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Trevor Findlay Professor, Norman Paterson School of International Affairs, Carleton University, Ottawa
Senior Research Fellow, Project on Managing the Atom Belfer Center for Science & International Affairs
Harvard Kennedy School
why a cultural approach? organizational culture theory defining safeguards culture creators, purveyors & guardians cultural context―IAEA, UN, national cultural change: IAEA safeguards culture
before and after Iraq (1991) safeguards sub-cultures conclusions/recommendations
‘safeguards culture’ used by IAEA, government officials, experts
no IAEA study or documents or academic or other research
no agreed international definition (unlike nuclear safety & security)
advances in safety and security cultures suggest need for attention to safeguards culture
IAEA set out to change safeguards culture along with strengthened safeguards
the cultural approach is revealing
↑↓ ↑↓
Artifacts Visible organizational structures & processes
Espoused values Strategies, goals, philosophies
Basic underlying assumptions Unconscious, taken-for-granted beliefs, perceptions, thoughts, feelings, habits
powerful, latent, often unconscious born of habit: ‘the way we do things around here’ affects individual & collective behaviour dysfunctional culture may cause organizational failure hard to change change easiest after crisis forced change may have unintended consequences leadership and incentives are key
Safety Culture: ‘assembly of characteristics and attitudes in organizations and individuals which establishes that, as an overriding priority, protection and safety issues receive the attention warranted by their significance’ (IAEA Glossary)
Security culture :‘assembly of characteristics, attitudes and
behavior of individuals, organizations and institutions which serves as a means to support and enhance nuclear security’ (IAEA Implementing Guide, 2008)
Safeguards culture: assembly of characteristics, attitudes and
behavior of individuals and organizations which supports nuclear safeguards as a vital means of preventing the proliferation of nuclear weapons
IAEA • General Conference, Board of Governors, member states • Director General and Deputy DGs • Department of Safeguards (policy, management, analysts, labs, inspectors) • other departments (Legal, Public Information)
states •foreign ministries •safeguards authorities (State Systems of Accounting and Control) •atomic energy authorities and labs •nuclear industry
regional organizations EURATOM, ABACC, nuclear weapon-free zone organizations
non-governmental/
scientific community e.g. INMM,
ESARDA, VERTIC, MTA
IAEA science and technology-based in the UN system but not a UN body interacts principally with member states, not with nuclear industry ‘Spirit of Vienna’ (fading fast) stove-piping versus One House UN process-oriented (diplomatic procedures, conferences,
documentation, interpretation/translation) deferential to member states geographical balance and political factors in recruitment semi-permanent international civil service National multinational individual cultures in a Western cultural framework
Pre-1991 Now
Legal artifacts IAEA Statute; NPT; INFCIRC/153 agreements; SQPs
+ Strengthened safeguards; Additional Protocols; revised SQPs
Planning artifacts Programme and Budget
+ Strategic Plan
Process artifacts inspectors reports; safeguards conclusion; special inspections
+ State-Level Concept; state evaluation groups; country officers; integrated safeguards; ‘broader conclusion’; open source information; intelligence
Pre-1991 Now safeguards non-discriminatory; technically based; effective; efficient as possible
no change
diversion the most likely non-compliance scenario
all acquisition paths worth considering
emphasis on declared materials, activities and facilities
emphasis on correctness and completeness; undeclared materials/activities/facilities important
inspectors focused on nuclear accountancy; prescriptive, criteria-driven approach
inspectors expected to be more inquisitive, investigatory, innovative
only declarations and inspection information valid for drawing safeguards conclusions
all sources of information useful to draw ‘broader conclusion’
Pre-1991 now safeguards can only do what states allow
the Agency has more rights
effectiveness depends on state cooperation
states have increased obligations to provide information, access, effective SSACs
effectiveness depends on adequate funding (zero real growth a constant refrain)
no change
safeguards personnel are professional, trained, dedicated
safeguards personnel are better trained than ever
special inspections a right in case of undeclared activities
special inspections reaffirmed as Agency right in special cases
Pre-1991 now (desirable) detecting undeclared material/facilities not part of the job (‘we don’t go on fishing expeditions’)
correctness and completeness vital (‘still no expeditions, but we now worry about all types of fish’)
inspectors dominate data collection, analysis, planning & management
close collaboration between inspectors, analysts, planners, labs & managers; all make valuable contribution
tick the boxes, replace the batteries and go; be deferential to states; ‘don’t rock the boat’
inquisitiveness, resourcefulness, initiative will be rewarded
safeguards findings not always taken into account ‘upstairs’
all safeguards findings taken seriously
inspectors not always well recruited, trained or dedicated
inspectors well recruited, trained and imbued with new culture
how strong and pervasive is the culture? what do people think of as right, proper, moral, and fair?
what do the mission, strategy, goals, and rewards mean to people?
what subcultures exist across groups or between managers and workers?
what are the consistencies and contradictions in work practices, norms, rituals, role models, symbols, stories, training programs, rules, incentive plans?
Inspectors traditional ‘star performers’ scientific/technical, fact-oriented, individualistic ‘professionalism marked by tenacity and respect’ (ElBaradei) closely-knit due to shared experiences & member states’ criticism wish to preserve status and benefits
Analysts relatively new in safeguards; injecting themselves into a 50-year old culture also technical and fact-oriented, but desk-bound and with varied backgrounds (political science, intelligence, IT), more accustomed to collaborative work value all information, not just inspection data, including qualitative (subjective?)
Managers may not have safeguards/inspector backgrounds, but managerial or other concerned with effectiveness, efficiency and strategic planning must take all factors into account in assessing compliance operational divisions may have their own cultures, as may Concepts & Planning; Information Management and Technical & Scientific Services management leadership (personality) key to cultural formation/change
IAEA safeguards culture is robust cultural change has undoubtedly occurred in
artifacts and espoused values since 1991 current artifacts and espoused values
generally consistent but are underlying assumptions consistent
with artifacts and espoused values? different effects of cultural change on sub-
cultures: management, analysts, inspectors
seek agreement on definition of safeguards
culture commission baseline study of state of the
culture, including interaction of sub-cultures monitor health of the culture periodically (as
in nuclear safety and security fields) ensure artifacts, espoused values and
underlying assumptions are in line