Distr INTERNATIONAL ATOMIC ENERGY GENERAL AGENCY GC IV l08 14 April 1960 Original ENGLISH General Conference FOURTH REGULAR SESSION AGENCY SAFEGUARDS Note by the Director General 1 On 7 April 1960 the Board of Governors adopted the two resolutions relating to Agency safeguards which are reproduced below 2 The Annexes to the Board's document GOV 549 referred to in resolution B have been consolidated into a single text in the Annex to the present document AGENCY SAFEGUARDS RESOLUTION A The Board of Governors a Recalling that the Agency is authorized under Article III A 5 of its Statute to establish and administer safeguards designed to ensure that special fissionable and other materials services equipment facilities and information made available by the Agency or at its request or under its supervision or control are not used in such a way as to further any military purpose and to apply safeguards at the request of the parties to any bilateral or multilateral arrangements or at the request of a State to any of that State's activities in the field of atomic energy b Recalling also Article XII of the Statute and o Taking into account the need to establish principles and procedures for the information and guidance of Member States as well as for the guidance of the Board itself in administering safeguards Approves provisionally the principles and procedures set forth in the Annexes to document GOV 549 GC IV l08 page 2 RESOLUTION B The Board of Governors Decides to submit to the General Conference for consideration and appropriate action in accordance with the Statute at its fourth regular session the principles and procedures set forth in the Annexes to document GOV 549 GO IV l Annex page 1 A K HEX AGENCY SAFEGUARDS Tahle of Contents Paragraphs II Introduction 1 - 5 Definitions 6-23 III IV V Principles of Agency Safeguards 24 - 32 24 A General B Principles of attachment 25 - 28 C Principles of application 29 - 32 Attachment and Termination of Agency Safeguards 33 - 40 Ao Attachment to nuclear material 33 - 36 B Attachment to facilities equipment and nonnuclear material 37 - 38 C Termination or suspension of Agency safeguards 39 - 40 Application of Agency Safeguards 41 - 67 A General procedures concerning application to all types of facilities and materials 41 - 61 B Additional procedures for application to reactor facilities 62 - 66 C Additional procedures for application to research and development facilities other than reactorf V tA 4TUL APPENDIX Equivalent amounts of enriched uranium 67 1-3 page 2 I INTRODUCTION 1 Under Article III A 5 of the Statute the Agency is authorized to establish and administer safeguards designed to ensure that special fissionable and other materials services equipment facilities and information made available by the Agency or at its request or under its supervision or control are not used in such a way as to further any military purpose and to apply safeguards at the request of the parties to any bilateral or multilateral arrangement or at the request of a State to any of that State's activities in the field of atomic energy 2 The principles and procedures established for the information and appro- priate guidance of Member States as well as for the guidance of the Board ix self in the administration of safeguards by the Agency are based on the pertinent provisions of the Statute and enable a A State or group of States applying for assistance by or through the Agency to consider in advance the nature of the safeguards that the Agency would attach b The parties to a bilateral or multilateral arrangement or a State to determine how Agency safeguards might be applied to their activities if they so request $ and c The B oard to determine readily what safeguards -should be attached to Agency projects or applied to arrangements that the Agency has been requested to safeguard and embodied in the relevant agreements 3 Agency safeguards will be applied to materials and facilities voluntarily placed under Agency safeguards by a State or States Where two or more States request the Agency to administer the safeguards provisions of an agreement between those States the Agency will apply those provisions provided that they are consistent with the procedures laid down in this document The administra- tion of safeguards by the Agency under this paragraph shall be governed by an agreement pursuant to the Statute between the Agency and the State or States concerned which shall be made for a specified period 4 This document specifies a The principles that are to be followed by the Agency in determining the safeguards that are to be attached and applied to various types of assistance and b The procedures to implement these principles These procedures cover the anticipated requirements by the Agency in the immediate future and relate only to research test and power reactors with GC IV 10G page 3 less than 100 megawatts thermal output to the source and special fissionable material used and produced in these reactors and to small research and development facilities Procedures covering other types of nuclear facilities will be developed as the probable need for them becomes evident In regard to produced material the safeguards provided for in this document relate only to first generation produced material 5 The principles and procedures for the attachment and application of safe- guards by the Agency which are set forth hereafter shall be subject to a general review after two years in the light of the actual experience gained by the Agency as well as of the technological development which has taken place II DEFINITIONS 6 Agency means the International Atomic Energy Agency 7 Statute means the Statute of the Agency 8 Board means the Board of Governors of the Agency 9 Director General means the Director General of the Agency 10 Nuclear material means any source and or special fissionable material as defined in Article XX of the Statute 11 Source content means the total weight of uranium and thorium contained in source material as defined in Article XX of the Statute 12 Fissile content means the total weight of uranium-235 of uranium-233 and of