Agreement
Between the
United States of America and the International Atomic Energy Agency
for the Application of Safeguards
in the United States
32 UST, 3059 entered into force Dec. 9, 1980.
Signed
at Vienna November 18, 1977
Ratification advised by U.S. Senate July 2, 1980
Ratified by U.S. President July 31, 1980
Entered into force December 9, 1980
Proclaimed by U.S. President December 31, 1980
Whereas
the United States of America (hereinafter referred to as the "United
States") is a Party to the Treaty on the Non-Proliferation of
Nuclear Weapons (hereinafter referred to as the "Treaty") which
was opened for signature at London, Moscow and Washington on 1
July 1968 and which entered into force on 5 March 1970;
Whereas
States Parties to the Treaty undertake to cooperate in facilitating
the application of International Atomic Energy Agency (hereinafter
referred to as the "Agency") safeguards on peaceful nuclear activities;
Whereas
non-nuclear-weapon States Parties to the Treaty undertake to accept
safeguards, as set forth in an agreement to be negotiated and
concluded with the Agency, on all source or special fissionable
material in all their peaceful nuclear activities for the exclusive
purpose of verification of the fulfillment of their obligations
under the Treaty with a view to preventing diversion of nuclear
energy from peaceful uses to nuclear weapons or other nuclear
explosive devices;
Whereas
the United States, a nuclear-weapon State as defined by the Treaty,
has indicated that at such time as safeguards are being generally
applied in accordance with paragraph 1 of Article III of the Treaty,
the United States will permit the Agency to apply its safeguards
to all nuclear activities in the United States -- excluding only
those with direct national security significance -- by concluding
a safeguards agreement with the Agency for that purpose;
Whereas
the United States has made this offer and has entered into this
agreement for the purpose of encouraging widespread adherence
to the Treaty by demonstrating to non-nuclear- weapon States that
they would not be placed at a commercial disadvantage by reason
of the application of safeguards pursuant to the Treaty;
Whereas
the purpose of a safeguards agreement giving effect to this offer
by the United States would thus differ necessarily from the purposes
of safeguards agreements concluded between the Agency and non-nuclear-weapon
States Party to the Treaty;
Whereas
it is in the interest of Members of the Agency, that, without
prejudice to the principles and integrity of the Agencys safeguards
system, the expenditure of the Agencys financial and other resources
for implementation of such an agreement not exceed that necessary
to accomplish the purpose of the Agreement;
Whereas
the Agency is authorized, pursuant to Article III of the Statute
of the International Atomic Energy Agency2 (hereinafter referred
to as the "Statute"), to conclude such a safeguards agreement;
Now, therefore,
the United States and the Agency have agreed as follows:
PART I
Article
1
(a) The United
States undertakes to permit the Agency to apply safeguards, in
accordance with the terms of this Agreement, on all source or
special fissionable material in all facilities within the United
States, excluding only those facilities associated with activities
with direct national security significance to the United States,
with a view to enabling the Agency to verify that such material
is not withdrawn, except as provided for in this Agreement, from
activities in facilities while such material is being safeguarded
under this Agreement.
(b) The United
States shall, upon entry in force of this Agreement, provide the
Agency with a list of facilities within the United States not
associated with activities with direct national security significance
to the United States and may, in accordance with the procedures
set forth in Part II of this Agreement, add facilities to or remove
facilities from that list as it deems appropriate.
(c) The United
States may, in accordance with the procedures set forth in this
Agreement, withdraw nuclear material from activities in facilities
included in the list referred to in Article 1(b).
Article
2
(a) The Agency
shall have the right to apply safeguards, in accordance with the
terms of this Agreement, on all source or special fissionable
material in all facilities within the United States, excluding
only those facilities associated with activities with direct national
security significance to the United States, with a view to enabling
the Agency to verify that such material is not withdrawn, except
as provided for in this Agreement, from activities in facilities
while such material is being safeguarded under this Agreement.
(b) The Agency
shall, from time to time, identify to the United States those
facilities, selected from the then current list provided by the
United States in accordance with Article 1(b), in which the Agency
wishes to apply safeguards, in accordance with the terms of this
Agreement.
(c) In identifying
facilities and in applying safeguards thereafter on source or
special fissionable material in such facilities, the Agency shall
proceed in a manner which the Agency and the United States mutually
agree takes into account the requirement on the United States
to avoid discriminatory treatment as between United States commercial
firms similarly situated.
Article
3
(a) The United
States and the Agency shall cooperate to facilitate the implementation
of the safeguards provided for in this Agreement.
(b) The source
or special fissionable material subject to safeguards under this
Agreement shall be that material in those facilities which shall
have been identified by the Agency at any given time pursuant
to Article 2(b).
(c) The safeguards
to be applied by the Agency under this Agreement on source or
special fissionable material in facilities in the United States
shall be implemented by the same procedures followed by the Agency
in applying its safeguards on similar material in similar facilities
in non-nuclear-weapon States under agreements pursuant to paragraph
1 of Article III of the Treaty.
Article
4
The safeguards
provided for in this Agreement shall be implemented in a manner
designed:
(a) To avoid
hampering the economic and technological development of the United
States or international co-operation in the field of peaceful
nuclear activities, including international exchange of nuclear
material;
(b) To avoid
undue interference in peaceful nuclear activities of the United
States and in particular in the operation of facilities; and
(c) To be
consistent with prudent management practices required for the
economic and safe conduct of nuclear activities.
Article
5
(a) The agency
shall take every precaution to protect commercial and industrial
secrets and other confidential information coming to its knowledge
in the implementation of this Agreement.
(b) (i) The
Agency shall not publish or communicate to any State, organization
or person any information obtained by it in connection with the
implementation of this Agreement, except that specific information
relating to the implementation thereof may be given to the Board
of Governors of the Agency (hereinafter referred to as "the Board")
and to such Agency staff members as require such knowledge by
reason of their official duties in connection with safeguards,
but only to the extent necessary for the Agency to fulfill its
responsibilities in implementing this Agreement.
