DESCRIPTIONS OF RK&M PRESERVATION MECHANISMS

Mechanism

International Archiving Initiatives

Memory Institutions: Archives

Time Capsules: Mediated time capsules containing records of international relevance can be considered as a

Connection to other

specific kind of international archive.

approaches/

Regulatory Framework: Safeguards (as part of its archive, the IAEA preserves records on past activities,

mechanisms

including the application of safeguards provisions)

Dedicated record sets and summary files: KIF; SER (copies could be preserved in a dedicated international

archive)

Information resources

—

issued by the RK&M

initiative

Other information

—

resources

• IAEA Archive: www.iaea.org/resources/archives

• Historical Archives of the European Union: www.eui.eu/Research/HistoricalArchivesOfEU

Examples

• Archives of CORDIS, Community Research and Development Information Service of the European

Commission (documents the results of European projects):

https://cordis.europa.eu/guidance/archive_en.html

• Svalbard Global Seed Vault www.regjeringen.no/en/topics/food-fisheries-and-agriculture/svalbard-

global-seed-vault/id462220

Regulatory framework

National regulatory framework

Mechanism

National Regulatory framework

Approach

Regulatory Framework

This mechanism is about national laws, regulations and regulatory guidelines (hereafter referred to as

Definition/description

“regulation”) – including compliance mechanisms – regarding the preservation of RK&M for radioactive

waste repositories.

A lack of dedicated regulation and its enforcement has been identified as a key cause of RK&M loss

(OECD, 2014). A national regulatory framework should equip actors nationally involved with RWM with

requirements, guidelines and responsibilities that are clear enough to develop and implement systemic

RK&M preservation strategies.

A national regulatory framework can at minimum include guidelines related to information preservation,

e.g. archiving records. The preservation of knowledge and memory are more difficult to regulate directly,

How does this

but are just as important. Therefore, a national regulatory framework should also include consideration

mechanism contribute

of the preparation and implementation of RK&M preservation mechanisms complementary to archives,

to RK&M preservation/

such as developing a key information file (KIF), public information dissemination activities, land use

How can it be

control, monitoring, markers, etc.

implemented?

A national regulatory framework should be in line with international regulations, but adapted to the

national context, regarding both the content of the regulation (the various mechanisms) and the

(participatory) procedures to implement it. It should go beyond short-term, operational requirements

alone and proactively focus on the period after closure.

While developing this mechanism and controlling its efficacy is a key responsibility of national nuclear

regulators, other regulatory fields, actors and levels (e.g. environmental protection, spatial planning,

safety, security, heritage preservation and archiving; local, regional, international) are also involved.

Does the mechanism mainly preserve information, records, knowledge, memory or awareness?

Information: X

Records: X

Knowledge: X

Memory: X

Awareness: X

Different regulatory RK&M preservation mechanisms can address different levels of detail, different time

frames, and involve different actors. Overall, a national regulatory framework should indirectly support

the preservation of information, records, knowledge, memory and awareness.

What is the level of detail addressed/provided by the mechanism?

Scope

Low level of detail:

High level of detail: X

The national regulatory framework should be developed so as to promote the highest level of detail of

RK&M preservation. This does not mean that mechanism with lower levels of detail should be excluded.

What is the main geographical or administrative-political scope (development / implementation /

operation) of the mechanism? On which scale does the mechanism notably enable RK&M preservation?

Local:

Regional:

National: X

International:

Virtual:

The national regulatory framework should comply with international regulations. As for all national

regulation, accordance should be sought with the local and regional level, having regard to the

subsidiarity principle.

PRESERVATION OF RK&M ACROSS GENERATIONS: FINAL REPORT OF THE RK&M INITIATIVE, NEA No. 7421, © OECD 2019

171

Mechanism

National Regulatory framework

Long term:

Medium term: X

Short term: X

Very short term:

Timescales

When should this mechanism be implemented? This may or may not be equal to the target timescale.

Pre-operational: X

Operational: X

Pre-closure: X

Post-closure: X

A national regulatory framework addressing RK&M issues should be implemented before the operational

phase and should continue to be implemented across all phases, for as long as society deems it useful.

When should this mechanism be developed? This may or may not be equal to the implementation

timescale.

Done:

Pre-operational: X

Operational: X

Pre-closure: X

Post-closure:

Regulations will probably be developed, revised and updated throughout the repository lifetime, almost

certainly until the facility is closed and possibly after closure.

Should the mechanism be implemented intentionally (e.g. time capsules) or is its emergence largely

unintentional (e.g. surface traces) or can it not be fully controlled (e.g. art work)?

Intentional: X

Unintentional:

Cannot be controlled:

The national regulatory framework is developed and implemented intentionally.

Is the mechanism mainly tangible or intangible?

Tangible: X

Intangible: X

Characteristics

A regulatory framework involves both tangible (e.g. the recorded regulations itself, the regulatory

required records) and intangible elements (e.g. the control of the compliance with the regulatory

framework, the training of regulatory staff).

Does the mechanism mainly rely on mediated transmission or non-mediated transmission?

