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Benjamin Rusek and Micah Lowenthal, Rapporteurs Policy and Global Affairs In cooperation with Instituto de Pesquisas Energéticas e Nucleares São Paulo, Brazil
THE NATIONAL ACADEMIES PRESS 500 Fifth Street, NW Washington, DC 20001 This activity was supported by Grant No. S-LMAQM-11-GR-0057 between the National Academy of Sciences and the United States Department of State. Any opinions, findings, conclusions, or recommendations expressed in this publication are those of the author(s) and do not necessarily reflect the views of the organizations or agencies that provided support for the project. International Standard Book Number-13: 978-0-309-37586-3 International Standard Book Number-10: 0-309-37586-X Additional copies of this report are available for sale from the National Academies Press, 500 Fifth Street, NW, Keck 360, Washington, DC 20001; (800) 624-6242 or (202) 334- 3313; Internet, http://www.nap.edu. Copyright 2015 by the National Academy of Sciences. All rights reserved. Printed in the United States of America Suggested citation: National Academy of Sciences. 2015. Brazil-U.S. Workshop on Strengthening the Culture of Nuclear Safety and Security: Summary of a Workshop. Wash- ington, DC: The National Academies Press.
The National Academy of Sciences was established in 1863 by an Act of Congress, signed by President Lincoln, as a private, nongovernmental institution to advise the na- tion on issues related to science and technology. Members are elected by their peers for outstanding contributions to research. Dr. Ralph J. Cicerone is president. The National Academy of Engineering was established in 1964 under the charter of the National Academy of Sciences to bring the practices of engineering to advising the na- tion. Members are elected by their peers for extraordinary contributions to engineering. Dr. C. D. Mote, Jr., is president. The National Academy of Medicine (formerly the Institute of Medicine) was estab- lished in 1970 under the charter of the National Academy of Sciences to advise the nation on medical and health issues. Members are elected by their peers for distinguished con- tributions to medicine and health. Dr. Victor J. Dzau is president. The three Academies work together as the National Academies of Sciences, Engineer- ing, and Medicine to provide independent, objective analysis and advice to the nation and conduct other activities to solve complex problems and inform public policy deci- sions. The Academies also encourage education and research, recognize outstanding con- tributions to knowledge, and increase public understanding in matters of science, engi- neering, and medicine. Learn more about the National Academies of Sciences, Engineering, and Medicine at www.national-academies.org.
BRAZIL-U.S. WORKSHOP ON STRENGTHENING THE CULTURE OF NUCLEAR SAFETY AND SECURITY PLANNING COMMITTEE Robert A. Bari, Chair, Senior Physicist and Senior Advisor, Brookhaven National Laboratory Matthew G. Bunn, Professor of Practice, John F. Kennedy School of Government, Harvard University Michael L. Corradini, Wisconsin Distinguished Professor of Nuclear Engineering and Engineering Physics, University of Wisconsin-Madison James O. Ellis, Annenberg Distinguished Visiting Fellow and Member, Arctic Security Initiative at the Hoover Institution, Stanford University Alan S. Hanson, Executive Director, International Nuclear Leadership Education Program, Massachusetts Institute of Technology Nancy Jo Nicholas, Associate Laboratory Director, Los Alamos National Laboratory CNEN Organizers Ivan Salati, Director for Radiation Protection and Nuclear Safety and Member of the Deliberative Comissão Nacional de Energia Nuclear (CNEN) Claudio Almeida, Advisor to the Director of Radiation Protection and Nuclear Safety, CNEN IPEN Organizer Antonio Barroso, Professor and Senior Researcher, Instituto de Pesquisas Energéticas e Nucleares (IPEN) National Academy of Sciences Staff Benjamin J. Rusek, Senior Program Officer Micah D. Lowenthal, Program Director v
Preface and Acknowledgments On August 25â26, 2014, the Instituto de Pesquisas Energéticas e Nucle- ares (IPEN, the Institute of Nuclear and Energy Research) and the National Re- search Council 1 of the U.S National Academy of Sciences (NAS) convened the Brazil-U.S. Workshop on Strengthening the Culture of Nuclear Safety and Secu- rity. The workshop, held on the IPEN Campus in São Paulo, Brazil, examined how a culture of nuclear safety and security is built and maintained within the nuclear science, technology, and industrial sectors. Participants identified oppor- tunities for cooperation to strengthen that culture. To host the workshop, IPEN received financial support from Eletrobras Eletronuclear, Banco do Brasil, and Santander. U.S. participation was sponsored by the Partnership for Nuclear Se- curity at the U.S. Department of State. Statement of Task: An ad hoc NRC [National Research Council] commit- tee will work with counterparts in Brazil to convene a Brazil-U.S. work- shop to examine how a culture of nuclear safety and security is built and maintained within the nuclear science, technology, and industrial sectors and to look for opportunities for U.S.-Brazil cooperation to strengthen that culture. IPEN and NAS staff worked with Brazilian officials and academics from IPEN, the Comissão Nacional de Energia Nuclear (CNEN, the National Nuclear Energy Commission), the University of São Paulo, Eletrobras Eletronuclear, the Ministério da Ciência Tecnologia e Inovação (MCTI, the Ministry of Science, Technology, and Innovation), and the Governo do Estado de São Paulo (the Government of the State of São Paulo), and other groups in Brazil to plan and host the workshop. While no single workshop could cover nuclear safety and security culture comprehensively, the agenda was designed to address some of the most important ideas, and issues, and included sessions on 1 Effective July 1, 2015, the institution is called the National Academies of Sciences, Engineering, and Medicine. References in this report to the National Research Council are used in an historic context identifying programs prior to July 1. vii