(ii) Summarized
information on nuclear material subject to safeguards under this
Agreement may be published upon the decision of the Board if the
United States agrees thereto.
Article
6
(a) The Agency
shall, in implementing safeguards pursuant to this Agreement,
take full account of technological developments in the field of
safeguards, and shall make every effort to ensure optimum cost-effectiveness
and the application of the principle of safeguarding effectively
the flow of nuclear material subject to safeguards under this
Agreement by use of instruments and other techniques at certain
strategic points to the extent that present or future technology
permits.
(b) In order
to ensure optimum cost-effectiveness, use shall be made, for example,
of such means as:
(i) Containment
as a means of defining material balance areas for accounting purposes;
(ii) Statistical
techniques and random sampling in evaluating the flow of nuclear
material; and
(iii) Concentration
of verification procedures on those stages in the nuclear fuel
cycle involving the production, processing, use or storage of
nuclear material from which nuclear weapons or other nuclear explosive
devices could readily be made, and minimization of verification
procedures in respect of other nuclear material, on condition
that this does not hamper the Agency in applying safeguards under
this Agreement.
Article
7
(a) The United
States shall establish and maintain a system of accounting for
and control of all nuclear material subject to safeguards under
this Agreement.
(b) The Agency
shall apply safeguards in accordance with Article 3(c) in such
a manner as to enable the Agency to verify, in ascertaining that
there has been no withdrawal of nuclear material, except as provided
for in this Agreement, from activities in facilities while such
material is being safeguarded under this Agreement, findings of
the accounting and control system of the United States. The Agency's
verification shall include, inter alia, independent measurements
and observations conducted by the Agency in accordance with the
procedures specified in Part II. The Agency, in its verification,
shall take due account of the technical effectiveness of the system
of the United States.
Article
8
(a) In order
to ensure the effective implementation of safeguards under this
Agreement, the United States shall, in accordance with the provisions
set out in Part II, provide the Agency with information concerning
nuclear material subject to safeguards under this Agreement and
the features of facilities relevant to safeguarding such material.
(b) (i) The
Agency shall require only the minimum amount of information and
data consistent with carrying out its responsibilities under this
Agreement.
(ii) Information
pertaining to facilities shall be the minimum necessary for safeguarding
nuclear material subject to safeguards under this Agreement.
(c) If the
United States so requests, the Agency shall be prepared to examine
on premises of the United States design information which the
United States regards as being of particular sensitivity. Such
information need not be physically transmitted to the Agency provided
that it remains readily available for further examination by the
Agency on premises of the United States.
Article
9
(a) (i) The
Agency shall secure the consent of the United States to the designation
of Agency inspectors to the United States.
(ii) If the
United States, either upon proposal of a designation or at any
other time after designation has been made, objects to the designation,
the Agency shall propose to the United States an alternative designation
or designations.
(iii) If,
as a result of the repeated refusal of the United States to accept
the designation of Agency inspectors, inspections to be conducted
under this Agreement would be impeded, such refusal shall be considered
by the Board, upon referral by the Director General of the Agency
(hereinafter referred to as "the Director General") with a view
to its taking appropriate action.
(b) The United
States shall take the necessary steps to ensure that Agency inspectors
can effectively discharge their functions under this Agreement.
(c) The visits
and activities of Agency inspectors shall be so arranged as:
(i) To reduce
to a minimum the possible inconvenience and disturbance to the
United States and to the peaceful nuclear activities inspected;
and
(ii) To ensure
protection of industrial secrets or any other confidential information
coming to the inspectors knowledge.
Article
10
The provisions
of the International Organizations Immunities Act of the United
States of America3 shall apply to Agency inspectors performing
functions in the United States under this Agreement and to any
property of the Agency used by them.
Article
11
Safeguards
shall terminate on nuclear material upon determination by the
Agency that the material has been consumed, or has been diluted
in such a way that it is no longer usable for any nuclear activity
relevant from the point of view of safeguards, or has become practicably
irrecoverable.
Article
12
(a) If the
United States intends to exercise its right to withdraw nuclear
material from activities in facilities identified by the Agency
pursuant to Articles 2(b) and 39(b) other than those facilities
removed, pursuant to Article 34(b)(i) from the list provided for
by Article 1(b) and to transfer such material to a destination
in the United States other than to a facility included in the
list established and maintained pursuant to Articles 1(b) and
34, the United States shall notify the Agency in advance of such
withdrawal. Nuclear material in respect of which such notification
has been given shall cease to be subject to safeguards under this
Agreement as from the time of its withdrawal.
(b) Nothing
in this Agreement shall affect the right of the United States
to transfer material subject to safeguards under this Agreement
to destinations not within or under the jurisdiction of the United
States. The United States shall provide the Agency with information
with respect to such transfers in accordance with Article 89.
The Agency shall keep records of each such transfer and, where
applicable, of the reapplication of safeguards to the transferred
nuclear material.
Article
13
Where nuclear
material subject to safeguards under this Agreement is to be used
in non-nuclear activities, such as the production of alloys or
ceramics, the United States shall agree with the Agency, before
the material is so used, on the circumstances under which the
safeguards on such material may be terminated.
Article
14
The United
States and the Agency will bear the expenses incurred by them
in implementing their respective responsibilities under this Agreement.
However, if the United States or persons under its jurisdiction
incur extraordinary expenses as a result of a specific request
by the Agency, the Agency shall reimburse such expenses provided
that it has agreed in advance to do so. In any case the Agency
shall bear the cost of any additional measuring or sampling which
inspectors may request.
Article
15
In carrying
out its functions under this Agreement within the United States,
the Agency and its personnel shall be covered to the same extent
as nationals of the United States by any protection against third-party
liability provided under the Price-Anderson Act,4 including insurance
or other indemnity coverage that may be required by the Price-Anderson
Act with respect to nuclear incidents.