Mediated transmission: X

Non-mediated transmission:

Regulation needs to remain administratively and societally anchored and functional in order to be

effective. Regulatory frameworks are under continuous development and need to be transferred from

one generation to the next. Regulation is an ongoing process.

The main actor regarding the development of national laws, regulations and guidance is the regulator,

although other government agencies and stakeholders can be involved. International organisations can

Actors

be the primary actor for the development of international directives, guidelines, standards etc. which,

depending on their regulatory force, may or may not be implemented by the individual nations. Apart

from the nuclear regulator, regulatory agencies involved in the fields of environmental protection,

spatial planning, safety, security, heritage preservation and archiving may also be relevant actors for the

development of and compliance with this mechanism.

A regulatory framework with clear regulatory guidance and enforcement is a base condition for

Main

effectively carrying out RK&M preservation. It supports the availability of accurate and reliable

information, as well as accountability.

strengths/benefits

Regulation related to RK&M preservation in other fields can be positive for RK&M preservation from a

systemic point of view, by providing opportunities for collaboration, learning and redundancy.

Current regulatory frameworks related to preservation of RK&M for radioactive waste repositories focus

on short-term, operational requirements, notably in the context of licensing.

A variety of RK&M preservation related regulation exists in other fields, which may be positive (see

above), but which may also cause divergence and lack of clarity on the level of both content and

responsibilities. The national regulatory framework needs to identify and thus plan ahead clear and

transparent responsibilities for RK&M preservation, including a possible change in, and/or transfer of,

Specific

responsibilities after the end of the operational phase.

RK&M preservation is a dynamic, context-dependent issue that does not easily lend itself to being

issues/challenges

translated into tight rules. The success of a regulatory framework can only be judged in an ongoing

manner, by assessing whether it establishes the relevance and responsibility in the minds and attitudes

of waste producers, regulators, implementing agencies, other stakeholders and the general public today,

and whether that need and responsibility is understood and passed on to the next generation. Minds

and attitudes are difficult to regulate. Hence regulation should focus not only on formulating guidelines

and actions that are as specific as possible, but also on mechanisms to control their efficacy, today and in

the future.

172

PRESERVATION OF RK&M ACROSS GENERATIONS: FINAL REPORT OF THE RK&M INITIATIVE, NEA No. 7421, © OECD 2019

Mechanism

National Regulatory framework

International organisations can be the primary actor for the development of international directives,

guidelines, standards etc. which, depending on their regulatory force, may or may not be implemented

by the individual nations.

International

Ideally, international guidelines and standards would provide some global framework for the uptake of

long-term RK&M preservation in RWM regulation. International guidelines and standards might be

dimension

beneficial in order to have compatible national approaches in RK&M preservation matters, at least on a

generic level.

International organisations can also be involved with for instance peer review of national regulatory

frameworks.

Regulatory Framework: Safeguards

Connection to other

International Mechanisms: International regulations and agreements; International standards and

guidelines

approaches/

Oversight Provisions: Clear and planned responsibilities

mechanisms

This mechanism is connected to all approaches and mechanisms of a nationally chosen RK&M preservation

strategy which will be legally laid down.

• NEA (2014), Preservation of Records, Knowledge and Memory across Generations. Loss of information,

Information resources

records, knowledge and memory in the area of conventional waste disposal NEA/RWM/R(2014)3.

issued by the RK&M

• NEA (2018), Preservation of Records, Knowledge and Memory (RK&M) Across Generations: Catalogue

initiative

of legislation, regulation and guidance governing the preservation of RK&M for radioactive waste

repositories, OECD, Paris.

Other information

—

resources

See: NEA (2018), Preservation of Records, Knowledge and Memory (RK&M) Across Generations:

Examples

Catalogue of legislation, regulation and guidance governing the preservation of RK&M for radioactive

waste repositories, OECD, Paris.

Mechanism

Safeguards

Approach

Regulatory Framework

The international treaty on the non-proliferation of nuclear weapons (NPT) and the European Euratom

treaty are set up (among other purposes) to prevent the diversion of nuclear technology and materials

for the purpose of creating nuclear weapons. Safeguards are the institutional controls to verify

compliance with (this part of) these treaties. In the context of disposal of radioactive waste, safeguard

Definition/description

measures refer to having clear information about the fissile material content of the repository, verifying

this information over time, and surveillance/monitoring of disposal sites, with the aim of making sure

that no malevolent use of the technology/material occurs. Safeguards thus only apply to repositories

that contain fissile material. For such repositories, current IAEA guidance states that safeguards will also

continue after repository closure, with activities focusing on assuring that no intrusions occur that might

remove fissile material from the repository (IAEA, 2010).

The IAEA emphasise the importance of adequate nuclear material accountancy and advocates measures

How does this

to ensure a continuity of knowledge relating to the nuclear material inventories. Safeguards thus include

mechanism contribute

activities that overlap with RK&M preservation, such as record keeping, record verification over time, and

to RK&M preservation/

knowledge transfer.

How can it be

Safeguards take place within an international, institutional setting with a dedicated regulatory

implemented?

framework. Repository safeguards related RK&M is in the hands of and requires collaboration between

the state, the implementing agency and the dedicated international organisations.

Does the mechanism mainly preserve information, records, knowledge, memory, or awareness?

Information: X

Records: X

Knowledge: X

Memory:

Awareness:

The objective of safeguards is to confirm the whereabouts of fissile material. For the case of repositories

containing fissile material, this implies the preservation of information, records and knowledge about

the location and design of the repository and its fissile material content. Safeguards also imply the

Scope

preservation of more general information, knowledge and memory related to the nuclear field, both

techno-scientifically and socio-politically.

What is the level of detail addressed/provided by the mechanism?

Low level of detail:

High level of detail: X

Safeguards address and provide detailed information about the fissile material content of repositories.

The level of detail of information related to the repository itself and its functioning is likely to be less

detailed in this context.

PRESERVATION OF RK&M ACROSS GENERATIONS: FINAL REPORT OF THE RK&M INITIATIVE, NEA No. 7421, © OECD 2019

173

Mechanism

Safeguards

What is the main geographical or administrative-political scope (development/implementation/

operation) of the mechanism? On which scale does the mechanism notably enable RK&M preservation?

Scope

[Note also the field “International dimension” further below.]

Local:

Regional:

National: X

International: X

Virtual:

Safeguards are a national commitment under international inspection.

Which timescale(s) is this mechanism mainly aimed at (target timescale)?

Long term:

Medium term: X

Short term: X

Very short term:

There is no specific time limit concerning how long safeguards measures should continue. Previous IAEA

guidance states that the termination of safeguards will be determined based on when the nuclear

material subject to safeguards has been consumed, diluted, or has become practicably irrecoverable

(IAEA, 1972). The current IAEA guidance related to geological disposal states that safeguards will

continue after repository closure. The safeguards principles applied during the operational phase would

continue after closure for as long as the repository remains under safeguards, i.e. for as long as the NPT is

in force (IAEA, 2010).

Overall, the longevity of safeguards depends on the willingness and ability of a future society to

continue safeguard activities. Safeguards are likely to continue throughout the period of oversight, i.e. in

the short and medium term, and its RK&M preservation function can thus be seen as targeting these

timescales.

Timescales

When should this mechanism be implemented? This may or may not be equal to the target timescale.

Pre-operational: X

Operational: X

Pre-closure: X

Post-closure: X

The creation of the relevant records and knowledge should take place in the pre-operational and

operational phase, for the detailed records on fissile material (before the waste is on site) and on the

whereabouts of it (parallel to operations) respectively. According to the current guidelines, records and

knowledge should be preserved and their validity checked for as long as the nuclear material in the

geological repository remains under safeguards.

When should this mechanism be developed? This may or may not be equal to the implementation

timescale.

Done:

Pre-operational: X

Operational:

Pre-closure:

Post-closure:

Articles 3 and 6 in the European regulation (Euratom No 302/2005) state that the Commission shall

adopt particular safeguards provisions for a repository when a basic technical description of the facility is

presented. The IAEA (2010) similarly states that during the pre-operational phase specific safeguards

measures will be developed based on the site characteristics and repository design.

Should the mechanism be implemented intentionally (e.g. time capsules) or is its emergence largely

unintentional (e.g. surface traces) or can it not be fully controlled (e.g. art work)?

Intentional: X

Unintentional:

Cannot be controlled:

Safeguards are an intentional mechanism.

Is the mechanism mainly tangible or intangible?

Characteristics

Tangible: X

Intangible: X

Some elements of safeguards are tangible (e.g. records, fences, the treaty as a record), some are

intangible (e.g. the treaty as an agreement, the knowledge of how to carry out inspections).

Does the mechanism mainly rely on mediated transmission or non-mediated transmission?

Mediated transmission: X

Non-mediated transmission:

Safeguards entail ongoing activities related to the verification of information about the fissile material

inventory, which in turn requires the transfer of records, knowledge and memory about these materials.

Safeguards are issued and controlled on a national (state) as well as an international (IAEA and Euratom)

Actors

level. International regulations require states to decide the particular safeguard provisions for a final

repository, in close consultation with the implementing agency and the regulator (Euratom

No 302/2005).

For as long as safeguards are in place, safeguards relevant information, records, knowledge and memory

will be produced and preserved. These will relate to repository locations, designs and (part of) their

content, as well as to more general techno-scientific and socio-political information, knowledge and

memory related to the nuclear field.

Main

Safeguards take place within an international, institutional control setting with a dedicated regulatory

framework, which is promoted as an element of robustness in an RK&M strategy. For a number of

strengths/benefits

European countries, the fact that there are two international mechanisms (IAEA and Euratom) also adds

to redundancy.

Safeguards are likely to include efforts that overlap with RK&M preservation, such as record keeping,

record verification, knowledge transfer and monitoring. Both will benefit from developing preservation

techniques and methods for handling large quantities of documentation over long time spans.

174

PRESERVATION OF RK&M ACROSS GENERATIONS: FINAL REPORT OF THE RK&M INITIATIVE, NEA No. 7421, © OECD 2019