory 0 Operating reports giving pertinent details in cluding production use burn up and disposal and indicating the facility or installation in which such operation occurred and Destination reports indicating any planned storage use or processing and the approximate time for which these operations are plannedo The first-periodic report shall be submitted as soon- as the first nuclear material becomes subject to Agency safeguards and subseQuently at regular intervals with a frequency depending either on the total quantity of externally safeguarded materials accumulated in the State as indicated in the last periodic report as modified by any special report under sub paragraph and not deposited with the Agencys or on the sum of the annual volumes of externally safeguarded materials used or processed in installations except those for transportation or storage according to tables A and B DECLASSHHED Authority Gov 334 Annex II page 18 TABLE AW 33 Externally Safeguarded source materials Re orts er Year Source pi Content TonnesRate of reporting is the higher of the applicahle figures in columns and b c Annual rate of reports depending on the accumulation of nuclear materials in the State as indicated in -the last periodic report as modified by any special report under sub-paragraph and not deposited with the Agency Annual rate of reports depending on the amounts of nuclear materials to be used or processed in nuclear installations except those for transportation or storage as planned for the next twelve calendar months based on the best available estimates and projectionso Whenever in this and subsequent tables numbers are shOWn as in a range e ga l 40 or 1 to 40 this range shall include the lower number and shall run up to but not include the upper number L For the purpose of tables A B and E fuel that would consist of source material and_not of special fissionahle material except for the fact that the fuel contains plutonium 239 or uraniumw233 that Was pro- duced in the fuel by irradiating it9 shall be considered as consisting of source material having a source content equivalent to that of the un irradiated fuel and of special fissionable material having a fissile content equivalent to that of the plutonium and the uranium 233 produced by the irradiation DECLASSHHED 7 annex ll page 19 TABLE 332 Externally safeguarded special fissionable materials Reports per year Fissile' Content Uranium enrichment kilo Greater I grammes than 40%_40% to 65% 65% to 100% Plutonium natural 0 Gal 0 0 O l 77 d e uw t lamwwmee r2 wmml2ww wl2 Laewwmaa t See footnotes to TABLE Au If the-nuclear materials are accumulated or used or processed so that several of the categories of tables A and are simultaneously applicable the frequency of reporting shall he as determined by the rules in paragm 4al 7 3 The intervals between periodic reports may be shortened if desired by the State I - 4 105040 The following special reports shall he submitted - Reports on proposed transfers of nuclear materials that would result in the increase or decrease of the quantity of materials subject to Agency safe guards to he submitted at least two weeks before Such proposed transfer and Authority W3 Annex II page 20 Reports on-all exposures of persons in excess of the maximum permissible levels recommended in appendix I to the manual Safe Handling of Radio isetopes p to be submitted when the exposure is discovered 4 1 5 50 The State shall submit and the Agency shall review and approve the proposed system of reports and any Ichange thereing and the method of calculation on Which they are to be based on the same basis_as is provided for records in paragraph 401 4 2 4 1 5 6 Reports9 other than health and safety reports shall be given 1 For source materials to the nearest kilogramme' of source content and For special fissionable materials to the nearest 'gramme of fissile content 4 1 6 Deposit of excess special fissionable materials 4 1 6 1 If special fissicnable materials subject to Agency safeguards are accumulated in a State in quantities in excess of what is needed immediately for research or in reactors existing or under construction in the State such that the fissile content of such excess is greater than that specified in table C such excess special fissicnablc materials shall be deposited with the Agency as provided for under Article XII A 5 of the Statute If such excess special_fissionable materials are present in the State in several of the categories listed in table 0 all the materials shall be considered to be in the highest enrichment category of whiCh at least 0 1 kilogramme is presente No deposit shall be required if the excess is expected to persist for a period of less than three months provided that 1 this period shall be only two months if enough of the special fissionablc materials is in the form of pure metal to require deposit of such metal under table 0 DECLASSIFIEW Autho mmeasao Annex II I page 21 TABLE Accumulatibn of special fiesionable materials subject to Agency safeguards Material Enrichment Fissile Content kilogrammes Plutonium Any i5 and 11 233 65% to 100% as U-235 and 3 233 40% to 65% 10 11 235 and 30% to 40% 2o U-235 and man - 200 3450 30% 25 U4235 