Article
16
Any claim
by the United States against the Agency or by the Agency against
the United
States in
respect to any damage resulting from the implementation of safeguards
under this Agreement, other than damage arising out of a nuclear
incident, shall be settled in accordance with international law.
Article
17
If the Board,
upon report of the Director General, decides that an action by
the United States is essential and urgent in order to ensure compliance
with this Agreement, the Board may call upon the United States
to take the required action without delay, irrespective of whether
procedures have been invoked pursuant to Article 21 for the settlement
of a dispute.
Article
18
If the Board,
upon examination of relevant information reported to it by the
Director General, determines there has been any non-compliance
with this Agreement, the Board may call upon the United States
to remedy forthwith such non-compliance. In the event there is
a failure to take fully corrective action within a reasonable
time, the Board may make the reports provided for in paragraph
C of Article XII of the Statute and may also take, where applicable,
the other measures provided for in that paragraph. In taking such
action the Board shall take account of the degree of assurance
provided by the safeguards measures that have been applied and
shall afford the United States every reasonable opportunity to
furnish the Board with any necessary reassurance.
Article
19
The United
States and the Agency shall, at the request of either, consult
about any question arising out of the interpretation or application
of this Agreement.
Article
20
The United
States shall have the right to request that any question arising
out of the interpretation or application of this Agreement be
considered by the Board. The Board shall invite the United States
to participate in the discussion of any such question by the Board.
Article
21
Any dispute
arising out of the interpretation or application of this Agreement,
except a dispute with regard to a determination by the Board under
Article 18 or an action taken by the Board pursuant to such a
determination which is not settled by negotiation or another procedure
agreed to by the United States and the Agency shall, at the request
of either, be submitted to an arbitral tribunal composed as follows:
The United States and the Agency shall each designate one arbitrator,
and the two arbitrators so designated shall elect a third, who
shall be the Chairman. If, within thirty days of the request for
arbitration, either the United States or the Agency has not designated
an arbitrator, either the United States or the Agency may request
the President of the International Court of Justice to appoint
an arbitrator. The same procedure shall apply if, within thirty
days of the designation or appointment of the second arbitrator,
the third arbitrator has not been elected. A majority of the members
of the arbitral tribunal shall constitute a quorum, and all decisions
shall require the concurrence of two arbitrators. The arbitral
procedure shall be fixed by the tribunal. The decisions of the
tribunal shall be binding on the United States and the Agency.
Article
22
The Parties
shall institute steps to suspend the application of Agency safeguards
in the United States under other safeguards agreements with the
Agency while this Agreement is in force. However, the United States
and the Agency shall ensure that nuclear material being safeguarded
under this Agreement shall be at all times at least equivalent
in amount and composition to that which would be subject to safeguards
in the United States under the agreements in question. The detailed
arrangements for the implementation of this provision shall be
specified in the subsidiary arrangements provided for in Article
39, and shall reflect the nature of any undertaking given under
such other safeguards agreements.
Article
23
(a) The United
States and the Agency shall, at the request of either, consult
each other on amendments to this Agreement.
(b) All Amendments
shall require the agreement of the United States and the Agency.
Article
24
This Agreement
or any amendments thereto shall enter into force on the date on
which the Agency receives from the United States written notification
that statutory and constitutional requirements of the United States
for entry into force have been met.5
Article
25
The Director
General shall promptly inform all Member States of the Agency
of the entry into force of this Agreement, or of any amendments
thereto.
Article
26
The Agreement
shall remain in force as long as the United States is a party
to the Treaty except that the Parties to this Agreement shall,
upon the request of either of them, consult and, to the extent
mutually agreed, modify this Agreement in order to ensure that
it continues to serve the purpose for which it was originally
intended. If the Parties are unable after such consultation to
agree upon necessary modifications, either Party may, upon six
months notice, terminate this Agreement.
PART II
Article
27
The purpose
of this part of the Agreement is to specify the procedures to
be applied in the implementation of the safeguards provisions
of Part I.
Article
28
The objective
of the safeguards procedures set forth in this part of the Agreement
is the timely detection of withdrawal, other than in accordance
with the terms of this Agreement, of significant quantities of
nuclear material from activities in facilities while such material
is being safeguarded under this Agreement.
Article
29
For the purpose
of achieving the objective set forth in Article 28, material accountancy
shall be used as a safeguards measure of fundamental importance,
with containment and surveillance as important complementary measures.
Article
30
The technical
conclusion of the Agencys verification activities shall be a statement,
in respect of each material balance area, of the amount of material
unaccounted for over a specific period, and giving the limits
of accuracy of the amounts stated.
Article
31
Pursuant to
Article 7, the Agency, in carrying out its verification activities,
shall make full use of the United States system of accounting
for and control of all nuclear material subject to safeguards
under this Agreement and shall avoid unnecessary duplication of
the United States accounting and control activities.
Article
32
The United
States system of accounting for and control of all nuclear material
subject to safeguards under this Agreement shall be based on a
structure of material balance areas, and shall make provision,
as appropriate and specified in the Subsidiary Arrangements, for
the establishment of such measures as:
(a) A measurement
system for the determination of the quantities of nuclear material
received, produced, shipped, lost or otherwise removed from inventory,
and the quantities on inventory.
(b) The evaluation
of precision and accuracy of measurements and the estimation of
measure-ment uncertainty;
(c) Procedures
for identifying, reviewing and evaluating differences in shipper/receiver
measurements;
(d) Procedures
for taking a physical inventory;
(e) Procedures
for the evaluation of accumulations of unmeasured inventory and
unmeasured losses;
(f) A system
of records and reports showing, for each material balance area,
the inventory of nuclear material and the changes in that inventory
including receipts into and transfers out of the material balance
area;
(g) Provisions
to ensure that the accounting procedures and arrangements are
being operated correctly; and
(h) Procedures
for the provision of reports to the Agency in accordance with
Articles 57 through 63 and 65 through 67.
