Statutory Instruments
2019 No. 196
Exiting The European Union
Nuclear Safeguards
The Nuclear Safeguards (EU Exit) Regulations 2019
Made
7th February 2019
Coming into force in accordance with regulation 1.
M1,M2The Secretary of State makes these Regulations in exercise of the powers conferred by sections 74(3), 75, 76A(1), (2), (3), (5) and (7), 112(1B), 113(7) of and paragraphs 6, 7, 11, 13(1) and 14 of Schedule 6 to the Energy Act 2013 and by sections 2(1) and (3) of the Nuclear Safeguards Act 2018 .
In accordance with sections 76A(8)(a) and (b) and 112(1D) of the Energy Act 2013 the Secretary of State has consulted the ONR and such other persons as the Secretary of State considers it appropriate to consult.
In accordance with section 113(2)(a), (aa) and (c) and 113(3)(a) and (c) of the Energy Act 2013 and with section 2(5) of the Nuclear Safeguards Act 2018, a draft of these Regulations has been laid before Parliament and approved by a resolution of each House of Parliament.
PART 1 Introduction
Citation and commencementI1
1.—(1) These Regulations may be cited as the Nuclear Safeguards (EU Exit) Regulations 2019.
(2) Subject to paragraph 3, these Regulations come into force on exit day.
(3) Regulations 7 to 9 come into force on 1st January 2021.
InterpretationI2
2. In these Regulations—
“ Agency ” means the International Atomic Energy Agency;
“ Agreement with the Agency ” means the agreement made on 7th June 2018 between the United Kingdom and the Agency for the application of safeguards in the United Kingdom in connection with the Treaty on the Non-Proliferation of Nuclear Weapons;
“ batch ” means a portion of qualifying 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 qualifying nuclear material may be in bulk form or contained in a number of separate items;
“ batch data ” means the total weight of each category of qualifying nuclear material and, in the case of plutonium and uranium, the isotopic composition when appropriate. For reporting purposes the weights of individual items in the batch must be added together before rounding to the nearest unit. The units of account are—
grams of contained plutonium;
grams of total uranium, grams of contained uranium-235 and grams of uranium-233 for uranium enriched in these isotopes; and
grams of contained thorium, natural uranium or depleted uranium;
“ book inventory ” in relation to a material balance area means the algebraic sum of the most recent physical inventory of that material balance area and of all inventory changes that have occurred since that physical inventory was taken;
“ category ” in relation to qualifying nuclear material means natural uranium, depleted uranium, uranium enriched to less than 20%, uranium enriched to 20% and above, thorium and plutonium;
“ closed down ” in relation to a qualifying nuclear facility means a qualifying nuclear facility which has not been decommissioned [F1 for safeguards purposes F1] but in relation to which it has been confirmed by the ONR that operations have ceased and all the qualifying nuclear material removed;
“ commencement day ” means the day described in regulation 1(2);
“ conditioned waste ” means waste which has been conditioned in such a way (for example, in glass, cement, concrete or bitumen) that it is not suitable for further nuclear use;
“ correction ” means an entry made in an accounting record or report which rectifies an identified mistake in a previous entry or reflects an improved measurement of a quantity which was previously entered in a record or report;
“ [F2 decommissioned for safeguards purposes F2] ” in relation to a qualifying nuclear facility means a qualifying nuclear facility for which it has been confirmed to the satisfaction of the ONR that [F3 operations have been permanently stopped, the qualifying nuclear material has been removed and F3] residual structures and equipment essential for its use have been removed or rendered inoperable so that it is not used to store and can no longer be used to produce, handle, process, dispose of or utilise qualifying nuclear material;
[F4 “ design information ” means information which the operator of a qualifying nuclear facility supplies using the relevant questionnaire in Part 1 of Schedule 1; F4]
“ effective kilogram ” means a unit used in safeguarding qualifying nuclear material which is obtained by taking—
for plutonium, its weight in kilograms;
for uranium with an enrichment of 0.01 (1%) and above, its weight in kilograms multiplied by the square of its enrichment;
for uranium with an enrichment below 0.01 (1%) and above 0.005 (0.5%), its weight in kilograms multiplied by 0.0001; and
for depleted uranium with an enrichment of 0.005 (0.5%) or below, and for thorium, its weight in kilograms multiplied by 0.00005;
“ enrichment ” means the ratio of the combined weight of the isotopes uranium-233 and uranium-235 to that of the total uranium in question;
“ inventory change ” means an increase or decrease, in terms of batches of qualifying nuclear material, in a material balance area as described in the inventory change report set out in Part 2 of Schedule 1;
“ item ” means an identifiable unit of qualifying nuclear material such as a fuel assembly or a fuel pin;
“ key measurement point ” means a location where qualifying nuclear material appears in such a form that it may be measured to determine material flow or inventory, including, but not limited to, the inputs and outputs (including measured discards) and storages in material balance areas;
“ material balance area ” means an area in a qualifying nuclear facility in respect of which—
the quantity of qualifying nuclear material in each transfer into or out of the area can be determined; and
the physical inventory of qualifying nuclear material in the area can be determined when necessary in accordance with specified procedures, in order that the quantity of qualifying nuclear material for safeguards purposes under these Regulations can be established;
“ material unaccounted for ” means the difference between the physical inventory for a material balance area and the book inventory for that material balance area;
“ operator ” means a person or undertaking setting up, operating, closing down or decommissioning a qualifying nuclear facility for the production, processing, storage, handling, disposal or other use of qualifying nuclear material;
“ ore ” means any ore containing any average concentration of—
0.1% or more uranium, in the case of uranium bearing ores;
3% or more of thorium, in the case of thorium bearing ores, other than monazites;
10% or more of thorium or 0.1% or more of uranium, in the case of monazites,
from which a source material may be obtained by the appropriate chemical and physical processing;
“ particular safeguard provision ” means a particular safeguard provision imposed by the ONR under regulation 5;
“ physical inventory ” means the sum of all the measured or derived estimates of batch quantities of qualifying nuclear material on hand at a given time within a material balance area, obtained in accordance with these Regulations;
“ qualifying nuclear facility with limited operation ” means a qualifying nuclear facility—
in which less than one effective kilogram of qualifying nuclear material is produced, processed, stored, handled, disposed of or otherwise used; and
[F5 which is not a reactor, a critical facility, a conversion facility, a fabrication facility, a reprocessing facility, an isotopic enrichment facility, a spent fuel encapsulation facility nor a separate storage facility;F5]
“relevant international standards” mean those international standards which are both published by third parties and listed by the ONR on their website;
[F6 “ retained waste ” means waste which is generated from processing or from an operational accident, which is irrecoverable for the time being, but which is stored; F6]
“ safeguards equipment ” means equipment used by the ONR or the Agency to provide independent confirmation that the information produced by an operator under these Regulations is accurate and up to date;
“ shipper/receiver difference ” means the difference between the quantity of qualifying nuclear material in a batch, as stated by the shipping material balance area and as measured at the receiving material balance area;
“ source data ” means those data, recorded during measurement or calibration or used to derive empirical relationships, which identify qualifying nuclear material and provide batch data, including, for example—
weight of compounds;
conversion factors to determine weight of element;
specific gravity;
element concentration;
isotopic ratios;
relationship between volume and manometer readings; and
relationship between plutonium produced and power generated; and
[F7 “ waste ” means waste containing qualifying nuclear material, in concentrations or chemical forms which make the qualifying nuclear material no longer useable for any nuclear activity relevant for safeguards, or which has become practicably irrecoverable. F7]
PART 2 Accountancy and control, records and the provision of information by an operator
Declaration of [F8design informationF8] I3
F93.—(1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(2) In the case of a new qualifying nuclear facility, which comes into existence on or after commencement day, the operator must declare to the ONR—
(a)the preliminary [F10design information forF10] the facility as soon as the decision to construct or authorise construction has been taken;
(b)the [F11design information forF11] the facility, based on the final design for the qualifying nuclear facility, using the relevant questionnaire shown in Part 1 of Schedule 1, not later than 200 days prior to and ending on the day on which construction is started; and
(c)the [F12design information forF12] the facility as built, using the relevant questionnaire shown in Part 1 of Schedule 1, not later than 200 days before the day on which—
(i)qualifying nuclear material is first received at the facility; [F13orF13]
(ii)F14in the case of a qualifying nuclear facility, which only treats or stores conditioned or retained waste, the treatment or storage begins; ...
F15(iii). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
[F16 (2A) Where a change in the design information for a qualifying nuclear facility means the facility becomes a different type of facility (a “repurposed facility” ), the operator must declare to the ONR—
(a)the preliminary design information for the repurposed facility, as soon as the decision to make the change has been taken;
(b)the design information for the repurposed facility, based on the final design for the repurposed facility, using the relevant questionnaire shown in Part 1 of Schedule 1, not later than 200 days before the day on which the repurposing is started; and
(c)the design information for the repurposed facility as built, using the relevant questionnaire shown in Part 1 of Schedule 1, not later than 200 days before the day on which—
(i)qualifying nuclear material is first received at the repurposed facility; or
(ii)in the case of a qualifying nuclear facility which only treats or stores conditioned or retained waste, the treatment or storage begins.F16]
(3)[F17 In any other case, an operator must declare to the ONR a change in the design information within the period of 23 daysF17] beginning with the day on which the change is completed unless advance notification to the ONR of such a change is required by any particular safeguard provisions imposed on the operator by regulation 5.
(4) The reference in paragraph (3) to a change in the [F18design information forF18] a qualifying nuclear facility includes a change in respect of a qualifying nuclear facility which is in the process of being closed down or decommissioned until such time as the ONR has confirmed in writing to the operator that the qualifying nuclear facility has been [F19decommissioned for safeguards purposesF19] .
(5) On a written request by the ONR, an operator must supply further details, explanations, amplifications or clarifications of any information set out in the relevant questionnaire within the period of 15 days beginning with the day on which the operator receives the request from the ONR.
Programme of activitiesI4
4.—(1) An operator of a qualifying nuclear facility must send to the ONR an annual outline programme of activities using the information described in Part 8 of Schedule 1, indicating, in particular, provisional dates for taking a physical inventory.
(2) Each year, an operator must send the annual outline programme of activities for the following calendar year to the ONR so that it is received by the ONR by 30th September.
(3) An operator must [F20declare to the ONRF20] the programme of activities for the taking of a physical inventory at least 40 days before the day on which the physical inventory is taken.
(4) An operator must communicate to the ONR without delay a change which affects or may affect the outline programme of activities and, in particular, the taking of physical inventories.
Particular safeguard provisionsI5
5.—(1) Acting on the [F21information submitted by an operator under Parts 2, 3 or 6 or regulation 31 of these Regulations and having discussed the relevant informationF21] with the operator, the ONR may impose particular safeguard provisions on an operator in respect of a qualifying nuclear facility, which—
(a)relate to the matters set out in paragraph (4); and
[F22 (b)take account of any—
(i)obligations under a relevant international agreement; and
(ii)relevant operational and technical constraints on the operator and the qualifying nuclear facility.F22]
(2) The ONR must provide the operator with written notice of any particular safeguard provisions which it has imposed.
(3) If an operator has received a written notice referred to in paragraph (2) it must, from the date of receipt or from the date set out in the notice if later, comply with the requirements of the particular safeguard provisions.
(4) The particular safeguard provisions may include the following—
(a)the material balance areas and the selection of key measurement points for determining the flow and stocks of qualifying nuclear material;
(b)the changes in [F23design informationF23] for which advance notification is required;
(c)the procedures for keeping records of qualifying nuclear material for each material balance area and for drawing up reports;
(d)the frequency of, and procedures for, taking physical inventories;
(e)the safeguards equipment;
(f)the arrangements for sample taking by the operator;
(g)the content of subsequent communications from the operator required under regulation 4 (programme of activities);
(h)the conditions under which shipments and receipts of qualifying nuclear material require advance notification;
[F24 (i)any other procedure, arrangement or equipment the ONR considers necessary or appropriate to give effect to an obligation under a relevant international agreement.F24]
[F25 (5) Having reviewed the information submitted by an operator under Parts 2, 3 or 6 or regulation 31 of these Regulations and having discussed the relevant information with the operator, the ONR may amend any particular safeguard provision imposed under paragraph (1) provided the amended provision meets the requirements of sub-paragraphs (a) and (b) of that paragraph.
(6) Paragraphs (2) and (3) apply in relation to an amended particular safeguard provision.
(7) The ONR may, by written notice to the relevant operator, withdraw any particular safeguard provision imposed under paragraph (1) where the ONR considers it is no longer necessary or appropriate.F25]
Accountancy and control of qualifying nuclear materialI6
6.—(1) An operator of a qualifying nuclear facility must [F26establish andF26] maintain a system of accountancy and control of the relevant qualifying nuclear material in each qualifying nuclear facility.
(2) The system referred to in paragraph (1), must include in respect of the qualifying nuclear material—
(a)the operating and accounting records required by regulations 10 and 11;
(b)information on the quantities, category, form and composition of qualifying nuclear material;
(c)its actual location;
(d)the additional obligations set out in regulation 19; and
(e)details of the recipient or shipper in the case of transfer.
(3) The components of an accountancy and control system are set out in Schedule 2, and an operator must implement the relevant components in a manner which is proportionate to and appropriate for the [F27designF27] of the qualifying nuclear facility as reported to the ONR under regulation 3 or 31.
(4) An operator must retain the information referred to in paragraph (2) for a period of at least [F2830F28] years, beginning with the date on which each item of information is first recorded, and must, on the basis of the records described in sub-paragraph (a) of paragraph (2), be able to produce and substantiate the information which it provides to the ONR in accordance with the requirements of these Regulations.
(5) An operator must, if requested by the ONR, make the operating records, referred to in regulation 10, and the accounting records, referred to in regulation 11, available for inspection by the ONR at the relevant qualifying nuclear facility. The records may be made available in electronic form if they are kept in this form by the operator.
(6) The system of measurements on which the records used for the preparation of reports are based must conform with the relevant international standards.
Accountancy and control planI7
7.—(1) An operator of a qualifying nuclear facility must produce an accountancy and control plan which sets out the accounting and control system for the qualifying nuclear material in that facility.
F29(2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(3) In the case of a new qualifying nuclear facility, which comes into existence after 1st January 2021, the operator must send to the ONR an accountancy and control plan as soon as possible and in any event not later than 200 days prior to the day on which qualifying nuclear material is first received at the facility.
(4) The accountancy and control plan must describe in writing the arrangements and procedures adopted or to be adopted by an operator to establish and maintain the system of accountancy and control of qualifying nuclear material as required by regulation 6.
(5) The ONR may consider the accountancy and control plan, or any part of the plan, and may approve all or any part of the plan.
Replacement, amendment and revocation of accountancy and control planI8
8.—(1) In the event of a change in the [F30design information forF30] a qualifying nuclear facility, notified to the ONR under regulation [F313(2A),F31] 3(3) or 31(5)(a), which is relevant to the accountancy and control plan, the operator must amend the accountancy and control plan for the qualifying nuclear facility and send the amended plan to the ONR within the period of [F3223F32] days beginning with the day on which the change is made.
(2) Subject to paragraph (1), an operator of a qualifying nuclear facility may not amend any part of the accountancy and control plan for the qualifying nuclear facility that has been approved by the ONR without the prior written consent of the ONR.
(3) An operator of a qualifying nuclear facility may at any time amend those parts of the accountancy and control plan for the qualifying nuclear facility that have not been approved by the ONR and send a copy to the ONR.
(4) The ONR may consider the amended accountancy and control plan, or any part of the plan, and may approve all or part of the plan.
Operation of an accountancy and control planI9
9.—(1) An operator must implement and comply with the arrangements and procedures described in the accountancy and control plan.
(2) An operator is not to be regarded as having failed to comply with those arrangements and procedures by reason of any matter if the ONR has previously informed the operator in writing that that matter is, in the ONR's opinion, unlikely to be prejudicial to the maintenance of the system of safeguards in respect of qualifying nuclear material at the qualifying nuclear facility.
Operating recordsI10
10.—(1) In respect of each material balance area an operator must ensure that the operating records set out—
(a)those [F33sourceF33] data which are used to determine changes in the quantities and composition of qualifying nuclear material;
(b)a list of inventory items, updated to the best extent possible, and their location;
(c)the data, including derived estimates of random and systematic errors, obtained from the calibration of tanks and instruments as well as from sampling and analysis;
(d)the data resulting from quality control measures applied to the accountancy system for the qualifying nuclear material, including derived estimates of random and systematic errors;
(e)a description of the sequence of the actions taken to prepare for, and take, a physical inventory and to ensure that the inventory is correct and complete;
(f)a description of the actions taken in order to ascertain the cause and magnitude of any accidental or unmeasured loss that might have occurred; and
(g)the isotopic composition of plutonium, including its decay isotopes, and reference dates, if recorded at the qualifying nuclear facility for operational needs.
(2) An operator must send the data referred to in paragraph (1) to the ONR within 14 days of the receipt of a written request from the ONR.
Accounting recordsI11
11.—(1) In respect of each material balance area an operator must ensure that the accounting records show the following—
(a)all inventory changes, so that the book inventory can be determined at any time;
(b)all measurement and counting results used to determine the physical inventory; and
(c)all adjustments and corrections that have been made in respect of inventory changes, book inventories and physical inventories.
(2) An operator must ensure that the accounting records relating to any inventory change or physical inventory show, in respect of each batch of qualifying nuclear material, the material identification, batch data and source data.
(3) An operator must ensure that the records account separately for each category of qualifying nuclear material.
(4) For each inventory change, an operator must indicate the date of the change and, when appropriate, the originating and dispatching material balance area and the receiving material balance area or the shipper and the recipient.
(5) An operator must communicate the data referred to in paragraph (1) to the ONR on request.
Accounting reportsI12
12.—(1) An operator must provide the ONR with accounting reports in accordance with regulations [F3414F34] to 20 in respect of each material balance area.
(2) An operator must ensure that the accounting reports contain up to date information and must correct the information at a later date if necessary.
(3) On a written request by the ONR, an operator must supply further details, explanations, amplifications or clarifications of any information set out in the relevant accounting report within the period of 15 days beginning with the day on which the operator receives the request from the ONR.
Initial book inventory
F3513. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Inventory change reportI13
14.—(1) For each material balance area, the operator must send to the ONR an inventory change report in respect of all qualifying nuclear material using the format set out in Part 2 of Schedule 1.
(2) Unless otherwise specified in the particular safeguard provisions imposed under regulation 5, the operator must send to the ONR an inventory change report within the period of 15 days beginning with the end of each month, in which the operator must state all inventory changes to the qualifying nuclear material which have occurred or become known to the operator during that month.
(3) In respect of any month in which a physical inventory is taken and the physical inventory taking date is not the last day of the month, the operator must send two separate inventory change reports to the ONR—
(a)a first inventory change report containing any inventory changes up to and including the date on which the physical inventory was taken, to be sent to the ONR with the physical inventory listing and the material balance report, which are referred to in regulation 15 and are to be sent to the ONR as soon as possible and at the latest within a period of 15 days beginning with the day on which the physical inventory was taken; and
(b)a second inventory change report, to be sent within a period of 15 days beginning with the end of the month in which the physical inventory was taken, containing all inventory changes from the first day after the physical inventory was taken up to and including the last day of the month.
(4) In respect of a month in which no inventory changes occur, when the operator sends the inventory change report to the ONR in accordance with paragraph (1), the operator must carry over the ending book inventory of the previous month.
(5) In order that they may be reported as a single inventory change, small inventory changes, such as transfers of samples for the purpose of analysis, may be grouped together, unless otherwise stated in the particular safeguard provisions for the relevant qualifying nuclear facility.
(6) Inventory change reports may include comments explaining the inventory changes.
Material balance report and physical inventory listingI14
15.—(1) For each material balance area, the operator must send to the ONR—
(a)material balance reports, in the format set out in Part 3 of Schedule 1, showing—
(i)the beginning physical inventory;
(ii)inventory changes (first increases, then decreases);
(iii)ending book inventory;
(iv)ending physical inventory; and
(v)material unaccounted for; and
(b)a physical inventory listing, in the format set out in Part 4 of Schedule 1, showing all batches separately.
(2) An operator must send the reports and the listing to the ONR as soon as possible and at the latest within the period of 15 days beginning with the day on which the physical inventory was taken.
(3) Unless otherwise specified in the particular safeguard provisions for the qualifying nuclear facility, a physical inventory for each material balance area must be taken every calendar year and the period between two successive physical inventory takings must not exceed 14 months.
Special reportI15
16.—(1) An operator must send to the ONR a special report whenever the circumstances referred to in regulation 17 or 23 arise.
(2) The ONR may—
(a)request further details or explanations in connection with a special report; and
(b)specify, in the particular safeguard provisions for a qualifying nuclear facility, additional requirements concerning the type of information to be supplied in a special report.
