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STI/PUB/1273Safety standards survey The IAEA welcomes your response. Please see: http://www-ns.iaea.org/standards/feedback.htm
IAEA SAFETY STANDARDS SERIES No. SF-1
FUNDAMENTAL SAFETY PRINCIPLES
JOINTLY SPONSORED BY: EUROPEAN ATOMIC ENERGY COMMUNITY, FOOD AND AGRICULTURE ORGANIZATION
OF THE UNITED NATIONS, INTERNATIONAL ATOMIC ENERGY AGENCY, INTERNATIONAL LABOUR ORGANIZATION,
INTERNATIONAL MARITIME ORGANIZATION, OECD NUCLEAR ENERGY AGENCY,
PAN AMERICAN HEALTH ORGANIZATION, UNITED NATIONS ENVIRONMENT PROGRAMME,
WORLD HEALTH ORGANIZATION
Fundamental safety principles : safety fundamentals. – Vienna : Inter- national Atomic Energy Agency, 2006.
p. ; 24 cm. – (IAEA safety standards series, ISSN 1020-525X ; No. SF-1)
STI/PUB/1273 ISBN 92–0–110706–4
1. Radiation — Safety measures. 2. Emergency management. 3. Nuclear accidents — Management. I. International Atomic Energy Agency. II. Series.
IAEAL 06–00461
COPYRIGHT NOTICE
All IAEA scientific and technical publications are protected by the terms of the Universal Copyright Convention as adopted in 1952 (Berne) and as revised in 1972 (Paris). The copyright has since been extended by the World Intellectual Property Organization (Geneva) to include electronic and virtual intellectual property. Permission to use whole or parts of texts contained in IAEA publications in printed or electronic form must be obtained and is usually subject to royalty agreements. Proposals for non-commercial reproductions and translations are welcomed and considered on a case-by-case basis. Enquiries should be addressed to the IAEA Publishing Section at:
Sales and Promotion, Publishing Section International Atomic Energy Agency Wagramer Strasse 5 P.O. Box 100 1400 Vienna, Austria fax: +43 1 2600 29302 tel.: +43 1 2600 22417 email: [email protected] http://www.iaea.org/books
© IAEA, 2006
FOREWORD
by Mohamed ElBaradei Director General
The IAEA’s Statute authorizes the Agency to establish safety standards to protect health and minimize danger to life and property — standards which the IAEA must use in its own operations, and which a State can apply by means of its regulatory provisions for nuclear and radiation safety. A comprehensive body of safety standards under regular review, together with the IAEA’s assistance in their application, has become a key element in a global safety regime.
In the mid-1990s, a major overhaul of the IAEA’s safety standards programme was initiated, with a revised oversight committee structure and a systematic approach to updating the entire corpus of standards. The new standards that have resulted are of a high calibre and reflect best practices in Member States. With the assistance of the Commission on Safety Standards, the IAEA is working to promote the global acceptance and use of its safety standards.
Safety standards are only effective, however, if they are properly applied in practice. The IAEA’s safety services — which range in scope from engineering safety, operational safety, and radiation, transport and waste safety to regulatory matters and safety culture in organizations — assist Member States in applying the standards and appraise their effectiveness. These safety services enable valuable insights to be shared and I continue to urge all Member States to make use of them.
Regulating nuclear and radiation safety is a national responsibility, and many Member States have decided to adopt the IAEA’s safety standards for use in their national regulations. For the Contracting Parties to the various international safety conventions, IAEA standards provide a consistent, reliable means of ensuring the effective fulfilment of obligations under the conventions. The standards are also applied by designers, manufacturers and operators around the world to enhance nuclear and radiation safety in power generation, medicine, industry, agriculture, research and education.
The IAEA takes seriously the enduring challenge for users and regulators everywhere: that of ensuring a high level of safety in the use of nuclear materials and radiation sources around the world. Their continuing utilization for the benefit of humankind must be managed in a safe manner, and the IAEA safety standards are designed to facilitate the achievement of that goal.
