IAEA

Safeguards
Serving
Nuclear Non-Proliferation
IAEA
Safeguards
Serving
Nuclear Non-Proliferation
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June 2015

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Table of Contents

5 Foreword by the Director General of the IAEA, Yukiya Amano

6 Introduction

6 What are IAEA safeguards?

8 Why do IAEA safeguards matter?

8 How have IAEA safeguards evolved?

13 How are IAEA safeguards applied in practice?

18 What are the current trends in IAEA safeguards?

4 | IAEA Safeguards
 IAEA Safeguards | 5

Foreword by the Director

General of the IAEA
Yukiya Amano

IAEA safeguards make a vital contribution to

international peace and security. Through safeguards,
the IAEA is able to provide credible assurances that
States are honouring their international obligations
to use nuclear material only for peaceful purposes.
Its independent verification work allows the IAEA in force has risen by more than a quarter to reach
to play an indispensable role in deterring the spread 125 States which represents more than two-thirds
of nuclear weapons. Through early detection of any of all States with safeguards agreements in force.
diversion of nuclear material or misuse of technology, The recent modernization of the IAEA safeguards
the IAEA can alert the world to potential proliferation. analytical laboratories has significantly enhanced our
This serves to build international confidence in the independent verification capabilities.
non-proliferation regime.

The field of nuclear verification never stands still. With its in-field verification activities, the
The number of nuclear facilities coming under IAEA
IAEA plays a unique role as the worlds nuclear
safeguards continues to grow steadily. So does the
inspectorate.
amount of nuclear material to be safeguarded. With
new nuclear power reactors under construction and
a steady growth in the use of nuclear science and
technology in other peaceful applications, such as
industry, medicine and agriculture, this trend looks However, funding for the IAEA has not kept pace
set to continue. with the growing demand for our services. So, in
all areas of our work including safeguards, we must
In awarding the IAEA the Nobel Peace Prize constantly find ways of increasing efficiencies without
in 2005, the Norwegian Nobel Committee said compromising effectiveness. The IAEA is committed
the IAEAs safeguards work was of incalculable to continuing to work closely with States to ensure
importance. For that to remain the case, safeguards the rigorous, transparent and non-discriminatory
must continue to evolve in line with emerging implementation of safeguards.
challenges. Over the past decade, safeguards have
been strengthened in key areas. In the past five years I trust that you will find this booklet helpful as an
alone, the number of States with additional protocols introduction to IAEA safeguards.
 6 | IAEA Safeguards

Introduction What are IAEA safeguards?

Preventing the spread of nuclear weapons is a IAEA safeguards are a set of technical measures
complex task. Seventy years after the destructive that allow the IAEA to independently verify a States
power of nuclear weapons was first demonstrated, legal commitment not to divert nuclear material from
a number of international political and legal peaceful nuclear activities to nuclear weapons or other
mechanisms are in place to help to achieve nuclear nuclear explosive devices. Pursuant to the IAEAs
non-proliferation objectives. They include political Statute, which authorizes the IAEA to establish and
commitments of States, multilateral treaties, other administer safeguards, States accept the application of
legally binding agreements in which States non- such measures through the conclusion of safeguards
proliferation commitments are embedded, and, agreements with the IAEA (see box on page 9).
critically, IAEA safeguards. The IAEA plays a crucial
independent verification role, aimed at assuring IAEA safeguards are embedded in legally
the international community that nuclear material,
binding agreements, providing the basis for the
facilities and other items subject to safeguards are
used only for peaceful purposes.
IAEA to implement effective verification.

The vast majority of safeguards agreements are

those that have been concluded by the IAEA with
The IAEA aims to assure the world that nuclear
non-nuclear-weapon States (NNWSs) party to the
material, facilities and other items subject to Treaty on the Non-Proliferation of Nuclear Weapons
safeguards are used only for peaceful purposes. (NPT) (see box on page 7). Under the NPT, these
States have committed not to produce or otherwise

Key safeguards facts

182 States have safeguards agreements in force, 174 of them have comprehensive safeguards agreements,
5 States have voluntary offer agreements and 3 States have item-specific safeguards agreements
126 Additional Protocols are in force with 125 States and Euratom, and another 21 States have signed
an Additional Protocol but have yet to bring it into force
About 850 people from 95 different countries work in the Department of Safeguards
More than 193,500 Significant Quantities* of nuclear material under safeguards
Some 1,300 nuclear facilities and locations outside facilities (LOFs) under safeguards

during 2014
More than 2,700 in-field inspections and design information verifications conducted worldwide,
constituting about 13,000 calendar days in the field
78 complementary accesses conducted under additional protocols
Almost 1,000,000 nuclear material accountancy entries in State reports received
More than 23,000 seals applied and more than 2,600 attended and unattended monitoring and
measuring systems in operation
More than 900 nuclear material and environmental samples collected
More than 400 satellite images analyzed
Almost 3,000 safeguards statements and reports sent to States
131 million euros allocated regular budget (IAEA regular budget totals 341.6 million euros), and 31.8
million euros extra-budgetary contributions

