Additional Protocol

PRUTCCOL ADDITIONAL X) THE AGREEMENT BEIWEEN THE UNITED
STATES OF AMERICA AND THE m n o N A L ATOMIC ENERGYAGENCY
FOR THE APPLICATION OF SAFEC;UARDS IN THE UNITED STATES OF
AMERICA

WHEREAS the United States of AmRica ( h e r e k h referred to as "the United
States") and the International Atomic Energy Agency (h*
refared to as the " A g w )
are parties to an Agreement for the Application of Safeguards in the Urrited States of A d c a
to as the "Safepads
done at Varna on Novemk 18, 1977 ( h e ref&
Agreement"), which entered into force on DecRnbR 9, 1980,
AWARE OF the.&
of the internatid d t y to find16 enhance nuclear nanprolifmtion by strengthening the effectiveness and improving the efficiency of the Agemy's
safeguardssystem;

RECALLING that the Agency nnmt take into account in the inrplem~ltationof
safeguards the need to: avoid hampering the m o m i c and technological developmmt of the
United States or hanational cooperation in the field of peacell nuclear activities; nspect
health, safety, physical protection and otha semity provisions in force and the rights of
individuals; and take every precau6on to protect c o d a l , tabnological and indusbial
secrets as well as other confidential i n f d c m coming to its knowledge;
WHEREAS the f i q m c y and intensity of activities described in this h t o c o l shall
be kept to the minimum consistRlt with the objective of skmghmg the effectivand
improving the efficiency of A g e q safeguards;
NOW THEREFORE the United States and the Agency have agreed as follows:

Article 1
The provisions of the Safeguards Agemmt shall apply to this Protocol to the extent
that they are relevant to and compatible with the provisioz of this Protocol. In case of
contlict between the provisim of the Safe!pmis AgreemAlt and thcse of this Protocol, the
provisions of this Protocol shall apply.

a

The United States shall w l y , and permit the Agency to apply, this Rotocol,
b.
excluding only instances where its application would d t m acasg by tbe Agency to

activitieswithdirectdd~tysi~mcetotheUnitedStatesortolocationsm
i n f o d o n associated with such activities.
W~thoutprejudice to p a g q h b. above, the United States shall have the right to use
c.
mmged access in cormection with activities with &ired dd security sigm3once to the
United States or in connection with locations or infondon associated with such activities.

Article 2

a

The United States shall provide the Agency with a declaration contakjng:
(i)

A general description of and i n f d o n spenfylng the location of nuclear he1
cycle-related research and development activities not involvingnuclex matenal
carried out anyvhae that are funded, spdically autho&ed or controlled by,
or carried out on behalf of, the United States.

(ii)

Information identified by the Agency on the basis of expckd gains m
effectiveness or efficiency, a ~ agreed
d
to by the %ted States, on operational
activities of safeguards relevmx at h l i t i e s and lccatim outside facilities
where nuclear &a1
is customa~ilyused.

(iii)

A general description of each building on each site, including its use an4 if
not apparent h m that M p t i o n , its contents. The description shall include
a map of the site.

(iv)

A description of the scale of operations for each location engaged in the
'
activities specilied in Annex I to this Protocol.

(v)

Information specifying the location, operational status and the estimated annual
production capacity of usmiurn mines and concentration plants and thorium
concentration plmts, and the current annual production of such mines and
concentration plants for the United States as a whole. The United States shall

Wde, upon request by the Agency, the c m m t ~nrmalproduchm of an
individual mine or concentration plant. The provision of this i n f ~ o does
n
not require detailed nuclear material accountancy.