plutonium contained in nuclear material 13 Enrichment means the percentage by weight of the isotope uranium-235 in the total uranium present 14 Depleted uranium means uranium in which the percentage by weight of the isotope uranium-235 i n the total uranium present is less than that occurring in natural uranium 15 Reactor means any device that can be operated so as to maintain a controlled self-sustaining fission chain reaction 16 Reactor facility means a reactor including appurtenant facilities such as fuel storage or cooling facilities or other portions of the plant in which nuclear materials are handled or used G0 IV l08 page 4 17 Principal nuclear facility means reactor facilities plants for processing special fissionable or irradiated source material plants for separating the isotopes of uranium or isotopes of plutonium and such other facilities or plants which may he designated by the Board 18 Supplied or processed by the Agency means supplied or processed by the Agency directly or supplied or processed with the assistance of the Agency when in the opinion of the Board that assistance is of a substantial nature 19 Diversion means the use by a recipient State of fissionable or other materials facilities or equipment supplied by the Agency so as to further any military purpose or in violation of any other condition prescribed in the agreement between the Agency and the States concerning the use of such materialsfacilities or equipment 20 Agency safeguards means the measures pursuant to the Statute to prev'ent loss or diversion of nuclear materials specialized equipment or principal nuclear facilities 21 Attachment of safeguards means the requirement to apply appropriate safeguard procedures 22 Application of safeguards to materials or facilities means the implementation of appropriate safeguards procedures 23 l PIT--' material and PIT facility mean materials and facilitiess a Supplied by the Agency or to which Agency safeguards are otherwise attached b Placed under Agency safeguards by agreement with the State or States concerned c Allocated by a State for peaceful purposes exclusively provided the State concerned voluntarily send the Agency notification thereof in connexion with Agency safeguards or d Supplied from a source external to a State under an agreement that they shall not be used to further a military purpose or otherwise safeguarded in that State by other organizations or States provided that all parties concerned shall have voluntarily notified the Agency in connexion with Agency safeguards of the material or facilities supplied or otherwise safeguarded in the State so that the Agency can take account thereof This abbreviation means peaceful nuclear GC IV lOG Annex page 5 III PRINCIPLES OF AG3NCY SAFEGUARDS A General 24 The principal factors considered by the Board for determining the relevance of particular safeguards for various types of materials and facilities will depend upon the form scope and amount of the assistance supplied by the Agency the specific character of each individual project and the degree to which the assistance can further a military purpose The Agency will tako into account all pertinent circumstances existing at the time B Principles of attachment 25 The attachment of Agency safeguards to Agency projects will take into consideration all PIT materials and PIT facilities in the State 26 Agency safeguards will be attached to nuclear material supplied hy the Agency whenever the total amount of PN material in a State exceeds a certain minimum and will also be attached to special fissionable material produced in or by the use of material to which Agency safeguards are thus attached Agency safeguards will be attached to nuclear material used produced or processed in a principal nuclear facility to which Agency safeguards are attached 27 Agency safeguards will be attached to principal nuclear facilities 2 supplied or substantially assisted by the Agency --' If in the opinion of the Board specialized equipment or non-nuclear material supplied by the Agency could substantially assist a principal nuclear facility or could in other ways further a military purpose Agency safeguards will be attached to such equipment or material oven when it is not in a principal nuclear facility 28 No Agency safeguards will be attached to mines to mining equipment or to ore-processing plants C Principles of application 29 The application of Agency safeguards to Agency projects will take into consideration all PIT materials and PN facilities in the State 2 Subject to the exemptions provided for in paragraph 37 below GC IV 108 Annex page 6 30 Agency safeguards will be applied tos a Nuclear material to v hich Agency safeguards are attached b Nuclear material while it is intermixed with nuclear material to which Agency safeguards are attached an i c Nuclear material in Member States to which Agency safeguards are attached at the request of Member States 31 32 Agency safeguards will be applied tos a Facilities to which Agency safeguards are attached b Facilities while they are processing using storing or transporting materials to which Agency safeguards are-attached and c Facilities in' Member States to which Agency safeguards are attached at the request of Member States Agency safeguards will be applied to specialized equipment and non-nuclear materials to which Agency safeguards are attached and to facilities incorporating these items IV ATTACHMENT AND TERMINATION OF AGENCY SAFEGUARDS A Attachment to nuclear materials 33o In each of the following cases Agency safeguards will be attached to nuclear material supplied by the Agency and to special fissionable material produced in or by the use of such material if the quantity of such PN material in the State exceeds a Two metric tons in the case of uranium with a uranium-235 content between 0 5 and 1 0 per cent or for any portion thereof the equivalent amount of more highly enriched uranium plutonium or o ouranium-233 M b Four metric tons in the case of depleted uranium with a uranium-235 content of less than 0 5 po cent 5 c Four metric tons in the case of thorium However in each of the following