(3) If the ONR requests further detail or explanation in connection with a special report, the operator must send it to the ONR without delay.
Unusual occurrencesI16
17.—(1) The circumstances referred to in regulation 16(1) are—
(a)F36as a result of any unusual incident or circumstances, an operator believes that there has been or might be ... a loss of qualifying nuclear material; or
(b)the containment of qualifying nuclear material has unexpectedly changed to a point where an unauthorised removal of qualifying nuclear material has become possible.
(2) An operator must submit a special report as soon as it becomes aware of any such loss [F37of qualifying nuclear materialF37] or sudden change in the containment conditions, or of anything which leads them to believe that there has been such an occurrence.
(3) An operator must also inform the ONR of the causes of an unusual occurrence described in paragraph (1)(a) or (b) as soon as the operator becomes aware of them.
Reporting of nuclear transformationsI17
18.—(1) In respect of a qualifying nuclear facility, which contains a reactor, an operator must include in the inventory change report calculated data on nuclear transformations and include this data on or before the time when irradiated fuel is transferred from the reactor material balance area.
(2) In addition, the ONR may specify alternative procedures for recording and reporting nuclear transformations in the particular safeguard provisions.
Additional reporting obligations arising from relevant international agreements and from obligations resulting from international tradeI18
19.—(1) When an operator provides the ONR with the information which is listed in paragraph (2), the operator must identify, separately for each obligation in each of the reports and notifications listed in the relevant international agreement, unless otherwise stipulated by that agreement, any qualifying nuclear material which is subject to a relevant safeguards obligation and must use the appropriate obligation code if one has been published by the ONR.
(2) The following information is listed in this paragraph—
F38(a). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(b)an inventory change report, including an ending book inventory, provided for in regulation 14;
(c)a material balance report and a physical inventory listing provided for in regulation 15;
(d)advance notification of intended imports and exports provided for in regulations 21 and 22.
(3) Where an operator—
(a) holds qualifying nuclear material, which has been transferred into the United Kingdom, under obligations or requirements concerning international trade, which ensure that qualifying nuclear material is only available for peaceful purposes, and are respectively described in paragraph (4) (“obligations concerning international trade”) and in paragraph (5) (“requirements concerning international trade”); and
(b)provides the ONR with the information which is listed in paragraph (2),
the operator must identify, separately for each obligation and requirement concerning international trade in each of the reports and notifications, unless otherwise stipulated by the relevant obligation or requirement, any qualifying nuclear material which is subject to an obligation or requirement concerning international trade and must use the appropriate obligation code if one has been published by the ONR.
(4) The obligations concerning international trade arise where an operator holds qualifying nuclear material which has been transferred into the United Kingdom before commencement day, either directly or through a third country, in accordance with any of the following—
(i)the Agreement for co-operation in the peaceful uses of nuclear energy between the European Atomic Energy Community and the Government of the Republic of Kazakhstan, signed in Brussels on 5th December 2006;
(ii)the Agreement for co-operation in the peaceful uses of nuclear energy between the European Atomic Energy Community and the Government of the Republic of Uzbekistan, signed in Brussels on 6th October 2003;
(iii)the Agreement between the European Atomic Energy Community and the Cabinet of Ministers of Ukraine for Co-operation in the Peaceful Uses of Nuclear Energy, signed in Kiev on 28th April 2005;
(iv)the Agreement for co-operation in the peaceful uses of nuclear energy between the European Atomic Energy Community (Euratom) and the Government of the Argentine Republic, signed at Brussels, on 11th June 1996;
(v)the Agreement between the European Atomic Energy Community (Euratom) and the Government of the United States of Brazil for cooperation concerning the peaceful uses of atomic energy, signed at Brasilia, on 9th June 1961; and
(vi)a contract, to which the operator is a party, concluded, before commencement day, on the basis of Articles 52(2), 64, 75(c) or another relevant provision in Chapter 6 of the Treaty establishing the European Atomic Energy Community.
M3,M4(5) The requirements concerning international trade arise where an operator holds qualifying nuclear material which has been transferred into the United Kingdom before, on or after commencement day, under the terms of a requirement, which is set out in a licence issued by the ONR under the Import of Goods (Control) Order 1954 or an order made by the Secretary of State under section 1 of the Import, Export and Customs Powers (Defence) Act 1939 .
(6) In respect of each relevant international agreement and each obligation and requirement concerning international trade, the ONR must publish on its website, and make available in writing on request, any obligation codes which must be used by an operator in respect of that relevant international agreement or obligation or requirement concerning international trade.
(7) Unless specifically prohibited in the relevant international agreement or obligation or requirement concerning international trade, the separate reporting requirements set out in paragraphs (1) and (3) do not preclude the physical mixing of qualifying nuclear materials.
(8) Paragraphs (1) to (7) do not apply to the Agreement with the Agency nor to the Additional Protocol, dated 7th June 2018, entered into between the United Kingdom and the Agency and which is additional to the Agreement with the Agency.
Weight units and categories of qualifying nuclear materialsI19
20.—(1)[F39 Subject to paragraph (1A), whenF39] any person supplies information under these Regulations, any quantity of qualifying nuclear materials—
(a)must be expressed [F40in gramsF40] ; and
(b)may be [F41expressed to a maximum of three decimal places.F41]
[F42 (1A) Paragraph (1) does not apply to information supplied under regulation 3 in so far as the relevant questionnaire in Part 1 of Schedule 1 specifies a different unit of measurement.F42]
(2)[F43 AnyF43] corresponding accounting records must be kept—
(a)in grams or in smaller units; and
(b)in such a manner as to render them secure and reliable.
(3)[F44 Subject to paragraph (4) and unlessF44] otherwise provided for in the particular safeguard provisions, any notification under these Regulations must include the following—
(a)the total weight of the elements uranium, thorium and plutonium, and also, for enriched uranium, the total weight of the fissile isotopes; and
(b)separate reports for each material balance area as well as separate line entries in inventory change reports, material balance reports and in physical inventory listings for each category of qualifying nuclear material.
[F45 (4) Paragraph (3) does not apply to information supplied under regulation 3.F45]
PART 3 Exports and imports
ExportsI20
21.—(1) An operator must give advance notification to the ONR if any qualifying nuclear material is exported outside the United Kingdom—
(a)where the consignment exceeds one effective kilogram; or
(b)where a qualifying nuclear facility transfers a total quantity of materials to the same State that could exceed one effective kilogram in any consecutive period of twelve months, even though no single consignment exceeds one effective kilogram.
(2) Subject to paragraph (3), an operator must give the notification under paragraph (1) after the conclusion of the contractual arrangements leading to the transfer, using the form set out in Part 5 of Schedule 1, and must ensure that the notification reaches the ONR at least [F4613F46] days before the day on which the material is to be packed for transfer.
(3) If so required for reasons of physical protection, special arrangements concerning the form and transmission of the notification may be agreed upon between an operator and the ONR.
(4) This regulation does not apply to ores nor to waste.
ImportsI21
22.—(1) An operator must give advance notification to the ONR if any qualifying nuclear material is imported into the United Kingdom—
(a)where the consignment exceeds one effective kilogram; or
(b)where a qualifying nuclear facility imports or receives a total quantity of qualifying nuclear material from the same State that could exceed one effective kilogram in any consecutive period of twelve months, even though no single consignment exceeds one effective kilogram.
(2) Subject to paragraph (3), an operator must—
(a)provide the notification to the ONR as far in advance as possible of the expected arrival of the qualifying nuclear material in the United Kingdom and, at the latest, on the date of receipt by the operator and ensure that the notification is received by the ONR at least [F477F47] days before the day on which the qualifying nuclear material is unpacked; and
(b)use the form set out in Part 6 of Schedule 1.
(3) If so required for reasons of physical protection, special arrangements concerning the form and transmission of the notification may be agreed between an operator and the ONR.
(4) This regulation does not apply to ores nor to waste.
Loss or delay during transferI22
23. An operator must send a special report to the ONR under regulation 16 as soon as the operator becomes aware that qualifying nuclear material has been or appears to have been lost during transfer or that there has been a considerable delay during transfer.
Communication of change of dateI23
24. An operator must inform the ONR, without delay, of any change in the dates for packing before transfer, transport or unpacking of qualifying nuclear material, which have been given in the notifications provided for under regulations 21 or 22, and must provide an indication of the revised dates if known, unless the change gives rise to a special report under Regulation 16.
PART 4 Carriers and temporary storage agents
Carriers and temporary storage agentsI24
25.—(1) Any person or undertaking engaged, in the United Kingdom, in transporting, or temporarily storing during transport, qualifying nuclear material must accept or hand over such material only against a duly signed and dated receipt.
(2) The receipt referred to in paragraph (1) must state the names of the parties handing over and receiving the qualifying nuclear material and indicate the quantities carried as well as the category, form and composition of the material.
(3) If so required for reasons of physical protection, the description of the qualifying nuclear material transferred may be replaced by a suitable identification of the consignment which is traceable to the operator.
F48(4) The persons referred to in paragraph (1) ... must retain records of the transaction and a copy of any receipt for a period of at least [F4930F49] years beginning with the day on which the record is made or the receipt is received.
[F50 (5) The relevant operators must retain records of the transaction and a copy of any receipt for a period of at least 30 years beginning with the day on which the record is made or the receipt received.F50]
Intermediaries
F5126. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F52PART 5 Ores
Accounting records for ores
F5227. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Ore shipment and export reports
F5228. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
PART 6 Qualifying nuclear material in the form of conditioned and retained waste
Stock list and accounting records for conditioned and retained wasteI25
29.—(1) The requirements set out in regulations 10 to 15 do not apply to an operator of a qualifying nuclear facility in respect of retained or conditioned waste that is treated or stored at the qualifying nuclear facility, instead the operator must keep accounting records for the conditioned and retained waste which must include—
(a)a stock list of the conditioned and retained waste to be updated yearly on the date of the first physical inventory taking;
(b)the [F53sourceF53] data used to determine changes in the quantities and composition of the conditioned and retained waste;
(c)a description of the sequence of actions taken to prepare for and take a physical inventory and to ensure that the inventory is correct and complete;
(d)a description of the actions taken in order to ascertain the cause and magnitude of any accidental loss that might have occurred; and
(e)all changes to the stock of conditioned or retained waste, so that the book inventory can be established when requested.
F54(2) An operator of a qualifying nuclear facility that is used to treat or store retained or conditioned waste ... must send the ONR [F55the most recently updated stock list referred to in paragraph (1)(a) within 30 days of the receipt of a written request from the ONR.F55]
(3) An operator of a qualifying nuclear facility that is used to treat or store conditioned or retained waste must retain the records referred to in paragraph (1) for a period of at least [F5630F56] years beginning with the day on which the record is made.
(4) The requirements for reporting the processing of retained waste to the ONR may be specified in the particular safeguard provisions.
Transfers of conditioned wasteI26
30.[F57—(1) An operator of a qualifying nuclear facility that is used to treat or store conditioned waste must declare to the ONR—
(a)shipments or exports of conditioned waste from the qualifying nuclear facility, using the form set out in Part 9 of Schedule 1;
(b)receipts or imports of conditioned waste to the qualifying nuclear facility, using the form set out in Part 10 of Schedule 1.F57]
(2) The forms set out in Parts 9 and 10 of Schedule 1 must be sent to the ONR within the period of 30 days beginning with the last day of the calendar year to which they relate.
(3) The requirements set out in regulations 21 to 24 do not apply to an operator of a qualifying nuclear facility in respect of conditioned waste.
PART 7 Qualifying nuclear facility with limited operation and exemption
Declaration of [F58design informationF58] , stock list and accounting records for qualifying nuclear facility with limited operationI27
31. —(1) An operator of a qualifying nuclear facility with limited operation may apply to the ONR for paragraphs (5) to (8) of this regulation (“the regime with limited operation”) to apply to that qualifying nuclear facility.
(2) An operator must make such an application by sending to the ONR—
(a)the form set out in Part 11 of Schedule 1;
(b)the [F59design information forF59] the qualifying nuclear facility with limited operation, using the questionnaire set out in [F60section IF60] of Part 1 of Schedule 1; and
(c)an initial stock list of the qualifying nuclear material by category.
(3) The ONR may grant the operator's request for the application of the regime for limited operation, if satisfied that the operator satisfies the definition of an operator of a qualifying nuclear facility with limited operation and that the particular circumstances in which the qualifying nuclear material is to be used or produced mean that it is unnecessary for the operator to comply with all the requirements of these regulations.
(4) The ONR must inform the operator in writing of its decision, under paragraph (3), within the period of 60 days beginning with the day on which the ONR receives the documents referred to in paragraph (2).
(5) An operator which is permitted to comply with the regime for limited operation must—
(a)inform the ONR of a change in the [F61design information forF61] the qualifying nuclear facility within the period of [F6223F62] days beginning with the day on which the change is completed;
(b)take a physical inventory of the qualifying nuclear material in the qualifying nuclear facility in each calendar year beginning on 1st January, with the period between two successive physical inventory takings not exceeding 14 months, and inform the ONR of the results of this inventory within the period of 30 days of the day on which it is taken in the form specified by the ONR to the operator in writing;
(c)inform the ONR of any change to the inventory of qualifying nuclear material according to a format and within the timescale specified by the ONR to the operator in writing.
(6) Acting on the basis of the information submitted under paragraphs (2) or (5), the ONR may by written notice to the operator impose additional requirements concerning the form and frequency of the reports.
(7) The ONR may withdraw a permission granted under paragraph (3), in writing, having reviewed—
(a)the compliance of the operator with—
(i)the definition of an operator of a qualifying nuclear regime with limited operation, or
(ii)the requirements set out in paragraph (5) or imposed by the ONR under paragraph (6); and
(b)the activities of the operator and of the relevant qualifying nuclear facility.
(8) The requirements set out in regulations 4, 12 to 15 and 21 to 24 do not apply to an operator of a qualifying nuclear facility with limited operation while that operator is permitted by the ONR to comply with this regulation.
ExemptionI28
32.—(1) The requirements of these Regulations do not apply to a person [F63in respect ofF63] end products which are used for non-nuclear purposes and which incorporate qualifying nuclear material that is, in practice, irrecoverable.
(2) The requirements of these Regulations do not apply to an operator of a qualifying nuclear facility, which—
(a)is—
(i)M5a primary or a secondary school, as defined in section 5(1) and (2) of the Education Act 1996 ;
(ii)M6a 16 to 19 Academy, as defined in section 1B of the Academies Act 2010 ; or
(iii)M7a sixth form college, as defined in section 91(3A) of the Further and Higher Education Act 1992 ; and
(b)holds an amount equal to 0.01 effective kilograms or less of uranium or thorium where, in the case of uranium, the isotopes 235 and 233 comprise 1% or less of the total mass of uranium held.
PART 8 Civil activities
Withdrawal from civil activitiesI29
33.—(1) An operator must not withdraw qualifying nuclear material from civil activities except with the previous written consent of the ONR.
(2) An operator must provide the ONR with advance notification of any proposed withdrawal of qualifying nuclear material from civil activities using the form set out in Part 12 of Schedule 1, such notice to be received by the ONR at least 14 days before the day on which the qualifying nuclear material is to be withdrawn.
Qualifying nuclear facilities which are used partly for civil activitiesI30
34.—(1) These Regulations do not apply to anything done for defence purposes within the meaning of section 70 of the Energy Act 2013.
(2) Notwithstanding paragraph (1), these Regulations apply to qualifying nuclear material which is used in civil activities when that material is in a qualifying nuclear facility which is partly used for civil activities.
PART 9 Communication
Communication with the ONRI31
35. Any questionnaire, form or other communication which an operator is required by these Regulations to send to the ONR, must be [F64in writing, signed, datedF64] and sent—
F65(a). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(b)by means of an electronic communications network to the address given on the ONR's website as its address for electronic communications; or
(c)as otherwise agreed in writing between the operator and the ONR.
PART 10 Safeguards equipment
Safeguards equipmentI32
36.—(1) The ONR may consult with an operator on what safeguards equipment is appropriate for a qualifying nuclear facility.
(2) On receipt of a written request from the ONR, an operator must install suitable safeguards equipment in each qualifying nuclear facility to provide independent confirmation that the information recorded by the operator, or provided by the operator to the ONR or to the Agency, is accurate and up to date.
Access to safeguards equipmentI33
37. An operator must permit the ONR to have reasonable access to the safeguards equipment in a qualifying nuclear facility.
Interference with safeguards equipmentI34
38. A person must not, unless permitted by the ONR, take action in connection with the operation of any safeguards equipment in a qualifying nuclear facility, which results in the safeguards equipment providing information on qualifying nuclear material that is significantly different from the information which the equipment would have provided had the action not occurred.
PART 11 The ONR
Inspections by the ONRI35
39.—(1) For the purpose of ensuring compliance with the requirements of these Regulations, the ONR may—
(a)examine the records kept by an operator in accordance with the requirements of these Regulations;
(b)make independent measurements of any qualifying nuclear material;
(c)apply and make use of surveillance and containment measures together with any other objective methods of monitoring which the ONR considers to be reasonable;
(d)observe that samples of qualifying nuclear material at key measurement points for accounting purposes are taken in accordance with procedures which produce representative samples;
(e)observe the treatment and analysis of the samples and obtain duplicates of such samples;
(f)verify the functioning and calibration of an operator's instruments used to measure or control qualifying nuclear material, including observation of calibration activities and assessing whether the measurements of qualifying nuclear material at key measurement points are representative;
(g)make such observations or measurements necessary to verify the accuracy of [F66design informationF66] and any changes to them declared under regulation 3 or 31.
(2) The ONR may write to an operator to require the operator to—
(a)take additional measurements or samples of the qualifying nuclear material for the ONR's use;
(b)analyse the ONR's standard analytical samples;
(c)use appropriate absolute standards in the operator's equipment and calibrating instruments;
(d)carry out additional calibrations to the relevant equipment or instruments.
(3) The ONR may apply its seals and other identifying and tamper-indicating devices to containments of qualifying nuclear material.
(4) The ONR may write to an operator to require the operator to send, within a reasonable timescale specified by the ONR, any samples of qualifying nuclear material which have been taken for the ONR's use to a location specified by the ONR.
Publication of information by the ONRI36
40. The ONR must publish on the ONR website, and update where appropriate, information relating to—
(a)withdrawals of qualifying nuclear material from safeguards during the preceding calendar year; and
(b)inventories of civil plutonium and uranium in the United Kingdom at the end of each calendar year.
ONR to provide an annual report to the Secretary of State
F6741. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Provision of information to the AgencyI37
42.—(1) The ONR must provide to the Agency that information which the United Kingdom is required to provide to the Agency under the Agreement with the Agency, including—
(a)a list of qualifying nuclear facilities or parts of facilities which contain qualifying nuclear material which is subject to the Agreement with the Agency; and
(b)the relevant information which the ONR receives from a person under these Regulations.
(2) The ONR may agree with the Agency the timing, manner and form in which the information referred to in paragraph (1) is sent to the Agency.
(3) The ONR must keep the list of qualifying nuclear facilities up to date and must give the Agency advance notice of any additions or deletions.
(4) If the Agency so requests, the ONR must provide the Agency with amplifications or clarifications of any information referred to in paragraph (1).
PART 12 Offences
OffencesI38
F7043.—(1) An operator who fails to comply with any of regulations [F683(2)F68] to (3), 4, [F695(3),F69] 6(1), (2), (4) and (5), 7(1) and (4), 9(1), 12(2) and (3), ... 14(1) to (3), 15, 16(1) and (3), 19(1), 21(1) and (2), 22(1) and (2), 24, 33(1), 45, 46(1) and (3) commits an offence.
(2) Any person who fails to comply with regulation 38 or 45 commits an offence.
(3) A person who commits an offence under these Regulations is liable—
(a)on conviction on indictment, to imprisonment for a term not exceeding 2 years or a fine (or both); and
(b)on summary conviction, to imprisonment for a term not exceeding six months or, in England and Wales, a fine or, in Scotland or Northern Ireland, a fine not exceeding £20,000, or both.
PART 13 Notification to the Secretary of State
The Secretary of State may issue written adviceI39
44. If a specified international agreement applies, or may apply in future, to an item or to some qualifying nuclear material, the Secretary of State may provide an operator of a qualifying nuclear facility or other relevant person, who either holds the item or qualifying nuclear material or will receive or hold the item or qualifying nuclear material in future, with written advice which describes—
(a)the item or the qualifying nuclear material; and
(b)the specified international agreement which applies to the item or the qualifying nuclear material on the date of the written advice or will apply to the item in the future.