(vi)

Information regarding source r d a l &ch IUSnot readd the composition
and puity suitable for he1 fabrication or for being isotopically erniched, ac;
follows:
(a)

The quantities, the chemical compcsition, the use or intended use of
such material, whether in nuclear or not-nwlear use, for each location
in the United States at wtdch the &al
is
in quantities
exceding ten metric tom of uranium and/or hvdy metric tons of
thorium, and for other lo&m with quantities of rmre than one &c
ton, the aggegate for the United States as a wbole if the aggregate
exceeds ten metric torrs of uranium or twenty rretric tons of thorium
The provision of this informtion d ~ e snot quire detailed nuclear
material accountancy,

(b)

The quantities, the chemical compcsition and the dgtfnation of each
export out of the United States, of such nrataial for specifically nonnuclear p q c s s in quantities exceeding:
(1)

Ten k c tons of uranium, or for successive exports of
uranium h m the United States to the same State, each of less
than ten d c tors, but exceding a total of ten rretric tons fw
year;

(2)

(c)

Twenty rretric tm of thorium, or for fllccessive exports of
thorium 6mn the United States to the sam: State, each of less
than twenty k c tom, but exceeding a total of twenty k c
tons for the year;

The quantities, chemical compositiq current location and use or
i n t d d use of each import into the United States of such rraterial.for
spenfically m-nuclear purpes in quantities exceecting
(1)

Ten metric tom of uranium, or for s s v e imports of
mnium into the United States each of less than ten m b i c tons,
but exceeding a total of ten m@ic.tons for the year,

(2)

Twenty metric tom of thorium, or for successive imports of
thorium into the United States each of less than twenty k c
tom, but ex&g
a total of twenty m m c tons for the year,

it being underst& that there is no requirement to provide information on such
material intended for a non-nuclear use once it is in its non-nuclear end-use
form

(vii)

(a)

Information regarding the v t i t i e s , uses and locations of nuclear
material exempted &om safeguards p
m to Article 37 of the
Saf&
Apment;

(b)

Information regarding the @ti=
(which may be in the form of
ehmres) and uses at each location, of nuclear material exempted h m
safepads pursuant to Article 36(b) of the Safegumis Agreenrent but
not yet in a non-nuclear end-use form, in quantities exceding those set
out in Article 37 of the Safegumis Agreemwt The provision of this
i d d o n does not require detailed nuclear material muntancy.

(viii) Information regrding the location or ~LI&Z Procgsing of intermediate or
hgh-level waste containing p l w n i q high erniched h u m or ma11ium233
on wtrich saf&
have been temdnated pursuant to Article 11 of the
Saf@
Ageement For the pqwe of this pagraph, "furtherprccming'
dces not include repac!agmg of the waste or its further d t i o n i n g not
involving the separation of e l e m t s , for storage or disposal.

(ix)

(x)

b.

The following i n f d o n regKding specified equipment and non-nuclear
material listed in Armex 11:
(a)

For each export out of the United States of such eqipmmt and
&al:
the identity, quantity, lcation of intended use in the
receiving State and date or, as appropriate, Bcpected date, of

(b)

Upon specific request by the Agency, mdrrmtion by the United
States, as importing State, of i d d o n provided to the Agency by
anotha State c o n h g the identity, quantity and location of intended
use in the United States, and date of impo3 or, as appropriate,
expeaed date of the imporS of such equipment and rrsiterial into the
united States.

General plans for the succeeding k- yea^ period relevant to the development
of the nuclear fuel cycle (including plarmed nuclear fuel cycle-related research
and developmait activities) when approved by the appropriate authorities in
the United Stater

The United States shall make every reasonable effort to provide the Agency with the
following i n f d o n :
(i)

A general description of and information speclfylng the location of nuclear fuel
cycle-related research and development activities not involving nuclear matRial
which are specifically related to enrichment, reprocessing of nuclear fuel or the
precessing of intermediate or high-level waste containing plutoniup high
enriched uranium or uranium233 that are carried out anywhere in the United
States but which are not funded, spaifically authorized or controlled by, or
carried out on behalf of, the United States. For the p u r p e ofthis p a m p p h
"processing" of intermediate or high-level waste does not include repackaging

of the w e or its conditioning not invohvlg the separation of elements, f&
storage or disposal.
(ii)

A general description of activities and the identity of the p ~ s o nor entity
carrying out such activities, at locations idenfified by the Agency outside a site
wtrich the Agency consid~smight be fimctionally related to the activities of
by
that site. 'Ihe provision of this i n f d o n is *ect to a specific
the Agency. It shall be provided in d t a t i o n with the Agency aml in a
timely fashion