PREFACE BY THE JOINT SPONSORING ORGANIZATIONS
The Board of Governors approved the publication of IAEA safety standards in the Safety Fundamentals category on the safety of nuclear installations in June 19931, on the safety of radioactive waste management in March 19952 and on radiation protection and the safety of radiation sources in June 19953.
In 1995, the Board requested the IAEA Secretariat to consider, at an appropriate time, the revision of the three Safety Fundamentals texts with the aim of combining them in a unified set of principles representing a common safety philosophy across all areas of application of the IAEA safety standards.
The distinction traditionally made between nuclear safety and radiation protection is hardly justifiable at the conceptual level. The principles for nuclear safety and radiation protection in the three Safety Fundamentals publications were technically compatible, but had been expressed differently.
In 2000, the Secretariat commenced the process of holding drafting meetings to prepare a text on a unified set of principles. The draft Safety Fundamentals text was developed by seeking a broad international consensus of opinion to provide assurance that the Fundamental Safety Principles are held by all IAEA Member States.
The Fundamental Safety Principles are jointly sponsored with the European Atomic Energy Community (Euratom), the Food and Agriculture Organization of the United Nations (FAO), the International Labour Organization (ILO), the International Maritime Organization (IMO), the OECD Nuclear Energy Agency (OECD/NEA), the Pan American Health Organization (PAHO), the United Nations Environment Programme (UNEP) and the World Health Organization (WHO) (the sponsoring organizations).
Application of the Fundamental Safety Principles will facilitate the application of international safety standards and will make for greater
1 INTERNATIONAL ATOMIC ENERGY AGENCY, The Safety of Nuclear Installations, Safety Series No. 110, IAEA, Vienna (1993).
2 INTERNATIONAL ATOMIC ENERGY AGENCY, The Principles of Radioactive Waste Management, Safety Series No. 111-F, IAEA, Vienna (1995).
3 FOOD AND AGRICULTURE ORGANIZATION OF THE UNITED NATIONS, INTERNATIONAL ATOMIC ENERGY AGENCY, INTERNATIONAL LABOUR ORGANISATION, OECD NUCLEAR ENERGY AGENCY, PAN AMERICAN HEALTH ORGANIZATION, WORLD HEALTH ORGANIZATION, Radiation Protection and the Safety of Radiation Sources, Safety Series No. 120, IAEA, Vienna (1996).
consistency between the arrangements of different States. It is therefore desirable that all States adhere to and advocate these principles. The principles will be binding on the IAEA in relation to its operations and on States in relation to operations assisted by the IAEA. States or sponsoring organizations may adopt the principles, at their own discretion, for application to their own activities.
In the preparation of the present text of the Fundamental Safety Principles, all the safety principles established in the earlier Safety Fundamentals publications for the three different areas were considered and consolidated into a coherent and consistent set of ten new principles. Some of the earlier safety principles that were found to be more appropriately expressed as requirements have been established as such in Safety Requirements publications.
The ten new Fundamental Safety Principles constitute the basis on which to establish safety requirements for protection against exposure to ionizing radiation under the IAEA’s safety standards programme and provide the rationale for its wider safety related programme.
The totality of safety measures taken to ensure the protection of human life and health and the environment against exposure to radiation is detailed and technically complex. To the extent possible, however, the Fundamental Safety Principles have been drafted in language that is understandable to the non-specialist reader. The intention is to convey the basis and rationale for the safety standards for those at senior levels in government and regulatory bodies and those who, while responsible for making decisions concerning the uses of nuclear energy and radiation sources, may not be specialists in nuclear or radiation science and technology or in radiation protection and safety matters.
Unless otherwise stated, the usage of safety related words and terms in the text is to be interpreted as defined and explained in the IAEA Safety Glossary (http://www-ns.iaea.org/standards/safety-glossary.htm), in which usage in the different subject areas has been harmonized and where possible made consistent. Some generalized safety related words and terms have been used for the purpose of simplifying the text, and in these cases the meaning has been explained in footnotes. For the purpose of formulating safety requirements in specific areas, it may be necessary to clarify and elaborate on the meaning of terms — whose general meaning may be clear — in their context in specific standards to avoid ambiguity. Such clarifications and elaborations are left to the particular safety standards concerned.