and U4233 -Greater than natural to 20% 75 4 1 7 Inspections 4 1 7 1 The Agency shall inspect nuclear materials subject to Agency safeguards 4 l 7 2 Under normal-circumstances the approximate frequency ref inspections of nuclear materials subject to Agency safeguards shall depend either on the total quantity of externally safeguarded materials accumulated in the State as indicated in the last periddic report as modified by any special report under sub-paragraph and not deposited with the Agency or on I the annual volume of externally safeguarded materials used or processed in nuclear installations except those for transportation or storage according to tables and E Additional inspections may be made as provided for in paragraph 4 1 7 7 In the event of unusual circumstances as determined by the Director General further additional inspections may be made provided that a report to the Board shall be made on the circumstances leading to such inspections I DECLASSIFIED i 1 Annex II page 22 TABLE 395 I Externally safeguarded source materials Source Inspections per year Content a i TonnesNumber of inspections per year is the higher of the applicable figures in columns and - Annual number-of inspections depending on the accumulation of nuclear'materials in the'State as indicated in the last periodic report as modified by any special report under sub- paragraph and not deposited With the AgenCy - Annual rate of inspections depending on the amounts of nuclear materials to be used or processed in nuclear installations except those for transportation or storage as estimated for the next twelve calendar months based on the best available plans and projections a DECLASSIFIED Anthea messes 3 TABLE 2 3 3 3 4 Annex 11 page 23 Externally safeguarded special fissionable materials Fissilc Inspections per year Content Uranium enrichment kilo-- grammes Greater than to40675 40% to 65% 65% to 100% Plutonium natural '6 060 1 0- 'o o7 0 0 O l 7 7 1 m wmmw m 66- mnm666 45 6o 1 2 66666e66 66666636 666W 60 75 1 2 6566M will A QM See footnotes to TABLE D 6696666 All figures of 6 inspections per year in col b assume that all stocks are pure metal should read unless the stocks of pure metal are sufficient by themselves to require 6 inspections according to the table 4olg763 if all stocks are not pure metal this figure If externally safeguarded materials are present in a State so that several of the categories of tables and are simultaneously applicable the frequency of int spections shall beg Source materials For any combination of and ii Special fissionable materials other than plutonium containing enriched uranium with an enrichment of less than 20 per cent and having a fissile content of less than 75 kilogrammes LI DECLASSHH ED Anthems messes I Got 334' page 24 4 107 4o 4 1 7 5 The source content of the source materials and the total weight of uraniumjin the special fission able materials shall be added together_and the I frequency of inspections and reporting shall bet in accordance With tables and A reapectivelygl and fr I _For any combination that includes special fission able materials with an enrichment of 20 per cent or greater or any plutonium the fissile content of all special fissionable materials shall be added together and the frequency of inspections and re- porting shall'be in accordance With tables and respectively all special fissionable materials being assumed to be as highly enriched as the most highly enriched special fissionable material of2 which at least 001 kilogramme is present provided that there shall be at least one inspection per year If the quantities of externally safeguarded materials on which the number of inspections is based include nuclear materials not subject to Agency safeguards and if such materials are subject to inspections by any other organization or lbmber State the number of in spections by the Agency may be reduced to a number corresponding to the fractiOn of the amount of the externally'safeguarded materials that are subject to Agency safeguardsg provided that the number of Agency inspections shall not be less than that required for only the nuclear materials subject to Agency safeguardso Inspections of nuclear materials shall Where practic able9 be carried out in conjunction with the inspections of the nuclear faCilities that are carried out under sub section 4 3 6 DECLASSIFIED 9 Authority 4 1 8 40 In 7 3670 401 7 7 eev 334 - Annex II page 25 lnspectienS'shall normally include but shall not necessarily be limited to Audits of the records and of the reports submitted to the Agency9 including the testing of the correctness of ledgers transfer documents measurement documents and health and safety data A verification of the reported inventory by physical inspection and measurement including the taking of samples at appropriate points and the analysis of such samples 0 A review of the adequacy of the precautions taken to protect persons and property from the hazards of radiation and radioactive contamination Measurements of radiation levels and A review of waste disposal records and sites Whenever a report is made as provided in sub paragraph on a proposed transfer of nuclear materials within a State that