Upon request by the Agency, the United States shall provide amplifications or
clarifications of any i n f d o n it has provided mder this Article, in so far as
relevant for the p w p e of safeguards.
Article 3
Tke United States shall provide to the Agency the information identified in Article
2.a(i), (iii), (iv), (v), (vi)(a), (vii) and (x) aml Article 2.b.(i).within 180 days of the
e n w into force of this Rotocol.
Tke United States shall provide to the Agency, by 15 May of each year, Llpdates of
the i n f d o n referred to in paragraph a above for the period covering the previous
calendar year. If there has been no change to the i n f d o n previously provided, the
United States shall so indicate.
Tke United States shall provide to the Agency, by 15 May of each year, the
information identified in Article 2.a(vi)@)and (c) for the period covering the previous
calendar year.
Tke United States shall provide to the Agency on a quarterly basis,the i n f o d o n
identified in Article 2.a(ix)(a). 'This information shall be provided within sixty days
of the end of each quarter.
'Ihe United States shall provide to the Agency the information identified in Article
2.a(viii) 180 days before finthR processing is carried out 4 by 15 May of each
year, inf-tion
on changes in location for the period covering the previous calendar
Year.

The United States and the Agency shall agree on the timing and h p e n c y of the
provision of the i n f o d o n identified in Article 2.a(ii).
Tke United States shall provide to the Agency the information in Article 2.a(i)(b)
within six?. days of the Agency's request

cnmm'mmm ACCESS
Article 4
?he following shall apply in connection with the implementation of complaccess under Article 5 of this F'rotocol:

a

l l e Agency shall not mechanistically or systerratically k k to verify the i n f o d o n
referred to in Article 2; ho-,
the Agency shall have access to:

(i)

Any l d o n referred to in Article 5.a(i) or (ii) on a selective basis in order
to assure the absence of mdeclared nuclear m b i a l and activities;

(ii)

Any location referred to in Article 5.b. or c. to 'resolve a question relating to
the an-rezha awl mmpleteness of the i n f o n d o n provided pursuant to
Article 2 or to resolve an inconsistency relating to that inforrmiion;

(i)

b.

Any location referred to in Article S.a(i) to the extent necssary for tbe
the United States' d e c l d o n of
the d e c o d o n e d stabs of a fkility or location oldside facilities where
nuclear mtexial v m cwtorrarily used.
Agency to confirm, for safeguads p u p s ,

(i)

Except as provided in paragraph (ii) below, the Agency shall give the United
States advance notice of acccs of at leasf 24 hours;

(ii)

For a m to any place on a site that is sought in conjunction with design
information verification visits or ad hcc or routine inspections on that site, the
perid of advance notice shall, if the Agency so requests, be at least two hours
but, in exceptional &aimtances, it m y be less than two hours.

c.

Advance notice shall be in writing and shall spenfy the reasons for access and the
activities to be carried out during such access.

d

In the case of a question or inumistency, the Agency shall provide the United States
with an q p r t m i t y to clanfy and facilitate the resolution of the question or
inconsistency. Such an oppommity will be provided before a request for access,
unless the Agency mnsiders that delay in access would prejudice the p q o s e for
vhich tbe access is sought In any evenf the Agency shall not chaw any conclusions
about the question or inconsistency until the United States has been provided with
such an oppommity.

e.

Unless otherwise agreed to by the United States, access shall only take place h i n g
regular working hours.

f.

l l e United States shall have the right to have Agency inspectors accompanied h i n g
their access by representatives of the United States, provided that the inspectors shall
not thereby be delayed or otherwise inqKded in the exercise of their functions.

Article 5
The Urdted States shall provide the Agency with a
a

m to:

(i)

Any place on a site;

(ii)

Any location i d d e d by the United States under Article Z.a(v>(viii);

(i)

Any deconunjssioned facility or decorrnrdssioned location outride facilities
where nuclear rmhial WS customarily used

b.