The text was approved for promulgation as a Safety Fundamentals publication by the IAEA’s Board of Governors in September 2006, and this Safety Fundamentals publication thus becomes the primary publication in the
IAEA Safety Standards Series, superseding the previous Safety Fundamentals publications issued in the former Safety Series.
The IAEA wishes to express its appreciation to all those who assisted in the drafting and review of this text and in the process of reaching a consensus.
CONTENTS
1. INTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
Background (1.1–1.7). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 Objective of this publication (1.8) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 Scope (1.9–10). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 Structure (1.11). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
2. SAFETY OBJECTIVE (2.1–2.3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
3. SAFETY PRINCIPLES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
Introduction (3.1–3.2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 Principle 1: Responsibility for safety (3.3–3.7) . . . . . . . . . . . . . . . . . . . 6 Principle 2: Role of government (3.8–3.11). . . . . . . . . . . . . . . . . . . . . . 7 Principle 3: Leadership and management for safety (3.12–3.17) . . . . 8 Principle 4: Justification of facilities and activities (3.18–3.20). . . . . . 10 Principle 5: Optimization of protection (3.21–3.24). . . . . . . . . . . . . . . 10 Principle 6: Limitation of risks to individuals (3.25–3.26) . . . . . . . . . . 11 Principle 7: Protection of present and future generations
(3.27–3.29) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12 Principle 8: Prevention of accidents (3.30–3.33). . . . . . . . . . . . . . . . . . 13 Principle 9: Emergency preparedness and response (3.34–3.38) . . . . 14 Principle 10: Protective actions to reduce existing or
unregulated radiation risks (3.39–3.40) . . . . . . . . . . . . . . . . . . . . . . . 15
CONTRIBUTORS TO DRAFTING AND REVIEW . . . . . . . . . . . . . . . . 17 BODIES FOR THE ENDORSEMENT OF
IAEA SAFETY STANDARDS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
BACKGROUND
1.1. Radioactivity is a natural phenomenon and natural sources of radiation are features of the environment. Radiation1 and radioactive substances have many beneficial applications, ranging from power generation to uses in medicine, industry and agriculture. The radiation risks2 to workers and the public and to the environment that may arise from these applications have to be assessed and, if necessary, controlled. Activities such as the medical uses of radiation, the operation of nuclear installations, the production, transport and use of radioactive material, and the management of radioactive waste must therefore be subject to standards of safety.
1.2. The IAEA is required by its Statute to promote international cooperation. Regulating safety is a national responsibility. However, radiation risks may transcend national borders, and international cooperation serves to promote and enhance safety globally by exchanging experience and by improving capabilities to control hazards, to prevent accidents, to respond to emergencies and to mitigate any harmful consequences. International cooperation is facilitated by international safety related conventions, codes of conduct and safety standards.
1 ‘Radiation’ as used here means ionizing radiation. 2 The term ‘radiation risks’ is used here in a general sense to refer to:
— Detrimental health effects of radiation exposure (including the likelihood of such effects occurring).
— Any other safety related risks (including those to ecosystems in the environment) that might arise as a direct consequence of: • Exposure to radiation; • The presence of radioactive material (including radioactive waste) or its release
to the environment; • A loss of control over a nuclear reactor core, nuclear chain reaction, radioactive
source or any other source of radiation. For the purposes of the IAEA safety standards, it is assumed that there is no
threshold level of radiation dose below which there are no associated radiation risks. Safety Requirements and Safety Guides specify the radiation exposures and other risks to which they refer.
1
1.3. States have an obligation of diligence and duty of care and are expected to fulfil their national and international undertakings and obligations. International safety standards provide support for States in meeting their obligations under general principles of international law, such as those relating to environmental protection. International safety standards also promote and assure confidence in safety and facilitate international commerce and trade.