Notification of receipt, production and transferI40
45. An operator of a qualifying nuclear facility or other relevant person must send the Secretary of State notice in writing of—
(a)the receipt, by that operator or person, of—
(i)a relevant item; or
(ii)qualifying nuclear material in respect of which the Secretary of State has issued an advice to an operator or other relevant person under regulation 44;
(b)the production, processing, derivation or fabrication, by that operator or other person, of a relevant item from—
(i)another relevant item; or
(ii)from relevant qualifying nuclear material; and
(c)the proposed transfer, by the operator or other person, of a relevant item together with details of the transferee and their location.
Form of notificationI41
46.—(1) A notification under regulation 45 must be in writing and in the case of—
(a)paragraphs (a) and (b) of regulation 45, be sent to the Secretary of State within a period of [F7128F71] days beginning with the day on which the event, described in the relevant paragraph, takes place; and
(b)paragraph (c) of regulation 45, be sent to the Secretary of State at least [F7232F72] days before the proposed date of transfer.
(2) The notification must—
(a)M8set out the particulars of the person's name and proper address (within the meaning of section 10(3) of the Nuclear Safeguards Act 2000 ) and a description of the matter and item referred to in the relevant paragraph; and
[F73 (b)be sent by means of an electronic communications network to the address published for the purpose on the website of the Department for Energy Security and Net Zero.F73]
(3) On a written request by the Secretary of State, an operator or other person must supply further details, explanations or clarifications of the matters set out in a notice required by this regulation, within the period of 15 days beginning with the day on which the request from the Secretary of State is received.
Notification of changeI42
47. An operator or other person, who has sent a notification to the Secretary of State under regulation 45 or 46(3), must inform the Secretary of State of any material change in the information provided within the period of 15 days beginning with the day on which any change in the information occurs.
Continued applicationI43
48. Regulations 45 to 47 continue to apply to a relevant item or to relevant qualifying nuclear material until the relevant item or relevant qualifying nuclear material is—
(a)no longer usable for any nuclear activity relevant for nuclear safeguards;
(b)irrecoverable for processing into a form in which it is usable for nuclear activity; or
(c)the subject of a written advice from the Secretary of State that the item or qualifying nuclear material will cease to be the subject of a written advice, issued by the Secretary of State under regulation 44, with effect from a specified date, following an agreement between the United Kingdom and the Party to the specified international agreement.
InterpretationI44
49. In this Part—
“ equipment ” means—
nuclear reactors and especially designed or prepared equipment and components therefor;
non-nuclear materials for reactors;
[F74 facilitiesF74] for the reprocessing of irradiated fuel elements and equipment especially designed or prepared therefor;
[F74 facilitiesF74] for the fabrication of nuclear reactor fuel elements, and equipment especially designed or prepared therefor;
[F74 facilitiesF74] for the separation of isotopes of natural uranium, depleted uranium or special fissionable material and equipment, other than analytical instruments, especially designed or prepared therefor;
[F74 facilitiesF74] for the production or concentration of heavy water, deuterium and deuterium compounds and equipment especially designed or prepared therefor;
[F74 facilitiesF74] for the conversion of uranium and plutonium for use in the fabrication of fuel elements and the separation of uranium isotopes and equipment especially designed or prepared therefor,
and each of those terms is more fully described in Annex B to the Agency's Information Circular 254/Rev.13/Part 1 dated 8th November 2016;
“ item ” means—
non-nuclear material which means deuterium, heavy water and nuclear grade graphite;
byproduct material which means any radioactive material (except qualifying nuclear material) yielded in or made radioactive by exposure to the radiation incident to the process of producing or utilizing qualifying nuclear material;
tritium which means compounds and mixtures which contain tritium in which the ratio of tritium to hydrogen by atoms is greater than 1 part per 1000;
equipment;
F75 tritium-related equipment which means equipment ... or facilities for the production, recovery, extraction, concentration, handling or storage of tritium;
technology which means specific information which is required for the development, production or use of any items of equipment or tritium-related equipment and which may take the form of technical data or technical assistance which terms are more fully described in Annex B to the Agency's Information Circular 254/Rev.13/Part 1 dated 8th November 2016;
“ relevant item ” means an item which is subject to a specified international agreement;
“ relevant qualifying nuclear material ” means qualifying nuclear material which is subject to a specified international agreement;
M9 “ specified international agreement ” means an agreement which is described in [F76 any of paragraphs (c) to (f) and (h) F76] of regulation 3 of the Nuclear Safeguards (Fissionable Material and Relevant International Agreements) (EU Exit) Regulations 2019 .
PART 14 General
ExtentI45
50. These Regulations extend to England and Wales, Scotland and Northern Ireland.
General consequential and supplementary amendments Part 1 of Schedule 3I46
M10,M1151. Schedule 3, Part 1 contains consequential and supplementary amendments of the Nuclear Safeguards and Electricity (Finance) Act 1978 , the Nuclear Safeguards Act 2000 and the Nuclear Safeguards (Notification) Regulations 2004 .
General consequential amendments Part 2 of Schedule 3I47
52. Schedule 3, Part 2 sets out the general consequential and supplementary amendments.
Transitional provisionsI48
53. Schedule 4 sets out the transitional provisions.
ReviewI49
54.—(1) The Secretary of State must from time to time—
(a)carry out a review of the regulatory provision contained in these Regulations, and
(b)publish a report setting out the conclusions of the review.
(2) The first report must be published before 1st January 2024.
(3) Subsequent reports must be published at intervals not exceeding 5 years.
(4) Section 30(3) of the Small Business, Enterprise and Employment Act 2015 requires that a review carried out under this regulation must, so far as is reasonable, have regard to how the obligations under the Agreement with the Agency are implemented in other countries which are subject to the obligations.
(5) Section 30(4) of the Small Business, Enterprise and Employment Act 2015 requires that a report published under this regulation must, in particular—
(a)set out the objectives intended to be achieved by the regulatory provision referred to in paragraph (1)(a);
(b)assess the extent to which those objectives are achieved;
(c)assess whether those objectives remain appropriate; and
(d)if those objectives remain appropriate, assess the extent to which they could be achieved in another way which involves less onerous regulatory provision.
(6) In this regulation, “ regulatory provision ” has the same meaning as in sections 28 to 32 of the Small Business, Enterprise and Employment Act 2015 (see section 32 of that Act ).
Richard Harrington
Parliamentary Under Secretary of State
Department for Business, Energy and Industrial Strategy
Regulation 3
SCHEDULE 1
[F77Part 1 Questionnaire for the Declaration of Design Information for a Qualifying Nuclear Facility
A. Conversion and Fuel Fabrication Facilities
General Information
1. Name of qualifying nuclear facility (including any usual abbreviation);
2. Location, postal address, telephone number and e-mail address;
3. Owner (legally responsible person);
4. Operator (legally responsible person);
5. Description (main features only);
6. Purpose;
7. Status (e.g. planned, under construction, in operation, shutdown, closed down, decommissioned for safeguards purposes);
8. Construction schedule dates (if not in operation): start of construction, commissioning, operation;
9. Normal operating mode (days only, number of shifts; number of days/year, etc.);
10. Facility layout (drawings showing structural containment, fences, access, qualifying nuclear material storage areas, laboratories, waste disposal areas, routes followed by qualifying nuclear material, experimental and test areas, etc.);
11. Siting of facility (maps showing location, premises and perimeter of site, other buildings, roads, railways, rivers, etc.);
12. Titles and addresses of persons responsible for accountancy and control of qualifying nuclear material and contact with the Agency (if possible, provide organisation charts showing the position of persons).
Overall Process Parameters
13. Facility description (indicating important items of equipment which use, produce or process qualifying nuclear material, all process stages, storage areas and feed, product and waste points, as relevant to the measurement, accountancy and control of qualifying nuclear material) and general flow diagram (indicating equipment, hoods, cells, areas which contain qualifying nuclear material and those specific areas where hold-up of qualifying nuclear material can occur);
14. Process description (indicating type of conversion, method of fabrication, sampling methods, etc. and the modification of physical and chemical forms);
15. Design capacity (tonnes/year of uranium, plutonium and/or thorium);
16. Anticipated annual throughput (in the form of a forward programme indicating the proportion of various feeds and products);
17. Other important items of equipment using, producing or processing qualifying nuclear material, if any (e.g. testing and experimental equipment).
Qualifying Nuclear Material Description and Flow
18. Description of main qualifying nuclear material: provide the following for all feed, intermediate product (powder, pellets, etc. separately stored or shipped) and product—
main types of accounting units to be handled in the facility (drums, elements, bundles, etc.);
chemical and physical form (for product include types of fuel element/assemblies, detailed description of general structure and overall structure, overall dimensions of fuel elements/assemblies, including qualifying nuclear material content and enrichment), with drawings;
throughput, uranium enrichment ranges or plutonium content, or thorium content (for normal flowsheet operation, indicating if blending and/or recycling takes place);
batch size/flow rate and campaign period; means of batch identification;
storage and facility inventory (indicating any change with throughput);
frequency of receipt or shipment (batches/units per month);
19. Scrap material;
20. Waste material: describe for each waste stream (including contaminated equipment, measured discards and retained waste)—
major contributors (sources);
types of waste;
chemical and physical form (liquid, solid, etc.);
estimated enrichment ranges and uranium/plutonium content;
estimated quantities per year, period of sorting;
waste generated rates (as percentage of input/throughput, quantities per month);
store inventory range and maximum capacity;
method and frequency of recovery/disposal;
21. Waste treatment system (with diagrams);
22. Other qualifying nuclear material in the facility (if any) and its location (with diagrams);
23. Schematic flowsheet for qualifying nuclear material (identifying sampling points, flow and inventory measurement points, accounting areas, inventory locations, etc.);
24. Categories, form and ranges of qualifying nuclear material content (including enrichment, as applicable) and ranges of quantities of qualifying nuclear material flow for each qualifying nuclear material handling area (i.e. process area, storage area, other locations), including maximum quantities of qualifying nuclear material to be handled in accounting areas at any one time;
25. Recycling processes: describe any such processes giving source and form of qualifying nuclear material, method of storage, normal inventory, frequency of processing, duration of temporary storage, schedules for any external recycling and measurement method of fissile content of recycled qualifying nuclear material (with diagram);
26. Inventory:
in-process (within facility and equipment during normal operation, indicate quantity, range of enrichment, plutonium content, form and principal locations and any significant change in time or throughput; indicate anticipated residual hold-up and mechanism, e.g. plate out, condensation);
feed and product storages;
other locations (quantity, range of enrichment, plutonium content, form and location of inventory not already specified).
Handling of Qualifying Nuclear Material (For Each Accounting Area)
27. Containers, packaging and storage area description: for feeds, products and wastes, describe the type and size of storage and shipping containers and packaging used (including nominal capacity, capacity for normal operation and type of material), method of storage or packing, filing and emptying procedures, shielding and any special identification features (with drawings);
28. Methods and means of transfer of qualifying nuclear material (including equipment used for handling of feed, product, waste);
29. Transportation routes followed by qualifying nuclear material (with reference to facility layout), with diagrams;
30. Shielding (for storage, transfer and process areas);
31. Maintenance, decontamination, clean-out: describe plans and procedures for decontamination and clean-out of equipment containing qualifying nuclear material, defining all sampling and measurement points associated with the following (or in cases where clean-out and/or sampling is not possible, indicate how the hold-up of qualifying nuclear material is measured or calculated)—
normal facility maintenance;
facility and equipment decontamination and subsequent recovery of qualifying nuclear material;
facility and equipment clean-out including means of ensuring vessels are empty;
facility start-up and facility shutdown (if different from normal operation).
Protection and Safety Measures
32. Basic measures for physical protection of qualifying nuclear material;
33. Specific health and safety rules for inspector compliance.
Accountancy and Control of Qualifying Nuclear Material
34. System description: describe the qualifying nuclear material accountancy system; method of recording and reporting accountancy data and establishing material balances; frequency of material balances; and procedures for account adjustment after physical inventory, mistakes, etc., under the following headings (include specimen forms for all procedures)—
General: state what general and subsidiary ledgers will be used, their form (hard copies, tapes, microfilms, etc.) and who has responsibility and authority; identify the source data (e.g. shipping and receiving forms, internal transfer documents, physical inventory forms, initial recording of measurements and measurement control sheets); describe procedures for making adjustments, the source data and records and how adjustments are authorised and substantiated;
Receipts (including method of dealing with shipper/receiver differences and subsequent account corrections, the checks and measurements used to confirm qualifying nuclear material content and the persons responsible for those determinations);
Shipments (products, waste, measured discards);
Physical inventory: describe procedures (including basic inventory approach, i.e. planning, organising and conducting the inventory, prelisting, use of prior measurement data, who has primary responsibility, how process clean-out is accomplished, accountancy of process residual hold-up), scheduled frequency, estimated distribution of qualifying nuclear material, methods of operator’s inventory taking (both for item and/or bulk accountancy, including relevant assay method), accessibility and possible verification method for qualifying nuclear material, expected accuracy and access to qualifying nuclear material and list major items of equipment regarded as qualifying nuclear material containers;
Measured discards (method of estimation of quantities per year/month, method of disposal);
Retained waste (method of estimation of quantities per year, method and envisaged period of storage, possible subsequent uses);
Unmeasured losses (indicate the methods used to estimate unmeasured losses);
Operational Records and Accounts (including logbooks, general ledgers, internal transfer forms, method of adjustment or correction, retention location, languages, control measures and responsibility for records);
35. Features related to containment and surveillance measures (general description of applied or possible measures in reference to floor plan or facility layout);
36. For each flow and inventory measurement point, and sampling points of accounting areas (including those identified under questions 13, 23 and 24), provide the following—
Total number of measurement points:
description of location, type, identification;
expected types of inventory change at the measurement point;
whether the measurement point can be used for physical inventory taking;
physical and chemical form of qualifying nuclear material (including enrichment range, plutonium content and cladding materials description);
qualifying nuclear material containers, packaging and method of storage;
sampling procedure and equipment used (including number of samples taken, frequency and rejection criteria);
measurement/analytical methods and equipment used and corresponding accuracies;
source and level of random and systematic errors for feed, product, scrap, waste (weight, volume, sampling, analytical);
calculative and error propagation techniques;
technique and frequency of calibration of equipment used, and standards used;
programme for the continuing appraisal of the accuracy of weight, volume, sampling and analytical techniques and measurement methods;
programme for statistical evaluation of data from (x) and (xi);
method of converting source data to batch data (standard calculative procedures, constants and empirical relationships for feed, products in sub-accounting areas, waste and scrap);
means of batch identification;
anticipated batch flow rate per year;
anticipated number of inventory batches;
anticipated number of items per flow and inventory batches;
category, composition and quantity of qualifying nuclear material per batch (including batch data, total weight of each element of qualifying nuclear material and form of qualifying nuclear material);
features related to containment and surveillance measures;
37. Overall limit of accuracy: describe procedures to combine individual measurement error determination to obtain the overall limit of accuracy for—
shipper/receiver differences;
book inventory;
physical inventory;
material unaccounted for.
Post-Operational Information
38. Decommissioning schedule dates: end of operations, decommissioned;
39. Facility decommissioning plan including:
key events of the decommissioning plan;
removal and recovery of qualifying nuclear material;
removal or rendering inoperable of essential equipment.
B. Critical and Subcritical Facilities
General Information
1. Name of qualifying nuclear facility (including any usual abbreviation);
2. Location, postal address, telephone number and e-mail address;
3. Owner (legally responsible person);
4. Operator (legally responsible person);
5. Description (main features only);
6. Purpose;
7. Status (e.g. planned, under construction, in operation, shutdown, closed down, decommissioned for safeguards purposes);
8. Construction schedule dates (if not in operation): start of construction, commissioning, operation;
9. Normal operating mode (days only, number of shifts; number of days/year, etc.);
10. Facility layout (drawings showing structural containment, fences, access, qualifying nuclear material storage areas, laboratories, waste disposal areas, routes followed by qualifying nuclear material, experimental and test areas, etc.);
11. Siting of facility (maps showing location, premises and perimeter of site, other buildings, roads, railways, rivers, etc.);
12. Titles and addresses of persons responsible for accountancy and control of qualifying nuclear material and contact with the Agency (if possible, provide organisation charts showing the position of persons).
General Storage Data
13. Number of critical assemblies in the facility and their location (with drawings);
14. Expected maximum operating power;
15. General information on:
moderator;
reflector;
blanket;
coolant;
important items of equipment which use, produce or process qualifying nuclear material.
Description of Qualifying Nuclear Material
16. Main categories of qualifying nuclear material/fuel and the nominal weight of qualifying nuclear material in the facility;
17. Fuel enrichment range and plutonium content;
18. Description of fuel elements (for each type):
physical and chemical form of fuel;
geometrical form or type;
dimensions;
number of slugs per element;
quantity of qualifying nuclear material and fissionable isotopes (with design tolerance);
composition of alloy, etc.;
19. Description of cladding material:
thickness;
composition of material;
bonding;
20. Sub-assemblies of fuel (number of fuel elements per nuclear assembly, arrangement of fuel elements in sub-assembly, configuration and nominal weight of qualifying nuclear material per sub-assembly, with design tolerance), with drawings;
21. Basic operational accounting unit (fuel elements/assemblies, etc.), with drawings;
22. Other types of units (e.g. test or specially instrumented assemblies, fuelled pilot rod);
23. Means of qualifying nuclear material/fuel identification;
24. Other qualifying nuclear material in the facility (each separately identified);
25. Core diagram (for each critical assembly showing the general disposition, core support structure, shielding and heat removal arrangements, channels for fuel elements or sub-assemblies, control rods, moderator, reflector, beam tubes, dimensions, etc.);
26. Ranges of critical mass and maximum radius;
27. Description of most common configurations (with drawings);
28. Average mean neutron flux in the core:
thermal;
fast;
29. Instrumentation for measuring neutron and gamma flux:
accuracy and type of principal instruments;
location of indicator and recorder;
30. Diagram of radiation level outside/inside shielding at specified places;
31. Maximum radiation dose rate of fuel blanket after refuelling (at the surface and at a distance of 1 metre);
32. Schematic flowsheet for qualifying nuclear material for operator purposes (identifying measurement points, accounting areas, inventory locations, etc.);
33. Inventory: state quantity range and approximate uranium enrichment and plutonium content for—
qualifying nuclear material storage areas;
core areas;
assembly core;
other locations;
34. Qualifying nuclear material:
packaging (description);
storage plan and arrangements (with drawings);
capacity of storage;
qualifying nuclear material preparation (description and identification of layout and general arrangement);
35. Drawings of fuel transfer equipment, if any;
36. Routes followed by qualifying nuclear material (with drawings);
37. Main equipment used for assembling, testing or measuring qualifying nuclear material.
Protection and Safety Measures
38. Basic measures for physical protection of qualifying nuclear material;
39. Specific health and safety rules for inspector compliance.
Accountancy and Control of Qualifying Nuclear Material
40. System description: describe the qualifying nuclear material accountancy system; method of recording and reporting accountancy data; and procedures for account adjustment after inventory change and for correction of mistakes, etc., under the following headings (include specimen forms for all procedures)—
General;
Receipts;
Shipments;
Physical inventory: describe procedures, scheduled frequency, methods of operator’s inventory taking (both for item and/or bulk accountancy), including relevant assay methods and expected accuracy, access to qualifying nuclear material, methods of verification of qualifying nuclear material in the core and list major items of equipment regarded as qualifying nuclear material containers;
Operational records and accounting records (including method of adjustment or correction, place of preservation and language);
41. How often is the core disassembled to permit the verification of contained qualifying nuclear material?
42. Features related to containment and surveillance measures (general description of applied or possible measures);
43. For each measurement point of an accounting area identified under question 32, provide the following (if applicable) and attach drawings (if necessary):
Total number of measurement points:
description of location, type, identification;
anticipated types of inventory change and whether the measurement point can be used for physical inventory taking;
physical and chemical form of qualifying nuclear material (with cladding materials description);
qualifying nuclear material containers, packaging;
sampling procedures and equipment used;
measurement methods and equipment used;
source and level of random and systematic errors (measurements);
technique and frequency of calibration of equipment used;
method of converting source data to batch data;
means of batch identification;
anticipated batch flow rate per year;
anticipated number of items per flow and inventory batch;
category, composition and quantity of qualifying nuclear material per batch (including batch data, total weight of qualifying nuclear material in item and the isotopic composition (for uranium) and plutonium content, when appropriate; form of qualifying nuclear material);
features related to containment surveillance measures.
Post-Operational Information
44. Decommissioning schedule dates: end of operations, decommissioned;
45. Facility decommissioning plan including:
key events of the decommissioning plan;
removal and recovery of qualifying nuclear material;
removal or rendering inoperable of essential equipment.
