Defining and Implementing Best Practices in Nuclear Security

William H. Tobey

December 2012


DiscussionPaper#201213

BelferCenterforScienceandInternationalAffairs JohnF.KennedySchoolofGovernment 79JFKStreet Cambridge,MA02138 Fax:(617)4958963 Email:belfer_center@harvard.edu Website:http://belfercenter.org

Statementsandviewsexpressedinthediscussionpaperaresolelythoseoftheauthoranddo notimplyendorsementbyHarvardUniversity,theHarvardKennedySchool,ortheBelfer CenterforScienceandInternationalAffairs. Coverimage:DelaybarriersattheU.S.NationalNuclearSecurityAdministration'sY12facility PhotoCredit:NNSAProductionOffice

ThispaperwascommissionedbytheNuclearThreatInitiative(NTI)toinformdiscussionsrelatedtotheGlobalDialogueon NuclearSecurityPriorities.Theviewsexpressedaresolelythoseoftheauthoranddonotnecessarilyreflectthoseof participantsintheGlobalDialogue,NTIofficersorstaff,ortheNTIBoardofDirectorsorinstitutionswithwhichtheyare associated.

DefiningandImplementingBest PracticesinNuclearSecurity
WilliamTobey
___________ WilliamTobeyisaseniorfellowattheHarvardKennedySchoolsBelferCenterforScienceand InternationalAffairs.Priortothat,hewasadeputyadministratoroftheNationalNuclear SecurityAdministration. Introduction Likealljargon,thetermbestpracticeisoverworkedandunderanalyzed.Bestpracticesare derivedfromhumanexperienceandaredistinctfromstandards,whichtendtobelogically formulated.Theuseofbestpracticesevolvedinpartfrompeerreview,whichdatesfromthe 17thcenturyworkofLondonsRoyalSociety,1intoamanagementconsultingfadcompletewith morethan31millionGooglehits.Narrowedtothefieldofnuclearsecurity,thisnumberfallsto amere56,000.2Despiteitsmixedpedigree,theconceptofbestpractices,togetherwith guidelinesandregulations,isanessentialelementofeffortstoensurethatfissilematerialisnot misused. Thispaperanalyzesthecontributionthatbestpracticescanmaketothefieldofnuclear securitybydoingthefollowing: Definingwhatismeantbybestpractice Specifyingamethodologyforderivingit Understandingtheresultingcharacteristicsofthemethod Comparingitsprosandconstoothermethodscontributingtosecurity,suchasguidelines andregulations
RogerHowsley,InternationalNuclearSecurityPeerReview:AnEssentialContributiontoEffectiveGovernance, (unpublishedpaper,NuclearThreatInitiative,Washington,DC,2012),1. 2 AsofSeptember10,2012.
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DefiningBestPractice Thetermbestpracticehasapplicationinmanyfields,andtheliteraturesurroundingitiswell developed.Definitionsofbestpracticeabound,fromthevagueamethodgenerallyaccepted assuccessful3tothepainfullyspecificregardingparticularfieldsofendeavor.4Some definitionsincludeamoralorethicaldimension.Thispaperpostulatesthatmethodology mattersandthatanimportantcharacteristicofbestpracticeishowitisderived.Bestpracticeis differentfromaregulatorystandardoramoralcode.Itiswonintheschoolofhardknocks,not receivedfromalawgiver.Bestpracticeisamethodempiricallyproventoyieldexcellentresults toaccomplishastatedobjective.Thus,derivingabestpracticerequiresstudyingtheworkof othersandselectingthosetechniquesthataremostsuccessful. Giventhestakesinvolvedinguardingfissilematerial,itmaybetemptingtothinkofbest practiceasthemostrigorousorexpensiveapproach,butthatviewmissesthepoint.Best practicesshouldidentifymethodsthatwillprovidethehighestyieldtowardastatedgoalfora givenamountofmoneyorthecheapestwaytoprovideastatedlevelofsuccess.Itisupto managersunderregulatorysupervisiontomakeprudentandinformedjudgmentsabout optimumspendinglevels.Ofcourse,managersmustmakesuchjudgmentsaboutminimum necessarylevelsofsecurityinthecontextofthethreattheyfaceandthenationaland internationalregulationsandstandardsunderwhichtheyoperate.5 SpecifyingaMethodologyofBestPractice Onedistinguishingcharacteristicofbestpracticeisthemethodologyusedtoderiveit.In implementingstrategiesinpursuitofbestpractices,differentorganizationsusediverse procedures.Nonetheless,incomparingeventhesediverseprocedures,onemustfollowseveral