would result in an increase or de crease of the quantities of nuclear materials subject Materials to Agency safeg_ards an_additional inspection may be made to verify the types and quantities of the nuclear materials so transferred in facilities 4a 1 8 lo Whenever any nuclear material subject to Agency safe guards is in any nuclear facility not subject to such safeguards the provisions of sub section 4 3 shall be applied to such a facility except-that the frequency of inspections and reports shall be determined in I accordance With the tahles pertaining to the quantity of nuclear materials subject to Agency safeguards rather than with the-tables pertaining to the maximum thermal output or with rules relating to the capacity of the nuclear facility that mum otherwise be applicable Autho tmmeassoia I Gov 334 Annex II page 26 4 2 Application of health safeguards to materials and radioisotopes- 4 2 1 4 2 3- 4 2 4 General 40 2 la 19 The procedures specified in sub sections 4 2 2 to 4 2 5 shall be applicable to all nuclear materials and radioisotopes subject to health safeguards only Health and safety 4 2 2 1 Records 40 2030 1- 49 203029 Reports 4 2 4 1 The provisions of sub section 4 1 2 shall be corres- pondingly applicable to all nuclear materials and radioisotopes subject to health safeguards The State shall be responsible that the following records be kept with respect to all nuclear materials and radioisotopcs subject to health safeguards Inventory records Health and safety records including radiation surveys and personnel monitoring and waste disposal records9 including quantity and activity physical and chemical form and method and location of disposal The period of availability of records shall be as provided for in paragraph 4 1 4 4 With respect to all nuclear materials and radioisotopes subject to health safeguards reports on all exposures of persons in excess of the maximum permissible levels recommended in appendix 1 to the manual Safe Handling of Radioisotopes 3 shall be made to the Agency upon discovery DECLASSHUED 4 2 5 Gov 334 Annex II page'27 'Inspections 4 2 5 1 4 2 5 2 4 2 5 3 The Agency shall inspect nuclear materials and radio isotopes subject to health safeguards Under normal circumstances the frequency of inspections shall be no more than one a year but additional in spections may be made in the event of unusual circumw' stances9 as determined by the Director General provided' that a report to the Board is made on the circumstances of such inspections Inspections of nuclear materials and radioisotopes shall wherever practicableg be carried out in conjunction with the inspections of the 'nuclear facilities or nuclear installations that are carried out under subesection Inspections shall normally include but shall not necessarily be limited tea Examination of the records including those used for the preparation of the reports submitted to the Agency A review of the adequacy of the precautions taken to protect persons and property from the hazards of radiation and radioactive contamination 0 Measurements of radiation levels and_ A review of waste disposal records and sites 4 3 Application of Agency safeguards to facilities 4 3 1 4 3 2 General 40301 la The procedures specified in sub-sections 4 3 2 to 4 3 6 shall be applicable to all nuclear facilities subject to Agency safeguards Approval of designs 4 3 2 1 With respect to each nuclear facility subject to Agency _safeguards the State shall furnish the Agency with full information includinga DECLASSHH Authority I Annex page 28 4 3 2 2 Descriptions of and information about tne facility its method of operation its expected capacity _normal and maximum operating power as applicable and the types forms and quantities_ of nuclear materials to be used produced and recovered and the anticipated production of radicisotepes I Plans and drawings showing the general construc tion of the facility and of any storage areas including but not limited to the floor plan laywout of equipment elevations utilities ventilation and drainage systems and of all special safety equipment and devices Drawings and descriptions of the form in which nuclear-materials are to be used in the facility Plans drawings and descriptions of the use of the instrumentation and information about the precision of instruments and the methods of Calibration and Schedules indiCating the estimated dates when 'censtructien will commence and terminate and when operations will first start including for reactors the time of first criticality and of the insertion and removal of nuclear materials The plans drawings descriptions information and schedules indicated in sub section 4 3 2 1 shall be furnished to the Agency sufficiently in advance to permit the Agency to'make any comments or suggestions necessary to fulfil effeCtively its responsibilities under the Statute Any substantial change in such data shall be similarly communicated to the Agency DECLASSHHED I 453 3 4 3 2 3 Gov 334 Annex II page 29 The Agency shall approve the design of nuclear facili- ties subject to Agency safeguards and any change therein only from the viewpoint that such design or change complies With the_applicable health and safety standards