IAEA International Atomic Energy Agency

name of presenter (e-mail)

training event title

dates

location, host organization, host country

International Legal Instruments

IAEA

Contents

• Convention on the Physical Protection of Nuclear Materials (CPPNM)

• Emergency Conventions Early Notification of a Nuclear Accident

Assistance in the Case of a Nuclear Accident

• Convention on Nuclear Safety (CNS)

• Joint Convention (JC) Objectives

Procedures

Articles

Experience

• Code of Conduct on the Safety and Security of Radioactive Sources

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Objectives of the presentation

• To explain the purpose and

objectives of the Joint Convention

and international legal instruments

• To discuss the main points of the

Convention

• To summarize the responsibilities

of the Contracting Parties

• To review the benefits to countries

from being a Contracting Party

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Convention on the Physical Protection of

Nuclear Materials (CPPNM)

• Date of entry into force: February 1987

• 115 contracting parties

• Establishes measures to prevent and

respond to malicious acts with nuclear

material during transport

• Latest amendment, agreed in July 2005:

extension to nuclear facilities.

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Emergency Conventions

• Established after the Chernobyl accident

• More than 90 contracting parties

• Specific obligations on States and the IAEA in case of a nuclear accident

• Early notification of potentially affected countries with details of the accident

• Facilitation of prompt assistance on request

• IAEA has established a ER network, co-ordinates between MS and makes available experts and equipment on request

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Convention on Nuclear Safety

• Date of entry into force: October 1996

• 55 contracting parties

• Objective: to legally commit parties to

maintain a high level of safety during

operation of civil nuclear power plants

• Basis is the IAEA Safety Fundamental “The

Safety of Nuclear Installations”

• 3 Review conferences were held so far

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History

• March 1995 – IAEA BoG endorsed proposal to convene a group

to prepare a proposed convention on radioactive waste

• July 1995 – March 1997 – Group met 7 times and drafted the

“Joint Convention on the Safety of Spent Fuel Management and

on the Safety of Radioactive Waste Management”

• June 1997 – BoG authorized DG to convene a Diplomatic

Conference in Vienna

• 1 – 5 September 1997 – Convention adopted at a Diplomatic

Conference (42 signatories on 5 Sept. 1997)

• 18 June 2001 – Convention entered into force (as required, 25

countries, 15 of which have Nuclear Power Plants, had

deposited instruments of ratification, acceptance or approval)

• November 2003 – First Review Meeting (Vienna)

• May 2006, May 2009 and May 2012 – Review Meetings

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Joint Convention - background

• Will be used as a basis for a

radioactive waste management

system

• Applies to spent nuclear fuel and

radioactive waste

• Entered into force 18 June 2001

• Is an incentive convention i.e.

full compliance is not expected

• 64 Countries are party to the

convention (+ EURATOM)

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Contracting Parties: 64

Last change of Status: 2 August 2012

2012

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Contracting Parties: 64

Last change of Status: 2 August 2012

Albania EURATOM Kyrgyzstan Senegal

Argentina Finland Latvia Slovakia

Australia France Lithuania Slovenia

Austria Gabon Luxembourg South Africa

Belarus Georgia Mauritania Spain

Belgium Germany Moldova, Rep. of Sweden

Bosnia & Herzegovina Ghana Montenegro Switzerland

Brazil Greece Morocco T. F. Y. R. of Macedonia

Bulgaria Hungary Netherlands Tajikistan

Canada Iceland Nigeria Ukraine

Chile Indonesia Norway United Arab Emirates

China Ireland Poland United Kingdom

Croatia Italy Portugal United States of America

Cyprus Japan Romania Uruguay

Czech Republic Kazakhstan Russian Federation Uzbekistan

Denmark Korea, Republic of Saudi Arabia

Estonia

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Joint Convention Documents

INFCIRC/546 (24 December 1997) Joint Convention on the Safety of Spent Fuel Management and on the Safety of Radioactive Waste Management INFCIRC/602/Rev.1 (23 July 2004) Rules of Procedure and Financial Rules INFCIRC/603/Rev.1 (23 July 2004) Guidelines regarding the Review Process INFCIRC/604 (1 July 2002) Guidelines regarding the Form and Structure of National Reports