1.4. States also subscribe to international conventions relating to nuclear and radiation related activities conducted within their jurisdiction. The Convention on Early Notification of a Nuclear Accident and the Convention on Assistance in the Case of a Nuclear Accident or Radiological Emergency, the Convention on Nuclear Safety, and the Joint Convention on the Safety of Spent Fuel Management and on the Safety of Radioactive Waste Management all place specific obligations on the Contracting Parties. The IAEA safety standards constitute a useful tool for Contracting Parties to assess their performance under these international conventions. The safety standards also support the application of the Code of Conduct on the Safety and Security of Radioactive Sources and the Code of Conduct on the Safety of Research Reactors.
1.5. The IAEA safety standards, comprising Safety Fundamentals, Safety Requirements and Safety Guides, are applied by the IAEA and joint sponsoring organizations to their own operations, and are recommended for use by States and national authorities and by other international organizations in relation to their own activities. International conventions and the IAEA safety standards, appropriately supplemented by industry standards and detailed national requirements, establish a consistent and comprehensive basis for the proper protection of people and the environment against radiation risks. In its operations, the IAEA will pursue the fundamental safety objective stated in Section 2 in accordance with the safety principles as set out here, and it will encourage its Member States to do likewise.
1.6. The United Nations Scientific Committee on the Effects of Atomic Radiation (UNSCEAR) compiles, assesses and disseminates information on the health effects of radiation and on levels of exposure to radiation from different sources. Its findings and the recommendations of international expert bodies, notably the International Commission on Radiological Protection (ICRP), are taken into account in developing the IAEA safety standards.
1.7. The scientific considerations underlying the IAEA safety standards provide an objective basis for decisions concerning safety; however, decision makers must also make informed judgements and determine how best to
2
balance the benefits of an action or an activity against the associated radiation risks and other risks and any other detrimental impacts to which it gives rise.
OBJECTIVE OF THIS PUBLICATION
1.8. The objective of this publication is to establish the fundamental safety objective, safety principles and concepts that provide the bases for the IAEA’s safety standards and its safety related programme. Related requirements are established in the Safety Requirements publications. Guidance on meeting these requirements is provided in the related Safety Guides.
SCOPE
1.9. This publication states the fundamental safety objective and ten associated safety principles, and briefly describes their intent and purpose. The fundamental safety objective applies to all circumstances that give rise to radiation risks. The safety principles are applicable, as relevant, throughout the entire lifetime of all facilities and activities — existing and new — utilized for peaceful purposes3, and to protective actions to reduce existing radiation risks. They provide the basis for requirements and measures for the protection of people and the environment against radiation risks and for the safety of facilities and activities that give rise to radiation risks, including, in particular, nuclear installations and uses of radiation and radioactive sources, the transport of radioactive material and the management of radioactive waste.
3 The term ‘facilities and activities — existing and new — utilized for peaceful purposes’ is hereafter abbreviated for convenience to ‘facilities and activities’ as a general term encompassing any human activity that may cause people to be exposed to radiation risks arising from naturally occurring or artificial sources. ‘Facilities’ includes: nuclear facilities; irradiation installations; some mining and raw material processing facilities such as uranium mines; radioactive waste management facilities; and any other places where radioactive materials are produced, processed, used, handled, stored or disposed of — or where radiation generators are installed — on such a scale that consideration of protection and safety is required. ‘Activities’ includes: the production, use, import and export of radiation sources for industrial, research and medical purposes; the transport of radioactive material; the decommissioning of facilities; radioactive waste management activities such as the discharge of effluents; and some aspects of the remediation of sites affected by residues from past activities.
3
1.10. Safety measures and security measures have in common the aim of protecting human life and health and the environment. The safety principles concern the security of facilities and activities to the extent that they apply to measures that contribute to both safety and security, such as:
— Appropriate provisions in the design and construction of nuclear installations and other facilities;
— Controls on access to nuclear installations and other facilities to prevent the loss of, and the unauthorized removal, possession, transfer and use of, radioactive material;
— Arrangements for mitigating the consequences of accidents and failures, which also facilitate measures for dealing with breaches in security that give rise to radiation risks;…
IAEA SAFETY STANDARDS SERIES No. SF-1
FUNDAMENTAL SAFETY PRINCIPLES
JOINTLY SPONSORED BY: EUROPEAN ATOMIC ENERGY COMMUNITY, FOOD AND AGRICULTURE ORGANIZATION
OF THE UNITED NATIONS, INTERNATIONAL ATOMIC ENERGY AGENCY, INTERNATIONAL LABOUR ORGANIZATION,
INTERNATIONAL MARITIME ORGANIZATION, OECD NUCLEAR ENERGY AGENCY,
PAN AMERICAN HEALTH ORGANIZATION, UNITED NATIONS ENVIRONMENT PROGRAMME,
WORLD HEALTH ORGANIZATION
Fundamental safety principles : safety fundamentals. – Vienna : Inter- national Atomic Energy Agency, 2006.
p. ; 24 cm. – (IAEA safety standards series, ISSN 1020-525X ; No. SF-1)
STI/PUB/1273 ISBN 92–0–110706–4
1. Radiation — Safety measures. 2. Emergency management. 3. Nuclear accidents — Management. I. International Atomic Energy Agency. II. Series.
IAEAL 06–00461
COPYRIGHT NOTICE
All IAEA scientific and technical publications are protected by the terms of the Universal Copyright Convention as adopted in 1952 (Berne) and as revised in 1972 (Paris). The copyright has since been extended by the World Intellectual Property Organization (Geneva) to include electronic and virtual intellectual property. Permission to use whole or parts of texts contained in IAEA publications in printed or electronic form must be obtained and is usually subject to royalty agreements. Proposals for non-commercial reproductions and translations are welcomed and considered on a case-by-case basis. Enquiries should be addressed to the IAEA Publishing Section at:
Sales and Promotion, Publishing Section International Atomic Energy Agency Wagramer Strasse 5 P.O. Box 100 1400 Vienna, Austria fax: +43 1 2600 29302 tel.: +43 1 2600 22417 email: [email protected] http://www.iaea.org/books
© IAEA, 2006
FOREWORD
by Mohamed ElBaradei Director General
The IAEA’s Statute authorizes the Agency to establish safety standards to protect health and minimize danger to life and property — standards which the IAEA must use in its own operations, and which a State can apply by means of its regulatory provisions for nuclear and radiation safety. A comprehensive body of safety standards under regular review, together with the IAEA’s assistance in their application, has become a key element in a global safety regime.
In the mid-1990s, a major overhaul of the IAEA’s safety standards programme was initiated, with a revised oversight committee structure and a systematic approach to updating the entire corpus of standards. The new standards that have resulted are of a high calibre and reflect best practices in Member States. With the assistance of the Commission on Safety Standards, the IAEA is working to promote the global acceptance and use of its safety standards.
Safety standards are only effective, however, if they are properly applied in practice. The IAEA’s safety services — which range in scope from engineering safety, operational safety, and radiation, transport and waste safety to regulatory matters and safety culture in organizations — assist Member States in applying the standards and appraise their effectiveness. These safety services enable valuable insights to be shared and I continue to urge all Member States to make use of them.
Regulating nuclear and radiation safety is a national responsibility, and many Member States have decided to adopt the IAEA’s safety standards for use in their national regulations. For the Contracting Parties to the various international safety conventions, IAEA standards provide a consistent, reliable means of ensuring the effective fulfilment of obligations under the conventions. The standards are also applied by designers, manufacturers and operators around the world to enhance nuclear and radiation safety in power generation, medicine, industry, agriculture, research and education.
The IAEA takes seriously the enduring challenge for users and regulators everywhere: that of ensuring a high level of safety in the use of nuclear materials and radiation sources around the world. Their continuing utilization for the benefit of humankind must be managed in a safe manner, and the IAEA safety standards are designed to facilitate the achievement of that goal.