* One Significant Quantity is the approximate amount of nuclear material for which the possibility of
manufacturing a nuclear explosive device cannot be excluded.
 IAEA Safeguards | 7

Treaty on Non-Proliferation of Nuclear Weapons (NPT)

The NPT is the centerpiece of global efforts to prevent the further spread of nuclear weapons and
weapons technology, to foster the peaceful uses of nuclear energy, and to further the goal of nuclear
disarmament. It entered into force in 1970. With some 190 Parties, it is the treaty most widely adhered
to in the field of non-proliferation and disarmament.

While the IAEA is not a party to the Treaty, it is entrusted with key responsibilities. The IAEA has a
specific verification role as the international safeguards inspectorate under Article III of the Treaty. The
IAEA also serves as a multilateral channel for facilitating transfers of nuclear technology for peaceful
applications to its Member States in accordance with its Statute.

The NPT represents a balance of rights and obligations for States, differentiating between non-
nuclear-weapon States (NNWSs) and nuclear-weapon States (NWSs) States that manufactured and
exploded a nuclear weapon or other nuclear explosive device prior to 1 January 1967 (i.e. China, France,
the Russian Federation, the United Kingdom and the United States of America).

Under the NPT, the NWSs committed, inter alia, not to transfer to any recipients nuclear weapons
or other nuclear explosive devices and not in any way to assist, encourage, or induce any NNWSs to
manufacture or otherwise acquire nuclear weapons or other nuclear explosive devices. Each NNWS
is required to conclude a comprehensive safeguards agreement with the IAEA to enable the IAEA to
verify the fulfilment of the States obligation under the Treaty. Twelve NNWSs that are party to the NPT
have yet to conclude a comprehensive safeguards agreement with the IAEA. Three States that are not
party to the NPT have concluded item-specific agreements with the IAEA (see box on page 9).

acquire nuclear weapons and to place all

of their nuclear material and activities
under IAEA safeguards and to allow the
IAEA to verify their commitments.
Similar to the NPT, the Treaty for
the Prohibition of Nuclear Weapons
in Latin America and the Caribbean
(Treaty of Tlatelolco, 1967) requires its
parties to conclude a comprehensive
safeguards agreement (CSA) with the
IAEA as do the other regional nuclear-
weapon-free zone treaties, including
the South Pacific Nuclear Free Zone
Treaty (Treaty of Rarotonga, 1985), the
Southeast Asia Nuclear-Weapon-Free
Zone Treaty (Treaty of Bangkok, 1995),
the African Nuclear-Weapon-Free Zone
Treaty (Treaty of Pelindaba, 1996) and
the Central Asian Nuclear-Weapon-Free
Zone Treaty (Treaty of Semipalatinsk,
2006). In-field verification of a fibre-optic seal by checking its unique light pattern.
8 | IAEA Safeguards

What nuclear material is subject to safeguards?

Nuclear material subject to safeguards
includes special fissionable material from
which nuclear weapons or other nuclear
explosive devices could readily be made
(e.g. plutonium-239; uranium-233; uranium
enriched in the isotopes 235 or 233) and
source material (e.g. natural uranium,
depleted uranium or thorium), which cannot
be directly used for nuclear weapons. All States
are likely to have some nuclear material in
their territory. For example, depleted uranium,
in which the concentration of uranium-235 is
lower than in natural uranium, is often used
for non-nuclear purposes, such as shielding
for radiation sources in hospitals, industry
and agriculture. Radioactive sources that do
not contain uranium, plutonium or thorium
are not subject to safeguards and need not
Mobile, high-resolution gamma detector for accurate
be reported to the IAEA under a safeguards
measurement of the types and isotopic composition of nuclear
agreement. material.

Why do IAEA safeguards matter?