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Nature of the Joint Convention

• A legally binding agreement between

Contracting Parties

• The first international binding legislation in the

area of radioactive waste management

• The technical basis for the convention is

provided by the Fundamental Safety Principles

[IAEA Safety Standards Series No. SF-1 (2006)]

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Nature of the Convention (continued)

• An “Incentive” convention • No fixed penalties

• It is intended to stimulate improvement in

safety

• Its Articles are “targets” – all cannot

necessarily be met immediately

• Nuclear Safety Convention is a

“sister” convention

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Scope of Application

Does not include (unless the Contracting Party declares it)

• Spent fuel undergoing reprocessing

• Waste containing NORM that does not originate from the nuclear fuel cycle

• Spent fuel or radioactive waste within military or defence programmes

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Who is the Joint Convention intended for?

• Its scope is wide – it covers all types of waste

• All countries generate some radioactive waste

• Therefore, unlike the Nuclear Safety Convention, the Joint Convention is relevant and potentially useful to all States

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Scope of Application

Includes • Waste and spent fuel from the operation of

nuclear reactors

• Waste from use of radionuclides in medicine and industry

• Spent sealed sources

• Discharges from regulated nuclear facilities

• Waste from mining and processing of uranium

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Joint Convention – Objectives, art.1

• To achieve and maintain a high

degree of safety worldwide in spent

fuel and radioactive waste

management,

• To ensure that there are effective

defences against potential hazards

so that individuals, society and the

environment are protected now and

in the future

• To prevent accidents and mitigate

their consequences should they

occur

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Definitions, art. 2:

• 21 definitions of terms used in the JC, e.g.

• Radioactive waste:

• Radioactive material in gaseous, liquid or solid form for which no

further use is foreseen by the CP

• Decommissioning:

• All steps leading to the release of a nuclear facility from

regulatory control

• Nuclear facility:

• Civilian facility, including land, buildings and equipment, in which

r.a. materials are handled on a scale that consideration of safety

is required

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Articles

44 Articles altogether, divided into four groups

• Technical

• Political

• Reporting

• Procedural

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“Technical” requirements of the Joint

Convention

Under the heading of spent fuel and waste:

• Article 4 and 11 General Safety Requirements

• Article 5 and 12 Existing Facilities (and Past Practices)

• Article 6 and 13 Siting of Proposed Facilities

• Article 7 and 14 Design and Construction of Facilities

• Article 8 and 15 Assessment of Safety of Facilities

• Article 9 and 16 Operation of Facilities

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“Technical” requirements (continued)

• Article 10 Disposal of Spent Fuel

• Article 17 Institutional Measures After Closure

(of a disposal facility)

• Article 23 Quality Assurance

• Article 24 Operational Radiation Protection

• Article 25 Emergency Preparedness

• Article 28 Disused Sealed Sources

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“Political” requirements of the Joint

Convention

• Article 18 Implementing Measures (law)

• Article 19 Legislative and Regulatory Framework

• Article 20 Regulatory Body

• Article 21 Responsibility of the Licence Holder

• Article 22 Human and Financial Resources

• Article 27 Transboundary Movement

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General safety requirements, art. 4 and 11:

• Protection of individuals, society and the environment now and in the future • Limit generation of r.a. waste

• Apply internationally endorsed criteria and standards

• Interdependencies among steps in r.a. waste management

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Existing facilities, art. 5 and 12:

• The safety of existing facilities

should be reviewed

• All practical improvements to

upgrade the facility should be

made

• Results of past practices

should be reviewed to

determine if intervention is

needed

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Siting of facilities, art. 6 and13:

• To evaluate site-related factors that could

affect the safety

• To evaluate the safety on the environment

• To inform the public

• To consult neighbouring parties

• To ensure that these will not be exposed to

unacceptable effects

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Design and construction, art. 7 and14:

• Safety by design, also

applicable to discharges and

uncontrolled releases

• In design stage provisions for

decommissioning should be

made

• Adequate technologies should

be used, supported by

experience, testing or analysis

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Assessment of safety of facilities, art. 9

and15:

• Before construction a

safety assessment and an

environmental

assessment shall be

made

• Before operation updated

versions of the

assessments should be

prepared

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Operation of facilities, art. 9 and 16:

• Operating licence based on assessments

• Operational limits updated as necessary

• Operation in accordance with established procedures

• Assurance of engineering and technical support

• Programmes to collect operating experience

• Decommissioning plans available

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Disposal, art. 10,14,15,16 and 17

• Spent fuel shall be disposed of in accordance

with the reqmts. of waste

• Technical provisions for closure of disposal

facility to be made at design stage

• Safety and environmental assessment of

disposal facility for period after closure

• Record keeping after closure

• Institutional controls as necessary

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Implementing measures, art 18

• Implementation of the

obligations shall occur

by legislative,

regulatory and

administrative

measures

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Legislative and regulatory framework, art. 19

• National safety reqmts. on radiation

safety

• System of licensing including a

prohibition to operate a facility

without a license

• System of institutional control and

inspection

• Enforcement of the regulations

• Clear allocation of responsibilities

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Protecting Implementing

Oversight body

Regulatory body, art. 20

• A regulatory body to be established with authority,

competence and resources

• Independence of regulatory body from other

functions

Design Operation

Waste management Agency

Rad. prot. Waste safety Nuclear safety

Regulatory body

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Responsibility of the license holder, art 21

• Prime responsibility rests with the license

holder

• If there is no license holder, the

responsibility rests with the CP

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Human and financial resources, art. 22

• Qualified staff,

commensurate with the

number of activities

• Adequate financial

resources

• Financial provisions for

future obligations

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Quality Assurance, art. 23

• QA programmes

should be put in place

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Operational radiation protection, art. 24

• ALARA principle

• Dose limitation to levels,

which take due account of

international standards

• Prevent unplanned

releases

• Limitation of discharges

• Mitigate effects of

unplanned releases

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Emergency preparedness, art.25

• Appropriate on-site

and off-site emergency

plans should be

available

• Regular testing is

recommended

• Also emergency plans

should be in place for

facilities across the

border

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Decommissioning, art. 26

• Qualified staff and adequate financial resources

• Provisions re. operational rad. prot. should be observed

• Provisions re. em. response should be applied

• Records should be kept

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Transboundary movement, art. 27

• Destination country should

give prior approval

• Transport regulations

apply

• Destination country must

have the technical capacity

to manage the waste

• Country of origin has

responsibility to verify this

• Re-entry into a country

should be permitted if

the transport cannot be

completed

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Transboundary movement, art. 27

• International instruments on air

and maritime navigation retain

validity

• Right of destination country to

return waste that has been

processed

• Right of a country to export SF

for reprocessing

• Right to return waste from

reprocessing to country of origin

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Disused sealed sources, art. 28

• Disused sealed sources

shall be managed safely

• Countries shall allow

disused sources to be

returned to a qualified

manufacturer, if this is

not legally forbidden

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Reporting requirements – Article 32

• Each Contacting Party shall submit a National Report to each review meeting

• The National Report shall address the measures taken to implement each obligation of the Convention

• The National Report shall : • Address spent fuel and waste management policy and practices

• Address criteria used to define and categorize radioactive waste

• Include a listing of national spent fuel and waste management facilities

• Include an inventory of spent fuel and waste (subject to the Convention)

• Include a listing of facilities being decommissioned

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Outcomes of the Review Meeting

At each Review meeting:

• National Reports will be critically reviewed

(in Country Groups)

• A Summary Report of the Review Meeting

will be prepared – addressing the issues

discussed and the conclusions reached

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JC Experience (1)

• The 1st Review Meeting was in 2003

• As a whole the review process worked well

• It was noted that discussions on the reports

sometimes lacked substance

• A proposal for specific guidance for officers was

adopted at an extraordinary meeting in Nov 2005

• Promotional activities were initiated, aimed at

increased participation in the JC by countries with

small or no nuclear programmes

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JC Experience (2)