cases Agency safeguards -will be applied in a nominal manner to nuclear material supplied by the Agency if the quantity of such PN material'in the State lies between the following amounts 3 3 Equivalent amounts can be determined from the equation in the Appendix The equivalent amounts of plutonium and uranium-233 are the same as for fully enriched uranium GC IV 108 Annex page 7 d Two to 10 metric tons in the case of uranium with a uranium-235 content between 0 5 and 1 0 per cent or for any portion thereof the equivalent amount of more highly enriched uranium plutonium or uranium-233 4 e Pour to 20 metric tons in the case of depleted uranium with a uranium-235 content of less than 0 5 per cent f Four to 20 metric tons in the case of thorium Safeguards will be applied fully to all special fissionable material produced in or by the use of material supplied by the Agency fulfilling the conditions of sub-paragraphs d e and f above 34 Agency safeguards will be attached to special fissionable material produced in a principal nuclear facility to which Agency safeguards are attached 35 Agency safeguards will be attached to nuclear material processed or used in a principal nuclear facility to which Agency safeguards are attached 36 Agency safeguards will be attached to all special fissionable material produced in a reactor to which Agency safeguards are not attached but which contains nuclear material to which Agency safeguards are attached if such material permits the reactor to operate at more than 200 per cent of the power at which it could operate without such material B Attachment to facilities equipment and non-nuclear material 37 Agency safeguards will be attached to principal nuclear facilities supplied or in the opinion of the Board substantially assisted by the Agency Reactors which after an inspection at initial criticality are assessed by the Board to have a maximum calculated power for continuous operation of less than 3 thermal megawatts shall be exempted from such attachment provided that the total such power of reactors thus exempted in any State may not exceed 6 thermal megawatts 38 Agency safeguards will be attached to specialized equipment and non- nuclear material supplied by the Agency which in the opinion of the Board could substantially assist a principal nuclear facility other than a reactor with a maximum calculated power for continuous operation of less than three 4 From the Appendix it will be seen that 200 to 1 000 grammes of fully enriched uranium are equivalent to the 2 to 10 metric-tons specified The equivalent amounts of plutonium and uranium-233 are the same as for fully enriched uranium GC IV 108 Annex page 8 thermal megawatts or could in other ways further a military purpose even when such specialized equipment or non-nuclear material is not in a principal nuclear facility The Board may from time to time designate certain specific specialized equipment and non-nuclear material as being items which would he considered capable of substantially assisting a principal nuclear facility or in other ways of furthering a military purpose C Termination or suspension of Agency safeguards 39 The attachment of Agency safeguards to a facility to materials or to equipment will terminate when there are no conditions as listed in paragraphs 33 to 38 above that require attachment of Agency safeguards 40 The attachment of Agency safeguards to nuclear material will be suspended while it is transferred solely for the purpose of processing reprocessing or testing to any other Member State or to any group of States or to an international organization under an agreement between the parties concerned approved by the Agency or to a facility within the State to which safeguards are not attached under an arrangement approved by the Agency provided thats a The agreement or the arrangement require that a party thereto place under Agency safeguards at a time to be agreed and with due allowance for processing losses an amount of nuclear material at least equal to that transferred between States or within a Member State and not otherwise subject to safeguards $ or b The quantities and materials so received or sent out by a State are not at any time in excess of the maximum amounts shown in subparagraphs d e or f of paragraph 33 above Y APPLICATION OF AGENCY SAFEGUARDS A General procedures concerning application to all types of facilities and materials a Introduction 41 Agency safeguards will be applied to facilities and to materials in facilities in accordance with agreements entered into by the Agency with the State or States concerned The application of such safeguards shall be as specified in the agreements and may extend as appropriate to the following a The Agency shall examine the design and approve it only from the viewpoint of assuring that it will not further any military purpose and that it will permit effective application of Agency safeguards5 G0 IV 108 Annex page 9 42 b The State shall maintain a system of records as agreed with the Agency of the material and facilities to which Agency safeguards are to he applied c The State shall submit to the Agency routine and special reports on the facilities and the materials under safeguards5 and d The State shall permit inspections by the Agency to account for material to which Agency safeguards are applied and to detect diversion The Agency staff shall not disclose any industrial secret or other confidential information coming to their knowledge by reason of the application of Agency safeguards except to the Director General and such other staff of the Agency as he may authorize to have such information for discharging their official duties b Procedure for approval of design 43 The design of facilities existing at the time ox the signing of the project agreement shall be approved by the Agency in order to determine9 in so far as it is able whether the facility will further ary military purpose and that the facility will permit the effective application of Agency safeguards In the event of additional facilities being designed which require the application of safeguards or in the event of a substantial