Article
33
Safeguards
under this Agreement shall not apply to material in mining or
ore processing activities.
Article
34
The United
States may, at any time, notify the Agency of any facility or
facilities to be added to or removed from the list provided for
in Article 1(b):
(a) In case
of addition to the list, the notification shall specify the facility
or facilities to be added to the list and the date upon which
the addition is to take effect;
(b) In the
case of removal from the list of a facility or facilities then
currently identified pursuant to Articles 2(b) or 39(b):
(i) The Agency
shall be notified in advance and the notification shall specify:
the facility or facilities being removed, the date of removal,
and the quantity and composition of the nuclear material contained
therein at the time of notification. In exceptional circumstances,
the United States may remove facilities without giving advance
notification;
(ii) Any facility
in respect of which notification has been given in accordance
with sub-paragraph (i) shall be removed from the list and the
nuclear material contained therein shall cease to be subject to
safeguards under this Agreement in accordance with and at the
time specified in the notification by the United States.
(c) In the
case of removal from the list of a facility or facilities not
then currently identified pursuant to Articles 2(b) or 39(b),
the notification shall specify the facility or facilities being
removed and the date of removal. Such facility or facilities shall
be removed from the list at the time specified in the notification
by the United States.
Article
35
(a) Safeguards
shall terminate on nuclear material subject to safeguards under
this Agreement, under the conditions set forth in Article 11.
Where the conditions of that Article are not met, but the United
States considers that the recovery of safeguarded nuclear material
from residues is not for the time being practicable or desirable,
the United States and the Agency shall consult on the appropriate
safeguards measures to be applied.
(b) Safeguards
shall terminate on nuclear material subject to safeguards under
this Agreement, under the conditions set forth in Article 13,
provided that the United States and the Agency agree that such
nuclear material is practicably irrecoverable.
Article
36
At the request
of the United States, the Agency shall exempt from safeguards
nuclear material, which would otherwise be subject to safeguards
under this Agreement, as follows:
(a) Special
fissionable material, when it is used in gram quantities or less
as a sensing component in instruments;
(b) Nuclear
material, when it is used in non-nuclear activities in accordance
with Article 13, if such nuclear material is recoverable; and
(c) Plutonium
with an isotopic concentration of plutonium-238 exceeding 80%.
Article
37
At the request
of the United States, the Agency shall exempt from safeguards
nuclear material that would otherwise be subject to safeguards
under this Agreement, provided that the total quantity of nuclear
material which has been exempted in the United States in accordance
with this Article may not at any time exceed:
(a) One kilogram
in total of special fissionable material, which may consist of
one or more of the following:
(i) Plutonium;
(ii) Uranium
with an enrichment of 0.2 (20%) and above, taken account of by
multiplying its weight by its enrichment; and
(iii) Uranium
with an enrichment below 0.2 (20%) and above that of natural uranium,
taken account of by multiplying its weight by five times the square
of its enrichment.
(b) Ten metric
tons in total of natural uranium and depleted uranium with an
enrichment above 0.005 (0.5%);
(c) Twenty
metric tons of depleted uranium with an enrichment of 0.005 (0.5%)
or below; and
(d) Twenty
metric tons of thorium;
or such greater
amounts as may be specified by the Board for uniform application.
Article
38
If exempted
nuclear material is to be processed or stored together with nuclear
material subject to safeguards under this Agreement, provision
shall be made for the reapplication of safeguards thereto.
Article
39
(a) The United
States and the Agency shall make Subsidiary Arrangements which
shall:
(i) contain
a current listing of those facilities identified by the Agency
pursuant to Article 2(b) and thus containing nuclear material
subject to safeguards under this Agreement; and
(ii) specify
in detail, to the extent necessary to permit the Agency to fulfil
its responsibilities under this Agreement in an effective and
efficient manner, how the procedures laid down in this Agreement
are to be applied.
(b) (i) After
entry into force of this Agreement, the Agency shall identify
to the United States, from the list provided in accordance with
Article 1(b), those facilities to be included in the initial Subsidiary
Arrangements listing;
(ii)The Agency
may thereafter identify for inclusion in the Subsidiary Arrangements
listing additional facilities from the list provided in accordance
with Article 1(b) as that list may have been modified in accordance
with Article 34.
(c) The Agency
shall also designate to the United States those facilities to
be removed from the Subsidiary Arrangements listing which have
not otherwise been removed pursuant to notification by the United
States in accordance with Article 34. Such facility or facilities
shall be removed from the Subsidiary Arrangements listing upon
such designation to the United States.
(d) The Subsidiary
Arrangements may be extended or changed by agreement between the
Agency and the United States without amendment to this Agreement.
Article
40
(a) With respect
to those facilities which shall have been identified by the Agency
in accordance with Article 39(b)(i), such Subsidiary Arrangements
shall enter into force at the same time as, or as soon as possible
after, entry into force of this Agreement. The United States and
the Agency shall make every effort to achieve their entry into
force within 90 days after entry into force of this Agreement;
an extension of that period shall require agreement between the
United States and the Agency.
(b) With respect
to facilities which, after the entry into force of this Agreement,
have been identified by the Agency in accordance with Article
39(b)(ii) for inclusion in the Subsidiary Arrangements listing,
the United States and the Agency shall make every effort to achieve
the entry into force of such Subsidiary Arrangements within ninety
days following such identification to the United States; an extension
of that period shall require agreement between the Agency and
the United States.
(c) Upon identification
of a facility by the Agency in accordance with Article 39(b),
the United States shall provide the Agency promptly with the information
required for completing the Subsidiary Arrangements, and the Agency
shall have the right to apply the procedures set forth in this
Agreement to the nuclear material listed in the inventory provided
for in Article 41, even if the Subsidiary Arrangements have not
yet entered into force.
