International Physical Protection Advisory Service (IPPAS)

252 Pages·2014·1.69 MB·English

spine: 12,85 mm
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Vienna, November 2014

INTERNATIONAL ATOMIC ENERGY AGENCY
VIENNA S e r v i c e s S e r i e s 2 9
ISSN 1816–9309
IAEA NUCLEAR SECURITY SERIES AND RELATED PUBLICATIONS

Nuclear security issues relating to the prevention and detection of, and response to,
criminal or intentional unauthorized acts involving, or directed at, nuclear material, other
radioactive material, associated facilities or associated activities are addressed in the IAEA
Nuclear Security Series. These publications are consistent with, and complement,
international nuclear security instruments, such as the Convention on the Physical Protection
of Nuclear Material and its Amendment, the International Convention for the Suppression of
Acts of Nuclear Terrorism, United Nations Security Council resolutions 1373 and 1540, and
the Code of Conduct on the Safety and Security of Radioactive Sources.

Publications in the IAEA Nuclear Security Series are issued in the following categories:

● Nuclear Security Fundamentals specify the objective of a State’s nuclear security
regime and the essential elements of such a regime. They provide the basis for the
Nuclear Security Recommendations.
● Nuclear Security Recommendations set out measures that States should take to
achieve and maintain an effective national nuclear security regime consistent with the
Nuclear Security Fundamentals.
● Implementing Guides provide guidance on the means by which States could implement
the measures set out in the Nuclear Security Recommendations. As such, they focus on
how to meet the recommendations relating to broad areas of nuclear security.
● Technical Guidance provides guidance on specific technical subjects to supplement the
guidance set out in the Implementing Guides. They focus on details of how to implement
the necessary measures.