C. Isotopic Enrichment Facilities
General Information
1. Name of qualifying nuclear facility (including any usual abbreviation);
2. Location, postal address, telephone number and e-mail address;
3. Owner (legally responsible person);
4. Operator (legally responsible person);
5. Description (main features only);
6. Purpose;
7. Status (e.g. planned, under construction, in operation, shutdown, closed down, decommissioned for safeguards purposes);
8. Construction schedule dates (if not in operation): start of construction, commissioning, operation;
9. Normal operating mode (days only, number of shifts; number of days/year, etc.);
10. Facility layout (drawings showing structural containment, fences, access, qualifying nuclear material storage areas, laboratories, waste disposal areas, routes followed by qualifying nuclear material, experimental and test areas, etc.);
11. Siting of facility (maps showing location, premises and perimeter of site, other buildings, roads, railways, rivers, etc.);
12. Titles and addresses of persons responsible for accountancy and control of qualifying nuclear material and contact with the Agency (if possible, provide organisation charts showing the position of persons).
Overall Process Parameters
13. Facility description (indicating important items of equipment which use, produce or process qualifying nuclear material, all process stages, storage areas and feed, product, tail and waste points) and general flow diagram;
14. Process description (identifying sampling and key measurement points, material balance areas, inventory locations) and flowsheet for normal operation;
15. Design capacity (throughput in tonnes of separative work units/year and maximum energy consumption in MW);
16. Anticipated annual throughput (in the form of a forward programme indicating the proportion of various feeds and products).
Qualifying Nuclear Material Description and Flow
17. Description of main qualifying nuclear material: provide the following for all feed, product and tails—
chemical and physical form;
throughput and enrichment ranges (for normal flowsheet operation indicating if blending and/or recycling takes place);
batch size/flow rate and campaign period;
maximum capability as concentration of top product (natural uranium feed);
storage inventory (indicating any change with throughput);
frequency of receipt or shipment;
18. Waste material:
source and form (indicating major contributors; liquid or solid; range of constituents; enrichment range; include contaminated equipment);
storage inventory range, method and frequency of recovery/disposal;
19. Containers and storage area description: for feeds, products, tails and wastes, describe the type and size of containers (including operational capacity), method of storage, filing and emptying procedures (including time cycle) and any special identification features;
20. Measured discards and retained waste (as a percentage of input);
21. Inventory:
in-process (within facility and equipment during normal operation, indicate quantity, form and main locations and any significant change with time or throughput);
other locations (quantity, form and location of inventory not already specified).
Facility Maintenance
22. Maintenance, decontamination, clean-out: describe plans and procedures and define all sampling and key measurement points associated with the following—
normal facility maintenance;
facility and equipment decontamination and subsequent qualifying nuclear material recovery;
facility and equipment clean-out including means of ensuring vessels are empty.
Protection and Safety Measures
23. Basic measures for physical protection of qualifying nuclear material;
24. Specific health and safety rules for inspector compliance.
Accountancy and Control of Qualifying Nuclear Material
25. System description: describe the qualifying nuclear material accountancy system, method of recording and reporting accountancy data and establishing material balances and procedures for account adjustment after inventory change, mistakes, etc., under the following headings (include specimen forms for all procedures)—
General;
Receipts (including method of dealing with shipper/receiver differences and subsequent account corrections);
Shipments (products and waste);
Physical inventory: frequency, procedures, estimated distribution (list major items of equipment regarded as qualifying nuclear material containers);
Measured Discards and Retained Waste;
Operational Records and Accounts (including method of adjustment or correction, place of preservation and language);
26. For each key measurement point identified under questions 14 and 22, provide the following—
Total number of measurement points:
identification;
chemical and physical form of qualifying nuclear material;
sampling procedure and equipment used;
measurement/analytical method and equipment used;
source and level of random and systematic errors (weighing, volume, sampling, analytical);
method of converting source data to batch data (standard calculative procedures, constants and empirical relationships);
calculative and error propagation technique;
technique and frequency of calibration of equipment used;
programme for the continuing appraisal of the accuracy of weight, volume, sampling techniques and measurement methods;
programme for statistical evaluation of data from (viii) and (ix);
27. Features related to containment and surveillance measures (general description of applied or possible measures in reference to floor plan or facility layout);
28. Overall limit of accuracy: describe procedures to combine individual measurement error determination to obtain the overall limit of accuracy for—
shipper/receiver differences;
book inventory;
physical inventory;
material unaccounted for.
Post-Operational Information
29. Decommissioning schedule dates: end of operations, decommissioned;
30. Facility decommissioning plan including:
key events of the decommissioning plan;
removal and recovery of qualifying nuclear material;
removal or rendering inoperable of essential equipment.
D. Reprocessing Facilities
General Information
1. Name of qualifying nuclear facility (including any usual abbreviation);
2. Location, postal address, telephone number and e-mail address;
3. Owner (legally responsible person);
4. Operator (legally responsible person);
5. Description (main features only);
6. Purpose;
7. Status (e.g. planned, under construction, in operation, shutdown, closed down, decommissioned for safeguards purposes);
8. Construction schedule dates (if not in operation): start of construction, commissioning, operation;
9. Normal operating mode (days only, number of shifts; number of days/year, etc.);
10. Facility layout (drawings showing structural containment, fences, access, qualifying nuclear material storage areas, laboratories, waste disposal areas, routes followed by qualifying nuclear material, experimental and test areas, etc.);
11. Siting of facility (maps showing location, premises and perimeter of site, other buildings, roads, railways, rivers, etc.);
12. Titles and addresses of persons responsible for accountancy and control of qualifying nuclear material and contact with the Agency (if possible, provide organisation charts showing the position of persons).
Overall Process Parameters
13. Facility description (indicating important items of equipment which use, produce or process qualifying nuclear material, all process modification stages, storage areas and feed, product and waste points as relevant to the measurement, control and accountancy of qualifying nuclear material) and general flow diagram (indicating equipment, hoods, cells, areas which contain qualifying nuclear material and those specific areas where hold-up of qualifying nuclear material can occur);
14. Process description (indicating the modification of physical and chemical forms);
15. Design capacity (tonnes/year of uranium, plutonium and/or thorium);
16. Anticipated annual throughput (in the form of a forward programme indicating the proportion of various feeds and products);
17. Other important items of equipment using, producing or processing qualifying nuclear material, if any (e.g. testing and experimental equipment).
Qualifying Nuclear Material Description and Flow
18. Description of main qualifying nuclear material: provide the following for all feed and product—
main types of accounting units to be handled in the facility;
chemical and physical form (for feed include types of fuel element/assemblies, describe general structure and overall dimensions of fuel elements/assemblies, including qualifying nuclear material content and enrichment), with drawings;
throughput, uranium content and its enrichment ranges, plutonium content and thorium content, where applicable;
batch size/flow rate and campaign period, means of batch identification;
storage and facility inventory (indicating any change with throughput);
frequency of receipt or shipment (batches/units per month);
19. Waste material (including contaminated equipment, measured discards and retained waste): for each waste stream, describe—
major contributors (sources);
type of waste after waste processing;
chemical and physical form of waste feeds, intermediate storage and waste product after processing (liquid, solid etc.);
for each material in point (iii), uranium and its enrichment ranges/plutonium content;
estimated quantities per year, period of storing;
waste generated rates (as a percentage of input/throughput, quantities per month);
store inventory range and maximum capacity;
method and frequency of recovery/disposal;
20. Waste treatment system (with diagrams);
21. Other qualifying nuclear material in the facility (if any) and its location (with diagrams);
22. Schematic flowsheet for qualifying nuclear material for operator purposes (identifying sampling points, flow and inventory measurement points, accounting areas, inventory locations, etc.);
23. Categories, form and ranges of qualifying nuclear material content (including enrichment, as applicable), ranges of quantities of qualifying nuclear material flow for each qualifying nuclear material handling area (i.e. process area, storage area, other locations), including maximum quantities of qualifying nuclear material to be handled in accounting areas at any one time;
24. Recycling processes: describe any such processes giving source and form of qualifying nuclear material, method of storage, normal inventory, frequency of processing, duration of temporary storage, schedules for any external recycling and measurement method for fissile content of recycled qualifying nuclear material (with diagram);
25. Inventory:
in-process (within facility and equipment during normal operation, indicate quantity, uranium content and its enrichment ranges, plutonium content, thorium content, if applicable, form and principal locations and any significant change in time or throughput; indicate anticipated residual hold-up and mechanism);
feed and product storages;
other locations (quantity, enrichment range, plutonium content, form and location of inventory not already specified).
Handling of Qualifying Nuclear Material (For Each Accounting Area)
26. Containers, packaging and storage area description: for feeds, products and wastes, describe the size and type of containers and packaging used; method of storage including fuel element locations, handling equipment and its capabilities; any special identification features (with drawings);
27. Methods and means of transfer of qualifying nuclear material (including equipment used for handling of feed, product, recycled qualifying nuclear material and waste);
28. Transportation routes followed by qualifying nuclear material (with reference to facility layout), with diagrams;
29. Shielding (for storage and transfer).
Facility Maintenance
30. Maintenance, decontamination, clean-out: describe plans and procedures for decontamination and clean-out of equipment containing qualifying nuclear material (in cases where clean-out and/or sampling is not possible, indicate how the hold-up of qualifying nuclear material is measured or calculated), defining all sampling and measurement points associated with—
normal facility maintenance;
facility and equipment decontamination and subsequent qualifying nuclear material recovery;
facility and equipment clean-out including means of ensuring vessels are empty;
facility start-up and facility shut-down (if different from normal operation).
Protection and Safety Measures
31. Basic measures for physical protection of qualifying nuclear material;
32. Specific health and safety rules for inspector compliance.
Accountancy and Control of Qualifying Nuclear Material
33. System description: describe the qualifying nuclear material accountancy system, method of recording and reporting accountancy data and establishing material balances, frequency of material balances, procedures for account adjustment after inventory change, mistakes, etc., under the following headings (include specimen forms for all procedures)—
General: state what general and subsidiary ledgers will be used, their form (hard copies, tapes, microfilms, etc.) and who has responsibility and authority; identify the source data (e.g. shipping and receiving forms, initial recording of measurements and measurement control sheets); describe procedures for making adjustments, the source data and records and how adjustments are authorised and substantiated;
Receipts (including method of dealing with shipper/receiver differences and subsequent account corrections; checks and measurements used to confirm qualifying nuclear material content and persons responsible);
Shipments (products, waste, measured discards);
Physical inventory: describe procedures (including basic inventory approach, i.e. planning, organising and conducting the inventory, prelisting, use of prior measurement data, who has primary responsibility for the inventory, how process clean-out is accomplished, accountancy of process residual hold-up), scheduled frequency, scheduled frequency, estimated distribution of qualifying nuclear material, methods of operator's inventory taking (both for item and/or bulk accountancy, including relevant assay method), accessibility and possible verification method for irradiated qualifying nuclear material, expected accuracy and access to qualifying nuclear material (list major items of equipment regarded as qualifying nuclear material containers);
Measured discards (method of estimation of quantities per year/months, method of disposal);
Retained waste (method of estimation of quantities per year, method and anticipated period of storage; possible subsequent uses of retained waste);
Unmeasured losses (methods used to estimate unmeasured losses);
Operational Records and Accounts (including logbooks, general ledgers, internal transfer forms, method of adjustment or correction, retention location and language; control measures and responsibility for records);
34. Features related to containment and surveillance measures (general description of applied or possible measures);
35. For each flow and inventory measurement and sampling point of accounting areas identified under questions 13, 22 and 23, provide the following—
Total number of measurement and sampling points:
description of location, type, identification;
type of inventory change expected at the measurement or sampling point;
whether the measurement or sampling point can be used for physical inventory taking;
physical and chemical form of qualifying nuclear material (including enrichment range, plutonium content and cladding material description);
qualifying nuclear material containers, packaging and method of storage;
sampling procedure and equipment used (including number of samples taken, frequency and rejection criteria);
measurement/analytical method and equipment used and corresponding accuracies;
source and level of random and systematic errors for feed, product, waste (weight, volume, sampling, analytical);
calculative and error propagation technique;
technique and frequency of calibration of equipment used and standards used;
programme for the continuous appraisal of the accuracy of weight, volume, sampling and analytical techniques and measurement methods;
programme for statistical evaluation of data from (x) and (xi);
method of converting source data to batch data (standard calculative procedures, constants and empirical relationships for feed, products in sub-accounting areas and waste);
means of batch identification;
anticipated batch flow rate per year;
anticipated number of inventory batches present at the measurement or sampling point;
anticipated number of items per flow and inventory batches;
category, composition and quantity of qualifying nuclear material per batch (including batch data, total weight of each element of qualifying nuclear material and form of qualifying nuclear material);
features related to containment and surveillance measures;
36. Overall limit of accuracy: describe procedure to combine individual measurement error determination to obtain the overall limit of accuracy for—
shipper/receiver differences;
book inventory;
physical inventory;
material unaccounted for.
Post-Operational Information
37. Decommissioning schedule dates: end of operations, decommissioned;
38. Facility decommissioning plan including:
key events of the decommissioning plan;
removal and recovery of qualifying nuclear material;
removal or rendering inoperable of essential equipment.
E. Research and Development Facilities
General Information
1. Name of qualifying nuclear facility (including any usual abbreviation);
2. Location, postal address, telephone number and e-mail address;
3. Owner (legally responsible person);
4. Operator (legally responsible person);
5. Description (main features only);
6. Purpose;
7. Status (e.g. planned, under construction, in operation, shutdown, closed down, decommissioned for safeguards purposes);
8. Construction schedule dates (if not in operation): start of construction, commissioning, operation;
9. Normal operating mode (days only, number of shifts; number of days/year, etc.);
10. Facility layout (drawings showing structural containment, fences, access, qualifying nuclear material storage areas, laboratories, waste disposal areas, routes followed by qualifying nuclear material, experimental and test areas, etc.);
11. Siting of facility (maps showing location, premises and perimeter of site, other buildings, roads, railways, rivers, etc.);
12. Titles and addresses of persons responsible for accountancy and control of qualifying nuclear material and contact with the Agency (if possible, provide organisation charts showing the position of persons).
General Facility Data
13. Facility description (indicating accounting areas), with diagram;
14. Normal inventory;
15. Anticipated annual throughput and/or inventory for the facility working at nominal capacity;
16. Description of the use of qualifying nuclear material;
17. Important items of equipment which use, produce or process qualifying nuclear material.
Qualifying Nuclear Material Description
18. Main types of accounting units to be handled in the facility;
19. Description of qualifying nuclear material for each accounting area (general):
chemical and physical form (with cladding materials description);
enrichment ranges and plutonium content;
estimated nominal weight of qualifying nuclear material at the facility;
20. Waste material:
source and form (indicating major contributors; liquid or solid; range of constituents, enrichment range and plutonium content; include contaminated equipment);
quantities in storage and at other locations;
method and frequency of recovery/disposal;
21. Other qualifying nuclear material in the facility and its location (each separately located);
22. Means of qualifying nuclear material identification in the facility;
23. Radiation level at qualifying nuclear material locations (at the surface of the qualifying nuclear material and at distance of 1 meter in μSv/h, mSv/h or Sv/h).
Qualifying Nuclear Material Flow
24. Schematic flowsheet for qualifying nuclear material for operator purposes (identifying measurement points, accounting areas, inventory locations, etc. for operator purposes);
25. Categories, form and range of quantities of qualifying nuclear material in operation areas, storage areas, other locations (average data for each location).
Handling of Qualifying Nuclear Material (For Each Accounting Area)
26. Description of qualifying nuclear material storage (including capacity, anticipated inventory and throughput, etc.), with drawings;
27. Maximum quantity of qualifying nuclear material to be handled in accounting areas;
28. Modification of the physical/chemical form during operation;
29. Qualifying nuclear material transfer;
30. Frequency of receipt and shipment;
31. Qualifying nuclear material transfer equipment (if applicable), with drawings;
32. Description of containers used for storage and handling (with drawings);
33. Routes followed by qualifying nuclear material;
34. Shielding (for storage and transfer).
Protection and Safety Measures
35. Basic measures for physical protection of qualifying nuclear material;
36. Specific health and safety rules for inspector compliance.
Accountancy and Control of Qualifying Nuclear Material
37. System description: describe the qualifying nuclear material accountancy system, method of recording and reporting accountancy data and establishing material balances and procedures for account adjustment after inventory and correction of mistakes, etc., under the following headings (include specimen forms for all procedures)—
General;
Receipts (including method of dealing with shipper/receiver differences and subsequent account corrections);
Shipments (including waste);
Measured discards (estimated quantities per year/month, method of management);
Retained waste (estimated quantities per year, period of storing);
Physical inventory: describe procedures, scheduled frequency, estimated distribution on qualifying nuclear material, methods of operator’s inventory taking (both for item and/or mass accountancy, including relevant assay method), accessibility and possible verification method for irradiated qualifying nuclear material, expected accuracy and access to qualifying nuclear material (list major items of equipment regarded as qualifying nuclear material containers);
Operational Records and Accounting Records (including method of adjustment or correction, place of preservation and language);
38. Features related to containment and surveillance measures (general description of applied or possible measures);
39. For each measurement point of accounting areas identified under question 24, provide the following (if applicable)—
Total number of measurement points:
description of location, type, identification;
anticipated types of inventory change and/or whether the measurement point can be used for physical inventory taking;
physical and chemical form of qualifying nuclear material (with cladding materials description);
qualifying nuclear material containers, packaging;
sampling procedure and equipment used;
measurement method and equipment used;
source and level of random and systematic errors (weight, volume, sampling, analytical, non-destructive assay);
technique and frequency of calibration of equipment used;
method of converting source data to batch data;
means of batch identification;
anticipated batch flow rate per year;
anticipated number of inventory batches;
anticipated number of items per flow and inventory batches;
category, composition and quantity of qualifying nuclear material per batch (including batch data, total weight of qualifying nuclear material in item, isotopic composition (for uranium) and plutonium content, when appropriate; form of qualifying nuclear material);
Features related to containment and surveillance measures.
Post-Operational Information
40. Decommissioning schedule dates: end of operations, decommissioned;
41. Facility decommissioning plan including:
key events of the decommissioning plan;
removal and recovery of qualifying nuclear material;
removal or rendering inoperable of essential equipment.
F. Research and Power Reactors
General Information
1. Name of qualifying nuclear facility (including any usual abbreviation);
2. Location, postal address, telephone number and e-mail address;
3. Owner (legally responsible person);
4. Operator (legally responsible person);
5. Description (main features only);
6. Purpose;
7. Status (e.g. planned, under construction, in operation, shutdown, closed down, decommissioned for safeguards purposes);
8. Construction schedule dates (if not in operation): start of construction, commissioning, operation;
9. Normal operating mode (days only, number of shifts; number of days/year, etc.);
10. Facility layout (drawings showing structural containment, fences, access, qualifying nuclear material storage areas, laboratories, waste disposal areas, routes followed by qualifying nuclear material, experimental and test areas, etc.);
11. Siting of facility (maps showing location, premises and perimeter of site, other buildings, roads, railways, rivers, etc.);
12. Titles and addresses of persons responsible for accountancy and control of qualifying nuclear material and contact with the Agency (if possible, provide organisation charts showing the position of persons).
