JOINT CONVENTION

1. JOINT CONVENTIONON THE SAFETY OF SPENT FUEL MANAGEMENT ANDON THE SAFETY OF RADIOACTIVE WASTE MANAGEMENTDaniela E. Alvarez, Ph.D.ARAB ATOMIC ENERGY AGENCY/ARAB NETWORK OF NUCLEAR REGULATORS (ANNuR)FORUM OF NUCLEAR REGULATORY BODIES IN AFRICA (FNRBA)Regional Workshop on Management and Safe Disposal of Radioactive WasteTunis, 17-21, March 2014

2. JOINT CONVENTION The “Joint Convention” is: • a convention legally binding between Contracting Parties • the unique binding legislation on the area of the safety of spent fuel management and on the safety of radioactive waste management • based in IAEA Safety Fundamentals entitled "The Principles of Radioactive Waste Management" (1995) • a convention “of incentive” The JC was adopted on 5th September 1997 by a Diplomatic Conference convened by the International Atomic Energy Agency and enteredintoforce in June 2001

3. JC - OBJECTIVES • to achieve and maintain a high level of safety worldwide in spent fuel and radioactive waste management, through the enhancement of national measures and international co-operation, including where appropriate, safety-related technical co-operation • to ensure that during all stages of spent fuel and radioactive waste management there are effective defenses against potential hazards so that individuals, society and the environment are protected from harmful effects of ionizing radiation, now and in the future • to prevent accidents with radiological consequences and to mitigate their consequences should they occur during any stage of spent fuel or radioactive waste management

4. HOW TO ACHIEVE THESE OBJECTIVES? Since the Joint Convention is an incentive instrument, it is not designed to ensure compliance with the obligations through control and sanction. It is based on the common interest of achieving high levels of security that is expected to develop and promote through regular meetings of the Parties

5. SCOPE OF APPLICATION • The JC will apply to: • spent fuel management when the spent fuel results from the operation of civilian nuclear reactors • radioactive waste management when the radioactive waste results from civilian applications • controlled and planneddischarges • sealeddisusedsources • The JC willnotapplyto: • waste that contains only naturally occurring radioactive materials and that does not originate from the nuclear fuel cycle • spent fuel held at reprocessing facilities as part of a reprocessingactivity • spent fuel or radioactive waste within military or defense programmes

6. ROLES • TheJC belongstotheContracting Parties. Their delegates and elected officials are the protagonists of the review process • IAEA is: • depositary of instruments of ratification and access • exercises the Secretary • performs promotion activities • MEETINGS OF PARTIES • Organizingmeetings • Reviewmeetings (everythreeyears) • Extraordinarymeetings • (Note: theplennarysessions are translated online intothesix UN languages)

7. DOCUMENTS • INFCIRC/546 (1997) - Articles of the Joint Convention • INFCIRC/602/Rev. 4 (2012) - Rules of Procedure and Financial Rules • INFCIRC/603/Rev. 5 (2012) - Guidelines regarding the Review Process • INFCIRC/604/Rev. 2 (2012) - Guidelines regarding the Form and Structure of National Reports COMPROMISES (of theParties) To take appropriate measures to ensure that during all stages of the management of SF and RW people, society and the environment are protected properly to against radiological hazards To prepare a National Report and sent it to review for the Contracting Parties, every three years To reply to written questions submitted by other Contracting Parties To participate in meetings of the Contracting Parties To participate (actively) in the review process

8. ESTRUCTURE OF JOINT CONVENTION TheInformation Circular 546 establishesthearticles of the JC, containing: PREAMBLE CHAPTER 1 OBJECTIVES, DEFINITIONS AND SCOPE OF APPLICATION CHAPTER 2 SAFETY OF SPENT FUEL MANAGEMENT CHAPTER 3 SAFETY OF RADIOACTIVE WASTE MANAGEMENT CHAPTER 4 GENERAL SAFETY PROVISIONS CHAPTER 5 MISCELLANEOUS PROVISIONS CHAPTER 6 MEETINGS OF THE CONTRACTING PARTIES CHAPTER 7 FINAL CLAUSES AND OTHER PROVISIONS

9. TECHNICAL REQUIREMENTS • Articles 4 and 11 general safety requirements • Articles 5 and 12 existingfacilities (and pastpractices) • Articles 6 and 13 siting of proposedfacilities • Articles 7 and 14 design and construction of facilities • Articles 8 and 15 assessment of safety of facilities • Articles 9 and 16 operation of facilities • Article 10 disposal of spent fuel • Article 17 institutionalmeasuresafterclosure • Article 23 qualityassurance • Article 24 operationalradiationprotection • Article 25 emergencypreparedness • Article 28 disusedsealedsources

10. REGULATORY REQUIREMENTS • Article 18 implementingmeasures • Article 19 legislative and regulatory framework • Article 20 regulatorybody • Article 21 responsibility of the licence holder • Article 22 human and financial resources • Article 27 transboundarymovement • REQUIREMENTS RELATED TO NATIONAL REPORTS • Article 32: each Contracting Party shall submit a National report to each review meeting of Contracting Parties. This report shall address the measures taken to implement each of the obligations of the Convention

11. ARTICLE 32 • For each Contracting Party the report shalladdressits: • spent fuel managementpolicy • spent fuel managementpractices • radioactivewastemanagementpolicy • radioactivewastemanagementpractices • criteria used to define and categorize radioactive waste • as well as: • a list of the spent fuel management facilities • an inventory of spent fuel • a list of the radioactive waste management facilities • an inventory of radioactive waste • a list of nuclear facilities

12. INFCIRC/604 - Guidelines regarding the Form and Structure of National Reports • each Contracting Party may submit a report with the form, length and structure it believes neccessary • the first report may need to include more comprehensive information • National Reports at subsequent meetings should contain updated information • each report should, as appropriate: • addressallaspects of the obligations under the Convention • distinguish between requirements laid down in national regulations and the status of the implementation of these requirements • include other official national reports and reports on national and international reviews requested by the Contracting Party as annexes • focus on describing by which specific measures the Contracting Party is implementing which specific article of the Convention

13. INFCIRC/604 – REPORT STRUCTURE SUGGESTED Section A. Introduction Section B. Policies and Practices Section C. Scope of Application Section D. Inventories and Lists Section E. Legislative and Regulatory System Section F. Other General Safety Provisions (responsibility of the license holder, human and financial resources, QA, operational RP, Emergencypreparedness, decommissioning) Section G. Safety of Spent Fuel Management Section H. Safety of Radioactive Waste Management Section I. TransboundaryMovement Section J. Disused Sealed Sources Section K. Planned Activities to Improve Safety Section L. Annexes Language: english

14. REVIEW PROCESS Analysis of National Reports National Reports on JCweb Preparation of questions on others NR Preparation of new National Reports Preparation of answers Presentation of NR in Review Meeting

15. REVIEW MEETINGS Every three years with 8 to 10 days of duration Including: • Aperture Plennary Session • Sessions of Contracting Parties groups • Final Plennary Session (presentation of summary of Contracting Parties groups Sessions, highlights of National Reports) SESSIONS OF CONTRACTING PARTIES GROUPS • National Report presentation including answers to questions received • Additional questions and discussion • Preparation, discussion and agree of the summarizing of the groups Sessions

16. NATIONAL LEVEL IMPACT The process of National Report preparation allows to make a critical analysis of the situation, identifiyng weakness as well as points to be better NR is a reconized document at international level to demostrate the safety of the management of RW and SF to government and general public A graded aproach development of safety, reaching safety levels used at international level Identification of opotunities of international cooperation as well as financiation of proyects Increasing in the public trust in mechanisms and national requeriments related to the management of radioactive waste and spent fuel

17. SPECIAL PROVISIONS For Countries that generate RW only from medicine, industry, education and agriculture: JC could imply the availability of capacity of Countries developed on nuclear industry by exchange technical information through the review process Oportunity of identification of technical assisstence areas by other Contracting Parties The review mechanism allows the identification of points to improve Oportunity to agnoledgement transfer

18. When a Country shouldapplytothe JC? As soon as possible It is not a requirement to cover all the articles of the JC The early involvement of as many Contracting Parties will represent a significant advance The strength of the union: a large number of Parties will improve global security For the last Review Meeting (2011) 63 Countries supported the JC

19. PROCEDURE TO ACCESS TO JC • The Article 39 of JC stablishes that the stages for apply to JC for a Country are: • signature, ratification, acceptance, approval, accession • ASSOCIATED COSTS • Direct: • National Report preparation • Review Meeting attendance • Indirect: • Implementation of safety measurements

20. EXAMPLE National Report with 15 pages. Iceland is a country that has no nuclear industry, no research reactor or other facility generating radioactive substances Contents of the Report Section A: Introduction Section B: Policies and Practices Radioactive waste management policy Radioactive waste management practices Section C: Scope of Application Section D: Inventories and Lists Section E: Legislative and Regulatory system Section F: Other General Safety Provisions Annex – 1: Disused sealed radioactive sources in Iceland as of 1 January 2006

21. Thank you This activity is conducted by the IAEA, with funding by the European Union

22. CODE OF CONDUCT ONTHE SAFETY AND SECURITY OFRADIOACTIVE SOURCESDaniela E. Alvarez, Ph.D.ARAB ATOMIC ENERGY AGENCY/ARAB NETWORK OF NUCLEAR REGULATORS (ANNuR)Regional Workshop on Management and Safe Disposal of Radioactive WasteTunis, Tunisia17-21, March 2014

23. THE CODE The Code of Conduct on the Safety and Security of Radioactive Sources has been strengthened to take account of international concerns The text of the revised Code was approved by the IAEA Board of Governors in September 2003 The General Conference urged each State to write to the Director General expressing their full support and endorsement of the Agency's efforts to enhance the safety and security of radioactive sources, that they're working toward following the guidance contained in the Code and that they encourage other countries to do the same The Code was published by IAEA in January 2004 and 119 countries have written to the Director General, expressing their support for the Code

24. THE IAEA’S MEMBER STATES Noting that radioactive sources are used throughout the world for a wide variety of beneficial purposes, e.g. in industry, medicine, research, agriculture and education, Aware that the use of these radioactive sources involves risks due to potential radiation exposure, Recognizing the need to protect individuals, society and the environment from the harmful effects of possible accidents and malicious acts involving radioactive sources, …….. Recognizing the importance of fostering a safety and security culture in all organizations and among all individuals engaged in the regulatory control or the management of radioactive sources, …….. Noting that the BSS contains recommendations for protection against exposure to ionizing radiation and for the safety and security of radioactive sources, …………….. Recognizing the global role of the IAEA in the area of the safety and security of radioactive sources,

25. DECIDE that the following Code of Conduct should serve as guidance to States for — inter alia — the development and harmonization of policies, laws and regulations on the safety and security of radioactive sources SCOPE The Code applies to all radioactive sources that may pose a significant risk to individuals, society and the environment. States should also devote appropriate attention to the regulation of other potentially harmful radioactive sources (Radioactive sources within military or defense programmes are excluded)

26. OBJECTIVES The objectives of this Code are, through the development, harmonization and implementation of national policies, laws and regulations, and through the fostering of international co-operation, to: (i) achieve and maintain a high level of safety and security of radioactive sources; (ii) prevent unauthorized access or damage to, and loss, theft or unauthorized transfer of, radioactive sources, so as to reduce the likelihood of accidental harmful exposure to such sources or the malicious use of such sources to cause harm to individuals, society or the environment; and (iii) mitigate or minimize the radiological consequences of any accident or malicious act involving a radioactive source This Code is intended to complement existing international standards in these areas

27. BASIC PRINCIPLES • Every State should, in order to protect individuals, society and the environment, take the appropriate measures necessary to ensure that: • the radioactive sources within its territory, or under its jurisdiction or control, are safely managed and securely protected during their useful lives and at the end of their useful lives • the promotion of safety culture and of security culture with respect to radioactivesources • Every State should have in place an effective national legislative and regulatory system of control over the management and protection of radioactivesources (appropriate training of the staff, its law enforcement agencies and its emergency services organizations) • Every State should ensure that appropriate facilities and services for radiation protection, safety and security are available to, and used by, the persons who are authorized to manage radioactive sources

28. BASIC PRINCIPLES (cont.) Every State should establish a national register of radioactive sources Every State should ensure that information concerning any loss of control over radioactive sources, or any incidents, with potential transboundary effects involving radioactive sources, is provided promptly to potentially affected States through established IAEA or other mechanisms Every State should encourage the reuse or recycling of radioactive sources, when practicable and consistent with considerations of safety and security Every State should, in implementing this Code, emphasize to designers, suppliers and users (and those managing disused sources) their responsibilities for the safety and security of radioactive sources Each State should take appropriate measures consistent with its national law to protect the confidentiality of any information that it receives in confidence under this Code of Conduct from another State or through participation in an activity carried out for the implementation of this Code of Conduct

29. LEGISLATION AND REGULATIONS Every State should have in place legislation and regulations that: (a) prescribe and assign governmental responsibilities to assure the safety and security of radioactive sources; (b) provide for the effective control of radioactive sources; (c) specify the requirements for protection against exposure to ionizing radiation; and (d) specify the requirements for the safety and security of radioactive sources and of the devices in which sources are incorporated Such legislation and/or regulations should provide for, in particular: the establishment of a regulatory body, measures to protect individuals, society and the environment, administrative requirements relating to the authorization of the management of radioactive sources; provisions for exemption, requirements relating to the verification of the safety and security of radioactive sources, the capacity to take appropriate enforcement actions, etc.

30. REGULATORY BODY • Every State should ensure that the regulatory body established by its legislation has the authority to: • establish regulations and issue guidance relating to the safety and security of radioactivesources • require those who intend to manage radioactive sources to seek an authorization, and tosubmit: • a safety assessment; and • a security plan or assessment as appropriate • obtain all relevant information from an applicant for an authorization; • issue, amend, suspend or revoke, as necessary, authorizations for the management of radioactivesources • attach clear and unambiguous conditions to the authorizations (responsibilities, minimumoperatorcompetencies, etc) • enter premises in order to undertake inspections for the verification of compliancewithregulatoryrequirements

31. REGULATORY BODY (cont.) • Every State should ensure that its regulatory body: • is staffed by qualified personnel; • has the financial resources and the facilities and equipment necessary to undertake its functions in an effective manner; and • is able to draw upon specialist resources and expertise from other relevantgovernmental agencies • establishes procedures for dealing with applications for authorization; • maintains appropriate records of persons with authorizations in respect of radioactivesources, • promotes the establishment of a safety culture and of a security culture among all individuals and in all bodies involved in the management of radioactivesources; • ensures that inventory controls are conducted on a regular basis by personswithauthorizations; • providesguidanceonappropriatelevels of information, instruction and training tomanufacturers, suppliers and users of radioactive sources

32. IMPORT AND EXPORT OF RADIOACTIVE SOURCES • Every State involved in the import or export of radioactive sources should take appropriate steps to ensure that transfers are undertaken in a manner consistent with the provisions of the Code • Every State intending to authorize the import of radioactive sources included in this Code should consent to their import only if the recipient is authorized to receive and possess the source under its national law and the State has the appropriate technical and administrative capability, resources and regulatory structure needed to ensure that the source will be managed in a manner consistent with the provisions of this Code • Every State intending to authorize the export of radioactive sources included in this Code should consent to its export only if it can satisfy itself that the receiving State has authorized the recipient to receive and possess the source and has the appropriate technical and administrative capability, resources and regulatory structure needed to ensure that the source will be managed in a manner consistent with the provisions of this Code

33. IMPORT AND EXPORT OF RADIOACTIVE SOURCES (cont.) • Every State should allow for re-entry into its territory of disused radioactive sources if, in the framework of its national law, it has accepted that they be returned to a manufacturer authorized to manage the disused sources • The transport of radioactive sources through the territory of a transit or transshipment state should be conducted in a manner consistent with existing relevant international standards relating to the transport of radioactivematerials

34. ROLE OF THE IAEA • Continue to collect and disseminate information on laws, regulations and technical standards relating to the safe management and secure protection of radioactive sources, develop and establish relevant technical standards and provide for the application of these standards at the request of any State, inter alia by advising and assisting on all aspects of the safe management and secure protection of radioactive sources • Disseminate this Code and related information widely: • Every State should, as appropriate, inform people involved in the management of radioactive sources, such as industry, health professionals, and government bodies, and the public, of the measures it has taken to implement this Code, and should take steps to disseminate that information

35. RADIONUCLIDES COMMONLY USED (categorizationbyactivitylevels)

36. WRITTEN TO IAEA TO EXPRESS SUPPORT FOR THE CODE

37. Thank you