Safeguards help to reconcile the dual nature of
Nuclear energy has the potential to contribute to
the atom.
health and prosperity throughout the world. However,
it may also be used for the development of nuclear
weapons. The implementation of IAEA safeguards,
therefore, serves as an important confidence building
measure, through which a State can demonstrate
and other States can be assured that nuclear material How have IAEA safeguards
is being used only for peaceful purposes. The IAEA evolved?
and its safeguards were established nearly 60 years
ago to help to reconcile the dual nature of the atom, IAEA safeguards have evolved over the past 60
so that nuclear energy could be placed only in the years as a result of technological change, practical
service of peace and the development of humankind experience and the need of strengthening their
while protecting against its misuse. There would be effectiveness and improving their efficiency (for an
far less nuclear cooperation and transfer of nuclear overview of some key developments, see figure 1 on
technology if safeguards did not exist. page 13). The events that have had the most profound
Practically all countries around the world impact on IAEA safeguards can be said to be: the
use nuclear applications for a variety of peaceful introduction of comprehensive safeguards pursuant
purposes, including food and water security, to the NPT and the Treaty of Tlatelolco in the early
energy, industrial applications and human health. 1970s; the discovery of a clandestine nuclear weapons
Only a few of these activities involve the type of development effort in Iraq in 1991 (part of which had
nuclear material that could potentially be diverted been concealed by Iraq within its declared nuclear
to nuclear weapons or other nuclear explosive programme); and the IAEAs experience in relation to
devices (see box on page 8). the Democratic Peoples Republic of Korea (DPRK,
 IAEA Safeguards | 9

Three types of safeguards agreements, two protocols

Comprehensive safeguards agreements (CSAs): all NNWSs party to the NPT, as well as States party
to the regional nuclear-weapon-free zone treaties (NWFZ Treaties), are required to conclude CSAs
with the IAEA. Such agreements are concluded on the basis of INFCIRC/153 (Corrected)). A State
undertakes to accept IAEA safeguards on all nuclear material in all peaceful nuclear activities within
its territory, under its jurisdiction or carried out under its control anywhere. Under these agreements,
the IAEA has the right and obligation to ensure that safeguards are applied on all such nuclear material
for the exclusive purpose of verifying that such material is not diverted to nuclear weapons or other
nuclear explosive devices.

Small quantities protocols (SQPs): as a means to minimize the burden of safeguards activities in CSA
States with little or no nuclear activities, an SQP was introduced by the IAEA in the early 1970s. In
2005, the IAEA Board of Governors, as a safeguards strengthening measure, approved a modified text
of the SQP.

Item-specific safeguards agreements: agreements of this type cover only nuclear material, facilities
and other items specified in the safeguards agreements. They are based on the safeguards procedures
established in INFCIRC/66/Rev.2 and its earlier versions. States parties to such agreements undertake
not to use nuclear material, facilities or other items subject to the agreement for the manufacture of
any nuclear weapon or to further any military purpose. The IAEA implements safeguards pursuant to
such agreements in three States that are not party to the NPT.

Voluntary offer agreements (VOAs): the five NPT nuclear-weapon States have concluded safeguards
agreements covering some or all of their peaceful nuclear activities. Under the VOAs, facilities are
notified to the IAEA by the State concerned and offered for the application of safeguards. The IAEA
applies safeguards under VOAs to nuclear material in selected facilities.

Additional protocols (APs): these are designed for States having any type of safeguards agreement
with the IAEA. States with CSAs which decide to conclude additional protocols must accept all
provisions of the Model Protocol Additional to Agreement(s) between State(s) and the IAEA for
the Application of Safeguards (published in INFCIRC/540 (Corrected)), which was approved by the
Board of Governors in 1997. States with item-specific or voluntary offer agreements may accept and
implement those measures of the Model Additional Protocol that they choose.

see box on page 12). In particular the Iraq experience Formative years
highlighted the shortcomings of the implementation
of safeguards for States with CSAs being primarily The IAEA concluded its first safeguards agreement
focused on declared nuclear material and provided in 1959 with Canada, but it was not until 1961 that
the catalyst for strengthening IAEA safeguards. the Board of Governors of the IAEA approved a
first safeguards document containing the principles
and procedures for the application of safeguards
(INFCIRC/26).
The discovery of clandestine nuclear weapons Throughout the 1960s, more and more countries
activities in Iraq in the early 1990s triggered an began to request the IAEA to apply safeguards to
nuclear material and facilities which they received
evolution to strengthen IAEA safeguards.
under bilateral nuclear cooperation agreements. Those
countries concluded with the IAEA item-specific
10 | IAEA Safeguards

Next Generation Surveillance System (NGSS) Cameras installed at the Department of Safeguards laboratories for testing prior to
installation in nuclear facilities.