Article
41
The Agency
shall establish, on the basis of the initial reports referred
to in Article 60(a) below, a unified inventory of all nuclear
material in the United States subject to safeguards under this
Agreement, irrespective of its origin, and shall maintain this
inventory on the basis of subsequent reports concerning those
facilities, of the initial reports referred to in Article 60(b),
of subsequent reports concerning the facilities listed pursuant
to Article 39(b)(ii), and of the results of its verification activities.
Copies of the inventory shall be made available to the United
States at intervals to be agreed.
Article
42
Pursuant to
Article 8, design information in respect of facilities identified
by the Agency in accordance with Article 39(b)(i) shall be provided
to the Agency during the discussion of the Subsidiary Arrangements.
The time limits for the provision of design information in respect
of any facility which is identified by the Agency in accordance
with Article 39(b)(ii) shall be specified in the Subsidiary Arrangements
and such information shall be provided as early as possible after
such identification.
Article
43
The design
information to be provided to the Agency shall include, in respect
of each facility identified by the Agency in accordance with Article
39(b), when applicable:
(a) The identification
of the facility, stating its general character, purpose, nominal
capacity and geographic location, and the name and address to
be used for routine business purposes;
(b) A description
of the general arrangement of the facility with reference, to
the extent feasible, to the form, location and flow of nuclear
material and to the general layout of important items of equipment
which use, produce or process nuclear material;
(c) A description
of features of the facility relating to material accountancy,
containment and surveillance; and
(d) A description
of the existing and proposed procedures at the facility for nuclear
material accountancy and control, with special reference to material
balance areas established by the operator, measurements of flow
and procedures for physical inventory taking.
Article
44
Other information
relevant to the application of safeguards shall also be provided
to the Agency in respect of each facility identified by the Agency
in accordance with Article 39(b), in particular on organizational
responsibility for material accountancy and control. The United
States shall provide the Agency with supplementary information
on the health and safety procedures which the Agency shall observe
and with which the inspectors shall comply at the facility.
Article
45
The Agency
shall be provided with design information in respect of a modification
relevant for safeguards purposes, for examination, and shall be
informed of any change in the information provided to it under
Article 44, sufficiently in advance for the safeguards procedures
to be adjusted when necessary.
Article
46
The design
information provided to the Agency shall be used for the following
purposes:
(a) To identify
the features of facilities and nuclear material relevant to the
application of safeguards to nuclear materiall in sufficient detail
to facilitate verification;
(b) To determine
material balance areas to be used for Agency accounting purposes
and to select those strategic points which are key measurement
points and which will be used to determine flow and inventory
of nuclear material; in determining such material balance areas
the Agency shall, inter alia, use the following criteria:
(i) The size
of the material balance area shall be related to the accuracy
with which the material balance can be established;
(ii) In determining
the material balance area, advantage shall be taken of any opportunity
to use containment and surveillance to help ensure the completeness
of flow measurements and thereby to simplify the application of
safeguards and to concentrate measurement efforts at key measurement
points;
(iii) A number
of material balance areas in use at a facility or at distinct
sites may be combined in one material balance area to be used
for Agency accounting purposes when the Agency determines that
this is consistent with its verification requirements; and
(iv) A special
material balance area may be established at the request of the
United States around a process step involving commercially sensitive
information;
(c) To establish
the nominal timing and procedures for taking of physical inventory
of nuclear material for Agency accounting purposes;
(d) To establish
the records and reports requirements and records evaluation procedures;
(e) To establish
requirements and procedures for verification of the quantity and
location of nuclear material; and
(f) To select
appropriate combinations of containment and surveillance methods
and techniques at the strategic points at which they are to be
applied.
The results
of the examination of the design information shall be included
in the Subsidiary Arrangements.
Article
47
Design information
shall be re-examined in the light of changes in operating conditions,
of developments in safeguards technology or of experience in the
application of verification procedures, with a view to modifying
the action the Agency has taken pursuant to Article 46.
Article
48
The Agency,
in co-operation with the United States, may send inspectors to
facilities to verify the design information provided to the Agency
pursuant to Article 42 through 45, for the purposes stated in
Article 46.
Article
49
In establishing
a national system of materials control as referred to in Article
7, the United States shall arrange that records are kept in respect
of each material balance area determined in accordance with Article
46(b). The records to be kept shall be described in the Subsidiary
Arrangements.
Article
50
The United
States shall make arrangements to facilitate the examination of
records referred to in Article 49 by inspectors.
Article
51
Records referred
to in Article 49 shall be retained for at least five years.
Article
52
Records referred
to in Article 49 shall consist, as appropriate, of:
(a) Accounting
records of all nuclear material subject to safeguards under this
Agreement; and
(b) Operating
records for facilities containing such nuclear material.
Article
53
The system
of measurements on which the records used for the preparation
of reports are based shall either conform to the latest international
standards or be equivalent in quality to such standards.
Article
54
The accounting
records referred to in Article 52(a) shall set forth the following
in respect of each material balance area determined in accordance
with Article 46(b):
(a) All inventory
changes, so as to permit a determination of the book inventory
at any time;
(b) All measurement
results that are used for determination of the physical inventory;
and
(c) All adjustments
and corrections that have been made in respect of inventory changes,
book inventories and physical inventories.
Article
55
For all inventory
changes and physical inventories the records referred to in Article
52(a) shall show, in respect of each batch of nuclear material:
material identification, batch data and source data. The records
shall account for uranium, thorium and plutonium separately in
each batch of nuclear material. For each inventory change, the
date of the inventory change and, when appropriate, the originating
material balance area and the receiving material balance area
or the recipient shall be indicated.
Article
56
The operating
records referred to in Article 52(b) shall set forth, as appropriate,
in respect of each material balance area determined in accordance
with Article 46(b):
(a) Those
operating data which are used to establish changes in the quantities
and composition of nuclear material;
(b) The data
obtained from the calibration of tanks and instruments and from
sampling and analyses, the procedures to control the quality of
measurements and the derived estimates of random and systematic
error;
(c) A description
of the sequence of the actions taken in preparing for, and in
taking, a physical inventory, in order to ensure that it is correct
and complete; and
(d) A description
of the actions taken in order to ascertain the cause and magnitude
of any accidental or unmeasured loss that might occur.