and will permit effective application of Agency safee guardse Health and safety 4 3 3 1 Records 40304-0 lo 4 3 4 2 The provisions of sub-section 4 1 3 shall be corres- pondingly applicable to all nuclear facilities subject4 to Agency safeguardsn The State shall be reSponsible that the following records be kept with respect to each nuclear facility subject to Agency safeguards A record of the use that is made of the facility including data on the flow of nuclear materials through the facility An inventory record of all major equipment and of all major building components of the facility 0 Health and safety records including radiation Surveys and personnel monitoring and waste disposal records including quantity and activity physical and chemical form and method and location of disposal The State shall submit to the Agency the plan of the records system that it proposes for use for each nuclear facility and of any subsequent change therein including examples of inventory records of flow diagrams of the nuclear materials through the plant showing accounting groupings and measurement points Hof'methods of measurement or calculation of the nuclear Authoritymmu 389 2 Gov 334 Annex II page 30 materials used processed or produced of measurement documents and of the health and safety and the waste disposal records The Agency shall review and approve such system and any change therein only from the view point that it is amenable to the application of Agency safeguards and can be expected to reflect adequately the condition and location of theracility and its equipment and permit the evaluation of any radiation hazard 4 3 4 3 The period of availability of records shall be as provided for in paragraph 4 1 4 4 4 3 5 Reports 4 3 5 l The following special reperts to the Agency shall be made with reSpeot to each nuclear facility subject to Agency safeguards on the basis of the records pro vided for in sub section 4 394 Reports on all major maintenance or alterations planned or performed Reports on the schedule of shutdowns and in the Icase of reactors7 of the major charges and dio charges of nuclear materials 0 Reports on the transfer to and from the facility _of any reactoeraterial or specialized equipment supplied by the Agency and Reports on all exposures of persons in excess of the maximum permissible levels recommended in appendix I to the manual Safe Handling of Radio isotopes to be submitted when the exposure is discovered 7 4 3 5 2 The State shall_submit and the Agency shall review and approve each proposed system of reports and any change - therein on the same basis as is provided for records in paragraph 453 4 2 DECLASSHHED w it Annex II page 31 Inspections 4o3o6ulo 4 30692 The Agency shall inspect each nuclear facility subject to Agency safeguards during construction including if applicable first criticality or first Operation under Agency safeguards and periodically thereafter Under normal circumstances the number of inspections during construction shall depend on the designed capacity type and complexity of the facility The number of inspections during the construction of reactors including first criticality is shown in table F Additional inspections may be made in the event of unusual circumstances as determined by the Director General provided that a report shall be made to the Board on the circumstances leading to such inspectionse L Inspections during construction subject to Agency safeguards Designed maximum thermal output Tota uEumber ftinspe ions msgawatts25_to 2 50 to 75 3 75 t0 100 4 4 3 6t3 Inspections during construction shall normally include tbut'shall not necessarily be limited tog Examination of the facility to ensure that it is constructed in accordance with those features that may affect the-application of Agency safe guards and Ll Vii 7 DECLASSHHED Authority W3 Gov 334 Annex II page 32 4gA3-o'6t 40 9 55 7 5- 361 6 50 The measurement and testing at the Site of con struetiong of the equipment and instruments that will be employed in determining the quantities -of nuclear materials used processed or produced rThe frequency of periodic inspections shall be deter mined as provided for in pai agraphs 4 3 6 5 to 4 3 6 7 The apprOXimate frequency of periodic inspections ' shall depend on the capacity type and complexity of the nuclear facility provided that the programme of Vinspections for any particular facility shall depend on the total number and types of externally safeguarded facilities in the State In the case of reactOrs periodic inspections shall commence afigr first criticality or first operation under Agency safeguards and under normalM circumstances their approximate we be easement 3 mng wtable as at tie issue st aha and an earn imam semen Hm Additional inspections may be made in the event of jf gbt df unusual cirCumstances as determined by the Director General provided that a report shall be made to the Board on the circumstances leading to such inspections TABLE Periodic inspections of reactors subject to Agency safeguards Total maximum Ins ections or car thermal output of all exter re nally safe- guarded reactors to 0 8 EEB to O ha0 1 to O megawatts353 if Hi4 4 41 DECLASSIFIED Authority 5 Annex