General Reactor Data
13. Facility description (indicating important items of equipment which use, produce or process qualifying nuclear material) and general flow diagram;
14. Rated thermal output, electricity output (for power reactors);
15. Number of units (reactors) and their layout in the facility;
16. Reactor type;
17. Type of refuelling (on or off load);
18. Core enrichment range and plutonium concentration (at equilibrium for on-load reactors; initial and final for off-load reactors);
19. Moderator;
20. Coolant;
21. Blanket, reflector.
Qualifying Nuclear Material Description
22. Types of fresh fuel;
23. Fresh fuel enrichment (U-235) and/or plutonium content (average enrichment per each type of assembly);
24. Nominal weight of fuel in elements/assemblies (with design tolerances);
25. Physical and chemical form of fresh fuel (general description);
26. Reactor assemblies (with drawings): indicate for each type—
types of assemblies;
number of fuel assemblies, control and shim assemblies, experimental assemblies in the core, in blanket zone(s);
number and types of fuel elements;
average enrichment and/or plutonium content per assembly;
general structure;
geometric form;
dimensions;
cladding material;
27. Description of fresh fuel elements (with drawings):
physical and chemical form of fuel;
quantity of qualifying nuclear material and fissionable isotopes (with design tolerance);
enrichment and/or plutonium content;
geometric form;
dimensions;
number of slugs/pellets per element;
composition of alloy;
cladding material (thickness, composition of material, bonding);
28. Provision for element exchange in assemblies of each type (indicate whether this is foreseen to become a routine operation);
29. Basic operational accounting unit (fuel elements/assemblies, etc.), with drawings;
30. Other types of units;
31. Means of qualifying nuclear material/fuel identification;
32. Other qualifying nuclear material in the facility (each separately identified).
Qualifying Nuclear Material Flow
33. Schematic flowsheet for qualifying nuclear material for operator purposes (identifying measurement points, accounting areas, inventory locations, etc.);
34. Inventory: state quantity range, number of items and approximate uranium enrichment and plutonium content (under normal operating conditions) for the following—
fresh fuel storage;
reactor core;
spent fuel storage;
other locations;
35. Load factor (power reactor only);
36. Reactor core loading (number of elements/assemblies);
37. Refuelling requirements (quantity, time interval);
38. Burn-up (average/maximum);
39. Is the irradiated fuel to be reprocessed or stored (if stored, indicate site)?
Handling of Qualifying Nuclear Material
40. Fresh fuel:
packaging (description);
layout, general arrangements and storage plan (with drawings);
capacity of store;
fuel preparation and assay room, and reactor loading area (description and indication of layout and general arrangement), with drawings;
41. Drawings of fuel transfer equipment (including refuelling machines);
42. Routes followed by qualifying nuclear material (fresh fuel, irradiated fuel, blanket, other qualifying nuclear material);
43. Reactor vessel diagram (showing core location, access to vessel, vessel openings, fuel handling in vessel);
44. Reactor core diagram (showing general disposition, lattice, form, pitch, dimensions of core, reflector, blanket; location, shapes and dimensions of fuel elements/assemblies; control elements/assemblies; experimental elements/assemblies);
45. Number and size of channels for fuel elements or assemblies and for control elements in the core;
46. Average mean neutron flux in the core:
thermal;
fast;
47. Instrumentation for measuring neutron and gamma flux;
48. Irradiated fuel:
layout, spent fuel storage plan and general arrangement (internal and external), with drawings;
method of storage;
design capacity of storage;
minimum and normal cooling period prior to shipment;
description and drawings of irradiated fuel transport equipment and shipping and/or storage cask (if no information on site, specify where it is held);
49. Maximum radiation dose rate of fuel blanket after refuelling (at the surface and at a distance of 1 metre);
50. Methods and equipment for handling irradiated fuel (except as already provided under questions 41 and 48(v));
51. Qualifying nuclear material testing areas: for each such area (except as already provided under question 40) describe—
nature of activities;
major equipment available (e.g. hot cell, fuel element, decladding and dissolution equipment);
shipping containers used (main qualifying nuclear material, scrap and waste);
storage areas for both un-irradiated and irradiated qualifying nuclear material;
layout and general arrangement (with drawings).
Coolant Data
52. Flow diagram (indicating mass flow, temperature and pressure at major points, etc.).
Protection and Safety Measures
53. Basic measures for physical protection of qualifying nuclear material;
54. Specific health and safety rules for inspector compliance.
Accountancy and Control of Qualifying Nuclear Material
55. System description: describe the qualifying nuclear material accountancy system, method of recording and reporting accountancy data and procedures for account adjustment after inventory change and for correction of mistakes, etc., under the following headings (include specimen forms for all procedures)—
General: state what general and subsidiary ledgers will be used, their form (hard copies, tapes, microfilm, etc.) and who has responsibility and authority; identify the source data (e.g. shipping and receiving forms, the initial recording of measurements and measurement control sheets); describe procedures for making adjustments, the source data and records and how adjustments are authorised and substantiated;
Receipts;
Shipments;
Physical inventory: describe procedures, scheduled frequency, methods of operator’s inventory taking (both for item and/or mass accountancy), including relevant assay methods and expected accuracy, access to qualifying nuclear material, possible verification methods for irradiated qualifying nuclear material, methods of verification of qualifying nuclear material in the core and list major items of equipment regarded as qualifying nuclear material containers;
Nuclear Loss and Production (estimation of limits);
Operational Records and Accounts (including method of adjustment or correction, place of preservation and language);
56. Features related to containment and surveillance measures (general description);
57. For each measurement point of an accounting area (including those identified under questions 13, 33 and 34), provide the following (if applicable) and attach drawings (if necessary)—
Total number of measurement points:
description of location, type, identification;
anticipated types of inventory change and whether it is possible to use the measurement point for physical inventory taking;
physical and chemical form of qualifying nuclear material (with cladding materials description);
qualifying nuclear material containers, packaging;
sampling procedures and equipment used;
measurement methods and equipment used (item counting, neutron flux, power level, nuclear burn-up and production, etc.);
source and level of accuracy;
technique and frequency of calibration of equipment used;
programme for the continuous appraisal of the accuracy of methods and techniques used;
method of converting source data to batch data (standard calculative procedures, constants used, empirical relationships, etc.);
anticipated batch flow per year;
anticipated number of items per flow and inventory batches;
category, composition and quantity of qualifying nuclear material per batch (including batch data, total weight of each element of qualifying nuclear material and, in the case of plutonium and uranium, the isotopic composition when appropriate; form of qualifying nuclear material);
access to qualifying nuclear material and its location;
features related to containment and surveillance measures.
Post-Operational Information
58. Decommissioning schedule dates: end of operations, decommissioned;
59. Facility decommissioning plan including:
key events of the decommissioning plan;
removal and recovery of qualifying nuclear material;
removal or rendering inoperable of essential equipment.
G. Separate Storage Facilities
General Information
1. Name of qualifying nuclear facility (including any usual abbreviation);
2. Location, postal address, telephone number and e-mail address;
3. Owner (legally responsible person);
4. Operator (legally responsible person);
5. Description (main features only);
6. Purpose;
7. Status (e.g. planned, under construction, in operation, shutdown, closed down, decommissioned for safeguards purposes);
8. Construction schedule dates (if not in operation): start of construction, commissioning, operation;
9. Normal operating mode (days only, number of shifts; number of days/year, etc.);
10. Facility layout (drawings showing structural containment, fences, access, qualifying nuclear material storage areas, laboratories, waste disposal areas, routes followed by qualifying nuclear material, experimental and test areas, etc.);
11. Siting of facility (maps showing location, premises and perimeter of site, other buildings, roads, railways, rivers, etc.);
12. Titles and addresses of persons responsible for accountancy and control of qualifying nuclear material and contact with the Agency (if possible, provide organisation charts showing the position of persons).
General Storage Data
13. Facility description (indicating important items of equipment which use, produce or process qualifying nuclear material) and general flow diagram;
14. Design capacity;
15. Anticipated annual throughput and inventory (forward programme indicating the proportion of various receipts and shipments).
Qualifying Nuclear Material Description
16. Main types of accounting units to be handled in the facility;
17. Description of qualifying nuclear material for each accounting area (general):
physical (mechanical) form and dimensions (for the items stored, with drawings);
chemical and physical form (indicate chemical composition or main alloy constituents);
enrichment range and plutonium content;
range of weight of qualifying nuclear material;
cladding materials;
means of qualifying nuclear material identification;
types of containers, packaging;
radiation level at qualifying nuclear material location;
other qualifying nuclear material in the facility not already specified (quantity, form and location of inventory);
18. Schematic flowsheet for qualifying nuclear material (identifying measurement points, accounting areas, inventory locations, etc. for operator purposes).
Handling of Qualifying Nuclear Material (For Each Accounting Area)
19. Description of qualifying nuclear material storage area (inventory location), with drawings;
20. Design range of inventories of qualifying nuclear material in each storage area;
21. Method of positioning of qualifying nuclear material in storage;
22. Routes and equipment used for movement of qualifying nuclear material (if applicable);
23. Frequency of receipt and shipment;
24. Shielding (for storage and transfer).
Protection and Safety Measures
25. Basic measures for physical protection of qualifying nuclear material;
26. Specific health and safety rules for inspector compliance.
Accountancy and Control of Qualifying Nuclear Material
27. System description: describe the qualifying nuclear material accountancy system; method of recording and reporting accountancy data and establishing material balances; procedures for account adjustment after inventory change and correction of mistakes, etc., under the following headings (include specimen forms for all procedures)—
General;
Receipts (including method of dealing with shipper/receiver differences and subsequent account corrections);
Shipments (including waste);
Physical inventory: describe procedures, scheduled frequency, estimated distribution of qualifying nuclear material, methods of operator's inventory taking (both for item and/or mass accountancy, including relevant assay method), accessibility and possible verification method for qualifying nuclear material, expected accuracy and access to qualifying nuclear material and list major items of equipment regarded as qualifying nuclear material containers;
Operational Records and Accounting Records (including method of adjustment or correction, place of preservation and language);
28. Features related to containment and surveillance measures (general description of applied or possible measures);
29. For each measurement point of accounting areas identified under question 18, provide the following (if applicable)—
Total number of measurement points:
description of location, type, identification;
anticipated types of inventory change and/or whether the measurement point can be used for physical inventory taking;
physical and chemical form of qualifying nuclear material (with cladding materials description);
qualifying nuclear material containers, packaging;
sampling procedure and equipment used;
measurement method and equipment used;
source and level of random and systematic errors (weight, volume, sampling, analytical, non-destructive assay);
technique and frequency of calibration of equipment used;
method of converting source data to batch data;
means of batch identification;
anticipated batch flow rate per year;
anticipated number of inventory batches;
anticipated number of items per flow and inventory batches;
category, composition and quantity of qualifying nuclear material per batch (including batch data, total weight of qualifying nuclear material in item, isotopic composition (for uranium) and plutonium content, when appropriate; form of qualifying nuclear material);
features related to containment and surveillance measures.
Post-Operational Information
30. Decommissioning schedule dates: end of operations, decommissioned;
31. Facility decommissioning plan including:
key events of the decommissioning plan;
removal and recovery of qualifying nuclear material;
removal or rendering inoperable of essential equipment.
H. Spent Fuel Encapsulation Facilities
General Information
1. Name of qualifying nuclear facility (including any usual abbreviation);
2. Location, postal address, telephone number and e-mail address;
3. Owner (legally responsible person);
4. Operator (legally responsible person);
5. Description (main features only);
6. Purpose;
7. Status (e.g. planned, under construction, in operation, shutdown, closed down, decommissioned for safeguards purposes);
8. Construction schedule dates (if not in operation): start of construction, commissioning, operation;
9. Normal operating mode (days only, number of shifts; number of days/year, etc.);
10. Facility layout (drawings showing structural containment, fences, access, qualifying nuclear material storage areas, laboratories, waste disposal areas, routes followed by qualifying nuclear material, experimental and test areas, etc.);
11. Siting of facility (maps showing location, premises and perimeter of site, other buildings, roads, railways, rivers, etc.);
12. Titles and addresses of persons responsible for accountancy and control of qualifying nuclear material and contact with the Agency (if possible, provide organisation charts showing the position of persons).
Overall Process Parameters
13. Facility description (indicating important items of equipment which use, produce or process qualifying nuclear material, all process stages, storage areas and points as relevant to the measurement, control and accountancy of qualifying nuclear material) and general flow diagram;
14. Process description and flow sheet;
15. Design capacity (e.g. number of spent fuel assemblies, other quantities of qualifying nuclear material in metric tonnes);
16. Anticipated annual throughput (e.g. number of spent fuel assemblies, other quantities of qualifying nuclear material in effective kilograms);
17. Other important items of equipment processing qualifying nuclear material, if any.
Qualifying Nuclear Material Description and Flow
18. Description of main qualifying nuclear material:
main categories of qualifying nuclear material and accounting units to be handled in the facility;
physical (mechanical) form, cladding and overall dimensions of spent fuel assemblies (with drawings);
physical (mechanical) form, overall dimensions and capacity of disposal canisters (with drawings);
physical form and overall dimensions of other types of containers and packaging (with drawings);
means of item identification;
range of initial weights of heavy metal and initial enrichments of uranium in fuel assemblies;
range of spent fuel burn-ups, cooling times and plutonium contents of fuel assemblies;
means of batch identification, batch size, flow rate and campaign period;
range of radiation levels in qualifying nuclear material storage and process areas;
range of radiation and heat levels at exterior of transport and disposal containers;
frequency of receipt and shipment (batches/units per month);
19. Other qualifying nuclear material in the facility (if any) and its location;
20. Schematic flowsheet for qualifying nuclear material for operator purposes (identifying flow and inventory measurement points, accounting areas, inventory locations, etc.);
21. Qualifying nuclear material flow quantities for each qualifying nuclear material handling area i.e. process area (handling cell), storage area (input fuel assemblies; disposal canisters), other locations (including range and maximum quantities of qualifying nuclear material at any one time);
22. Design range of inventories of qualifying nuclear material in each storage and process area.
Handling of Qualifying Nuclear Material
23. Containers and packaging description (with drawings):
Describe containers and packaging in which qualifying nuclear material is received:
Type;
Material;
Capacity (in terms of spent fuel assemblies and other qualifying nuclear material);
Identification features;
Size;
Describe containers and packaging in which qualifying nuclear material is shipped (inner container and over pack container):
Type;
Material;
Capacity (in terms of spent fuel assemblies and other qualifying nuclear material);
Identification features;
Size;
Range of radiation and heat levels at exterior of storage and transport packages and disposal canisters;
24. Description of each qualifying nuclear material storage and process area (including range of radiation level in qualifying nuclear material storage and process areas), with drawings;
25. Shielding (for storage and transfer);
26. Methods and means of handling and transport of qualifying nuclear material (including loading into disposal containers), with drawings;
27. Transportation routes followed by qualifying nuclear material (with reference to facility layout), with diagrams.
Facility Maintenance
28. Maintenance, decontamination:
normal facility maintenance;
facility and equipment decontamination;
facility start-up and facility shutdown procedures if different from normal operation.
Protection and Safety Measures
29. Basic measures for physical protection of qualifying nuclear material;
30. Specific health and safety rules for inspector compliance.
Accountancy and Control of Qualifying Nuclear Material
31. System description: describe the qualifying nuclear material accountancy system, method of recording and reporting accountancy data and establishing material balances, procedures for account adjustment after physical inventory, mistakes, etc., under the following headings (include specimen forms for all procedures)—
General: state what general and subsidiary ledgers will be used, their form (hard copies, tapes, microfilms, etc.) and who has responsibility and authority; identify the source data (e.g. shipping and receiving forms, internal transfer documents, physical inventory forms, initial recording of measurements and measurement control sheets); describe procedures for making adjustments, the source data and records and how adjustments are authorised and substantiated;
Receipts (including method of dealing with account corrections; the checks and measurements used to confirm spent fuel items and the persons responsible for those determinations);
Shipments (disposal canisters, spent fuel assemblies and other qualifying nuclear material, if applicable);
Physical inventory: describe procedures (including basic inventory approach, i.e. planning, organising and conducting the inventory, prelisting, use of prior measurement data, who has primary responsibility for inventory) and methods of operator's inventory taking (for item accountancy), frequency, estimated distribution and accessibility of qualifying nuclear material, verification method and expected accuracy for qualifying nuclear material measurements;
Operational Records and Accounts (including logbooks, general ledgers, internal transfer forms, method of adjustment or correction, retention location, languages, control measures and responsibility for records);
32. Features related to containment and surveillance measures (general description of applied or possible measures in reference to floor plan or facility layout);
33. For each flow and inventory measurement point identified under question 20, provide the following—
Total number of measurement points:
description of location, type, identification;
types of inventory change at the measurement point;
whether the measurement point can be used for physical inventory taking;
description of qualifying nuclear material (including physical and chemical form; cladding; initial and final heavy metal weight; initial and final uranium isotopic composition; burn-up; cooling time; and plutonium content);
qualifying nuclear material containers, packaging and method of storage;
item identification and containment and surveillance measures (including special identifying features and radiation and heat characteristics of disposal canisters);
measurement equipment used and corresponding accuracies (including radiation measurements of fuel assemblies in handling cell);
measurement control, including technique and frequency of calibration of equipment used, and standards used;
method of converting source data to batch data;
means of batch identification;
anticipated batch flow rate per year;
anticipated number of inventory batches;
anticipated number of items per flow and inventory batches;
category, composition and quantity of qualifying nuclear material per batch (including batch data, total weight of each element of qualifying nuclear material and form of qualifying nuclear material).
Post-Operational Information
34. Decommissioning schedule dates: end of operations, decommissioned;
35. Facility decommissioning plan including:
key events of the decommissioning plan;
removal and recovery of qualifying nuclear material;
removal or rendering inoperable of essential equipment.
I. Qualifying Nuclear Facilities with Limited Operation
General Information
1. Name of qualifying nuclear facility (including any usual abbreviation);
2. Location, postal address, telephone number and e-mail address;
3. Owner (legally responsible person);
4. Operator (legally responsible person);
5. Description (main features only);
6. Purpose (intended use of qualifying nuclear material);
7. Status (e.g. planned, under construction, in operation, shut down, closed down, decommissioned for safeguards purposes);
8. Facility layout (structural containment, fences, access, qualifying nuclear material storage areas, laboratories, waste disposal areas, routes followed by qualifying nuclear material, experimental and test areas, etc.), with drawings (if applicable);
9. Siting of facility (maps showing location, premises and perimeter of site, other buildings, roads, railways, rivers, etc.).
Qualifying Nuclear Material Description and Flow
10. Category of qualifying nuclear material;
11. General description of qualifying nuclear material: for each category of qualifying nuclear material, describe the typical items and batches (e.g. coupons, rods, samples, trays), including—
chemical and physical form;
enrichment range and plutonium content (if applicable);
amount of qualifying nuclear material usually kept at the facility;
12. Means of qualifying nuclear material identification;
13. Radiation level (dose rate) at the surface of the qualifying nuclear material and at distance of 1 meter (in μSv/h, mSv/h or Sv/h);
14. Description of main containers used for transport, storage and handling, with drawings (if applicable);
15. Qualifying nuclear material transfer equipment, with drawings (if applicable);
16. Identification of measurement points, accounting areas, inventory location, with flowsheet.
Protection and Safety Measures
17. Basic measures for physical protection of qualifying nuclear material;
18. Specific health and safety rules for inspector compliance.
Accountancy and Control of Qualifying Nuclear Material
19. Description of the system: describe the qualifying nuclear material accountancy system, method of recording and reporting accountancy data and establishing material balance and procedures for account adjustment after inventory change, etc., under the following headings (include specimen forms for all procedures)—
General;
Receipts;
Shipments;
Measured discards and retained waste;
Physical inventory: describe procedures, scheduled frequency, method of operator’s inventory taking, expected accuracy and access to qualifying nuclear material;
Operational Records and Accounting Records (including method of adjustment or correction, place of preservation and language);
20. For each measurement point of accounting areas identified under question 16, provide the following (if applicable)—
Total number of measurement points:
description of location, type, identification;
physical and chemical form of qualifying nuclear material (with cladding materials description);
measurement method and equipment used;
method of converting source data to batch data;
means of batch identification and batch data description.
Post-Operational Information
21. Decommissioning schedule dates: end of operations, decommissioned;
22. Facility decommissioning plan including:
key events of the decommissioning plan;
removal of qualifying nuclear material;
removal or rendering inoperable of essential equipment.F77]
Regulation 14
PART 2 INVENTORY CHANGE REPORT I50
| Label/tag | Content | Comments | # |
|---|---|---|---|
| MBA | Character (4) | MBA code of reporting MBA | 1 |
| Report type | Character (1) | I for Inventory Change Report | 2 |
| Report date | DDMMYYYY | Date on which the report was completed | 3 |
| Report number | Number (8) | Sequential number, no gaps | 4 |
| Line count | Number (8) | Total number of lines reported | 5 |
| Start report | DDMMYYYY | Date of first day in reporting period | 6 |
| End report | DDMMYYYY | Date of last day in reporting period | 7 |
| Reporting person | Character (30) | Name of person responsible for the report | 8 |
| Transaction ID | Number (8) | Sequential number | 9 |
| IC code | Character (2) | Type of inventory change | 10 |
| Batch | Character (20) | Unique identifier for a batch of qualifying nuclear material | 11 |
| KMP | Character (1) | Key measurement point | 12 |
| Measurement | Character (1) | Measurement code | 13 |
| Material form | Character (2) | Material form code | 14 |
| Material container | Character (1) | Material container code | 15 |
| Material state | Character (1) | Material state code | 16 |
| MBA from | Character (4) | MBA code of shipping MBA (for IC codes RD and RF only) | 17 |
| MBA to | Character (4) | MBA code of receiving MBA (for IC codes SD and SF only) | 18 |
| Previous batch | Character (20) | Name of previous batch (for IC code RB only) | 19 |
| Original date | DDMMYYYY | Accounting date of the line to be corrected (always of first line in correction chain) | 20 |
| PIT date | DDMMYYYY | Date of physical inventory taking (PIT) to which MF adjustment refers (use with IC code MF only) | 21 |
| Line number | Number (8) | Sequential number, no gaps | 22 |
| Accounting date | DDMMYYYY | Date on which the inventory change occurred or became known | 23 |
| Items | Number (6) | Number of items | 24 |
| Element category | Character (1) | Category of qualifying nuclear material | 25 |
| Element weight | Number (24.3) | Element weight | 26 |
| Isotope | Character (1) | G for U-235, K for U-233, J for a mixture of U-235 and U-233 | 27 |
| Fissile weight | Number (24.3) | Weight of fissile isotope | 28 |
| Isotopic composition | Character (130) | U, Pu isotopic weight (only if agreed in particular safeguard provisions) | 29 |
| Obligation | Character (2) | Safeguards obligation | 30 |
| Previous category | Character (1) | Previous category of qualifying nuclear material (use for IC codes CB, CC and CE only) | 31 |
| Previous obligation | Character (2) | Previous obligation (use for IC codes BR, CR, PR and SR only) | 32 |
| Document | Character (70) | Operator-defined reference to supporting documents | 33 |
| Container ID | Character (20) | Operator-defined identifier for the container | 34 |
| Correction | Character (1) | D for deletions, A for additions forming part of a deletion/addition pair, L for late lines (stand-alone additions) | 35 |
| Previous report | Number (8) | Report number of line to be corrected | 36 |
| Previous line | Number (8) | Line number of line to be corrected | 37 |
| Comment | Character (256) | Operator comment | 38 |
| Burn-up | Number (6) | Burn-up in MW days/tonne (use for IC codes NL and NP in nuclear reactors only) | 39 |
| CRC | Number (20) | Hash code of line for quality control purposes | 40 |
| Previous CRC | Number (20) | Hash code of line to be corrected | 41 |
| Advance notification | Character (8) | F78,F79 Reference to advance notification sent to the ONR (use for IC codes ... RF, ... SN and SF only) | 42 |
| Campaign | Character (12) | Campaign identifier for qualifying nuclear facilities which carry out reprocessing | 43 |
| Reactor | Character (12) | Reactor code for reprocessing campaigns | 44 |
| Error path | Character (8) | Special code for evaluation purposes | 45 |
| Explanatory notes | |
| 1. | MBA: Code of the reporting material balance area. This code is notified to the qualifying nuclear facility concerned by the ONR. |
| 2. | REPORT TYPE: I for inventory change reports. |
| 3. | REPORT DATE: Date on which the report was completed. |
| 4. | REPORT NUMBER: Sequential number, no gaps. |
| 5. | LINE COUNT: Total number of lines reported. |
| 6. | START REPORT: Date of first day of reporting period. |
| 7. | END REPORT: Date of last day of reporting period. |
| 8. | REPORTING PERSON: Name of person responsible for the report. |
| 9. | TRANSACTION ID: Sequential number. This is used to identify all inventory change lines relating to the same physical transaction. |
| 10. | IC CODE: One of the following codes must be used: |
| Keyword | Code | Explanation | |
|---|---|---|---|
| Receipt | RD | Receipt of qualifying nuclear material from material balance area within the United Kingdom. | |
| Import | RF | Import of qualifying nuclear material. | |
| Receipt from non-safeguarded activity | RN | Receipt of qualifying nuclear material from a non-safeguarded activity. | |
| Shipment | SD | Transfer of qualifying nuclear material to a material balance area within the United Kingdom. | |
| Export | SF | Export of qualifying nuclear material. | |
| Shipment to non-safeguarded activity | SN | Transfer of qualifying nuclear material to a non-safeguarded activity. | |
| Transfer to conditioned waste | TC | Qualifying nuclear material contained in waste that is measured or estimated on the basis of measurements, and which has been conditioned in such a way (e.g. in glass, cement, concrete or bitumen) that it is not suitable for further nuclear use. The quantity of qualifying nuclear material involved is to be subtracted from the inventory of the material balance area. Separate records must be kept for this type of material. | |
| Discards to the environment | TE | Qualifying nuclear material contained in waste that is measured or estimated on the basis of measurements, and which has been irrevocably discarded to the environment as the result of a planned discharge. The quantity of qualifying nuclear material involved is to be subtracted from the inventory of the material balance area. | |
| Transfer to retained waste | TW | Qualifying nuclear material generated from processing or from an operational accident contained in waste that is measured or estimated on the basis of measurements, and which [F80is irrecoverable for the time being, but which is storedF80] . The quantity of qualifying nuclear material involved is to be subtracted from the inventory of the material balance area. Separate records must be kept for this type of material. | |
| Retransfer from conditioned waste | FC | Retransfer of conditioned waste to the inventory of the material balance area. This applies whenever conditioned waste undergoes processing. | |
| Retransfer from retained waste | FW | Retransfer of retained waste to the inventory of the material balance area. This applies whenever retained waste is retrieved from the specific location within the material balance area, either for any processing involving the separation of elements in the material balance area or for any shipment from the material balance area. | |
| Accidental loss | LA | Irretrievable and inadvertent loss of a quantity of qualifying nuclear material as the result of an operational accident. Use of this code requires a special report to be sent to the ONR. | |
| Accidental gain | GA | Qualifying nuclear material unexpectedly found, except when detected in the course of a physical inventory taking. Use of this code requires a special report to be sent to the ONR. | |
| Category change | CE | Accountancy transfer of a quantity of qualifying nuclear material from one category to another as a result of an enrichment process (only one line to be reported per category change). | |
| Category change | CB | Accountancy transfer of a quantity of qualifying nuclear material from one category to another as a result of a blending operation (only one line to be reported per category change). | |
| Category change | CC | Accountancy transfer of a quantity of qualifying nuclear material from one category to another for all types of category change not covered by codes CE and CB (only one line to be reported per category change). | |
| Rebatching | RB | Accountancy transfer of a quantity of qualifying nuclear material from one batch to another (only one line to be reported per rebatching). | |
| Change in particular obligation | BR | Accountancy transfer of a quantity of qualifying nuclear material from one particular safeguards obligation to another, to balance the total uranium stock following a blending operation (only one line to be reported per change of obligation). | |
| Change in particular obligation | PR | Accountancy transfer of a quantity of qualifying nuclear material from one particular safeguards obligation to another, used when qualifying nuclear material enters or leaves an accountancy pool (only one line to be reported per change of obligation). | |
| Change in particular obligation | SR | Accountancy transfer of a quantity of qualifying nuclear material from one particular safeguards obligation to another, following an obligation exchange or a substitution (only one line to be reported per change of obligation). | |
| Change in particular obligation | CR | Accountancy transfer of a quantity of qualifying nuclear material from one particular safeguards obligation to another, for all cases not covered by codes BR, PR or SR (only one line to be reported per change of obligation). | |
| Nuclear production | NP | Increase in the quantity of qualifying nuclear material due to nuclear transformation. | |
| Nuclear loss | NL | Decrease in the quantity of qualifying nuclear material due to nuclear transformation. | |
| Shipper/receiver difference | DI | Shipper/receiver difference. | |
| New measurement | NM | Quantity of qualifying nuclear material, in one particular batch, accounted for in the nuclear material balance area, being the difference between a newly measured quantity and the quantity formerly accounted for, and which is neither a shipper/receiver difference nor a correction. | |
| Balance adjustment | BJ | Quantity of qualifying nuclear material accounted for in the material balance area, being the difference between the result of a physical inventory taken by the [F81facilityF81] operator for his own purposes (without reporting a physical inventory listing to the ONR) and the book inventory established on the same date. | |
| Material unaccounted for | MF | Book adjustment for material unaccounted for. Must be equal to the difference between the ending physical inventory (PE) and the ending book inventory (BA) reported in the material balance report (Part 4). The original date must be that of the physical inventory taking, while the accounting date must be after the date of the physical inventory taking. | |
| Roundings | RA | Rounding adjustment to make the sum of the quantities reported in a given period coincide with the ending book inventory of the material balance area. | |
| Isotope adjustment | R5 | Adjustment to make the sum of the isotope quantities reported coincide with the ending book inventory for U-235 of the material balance area. | |
| Material production | MP | Quantity of qualifying nuclear material, obtained from substances originally not subject to safeguards, which has become subject to safeguards because its concentration now exceeds the minimum levels. | |
| Termination of use | TU | Quantity of qualifying nuclear material [F82in concentrations or chemical forms which make the qualifying nuclear material no longer usable for any nuclear activity relevant for safeguards, or which is considered as practically irrecoverable, andF82] which is: | |
| (i) incorporated in end products used for non-nuclear purposes; or | |||
| (ii) contained in waste in very low concentrations measured or estimated on the basis of measurements, even if these materials are not discarded to the environment. | |||
| The quantity of qualifying nuclear material involved is to be subtracted from the inventory of the material balance area. | |||
| Ending book inventory | BA | Book inventory at the end of a reporting period and at the PIT date, separate for each category of qualifying nuclear material and for each particular safeguard obligation. | |
| 11. | BATCH: | |||||||||||
| The batch designation may be chosen by the operator, but: | ||||||||||||
| (a) | in the case of the inventory change ‘Receipt (RD)’, the batch designation used by the shipper must be reported; | |||||||||||
| (b) | a batch designation must not be used again for another batch in the same material balance area. | |||||||||||
| 12. | KMP: | |||||||||||
| Key measurement point. The codes are notified to the qualifying nuclear facility concerned in the particular safeguard provisions or otherwise in writing. If no codes have been specified, ‘&’ should be used. | ||||||||||||
| 13. | MEASUREMENT: | |||||||||||
| The basis on which the quantity of qualifying nuclear material reported was established has to be indicated. One of the following codes must be used: | ||||||||||||
| Measured | Estimated | Explanation | ||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| M | E | In the reporting material balance area. | ||||||||||
| N | F | In another material balance area. | ||||||||||
| T | G | In the reporting material balance area when the weights have already been given in a previous inventory change report or physical inventory listing. | ||||||||||
| L | H | In another material balance area when the weights have already been given in a previous inventory change report or physical inventory listing for the present material balance area. | ||||||||||
| 14. | MATERIAL FORM: | |||||||||||
| The following codes must be used: | ||||||||||||
| Main type of material form | Subtype | Code | ||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Ores | OR | |||||||||||
| Concentrates | YC | |||||||||||
| Uranium hexafluoride (UF6) | U6 | |||||||||||
| Uranium tetrafluoride (UF4) | U4 | |||||||||||
| Uranium dioxide (UO2) | U2 | |||||||||||
| Uranium trioxide (UO3) | U3 | |||||||||||
| Uranium oxide (U3O8) | U8 | |||||||||||
| Thorium oxide (ThO2) | T2 | |||||||||||
| Solutions | Nitrate | LN | ||||||||||
| Fluoride | LF | |||||||||||
| Other | LO | |||||||||||
| Powder | Homogeneous | PH | ||||||||||
| Heterogeneous | PN | |||||||||||
| Ceramics | Pellets | CP | ||||||||||
| Spheres | CS | |||||||||||
| Other | CO | |||||||||||
| Metal | Pure | MP | ||||||||||
| Alloys | MA | |||||||||||
| Fuel | Rods, pins | ER | ||||||||||
| Plates | EP | |||||||||||
| Bundles | EB | |||||||||||
| Assemblies | EA | |||||||||||
| Other | EO | |||||||||||
| Main type of material form | Subtype | Code | ||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Sealed sources | QS | |||||||||||
| Small quantities/samples | SS | |||||||||||
| Scrap | Homogeneous | SH | ||||||||||
| Heterogeneous (clean-outs, clinkers, sludges, fines, other) | SN | |||||||||||
| Solid waste | Hulls | AH | ||||||||||
| Mixed (plastics, gloves, papers, etc.) | AM | |||||||||||
| Contaminated equipment | AC | |||||||||||
| Other | AO | |||||||||||
| Liquid waste | Low active | WL | ||||||||||
| Medium active | WM | |||||||||||
| High active | WH | |||||||||||
| Conditioned waste | Glass | NG | ||||||||||
| Bitumen | NB | |||||||||||
| Concrete | NC | |||||||||||
| Other | NO | |||||||||||
| 15. | MATERIAL CONTAINER: | |||||||||||
| The following codes must be used: | ||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Type of container | Code | |||||||||||
| Cylinder | C | |||||||||||
| Pack | P | |||||||||||
| Drum | D | |||||||||||
| Discrete fuel unit | S | |||||||||||
| Bird cage | B | |||||||||||
| Bottle | F | |||||||||||
| Tank or other container | T | |||||||||||
| Other | O | |||||||||||
| 16. | MATERIAL STATE | |||||||||||
| The following codes must be used: | ||||||||||||
| State | Code | |||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Fresh qualifying nuclear material | F | |||||||||||
| Irradiated qualifying nuclear material | I | |||||||||||
| Waste | W | |||||||||||
| Irrecoverable qualifying nuclear material | N | |||||||||||
| 17. | MBA FROM: Use only for inventory change codes RD and RF. For inventory change code RD, the code of the shipping material balance area is reported. If this code is unknown, the code ‘Q’ is reported and the shipper's full name and address must be entered in the comment field (40). For inventory change code RF, the country code of the exporting state, or the MBA code of the exporting installation if known, is reported, and the shipper's full name and address must be entered in the comment field (40). |
|||||||||||
| 18. | MBA TO: Use only for inventory change codes SD and SF. For inventory change code SD, the code of the receiving material balance area is reported. If this code is unknown, the code ‘Q’ is reported and the receiver's full name and address must be entered in the comment field (40). For inventory change code SF, the country code of the importing state or the MBA code of the importing installation if known, is reported, and the receiver's full name and address must be entered in the comment field (40). |
|||||||||||
| 19. | PREVIOUS BATCH: Batch designation before rebatching. The batch designation after the rebatching must be reported in field 11. |
|||||||||||
| 20. | ORIGINAL DATE: In the case of a correction, the day, month and year when the line to be corrected was originally entered must be reported. For correction chains, the original date is always the accounting date of the first line in the chain. For late lines (stand-alone additions), the original date is the date on which the inventory change occurred. |
|||||||||||
| 21. | PIT DATE Date of the physical inventory taking as reported in the material balance report on which the book adjustment for MUF (material unaccounted for) is based. Use only with inventory change code MF. |
|||||||||||
| 22. | LINE NUMBER: Sequential number starting with 1 in each report, no gaps. |
|||||||||||
| 23. | ACCOUNTING DATE: Day, month and year when the inventory change occurred or became known. |
|||||||||||
| 24. | ITEMS: The number of items making up the batch must be reported. If an inventory change consists of several lines, the sum of the number of items reported must equal the total number of items belonging to the same transaction ID. If the transaction involves more than one element the number of items should be declared in the line(s) for the element category of highest strategic value only (in descending order: P, H, L, N, D, T). |
|||||||||||
| 25. | ELEMENT CATEGORY: The following codes must be used: |
|||||||||||
| Category of qualifying nuclear material | Code | |||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Plutonium | P | |||||||||||
High enriched uranium (20% enrichment and above) | H | |||||||||||
Low enriched uranium (higher than natural but less than 20% enrichment) | L | |||||||||||
| Natural uranium | N | |||||||||||
| Depleted uranium | D | |||||||||||
| Thorium | T | |||||||||||
| 26. | ELEMENT WEIGHT: The weight of the element category referred to in field 25 must be reported. All weights must be reported in grams. The decimal digits appearing in the accounting lines can be reported up to a maximum of three decimal places. |
|||||||||||
| 27. | ISOTOPE: This code indicates the fissile isotopes involved and should be used when the weight of fissile isotopes is reported (28). Use the code G for U-235, K for U-233, and J for a mixture of U-235 and U-233. |
|||||||||||
| 28. | FISSILE WEIGHT: Unless otherwise stated in the particular safeguard provisions, the weight of fissile isotopes must only be reported for enriched uranium and category changes involving enriched uranium. All weights must be reported in grams. The decimal digits appearing in the accounting lines can be reported up to a maximum of three decimal places. |
|||||||||||
| 29. | ISOTOPIC COMPOSITION: If agreed in the particular safeguard provisions the isotopic composition of U and/or Pu must be reported in the format as a list of weights separated by semi-colons to denote the weight of U-233, U-234, U-235, U-236, U-238 or Pu-238, Pu-239, Pu-240, Pu-241, Pu-242. The decimal digits appearing in the accounting lines can be reported up to a maximum of three decimal places. |
|||||||||||
| 30. | OBLIGATION: Indication of any additional obligation assumed by the United Kingdom under a relevant international agreement, to which the qualifying nuclear material is subject (regulation 19). The ONR may communicate the appropriate codes to the qualifying nuclear facility. |
|||||||||||
| 31. | PREVIOUS CATEGORY: Code of the category of qualifying nuclear material before the category change. The corresponding code after the change must be reported in field 25. Use only with the inventory change codes CE, CB and CC. |
|||||||||||
| 32. | PREVIOUS OBLIGATION: Code of the particular safeguard obligation to which the qualifying nuclear material was subject before the change. The corresponding obligation code after the change must be reported in field 30. Use only with the inventory change codes BR, CR, PR and SR. |
|||||||||||
| 33. | DOCUMENT: Operator-defined reference to supporting document(s). |
|||||||||||
| 34. | CONTAINER ID: Operator-defined container number. Optional data element which can be used in those cases where the container number does not appear in the batch designation. |
|||||||||||
| 35. | CORRECTION: Corrections have to be made by deleting the wrong line(s) and adding the correct one(s), where appropriate. The following codes must be used: |
|||||||||||
| Code | Explanation | |||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| D | Deletion. The line to be deleted must be identified by indicating in field [F8336F83] the report number (4), in field [F8437F84] the line number (22) and in field [F8541F85] the CRC [F8640F86] which were declared for the original line. Other fields need not be reported. | |||||||||||
| A | Addition (forming part of a deletion/addition pair). The correct line must be reported with all data fields, including the ‘previous report’ [F87field (36), the ‘previous line’ field (37) and the ‘previous CRC’ field (41). The ‘previous CRC’ field (41)F87] must repeat the line number (22) of the line being replaced by the deletion/addition pair. | |||||||||||
| L | Late line (stand-alone addition). The late line to be added must be reported with all data fields, including the ‘previous report’ field [F88(36)F88] . The ‘previous report’ field [F88(36)F88] must contain the report number (4) of the report in which the late line should have been included. | |||||||||||
| 36. | PREVIOUS REPORT: Indicate the report number (4) of the line to be corrected. |
|||||||||||
| 37. | PREVIOUS LINE: For deletions, or additions forming part of a deletion/addition pair, indicate the line number (22) of the line to be corrected. |
|||||||||||
| 38. | COMMENT: Free-text comment field for short comments by operator. |
|||||||||||
| 39. | BURN-UP: For inventory changes of type NP or NL in nuclear reactors, burn-up in MW days/tonne. |
|||||||||||
| 40. | CRC: Hash code of line for quality control purposes. The ONR must inform the operator of the algorithm to be used. |
|||||||||||
| 41. | PREVIOUS CRC: Hash code of the line to be corrected. |
|||||||||||
| 42. | ADVANCE NOTIFICATION: Reference code for the advance notification (regulations 21 and 22). Use with inventory changes SF and RF. |
|||||||||||
| 43. | CAMPAIGN: Unique identifier for the reprocessing campaign. Use only for inventory changes in the process material balance area(s) of those qualifying nuclear facilities where spent fuel is reprocessed. |
|||||||||||
| 44. | REACTOR: Unique identifier for the reactor from which irradiated fuel is being stored or reprocessed. Use only for inventory changes in those qualifying nuclear facilities where spent fuel is stored or reprocessed. |
|||||||||||
| 45. | ERROR PATH: Special code describing measurement errors and their propagation, for material balance evaluation purposes. The codes are agreed between the qualifying nuclear facility and the ONR. |
|||||||||||
| GENERAL REMARKS CONCERNING THE COMPLETION OF THE REPORTS | ||||||||||||
| 1. | In the case of transfer of qualifying nuclear material, the shipper must provide the receiver with all the necessary information for the inventory change report. | |||||||||||
| 2. | If numerical data contain fractions of units, a point should precede the decimal digits. | |||||||||||
| 3. | The following 55 characters may be used: the 26 capital letters A to Z, figures 0 to 9 and the characters ‘plus’, ‘minus’, ‘slash’, ‘asterisk’, ‘space’, ‘equal’, ‘greater than’, ‘less than’, ‘point’, ‘comma’, ‘open bracket’, ‘close bracket’, ‘colon’, ‘dollar’, ‘percent’, ‘quotation mark’, ‘semi-colon’, ‘question mark’ and ‘ampersand’. | |||||||||||
| 5. | Reports must be prepared according to a world-wide accepted labelled reporting format, agreed between the ONR and operators. | |||||||||||
| 6. | The reports, duly completed and digitally signed, should be forwarded to the ONR in accordance with regulation 35. | |||||||||||
Regulation 15
PART 3 MATERIAL BALANCE REPORT (MBR) I51
| Label/tag | Content | Comments | # | ||||||
|---|---|---|---|---|---|---|---|---|---|
| MBA | Character (4) | MBA code of reporting MBA | 1 | ||||||
| Report type | Character (1) | M for Material Balance Report | 2 | ||||||
| Report date | DDMMYYYY | Date on which the report was completed | 3 | ||||||
| Start report | DDMMYYYY | Starting date of MBR (date of last PIT +1 day) | 4 | ||||||
| End report | DDMMYYYY | End date of MBR (date of current PIT) | 5 | ||||||
| Report number | Number (8) | Sequential number, no gaps | 6 | ||||||
| Element category | Character (1) | Category of qualifying nuclear material | 7 | ||||||
| Line count | Number (8) | Total number of lines reported | 8 | ||||||
| Reporting person | Character (30) | Name of person responsible for report | 9 | ||||||
| IC code | Character (2) | Type of inventory change | 10 | ||||||
| Line number | Number (8) | Sequential number, no gaps | 11 | ||||||
| Element weight | Number (24.3) | Element weight | 12 | ||||||
| Isotope | Character (1) | G for U-235, K for U-233, J for a mixture of U-235 and U-233 | 13 | ||||||
| Fissile weight | Number (24.3) | Weight of fissile isotope | 14 | ||||||
| Obligation | Character (2) | Safeguards obligation | 15 | ||||||
| Correction | Character (1) | D for deletions, A for additions forming part of a deletion/addition pair, L for late lines (stand-alone additions) | 16 | ||||||
| Previous report | Number (8) | Report number of line to be corrected | 17 | ||||||
| Previous line | Number (8) | Line number of line to be corrected | 18 | ||||||
| Comment | Character (256) | Operator comment | 19 | ||||||
| CRC | Number (20) | Hash code of line for quality control purposes | 20 | ||||||
| Previous CRC | Number (20) | Hash code of line to be corrected | 21 | ||||||
| Explanatory notes | |||||||||
| 1. | MBA: Code of the reporting material balance area. This code is notified to the qualifying nuclear facility concerned by the ONR. |
||||||||
| 2. | REPORT TYPE: M for material balance reports. |
||||||||
| 3. | REPORT DATE: Date on which the report was completed. |
||||||||
| 4. | START REPORT: Start date of MBR, date of the day immediately following the day of the previous physical inventory taking. |
||||||||
| 5. | END REPORT: End date of MBR, date of current physical inventory taking. |
||||||||
| 6. | REPORT NUMBER: Sequential number, no gaps. |
||||||||
| 7. | ELEMENT CATEGORY: The following code for categories of qualifying nuclear material must be used: |
||||||||
| Category of qualifying nuclear material | Code | ||||||||
|---|---|---|---|---|---|---|---|---|---|
| Plutonium | P | ||||||||
High enriched uranium (20% enrichment and above) | H | ||||||||
Low enriched uranium (higher than natural but less than 20% enrichment) | L | ||||||||
| Natural uranium | N | ||||||||
| Depleted uranium | D | ||||||||
| Thorium | T | ||||||||
| 8. | LINE COUNT: Total number of lines reported. |
||||||||
| 9. | REPORTING PERSON: Name of person responsible for report. |
||||||||
| 10. | IC CODE: The different types of inventory information and of inventory change should be entered in the sequence indicated below. The following codes must be used: |
||||||||
| Keyword | Code | Examination | |||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Beginning physical inventory | PB | Physical inventory at the beginning of the reporting period (must be equal to the physical inventory at the end of the previous reporting period). | |||||||||||||
Inventory changes (only codes in the list below) | For each type of inventory change, one consolidated line has to be entered for the entire reporting period (first increases, then decreases). | ||||||||||||||
| Ending book inventory | BA | Book inventory at the end of the reporting period. It must be equal to the arithmetic sum of the MBR entries above. | |||||||||||||
| Ending physical inventory | PE | Physical inventory at the end of the reporting period. | |||||||||||||
| Material unaccounted for | MF | Material unaccounted for. Must be calculated as ‘ending physical inventory (PE)’ minus ‘ending book inventory (BA)’. |
|||||||||||||
| For inventory changes, one of the following codes must be used: | |||||||||||||||
| Keyword | Code | Explanation | |||||||||||||
| Receipt | RD | Receipt of nuclear material from a material balance area within the United Kingdom. | |||||||||||||
| Import | RF | Import of qualifying nuclear material. | |||||||||||||
| Receipt from non-safeguarded activity | RN | Receipt of qualifying nuclear material from a non-safeguarded activity. | |||||||||||||
| Shipment | SD | Transfer of nuclear material to a material balance area within the United Kingdom. | |||||||||||||
| Export | SF | Export of qualifying nuclear material. | |||||||||||||
| Shipment to non-safeguarded activity | SN | Transfer of qualifying nuclear material to a non-safeguarded activity. | |||||||||||||
| Transfer to conditioned waste | TC | Qualifying nuclear material contained in waste that is measured or estimated on the basis of measurements, and which has been conditioned in such a way (e.g. in glass, cement, concrete or bitumen) that it is not suitable for further nuclear use. The quantity of qualifying nuclear material involved is to be subtracted from the inventory of the material balance area. Separate records must be kept for this type of material. | |||||||||||||
| Discards to the environment | TE | Qualifying nuclear material contained in waste that is measured or estimated on the basis of measurements, and which has been irrevocably discarded to the environment as the result of a planned discharge. The quantity of qualifying nuclear material involved is to be subtracted from the inventory of the material balance area. | |||||||||||||
| Transfer to retained waste | TW | Qualifying nuclear material generated from processing or from an operational accident contained in waste that is measured or estimated on the basis of measurements and which [F89is irrecoverable for the time being, but which is storedF89] . The quantity of qualifying nuclear material involved is to be subtracted from the inventory of the material balance area. Separate records must be kept for this type of material. | |||||||||||||
| Retransfer from conditioned waste | FC | Retransfer of conditioned waste to the inventory of the material balance area. This applies whenever conditioned waste undergoes processing. | |||||||||||||
| Retransfer from retained waste | FW | Retransfer of retained waste to the inventory of the material balance area. This applies whenever retained waste is retrieved from the specific location within the material balance area, either for any processing involving the separation of elements in the material balance area or for any shipment from the material balance area. | |||||||||||||
Accidental loss | LA | Irretrievable and inadvertent loss of a quantity of qualifying nuclear material as the result of an operational accident. Use of this code in the MBR is only allowed if a special report was sent to the ONR when the inventory change occurred or became known. | |||||||||||||
Accidental gain | GA | Qualifying nuclear material unexpectedly found, except when detected in the course of a physical inventory taking. Use of this code in the MBR is only allowed if a special report was sent to the ONR when the inventory change occurred or became known. | |||||||||||||
| Category change | CE | Accountancy transfer of a quantity of qualifying nuclear material from one category to another as a result of an enrichment process. | |||||||||||||
| Category change | CB | Accountancy transfer of a quantity of qualifying nuclear material from one category to another as a result of a blending operation. | |||||||||||||
| Category change | CC | Accountancy transfer of a quantity of qualifying nuclear material from one category to another for all types of category change not covered by codes CE and CB. | |||||||||||||
| Change in particular obligation | BR | Accountancy transfer of a quantity of qualifying nuclear material from one particular safeguard obligation to another, to balance the total uranium stock following a blending operation. | |||||||||||||
| Change in particular obligation | PR | Accountancy transfer of a quantity of qualifying nuclear material from one particular safeguard obligation to another, used when qualifying nuclear material enters or leaves an accountancy pool. | |||||||||||||
| Change in particular obligation | SR | Accountancy transfer of a quantity of qualifying nuclear material from one particular safeguard obligation to another, following an obligation exchange or a substitution. | |||||||||||||
| Change in particular obligation | CR | Accountancy transfer of a quantity of qualifying nuclear material from one particular safeguard obligation to another, for all cases not covered by codes BR, PR or SR. | |||||||||||||
| Nuclear production | NP | Increase in the quantity of qualifying nuclear material due to nuclear transformation. | |||||||||||||
| Nuclear loss | NL | Decrease in the quantity of qualifying nuclear material due to nuclear transformation. | |||||||||||||
Shipper/ receiver difference | DI | Shipper/receiver difference. | |||||||||||||
| New measurement | NM | Quantity of qualifying nuclear material, in one particular batch, accounted for in the qualifying nuclear material balance area, being the difference between a newly measured quantity and the quantity formerly accounted for, and which is neither a shipper/receiver difference nor a correction. | |||||||||||||
| Balance adjustment | BJ | Quantity of qualifying nuclear material accounted for in the material balance area, being the difference between the result of a physical inventory taken by the [F90facilityF90] operator for his own purposes (without reporting a physical inventory listing to the ONR) and the book inventory established on the same date. | |||||||||||||
| Roundings | RA | Rounding adjustment to make the sum of the quantities reported in a given period coincide with the ending book inventory of the material balance area. | |||||||||||||
| Isotope adjustment | R5 | Adjustment to make the sum of the isotope quantities reported coincide with the ending book inventory for U-235 of the material balance area. | |||||||||||||
| Material production | MP | Quantity of qualifying nuclear material, obtained from substances originally not subject to safeguards, which has become subject to safeguards because its concentration now exceeds the minimum levels. | |||||||||||||
| Termination of use | TU | Quantity of qualifying nuclear material [F91in concentrations or chemical forms which make the qualifying nuclear material no longer usable for any nuclear activity relevant for safeguards, or which is considered as practically irrecoverable, andF91] which is:
The quantity of qualifying nuclear material involved is to be subtracted from the inventory of the material balance area. |
|||||||||||||
| 11. | LINE NUMBER: Sequential number starting with 1, no gaps. |
||||||||
| 12. | ELEMENT WEIGHT: The weight of the element category referred to in field 7 must be reported. All weights must be reported in grams. The decimal digits appearing in the accounting lines can be reported up to a maximum of three decimal places. |
||||||||
| 13. | ISOTOPE: This code indicates the kind of fissile isotopes involved and should be used when the weight of fissile isotopes is reported. Use the code G for U-235, K for U-233, and J for a mixture of U-235 and U-233. |
||||||||
| 14. | FISSILE WEIGHT: Unless otherwise stated in the particular safeguard provisions, the weight of fissile isotopes must only be reported for enriched uranium and category changes involving enriched uranium. All weights must be reported in grams. The decimal digits appearing in the accounting lines can be reported up to a maximum of three decimal places. |
||||||||
| 15. | OBLIGATION: Indication of any additional obligation assumed by the United Kingdom under a relevant international agreement, to which the qualifying nuclear material is subject (regulation 19). The ONR may communicate the appropriate codes to the qualifying nuclear facility. |
||||||||
| 16. | CORRECTION: Corrections have to be made by deleting the wrong line(s) and adding the correct one(s), where appropriate. The following codes must be used: |
||||||||
| Code | Explanation | ||||||||
|---|---|---|---|---|---|---|---|---|---|
| D | Deletion. The line to be deleted must be identified by indicating in field 17 the report number (6), in field 18 the line number (11) and in field 21 the CRC (20) which were declared for the original line. Other fields need not be reported. | ||||||||
| A | Addition (forming part of a deletion/addition pair). The correct line must be reported with all data fields, including the ‘previous report’ field (17) and the ‘previous line’ field (18). The ‘previous line’ field (18) must repeat the line number (11) of the line being replaced by the deletion/addition pair. | ||||||||
| L | Late line (stand-alone addition). The late line to be added must be reported with all data fields, including the ‘previous report’ field (17). The ‘previous report’ field (17) must contain the report number (6) of the report in which the late line should have been included. | ||||||||
| 17. | PREVIOUS REPORT: Indicate the report number (6) of the line to be corrected. |
||||||||
| 18. | PREVIOUS LINE: For deletions, or additions forming part of a deletion/addition pair, indicate the line number (11) of the line to be corrected. |
||||||||
| 19. | COMMENT: Free-text comment field for short comments by operator. |
||||||||
| 20. | CRC: Hash code of line for quality control purposes. The ONR must inform the operator of the algorithm to be used. |
||||||||
| 21. | PREVIOUS CRC: Hash code of the line to be corrected. |
||||||||
GENERAL REMARKS CONCERNING THE COMPLETION OF THE REPORTS General remarks 2, 3, 4, 5 and 6 at the end of Part 2 apply to this Part as appropriate. |
|||||||||
| This form, duly completed and signed, must be sent to the ONR in accordance with regulation 35. | |||||||||
Regulations 13 and 15
PART 4 PHYSICAL INVENTORY LISTING (PIL) I52
| Label/Tag | Content | Comments | # |
|---|---|---|---|
| MBA | Character (4) | MBA code of reporting MBA | 1 |
| Report type | Character (1) | P for physical inventory listings | 2 |
| Report date | DDMMYYYY | Date on which the report was completed | 3 |
| Report number | Number (8) | Sequential number, no gaps | 4 |
| PIT date | DDMMYYYY | Date on which the physical inventory was taken | 5 |
| Line count | Number (8) | Total number of lines reported | 6 |
| Reporting person | Character (30) | Name of person responsible for report | 7 |
| PIL_ITEM_ID | Number (8) | Sequential number | 8 |
| Batch | Character (20) | Unique identifier for a batch of qualifying nuclear material | 9 |
| KMP | Character (1) | Key measurement point | 10 |
| Measurement | Character (1) | Measurement code | 11 |
| Element category | Character (1) | Category of qualifying nuclear material | 12 |
| Material form | Character (2) | Material form code | 13 |
| Material container | Character (1) | Material container code | 14 |
| Material state | Character (1) | Material state code | 15 |
| Line number | Number (8) | Sequential number, no gaps | 16 |
| Items | Number (6) | Number of items | 17 |
| Element weight | Number (24.3) | Element weight | 18 |
| Isotope | Character (1) | G for U-235, K for U-233, J for a mixture of U-235 and U-233 | 19 |
| Fissile weight | Number (24.3) | Weight of fissile isotope | 20 |
| Obligation | Character (2) | Safeguards obligation | 21 |
| Document | Character (70) | Operator-defined reference to supporting documents | 22 |
| Container ID | Character (20) | Operator-defined identifier for the container | 23 |
| Correction | Character (1) | D for deletions, A for additions forming part of a deletion/addition pair, L for late lines (stand-alone additions) | 24 |
| Previous report | Number (8) | Report number of line to be corrected | 25 |
| Previous line | Number (8) | Line number of line to be corrected | 26 |
| Comment | Character (256) | Operator comment | 27 |
| CRC | Number (20) | Hash code of line for quality control purposes | 28 |
| Previous CRC | Number (20) | Hash code of line to be corrected | 29 |
| Explanatory notes | ||||||||
|---|---|---|---|---|---|---|---|---|
| 1. | MBA: Code of the reporting material balance area. This code is notified to the qualifying nuclear facility concerned by the ONR. |
|||||||
| 2. | REPORT TYPE: P for physical inventory listings. |
|||||||
| 3. | REPORT DATE: Date on which the report was completed. |
|||||||
| 4. | REPORT NUMBER: Sequential number, no gaps. |
|||||||
| 5. | PIT DATE: Day, month and year when the physical inventory was taken, reflecting the situation at 24.00. |
|||||||
| 6. | LINE COUNT: Total number of lines reported. |
|||||||
| 7. | REPORTING PERSON: Name of person responsible for report. |
|||||||
| 8. | PIL_ITEM_ID: Sequential number, common to all PIL lines related to the same physical object. |
|||||||
| 9. | BATCH: If batch follow-up is required in the particular safeguard provisions, the batch designation previously used for the batch in an inventory change report or in a previous physical inventory listing must be used. |
|||||||
| 10. | KMP: Key measurement point. The codes are notified to the qualifying nuclear facility concerned in the particular safeguard provisions or otherwise in writing. If no code has been specified, ‘&’ should be used. |
|||||||
| 11. | MEASUREMENT: The basis on which the quantity of qualifying nuclear material reported was established has to be indicated. One of the following codes must be used: |
|||||||
| Measured | Estimated | Explanation | ||||||
|---|---|---|---|---|---|---|---|---|
| M | E | In the reporting material balance area. | ||||||
| N | F | In another material balance area. | ||||||
| T | G | In the reporting material balance area when the weights have already been given in a previous inventory change report or physical inventory listing. | ||||||
| L | H | In another material balance area when the weights have already been given in a previous inventory change report or physical inventory listing for the present material balance area. | ||||||
| 12. | ELEMENT CATEGORY: The following codes must be used: |
|||||||
| Category of qualifying nuclear material | Code | |||||||
|---|---|---|---|---|---|---|---|---|
| Plutonium | P | |||||||
High enriched uranium (20% enrichment and above) | H | |||||||
Low enriched uranium (higher than natural and less than 20% enrichment) | L | |||||||
| Natural uranium | N | |||||||
| Depleted uranium | D | |||||||
| Thorium | T | |||||||
| 13. | MATERIAL FORM: The following codes must be used: |
|||||||
| Main type of material form | Subtype | Code | ||||||
|---|---|---|---|---|---|---|---|---|
| Ores | OR | |||||||
| Concentrates | YC | |||||||
| Uranium hexafluoride (UF6) | U6 | |||||||
| Uranium tetrafluoride (UF4) | U4 | |||||||
| Uranium dioxide (UO2) | U2 | |||||||
| Uranium trioxide (UO3) | U3 | |||||||
| Uranium oxide (U3O8) | U8 | |||||||
| Thorium oxide (ThO2) | T2 | |||||||
| Solutions | Nitrate | LN | ||||||
| Fluoride | LF | |||||||
| Other | LO | |||||||
| Powder | Homogeneous | PH | ||||||
| Heterogeneous | PN | |||||||
| Ceramics | Pellets | CP | ||||||
| Spheres | CS | |||||||
| Other | CO | |||||||
| Metal | Pure | MP | ||||||
| Alloys | MA | |||||||
| Fuel | Rods, pins | ER | ||||||
| Plates | EP | |||||||
| Bundles | EB | |||||||
| Assemblies | EA | |||||||
| Other | EO | |||||||
| Sealed sources | QS | |||||||
| Small quantities/samples | SS | |||||||
| Scrap | Homogeneous | SH | ||||||
| Heterogeneous (clean-outs, clinkers, sludges, fines, other) | SN | |||||||
| Solid waste | Hulls | AH | ||||||
| Mixed (plastics, gloves, papers, etc.) | AM | |||||||
| Contaminated equipment | AC | |||||||
| Other | AO | |||||||
| Liquid waste | Low active | WL | ||||||
| Medium active | WM | |||||||
| High active | WH | |||||||
| Conditioned waste | Glass | NG | ||||||
| Bitumen | NB | |||||||
| Concrete | NC | |||||||
| Other | NO | |||||||
| 14. | MATERIAL CONTAINER: The following codes must be used: |
|||||||
| Type of container | Code | |||||||
|---|---|---|---|---|---|---|---|---|
| Cylinder | C | |||||||
| Pack | P | |||||||
| Drum | D | |||||||
| Discrete fuel unit | S | |||||||
| Bird cage | B | |||||||
| Bottle | F | |||||||
| Tank or other container | T | |||||||
| Other | O | |||||||
| 15. | MATERIAL STATE: The following codes must be used: |
|||||||
| State | Code | |||||||
| Fresh qualifying nuclear material | F | |||||||
| Irradiated qualifying nuclear material | I | |||||||
| Waste | W | |||||||
| Irrecoverable qualifying nuclear material | N | |||||||
| 16. | LINE NUMBER: Sequential number starting with 1 in each report, no gaps. |
|||||||
| 17. | ITEMS: Each physical inventory line must indicate the number of items involved. If a group of items belonging to the same batch are reported as several lines, the sum of the number of items reported must equal the total number of items in the group. If the lines involve more than one element category, the number of items should be declared in the line(s) for the element category of highest strategic value only (in descending order: P, H, L, N, D, T). |
|||||||
| 18. | ELEMENT WEIGHT: The weight of the element category referred to in field 12 must be reported. All weights must be reported in grams. The decimal digits appearing in the accounting lines can be reported up to a maximum of three decimal places. |
|||||||
| 19. | ISOTOPE: This code indicates the fissile isotopes involved and should be used when the weight of fissile isotopes is reported. Use the code G for U-235, K for U-233, and J for a mixture of U-235 and U-233. |
|||||||
| 20. | FISSILE WEIGHT: Unless otherwise stated in the particular safeguard provisions, the weight of fissile isotopes must only be reported for enriched uranium and category changes involving enriched uranium. All weights must be reported in grams. The decimal digits appearing in the accounting lines can be reported up to a maximum of three decimal places. |
|||||||
| 21. | OBLIGATION: Indication of any additional obligation assumed by the United Kingdom under a relevant international agreement, to which the qualifying nuclear material is subject (regulation 19). Regulation 19(4) governs the making available of appropriate codes by the ONR. |