PREFACE BY THE JOINT SPONSORING ORGANIZATIONS
The Board of Governors approved the publication of IAEA safety standards in the Safety Fundamentals category on the safety of nuclear installations in June 19931, on the safety of radioactive waste management in March 19952 and on radiation protection and the safety of radiation sources in June 19953.
In 1995, the Board requested the IAEA Secretariat to consider, at an appropriate time, the revision of the three Safety Fundamentals texts with the aim of combining them in a unified set of principles representing a common safety philosophy across all areas of application of the IAEA safety standards.
The distinction traditionally made between nuclear safety and radiation protection is hardly justifiable at the conceptual level. The principles for nuclear safety and radiation protection in the three Safety Fundamentals publications were technically compatible, but had been expressed differently.
In 2000, the Secretariat commenced the process of holding drafting meetings to prepare a text on a unified set of principles. The draft Safety Fundamentals text was developed by seeking a broad international consensus of opinion to provide assurance that the Fundamental Safety Principles are held by all IAEA Member States.
The Fundamental Safety Principles are jointly sponsored with the European Atomic Energy Community (Euratom), the Food and Agriculture Organization of the United Nations (FAO), the International Labour Organization (ILO), the International Maritime Organization (IMO), the OECD Nuclear Energy Agency (OECD/NEA), the Pan American Health Organization (PAHO), the United Nations Environment Programme (UNEP) and the World Health Organization (WHO) (the sponsoring organizations).
Application of the Fundamental Safety Principles will facilitate the application of international safety standards and will make for greater
1 INTERNATIONAL ATOMIC ENERGY AGENCY, The Safety of Nuclear Installations, Safety Series No. 110, IAEA, Vienna (1993).
2 INTERNATIONAL ATOMIC ENERGY AGENCY, The Principles of Radioactive Waste Management, Safety Series No. 111-F, IAEA, Vienna (1995).
3 FOOD AND AGRICULTURE ORGANIZATION OF THE UNITED NATIONS, INTERNATIONAL ATOMIC ENERGY AGENCY, INTERNATIONAL LABOUR ORGANISATION, OECD NUCLEAR ENERGY AGENCY, PAN AMERICAN HEALTH ORGANIZATION, WORLD HEALTH ORGANIZATION, Radiation Protection and the Safety of Radiation Sources, Safety Series No. 120, IAEA, Vienna (1996).
consistency between the arrangements of different States. It is therefore desirable that all States adhere to and advocate these principles. The principles will be binding on the IAEA in relation to its operations and on States in relation to operations assisted by the IAEA. States or sponsoring organizations may adopt the principles, at their own discretion, for application to their own activities.
In the preparation of the present text of the Fundamental Safety Principles, all the safety principles established in the earlier Safety Fundamentals publications for the three different areas were considered and consolidated into a coherent and consistent set of ten new principles. Some of the earlier safety principles that were found to be more appropriately expressed as requirements have been established as such in Safety Requirements publications.
The ten new Fundamental Safety Principles constitute the basis on which to establish safety requirements for protection against exposure to ionizing radiation under the IAEA’s safety standards programme and provide the rationale for its wider safety related programme.
The totality of safety measures taken to ensure the protection of human life and health and the environment against exposure to radiation is detailed and technically complex. To the extent possible, however, the Fundamental Safety Principles have been drafted in language that is understandable to the non-specialist reader. The intention is to convey the basis and rationale for the safety standards for those at senior levels in government and regulatory bodies and those who, while responsible for making decisions concerning the uses of nuclear energy and radiation sources, may not be specialists in nuclear or radiation science and technology or in radiation protection and safety matters.
Unless otherwise stated, the usage of safety related words and terms in the text is to be interpreted as defined and explained in the IAEA Safety Glossary (http://www-ns.iaea.org/standards/safety-glossary.htm), in which usage in the different subject areas has been harmonized and where possible made consistent. Some generalized safety related words and terms have been used for the purpose of simplifying the text, and in these cases the meaning has been explained in footnotes. For the purpose of formulating safety requirements in specific areas, it may be necessary to clarify and elaborate on the meaning of terms — whose general meaning may be clear — in their context in specific standards to avoid ambiguity. Such clarifications and elaborations are left to the particular safety standards concerned.