RELATED PUBLICATIONS

The IAEA also establishes standards of safety for protection of health and minimization
of danger to life and property, which are issued in the IAEA Safety Standards Series.
The IAEA provides for the application of guidance and standards and makes available
and fosters the exchange of information relating to peaceful nuclear activities and serves as an
intermediary among its Member States for this purpose.
Reports on safety and protection in nuclear activities are issued as Safety Reports,
which provide practical examples and detailed methods that can be used in support of the
safety standards.
Other safety and security related IAEA publications are issued as Emergency
Preparedness and Response publications, Technical Reports and TECDOCs. The IAEA
also issues reports on radiological accidents, training manuals and practical manuals, and
other special safety and security related publications.
The IAEA Nuclear Energy Series comprises informational publications to encourage
and assist research on, and the development and practical application of, nuclear energy for
peaceful purposes. It includes reports and guides on the status of and advances in technology,
and on experience, good practices and practical examples in the areas of nuclear power, the
nuclear fuel cycle, radioactive waste management and decommissioning.
INTERNATIONAL PHYSICAL PROTECTION
ADVISORY SERVICE (IPPAS) GUIDELINES
The following States are Members of the International Atomic Energy Agency:
AFGHANISTAN GHANA OMAN
ALBANIA GREECE PAKISTAN
ALGERIA GUATEMALA PALAU
ANGOLA HAITI PANAMA
ARGENTINA HOLY SEE PAPUA NEW GUINEA
ARMENIA HONDURAS PARAGUAY
AUSTRALIA HUNGARY PERU
AUSTRIA ICELAND PHILIPPINES
AZERBAIJAN INDIA POLAND
BAHAMAS INDONESIA PORTUGAL
BAHRAIN IRAN, ISLAMIC REPUBLIC OF QATAR
BANGLADESH IRAQ REPUBLIC OF MOLDOVA
BELARUS IRELAND ROMANIA
BELGIUM ISRAEL RUSSIAN FEDERATION
BELIZE ITALY RWANDA
BENIN JAMAICA SAN MARINO
BOLIVIA JAPAN SAUDI ARABIA
BOSNIA AND HERZEGOVINA JORDAN SENEGAL
BOTSWANA KAZAKHSTAN SERBIA
BRAZIL KENYA SEYCHELLES
BRUNEI DARUSSALAM KOREA, REPUBLIC OF SIERRA LEONE
BULGARIA KUWAIT SINGAPORE
BURKINA FASO KYRGYZSTAN SLOVAKIA
BURUNDI LAO PEOPLE’S DEMOCRATIC SLOVENIA
CAMBODIA REPUBLIC SOUTH AFRICA
CAMEROON LATVIA SPAIN
CANADA LEBANON SRI LANKA
CENTRAL AFRICAN LESOTHO SUDAN
REPUBLIC LIBERIA SWAZILAND
CHAD LIBYA SWEDEN
CHILE LIECHTENSTEIN SWITZERLAND
CHINA LITHUANIA SYRIAN ARAB REPUBLIC
COLOMBIA LUXEMBOURG TAJIKISTAN
CONGO MADAGASCAR THAILAND
COSTA RICA MALAWI THE FORMER YUGOSLAV
CÔTE D’IVOIRE MALAYSIA REPUBLIC OF MACEDONIA
CROATIA MALI TOGO
CUBA MALTA TRINIDAD AND TOBAGO
CYPRUS MARSHALL ISLANDS TUNISIA
CZECH REPUBLIC MAURITANIA, ISLAMIC TURKEY
DEMOCRATIC REPUBLIC REPUBLIC OF UGANDA
OF THE CONGO MAURITIUS UKRAINE
DENMARK MEXICO UNITED ARAB EMIRATES
DOMINICA MONACO UNITED KINGDOM OF
DOMINICAN REPUBLIC MONGOLIA GREAT BRITAIN AND
ECUADOR MONTENEGRO NORTHERN IRELAND
EGYPT MOROCCO UNITED REPUBLIC
EL SALVADOR MOZAMBIQUE OF TANZANIA
ERITREA MYANMAR UNITED STATES OF AMERICA
ESTONIA NAMIBIA URUGUAY
ETHIOPIA NEPAL UZBEKISTAN
FIJI NETHERLANDS VENEZUELA, BOLIVARIAN
FINLAND NEW ZEALAND REPUBLIC OF
FRANCE NICARAGUA VIET NAM
GABON NIGER YEMEN
GEORGIA NIGERIA ZAMBIA
GERMANY NORWAY ZIMBABWE
The Agency’s Statute was approved on 23 October 1956 by the Conference on the Statute of the
IAEA held at United Nations Headquarters, New York; it entered into force on 29 July 1957. The
Headquarters of the Agency are situated in Vienna. Its principal objective is “to accelerate and enlarge the
contribution of atomic energy to peace, health and prosperity throughout the world’’.
IAEA SERVICES SERIES No. 29
INTERNATIONAL PHYSICAL PROTECTION
ADVISORY SERVICE (IPPAS) GUIDELINES
INTERNATIONAL ATOMIC ENERGY AGENCY
VIENNA, 2014
COPYRIGHT NOTICE
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For further information on this publication, please contact:
Nuclear Security of Materials and Facilities Section
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1400 Vienna, Austria
Email: [email protected]
INTERNATIONAL PHYSICAL PROTECTION ADVISORY SERVICE (IPPAS) GUIDELINES
IAEA, VIENNA, 2014
IAEA-SVS-29
ISSN 1816–9309
© IAEA, 2014
Printed by the IAEA in Austria
November 2014
FOREWORD
The International Physical Protection Advisory Service (IPPAS) was established by the IAEA in 1995
and is a fundamental part of the IAEA’s efforts to assist States, upon request, to establish and maintain