II page 32 The measurement and testing at the Site of con- struotion of the equipment and instruments that Will be employed in determining the quantities of nuclear materials used processed or produced _ 4p3 6 4 -The frequency of periodic inspections shall be deter- mined as provided for in paragraphs 4 36635 to 4e3 6 7 ail The approximate frequency of periodic inspections I 3s pr' iffw shall depend on the capacity type and complexity of 1 the nuclear facility provided that the programme of g wp Aminspections for any particular facility shall depend 2 on the total number and types of externally safeguarded facilities in the State a In the case of reactors periodic inspections shall oommence a ier first criticality or first operation under Agency safeguards and under normal circumstances their approximate in w mng w table G an at ta frequency AHA frb a vita Tgif if @fhtw'ffgdii3 ffi unusual circumstances as determined by the Director General provided that a report shall be made to the Board on the circumstances leading to such inspections TABLE Periodic inspections of reactors subject to Agency safeguards Total maximum Inspections per year thermal output of all cxter same nally safe guarded reactors to 0 8 9 0 4yy'0 mfto Qi2' GEE toxo p50 1 to 0 0 Megawatts100 3 DECLASSHUED $336 6o 4 3 6 7 49306-80 Ger 334 Annex II pas8 33 If the externally safeguarded facilities on which the number of inspections is based include nuclear facilities not subject to Agency safeguards and such facilities are subject to inspection by any-other organization or member State the number of inspec tions by the Agency may be reduced to a number corresponding to the fraction of the capacity-of the externally safeguarded facilities that are subject to Agency safeguards provided that the number of Agency inspections shall not be less than that re quired for only the nuclear facilities subject to Agency safeguards 'lnspections of nuclear facilities shall9 where prac ticable be carried out in conjunction with inspections of other nuclear facilities in the State and in con- junction with_the inspections of nuclear materials that are provided for under sub section 4 1 7 Periodic inspections shall normally include but shall not necessarily be limited to A physical inspection of the facility Audits of the records and of the reports sub- mitted to the Agency 0 A review of the adequacy of the precautions taken to protect persons and property from the hazards of radiation and radioactive contamin atioh Measurements of radiation levels and A review of waste disposal records and sites 4 4 Application of health safeguards to facilities and installations 4a4 l General 4 4 101 The procedures specified in sub sections 4 4 2 to 4 4 6 shall be applicable to all nuclear facilities and nuclear installations subject to health safeguards only DECLASSHHED Annex II page 4 4 4 4 4 2 1 4 4 2 2 4 4 2 3 'Approval of designs With respect to each nuclear facility and nuclear installation subject to health safeguards the State shall furnish the Agency with the plans drawings descriptions and information listed in subwparagraphs and The provisions of paragraph 4 3 2 2 shall be applic able to the'plansa drawings9 descriptions and inform nation to be furnished pursuant to this sub-section The Agency shall approve the design of nuclear facilities and nuclear installations subject to health safeguards and any change therein only from the viewe point that such design or change complies with the applicable health and safety standards Health and safety 4 4 3 1 Records 4 404- 1 4 4 4 2 The provisions of sub section 4 1 3 shall be corres pondingly applicable to all nuclear facilities and nuclear installations subject to health safeguards The State shall be responsible that the following records be kept with respect to each nuclear facility and nuclear installation subject to health safeguards Health and safety records including radiation surveys and personnel monitoring and waste disposal records including quantity and activityy physical and chemical form and method and location_of disposal The period of availability of records shall be as provided for in paragraph 4 1 4 4 I 495 DECLASSHHED I Gov 334 Annex II page 35 With respect to all nuclear facilities and nuclear installations subject to health safeguards reports of all exposures of persons in excess of the maximum permissible levels recommended in appendix I to the 3 manual Safe Handling of Radioisotopes - shall be made to the Agency upon discovery The Agency shall inspect nuclear facilities and nuclear installations subject to health safeguards There may be one inspection during construction and thereafter with a frequency of no more than one a year but additional inspections may be made in the event of unusual circumstances as determined by the Director General provided that a report to the Board is made on the circumstances leading to such inspec- tions Inspections_of nuclear facilities or nuclear installations shall where practicable be carried out in conjunction with inspections of other nuclear facilities or nuclear installations under health safeguards in the State and in conjunction with the inspections of nuclear materials and