safeguards agreements (based on INFCIRC/26 and its strengthen safeguards implementation under CSAs
subsequent revisions), also known as INFCIRC/66- by enhancing the IAEAs ability to consider a State
type agreements, under which the IAEA applies as a whole. As part of Programme 93+2, measures
safeguards to items subject to the agreements to verify designed to improve the IAEAs ability to detect
that such items are used only for peaceful purposes. undeclared nuclear material and activities in States
It was not until 1971, following the entry into force with CSAs were presented to the IAEA Board of
of the NPT and the Treaty of Tlatelolco, that the IAEA Governors. Some of these measures such as the
started to conclude CSAs with States party to those early provision of design information, environmental
treaties. Those agreements were concluded on the sampling and the use of satellite imagery could
basis of another safeguards document (INFCIRC/153 be implemented under the existing legal authority
(Corrected)) that laid the basis for negotiating CSAs provided for in CSAs (Part 1 measures), while
and which was approved by the IAEA Board of others such as access to other buildings on the site
Governors in 1971. of a facility, additional declarations from the State
regarding nuclear-related research and development
Changing expectations required complementary legal authority in order to
be implemented (Part 2 measures). In 1997, the IAEA
The IAEAs experience in the Iraq and the DPRK Board of Governors approved the Model Additional
demonstrated that, although IAEA safeguards had Protocol designed to provide for additional measures
worked well with regard to verification activities on to strengthen the IAEAs ability to detect undeclared
declared nuclear material and facilities, the IAEA nuclear activities in a State.
was not well-equipped to detect undeclared nuclear
material and activities in States with CSAs. This set Additional Protocol
the stage and provided the catalyst for far-reaching
efforts to strengthen the safeguards system. The Additional Protocol is very important for the
At the end of 1993, the IAEA embarked on a effectiveness and efficiency of safeguards. An AP is
broad programme (Programme 93+2) to further not a free-standing legal instrument. It can only be
 IAEA Safeguards | 11

Strengthening measures under the Additional Protocol

APs concluded with CSA States equip the IAEA with important additional verification measures that
provide for broader access to information about the States nuclear programme, increased physical
access by the IAEA and improved administrative arrangements.

These additional measures include: (i) State provision of information about, and IAEA access to,
all parts of a States nuclear fuel cycle, from uranium mines to nuclear waste and other locations where
nuclear material intended for non-nuclear uses is present; (ii) State provision of information on, and
IAEA short-notice access to, all buildings on a site; (iii) State provision of information about, and IAEA
access to, a States nuclear fuel cycle research and development activities not involving nuclear material;
(iv) State provision of information on the manufacture and export of sensitive nuclear-related equipment
and material, and IAEA access to manufacturing and import locations in the State; (v) IAEA collection
of environmental samples beyond declared locations, when deemed necessary by the IAEA; and (vi) a
simplified procedure for designation of IAEA inspectors, the issuance of multiple entry/exit visas and
IAEA use of internationally established systems of communications.

Under an AP, the IAEA may carry out complementary access to assure the absence of undeclared nuclear
material and activities, to resolve a question or an inconsistency relating to correctness and completeness
of the information provided by a State, and to confirm the decommissioned status of a facility or LOFs,
such as in hospitals, where nuclear material was customarily used.

concluded to a safeguards agreement. The additional Consideration of the State as a

measures provided for in an AP include provision whole
of information about, and inspector access to, all
aspects of a States nuclear fuel cycle from uranium The IAEA started to consider a State as a whole
mines to nuclear waste and improved administrative in the implementation of safeguards for States with
arrangements (see box on page 11) thus, filling the CSAs in the early 1990s. It started to better integrate
gaps in the information reported under CSAs. By and assess all of the information available to it about
enabling the IAEA to obtain a much fuller picture a States nuclear activities and plans, and produced its
of a CSA States nuclear programme, plans, nuclear first State evaluation report in 1995. The Additional
material holdings and trade, an AP helps to provide Protocol in particular provided the IAEA with
much greater assurance on the absence of undeclared increased information about the States nuclear and
nuclear material and activities in the State. nuclear-related activities and capabilities, and added
Today, 126 States have an AP in force, or to the IAEAs ability to consider the State as a whole.
approximately two-thirds of all States with safeguards In 1999 the IAEA drew its first so-called Broader
agreements in force. Another 20 States have signed an Conclusion for a State as a whole, namely that all
AP but have not yet brought it into force. nuclear material remained in peaceful activities.
In 2001, the IAEA started developing and
implementing State level safeguards approaches
(SLAs) for States for which the IAEA had drawn
The Additional Protocol provides the IAEA
a Broader Conclusion. An SLA is a customized
with important supplementary tools which
approach to implementing safeguards for an
significantly increase the IAEAs ability to individual State. For such States, the IAEA began to
verify the peaceful use of all nuclear material implement integrated safeguards, integrating in an
in a State with a comprehensive safeguards optimal way the safeguards measures available to the
agreement. IAEA under a States CSA and AP. In 2014, integrated
safeguards were implemented for 53 States.
12 | IAEA Safeguards