change in the design of facilities already approved under the project agreemont the State will advise the Agency accordingly and submit such designs for examination and approval together with any information that the Agenoy may request 44 The Agency shall make its decision about approval of those designs as expeditiously as possible after the submission of the information by the State c Procedure for agreement of the records system 45o The State shall agree with the Agency a plan for the sysbom of records for each facility and material to which Agency safeguards are to be appliedr A draft of this plan shall be submitted by the State in sufficient time to permit review by the Agency and adoption by the State of an agreed system before the records need to be used Any changes in this plan shall similarly be agreed with the Agency 46 The records shall include operating records for nuclear facilities as well as accounting records of material and equipment9 to which Agency safeguards are applied GC IV 108 Annex page 12 f Nominal safeguards 61 If the quantities of PN material in the State aro such that material supplied by the Agency qualifies for the application of safeguards in a nominal manner as specified in paragraph 33 above the following shall apply a Only one routine report shall he required each year regarding the material and the facilities which are processing using storing or transporting such materialf b No routine inspections shall he carried out c Special reports will he submitted and special inspections performed as necessary and B Additional procedures for application to reactor facilities a Introduction 62 The following additional provisions apply to reactor facilities In the present procedures only reactors below 100 thermal megawatts are considered b Frequency of routine reports 63 The frequency of routine reports for a facility shall normally be twice a year The actual frequency for a given facility shall be determined in relation to the frequency of inspection of that facility c Frequency of routine inspections 64 Routine inspections shall be made to each facility to which safeguards are applied except those subject only to nominal safeguards 65 The number of inspections will be kept to a minimum consistent with the effective application of safeguards 66 The frequency of inspection of a reactor facility shall take into account the following considerationss a The nature of the reactor facility b The nature of the nuclear material used or produced in the reactor facility and c The amount of nuclear material used or produced in the reactor facility In the light of these considerations routine inspections shall be conducted at such a frequency that in the interval between inspections the total possible error in the measurement of the quantity of nuclear material used or produced GC IV l08 Annex page 13 by the reactor facility-- cannot amount to more than 0 2 kilogrammes of Plutonium U-233 or fully enriched'-U-23 5' or-'tfroir'eqtii'val'cn'tsv- The maximum frequency of routine inspections for a reactor facility shall be as shown in the table below The first column of this tabic indicates the annual usage--' or the maximum potential production of plutonium U-233 or U-235 expressed in equivalent kilogrammes and the second column indicates the corresponding inspection frequencies Frequency of routine inspections 7 Maximum number of routine inspections per year Annual usage or maximum potential roduction of Pu U-233 or U-235 Equivalent kilogrammes None Nominal safeguards 1 2 3 4 5 6 From 0 2 to 1 More More More More More More than than than than than than 1 up to 5 5 up to 10 10 up to 15 15 up to 20 20 up to 25 25 up to 30 The appropriate number of routine inspections will be stated in each project agreement and provision made therein for changes in case of changod conditions 5_ For the purposes of this document the total possible error in the measurement of the quantity of nuclear material used or produced by the reactor facility shall moan one standard deviation of the measurement 6 Annual usage is the equivalent yearly throughput or inventory whichever is larger and equivalent is used in the sense in which it is used in paragraph 33 above and in the Appendix jj Examples of the application of the principle illustrated in the above table are given in the following tables they are calculated on the basis of typical operating conditions at the reactor facility Illustrative frequencies of routine inspection Type of reactor facility Design power' Enrichment of fuel per cent Number of routine inspections per year Homogeneous research 50 KW 2 0 None subject to the provisions of paragraphs 33 and 37 above Heavy water research 3 MW Pool research 1 MW Pool research 2 m Graphite moderated research 4 MW Tost or largo research 30 mi Pressurized water powor 40 MWT Boiling water powor 58 MWT Test or large research 20 MW Graphite moderated powor 100 MWT Natural 20 90 Natural 20 4 4 2 90 Natural 1 2 2 2 4 6 GC IV 108 Annex page 14 0 Additional procedures for application to research and development facilitios other than reactor facilities ' 67 In this paragraph the only research and development facilitios that are provided for are those in a State which possesses PIT material in quantities that qualify in accordance with paragraph 33 above9 for the application of safeguards in a nominal manner For such facilitios the application shall be limited to that shown in paragraph 61 above GC IV 108 Annex page 15 APPENDIX Equivalent amounts of enriched uranium 1 The amount of uranium enriched to greater than 1 0 per cent that is equivalent to 200 grammes of fully enriched uranium is given by the equation Amount of uranium in kilogrammes 2 0 2 Enrichment 2 100 The amount of uranium enriched between 0 5 and 1 0 per cent that is equivalent to 200 grammes of fully enriched uranium is 2 000 kilogrammes 3 In cither of the above cases the amount of uranium equivalent to x kilogrammes of fully enriched uranium can be determined by substituting x for the figure 0 2 in the equation in paragraph 1 above                     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