Verifying compliance with nuclear non-proliferation undertakings: IAEA safeguards agreements and additional protocols

This report provides background information on safeguards and explains procedures for States to conclude Additional Protocols to comprehensive Safeguards Agreements with the IAEA. Since the IAEA was founded in 1957, its safeguards system has been an indispensable component of the nuclear non-proliferation regime and has facilitated peaceful nuclear cooperation. In recognition of this, the Treaty on the Non-Proliferation of Nuclear Weapons (NPT) makes it mandatory for all non-nuclear-weapon States (NNWS) party to the Treaty to conclude comprehensive safeguards agreements with the IAEA, and thus allow for the application of safeguards to all their nuclear material. Under Article III of the NPT, all NNWS undertake to accept safeguards, as set forth in agreements to be negotiated and concluded with the IAEA, for the exclusive purpose of verification of the fulfilment of the States' obligations under the NPT. In May 1997, the IAEA Board of Governors approved the Model Additional Protocol to Safeguards Agreements (reproduced in INFCIRC/540(Corr.)) which provided for an additional legal authority. In States that have both a comprehensive safeguards agreement and an additional protocol in force, the IAEA is able to optimize the implementation of all safeguards measures available. In order to simplify certain procedures under comprehensive safeguards agreements for States with little or no nuclear material and no nuclear material in a facility, the IAEA began making available, in 1971, a 'small quantities protocol' (SQP), which held in abeyance the implementation of most of the detailed provisions of comprehensive safeguards agreements for so long as the State concerned satisfied these criteria. The safeguards system aims at detecting and deterring the diversion of nuclear material. Such material includes enriched uranium, plutonium and uranium-233, which could be used directly in nuclear weapons. It also includes natural uranium and depleted uranium, the latter of which is commonly used, for instance, in shielding on radioactive sources used in hospitals. Other radioactive material, such as most radioactive sources and isotopes used in medicine, industry, agriculture, and water resource management, are not the subject of safeguards and need not be reported to the IAEA under safeguards agreements. Reporting depends on the level of nuclear activity in the country. Declarations pursuant to safeguards agreements and additional protocols for States that do not have nuclear facilities are expected to be short and simple. The IAEA has prepared a document, available upon request, which provides guidance on the reporting requirements for such States. More elaborate guidelines have been prepared for States that do have nuclear facilities subject to routine safeguards inspections. Through its activities in the field, the IAEA seeks to verify the correctness and completeness of States' reports and declarations regarding nuclear material. Each State with a comprehensive safeguards agreement is required to establish and maintain a State system of accounting for and control of nuclear material (SSAC), which is the national authority formally designated to keep track of nuclear material and activities in the country. For all States with safeguards agreements in force, the IAEA draws an annual conclusion on the non-diversion of nuclear material and other items placed under safeguard. The IAEA's focal point for the negotiation of safeguards agreements and additional protocols, and the amendment of SQPs, is the Office of External Relations and Policy Coordination. Once a State has decided to conclude such an agreement and/or protocol, or amend its SQP, the IAEA can help the country with the implementation of related legal and technical requirements. The appendix of this publication informs how to conclude a comprehensive Safeguards Agreement and/or an Additional Protocol and provides 3 model notification letters for (a) conclusion of a safeguards agreement, a small quantities protocol and an additional protocol, (b) conclusion of an additional protocol to an existing safeguards agreement, and (c) entry into force of a safeguards agreement and/or an additional protocol.