Current safeguards challenges

In the early 1990s, the IAEA identified
inconsistencies between nuclear activities
declared by the DPRK under its NPT Safeguards
Agreement and information available to the
IAEA through inspections and other sources.
When bilateral efforts to resolve the identified
inconsistencies failed, the IAEA Board of
Governors decided that access to additional
information and locations in the DPRK was
essential and urgent in order to resolve these
inconsistencies. Since 1994, the IAEA has not
been able to conduct all necessary safeguards
activities provided for in the DPRKs CSA. Since IAEA Director General Yukiya Amano and Dr. Ali Akbar
April 2009, when IAEA inspectors were requested Salehi, Vice President and Chairman of the Atomic Energy
Organization of Iran, speak to the press in Tehran during a
by North Korean authorities to leave the DPRK,
visit to Iran in August 2014.
the IAEA has not implemented any measures
under the ad hoc monitoring and verification
arrangement agreed between the IAEA and the DPRK and foreseen in the Initial Actions agreed at the
Six-Party Talks between China, DPRK, Japan, the Republic of Korea, the Russian Federation and the
United States of America. The DPRK case demonstrated the need for providing IAEA inspectors with
access to locations in a State in order to verify the correctness and completeness of a States declarations.

In 2002, information came to light regarding previously undeclared nuclear material and activities
that the Islamic Republic of Iran (Iran) should have declared but had not declared to the IAEA. At
time of writing, while the IAEA continues to verify the non-diversion of declared nuclear material at
the nuclear facilities and LOFs declared by Iran under its Safeguards Agreement, the IAEA is not in a
position to provide credible assurance about the absence of undeclared nuclear material and activities
in Iran, and therefore to conclude that all nuclear material in Iran is in peaceful activities. In November
2013, the IAEA and Iran agreed on a Framework for Cooperation, within which verification activities
are being implemented by the IAEA to resolve all present and past issues. Also in November 2013,
China, France, Germany, the Russian Federation, the United Kingdom and the United States and Iran
agreed on a Joint Plan of Action (JPA). While not a party to the JPA, the IAEA is undertaking the
necessary nuclear-related monitoring and verification activities in relation to the JPA, involving activities
additional to those already being carried out pursuant to Irans CSA and relevant provisions of United
Nations Security Council resolutions.

In 2008, the Director General informed the Board of Governors that the IAEA had been provided
with information alleging that an installation in the Syrian Arab Republic (Syria), destroyed by Israel
in 2007, had been a nuclear reactor that was not yet operational. Syria has maintained that the destroyed
building was a non-nuclear military installation. In 2011, the IAEA assessed that it was very likely that
the destroyed building was a nuclear reactor which should have been declared to the IAEA.

Over recent years, the IAEA Secretariat has further

developed the consideration of a State as a whole in In view of the changing world, evolving
the implementation of safeguards in the context of the safeguards implementation is essential to
State-level concept (SLC). This refers to the general strengthen the effectiveness and improve the
notion of implementing safeguards in a manner
efficiency of IAEA safeguards.
 IAEA Safeguards | 13

Figure 1. Some key developments in IAEA safeguards.

that considers a States nuclear and nuclear-related third parties). The IAEA conducts ongoing reviews
activities and capabilities as a whole, within the of such information to assess internal consistency of
scope of the States safeguards agreement. The IAEA State-declared information, and its consistency with
Secretariat is in the process of updating the current the information generated and collected by the IAEA.
SLAs and plans for the progressive development of Any anomalies, questions or inconsistencies are
SLAs for other States in the future. identified and addressed in a timely manner through
consultations with the State and further action taken,
as necessary.
How are IAEA safeguards
Information provided by a State regarding its
applied in practice? nuclear material and activities represents the great
majority of information used by the IAEA for
The implementation of IAEA safeguards comprises safeguards implementation. For States with CSAs and
four fundamental processes, namely (i) the collection APs in force, information is provided to the IAEA
and evaluation of information, (ii) the development in the form of nuclear material accounting reports,
of a safeguards approach for a State, (iii)
the planning, conduct and evaluation of
safeguards activities, including in-the-field
and at Headquarters, and (iv) the drawing
Collect and process
of safeguards conclusions. These processes safeguards relevant
Evaluate all safeguards
relevant information
information
are illustrated in figure 2. Throughout these
processes, the IAEA performs a variety of
safeguards activities, from the measurement Establish findings and Analyse
of nuclear material items in facilities to the draw safeguards
conclusions
diversion/acquisition
paths
analysis of safeguards relevant information
at Headquarters.

Safeguards processes Evaluate results of

safeguards activities
Follow-up
activities?
Establish and prioritize
technical objectives

Collecting and evaluating information

The IAEA collects and processes Conduct in-field & HQ Identify applicable
safeguards activities safeguards measures
safeguards relevant information about a State
from three sources: information provided by
the State itself (e.g. reports and declarations); Develop annual plan for
safeguards activities
safeguards activities conducted by the IAEA
in the field and at Headquarters (e.g. in-field
verification, evaluation of nuclear material
accounting information); and other relevant
information (e.g. from open sources and Figure 2. Main steps in safeguards implemetation processes.
14 | IAEA Safeguards

Cooperation with State and regional authorities

responsible for safeguards implementation (SRAs)
In accordance with safeguards agreements,
the IAEA and States are obliged to cooperate in
the implementation of safeguards. The IAEA
places great value on effective cooperation
with States and devotes substantial resources
to assist States in developing the relevant
capabilities. Guidance documents, training
offerings and reference materials are available at
www.iaea.org/safeguards.