• Issues of special interest included:

• Scope of application e.g. NORM

• Application of clearance levels

• Scope of JC in relation to on-site storage of SF

• Long term storage of SF and RAW vs. disposal

• Varying views on decommissiong strategy

• Availability of financial resources for SF and RAW

management and decommissioning

• Management of disused sealed sources

• Next Review Meeting in May 2006

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Schedule of meetings and deadlines

46

Organizational

Meeting

Deadline for

Submission

of National

Reports

Deadline for

Submission

of Questions

and

Comments

Deadline for

Submission

of Answers

Fifth

Review

Meeting

- 12 months - 7 months - 3 months - 1 month 0 day

Rules of

Procedures

and Financial

Rules

Rules of

Procedures

and Financial

Rules

Guidelines

Regarding the

Review

Process

Guidelines

Regarding the

Review

Process

Article 30.2(i)

of the Joint

Convention

12-13 10 10 10 11

May October February April May

2014 2014 2015 2015 2015

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Expected outcomes of the Joint Convention

process

• Gradual and sustained improvement in safety worldwide

related to radioactive waste

• Improved unification/harmonization worldwide of safety

policies and provisions related to waste management

• Resolution of commonly experienced waste problems

• Normalization of international arrangements for

movement of waste (and disused sources) between

countries

• Towards common safety criteria and definitions in the

waste area

• Improved public confidence in national arrangements

and provisions for spent fuel and radioactive waste

management 47

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Benefits for a country from becoming a

Contracting Party to the Joint Convention

• Improvements in safety as an outcome of the review

process

• Gain in knowledge through information exchange

• Improved credibility because of involvement in an

international convention on safety

• Support in cases of malpractice in neighbouring

States

• Greater influence in a regional context

• Possible technical assistance from other Contracting

Parties

• Evidence of an open and transparent national

approach

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General Conference Resolutions

• Since the adoption of the Joint

Convention in 1997, the IAEA’s

General Conference has, each

year, included a resolution urging

States to ratify the Convention.

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When should a country ratify the Joint

Convention?

• As soon as possible

• A country should not wait until it has complied with all

Articles of the Convention – it is an “incentive”

convention

• Early involvement will allow Contracting Parties to

move forward together

• “Strength in numbers” – a large global membership will

facilitate worldwide movement towards improved

safety

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IAEA website

www-ns.iaea.org/conventions/waste-jointconvention.htm

• Joint Convention Documents,

• Latest Status of Ratification,

• National Reports for the first Review Meeting,

• Report of the Organizational Meetings,

• Reports of the Review Meetings

can be downloaded from:

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Code of Conduct on the Safety and

Security of Radioactive Sources (1)

• Recent (2004) international consensus document

• Applies to all sources posing a significant risk

• Requires a categorization of sources (refers to IAEA Safety Guide RS-G-1.9)

• Objectives:

Achieve and maintain a high level of safety and security

Prevent unauthorized access to these sources

Mitigation of radiological consequences of any accident or malicious use 52

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Code of Conduct on the Safety and

Security of Radioactive Sources (2)

• Although strictly speaking the Code is a non-legally

binding instrument, countries are advised to:

• Establish a national register of r.a. sources

(should at least include category 1 and 2 sources)

• Provide information about loss of control of a source to

possibly affected countries

• Control the in- and export of sources (notification)

• Require an authorization for the use of these sources to

be issued after a safety assessment

• Attach clear conditions to the authorizations

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Summary

• International instruments constitute a framework that aims to achieve and maintain a high level of safety and security

• The JC and the CNS adress both the legal and regulatory infrastructure and operational inplementation related to nuclear safety and SF and RAW management respectively

• The CPPNM adresses mainly security issues related both to moving and stationary sources

• The two Conventions on Emergency Response have established a framework for accident situations

• The Code of Conduct on the Safety and Security of Radioactive Sources applies to r.a. sources posing significant risk and gives guidance for their safe use

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IAEA Thank you! 55