Any location identified by the United States LmdR Article 2.a(i), Article 2.a(iv),
Article Z.a(ix#) or Article 2.b., other tharI those referred to in p m g q h a(i) above,
provided that if the United States is unable to provide such access, the United States
shall make every reasonable effort to satisfy Agency requirements, without delay,
through other means.

c.

Any location specified by the Agency, other tharI locations referred to in p t a g q h s
a and b. above, to carry out locatio~~spcdic
ehvbmmtal. sampling; provided that
if the United States is unable to provide Such a m , the UnitedtedStatei
shall make
'every,reasonable effort to s a w Agency mpkments, witbout delay, at adjacent
locations or though other mears.

Article 6
When implementing Article 5, the Agency may carry out the following activities:
a

For accgs in accordance with Article 5 4 ) or (iii): visual obsenation; collection of
emiromnental samples; utilization of radiation detection and measurement devices;
application of seals and other i d e n w g and tamper indicating devices specified in
SubsidiaryAnmugarm&; and other objective measures which have been demonstrated
to be technically feasiile and the use of which has been agreed by the Board of
Governors (herehdh r e f d to as the 'Boa~d'oard")
and following consultations between
the Agency and the United Statei.

b.

For access in accordaoce with Article 5.a(ii): visual observation; item counting of
nuclear d&
non-demudive measurements and sampling; utilization of radiation
detection and meaammmt deviceq examination of records relevant to the quantities,
origin and disposition of the material; collection of environmental samples; and other
objedive mamm which have been demonshated to be technically feasible and the
use of which has been agreed by the Board and following &tations
between the
Agency and the United States.

c.

For access in accordance with Article 5.b.: visual observation; collection of
environmental samples; utilization of radiation detection and measurement devices;
examination of safeguards relevant production and shipping records; and other
objective measures which have been demonshated to be technically feasible and the

use of which has been agreed by the Board and following &tations
~gencyand the United States.

d

M e e n the

For a c a in
~ accordance with Article 5s.: collection of envimmnental 91s an4
in the event the d t s do not resolve the question or inconsistency at the location
specified by the Agency pumiant to Article S.C., utilization at that location of visual
obsmation, radiation detection and m a m e m a t devices, 4as agreed by the
United States and tlie Agency, other objective mamres.
Article 7

a

Upon request by the United Statg, the Agency and the United States shall
amngumnts for managed access unda this Rotocol in order to prevent the
dissnrrination of prolifedon sensitive idomration, to met safety or physical
protection requirements, or to proted proprietary or commmially sensitive
idormation Such arrangements shall not pmlude the Agency fium conducting
activities necessary to provide credible asmance of the absenceof &lared
nuclear
matmial and activities at the l d o n in question, including the resolution of a
question relating to the m e s s and cornpletmess of the idmmfion referred to in
Article 2 or of an inconsistency relating to that id&m

b.

'The United States m y , when providing the i d d m ref&
to in Article 2,
idorm the Agency of the places at a site or location a! which managed access may
be applicable.

c.

Pending the enhy into force of any necessary Subsidiary Anangemen& the United
States may have recome to managed access consistent with the provisions of
paragraph a above.
Article 8

Nothing in this Protocol sball preclude the United States h m offering the Agency
access to locations in addition to those r e f d to in Articles 5 and 9 or h m requerting the
Agency to conduct vaification activities a! a particular location. 'The Agency shall, without
delay, make every reasonable effort to act upon such a request
Article 9
'The United States shall provide the Agency with access to locations specified by the
Agency to carry out wide-area enviromnental sampling, provided that if the United States is
unable to provide such accgs it shall make every reasonable effort to satisfy Agency
r e q h e n t s at alternative locations. 'The Agency shall not seek such access ml the use of
wde-area environmental s&ling and the proct.dural arrangements therefor have been
approved by the h a r d and following consultations between the Agency and the United
States.

Article 10
The Agency shall inform the United Stat= of:

a

The activities carried out undR this Protocol, includng those in q x c t of any
questions or inconsistencies the Agency had brought to the attention of the United
States, within sixty &p of the activities k q carried out by the Agency.

b.