viii Preface and Acknowledgments ⢠The relationship between safety culture and security culture; ⢠Safety analysis, vulnerability assessment, and the design of integrated solutions; ⢠Performance assessment and improvement of safety and security cul- ture; ⢠Training and education for safety and security culture; ⢠The âlessons-learnedâ processes and implementing change; and ⢠The influence of leadership and hierarchy on safety and security cul- ture. About a dozen experts each from Brazil and the United States spoke at the workshop, presenting talks, moderating panels, or serving as rapporteurs. The workshop was well attended by Brazilian experts: approximately 80 attended dur- ing the course of the 2 days. Participants included scientists, engineers, and offi- cials who have managed and worked on complex projects in the nuclear sector, as well as graduate-level students from IPEN. IPEN webcast the workshop and took questions from the Internet during the sessions. 2 After the sessions, IPEN leader- ship demonstrated the capabilities of IPENâs research reactor and IPENâs radio- pharmaceutical production facility for the U.S. group. NAS is especially grateful to IPEN staff members Arnaldo Andrade, Anderson Andrade, Afonso R. Aquino, Jamil M. S. Ayoub, Margarete L. Bustos, Edvaldo R. P. Fonseca, Rafael H. L. Garcia, Katia Itioka, Francisco Luiz Lemos, Mario O. Menezes, Roseli dos Reis Orsini, Tereza Cristina Salvetti, Glaucia Regina T. Santos, Walkiria G. Santos, Jorge Sarkis, Fábio Fumio Suzuki, and Antonio Vaz for their assistance in organ- izing the workshop. Acknowledgment of Reviewers This report has been reviewed in draft form by individuals chosen for their diverse perspectives and technical expertise, in accordance with procedures ap- proved by the Academiesâ Report Review Committee. The purpose of this inde- pendent review is to provide candid and critical comments that will assist the institution in making its published report as sound as possible and to ensure that the report meets institutional standards for quality and objectivity. The review comments and draft manuscript remain confidential to protect the integrity of the process. We wish to thank the following individuals for their review of this report: Robert Bari, Brookhaven National Laboratory; Antonio Barroso, IPEN; Togzhan 2 More information about the workshop, including the agenda and all presentations and video recordings of the sessions, is available on the workshop website: http://gescon.ipen. br/workshop.
Preface and Acknowledgments ix Kassenova, Carnegie Endowment for International Peace; Nancy Jo Nicholas, Los Alamos National Laboratory; Leonam dos Santos Guimarães, Eletrobras Eletro- nuclear; and Jorge Spitalnik, World Federation of Engineering Organizations. Although the reviewers listed above have provided many constructive comments and suggestions, they were not asked to endorse the content of the report, nor did they see the final draft before its release. The review of this re- port was overseen by John Ahearne, Sigma Xi, The Scientific Research Society; appointed by the Academies, he was responsible for making certain that an in- dependent examination of this report was carried out in accordance with institu- tional procedures and that all review comments were carefully considered. Re- sponsibility for the final content of this report rests entirely with the rapporteurs and the institution.
Contents OVERVIEW ..............................................................................................................1 INTRODUCTION .....................................................................................................5 I THE RELATIONSHIP BETWEEN SAFETY CULTURE AND SECURITY CULTURE ........................................................................7 II SAFETY ANALYSIS, VULNERABILITY ASSESSMENT, AND THE DESIGN OF INTEGRATED SOLUTIONS ............................21 III PERFORMANCE ASSESSMENT AND IMPROVEMENT OF SAFETY AND SECURITY CULTURE ...............................................29 IV TRAINING AND EDUCATION FOR SAFETY AND SECURITY CULTURE ................................................................................43 V LESSONS-LEARNED PROCESSES AND IMPLEMENTING CHANGE ......................................................................53 VI INFLUENCE OF LEADERSHIP AND HIERARCHY ON SAFETY AND SECURITY CULTURE......................................................65 CONCLUDING REMARKS ..................................................................................75 APPENDIXES A BRAZIL-U.S. WORKSHOP ON STRENGTHENING THE CULTURE OF NUCLEAR SAFETY AND SECURITY ..........................77 B BIOGRAPHICAL SKETCHES OF WORKSHOP SPEAKERS..............81 xi