an effective national nuclear security regime to protect against the unauthorized removal of nuclear
and other radioactive material, and against the sabotage of nuclear and other associated facilities, as
well as material during transport, while recognizing that the ultimate responsibility for physical
protection lies with the State.
IPPAS provides peer review on implementing relevant international instruments, in particular the
Convention on the Physical Protection of Nuclear Material (CPPNM), together with the 2005
Amendment, and on implementing the IAEA Nuclear Security Series of guidance publications, in
particular Fundamentals and Recommendations.
IPPAS missions compare (insofar as this is possible) the procedures and practices employed by a State
with the obligations specified under the CPPNM and the 2005 Amendment, as well as with the
existing international consensus guidelines provided in relevant IAEA Nuclear Security Series
publications.
Since 1996, 63 IPPAS missions have been conducted in 40 countries, including 15 follow-up
missions, as well as the recent mission to the IAEA Office of Safeguards Analytical Services
laboratories, in Seibersdorf. More than 140 experts from 34 Member States have participated in the
conduct of IPPAS missions as IPPAS team members or team leaders.
The updated IPPAS guidelines reflect a modular approach to make them more flexible and responsive
to the needs of States. The modular approach is an innovation of great value, ensuring the degree of
flexibility required to fit individual national contexts, practices and objectives as expressed by the
requesting States. In particular, it also offers States the opportunity to expand the scope of a requested
IPPAS mission to embrace its nuclear security regime for the protection of other radioactive material
(in particular radioactive sources) and associated facilities, although it was originally designed to
address only nuclear material and nuclear facilities. This publication supersedes the 1999 edition of
the IPPAS guidelines published as IAEA Services Series No. 3.
The IPPAS guidelines provide overall guidance for the experts to ensure the consistency and
comprehensiveness of the mission and have been prepared by the IAEA to complement the expertise
of the IPPAS team members. This publication also provides suitable guidance to the host State in
preparing for and receiving such missions.
IPPAS missions are performance oriented in that they accept different approaches to the
implementation of a national nuclear security regime. Recommendations are made on items which
could directly affect the nuclear security regime, whereas suggestions made might only indirectly
contribute to improving the nuclear security regime. Commendable good practices identified may be
communicated to other States for long term improvement.
These guidelines were compiled by experts in the Division of Nuclear Security with the assistance of
experts from the Member States.
EDITORIAL NOTE
This publication has been prepared from the original material as submitted by the contributors and has not been edited by the editorial
staff of the IAEA. The views expressed remain the responsibility of the contributors and do not necessarily represent the views of the
IAEA or its Member States.
Neither the IAEA nor its Member States assume any responsibility for consequences which may arise from the use of this publication.
This publication does not address questions of responsibility, legal or otherwise, for acts or omissions on the part of any person.
The use of particular designations of countries or territories does not imply any judgement by the publisher, the IAEA, as to the legal
status of such countries or territories, of their authorities and institutions or of the delimitation of their boundaries.
The mention of names of specific companies or products (whether or not indicated as registered) does not imply any intention to
infringe proprietary rights, nor should it be construed as an endorsement or recommendation on the part of the IAEA.
The IAEA has no responsibility for the persistence or accuracy of URLs for external or third party Internet web sites referred to in this
publication and does not guarantee that any content on such web sites is, or will remain, accurate or appropriate.
CONTENTS

