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States and Safeguards Implementation. NGSI Safeguards Courses. May 2012. Justin Reed. Much of this course is devoted to the IAEA’s implementation of safeguards. IAEA safeguards authorities, tools, and technologies IAEA’s application of safeguards within States

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States and safeguards implementation

States and Safeguards Implementation

NGSI Safeguards Courses

  • May 2012

  • Justin Reed


Much of this course is devoted to the iaea s implementation of safeguards

Much of this course is devoted to the IAEA’s implementation of safeguards

  • IAEA safeguards authorities, tools, and technologies

  • IAEA’s application of safeguards within States

  • Case studies of responses to State noncompliance

  • Assistance provided to the IAEA


States and safeguards implementation

This talk focuses on safeguards from the viewpoint of the State** Non-nuclear weapon State with CSA or CSA+AP


Outline

Outline

  • What are the State’s safeguards obligations and rights?

    • Comprehensive Safeguards Agrmt

    • Additional Protocol

  • State organizations implementing safeguards obligations

    • State Systems of Accounting for and Control of Nuclear Material (SSAC)

    • Safeguards Regulatory Authorities (SRA)

    • Implementation best practices and challenges


What are the state s safeguards obligations

What are the State’s safeguards obligations?


What are the state s safeguards obligations1

What are the State’s safeguards obligations?

  • “Each non-nuclear weapon State party to the treaty undertakes to accept safeguards as set forth in an agreement…with the IAEA”

    • Comprehensive Safeguards Agreement

    • Additional Protocol

Top: The cover of the CSA

Left: Malaysia signs its AP

(Photo: IAEA)


State csa obligations

State CSA obligations:

  • Basic Undertaking

    • “…an undertaking by the State to accept safeguards…on all source or special fissional material in all peaceful nuclear activities…” (1)


State csa obligations1

State CSA obligations:

  • Cooperation

    • “…the Agency and the State shall co-operate to facilitate the implementation of the safeguards provided for therein.” (3)

  • State System of Accounting for and Control of Nuclear Material (SSAC)

    • “…the State shall establish and maintain a system of accounting for and control of all nuclear material subject to safeguards…” (7)

      • MORE ON THIS LATER IN THE PRESENTATION!


State csa obligations continued

State CSA obligations (continued):

  • Provision of Information to the Agency

    • “…the Agency shall be provided…with information concerning nuclear material subject to safeguards under the Agreement and the features of facilities relevant to safeguarding such material…” (8)


State csa obligations continued1

State CSA obligations (continued):

  • Provision of Information to the Agency

    • “…Agency shall be provided…information concerning nuclear material…” (8, as elaborated in paras. 59-69)

      • With respect to each material balance area:

        • Accounting records / Inventory of material

          • Including measurement results, adjustments, corrections

        • Measurement and accounting procedures

        • Material unaccounted for (MUF)

      • Transfers within, into, and out of the State

      • Material reaching the starting point of safeguards


State csa obligations continued2

State CSA obligations (continued):

  • Provision of Information to the Agency

    • “…Agency shall be provided…information concerning…the features of facilities…” (8)

      • “As early as possible before nuclear material is introduced” (42)

        • Description of facility

        • Processing equipment for nuclear material

        • Location and flow of nuclear material

        • Features and procedures for nuclear material accountancy and control

      • Operating records

      • Modifications to the facility relevant to safeguards


State csa obligations continued3

State CSA obligations (continued):

  • Take steps to ensure Agency inspectors can perform their functions (9)

    • Locations (76-77):

      • Strategic points and records

        • For independent measurements, other verification rights

    • Prior to establishment of strategic points, to

      • Any location State’s initial report indicates nuclear material is present

      • Any location where inspections indicate nuclear material is present

      • Points where international transfers are received or dispatched

    • To additional locations as part of a special inspection


Select rights of the state under a csa

Select rights of the State under a CSA:

  • Avoid undue interference with peaceful nuclear activities

  • Commercial or confidential state information protected

  • Consultation opportunity if questions arise about interpretation or application of safeguards, prior to IAEA determination that action is “essential and urgent”


State additional protocol obligations

State Additional Protocol obligations:

  • Provides the IAEA with enhanced authorities and information

    • Information about R&D and more parts of the nuclear fuel cycle

    • Complementary access

    • Ability to use additional tools

  • Requires State to fulfill additional obligations

    • Increased information sharing

    • Facilitate increased IAEA access


State additional protocol obligations1

State Additional Protocol obligations:

  • Article 2: Provision of Information

    • 2.a. “[The State] shall provide the Agency with a declaration containing:”

      Information about, but not limited to:

      • Nuclear related R&D NOT involving nuclear materials

      • Expanded locations

      • Expanded types of safeguards-relevant activities

      • Expanded types of safeguards-relevant materials and equipment

        (see INFCIRC/540 Article 2.a. for complete list)


State additional protocol obligations2

State Additional Protocol obligations:

  • Article 2: Provision of Information (continued)

    • 2.b. “[The State] shall make every reasonable effort to provide the agency with the following information:”

      2.b (i) – Description of R&D related to enrichment, reprocessing, HEU/Pu waste processing not involving nuclear material carried out in the country but not authorized, controlled, or carried out on behalf of the State.

      2.b (ii) – Information on entities or persons carrying out such activities upon specific request by the IAEA.

    • 2.c. Provide clarifications upon request.


State additional protocol obligations3

State Additional Protocol obligations:

  • Articles 4 through 10: Complementary Access

    • Article 5: The State “shall provide the Agency with access to”

      • Article 2 declared locations in addition to CSA declared locations

      • Sites

      • Decommissioned facilities

      • Agency specified locations for environmental sampling

    • Article 4(a)(i-iii): For the purpose of

      • Assuring absence of undeclared nuclear material

      • Resolve questions or inconsistencies about declared information

      • Confirm decommissioned status


Select rights of the state under an additional protocol

Select rights of the State under an Additional Protocol:

  • In addition to those rights granted by the CSA, an AP state has the right to

    • Not have mechanistic or systematic verification by the Agency of Article 2 declarations

    • Find alternative means or adjacent locations to satisfy Agency requirements if the State is “unable” to provide access to locations requested by the Agency. (The Agency decides if it is satisfied)

    • “Manage” IAEA access to AP locations, provided the Agency is not precluded from performing its functions


States and safeguards implementation

Implementing safeguards obligations:State Systems of Accounting for and Control of Nuclear Material&Safeguards Regulatory Authorities


What does the iaea expect a state to do to fulfill its safeguards obligations

What does the IAEA expect a State to do to fulfill its safeguards obligations?

  • Establish national laws and regulations requiring safeguards obligations to be fully met

    • National laws binds relevant entities to the treaty requirements of the State

  • Provide timely, correct, complete information to IAEA

  • Provide the IAEA support and timely access to necessary locations and information


  • What does the iaea expect a state to do to fulfill its safeguards obligations1

    What does the IAEA expect a State to do to fulfill its safeguards obligations?

    • State System of Accounting for and Control of Nuclear Material (SSAC)

    • Safeguards Regulatory Authority


    State system of accounting for and control of nuclear material ssac

    State System of Accounting for and Control of Nuclear Material (SSAC)

    • “Organizational arrangements at the national levelwhich may have both

      • A national objective to account for and control nuclear material in the State, and

      • An international objective to provide the basis for application of IAEA safeguards”

        Definition from: IAEA Safeguards Glossary


    State system of accounting for and control of nuclear material ssac1

    State System of Accounting for and Control of Nuclear Material (SSAC)

    • Involves government, governmental entities, regulators, operators

    • A system for nuclear material accounting:

      • Facility operators keep track of nuclear materials and report to government regulators

      • Regulator assembles reports, conducts audits of its facilities

      • Government transmits reports to IAEA

    • IAEA reviews reports, conducts independent verification


    What does the iaea expect a state to do to fulfill its safeguards obligations2

    What does the IAEA expect a State to do to fulfill its safeguards obligations?

    • State System of Accounting for and Control of Nuclear Material (SSAC)

    • Safeguards Regulatory Authority (SRA)


    What does the iaea expect a state to do to fulfill its safeguards obligations3

    What does the IAEA expect a State to do to fulfill its safeguards obligations?

    • State System of Accounting for and Control of Nuclear Material (SSAC)

    • Safeguards Regulatory Authority (SRA)


    Safeguards regulatory authority sra

    Safeguards Regulatory Authority (SRA)

    • Refers to the specific State authority/authorities responsible for all international safeguards implementation, including provision of design information and AP information

    • NEW TERM!! (But not new concept)

      • Introduced in IAEA Guidance for States Implementing Comprehensive Safeguards Agreements and Additional Protocols (March 2012)


    A few safeguards regulatory authorities

    A few Safeguards Regulatory Authorities:


    What is an sra supposed to do

    What is an SRAsupposed to do?

    • Develop and enforce regulations

    • Collect, compile, maintain, and manage information

    • Conduct audits or inspections to ensure regulatory compliance and correctness of information

    • Transmit correct information in a timely manner

    • Support/facilitate IAEA activities in country


    What are some sra best practices for meeting iaea safeguards obligations

    What are some SRA best practices for meeting IAEA safeguards obligations?

    • Independence

      • from facility operators

      • from State policy makers

    • Empowerment

      • Laws giving SRA legitimate authority

    • Procedure-driven

      • Clear role and responsibilities

      • Timely and correct meeting of responsibilities

    • Self-improving

      • Continuous reviews of and updates to procedures

      • Training for staff


    What is the relationship between the sra ssac and the iaea

    What is the relationship between the SRA/SSAC and the IAEA?

    • “The Agency…shall make full use of the [SSAC]…and shall avoid unnecessary duplication of the State’s accounting and control activities”

    • “The Agency’s verification shall include…independent measurements and observations conducted by the Agency”

      - INFCIRC/153 (31)


    What challenges might a sra have in meeting its safeguards obligations

    What challenges might a SRA have in meeting its safeguards obligations?

    • Resistance from other national agencies/entities

      • Lack of authority or high-level support

    • Scale of nuclear fuel cycle / related industry

      • Small – limited pool of experts, less familiarity

      • Large – complex activities, greater scope of activity

    • Experience / Human resources

      • Need experts in nuclear engineering, materials, physics, chemistry, law, political science, management, accounting, statistics, IT…

    • Funding

      *In some states, SRA nonexistent because of challenge


    Why develop a strong sra ssac

    Why develop a strong SRA/SSAC?

    • Improve efficiency of IAEA safeguards

    • Other benefits of nuclear material accounting

      • Domestic safeguards benefits

      • Economic operation of nuclear facilities

    • Secure international investment

    • Demonstrate nonproliferation commitment


    Assistance provided by the international community to sras

    Assistance provided by the international community to SRAs:

    • IAEA SSAC Advisory Service (ISSAS)

      • Provides assistance on regulatory, technical, and administrative measures

        • For States without SSACs or rudimentary SSACs, assistance focuses on establishing measures

        • For States with more advanced SSACs, ISSAS evaluates performance on these measures and recommends improvements

    • NNSA NGSI and other advanced states

      • Technology and methodology development

      • Regulation development

      • Other infrastructure development


    Concluding thoughts

    Concluding thoughts:

    • “Safeguards” isn’t only something that the IAEA does to a State

    • States accept obligations when they sign the NPT and their safeguards agreements

    • Fulfillment of obligations can be challenging, regardless of intentions

    • A strong SRA is NOT a guarantee of compliance

    • A weak SRA is NOT a guarantee of noncompliance


    States and safeguards implementation

    Thank You

    Questions?


    Other than safeguards what else might the authority serving as sra be responsible for

    Other than safeguards, what else might the Authorityserving as SRA be responsible for?

    • Other nuclear regulation and enforcement

      • Safety at nuclear facilities

      • Security at nuclear facilities

    • Regulation of other peaceful uses of nuclear technology

      • Nuclear medicine

      • Industrial use of radioactive sources

    • Auxiliary activities

      • Radiation protection and health physics

      • Quality assurance / quality control of its own activities

      • Radioactive waste management

      • Nuclear/radioactive emergency preparedness


    State system of accounting for and control of nuclear material ssac in japan

    SEMINAR 20 YEARS OF ABACC

    Rio de Janeiro, Brazil,

    PalácioItamaraty,

    10 - 11 November 2011

    An example SSAC

    Slides taken from presentation available at:

    http://www.abacc.org.br/?page_id=2405&lang=en

    State system of accounting forand control of nuclear material(SSAC) in Japan

    Seiji Uchikoshi

    Nuclear Material Control Center

    JAPAN


    State system of accounting for and control of nuclear material ssac in japan1

    SEMINAR 20 YEARS OF ABACC

    Rio de Janeiro, Brazil,

    PalácioItamaraty,

    10 - 11 November 2011

    State system of accounting forand control of nuclear material(SSAC) in Japan

    Seiji Uchikoshi

    Nuclear Material Control Center

    JAPAN


    States and safeguards implementation

    Taken from Uchikoshi, Seiji, “State sytem of accounting for and control of nuclear material (SSAC) in Japan”, Nuclear Material Control Center Japan

    SSAC Structure in Japan

    BILATERALAGREEMENT

    COUNTRIES

    International Atomic Energy Agency

    Annual

    Declaration

    - Accountancy

    Report

    - Inspection

    Report

    - Inspection Result

    - Conclusion

    - Report on Inventory

    & Material Transfer

    - Notification/Confirmation of

    Transfer etc.

    Comple-

    mentary

    Access

    GOVERNMENT OF JAPAN (Japan Safeguards Office, MEXT)

    International

    Inspection

    Data Processing

    Accountancy

    Report

    NUCLEAR MATERIAL CONROL CENTER

    Report on buildings,

    activities, etc. under AP

    National Inspection

    Inspection

    Additional Protocol (INFCIRC/540)

    - Nuclear fuel-related R&D activities without NM

    - Buildings in sites

    - Activities specified in Annex I

    - Uranium mines, etc.

    Comprehensive Safeguards Agreement (INFCIRC/153)

    NUCLEAR FACILITIES


    States and safeguards implementation

    Taken from Uchikoshi, Seiji, “State sytem of accounting for and control of nuclear material (SSAC) in Japan”, Nuclear Material Control Center Japan

    State Inspection Scheme

    MEXT

    (JSGO)

    Routine Inspection Assignment

    • Access -Item count

    • -Book Audit -NDA

    • -DA sampling -C/S

    Inspection

    Reports

    (inspection results

    & analysis results)

    -Scheduling

    -Inspection

    -DIV

    -CA

    NMCC

    NMCC is only the organization

    which has been approved on

    the national law to carry out the

    national SG inspection

    Inspection

    Nuclear

    Facilities


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