radioisotopes that are provided-fer under submseetien 4 2 5 inspections shall normally include but shall not necessarily be limited to the same items as listed in paragraph 4 2 5 3 4 4 5 7 Reports 40 4c 5619 4 4 6 Inspections 4 4 6 3 Incidents 4 5 1 General 4 5 1 1 rThe procedures specified in subuseetiens 4 5 2 and 4 5 3 are applicable in the ease of 1 Wore We Annex II page 36 4-- 5 20 heports 4 5 2 lg 4 5 2 2 Any incident that may indicate a defect or failure that might endanger health or safety in the design or operation of any nuclear facility or nuclear installation or in the use processing storage or transportation of any nuclear material or radioisotope subject to Agency safeguards9 or in the health and safety standards and measures applied and Any incident that results in the loss of more than 250 kilogrammes of source content of source or 25 grammes of fissile content of special fissionable materials subject to Agency safeguards or cf nuclear materials or radioisotopes subject to health safeguards in excess of the minimum significant quantity provided that the loss of nuclear materials or radioisotOpes subject to health safeguards only need not be reported unleSs-it exceeds the normal processing loss predicted in the operating procedures that have been approved by the Agencya The State shall submit to the Agency within forty eight hours of the occurrence of any incident covered by su seoti0n 4 5 1 a preliminary report giving all available information on its location nature and approximate extent The State shall submit to the Agenoy as soon as possible a definitive report giving complete infor g mation on the nature extent effects and presumed cause of the incident and on any actions taken to minimize its consequences or to prevent future occurrences previded-that if no final report can be submitted within three months progress reports shall be submitted at three months' intervals I Gov 334 Annex II page 36 4 5 2 l 4 5 2t2 Any incident-that may indicate a defect or failure that might endanger health or safety in the design or operation of any nuclear facility or nuclear installation or in the use processing storage or transportation of any nuclear material or radioisotope subject to Agency safeguards or in the health and safety standards and measures applied and Any incident that results in the loss of more than 250 kilogrammes of source content of source or 25 grammes of fissile content of special fissionable materials subject to Agency safeguards or of nuclear materials or radioisotopes subject to health safeguards in excess of the minimum significant quantity previded that the loss of nuclear materials er radioisotOpes subject to- health safeguards only need not be reported unless it exceeds the normal processing loss predicted in the operating procedures that have been approved by the Agencya The State shall submit to the Agency Within forty- eight hours of the occurrence of any incident covered by sub section 4 5 1i a preliminary report giving all available information on its location nature and approximate extent The State-shall Submit to the AgenCy as soon as possible a definitive report giving complete infor ' mation on the nature extent effects'and presumed cause of the incident and on any actions taken to minimize its consequences or to prevent future occurrences previded-that if no final report can be submitted'within three months progress reports-shall be submitted at three months intervals DECLASSHHED 495030 Section 5 I Annex II page 37 Inspections 4 5 3 1 UpOn receiving a preliminary incident report submitted pursuant to paragraph 4 5 2 1 the Director Generaly may send one or more Agency inspectors to the indie cated location after giving the State the twentwaour hours' notice required by paragraph 5 3 1 RIGHTS PRIVILEGES AND IMMUEIITIES AGENCY INSPF 5 1 General privileges of Agency inspectors S i 1 5 1 2 5 1 3 The Agency and each State shall apply with respect to any Agenoy inspector sent to the State for the purpose of applying Agency Safeguards and with respect to any property of the Agency used in applying Agency safeguards the pertinent portions of the Agreement on the Privileges and lmmunities of the International Atomic Energy Agency as revised from time to time whether or not the State has aeoepted the Agreement or any revision thereto 'Agenoy inspectors within_a State in accordance With paragraph 501 1 Shall have the same rights to communicate with other Agency inspectors Within or outside the State by the use of codes by courier or in sealed bags as they have to communi cats with the Agency under the Agreement on the Privileges and Immunities of the Agency - Agenoy inspectors shall be provided with appropriate facilities for carrying out the inspections provided for in these regum lations including the use of safety clothing and of available eQuipment and shall also be provided _either gratis_or for reasonable compensation with suitable lodging subsistence office space and transport when these are not otherwise readily available at the location where they are required 16 The text of this section is subject to adjustment in the light of decisions of the Board concerning the Agreement on