Each State with a CSA is required to establish

and maintain a State system of accounting for
control of nuclear material (SSAC). Some States have entered into a regional system of accounting for
control of nuclear material (RSAC). An SSAC as a system is comprised of all of the elements necessary
for a State to control and report its nuclear material inventory, including laws and regulations, nuclear
material accounting systems at facilities, records, reports, information. The SRA is the authority
established at the national (or regional) level to ensure and facilitate the implementation of safeguards.
In addition to its safeguards functions, a State authority may have additional responsibilities associated
with nuclear safety, security, radiation protection and export/import controls.

In practice, the SRA is also the point of contact between the State and the IAEA for operational issues
(e.g. arrangements for installing safeguards equipment or for implementing unannounced inspections
will require detailed discussions between the SRA and the IAEA). Communication between the SRA and
the IAEA is an important component of effective cooperation.

advance notifications of transfers of nuclear material and takes follow up actions to address the correctness
and facility design information, and information and completeness of their declarations.
about the States nuclear and nuclear-related activities. One example of a valuable open source of
One of the questions that the evaluation of information is commercially available satellite
safeguards activities seeks to answer is whether a imagery. Satellite imagery is used routinely to
States declarations about its nuclear programme and evaluate information provided by States on their
plans are consistent with other safeguards relevant nuclear activities and to plan inspections, visits to
information available to the IAEA. Such information facilities to verify design information and to conduct
includes information from open sources (e.g. public complementary access under the AP.
government and operator publications, scientific
and technical literature, etc.) as well as third party
information (i.e. parties other than the State itself).
The latter, which constitutes a very small part of The evaluation of all safeguards relevant
information available to the IAEA, is made available information is important to obtain a comprehensive
to the IAEA by a State or an organization on a view of a States nuclear and nuclear-related
voluntary basis. This information, once validated, is
activities and capabilities as a whole.
thoroughly analyzed by the IAEA and corroborated
with other safeguards relevant information available
to it. During this process the IAEA engages with States
 IAEA Safeguards | 15

In-field safeguards activities are complemented

by activities at Headquarters. These include the
processing, review and validation of information
from States, resulting from in-field safeguards
activities and generated from the equipment installed
at nuclear facilities, and from open and other sources.
Headquarters activities generate safeguards relevant
information as a result of the review of data remotely
transmitted from safeguards equipment and cameras
installed at nuclear facilities around the world,
verification of seals, evaluation of analytical results
IAEA staff analysing satellite imagery. from safeguards samples collected in the field and
material balance evaluation. Great effort is undertaken
to ensure the consistency of the evaluation of all of
the safeguards relevant information.
Developing Safeguards Approaches
In the conduct of its safeguards activities in
the field and at Headquarters, the IAEA utilizes
The IAEA develops SLAs for States using a
instrumentation, technical measures and techniques
structured, technical method used to analyse the
to verify information provided by States. New
plausible paths by which nuclear material suitable for
and improved technologies continue to provide
use in a nuclear weapon or other nuclear explosive
an important basis for more effective and efficient
device could be acquired. On this basis, technical
safeguards implementation.
objectives associated with the steps along a path are
Safeguards implementation requires the availability
established and guide the planning, conduct and
of appropriately prepared, calibrated, tested and well-
evaluation of safeguards activities for that State. To
maintained equipment. The IAEA has accumulated
address the technical objectives, specific safeguards
considerable experience in the management of
measures are identified in accordance within a States
safeguards equipment and this is highlighted by its
safeguards agreement.
large equipment inventory (more than 45,000 items),
the long list of equipment authorized for inspection
use (almost 140 types). For example, unattended
Planning, Conducting and evaluating
monitoring systems may work with a remote
safeguards activities
transmission capability and are increasingly being
used in nuclear facilities to reduce in-field inspection
Based on an SLA, the IAEA prepares an annual
activities. These systems have the ability to transmit
implementation plan which specifies the safeguards
authenticated real time verification data from the
activities, both in the field and at Headquarters
field in a cost effective manner.
in Vienna, which the IAEA plans to conduct in a
given year for the State. Once an activity has been
conducted, the IAEA evaluates the extent to which
that activity has attained the technical objective(s)
and identifies any questions, inconsistencies and
anomalies necessitating further follow-up activities,
which may then be incorporated into an updated
plan.

Soundly based conclusions depend on the

independent, impartial and rigorous technical
implementation of safeguards. 3D laser scanning allows for detection of design changes within a
nuclear facility.
16 | IAEA Safeguards

In-field safeguards activities

IAEA inspectors perform a variety of
verification activities in the field.
Nuclear material accountancy is analogous to
an audit of a bank: the inspector compares what
is on the nuclear material accounting records,
books and reports of a facility with what has been
reported by the State to the IAEA and, crucially,
that the nuclear material is actually present at the
facility as declared.
During the design information verification,
inspectors compare the design information that
the State has submitted to the IAEA with in-field
observations to confirm that the information Nuclear inspector verifying design information in a facility.

provided by the state is correct and complete, and

the facility has not been misused.
Environmental samples may be taken for
analysis in order to verify that the facility is used
as declared. These samples allow an analysis of
traces of materials that can reveal information
about nuclear material or activities (e.g. separated
plutonium or highly enriched uranium at a
facility) that have not been declared to the IAEA.
Inspectors verify the inventory of nuclear
material using a range of measurement
techniques. These techniques include item
In-field verification of an electronic seal.
counting, weighing, non-destructive assay with
radiation detectors and sample taking for detailed,
destructive analysis at IAEA laboratories. Non-destructive assay can be used to determine the presence
of nuclear material in an item, or the amount of nuclear material in an item without physically changing
the item. Destructive analysis produces a very
accurate determination of the concentration of
nuclear material in a small sample of material
taken from a facility. The sample material is
destroyed in the measurement process.
Containment and surveillance techniques,
such as the application of seals and the use of
cameras and detectors installed at the facility,
may be used to provide continuity of knowledge
over nuclear material and facilities between
inspections by preventing undetected access
to nuclear material or undeclared operation of
the facility. In addition, almost 300 unattended
systems, some of them with remote transmission
of data to Headquarters, further support effective
and efficient continuity of knowledge. Electronic optical seal.
 IAEA Safeguards | 17

Data transmitted to IAEA headquarters from remote surveillance monitoring systems at nuclear facilities.

A very powerful verification technique used by uranium and plutonium. The work of the laboratory
the IAEA is environmental sampling. Environmental is critical for the evaluation of safeguards verification
sampling is effective in detecting undeclared nuclear activities. It is responsible for processing, screening,
material and activities. It involves collecting swipe distributing, analyzing and archiving samples. The
samples in order to analyze them for traces of analytical capabilities of SAL are further augmented
materials that can reveal information about nuclear by the IAEAs Network of Analytical Laboratories
material handled or activities conducted. (NWAL) which comprises SAL and 20 qualified
The nuclear material and environmental samples laboratories in nine IAEA Member States and the
taken by IAEA inspectors during in-field verification European Commission.
activities are analyzed in the IAEA Safeguards
Analytical Laboratory (SAL) in Seibersdorf, Austria.
SAL provides the IAEA with a set of independent
verification capabilities in areas such as the analysis of Equipment, techniques and technologies are
critical components of IAEA safeguards.

Drawing safeguards conclusions

The products of IAEA safeguards implementation

activities are annual safeguards conclusions drawn
and reported by the IAEA's Secretariat each year to the
Board of Governors in the Safeguards Implementation
Report (SIR). In order to draw a safeguards conclusion
for each State with a safeguards agreement in force,
the IAEA needs to have conducted a sufficient level of
Example of environmental sample analysis: isolation and safeguards activities and performed a comprehensive
measurement of micron-sized particles of nuclear materials to evaluation of all safeguards relevant information
determine their isotopic composition. available to it about a State. It also needs to have
18 | IAEA Safeguards

Type of safeguards conclusions per legal agreement

For States with a CSA and an Additional Protocol in force, if the IAEAs Secretariat has completed
all evaluations and found no indication of the diversion of declared nuclear material from peaceful
activities and no indication of undeclared nuclear material or activities for the State as a whole, the
Secretariat concludes that all nuclear material remained in peaceful nuclear activities.

For States with a CSA but without an Additional Protocol in force, if the IAEAs Secretariat found no
indication of the diversion of declared nuclear material from peaceful activities the Secretariat concludes
that declared nuclear material remained in peaceful nuclear activities.

Under item specific safeguards agreements, if the IAEAs Secretariat found no indication of the
diversion of nuclear material or of misuse of the facilities or other items to which safeguards had been
applied, the Secretariat concludes that nuclear material facilities and other items to which safeguards had
been applied remained in peaceful activities.

For States with voluntary offer safeguards agreements, if the IAEAs Secretariat found no indication
of the diversion of nuclear material to which safeguards had been applied, the Secretariat concludes that
nuclear material to which safeguards had been applied in selected facilities was not withdrawn from
safeguards, except as provided for in the agreements, and remained in peaceful activities.

For States with no safeguards agreements in force, the IAEA's Secretariat cannot draw any safeguards
conclusions.

addressed anomalies, questions or inconsistencies addition, the number of safeguards agreements and
identified in the course of its safeguards activities, and additional protocols entering into force is increasing.
assessed whether there are any indications that, in its These global trends look set to continue.
judgement, would constitute a safeguards concern.
The type of conclusion varies according to the type of
safeguards agreement in force (see box on page 18). Demands on IAEA safeguards are rapidly
growing and becoming more complex.

International nuclear cooperation between States is

What are the current trends
intensifying with an expansion of trade and services
in IAEA safeguards? in nuclear related equipment, items and materials.
Technologies are also changing. Many older nuclear
The global nuclear landscape is changing rapidly plants are being modernized and new facilities are
and will likely continue to do so. Every day across becoming more technologically sophisticated. The
the world more nuclear facilities and material come geographical focus of these expanding programs
under IAEA safeguards. Nuclear power is expanding also continues to change. These trends are not only
in countries already using it, as well as in States a macro-level phenomenon; they are an everyday
introducing it. Over the past five years alone, the reality for the IAEA. In short, demands on IAEA
number of nuclear facilities under safeguards has safeguards are growing and becoming more complex.
risen by 12 per cent and the quantity of nuclear For the foreseeable future, the IAEAs regular
material under safeguards by some 14 per cent. budget is not likely to grow to meet these increasing
Facilities undergoing decommissioning may also demands. Indeed, it has been nearly static for some
involve a large safeguards effort to verify nuclear time already. The IAEA depends on the financial
material packaging, movement and disposition. In contributions of its Member States, many of which
 IAEA Safeguards | 19

Optimizing safeguards
IAEA safeguards comprise a fundamental component
of nuclear non-proliferation. They promote greater
confidence among the international community by
providing assurance that States are complying with their
obligations under relevant safeguards agreements. IAEA
safeguards also contribute to strengthening collective
security and help to create an environment conducive to
nuclear cooperation.
Even though the nuclear world constantly changes, the
IAEAs obligations and those of States under their existing
safeguards agreements remain unchanged. In this context,
it is essential that the Department of Safeguards improve
its productivity by striving for greater efficiency without
compromising the credibility and quality of its safeguards
conclusions. There are three main ways in which this can
be done: firstly, doing things more smartly and efficiently
in-house and in the field can bring improvements in
effectiveness as well as cost savings; secondly, by making Tero Varjoranta, Deputy Director General and
better use of modern technology to identify ways of Head of the Safeguards Department
implementing safeguards most cost-effectively; and
thirdly, by Member States themselves improving their
performance in safeguards implementation.
In seeking to optimise safeguards
implementation for a State, the relationship
My vision is one where States and industry see between the IAEA and the national
us as value added important partners, not or regional authority responsible for
safeguards implementation can be a critical
adversaries and issues of safeguards concern
factor. Building cooperative and trusting
continue to be properly addressed.
relationships often brings tangible mutual
benefits: for example, it may result in lower
in-field inspection effort. We are making
a conscious effort at the IAEA to foster more cooperative partnerships with national and regional
authorities. Real progress is being made, but there is further to go.
Central to our efforts for optimization is the further evolution not revolution of safeguards
implementation, particularly in those States with the Broader Conclusion.
This evolution takes place in a structured, objective and coordinated manner, consistent with well-
established principles.
My vision for safeguards in the future is one in which States and nuclear industry see us as value added
important partners, rather than adversaries; in which we continue to draw independent and soundly-
based safeguards conclusions and issues of safeguards concern continue to be properly addressed.

are under pressure to reduce public expenditures. As long as the nuclear world continues to change,
At the same time, the IAEAs and States obligations IAEA safeguards will need to adapt and change with
under safeguards agreements remain the same. Their it. Managing change is not new to the IAEA. Without
implementation cannot be relaxed whether to save further improvements and optimization, it will be
money or for any other reason. increasingly difficult to guarantee an effective, reliable
20 | IAEA Safeguards

without compromising the effectiveness of our work

and our ability to continue drawing soundly-based
conclusions.

The cooperation between the IAEA and States

remains critical for the implementation of
safeguards.

Under water surveillance cameras installed at IAEA laboratories

for testing prior to installation in nuclear ponds.
With the support of its Member States, the IAEA
will continue to live up to the expectation of the
and credible safeguards system. In this context, international community by verifying the peaceful
it is essential that the IAEA continue to improve use of nuclear energy thereby contributing to the
its productivity by striving for greater efficiency non-proliferation of nuclear weapons.
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