'The results of activities in respea of any questions or inconsistencies the Agency had
brought to the attention of the United States, as soon as possible b u ~in any w e
within thirty &p of the results being established by the Agency.

c.

'The conclusions it has drawn fiurn its activities undR this Protocol. The conclusions
shall be provided annually.

Article I I

a

b.

(i)

The Direaor General shall nohfy the United States of the Bcard's approval of
any Agency official as a safeguards inspector. Unless the United States advises
the Director Geneml of its q'ection of such an official as an inspeaor for the
United States within three mmtbs of receipt of notification of the Boards
e v a l , the inspeck so notified to the United S W shall be considRed
designated to the United S W .

(ii)

'The Director General, acting in reto a request by the United Stat= or
on his own initiative, shall unmediately inform the United States of the
withdrawal of the designation of any o5cial as an iwpedor for the United
States.

A notification referred to in paragrrrph a above shall be deaned to be received by the
United States seven dap after the date of the transrrdssion by registered mail of the
notification by the Agency to the Lhited States.

Article 12
The United States shall, within one month of the receipt of a request therefor, provide
the designated aspector spec5ed in the request with appropriate multiple entrylexit andlor
hansit visas, whme required, to enable the inspeaor to enter and remain on the tenitory of
the United States for the purpose of carrying out hisher functions. Any visas required shall
be valid for at least one year and shall be renewed, as required, to cover the duration of the
k p x t o r ' s designation to the United States.

SUBSIDIARY ARRAh'QMlNIS
Article 13

a

Where the United States or the Agency indicates that it is m x s a q to spenfy in
Shidiary Arrangements how measures laid down in tiis Protocol are to be applied,
the United States and the Agency shall agree on such Subsidiary Arrangarwts within
ninety days of the entry into force of this Protocol or, where the idication of the
need for such Subsidiary A n a u g m t s is mde afler the enby into force of this
Protocol, within ninety days of the date of such indication.

b.

Pending the e n Q into force of any necessary Subsidiary Anaug-ts,
shall be entitled to apply the measures laid down in this Rotocol.

the Agency

cmmmcAnms s
y
m
Article 14

a

The United States shall permit and protect fke commuuications by the Agency for
official purposes between Agency inspectofi in the United States and Agency
Headquarters a d o r Regional Offices, including attended and mattded tmmnissim
of information g m t e d by Agency containment andlor surveillance or m a m m m t
devices. The Agency shall have, in consultation with the United States, the right to
make use of internationally ertablished system of direa cmmimidans, including
satellite p e n s and other foms of telecomrmmication, not in we in the United
States. At the request of the United States or the Agency, details of the
implementation of this patagqh with r q x d to the anended or m e n d e d
tmmission of infommtiun generated by Agency contairrment andor surveillance or
measurement devices shall be @ed
in tlie Subsidiary Amngemmts.

b.

Communication and tmmksion of i n f o d o n as provided for in paragraph a above
shall take due account of the n d to protect proprietary or m h d y sensitive
information or design i n f d o n which the United States regards as bekg of
particular sensitivity.

Article 15

a

The Agency shall rnaintain a stringent regime to ensure effective protection against
disclosure of commercial, technological and indunid secrets and other confidential
information coming to its knowledge, including such informtion coming to the
Agencfs knowledge in the implementation of this Protocol.

b.

The regime referred to in paragraph a above shall include, among others, provisions
relating to:

c.

(i)

General principles and associated measures for the handling of coddentid

(ii)

Conditions of staff employment relating to the protection of confidential
informition;

(iii)

Ftwdma in cases of breaches or alleged breaches of confidentiality.

informition;

The regime referred to in paragraph a above shall be approved and peridically
reviewed by the. Board

ANNMES
Article 16

a

The Annexes to this Protocol shall be an integral part thereof. Except for the p p e s
of amenof the h e x e s , the term "Protocol" as used in tbis hstmnmt means
the Protocol and the Armexes togetha.

b.