Article
57
The United
States shall provide the Agency with reports as detailed in Articles
58 through 67 in respect of nuclear material subject to safeguards
under this Agreement.
Article
58
Reports shall
be made in English.
Article
59
Reports shall
be based on the records kept in accordance with Articles 49 through
56 and shall consist, as appropriate, of accounting reports and
special reports.
Article
60
The United
States shall provide the Agency with an initial report on all
nuclear material contained in each facility which becomes listed
in the Subsidiary Arrangements in accordance with Article 39(b):
(a) With respect
to those facilities listed pursuant to Article 39(b)(i), such
reports shall be dispatched to the Agency within thirty days of
the last day of the calendar month in which this Agreement enters
into force, and shall reflect the situation as of the last day
of that month.
(b) With respect
to each facility listed pursuant to Article 39(b)(ii), an initial
report shall be dispatched to the Agency within thirty days of
the last day of the calendar month in which the Agency identifies
the facility to the United States and shall reflect the situation
as of the last day of that month.
Article
61
The United
States shall provide the Agency with the following accounting
reports for each material balance area determined in accordance
with Article 46(b):
(a) Inventory
change reports showing all changes in the inventory of nuclear
material. The reports shall be dispatched as soon as possible
and in any event within thirty days after the end of the month
in which the inventory changes occurred or were established; and
(b) Material
balance reports showing the material balance based on a physical
inventory of nuclear material actually present in the material
balance area. The reports shall be dispatched as soon as possible
and in any event within thirty days after the physical inventory
has been taken.
The reports
shall be based on data available as of the date of reporting and
may be corrected at a later date, as required.
Article
62
Inventory
change reports submitted in accordance with Article 61(a) shall
specify identification and batch data for each batch of nuclear
material, the date of the inventory change, and, as appropriate,
the originating material balance area and the receiving material
balance area or the recipient. These reports shall be accompanied
by concise notes:
(a) Explaining
the inventory changes, on the basis of the operating data contained
in the operating records provided for under Article 56(a); and
(b) Describing,
as specified in the Subsidiary Arrangements, the anticipated operational
programme, particularly the taking of a physical inventory.
Article
63
The United
States shall report each inventory change, adjustment and correction,
either periodically in a consolidated list or individually. Inventory
changes shall be reported in terms of batches. As specified in
the Subsidiary Arrangements, small changes in inventory of nuclear
materials, such as transfers of analytical samples, may be combined
in one batch and reported as one inventory change.
Article
64
The Agency
shall provide the United States with semi-annual statements of
book inventory of nuclear material subject to safeguards under
this Agreement, for each material balance area, as based on the
inventory change reports for the period covered by each such statement.
Article
65
Material balance
reports submitted in accordance with Article 61(b) shall include
the following entries, unless otherwise agreed by the United States
and the Agency:
(a) Beginning
physical inventory;
(b) Inventory
changes (first increases, then decreases);
(c) Ending
book inventory;
(d) Shipper/receiver
differences;
(e) Adjusted
ending book inventory;
(f) Ending
physical inventory; and
(g) Material
unaccounted for.
A statement
of the physical inventory, listing all batches separately and
specifying material identification and batch data for each batch,
shall be attached to each material balance report.
Article
66
The United
States shall make special reports without delay:
(a) If any
unusual incident or circumstances lead the United States to believe
that there is or may have been loss of nuclear material subject
to safeguards under this Agreement that exceeds the limits specified
for this purpose in the Subsidiary Arrangements; or
(b) If the
containment has unexpectedly changed from that specified in the
Subsidiary Arrangements to the extent that unauthorized removal
of nuclear material subject to safeguards under this Agreement
has become possible.
Article
67
If the Agency
so requests, the United States shall provide it with amplifications
or clarifications of any report submitted in accordance with Articles
57 through 63, 65 and 66, in so far as relevant for the purpose
of safeguards.
Article
68
The Agency
shall have the right to make inspections as provided for in Articles
69 through 82.
Article
69
The Agency
may make ad hoc inspections in order to:
(a) Verify
the information contained in the initial reports submitted in
accordance with Article 60;
(b) Identify
and verify changes in the situation which have occurred since
the date of the relevant initial report; and
(c) Identify
and if possible verify the quantity and composition of the nuclear
material subject to safeguards under this Agreement in respect
of which the information referred to in Article 89(a) has been
provided to the Agency.
Article
70
The Agency
may make routine inspections in order to:
(a) Verify
that reports submitted pursuant to Articles 57 through 63, 65
and 66 are consistent with records kept pursuant to Articles 49
through 56;
(b) Verify
the location, identity, quantity and composition of all nuclear
material subject to safeguards under this Agreement; and
(c) Verify
information on the possible causes of material unaccounted for,
shipper/receiver differences and uncertainties in the book inventory.
Article
71
Subject to
the procedures laid down in Article 75, the Agency may make special
inspections:
(a) In order
to verify the information contained in special reports submitted
in accordance with Article 66; or
(b) If the
Agency considers that information made available by the United
States, including explanations from the United States and information
obtained from routine inspections, is not adequate for the Agency
to fulfill its responsibilities under this Agreement.
An inspection
shall be deemed to be special when it is either additional to
the routine inspection effort provided for in Articles 76 through
80, or involves access to information or locations in addition
to the access specified in Article 74 for ad hoc and routine
inspections, or both.
Article
72
For the purposes
specified in Articles 69 through 71, the Agency may:
(a) Examine
the records kept pursuant to Articles 49 through 56;
(b) Make independent
measurements of all nuclear material subject to safeguards under
this Agreement;
(c) Verify
the functioning and calibration of instruments and other measuring
and control equipment;
(d) Apply
and make use of surveillance and containment measures; and
(e) Use other
objective methods which have been demonstrated to be technically
feasible.