1. GENERAL INFORMATION...................................................................................................... 1
1.1. INTRODUCTION ..................................................................................................................... 1
1.2. PURPOSE .................................................................................................................................. 1
1.3. OBJECTIVES............................................................................................................................ 3
1.4. PROTOCOL AND CONFIDENTIALITY ............................................................................. 4
1.5. SCOPE AND STRUCTURE .................................................................................................... 4
1.6. IPPAS PROCESS ...................................................................................................................... 6
1.6.1. Overview ...................................................................................................................... 6
1.6.2. Formal request ............................................................................................................. 7
1.6.3. Designation of technical officer and team leader ...................................................... 7
1.6.4. Preparatory meeting ..................................................................................................... 7
1.6.5. Host country responsibilities ....................................................................................... 8
1.6.6. IPPAS team formation ................................................................................................. 9
1.6.7. IPPAS mission ........................................................................................................... 11
1.6.8. Final report ................................................................................................................. 15
1.6.9. Follow-up activities ................................................................................................... 16
1.6.10. Follow-up missions.................................................................................................... 16
2. NATIONAL REVIEW OF NUCLEAR SECURITY REGIME FOR NUCLEAR
MATERIAL AND NUCLEAR FACILITIES (MODULE 1) ......................................................... 19
2.1. INTRODUCTION ................................................................................................................... 19
2.2. PURPOSE ................................................................................................................................ 19
2.3. SCOPE OF MISSION............................................................................................................. 19
2.4. GOVERNMENT ORGANIZATION, ASSIGNMENT OF RESPONSIBILITIES,
INTERNATIONAL OBLIGATIONS AND INTERNATIONAL COOPERATION ............... 20
2.4.1. Objectives ......................................................................................................................... 20
2.4.2. Basis .................................................................................................................................. 20
2.4.3. Documentation ................................................................................................................. 25
2.4.4. Review points/specimen questions ................................................................................. 25
2.5. LEGAL AND REGULATORY FRAMEWORK ................................................................. 25
2.5.1. Objectives ................................................................................................................... 25
2.5.2. Basis............................................................................................................................ 25
2.5.3. Laws............................................................................................................................ 26
2.5.4. Regulations ................................................................................................................. 27
2.6. ROLES AND RESPONSIBILITIES OF THE COMPETENT AUTHORITY .................. 28
2.6.1. Objectives ......................................................................................................................... 28
2.6.2. Basis .................................................................................................................................. 28
2.6.3. Documentation ................................................................................................................. 29
2.6.4. Review points/specimen questions ................................................................................. 30
2.7. LICENSING/AUTHORIZATION PROCESS ...................................................................... 31
2.7.1. Objectives ......................................................................................................................... 31
2.7.2. Basis .................................................................................................................................. 31
2.7.3. Documentation ................................................................................................................. 33
2.7.4. Review points/specimen questions ................................................................................. 33
2.8. COORDINATION WITH OTHER STATE ORGANIZATIONS THAT CONTRIBUTE
TO NUCLEAR SECURITY .......................................................................................................... 34
2.8.1. Objective ........................................................................................................................... 34
2.8.2. Basis .................................................................................................................................. 34
2.8.3. Documentation ................................................................................................................. 39
2.8.4. Review points/specimen questions ................................................................................. 39
2.9. THREAT ASSESSMENT AND DESIGN BASIS THREAT (DBT) ................................. 40
2.9.1. Objective ........................................................................................................................... 40
2.9.2. Basis .................................................................................................................................. 40
2.9.3. Documentation ................................................................................................................. 41
2.9.4. Review points/specimen questions ................................................................................. 41
2.10. RISK INFORMED APPROACH ........................................................................................ 42
2.10.1. Risk management ........................................................................................................... 42
2.10.2. Graded approach ............................................................................................................ 44
2.10.3. Defence in depth ............................................................................................................ 45
2.11. SUSTAINING THE PHYSICAL PROTECTION REGIME ............................................ 46
2.11.1. Security culture .............................................................................................................. 46
2.11.2. Quality assurance ........................................................................................................... 48
2.11.3. Confidentiality ............................................................................................................... 49
2.11.4. Sustainability programme.............................................................................................. 50
2.12. PLANNING AND PREPAREDNESS FOR AND RESPONSE TO NUCLEAR
SECURITY EVENTS .................................................................................................................... 52
2.12.1. Objective......................................................................................................................... 52
2.12.2. Basis ................................................................................................................................ 52
2.12.3. Documentation ............................................................................................................... 54
2.12.4. Review points/specimen questions ............................................................................... 54
3. NUCLEAR FACILITY REVIEW (MODULE 2).................................................................... 55
3.1. INTRODUCTION ................................................................................................................... 55
3.2. PURPOSE ................................................................................................................................ 56
3.3. MISSION SCOPE ................................................................................................................... 56
3.4. GENERAL GUIDANCE FOR IPPAS MISSION MEMBERS ........................................... 57
3.4.1. Review of nuclear facility operations ....................................................................... 57
3.4.2. Nuclear power plants ................................................................................................. 57
3.4.3. Nuclear research facilities ......................................................................................... 58
3.4.4. Fuel cycle facilities .................................................................................................... 59
3.4.5. Conversion facilities .................................................................................................. 59
3.4.6. Enrichment facilities .................................................................................................. 59
3.4.7. Fuel fabrication facilities ........................................................................................... 60
3.4.8. Interim spent fuel storage .......................................................................................... 60
3.4.9. Reprocessing facilities ............................................................................................... 60
3.5. FACILITY PHYSICAL PROTECTION SYSTEM REVIEW PROCESS ..................... 60
3.6. SECURITY MANAGEMENT PROGRAMME ............................................................... 61
3.6.1. Threat and target identification ................................................................................. 61
3.6.2. Security plan, including contingency plan ............................................................... 64
3.6.3. Interfaces with nuclear material accountancy and control and nuclear safety....... 66
3.6.4. Security organization ................................................................................................. 67