Early History of Objectives-Based International Safeguards

When the International Atomic Energy Agency (IAEA) began developing the objectives-based safeguards approach that underlies the IAEA’s State-level concept, it baselined the work using existing programs – a State-system of accounting for and control of nuclear material, the IAEA’s results-based performance management process, and the Department of Safeguards quality management system. The objectives-based material control and accounting regulations of the U.S. Nuclear Regulatory Commission (U.S. Code of Federal Regulations, Title 10, Part 74), which are based on general performance objectives, and material control and accounting ‘system features and capabilities’ (performance requirements), provided an example of how an objectives-based system could be implemented by a licensing and inspection authority. The components of the IAEA’s results-based performance management system – Rationale, Objectives, Outcomes, Performance Indicators, Program Changes and Trends, and Outputs – are the model for the subcomponent structure underlying safeguards implementation – “Analyze diversion or acquisition paths”, “Establish and prioritize technical objectives”, “Identify applicable safeguards measures”, “Develop annual plan for safeguards activities”, “Conduct in- field and Headquarters safeguards activities”, and “Evaluate results of safeguards activities”. The components of the quality management system cycle – Plan, Do (Implement), Check (Evaluate), Act (Improve) – are the model for the IAEA’s safeguards implementation wheel – “Develop State-Level Approaches”; “Plan, Conduct, and Evaluate Safeguards Activities”; “Draw Safeguards Conclusions”; and “Collect and Evaluate Information”. The paper discusses the concepts underlying the development of the IAEA’s objectives-based safeguards approach and provides an example of objectives-based implementation.