The list of activities specified in Annex I, and the list of equipmat and d a l
specifiedinAnnexII,maybeamendedbytheBoarduponthe~ceofanopenended working group of @established by the Board Any such a&t
shall
take effkt four months after its adoption by the Board

Article 17
a

This Protocol shall enter into force on the date on which the Agency meives limn
the United States written notification that the United States' statutory and constitutional
rqukments for entry into force have been met

b.

The United States may, at any date before this Protocol Rlters into force, declare that
it will apply this Protocol prmisionally.

c.

The Director General shall promptly inform all Member &tes of the Agency of any
declaration of provisional application of, and of the entry into force of, this Protocol.

Article 18
For the purpose of this Protocol:
a

Nuclear fuel cycle-related research and development activities means those activities
which are specifically related to any process or system development aspect of any of
the following:

-

conversion of nuclear material,

-

enrichment of nuclear material,
nuclear fuel fabrication,
reactors,
critical hlities,
reprocessing of nuclear &I,

processing (not including repackaging or conditioning not involving the
sepation of el-ts,
for storage or dispcsal) of intermdate or highlevel m e containing plutoniuq high enriched ~naniumor uaniumU3,

but do not include activities related to theoretical or basic scientific research or to
research and development on indmial radioisotope applications, mdi4
hydrological and agricultural applications, health and emhmrmtal effects and
improved &m.
b.

& means that area delimited by the United States in the relevant design lnfomration
for a facility, including a c l d w n facility, and in the relaant information on a
location o h & facilities whae nuclear rraterial is custonmily used, including a
cl&own
location outside facilities where nwlear niataial was cmomarily used
(this is limited to locations with hot cells or where activities related to wnvmion,
enrichment, foe1 fabrication or reprocessing were canied out). It shall also include all
installations, c u l d with the facility or location, for the provision or use of
essential services, including: hot cells for processing irradiated materials not containing
nuclear material; installatian5 for the m t , storage and disposal of waste; and
buldings associated with specified activities identified by the United States under
Article 2.a(iv) above

.

.

..

. .

...

c.

decomrmsslonedccabon o & ~ & fdclliha means an
installation or location at which residual structlaes and equiprrent essential for its use
have been removed or rendered inopable so that it is not used to store and can no
longer be used to handle, process or utilize nuclear nraterial.

d

or &seddom location outside facilities means an installation
or i d o n where operations have been stopped and the nuclear rnaterial removed but
which bas not been demmmissioned

e.

Hi$ enriched uranium means uranium containing 20 percent or more of the isotope

or

uranim235.

f.

Location-specific environmental sampling means the collection of envkonmental
samples (e.g., air, water, vegetation, soil, rmears) at, and in the irmnediate vicinity of,
a location specified by the Agency for the plrrpcse of assisting the Agency to dmw

conclusions about the absence of undeclared nuclear material or nuclear advities at
the specified lccation
g.

mans the collection of enviromtal s q l g
(e.g, air, water, vegetation, soil, msm) at a set of locations e e d by the Agency
for the purpose of assisting the Agency to chaw umclusions about the absence of
undeclared nuclear m a t e d or nuclear activities over a wide area.

h

Nuclear material m y source or any specid fissionable material as defined in
Article XX of the Starute. 'The term source rratRial shall not be intepeted as
applying to ore or ore residue. Any detmnhaiion by the Board under Article XX of
the Starute of the Agency afta the entry into force of this Prot~colwhich adds to the
materials considered to be source m t d or special fissionable &al
shall have
effect unda this Protocol only ymn acceptance by the United States.

(i)

A reactor, a critical bcility, a conversion plant, a fabrication plant, a
reprocessing plant, an isotope s@on
plant or a separate storage installation;

or
(ii)
j.

Any location where nuclear m&al
Idloglam is cllsmmly used

in annunts gmter than one effective

Locationoutside any installation or location, which is not a facility,
where nuclear material is customarily used in amounts of one effective kilogram or
Igs.

WNE at Vierma on the

day

I~E~+~w,u

0

English language.

.&-I+'
OF AMERICA:

FOR

IM'ERNATIONAL ATOMIC
ENERGY AGENCT: