1. LLNL-PRES-559653 This work was performed under the auspices of the U.S. Department of Energy by Lawrence Livermore National Laboratory under contract DE-AC52-07NA27344. Lawrence Livermore National Security, LLC NGSI Safeguards Courses May 2012

2. Lawrence Livermore National Laboratory LLNL-PRES-559653 2  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

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4. Lawrence Livermore National Laboratory LLNL-PRES-559653 4  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

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6. Lawrence Livermore National Laboratory LLNL-PRES-559653 6  “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)

7. Lawrence Livermore National Laboratory LLNL-PRES-559653 7  Basic Undertaking “…an undertaking by the State to accept safeguards…on all source or special fissional material in all peaceful nuclear activities…” (1)

8. Lawrence Livermore National Laboratory LLNL-PRES-559653 8  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!

9. Lawrence Livermore National Laboratory LLNL-PRES-559653 9  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)

10. Lawrence Livermore National Laboratory LLNL-PRES-559653 10  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

11. Lawrence Livermore National Laboratory LLNL-PRES-559653 11  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

12. Lawrence Livermore National Laboratory LLNL-PRES-559653 12  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

13. Lawrence Livermore National Laboratory LLNL-PRES-559653 13  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”

14. Lawrence Livermore National Laboratory LLNL-PRES-559653 14  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

15. Lawrence Livermore National Laboratory LLNL-PRES-559653 15  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)

16. Lawrence Livermore National Laboratory LLNL-PRES-559653 16  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.

17. Lawrence Livermore National Laboratory LLNL-PRES-559653 17  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

18. Lawrence Livermore National Laboratory LLNL-PRES-559653 18  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

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20. Lawrence Livermore National Laboratory LLNL-PRES-559653 20  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

21. Lawrence Livermore National Laboratory LLNL-PRES-559653 21  State System of Accounting for and Control of Nuclear Material (SSAC)  Safeguards Regulatory Authority

22. Lawrence Livermore National Laboratory LLNL-PRES-559653 22  “Organizational arrangements at the national level which 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

23. Lawrence Livermore National Laboratory LLNL-PRES-559653 23  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

24. Lawrence Livermore National Laboratory LLNL-PRES-559653 24  State System of Accounting for and Control of Nuclear Material (SSAC)  Safeguards Regulatory Authority (SRA)

25. Lawrence Livermore National Laboratory LLNL-PRES-559653 25  State System of Accounting for and Control of Nuclear Material (SSAC)  Safeguards Regulatory Authority (SRA)

26. Lawrence Livermore National Laboratory LLNL-PRES-559653 26  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)

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28. Lawrence Livermore National Laboratory LLNL-PRES-559653 28  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

29. Lawrence Livermore National Laboratory LLNL-PRES-559653 29  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

30. Lawrence Livermore National Laboratory LLNL-PRES-559653 30  “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)

31. Lawrence Livermore National Laboratory LLNL-PRES-559653 31  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

32. Lawrence Livermore National Laboratory LLNL-PRES-559653 32  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

33. Lawrence Livermore National Laboratory LLNL-PRES-559653 33  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

34. Lawrence Livermore National Laboratory LLNL-PRES-559653 34  “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

35. Thank You Questions?

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37. Lawrence Livermore National Laboratory LLNL-PRES-559653 37  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

38. Lawrence Livermore National Laboratory LLNL-PRES-559653 38 Seiji Uchikoshi Nuclear Material Control Center JAPAN SEMINAR 20 YEARS OF ABACC Rio de Janeiro, Brazil, Palácio Itamaraty, 10 - 11 November 2011 An example SSAC Slides taken from presentation available at: http://www.abacc.org.br/?page_id=2405&lang=en

39. Lawrence Livermore National Laboratory LLNL-PRES-559653 39 Seiji Uchikoshi Nuclear Material Control Center JAPAN SEMINAR 20 YEARS OF ABACC Rio de Janeiro, Brazil, Palácio Itamaraty, 10 - 11 November 2011

40. Lawrence Livermore National Laboratory LLNL-PRES-559653 40 SSAC Structure in Japan BILATERAL AGREEMENT COUNTRIES BILATERAL AGREEMENT COUNTRIES Additional Protocol (INFCIRC/540) - Nuclear fuel-related R&D activities without NM - Buildings in sites - Activities specified in Annex I - Uranium mines, etc. NUCLEAR FACILITIES - Report on Inventory & Material Transfer - Notification/Confirmation of Transfer etc. International Inspection Data Processing GOVERNMENT OF JAPAN (Japan Safeguards Office, MEXT) National Inspection Comple- mentary Access NUCLEAR MATERIAL CONROL CENTER Accountancy Report - Inspection Result - Conclusion Report on buildings, activities, etc. under AP Comprehensive Safeguards Agreement (INFCIRC/153) International Atomic Energy Agency - Accountancy Report - Inspection Report Annual Declaration Taken from Uchikoshi, Seiji, “State sytem of accounting for and control of nuclear material (SSAC) in Japan”, Nuclear Material Control Center Japan

41. MEXT (JSGO) NMCC Nuclear Facilities Routine Inspection Assignment -Access -Item count -Book Audit -NDA -DA sampling -C/S Inspection Reports (inspection results & analysis results) Inspection -Scheduling -Inspection -DIV -CA NMCC is only the organization which has been approved on the national law to carry out the national SG inspection State Inspection Scheme Taken from Uchikoshi, Seiji, “State sytem of accounting for and control of nuclear material (SSAC) in Japan”, Nuclear Material Control Center Japan