Article
73
Within the
scope of Article 72, the Agency shall be enabled:
(a) To observe
that samples at key measurement points for material balance accountancy
are taken in accordance with procedures which produce representative
samples, to observe the treatment and analysis of the samples
and to obtain duplicates of such samples;
(b) To observe
that the measurements of nuclear material at key measurement points
for material balance accountancy are representative, and to observe
the calibration of the instruments and equipment involved;
(c) To make
arrangements with the United States that, if necessary:
(i) Additional
measurements are made and additional samples taken for the Agencys
use;
(ii) The Agencys
standard analytical samples are analyzed;
(iii) Appropriate
absolute standards are used in calibrating instruments and other
equipment; and
(iv) Other
calibrations are carried out;
(d) To arrange
to use its own equipment for independent measurement and surveillance,
and if so agreed and specified in the Subsidiary Arrangements
to arrange to install such equipment;
(e) To apply
its seals and other identifying and tamper-indicating devices
to containments, if so agreed and specified in the Subsidiary
Arrangements; and
(f) To make
arrangements with the United States for the shipping of samples
taken for the Agencys use.
Article
74
(a) For the
purposes specified in Articles 69 (a) and (b) and until such time
as the strategic points have been specified in the Subsidiary
Arrangements, Agency inspectors shall have access to any location
where the initial report or any inspections carried out therewith
indicate that nuclear material subject to safeguards under this
Agreement is present.
(b) For the
purposes specified in Article 69(c), the inspectors shall have
access to any facility identified pursuant to Article 2(b) or
39(b) in which nuclear material referred to inrticle 69(c) is
located.
(c) For the
purposes specified in Article 70 the inspectors shall have access
only to the strategic points specified in the Subsidiary Arrangements
and to the records maintained pursuant to Articles 49 through
56; and
(d) In the
event of the United States concluding that any unusual circumstances
require extended limitations on access by the Agency, the United
States and the Agency shall promptly make arrangements with a
view to enabling the Agency to discharge its safeguards responsibilities
in the light of these limitations. The Director General shall
report each such arrangement to the Board.
Article
75
In circumstances
which may lead to special inspections for the purposes specified
in Article 71 the United States and the Agency shall consult forthwith.
As a result of such consultations the Agency may:
(a) Make inspections
in addition to the routine inspection effort provided for in Articles
76 through 80; and
(b) Obtain
access, in agreement with the United States, to information or
locations in addition to those specified in Article 74. Any disagreement
concerning the need for additional access shall be resolved in
accordance with Articles 20 and 21; in case action by the United
States is essential and urgent, Article 17 shall apply.
Article
76
The Agency
shall keep the number, intensity and duration of routine inspections,
applying optimum timing, to the minimum consistent with the effective
implementation of the safeguards procedures set forth in this
Agreement, and shall make the optimum and most economical use
of inspection resources available to it.
Article
77
The Agency
may carry out one routine inspection per year in respect of facilities
listed in the Subsidiary Arrangements pursuant to Article 39 with
a content or annual throughput, whichever is greater, of nuclear
material not exceeding five effective kilograms.
Article
78
The number,
intensity, duration, timing and mode of routine inspections in
respect of facilities listed in the Subsidiary Arrangements pursuant
to Article 39 with a content or annual throughput of nuclear material
exceeding five effective kilograms shall be determined on the
basis that in the maximum or limiting case the inspection regime
shall be no more intensive than is necessary and sufficient to
maintain continuity of knowledge of the flow and inventory of
nuclear material, and the maximum routine inspection effort in
respect of such facilities shall be determined as follows:
(a) For reactors
and sealed storage installations the maximum total of routine
inspection per year shall be determined by allowing one sixth
of a man-year of inspection for each such facility;
(b) For facilities,
other than reactors or sealed storage installations, involving
plutonium or uranium enriched to more than 5%, the maximum total
of routine inspection per year shall be determined by allowing
for each such facility 30 x E man-days of inspection per year,
where E is the inventory or annual throughput of nuclear material,
whichever is greater, expressed in effective kilograms. The maximum
established for any such facility shall not, however, be less
than 1.5 man-years of inspection; and
(c) For facilities
not covered by paragraphs (a) or (b), the maximum total of routine
inspection per year shall be determined by allowing for each such
facility one third of a man-year of inspection plus 0.4 x E man-days
of inspection per year, where E is the inventory or annual throughput
of nuclear material, whichever is greater, expressed in effective
kilograms.
The United
States and the Agency may agree to amend the figures for the maximum
inspection effort specified in this Article, upon determination
by the Board that such amendment is reasonable.
Article
79
Subject to
Articles 76 through 78 the criteria to be used for determining
the actual number, intensity, duration, timing and mode of routine
inspections in respect of any facility listed in the Subsidiary
Arrangements pursuant to Article 39 shall include:
(a) The form
of the nuclear material, in particular, whether the nuclear material
is in bulk form or contained in a number of separate items; its
chemical composition and, in the case of uranium, whether it is
of low or high enrichment; and its accessibility;
(b) The effectiveness
of the United States accounting and control system, including
the extent to which the operators of facilities are functionally
independent of the United States accounting and control system;
the extent to which the measures specified in Article 32 have
been implemented by the United States; the promptness of reports
provided to the Agency; their consistency with the Agencys independent
verification; and the amount and accuracy of the material unaccounted
for, as verified by the Agency;
(c) Characteristics
of that part of the United States fuel cycle in which safeguards
are applied under this Agreement, in particular, the number and
types of facilities containing nuclear material subject to safeguards
under this Agreement, the characteristics of such facilities relevant
to safeguards, notably the degree of containment; the extent to
which the design of such facilities facilitates verification of
the flow and inventory of nuclear material; and the extent to
which information from different material balance areas can be
correlated;
(d) International
interdependence, in particular the extent to which nuclear material,
safeguarded under this Agreement, is received from or sent to
other States for use or processing; any verification activities
by the Agency in connection therewith; and the extent to which
activities in facilities in which safeguards are applied under
this Agreement are interrelated with those of other States; and
(e) Technical
developments in the field of safeguards, including the use of
statistical techniques and random sampling in evaluating the flow
of nuclear material.