The text was approved for promulgation as a Safety Fundamentals publication by the IAEA’s Board of Governors in September 2006, and this Safety Fundamentals publication thus becomes the primary publication in the
IAEA Safety Standards Series, superseding the previous Safety Fundamentals publications issued in the former Safety Series.
The IAEA wishes to express its appreciation to all those who assisted in the drafting and review of this text and in the process of reaching a consensus.
CONTENTS
1. INTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
Background (1.1–1.7). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 Objective of this publication (1.8) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 Scope (1.9–10). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 Structure (1.11). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
2. SAFETY OBJECTIVE (2.1–2.3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
3. SAFETY PRINCIPLES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
Introduction (3.1–3.2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 Principle 1: Responsibility for safety (3.3–3.7) . . . . . . . . . . . . . . . . . . . 6 Principle 2: Role of government (3.8–3.11). . . . . . . . . . . . . . . . . . . . . . 7 Principle 3: Leadership and management for safety (3.12–3.17) . . . . 8 Principle 4: Justification of facilities and activities (3.18–3.20). . . . . . 10 Principle 5: Optimization of protection (3.21–3.24). . . . . . . . . . . . . . . 10 Principle 6: Limitation of risks to individuals (3.25–3.26) . . . . . . . . . . 11 Principle 7: Protection of present and future generations
(3.27–3.29) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12 Principle 8: Prevention of accidents (3.30–3.33). . . . . . . . . . . . . . . . . . 13 Principle 9: Emergency preparedness and response (3.34–3.38) . . . . 14 Principle 10: Protective actions to reduce existing or
unregulated radiation risks (3.39–3.40) . . . . . . . . . . . . . . . . . . . . . . . 15
CONTRIBUTORS TO DRAFTING AND REVIEW . . . . . . . . . . . . . . . . 17 BODIES FOR THE ENDORSEMENT OF
IAEA SAFETY STANDARDS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
BACKGROUND
1.1. Radioactivity is a natural phenomenon and natural sources of radiation are features of the environment. Radiation1 and radioactive substances have many beneficial applications, ranging from power generation to uses in medicine, industry and agriculture. The radiation risks2 to workers and the public and to the environment that may arise from these applications have to be assessed and, if necessary, controlled. Activities such as the medical uses of radiation, the operation of nuclear installations, the production, transport and use of radioactive material, and the management of radioactive waste must therefore be subject to standards of safety.
1.2. The IAEA is required by its Statute to promote international cooperation. Regulating safety is a national responsibility. However, radiation risks may transcend national borders, and international cooperation serves to promote and enhance safety globally by exchanging experience and by improving capabilities to control hazards, to prevent accidents, to respond to emergencies and to mitigate any harmful consequences. International cooperation is facilitated by international safety related conventions, codes of conduct and safety standards.
1 ‘Radiation’ as used here means ionizing radiation. 2 The term ‘radiation risks’ is used here in a general sense to refer to:
— Detrimental health effects of radiation exposure (including the likelihood of such effects occurring).
— Any other safety related risks (including those to ecosystems in the environment) that might arise as a direct consequence of: • Exposure to radiation; • The presence of radioactive material (including radioactive waste) or its release
to the environment; • A loss of control over a nuclear reactor core, nuclear chain reaction, radioactive
source or any other source of radiation. For the purposes of the IAEA safety standards, it is assumed that there is no
threshold level of radiation dose below which there are no associated radiation risks. Safety Requirements and Safety Guides specify the radiation exposures and other risks to which they refer.
1
1.3. States have an obligation of diligence and duty of care and are expected to fulfil their national and international undertakings and obligations. International safety standards provide support for States in meeting their obligations under general principles of international law, such as those relating to environmental protection. International safety standards also promote and assure confidence in safety and facilitate international commerce and trade.
1.4. States also subscribe to international conventions relating to nuclear and radiation related activities conducted within their jurisdiction. The Convention on Early Notification of a Nuclear Accident and the Convention on Assistance in the Case of a Nuclear Accident or Radiological Emergency, the Convention on Nuclear Safety, and the Joint Convention on the Safety of Spent Fuel Management and on the Safety of Radioactive Waste Management all place specific obligations on the Contracting Parties. The IAEA safety standards constitute a useful tool for Contracting Parties to assess their performance under these international conventions. The safety standards also support the application of the Code of Conduct on the Safety and Security of Radioactive Sources and the Code of Conduct on the Safety of Research Reactors.
1.5. The IAEA safety standards, comprising Safety Fundamentals, Safety Requirements and Safety Guides, are applied by the IAEA and joint sponsoring organizations to their own operations, and are recommended for use by States and national authorities and by other international organizations in relation to their own activities. International conventions and the IAEA safety standards, appropriately supplemented by industry standards and detailed national requirements, establish a consistent and comprehensive basis for the proper protection of people and the environment against radiation risks. In its operations, the IAEA will pursue the fundamental safety objective stated in Section 2 in accordance with the safety principles as set out here, and it will encourage its Member States to do likewise.
1.6. The United Nations Scientific Committee on the Effects of Atomic Radiation (UNSCEAR) compiles, assesses and disseminates information on the health effects of radiation and on levels of exposure to radiation from different sources. Its findings and the recommendations of international expert bodies, notably the International Commission on Radiological Protection (ICRP), are taken into account in developing the IAEA safety standards.
1.7. The scientific considerations underlying the IAEA safety standards provide an objective basis for decisions concerning safety; however, decision makers must also make informed judgements and determine how best to
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balance the benefits of an action or an activity against the associated radiation risks and other risks and any other detrimental impacts to which it gives rise.
OBJECTIVE OF THIS PUBLICATION
1.8. The objective of this publication is to establish the fundamental safety objective, safety principles and concepts that provide the bases for the IAEA’s safety standards and its safety related programme. Related requirements are established in the Safety Requirements publications. Guidance on meeting these requirements is provided in the related Safety Guides.
SCOPE
1.9. This publication states the fundamental safety objective and ten associated safety principles, and briefly describes their intent and purpose. The fundamental safety objective applies to all circumstances that give rise to radiation risks. The safety principles are applicable, as relevant, throughout the entire lifetime of all facilities and activities — existing and new — utilized for peaceful purposes3, and to protective actions to reduce existing radiation risks. They provide the basis for requirements and measures for the protection of people and the environment against radiation risks and for the safety of facilities and activities that give rise to radiation risks, including, in particular, nuclear installations and uses of radiation and radioactive sources, the transport of radioactive material and the management of radioactive waste.
3 The term ‘facilities and activities — existing and new — utilized for peaceful purposes’ is hereafter abbreviated for convenience to ‘facilities and activities’ as a general term encompassing any human activity that may cause people to be exposed to radiation risks arising from naturally occurring or artificial sources. ‘Facilities’ includes: nuclear facilities; irradiation installations; some mining and raw material processing facilities such as uranium mines; radioactive waste management facilities; and any other places where radioactive materials are produced, processed, used, handled, stored or disposed of — or where radiation generators are installed — on such a scale that consideration of protection and safety is required. ‘Activities’ includes: the production, use, import and export of radiation sources for industrial, research and medical purposes; the transport of radioactive material; the decommissioning of facilities; radioactive waste management activities such as the discharge of effluents; and some aspects of the remediation of sites affected by residues from past activities.
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1.10. Safety measures and security measures have in common the aim of protecting human life and health and the environment. The safety principles concern the security of facilities and activities to the extent that they apply to measures that contribute to both safety and security, such as:
— Appropriate provisions in the design and construction of nuclear installations and other facilities;
— Controls on access to nuclear installations and other facilities to prevent the loss of, and the unauthorized removal, possession, transfer and use of, radioactive material;
— Arrangements for mitigating the consequences of accidents and failures, which also facilitate measures for dealing with breaches in security that give rise to radiation risks;…
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