International Workshop on National Registers of Radiation Sources

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Presentation transcript:

Nuclear Security Recommendations and Guidance for Radioactive Material and Associated Facilities International Workshop on National Registers of Radiation Sources 20 to 23 March 2017 G. Liebenberg Division of Nuclear Security

Scope of IAEA publications Code of Conduct on the Safety and Security of Radioactive Sources Security Series: NSS 14, 11, 9, 5; NST024 Safety Standards: GSR Parts 1, 2, 3; RS-G-1.9; SSG 17 & 19 International Catalogue of Sealed Radioactive Sources and Devices.

Code of Conduct Designed for national governments Provides guidance on legislation and regulations for the security of radioactive sources Applies to “…all radioactive sources that may pose a significant risk to individuals, society, and the environment…” These sources are listed in Annex I of the Code They are Category 1, 2, and 3 “dangerous” sources as determined by RS-G-1.9 Cat 1 Extremely Dangerous to the Person - permanent injury in a manner of minutes Cat 2 Very Dangerous to the Person - permanent injury in minutes to hours Cat 3 Dangerous to the Person - permanent injury in a matter of hours Cat 4 Unlikely to be dangerous to a person Cat 5 Most unlikely to be dangerous to a person

Target Audience The Code of Conduct is designed primarily for national governments The document provides guidance for national governments to improve their legislation and regulations for the security of sources

OBJECTIVES 1. to achieve and maintain a high level of safety and security 2. to prevent loss of control & malicious use 3. to mitigate or minimize the radiological consequences of any accident or malicious act

Code of Conduct: Key Security-Related Provisions (1) Effective national legislative and regulatory system of control Regulatory body to establish and enforce security requirements Prime responsibility for security on the operator Requirement for license, including security plan Security culture promotion National registry of sources Regular inventory controls by operator

Code of Conduct: Key Security-Related Provisions (2) Threat definition and vulnerability assessment Security measures to deter, detect, and delay theft or removal of sources Verification of the security of radioactive sources through Security assessments Monitoring and verifying compliance Maintaining appropriate records Prompt reporting by the operator of a loss of control Safe management and secure protection of disused sources

Nuclear Security Series (1) Based on the International instruments for nuclear security Security Fundamentals Recommendations Implementing Guides Technical Guides The Nuclear Security Series, developed in close consultation with Member States’ experts, are consistent with and complement international nuclear security instruments, and bring together best practices acceptable to the international community for broad implementation. The Nuclear Security Guidance Committee, open to all Member States, makes recommendations on the development and review of the Nuclear Security Series. - Talking about Nuclear Security Series in General before discussing the guidance specific to Radioactive Source Security. As Sarah already explained the Nuclear Security Series as whole, I would just like to focus on NSS 14 (Recommendations) and NSS 11 (Implementing Guide). Mention Implementing Guide Transport Security (NSS 9) These guidance documents are mutually supportive documents, meaning that they contain a lot of cross-references, which may make them harder to read, but gives the reader an understanding how the different parts of a security system are inter-linked. For example the security of radioactive material and an associated facility with the transport of radioactive material. 26 Documents published. http://www-pub.iaea.org/MTCD/publications 8 8

Nuclear Security Series (2) Fundamentals (PRINCIPLES) Objectives and principles Essentials from international instruments Recommendations (WHAT) General approaches, actions, concepts and strategies Applications of Fundamentals Implementing Guides (HOW) Ways and means on how Recommendations are to be applied and implemented at systems level Technical Guidance (GUIDANCE) Reference Manuals, Training Guides, Service Guides

Purpose - overall objectives and essential elements NUCLEAR SECURITY FUNDAMENTALS: ‘OBJECTIVE AND ESSENTIAL ELEMENTS OF A STATE’S NUCLEAR SECURITY REGIME’ Purpose - overall objectives and essential elements Intended for a broad audience - national policy makers, legislative, competent authorities, institutions, and individuals Applies to all radioactive material Aims to prevent criminal and intentional unauthorized acts involving radioactive material - Purpose - overall objectives and essential elements Purpose of NSS No.20 is to - set out overall objectives of a national nuclear security regime and to - establish the set of essential elements of an appropriate and effective national nuclear security regime - Intended for a broad audience - national policy makers, legislative, competent authorities, institutions, and individuals The Nuclear Security Fundamentals document is intended for national policy makers, legislative, competent authorities, institutions, and individuals involved in the formation, maintenance or enhancement of a national nuclear security regime - Applies to all radioactive material The Fundamentals document is intended to apply to all radioactive material – which is nuclear material or other radioactive material, whether it is under or out of regulatory control, throughout its lifetime and the associated facilities and associated activities - Aims to prevent criminal and intentional unauthorized acts involving radioactive material It provides general recommendations and guidance for the protection of persons, property, society and the environment from criminal and intentional unauthorized acts involving nuclear material or other radioactive material 10

Nuclear Security Series No. 14 Provides guidance to States and competent authorities on establishing a nuclear security regime for radioactive material, including radioactive sources Complements NSS 20 and Code of Conduct

Nuclear Security Series No.14 Elements of a States (Nuclear) Security Regime State Responsibility Assignment of (nuclear) security responsibilities Legislative and Regulatory Framework State Regulatory Body Operator, shipper and/or carrier International Cooperation and Assistance Identification and Assessment of Threats These Recommendations provide high level guidance to States and competent authorities on how to develop or enhance, to implement or to maintain a nuclear security regime for radioactive material, associated facilities and associated activities. It defines the objectives of a State’s nuclear security regime for these types of materials, facilities and activities and it defines and describes the key elements of the nuclear security regime. Finally, it provides broad recommendations for security to meet the objectives. It is intended that the Technical Guides will provide more detailed and specific information on key topics within these Recommendations.

Nuclear Security Series No.14 Risk based nuclear security systems and measures Risk Management Interfaces with safety system Sustaining the nuclear security regime Planning and preparedness for and response to an event Import and Export of radioactive material Detection of nuclear security events These Recommendations provide high level guidance to States and competent authorities on how to develop or enhance, to implement or to maintain a nuclear security regime for radioactive material, associated facilities and associated activities. It defines the objectives of a State’s nuclear security regime for these types of materials, facilities and activities and it defines and describes the key elements of the nuclear security regime. Finally, it provides broad recommendations for security to meet the objectives. It is intended that the Technical Guides will provide more detailed and specific information on key topics within these Recommendations.

Nuclear Security Series No.11 IAEA Security of Radioactive Sources Implementing Guide (Nuclear Security Series No. 11) provides guidance to States on developing regulations for the security of radioactive sources This recommended approach is summarized on the following slide Revision approved for publication in late 2016; publication expected in early 2018

Three Step Process in NSS No. 11 Establish graded security levels with corresponding goals and sub-goals for each security level Specify the security level applicable to given sources Select and implement a regulatory approach: prescriptive, performance-based, or combined

Step 1: Establish Graded Security Levels NSS No. 11 recommends the following security levels and associated Goals: Security Level A: prevent unauthorized removal of a source (timely detection and response) Security Level B: minimize the likelihood of unauthorized removal of a source (immediate detection of the unauthorized removal, but not requiring a response to interrupt the act) Security Level C: reduce the likelihood of unauthorized removal of a source Security Regulations

Step 1: Establish Graded Security Levels NSS No. 11 further recommends establishing a set of Security Objectives For each of the security functions: Detection, Delay, Response, and Security Management For each Security Level A, B, and C These Objectives state the desired outcome from the combination of measures applied to meet the objective For example, the Delay Objective for Security Level A is: provide delay after detection sufficient to enable response personnel to interrupt the unauthorized removal The complete set of recommended Security Objectives for each security level is in Table 2 of NSS No. 11 Security Regulations

NSS No. 11, Table 2 Detection Delay Response Security Management Security Levels Goals Objectives for meeting each goal with respect to Detection Delay Response Security Management

Step 2: Specify the Security Level Applicable to Given Sources The security level for a given source should correspond to the potential harm the source could cause if used in a malicious act A starting point is the categorization system used in the Code of Conduct and presented previously The Guide notes that as a default arrangement, the regulatory body could use these categories to assign the security level applicable to a given source, as set forth in Table 5 of NSS No. 11 Security Regulations

NSS No. 11, Table 5 Security Regulations

Step 2: Specify the Security Level Applicable to Given Sources NSS No. 11 further recommends that the regulatory body pay special attention to the following factors when assigning security levels to radioactive sources: Attractiveness (e.g., chemical and physical form, nature of radioactive emissions, ease of handling, collocation, perceived economic value) Sources in temporary storage Vulnerability and threat level Mobile, portable, and remote sources These considerations could lead to adjustment of the assignment of sources to security levels in Table 5 Security Regulations

Step 3: Select and Implement a Regulatory Approach NSS No. 11 explains that there are three alternative approaches for directing operators how to demonstrate they meet the Security Objectives Prescriptive approach Performance-based approach Combined approach Security Regulations

Step 3: Select and Implement a Regulatory Approach: Prescriptive Approach Regulatory body establishes specific required security measures for each security level NSS No. 11 provides recommendations for such required measures using a prescriptive approach in Tables 6, 7, and 8 Provides simplicity in implementation for both the regulatory body and operator Limited flexibility to address actual, non-standard situations Security Regulations

NSS No. 11, Table 6, 1 of 2 Security Function Security Objective Security Measures Detect Provide immediate detection of any unauthorized access to the secured area/source location. Electronic intrusion detection system and/or continuous surveillance by operator personnel. Provide immediate detection of any attempted unauthorized removal of the source, including by an insider. Electronic tamper detection equipment and/or continuous surveillance by operator personnel. Provide immediate assessment of detection. Remote monitoring of CCTV or assessment by operator / response personnel. Provide immediate communication to response personnel. Rapid, dependable, diverse means of communication such as phones, cell phones, pagers, radios. Provide a means to detect loss through verification. Daily checking through physical checks, CCTV, tamper indicating devices, etc. Delay Provide delay after detection sufficient for response personnel to interrupt the unauthorized removal. System of at least two layers of barriers (e.g. walls, cages) which together provide delay sufficient to enable response personnel to interdict. Response Provide immediate response to assessed alarm with sufficient resources to interrupt and prevent the unauthorized removal. Capability for immediate response with size, equipment, and training to interdict. Security Regulations

NSS No. 11, Table 6, 2 of 2 Security Function Security Objective Security Measures Security Management Provide access controls to source location that effectively restrict access to authorized persons only. Identification and verification, for example, lock controlled by swipe card reader and personal identification number, or key and key control. Ensure trustworthiness of authorized individuals. Background checks for all personnel authorized for unescorted access to the source location and for access to sensitive information. Identify and protect sensitive information. Procedures to identify sensitive information and protect it from unauthorized disclosure. Provide a security plan. A security plan which conforms to regulatory requirements and provides for response to increased threat levels. Ensure a capability to manage security events covered by security contingency plans. Procedures for responding to security-related scenarios. Establish security event reporting system. Procedures for timely reporting of security events. Security Regulations

Step 3: Select and Implement a Regulatory Approach: Performance-Based Approach Regulatory body establishes a required level of security system performance against the threat for each security level (such as the recommended goals in NSS No. 11) Operator designs a security system that provides that level of performance defined by the regulatory body Allows each operator to address their own circumstances Potentially more cost-effective for the operator than the prescriptive approach Requires both regulatory body and operator to have relatively high levels of security expertise Security Regulations

Step 3: Select and Implement a Regulatory Approach: Combined Approach Includes elements drawn from both prescriptive and performance based approaches Allows regulatory body greatest flexibility For example, the regulatory body might apply performance-based approaches for higher activity sources and a prescriptive approach for lower activity sources Security Regulations

Thank you! Thank you!