Article
80
The United
States and the Agency shall consult if the United States considers
that the inspection effort is being deployed with undue concentration
on particular facilities.
Article
81
The Agency
shall give advance notice to the United States of the arrival
of inspectors at facilities listed in the Subsidiary Arrangements
pursuant to Article 39, as follows:
(a) For ad
hoc inspections pursuant to Article 69(c), at least 24 hours;
for those pursuant to Articles 69(a) and (b), as well as the activities
provided for in Article 48, at least one week;
(b) For special
inspections pursuant to Article 71, as promptly as possible after
the United States and the Agency have consulted as provided for
in Article 75, it being understood that notification of arrival
normally will constitute part of the consultations; and
(c) For routine
inspections pursuant to Article 70 at least twenty-four hours
in respect of the facilities referred to in Article 78(b) and
sealed storage installations containing plutonium or uranium enriched
to more than 5% and one week in all other cases.
Such notice
of inspections shall include the names of the inspectors and shall
indicate the facilities to be visited and the periods during which
they will be visited. If the inspectors are to arrive from outside
the United States the Agency shall also give advance notice of
place and time of their arrival in the United States.
Article
82
Notwithstanding
the provisions of Article 81, the Agency may, as a supplementary
measure, carry out without advance notification a portion of the
routine inspections pursuant to Article 78 in accordance with
the principle of random sampling. In performing any unannounced
inspections, the Agency shall fully take into account any operational
programme provided by the United States pursuant to Article 62(b).
Moreover, whenever practicable, and on the basis of the operational
programme, it shall advise the United States periodically of its
general programme of announced and unannounced inspections, specifying
the general periods when inspections are foreseen. In carrying
out any unannounced inspections, the Agency shall make every effort
to minimize any practical difficulties for the United States and
facility operators bearing in mind the relevant provisions of
Articles 44 and 87. Similarly the United States shall make every
effort to facilitate the task of the inspectors.
Article
83
The following
procedures shall apply to the designation of inspectors:
(a) The Director
General shall inform the United States in writing of the name,
qualifications, nationality, grade and such other particulars
as may be relevant, of each Agency official he proposes for designation
as an inspector for the United States;
(b) The United
States shall inform the Director General within thirty days of
the receipt of such a proposal whether it accepts the proposal;
(c) The Director
General may designate each official who has been accepted by the
United States as one of the inspectors for the United States,
and shall inform the United States of such designations; and
(d) The Director
General, acting in response to a request by the United States
or on his own initiative, shall immediately inform the United
States of the withdrawal of the designation of any official as
an inspector for the United States.
However, in
respect of inspectors needed for the activities provided for in
Article 48 and to carry out ad hoc inspections pursuant to Article
69 (a) and (b) the designation procedures shall be completed if
possible within thirty days after the entry into force of this
Agreement. If such designation appears impossible within this
time limit, inspectors for such purposes shall be designated on
a temporary basis.
Article
84
The United
States shall grant or renew as quickly as possible appropriate
visas, where required, for each inspector designated for United
States.
Article
85
Inspectors,
in exercising their functions under Article 48 and 69 to 73, shall
carry out their activities in a manner designed to avoid hampering
or delaying the construction, commissioning or operation of facilities,
or affecting their safety. In particular inspectors shall not
operate any facility themselves or direct the staff of a facility
to carry out any operation. If inspectors consider that in pursuance
of paragraphs 72 and 73, particular operations in a facility should
be carried out by the operator, they shall make a request therefor.
Article
86
When inspectors
require services available in the United States, including the
use of the equipment, in connection with the performance of inspections,
the United States shall facilitate the procurement of such services
and the use of such equipment by inspectors.
Article
87
The United
States shall have the right to have inspectors accompanied during
their inspections by its representatives, provided that inspectors
shall not thereby be delayed or otherwise impeded in the exercise
of their functions.
Article
88
The Agency
shall inform the United States of:
(a) The results
of inspections, at intervals to be specified in the Subsidiary
Arrangements; and
(b) The conclusions
it has drawn from its verification activities in the United States,
in particular by means of statements in respect of each material
balance area determined in accordance with Article 46(b) which
shall be made as soon as possible after a physical inventory has
been taken and verified by the Agency and a material balance has
been struck.
Article
89
(a) Information
concerning nuclear material exported from and imported into the
United States shall be provided to the Agency in accordance with
arrangements made with the Agency as, for example, those set forth
in INFCIRC/207.
(b) In the
case of international transfers to or from facilities identified
by the Agency pursuant to Articles 2(b) and 39(b) with respect
to which information has been provided to the Agency in accordance
with arrangements referred to in paragraph (a), a special report,
as envisaged in Article 66, shall be made if any unusual incident
or circumstances lead the United States to believe that there
is or may have been loss of nuclear material, including the occurrence
of significant delay, during the transfer.
DEFINITIONS
Article
90
For the purposes
of this Agreement:
A Adjustment
means an entry into an accounting record or a report showing a
shipper/receiver difference or material unaccounted for.
B Annual throughput
means, for the purposes of Articles 77 and 78, the amount of nuclear
material transferred annually out of a facility working at nominal
capacity.
C Batch means
a portion of nuclear material handled as a unit for accounting
purposes at a key measurement point and for which the composition
and quantity are defined by a single set of specifications or
measurements. The nuclear material may be in bulk form or contained
in a number of separate items.
D Batch data
means the total weight of each element of nuclear material and,
in the case of plutonium and uranium, the isotopic composition
when appropriate. The units of account shall be as follows: