Guidelines and Format for Preparation and Submission of Declarations Pursuant to Articles 2 and 3...

1. Specific Guidance

1.1. Article 2.a.(i)

1.1.1. Provides a general description of and information specifying the location of nuclear fuel cycle-related research and development activities not involving nuclear material.

1.1.2. Defines "nuclear fuel cycle-related research and development activities" as those specifically related to any process or system development aspect of conversion, enrichment, fuel fabrication, reactors, critical facilities, reprocessing, and processing of intermediate or high-level waste containing plutonium, high enriched uranium or uranium233.

1.1.3. Excludes activities related to theoretical or basic scientific research or to research and development on industrial radioisotope applications, medical, hydrological and agricultural applications, health and environmental effects, and improved maintenance.

1.1.4. Requires reporting of R&D activities where the State is involved, either in pursuit of its own interests or on behalf of any other entity.

1.1.5. Declarations should include the title of the R&D activity, the activity's project number or other unique designation, the relationship or connection of the State to the R&D activity, a brief description of the work being performed, the objectives and intended application of the R&D, and identification of any collaboration with organizations in other States.

1.1.6. Initial declarations should be submitted within 180 days of entry into force of the Protocol, reflecting the status as of a date between entry into force and 180 days after. Annual updates should be submitted by 15 May each year, covering the previous calendar year.

1.2. Article 2.a.(ii)

1.2.1. Establishes a mechanism to provide information, agreed between the Agency and the State, that could facilitate and increase the efficiency of safeguards implementation.

1.2.2. The timing and frequency for the provision of such information would be as agreed by the State and the Agency.

1.3. Article 2.a.(iii)

1.3.1. Requires a general description of each building on each site, including its use and contents.

1.3.2. Defines "site" as the area delimited by the State in the relevant design information for a facility or location outside facilities where nuclear material is customarily used, including co-located installations providing essential services.

1.3.3. Initial declarations should be submitted within 180 days of entry into force of the Protocol, reflecting the status as of a date between entry into force and 180 days after. Annual updates should be submitted by 15 May each year, covering the previous calendar year.

1.4. Article 2.a.(iv)

1.4.1. Requires a description of the scale of operations for each location engaged in the activities specified in Annex I to the Protocol, which include the manufacture or assembly of centrifuge rotor tubes, gas centrifuges, diffusion barriers, laser-based systems, electromagnetic isotope separators, columns or extraction equipment, aerodynamic separation nozzles or vortex tubes, uranium plasma generation systems, zirconium tubes, heavy water or deuterium, nuclear grade graphite, flasks for irradiated fuel, reactor control rods, criticality safe tanks and vessels, and irradiated fuel element chopping machines, as well as the construction of hot cells.

1.4.2. Initial declarations should be submitted within 180 days of entry into force of the Protocol, reflecting the status as of a date between entry into force and 180 days after. Annual updates should be submitted by 15 May each year, covering the previous calendar year.

1.5. Article 2.a.(v)

1.5.1. Requires information specifying the location, operational status, and estimated annual production capacity of uranium mines and concentration plants and thorium concentration plants, as well as the current annual production of such mines and plants for the State as a whole.

1.5.2. Initial declarations should be submitted within 180 days of entry into force of the Protocol, reflecting the status as of a date between entry into force and 180 days after. Annual updates should be submitted by 15 May each year, covering the previous calendar year.

1.5.3. The Agency may request the current annual production of an individual mine or concentration plant, and the State should provide a response within 60 days.

1.6. Article 2.a.(vi)

1.6.1. Requires information regarding source material that has not reached the composition and purity suitable for fuel fabrication or isotopic enrichment, including:

1.6.1.1. The quantities, chemical composition, use or intended use, and location for each location in the State where the material is present in quantities exceeding 10 metric tons of uranium and/or 20 metric tons of thorium, and the aggregate for the State as a whole if the aggregate exceeds those amounts.

1.6.1.2. The quantities, chemical composition, and destination of each export out of the State of such material for non-nuclear purposes in quantities exceeding 10 metric tons of uranium or 20 metric tons of thorium.

1.6.1.3. The quantities, chemical composition, current location, use or intended use, and exporting State of each import into the State of such material for non-nuclear purposes in quantities exceeding 10 metric tons of uranium or 20 metric tons of thorium.

1.6.2. Initial declarations on holdings should be submitted within 180 days of entry into force of the Protocol, reflecting the status as of a date between entry into force and 180 days after. Annual updates on holdings should be submitted by 15 May each year, covering the previous calendar year.

1.6.3. Annual declarations on exports and imports should be submitted by 15 May each year, covering the previous calendar year.

1.7. Article 2.a.(vii)

1.7.1. Requires information on:

1.7.1.1. Quantities, uses, and locations of nuclear material exempted from safeguards pursuant to paragraph 37 of INFCIRC/153.

1.7.1.2. Quantities and uses at each location of nuclear material exempted from safeguards pursuant to paragraph 36(b) of INFCIRC/153 but not yet in a non-nuclear end-use form, in quantities exceeding those set out in paragraph 37 of INFCIRC/153.

1.7.2. Initial declarations should be submitted within 180 days of entry into force of the Protocol, reflecting the status as of a date between entry into force and 180 days after. Annual updates should be submitted by 15 May each year, covering the previous calendar year.

1.8. Article 2.a.(viii)

1.8.1. Requires information on the location or further processing of intermediate or high-level waste containing plutonium, high enriched uranium, or uranium-233 on which safeguards have been terminated.

1.8.2. Part (a) is an annual report on changes in the location of such waste during the previous calendar year, to be submitted by 15 May each year.

1.8.3. Part (b) is an advance notice of any planned further processing of such waste, to be submitted no later than 180 days before the processing takes place.

1.9. Article 2.a.(ix)

1.9.1. Requires information on exports and imports of the specified equipment and non-nuclear material listed in Annex II of the Protocol, including:

1.9.1.1. For each export: the identity, quantity, location of intended use, and date or expected date of export.

1.9.1.2. Upon request by the Agency, confirmation by the importing State of information provided by the exporting State.

1.9.2. Quarterly declarations of exports should be submitted within 60 days of the end of each quarter.

1.9.3. Responses to Agency requests for confirmation of imports should be submitted within 60 days of the request.

1.10. Article 2.a.(x)

1.10.1. Requires general plans for the succeeding ten-year period relevant to the development of the nuclear fuel cycle, including planned nuclear fuel cycle-related research and development activities.

1.10.2. Initial declarations should be submitted within 180 days of entry into force of the Protocol, reflecting the status as of a date between entry into force and 180 days after. Annual updates should be submitted by 15 May each year, covering the previous calendar year.

1.11. Article 2.b.(i)

1.11.1. Requires the State to make every reasonable effort to provide a general description of and information specifying the location of nuclear fuel cycle-related research and development activities not involving nuclear material, which are specifically related to enrichment, reprocessing of nuclear fuel, or the processing of intermediate or high-level waste containing plutonium, high enriched uranium, or uranium233.

1.11.2. The submission schedule and content are identical to those for Article 2.a.(i), except the obligation is to make every reasonable effort to provide the information.

1.12. Article 2.b.(ii)

1.12.1. Requires the State to make every reasonable effort to provide a general description of activities and the identity of the person or entity carrying out such activities at locations identified by the Agency outside a site, which the Agency considers might be functionally related to the activities of that site.

1.12.2. The State's response is to be provided in consultation with the Agency and in a timely fashion, in response to a specific request by the Agency.

1.13. Article 2.c

1.13.1. Allows the Agency to request amplifications or clarifications of any information provided under Article 2, as relevant for the purpose of safeguards.

1.13.2. The State's response is to be provided in a timely fashion, without a specific due date.

2. General Guidance

2.1. The preferred language is English, but a submission in any official language of the Agency would be acceptable.

2.2. States are strongly urged to submit declarations electronically using the PROTOCOL REPORTER software to facilitate processing and use by the Agency.

2.3. A separate declaration is required for each article and, in the case of Article 2.a.(iii), for each site and for any update of a previously provided declaration.

2.4. The header information for each declaration should include the name of the State, the INFCIRC number of the Safeguards Agreement, the number of the Protocol article, the declaration number, the date the declaration is prepared, and the declaration period.

2.5. All dates should be entered as YYYY-MM-DD.

2.6. All material quantities will be rounded by the Agency to the nearest tenth of a reporting unit.

2.7. The "Ref." column should be used to refer to another entry.

2.8. If more than one page is used, the name of the State, the declaration number, the article number, and "page x of y pages" should be entered on each page.

2.9. A declaration is required for each article and, in the case of Article 2.a.(iii) each site, at the times specified in Article 3.

2.10. If there is nothing to be declared, "Nothing to Declare" should be entered. If there has been no change, "No Change" should be entered.

2.11. Corrections or additions to previously provided information can be provided at any time.

2.12. The Agency would welcome any notes with a declaration whenever the State considers it useful to elaborate on or explain a declaration entry.

2.13. All declarations should be transmitted through regular channels of communication to the Director of the appropriate Division of Safeguards Operations.

3. Introduction

3.1. The central components of a strengthened and more efficient safeguards system are increased access to information and increased physical access.

3.2. The declarations prescribed in Article 2 of the Model Protocol Additional to Safeguards Agreements (the Model Protocol) provide the vehicle for a State party to provide increased information on its nuclear activities.

3.3. The information required pursuant to Article 2 is not intended to limit the Agency's right to information under other provisions of the safeguards agreements.

3.4. The Secretariat was requested to provide guidelines and a standard format for use by a State party in preparing and submitting the declarations provided for in Article 2 of the Model Protocol.

3.5. The Guidelines have generally been effective in providing clarification of what information is required, the appropriate level of detail, and a standardized report format.

3.6. The Guidelines cover Article 3, which deals with the timing for submission of the various parts of the declarations, and Annexes I and II of the Model Protocol.

3.7. The Guidelines are not mandatory but rather intended as advice for States on preparing declarations.