AccordingtotheOxfordonlinedictionary,bestpracticesarecommercialorprofessionalproceduresthatare acceptedorprescribedasbeingcorrectormosteffective.See http://oxforddictionaries.com/definition/english/best%2Bpractice. 4 DanielL.Purich,EnzymeKinetics:CatalysisandControl,aReferenceofTheoryandBestPracticeMethods (London:AcademicPress,2010). 5 MakingSecurityEfficient:A WINSInternationalBestPracticeGuide(Vienna:WorldInstituteforNuclearSecurity, 2012),35.

steps,regardlessofthedesiredobjective: Stateagoal. Surveyknowneffortsinpursuitofthatgoal. Identifyamethodyieldingexceptionallysuccessfulresultsinachievingthatgoal,aswellas otheruniversalcriteriasuchasefficiency. Documentspecificmeanstosuccess. Attempttotesttheconclusionsinanobjectivemanner.6

Forexample,thepremiseofagolfschoolIonceattendedreliedonvideotapingandstudying theswingsofthemostsuccessfulgolfersintheworld,identifyingtheircommoncharacteristics, andmodifyingtheamateursswingstoadoptthosetechniques.Theresultswereverydifferent fromclassicgolfinstruction,whichreliedontheoryandaestheticstoconstructanidealswing. Asdifferentplayersmovedupordowntheearningslist,newmodelswingsweretaught. Successintournamentplaywasthesolecriterionforselectingmodelswings.Thismethod demonstratesinstructionthroughbestpractice. CharacteristicsofBestPractices Thedefinitionandmethodologycitedintheprevioussectionimplyseveralimportant characteristicsofbestpractice.Thesecharacteristicsyieldbothadvantagesanddisadvantages; theformershouldbeexploitedtotheutmostextent,andthelatterrequirecomplementary measuressuchasstandardsandregulations. Empirical Bestpracticeisbuiltonexperience.Theadvantageofthischaracteristicisthatitispractical, adaptable,andderivedfromactualoperations.Thispracticalapplicationofexperienceexplains thetremendoussuccessoftheInstituteofNuclearPowerOperations,whichhasgreatly enhancedbothreactorsafetyandoperatingefficiency.Thedisadvantageofthistraitisthat
ShilpaDani,JennyA.Harding,KeithCase,R.I.M.Young,SeanCochrane,JamesGao,andDavidBaxter,A MethodologyforBestPracticeKnowledgeManagement,JournalofEngineeringManufacture220(2006):1719.
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sometimesexperienceisinsufficienttojudgeorpreventrisk;imaginationandanalysisarealso necessary.Thisisnottosaythatoperatorsneverthinkimaginativelyoranalyticallyaboutthe problemstheymightconfront,butratherthatexperiencecanbealimitingfactor.Inthemost extremeexample,experiencewasinsufficientpreparationtodefeattheattacksofSeptember 11,2001. Inductive Relatedtobestpracticesempiricalnatureisaninductivemethod.Knowneffortsaresurveyed andsuccessisassessedwhileallowingforprobabilisticjudgments.Thismethoddoesnotentail thecertaintyofdeductivelogic.Thus,bestpracticesareinferredthroughobservation,not receivedaslogicalrequirementsofanideal.Becauseagiventechniquehasworkedinmany circumstances,itisprobable,butnotguaranteed,thatthetechniquewillworkinother conditions.Thischaracteristicshouldinstillanelementofhumilityamongoperators implementingbestpractices. Relative Pursuitofbestpracticeenablesjudgmentsaboutwhichmethodsaresuperiortoothersinuse, butitmaynotrevealwhichonesaregoodenoughtomeetthegoal,especiallyifthatgoalisto protectagainstanintelligent,determinedadversary.Thisapproachispracticalbutcanleadto vulnerabilities.Itmaybethatnoneoftheoperatorssurveyedisfollowingatechniquethat shouldbeimplemented;ifso,thattechniquewouldnotbeincludedintheresultingbest practices.Forexample,continuouschestcompressioncardiopulmonaryresuscitationisnowan acceptedbestpractice,butitwaswidelyadoptedonlyfouryearsago.Bestpracticeeffortscan offerjudgmentsonwhichcurrentmethodsaremosteffective,butnotonhowthosemethods matchupagainstanabsolutelevelofsecurity.Theimplementationofbestpracticesmay improvesecurity,butnotnecessarilyachieveitanabsolutesense. Dynamic Becausepracticesevolveovertime,abestpracticeisdefinedbyitstemporalcontext.This 5

characteristicisespeciallyusefulwhencounteringanevolvingthreatorusingimproved technologies.Bestpracticealsoreliesonasustainedquestforexcellence.Ifpracticesare continuallyevolvingandanorganizationaspirestoimplementthebestones,theorganization mustconstantlystrivetoimprove.Thischaracteristicstandsinsharpcontrasttoinflexible, relativelyunchangingregulationsgenerallyintendedtocompelcomplianceandprovidea predictableoperatingenvironment.Aleadingindustryexpertinbothnuclearsafetyand securityobserved,NooneeverwroteabooktitledRegulateYourWaytoExcellence.Thus, althoughregulationsarenecessarytoenforceaminimumstandardofsecurityandprinciples arenecessarytoenvisionanidealoutcome,bestpracticesaspiretocreateanoptimum method. Tacit Bestpracticecapturestacitknowledgethatisbasedonexperience.Sometimessuchknowledge isimpossibleorcumbersometospecify.Tacitknowledgestandsincontrasttoexplicit knowledge,whichmanifestsitselfinguidelinesorregulations.Forexample,awrittendrivers licensetestexaminesexplicitknowledge:Doesthestudentunderstandroadsigns?Theroad testmeasurestacitknowledge:Canthestudentparallelpark?Tacitknowledgeandbest practicesarebasedonknowhow,ratherthanknowwhat.7Ofcourse,itispossibleto overstatethedistinction.WrittenbestpracticesguidesareproducedbytheWorldInstitutefor NuclearSecurity(WINS),andmoststandardsassumesomelevelofexpertise.Withbest practices,themethodismostlytodescribe;withstandards,thegoalisprimarilytoprescribe. Distributed AsisillustratedbytheWINScompendium,8bestpracticesformaninterlockingnetwork.Thus, bestpracticeinriskmanagementisoneelementofbestpracticeinnuclearsecurity.Thispoint

ElizabethA.Smith,TheRoleofTacitandExplicitKnowledgeintheWorkplace,JournalofKnowledge Management5,no.4(2001):314. 8 SecuritytheFuture:ACompendiumofBestPracticesforNuclearSecurityManagement(Vienna:WorldInstitute forNuclearSecurity,2012).Thecompendiumoutlines25separatebestpracticesnecessaryforgoodnuclear securityandhassincebeenexpanded.

isparticularlyimportanttorecognize,becauseresponsibilityfornuclearsecurityisdistributed farbeyondasecuritymanagersoffice.Variouspartsofanuclearenterpriseleadershipand management,personnel,operations,informationtechnology,andguardforcesmustworkto achieveeffectivesecurityand,therefore,becommittedtoimplementingbestpractices. BestPracticesandOtherObjectivesinNuclearOperations Inimplementingbestnuclearsecuritypractices,operatorsmustalsostrivetoachieveother objectives.WINSexplicitlyrecognizesthatcustodiansofnuclearmaterialsfaceanoptimization problem.WINSscriteriaforthedevelopmentofbestpracticeguidesincludethefollowing: Impactandeffectiveness.Thepracticehasdemonstratedimpact,applicability,andbenefits tothenuclearsecurityprogram. Efficiency.Thepracticehasdemonstratedcostandresourceefficiencywheretheexpenseis appropriatetothebenefits. Sustainability.Thepracticehasdemonstratedsustainablebenefitsorissustainablewithin nuclearandrelatedorganizations. Collaborationandintegration.Thepracticebuildseffectivepartnershipsamongvarious organizationsandintegratesnuclearsecuritywithotherfunctionssuchasnuclearsafety, emergencyplanning,anddesign.9 BestPracticesandStandardsforNuclearSecurity Nationallawsandregulationsestablishspecificsecurityrequirementsfornuclearoperators. Thoselawsandregulationsaredecidedlynotbestpractices.Theyaremandatoryandrigid,and, whethersufficientornot,theysetstandards,eitherbyspecifyingactionstobetakenor objectivestobemet.Iftheformer,thelawscannotevolveasbestpracticesdo.Ifthelatter, thelawsdonotdetailwhatmethodshouldbeusedtoaccomplishtheobjective.Bestpractices arealsoinfluencedbyinternationalobligationsandstandards,suchastheConventionon

9RogerHowsley,BestPractices:HowAreTheyDefined?(paper,WorldInstituteforNuclearSecurity,Vienna, 2010).

PhysicalProtectionofNuclearMaterial(CPPNM),andInternationalAtomicEnergyAgency (IAEA)InformationCircular225,NuclearSecurityRecommendationsonPhysicalProtectionof NuclearMaterialandNuclearFacilities(INFCIRC/225/Revision5),aswellasUnitedNations SecurityCouncilResolution(UNSCR)1540,whichrequires,amongotherthings,thatstates establishappropriateeffectivesecurityovernuclearmaterialontheirterritory. NeitherUNSCR1540northeCPPNMpretendstoestablishbestpractices.Rather,bothestablish minimuminternationalstandardsthatarebindingonpartiestotheUnitedNationsCharter(all states)ortheCPPNM(145states,57asamended).Thesestandardsinmanywayscarrythe oppositecharacteristicsofbestpractices.Theyserveimportantpurposesbyplacingstates underlegalobligationtoprovidenuclearsecurity.Thoseobligationsarewidelyseenas legitimatebecauseofthepoliticalprocessesbehindthem,butthenegotiatorsdidnotconduct adetailedassessmentofwhatwouldbethemosteffectivewaytoformulatetheobligations, andtherequirementsthemselvesmaybevague. INFCIRC/225isoneoftheIAEAsrecommendationsthat,accordingtotheIAEA,presentbest practicesthatshouldbeadoptedbyMemberStatesintheapplicationoftheNuclearSecurity Fundamentals[anotherIAEApublication].10IsINFCIRC/225reallyaguidetobestpractices? ThemethodologyusedtocreatethefifthrevisionofINFCIRC/225beganwiththeprevious version,towhichapanelofexpertssuggestedrevisions.Governmentofficialsthenreviewed thenewdraftbyunanimousconsensus.Althoughtheexpertsandgovernmentrepresentatives undoubtedlydrewontheirexperiencesinnuclearsecurity,theresultdependedonearlier versionsofthedocument,asmodifiedbynegotiation.Thisapproachisfardifferentfromthe methodologyforestablishingbestpracticesoutlinedearlier.Expertopinionreplacedasurvey ofpracticeandidentificationofkeystoexceptionalsuccess.Moreover,thedocumentismore aboutthewhatthanthehowofnuclearsecurity.Itisbasedmoreonexplicitknowledge thanontacitknowledge.Itisalsofarlessdetailedthanwouldbenecessarytoimplement effectivemethods.Inshort,INFCIRC/225isthebestextantinternationalguidelinefornuclear
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SeetheprefaceofINFCIRC/225/Revision5,NuclearSecurityRecommendationsonPhysicalProtectionofNuclear MaterialsandFacilities(Vienna:IAEA,2011).

security;itisavaluablestandard,butitisnotadescriptionofbestpractices. Conclusions,Observations,andRecommendations 1.Bestpracticesandinternationalstandardsandobligationsarecomplementary,serving differentpurposes,andbotharenecessaryforaneffectiveinternationalnuclearsecurity regime. Internationalstandardsandobligationshaveinherentlydifferentcharacteristicsthanbest practices.Theyaresufficientlybroadtoremainrelevantovertimewithoutchange.Standards applytoawiderangeofcountrieswithverydifferentcapabilities,threatlevels,andnuclear assets.Theyareintendedtoidentifybasicfeaturesthatmustbeimplementedatthenational level,ratherthantodescribethem.Bestpracticescanbethemortarthatfillsthechinks betweenthestrongbuildingblocksofnationalandinternationallaws,regulations,and guidelinessuchastheCPPNM,UNSCR1540,andINFCIRC/225. 2.Thosestatesandfacilitieswiththegreatestresponsibilitiesshouldbemostconcernedwith implementingbestpractices. Possessionoffissilematerialplutoniumorhighlyenricheduraniumespeciallyinquantities sufficienttomakeanuclearweapon,imposesspecialresponsibilitiesonitscustodians. Althoughadherencetominimumstandardsmaybesufficientforthosewithmaterialthatposes aminimalthreat,thoseinpossessionofweaponsgradematerialmustconstantlystriveto maintainandimprovesecurityagainstanevolvingthreat.Thiseffortrequirestheuseofbest practices. 3.Inthesafetyrealm,thesharingofbestpracticesrevolutionizedoperations. IntheaftermathsoftheThreeMileIslandandChernobyldisasters,thenuclearindustry becameadeptatsharingbestpractices.Badsafetypracticeisinefficient;itleadstodowntime inplantandequipmentwithhighcapitalcosts.Theenormousstridesinefficiency(whichallow theU.S.nuclearindustrytoprovideroughlythesamepercentageofAmericanelectricityasit 9

didbeforeThreeMileIsland,despiteamuchlargereconomyandnonewnuclearplants)also reflectimprovednuclearsafety.Thesharingofbestpracticesaccountsformuchofthegainsin efficiencyandsafety. 4.Sharingandimplementationofbestpracticesisinherentlymoredifficultinthesecurity realmthaninthefieldofnuclearsafety. Nationalgovernmentsoftenclassifyspecificnuclearsecuritydetailsassecret.Thissecrecy challengesthedevelopmentofeffectivepeerreview.Nevertheless,thereisalotthatcouldbe peerreviewedwithoutcompromisingsensitiveinformation.Initially,safetyexchangeswere alsodoggedbysuspicionsthattheinformationwastoosensitiveandcouldnotbeshared amongpeers.Moreover,becausesafetyandefficiencyarecloselylinked(asplantoperators seektoavoiddowntime),therearefinancialincentivestoimprovesafetyinoperations.Security incidentsarerarer,sothelinktoavoidingidleplantandequipmentismoretenuousandthe financialincentivesforimprovingsecurityarelessimmediatelycompelling.Yetoverthelong term,unmetsecuritydeficienciescanfatallythreatenanenterprise,astheymaywellinthe caseoftheY12NationalSecurityComplexmanagementcontract. Measuringtheperformanceofsecuritybestpracticesisalsomoredifficultthanmeasuring safetyimprovements.Downtimeisnotanavailablemarker.Expertjudgmentscanbe misleading;theY12facilitywasoncethoughttobebestinclassinperformingforceonforce exercises.Constructingrealisticandaccuratetestsofbestpracticesisalsodifficult,and probablyanareaformoreworkbyWINSandothers. 5.Governmentsandindustrymustfostereffortstosharebestpracticesinnuclearsecurityif barriersaretobeovercome. Nascenteffortstoimprovethesharingofbestpracticesortoprovideadvisoryservicesonthe basisofinternationalguidelines,throughWINSandtheIAEAsInternationalPhysicalProtection AdvisoryService,areimportantandnecessary,buttheycannotsucceedwithoutwidespread political,financial,andpersuasivesupportfromnationalgovernments.Onlygovernmentscan

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makeclearthatthesharingofbestpracticescomplementsanddoesnotcontradict regulatoryefforts.Industrythenmusttakeuptheburdenofsupportingthedevelopmentand implementationofbestpracticesinnuclearsecurity. 6.Bestpracticedevelopmentandimplementationcanbemorerigorous. Asnotedabove,thesharingofinformationandpeerreviewaremoredifficultinthecontextof nuclearsecurity,whichmustbecognizantofthelinesrelatedtosensitiveandclassified information.Nonetheless,securitydialoguesandexchangesofbestpracticesneednotventure intotheseterritoriestobeuseful.Thesedifficultieshaveimpededeffortstosurveybest practicesandtotestconclusionsaboutthosepracticesthatprovideexcellentresults.Although itisunlikelythateitherWINSortheIAEAcantranscendsuchbarriers,theycanwork incrementallytoimprovebothfunctions.Governments,ofcourse,arewellplacedtofacilitate thiseffort.Moreover,developersofbestpracticescanplacemoreemphasisontestingthe resultsoftherecommendedpracticetoensurethatitattainsanecessarylevelofabsolute performance.

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Belfer Center for Science and International Affairs Harvard Kennedy School 79 JFK Street Cambridge, MA 02138 Fax: (617) 495-8963 Email: belfer_center@harvard.edu Website: http://belfercenter.org Copyright 2012 President and Fellows of Harvard College