the Agency Privileges and Immunities LL DECLASSHHED Annex II page 38 5 2 -Designation of Agency inspectors 5 2 1 When it is proposed to designate a persqn as Agency inspector for a State the Director General shall inform the State of the- - name nationality and grade of that person and shall also transmit a summary of his relevant qualifications The State shall inform the Director General within thirty days of i receipt of such a proposal whether it accepts the designation 5 2 2 of that person If so the Director General may designate the person as Agency inspector for that State and-shall_notify the State concerned of such designation If a State either upon proposal of a designation or at any time after a designation has been made objects to the desig- nation of a person as Agency inspector it shall inform the Director General of its objection together with its reasons therefor The Director General may either Withdraw suspend or-maintain the_designation or preposalga unless he Withdraws it he shall refer to the Board of Governors for decision the question whether the designation is to be made or maintained If a question of the maintenance of a designation is referred - to the Board the designation unless suspended by the Director 502030 General shall remain effective until the Board has decided to the contrary Each State shall as speedily as possible grant or renew visas when required for persons designated as Agenoy_inspectors for that State Such visas shall be of a type and for a duration which will facilitate visits as provided for in these regu lations Visits of Agency inspectors 50 3 lo The Director General shall give the State at least one week's notiCe of each inspection including the names of the Agency inspectors the place and approximate time of their arrival and departure and the facilities and materials to be inspected provided that for any inspection to investigate any incident covered by Subusection 4 5 such notice need not exceed 24 hours i DECLASSHHED 5 3 2 5 3 3 5040 Rights 50 4 9 1 07 564 2 Gov 334 Annex II page 39 'Agency inspectors shall be accompanied by representatives of the State concerned if the State so requests provided that the inspectors shall not thereby be delayed or otherwise imm peded in the exercise of their runctions 1 Agency inspectors shall use such points or entry and departure from the State and such routes and modes of travel Within it as may be Adesignated by the State @rovidea that they shall not thereby be unduly delayed Agency inspectors shall he entitled without impediment to take into the State scientific instruments and other equipment and materials necessary for the performance of their functions and to remove these from the State together With any samples taken provided the they shall observe all applicable health and safety measures of the Agency and of the State with regard to the storage and transportation of such property of access and inspection Upon presentation of their credentials Agency inspectors shall be given access to all n uclear net's rials radioisotopes nuclear facilities and nuclear installations suoje ct to Agency safe guards Agency inspectors shall be permitted to carry out their inspec tiens in accordance with section 4 of those regulations and may Examine all operating and accounting records concerning the location movement production and use made of nuclear materials radioisotopes nuclear facilities s and nuclear installations subject to Agency sztfoguardsg Measure any nuclear material or radioisotope subject to Agency safeguards and conduct measurements in any nuclear facility or nuclear installation subject to Agency safe guardS I ULULASSIFIED hoes message Gov 334 Annex II page 40 5-403 5-4 4- i Take samples of_any material or radioisotope subject to Agency'safeguards for testing such material or radio isetOpe either to be returned to the State or adequate compensation for it to be paid Examine and test the instrumentation at any nuclear facility or nuclear installation subject to Agency safem' guards Investigate any incident covered by sub section 4 5 and have access to all persons places and data from which information relevant to such an incident may be obtained including all relevant medical data and records and Examine all records concerning health and safety required to be maintained by section 4 Agency inspectors shall have access to all places and data and to any person Who by reason of his occupation deals with any nuclear material radioisotope nuclear facility or nuclear installation subject to Agency safeguards the State shall direct all such persons under its control to cowoperate fully with Agency inspectors Agency inspectors shall be Warned of any danger of radiation or radioactive contamination in or connected with any nuclear material radioisotope nuclear facility or nuclear inStal lation to be inspected Agency inspectors may enter such facilities or installations or examine such materials or radioisotopes at their own risk                     National Security Archive    Suite 701  Gelman Library  The George Washington University    2130 H Street  NW  Washington  D C  20037    Phone  202 994‐7000  Fax  202 994‐7005  nsarchiv@gwu edu