|||||||
| 22. | DOCUMENT: Operator-defined reference to supporting document(s). |
|||||||
| 23. | CONTAINER ID: Operator-defined container number. Optional data element which can be used in those cases where the container number does not appear in the batch designation. |
|||||||
| 24. | CORRECTION: Corrections have to be made by deleting the wrong line(s) and adding the correct one(s), where appropriate. The following codes must be used: |
|||||||
| Code | Explanation | |||||||
|---|---|---|---|---|---|---|---|---|
| D | Deletion. The line to be deleted must be identified by indicating in field 25 the report number (4), in field 26 the line number (16) and in field 29 the CRC (28) which were declared for the original line. Other fields need not be reported. | |||||||
| A | Addition (forming part of a deletion/addition pair). The correct line must be reported with all data fields including the ‘previous report’ field (25) and the ‘previous line’ field (26). The ‘previous line’ field (26) must contain the line number (16) of the line being replaced by the deletion/addition pair. | |||||||
| L | Late line (stand-alone addition). The late line to be added must be reported with all data fields, including the ‘previous report’ field (25). The ‘previous report’ field (25) must contain the report number (4) of the report in which the late line should have been included. | |||||||
| 25. | PREVIOUS REPORT: Indicate the report number (4) of the line to be corrected. |
|||||||
| 26. | PREVIOUS LINE: For deletions, or additions forming part of a deletion/addition pair, indicate the line number (16) of the line to be corrected. |
|||||||
| 27. | COMMENT: Free-text comment field for short comments by operator. |
|||||||
| 28. | CRC: Hash code of line for quality control purposes. The ONR must inform the operator of the algorithm to be used. |
|||||||
| 29. | PREVIOUS CRC: Hash code of the line to be corrected. |
|||||||
GENERAL REMARKS CONCERNING THE COMPLETION OF THE REPORTS If, on the date the physical inventory was taken, there was no qualifying nuclear material in the material balance area, only labels from 1 to 7, 16, 17 and 28 above should be completed on the report. |
||||||||
| General remarks 2, 3, 4, 5 and 6 at the end of Part 2 apply to this Part as appropriate. | ||||||||
| This form, duly completed and signed, must be sent to the ONR in accordance with regulation 35. | ||||||||
Regulation 21
PART 5 ADVANCE NOTIFICATION OF EXPORTS/SHIPMENTS OF QUALIFYING NUCLEAR MATERIAL I53
| 1. | Reference code: | ||
| 2. | Material balance area code: | ||
| 3. | Qualifying nuclear facility (shipper): … | Facility or location outside facility (receiver): | |
| 4. | Quantities split up by category of qualifying nuclear material and any obligation arising from a relevant international agreement: | ||
| 5. | Chemical composition: | ||
| 6. | Enrichment or isotopic composition: | ||
| 7. | Physical form: | ||
| 8. | Number of items: | ||
| 9. | Description of containers and seals: | ||
| 10 | Shipment identification data: | ||
| 11. | Means of transport: | ||
| 12. | Location where qualifying nuclear material will be stored or prepared: | ||
| 13. | Last date when qualifying nuclear material can be identified: | ||
| 14. | Approximate dates of dispatch: Expected dates of arrival: |
||
| 15. | Use: | ||
| Explanatory notes | |||
| 1. | Reference code for advance notifications to be used in the inventory change report (use up to eight characters). | ||
| 2. | Code of the reporting material balance area as notified by the ONR to the qualifying nuclear facility concerned. | ||
| 3. | Name, address and country of the qualifying nuclear facility shipping and of the facility or location outside a facility receiving, the qualifying nuclear material. The receiver at the ultimate destination should also be indicated where applicable. | ||
| 4. | The total weight of the elements should be given in grams. The weight of fissile isotopes should be indicated, if applicable. The weights must be split up by category of qualifying nuclear material and particular safeguards obligation. | ||
| 5. | Chemical composition should be indicated. | ||
| 6. | If applicable, the degree of enrichment or the isotopic composition should be indicated. | ||
| 7. | Use the description of materials as laid out in explanatory note 14 in Part 2 of this Schedule. | ||
| 8. | The number of items included in the shipment should be indicated. | ||
| 9. | Description (type) of containers, including features that would permit sealing. | ||
| 10. | Shipment identification data (e.g. container markings or numbers). | ||
| 11. | Indicate, where appropriate, the means of transport. | ||
| 12. | Indicate the location within the material balance area where the qualifying nuclear material is prepared for shipping and can be identified, and where its quantity and composition can if possible be verified. | ||
| 13. | Last date when qualifying nuclear material can be identified and when its quantity and composition can if possible be verified. | ||
| 14 | Approximate dates of dispatch and of expected arrival at destination. | ||
| 15. | Indicate the use to which the qualifying nuclear material has been assigned. | ||
| This form, duly completed and signed, must be forwarded to the ONR in accordance with regulation 35. | |||
Regulation 22
PART 6 ADVANCE NOTIFICATION OF IMPORTS/RECEIPTS OF QUALIFYING NUCLEAR MATERIAL I54
| 1. | Reference code: | ||
| 2. | Material balance area code: | ||
| 3. | Qualifying nuclear facility (receiver):… | Facility or location outside facility (shipper): | |
| 3. | Quantities split up by category of qualifying nuclear material and any obligation arising from a relevant international agreement: | ||
| 4. | Chemical composition: | ||
| 5. | Enrichment or isotopic composition: | ||
| 6. | Physical form: | ||
| 7. | Number of items: | ||
| 8. | Description of containers and seals: | ||
| 9. | Means of transport: | ||
| 10. | Date of arrival: | ||
| 11. | Location where qualifying nuclear material will be unpacked: | ||
| 12. | Date(s) when qualifying nuclear material can be unpacked: | ||
| Explanatory notes | |||
| 1. | Reference code for advance notifications to be used in the inventory change report (use up to eight characters). | ||
| 2. | Code of the reporting material balance area as notified by the ONR to the qualifying nuclear facility concerned. | ||
| 3. | Name, address and country of the qualifying nuclear facility receiving, and of the installation shipping, the qualifying nuclear material. | ||
| 4. | The total weight of the elements must be given in grams. The weight of fissile isotopes shall be indicated if applicable. The weights must be split up by category of nuclear material and particular safeguards obligation. | ||
| 5. | Chemical composition must be indicated. | ||
| 6. | If applicable, the degree of enrichment or the isotopic composition must be indicated. | ||
| 7. | Use the description of qualifying nuclear materials as laid out in explanatory note 14 in Part 2 of this Schedule. | ||
| 8. | The number of items included in the shipment must be indicated. | ||
| 9. | Description (type) of containers and, if possible, of the seals affixed. | ||
| 10. | Indicate, where appropriate, the means of transport. | ||
| 11. | Expected or actual date of arrival in the reporting material balance area. | ||
| 12. | Indicate the location within the material balance area where the qualifying nuclear material will be unpacked and can be identified, and where its quantity and composition can be verified. | ||
| 13. | Date(s) when qualifying nuclear material will be unpacked. | ||
| This form, duly completed and signed, must be forwarded to the ONR in accordance with regulation 35. | |||
Regulation 28
F92PART 7 REPORT OF ORE EXPORTS/SHIPMENTS
Regulation 4
PART 8 OUTLINE PROGRAMME OF ACTIVITIES I55
| Communications should cover the next calendar year. | ||||
| In particular, communications should include the following information: | ||||
| 1. | types of operations, e.g. anticipated throughput of proposed campaigns with indication of type and quantity of fuel elements to be fabricated or reprocessed, enrichment programmes, reactor operating programmes, with planned shutdowns; | |||
| 2. | expected schedule of arrival of qualifying nuclear materials, stating the amount of material per batch, the form (UF6, UO2, fresh or irradiated fuels, etc.), anticipated type of container or packaging; | |||
| 3. | anticipated schedule of waste processing campaigns (other than repackaging, or further conditioning without separation of elements), stating the amount of material per batch, the form (glass, high active liquid, etc.), anticipated duration and location; | |||
| 4. | dates by which the quantity of qualifying nuclear material in products is expected to be determined, and dates of dispatch; | |||
| 5. | dates and duration of physical inventory taking. | |||
| This communication, duly completed and signed, must be sent to the ONR in accordance with regulation 35. | ||||
Regulation 30(1)(a)
PART 9 ANNUAL REPORT ON EXPORTS/SHIPMENTS OF CONDITIONED WASTE (Note. 1) I56
| Name of the qualifying nuclear facility which is shipping: | ||||||||
| MBA code of the qualifying nuclear facility which is shipping: | Reporting period from | to | ||||||
| Date | MBA code of the receiving qualifying nuclear facility or name and address of the receiving facility outside the United Kingdom 2. | Conditioned form 3. | Quantity 4. | Remarks | ||||
|---|---|---|---|---|---|---|---|---|
g of P g of U-235 g of U g of T | ||||||||
g of P g of U-235 g of U g of T | ||||||||
g of P g of U-235 g of U g of T | ||||||||
g of P g of U-235 g of U g of T | ||||||||
Date and place of dispatch of report: Name and position of signatory: Signature: |
| Explanatory notes | ||||||||
| 1. | This report must include all the shipments or exports of conditioned waste to facilities or qualifying nuclear facilities outside the United Kingdom that have occurred during the reporting period. | |||||||
| 2. | Full name and address to be filled in for exports. | |||||||
| 3. | The ‘Conditioned form’ column must show the conditioned form of the waste, e.g. glass, ceramic, cement or bitumen. | |||||||
| 4. | The quantity column may be based on the quantity data recorded at the qualifying nuclear facility and does not require measurements of the items exported/shipped. | |||||||
| This form, duly completed and signed, must be sent to the ONR in accordance with regulation 35. | ||||||||
Regulation 30(1)(b)
PART 10 ANNUAL REPORT ON IMPORTS/RECEIPTS OF CONDITIONED WASTE I57
(Note 1)
| Name of the receiving qualifying nuclear facility: | ||||||||
| MBA code of the receiving qualifying nuclear facility: | Reporting period from | to | ||||||
| Date | Name, address and, if known, MBA code of the qualifying nuclear facility which is shipping the waste | Conditioned form 2. | Quantity 3. | Remarks | ||||
|---|---|---|---|---|---|---|---|---|
g of P g of U-235 g of U g of T | ||||||||
g of P g of U-235 g of U g of T | ||||||||
g of P g of U-235 g of U g of T | ||||||||
g of P g of U-235 g of U g of T | ||||||||
Date and place of dispatch of report: Name and position of signatory: Signature: |
| Explanatory notes | ||||||||
| 1. | This report is required for conditioned waste which has been received from installations/ qualifying nuclear facilities or from installations outside the United Kingdom. | |||||||
| 2. | The ‘Conditioned form’ column must show the conditioned form of the waste, e.g. glass, ceramic, cement or bitumen. | |||||||
| 3. | The quantity column may be based on the quantity data recorded at the qualifying nuclear facility and does not require measurements of the items imported/received. | |||||||
| This form, duly completed and signed, must be sent to the ONR in accordance with regulation 35. | ||||||||
Regulation 31(2)(a)
PART 11 REQUEST FOR A QUALIFYING NUCLEAR FACILITY WITH LIMITED OPERATION I58
| 1. | Date: | |||
| 2. | Qualifying nuclear facility: | |||
| 3. | Material balance area code: | |||
| 4. | Category of qualifying nuclear material: | |||
| 5. | Enrichment or isotopic composition: | |||
| 6. | Quantities: | |||
| 7. | Chemical composition: | |||
| 8. | Physical form: | |||
| 9. | Number of items: | |||
| 10. | Intended use: | |||
| 11. | Particular safeguards obligation: | |||
Request granted as above… Name and position of signatory granting the request: Signature:… (for the ONR) | Date: | |||
| Explanatory Note | ||||
| This form should be used when a request for the application of regulation 31 is made. | ||||
| This form, duly completed and signed, must be sent to the ONR in accordance with regulation 35. | ||||
Regulation 33(2)
PART 12 ADVANCE NOTIFICATION OF INTENDED WITHDRAWAL OF QUALIFYING NUCLEAR MATERIAL FROM CIVIL ACTIVITIES I59
| Date _________________ |
| This is to notify the ONR that a withdrawal of qualifying nuclear material from civil activities is intended to be made as follows: | ||
| (a) | Material Balance Area code: _____________________________ | |
| (b) | Facility code: ___________________________________________ | |
| (c) | Quantity: _______ g/kg total weight of element _____________ | |
| ___________ g/kg fissile isotope(s), if applicable | ||
| (d) | Chemical composition: ____________________________________ | |
| (e) | Enrichment or isotopic composition (if appropriate): ______________ | |
| (f) | Physical form: ____________________________________________ | |
| (g) | Number of items: _________________________________________ | |
| (h) | Description of containers and seals: ____________________________ | |
| (i) | Shipment identification data: _________________________________ | |
| (j) | Name of the operator: _______________________________________ | |
| (k) | Proposed date of withdrawal: | |
| ______________________ | ||
| (Signature) | ||
| For the operator | ||
| This form, duly completed and signed, must be sent to the ONR in accordance with regulation 35. |
Regulation 6(3)
SCHEDULE 2 The Components of an Accountancy and Control System I60
The components of an accountancy and control system, referred to in regulation 6(3), are set out below:
(1)a structure of material balance areas in which the physical inventory of qualifying nuclear material in each area and the transfers of qualifying nuclear material into and out of each area can be determined. This structure should be designed to maximise the control of qualifying nuclear material flows and physical inventories;
[F93 (2) an adequate number of suitably qualified staff, with clearly defined roles and responsibilities, to meet the obligations contained in these Regulations;F93]
(3)quality assurance and quality control measures that detect, describe, address, and reduce sources of errors in and poor performance of the system;
(4)a programme of measurements that provides accurate, suitably precise, and representative information that quantifies and characterises qualifying nuclear material;
(5)a measurement control programme that validates and provides traceability for measurement results and their uncertainties and ensures that measurements comply with the relevant international standards or are equivalent in quality to those standards, for example by assessing, approving, recording, and calibrating measurement procedures;
(6)the ability to track and document the movement of qualifying nuclear material through receipts, packaging, re-packaging, processing, storage, and shipment in a timely manner. The system should show the location, characteristics, and containment of all qualifying nuclear material;
(7)the ability to unambiguously identify batches of qualifying nuclear material in whatever containers, process vessels, or equipment they may be located in. The locations in which qualifying nuclear material can be held, as well as positions within these areas, should also be identifiable;
(8)an inventory control system to regularly check the agreement between records of qualifying nuclear material, and between those records and the physical reality, and take appropriate action to manage discrepancies as they arise by investigating, documenting, reporting, and resolving such discrepancies;
(9)the ability to manage anomalies consistent with the loss or gain of a significant amount of qualifying nuclear material, or any other situation corresponding with regulation 17 (unusual occurrences), in a timely manner by, for example, recognising, investigating, and documenting such anomalies. The system should define personnel responsibilities and authorities to carry out the actions required by regulation 16 (special reports);
(10)data processing procedures that store, trace, identify, and produce the information required by these Regulations, and that are required to facilitate the checking of data against the physical reality;
(11)reporting and notification procedures that transmit the information required by these Regulations through appropriate channels to the ONR and according to appropriate deadlines;
(12)receipt and shipment procedures that check the quantity and characteristics of qualifying nuclear material entering or leaving a qualifying nuclear facility against the accountancy information that must accompany such receipts and shipments. These procedures should also allow for the introduction or extraction of qualifying nuclear material to or from the tracking, identification, and inventory control processes described above;
(13)a Physical Inventory Taking (PIT), that is carried out in accordance with regulation 15(3) and 31(4)(b) at least every calendar year, with the period between two successive physical inventory takings not exceeding 14 months;
(14)F94procedures for a PIT that describe the responsibilities of those involved, the methods they should use, the records that should be kept, the associated measurement uncertainties and material balance tests (where appropriate), the reporting that must be made to the ONR, and the steps for authenticating any information made available to inspectors under these Regulations; ...
(15)a List of Inventory Items (LII), generated from a PIT, that facilitates inspector verification of information provided to ONR against the physical reality. The LII should include information on the mass and composition of qualifying nuclear material per item, as well as its location, containment, identity, and [F95categoryF95][F96 ; and
(16)the equipment, resources and arrangements necessary to meet the obligations contained in these Regulations and ensure the resilience of the system.F96]
Regulations 51 and 52
SCHEDULE 3 Consequential and supplementary amendments for Nuclear Safeguards Act 2000 and related legislation
PART 1
Nuclear Safeguards and Electricity (Finance) Act 1978I61,I62,I63,I64,I65,I66
1. The Nuclear Safeguards and Electricity (Finance) Act 1978 is amended as follows.
2. In section 1—
(a) in sub-section (1), for “made on 6th September at Vienna between the United Kingdom, the European Economic Energy Community and the International Atomic Energy Agency” substitute “ made on 7th June 2018 at Vienna between the United Kingdom and the International Atomic Energy Agency ”;
(b) in sub-section (2), omit the words from the beginning to “1977, and”;
(c) in paragraph (a) of subsection (2), omit the words “(of which the Protocol attached thereto forms an integral part)”.
3. In section 2(1)—
(a) in paragraph (a) for “articles 71 to 84” substitute “ articles 69 to 82 ”;
(b) in paragraph (b) for “article 50” substitute “ article 48 ”;
(c) in the words after paragraph (b) for “article 85 of the Safeguards Agreement” substitute “ article 83 of the Safeguards Agreement ”.
4. In section 2(2)—
(a) in paragraph (a)—
(i) for “articles 5, 9(c) and 87” substitute “ articles 4, 9(c) and 85 ”;
(ii) omit “and the provisions of the Protocol which forms part of the Safeguards Agreement”;
(b) in paragraph (b) for “where article 83 applies” substitute “ where article 81 applies ”.
5. In section 2(7) for “article 92(2)” substitute “ article 90 ”.
6. In section 3(1)(b) for “article 76(d)” substitute “ article 74(d) ”.
Nuclear Safeguards Act 2000I67,I68,I69
7. The Nuclear Safeguards Act 2000 is amended as follows.
8. In section 1(1)—
(a) in the definition of “Additional Protocol” for “on 22nd September 1998 (Cm.4282)” substitute “ on 7th June 2018 ”;
(b) in the definition of “Additional Protocol information” omit “, or the third or fourth paragraph of Annex III to,”;
(c) in the definition of “Agency inspector” for “Article 85 of the Safeguards Agreement” substitute “ Article 83 of the Safeguards Agreement ”;
(d) in the definition of “Safeguards Agreement” for “on 6th September 1976 between the United Kingdom, the European Atomic Energy Community and the Agency” substitute “ on 7th June 2018 between the United Kingdom and the Agency ”.
9. In section 1(3) for “22nd September 1998” substitute “ 7th June 2018 ”.
The Nuclear Safeguards (Notification) Regulations 2004I70,I71,I72,I73
10. The Nuclear Safeguards (Notification) Regulations 2004 are amended as follows.
11. In regulation 2, omit the definition of “the commencement date”.
12. Omit regulation 3.
13. In the Schedule—
(a) in the heading for Part I for “ACTIVITIES REFERRED TO IN REGULATIONS 3(1) AND 4(1)” substitute “ ACTIVITIES REFERRED TO IN REGULATION 4(1) ”; and
(b) in paragraph 1 for “The activities referred to in regulations 3(1) and 4(1) are” substitute “ The activities referred to in regulation 4(1) are ”.
PART 2 General consequential and supplementary amendments
Revocation of retained EU lawI74
14.—(1) The following are revoked—
M12(2) Commission Regulation (EURATOM) 302/2005 ; and
(3) any Decision made by the Commission under—
(a)Article 6 of Regulation (EURATOM) 302/2005; or
(b)Articles 7 and 8 of Regulation (EURATOM) 3227/76
M13which was directed to a person in the United Kingdom and in force on commencement day.
Regulation 53
SCHEDULE 4 Transitional provisions
Declaration of basic technical characteristics
F971. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Initial book inventory
F972. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Inventory change report
F973. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Material balance report
F974. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Stock list for conditioned and retained waste held on commencement day
F975. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Advance notification or report
F976. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Advance notification on or after commencement day
F977. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Accountancy and control of qualifying nuclear materialI75
8.—(1) An operator of a qualifying nuclear facility or other person who, on commencement day, was required to keep records by the following Articles of Commission Regulation (EURATOM) 302/2005—
(a)8 (operating records),
(b)9 (accounting records),
F98(c). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(d)30(2) (waste) or
(e)26 (carriers and temporary storage agents)
[F99and who, immediately before the coming into force of the Nuclear Safeguards (EU Exit and Fees) (Amendment) Regulations 2026, still retained those records, must retain those records for a period of at least 30F99] years commencing with commencement day.
(2) An operator must, if requested by the ONR, make the records, referred to in paragraph (1), available for inspection by the ONR at the relevant qualifying nuclear facility and provide the ONR with copies. The records may be made available in electronic form if they are kept in this form by the operator.
F100(3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Operator of qualifying nuclear facility with limited operation
F1019. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .