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IAEA International Atomic Energy Agency
ANNuR Regional workshop on legislation and regulation | 04-09-2013
Establishment of the safety
infrastructure for a Nuclear Power
Programme, including the regulatory
framework
Jean-René JUBIN
IAEA - RAS/NSNI
Content
1. Safety Infrastructure
2. Establishing a Safety Infrastructure
3. Foundation of safety infrastructure
4. Regulatory framework
5. Global Safety Framework
6. Conclusion
JR JUBIN | 2013 2
1. Safety Infrastructure |1
• Considerations to launch a nuclear power
programme
• Unlike many large industrial projects, a nuclear power
project (NPP) involves certain unique characteristics
related to, inter alia:
nuclear safety and security
Long-term waste management
non proliferation
public trust
• The decision implies a commitment at national and international
levels (at least “100 years +”)
• Requires in particular the establishment of an appropriate and
comprehensive governmental, legal and regulatory framework
and safety infrastructure
JR JUBIN | 2013 3
1. Safety Infrastructure |2
• Ensuring safety
• A commitment to launch a NPP inherently implies a commitment to a strong
nuclear safety infrastructure
• An enabling condition for a sustainable and successful NP programme
• Permeates all activities relevant to NP programme; an integral part of all
infrastructure issues
• Embarking on a NPP requires to be joining the Global Nuclear
Safety Regime and committing to its components
• National responsibility, but their consequences are increasingly global
JR JUBIN | 2013 4
“…Radioactive cloud does not respect national
boundaries, or national sovereignties. Rules ensuring the
safe use of large-scale nuclear activities should therefore
be worked out internationally and accepted to apply
everywhere….”
Hans Blix, former IAEA Director General
1. Safety Infrastructure |3
• Objectives of the safety infrastructure
• To ensure that nuclear facilities, nuclear materials
and any other radioactive materials are handled and
operated SAFELY and SECURELY in full compliance
with the regulatory requirements to achieve the
fundamental safety and security objectives
• To ensure confidence building in the use of nuclear
power at national and international levels
JR JUBIN | 2013 5
1. Safety Infrastructure |4
JR JUBIN | 2013 6
Nuclear Safety Infrastructure is the set of
- institutional
- organizational
- technical
elements and conditions established in a Member
State to provide a sound foundation for ensuring a
sustainable high level of nuclear safety (International
Nuclear SAfety Group)
Due to the importance of safety, those elements have
requirements to comply with, requirements stated in
the IAEA Safety Standards
IAEA Safety
Standards
National
Infrastructure for
nuclear power
Nuclear Safety
Infrastructure
1. Safety Infrastructure |5
JR JUBIN | 2013 7
Content
1. Safety Infrastructure
2. Establishing a Safety Infrastructure
3. Foundation of safety infrastructure
4. Regulatory framework
5. Global Safety Framework
6. Conclusion
JR JUBIN | 2013 8
2. Establishing a Safety Infrastructure |1
Establishing a safety infrastructure
JUBIN | 2013 9
Phase 1
Safety
infrastructure
before deciding
to launch a
nuclear power
programme
Safety infrastructure
during decommissioning
and waste management
phases of a NPP
Phase 5
20~100+ years ~9 years
Phase 4
Safety
infrastructure
during the
operation phase
of a NPP
40~60 years
Safety
infrastructure
during
preparatory
work for
construction of
a NPP
Phase 2
~4 years
Positive
decision
The safety-related elements of the
rationale for the negative decision have
to be clearly identified and stated.
Negative
decision
~2 years
Safety
infrastructure
during
implementation/
construction of
the first NPP
Phase 3
A systematic programme has to be implemented for developing or upgrading the national nuclear safety infrastructure progressively to ensure meeting the safety requirements at each phase and also for being prepared for the subsequent phases
Phases and Milestones in a NPP [INSAG 22 & Milestones Document (NG-G-3.1)]
JR JUBIN | 2013 10
Phase 1 Phase 2
Contract
Application for
construction license
First concrete
Bid
assessmen
t
Prep
aration
of safety
do
cum
entatio
n
Rev
iew an
d A
ssessmen
t
by th
e regulato
ry bo
dy
Co
nstru
ction
ph
ase
Issuance of the
nuclear law
Issuance of
requirements
needed for bid
specification
Bid
prep
aration
Estab
lishin
g the b
asic
regulato
ry framew
ork
Site p
reparatio
n
Fuel delivery
Issuance of the
construction licence
Phase 3
~ 2 years ~ 4 years ~ 9 years
Initial site
studies
Feasibility
study
M2
Ready to make a
knowledgeable decision
M1
Ready to
commission
M3
Ready to
invite bids
M2
Ready to make a knowledgeable
commitment to a nuclear programme
M1
Ready to commission and
operate the first NPP
M3
Nu
cle
ar p
ow
er o
ptio
n in
clu
ded
with
in n
atio
nal e
nerg
y stra
teg
y
2. Establishing a Safety Infrastructure |3
• Why a safety guide?
• Existing IAEA SSs were providing all requirements that should be meet for
establishment of an adequate and effective nuclear
infrastructure, BUT guidance was missing on how
this should be established progressively in different phases of
implementation of a nuclear power project
they will identify their needs in a timely manner
• Number of embarking countries requested guidance on:
Which elements of a nuclear safety infrastructure that they will need for
ensuring safety in different phases of implementation of a NPP
What & when they should do for progressive establishment of an
nuclear safety infrastructure defined in relevant SSs
Work started in 2008, completed in 2011
JR JUBIN | 2013 11
2. Establishing a Safety Infrastructure |4
• The main 3 roles of SSG-16
JR JUBIN | 2013 12
1. Road-map to gradually apply the IAEA Safety Standards
2. Self Assessment and Safety Review Services
3. Training framework for embarking countries
2. Establishing a Safety Infrastructure |5
The central role
of SSG-16
JR JUBIN | 2013 13
IAEA SAFETY STANDARDS
GUIDES
REQUIREMENTS
FUNDAMENTALS
Relation with the Safety Requirements
SSG-16 = 20 Safety Elements = 200 Actions
JR JUBIN | 2013 14
1 - National policy and strategy
2 - Global nuclear safety régime
3 - Legal framework
4 - Regulatory framework
5 - Transparency and openness
6 - Funding and financing
7 - External support organizations and
contractors
8 - Leadership and management for safety
9 - Human resources development
10 - Research for safety and regulatory purposes
11 - Radiation protection
12 - Safety assessment
13 - Safety of radioactive waste, spent fuel
management and decommissioning
14 - Emergency preparedness and response
15 - Operating organization
16 - Site survey, site selection and evaluation
17 - Design safety
18 - Preparation for commissioning
19 - Transport safety
20 - Interfaces with nuclear security
GSR Part 1
GSR Part 3
GSR Part 5
GS-R-2
NS-R-3
GS-R-3
GSR Part 4
WS-R-5
TS-R-1 Establishing a Safety Infrastructure
for a national nuclear power programme
in compliance with the IAEA Safety Requirements
SSR 2/2
SSR 2/1
Content
1. Safety Infrastructure
2. Establishing a Safety Infrastructure
3. Foundation of safety infrastructure
4. Regulatory framework
5. Global Safety Framework
6. Conclusion
JR JUBIN | 2013 15
3. Foundation of safety infrastructure |1
JR JUBIN | 2013 16
Extract from DG’s 2008 General Conference speech:
“Every country has the right to introduce nuclear power, as
well as the responsibility to do it right.”
Responsibility
for
Safety
Role of
Government
Leadership
and
Management
for Safety
Justification of
Facilities and
Activities
Optimization
of Protection
Limitation of
Risks to
Individuals
Protection of
Present and
Future
Generations
Protective
Actions to
Reduce Existing
Or Unregulated
Radiation Risks
Prevention
of Accidents
Emergency
Preparedness
and Response “To protect people and the environment from harmful effects of ionizing radiation”
3. Foundation of safety infrastructure |2
Principle 1: Responsibility for safety
The prime responsibility for safety must rest with the person or
organization responsible for facilities and activities that give rise to
radiation risks.
JR JUBIN | 2013 17
The licensee retains the prime responsibility for safety throughout
the lifetime of facilities and activities, and this responsibility cannot be
delegated
− Establishing and maintaining the necessary competences
− Providing adequate training and information
− Establishing procedures and arrangements to maintain safety under all conditions
− Verifying appropriate design and the adequate quality of facilities and activities and of their associated equipment
− Ensuring the safe control of all radioactive material that is used, produced, stored or transported
− Ensuring the safe management of all radioactive waste that is generated
3. Foundation of safety infrastructure |3
Principle 2: Role of government
An effective legal and governmental framework for safety, including an
independent regulatory body, must be established and maintained
JR JUBIN | 2013 18
- To adopt legislation, regulations, and other standards and
measures that are necessary to fulfil all its national responsibilities
and international obligations effectively,
- To establish an independent regulatory body.
- To ensure that arrangements are made for preparing programmes
of actions to reduce radiation risks, including actions in
emergencies, for monitoring releases of radioactive substances to
the environment and for disposing of radioactive waste.
3. Foundation of safety infrastructure |4
Principle 3: Leadership and management for safety
Effective leadership and management for safety must be established and sustained in
organizations concerned with, and facilities and activities that give rise to, radiation risks.
JR JUBIN | 2013 19
- Leadership in safety matters has to be demonstrated at the highest levels in an
organization.
- Safety has to be achieved and maintained by means of an effective management
system. This system has to integrate all elements of management so that
requirements for safety are established and applied coherently with other
requirements, including those for human performance, quality and security, and
so that safety is not compromised by other requirements or demands.
- The management system also has to ensure the promotion of a safety culture,
the regular assessment of safety performance and the application of lessons
learned from experience.
- A safety culture that governs the attitudes and behaviour in relation to safety of
all organizations and individuals concerned must be integrated in the
management system.
3. Foundation of safety infrastructure |5
Principle 4: Justification of facilities and activities
Facilities and activities that give rise to radiation risks must yield an overall
benefit.
JR JUBIN | 2013 20
- For facilities and activities to be considered justified, the benefits
that they yield must outweigh the radiation risks to which they give
rise. For the purposes of assessing benefit and risk, all significant
consequences of the operation of facilities and the conduct of
activities have to be taken into account.
- In many cases, decisions relating to benefit and risk are taken at
the highest levels of government, such as a decision by a State to
embark on a nuclear power programme. In other cases, the
regulatory body may determine whether proposed facilities and
activities are justified.
3. Foundation of safety infrastructure |6
• Content
• Responsibilities and
functions of the
government
• The global safety regime
• Responsibilities and
functions of the regulatory
body
JR JUBIN | 2013 21
Relevant IAEA Safety Standards
3. Foundation of safety infrastructure |7
• Relevant IAEA Safety Standards
JR JUBIN | 2013 22
3. Foundation of safety infrastructure |8
• Main principles concerning National Policy and
Strategy for Safety /1
• The decision to embark on a nuclear power programme has to
come from the government; decisions relating to benefit and risk are
taken at the highest levels of government, such as a decision by a
State to embark on a nuclear power programme and to be based on
full understanding and knowledge
• The prime importance of safety has to be reflected in policy decision
documents
• The national policy has to emphasize the effective transfer of
knowledge and competence in safety to the State
• Leadership & Management for safety have to be promoted
JR JUBIN | 2013 23
3. Foundation of safety infrastructure |9
• Main principles concerning National Policy and
Strategy for Safety /2
• The prime responsibility for safety has to be assigned to the
prospective licensee, and the government has to establish and
maintain an effective governmental, legal and regulatory framework
to support and to ensure a high level of safety
• The prime responsibility for safety has not to be able to be
delegated or outsourced; it has to be discharged by the licensee
through leadership, adequate funding, sufficient expertise and legal
responsibility
• Due diligence has to be shown for participation in the relevant
international arrangements and legal instruments
JR JUBIN | 2013 24
3. Foundation of safety infrastructure |10
• Role and responsibilities of the Government
JR JUBIN | 2013 25
Involvement of the Government
Involvement of the Regulatory Body
Involvement of the Operating Organization
Ready to
invite bids
Ready to commission and
operate the first NPP
Ready to make a knowledgeable
decision on whether or not to introduce
nuclear power
Phase 1 Phase 2 Phase 3
establishment
establishment
3~7 years
- The Government to establish a project organization that is given an explicit
governmental mandate to perform most of the tasks assigned to it in SSG-16:
‘governmental project management organization’ or ‘nuclear energy
programme implementing organization’ (NEPIO)
- The Government is responsible to make the decision to go or not to Nuclear
3. Foundation of safety infrastructure |11
• Government responsibilities /1
• To establish a national policy and strategy for safety
• To take decisions relating to benefit and risk to embark on a nuclear
power programme
• To establish and maintain appropriate governmental, legal, and
regulatory framework for safety – that clearly allocates
responsibilities
• To establish effectively independent regulatory body
• To assign prime responsibility of safety to the organization
responsible for the activity – Responsibility cannot be delegated
• To ensure effective coordination between governmental
organizations
• To make provisions for emergency preparedness
JR JUBIN | 2013 26
3. Foundation of safety infrastructure |12
• Government responsibilities /2
• To make provisions for safe decommissioning of facilities;
management and disposal of radioactive waste; and management
of spent fuel
• To make provisions for building and maintaining competence of all
parties having responsibilities for safety
• To make provisions for technical services related to safety such as
personal dosimetry and environmental monitoring
• To ensure arrangements established for interfaces of safety with
nuclear security and with State system of accounting for and control
of nuclear material
• To ensure arrangements established for Financial Liability
• To fulfil its respective international obligations and participate in the
relevant international arrangements.
JR JUBIN | 2013 27
3. Foundation of safety infrastructure |13
• How to achieve safety goals?
JR JUBIN | 2013 28
Phase 1 Phase 2 Phase 3
~ 2 years ~ 4 years ~ 9 years
M2
Ready to
invite bids Ready to make a knowledgeable
commitment to a nuclear programme
M1
Ready to commission and
operate the first NPP
M3
Establishing a Regulatory Framework and
Safety Infrastructure
Adoption of a comprehensive nuclear law
3. Foundation of safety infrastructure |14
JR JUBIN | 2013 29
ACTION Nº 20 & 21
“Identify elements … plan structure & dev.”
Assessment of
legislative
framework
Stakeholder input
ACTION Nº 22
“Enact & implement”
ACTION Nº 23
“Fully in place & compliance”
Phase 1
Phase 2
Phase 3
Phase 4
Promulgation
of final law
Further legislative
consideration
M1 M2 M3 29
Initial drafting
1st review of initial
draft
Legislative oversight
Legislative Process
for Nuclear Law: in
the context of the 3
Phases of an NPP
3. Foundation of safety infrastructure |15
• Nuclear Law in general: Substantive elements /1
• National Institutional Framework
• Responsibilities of the organizations
• National regulatory and licensing system for nuclear energy activities
(authorisation, inspection and enforcement)
• Main provisions and principles concerning:
• Radiation Protection
• Safety of Nuclear Facilities
• Transport of Radioactive Material
• Emergency Preparedness and Response
• Mining and Milling of Radioactive Ores
• Radioactive Waste and Spent Fuel management
• Decommissioning
JR JUBIN | 2013 30
3. Foundation of safety infrastructure |16
• Nuclear Law in general: Substantive elements /2
• Safety and Security of Radioactive Sources
• Physical Protection
• Civil Liability for Nuclear Damage
• Import/export of Nuclear Material
• Safeguards and non-Proliferation
JR JUBIN | 2013 31
Content
1. Safety Infrastructure
2. Establishing a Safety Infrastructure
3. Foundation of safety infrastructure
4. Regulatory framework
5. Global Safety Framework
6. Conclusion
JR JUBIN | 2013 32
4. Regulatory framework |1
• The framework shall set out
1. The establishment of an effective and independent regulatory body
2. The safety principles for protecting people, society and the environment
from radiation risks, both at present and in the future
3. The types of facilities and activities that are included within the scope of the
framework for safety
4. The type of authorization that is required for the operation of facilities and
for the conduct of activities
5. Provision for assigning legal responsibility for safety to the persons or
organizations responsible for the facilities and activities, and for ensuring
the continuity of responsibility where activities are carried out by several
persons or organizations successively
6. Provision for the involvement of interested parties and for their input to
decision making
JR JUBIN | 2013 33
4. Regulatory framework |2
…
7. Provision for the review and assessment and inspections of facilities and activities
8. Provision for appeals against decisions of the regulatory body
9. Responsibilities and obligations in respect of financial provision for the management of
radioactive waste and of spent fuel, and for decommissioning of facilities and termination
of activities
10. The criteria for release from regulatory control
11. The specification of offences and the corresponding penalties
12. Provision for acquiring and maintaining the necessary competence nationally for ensuring
safety
13. Provision for preparedness for, and response to, a nuclear or radiological emergency
14. Provision for an interface with nuclear security
15. Provision for an interface with the system of accounting for, and control of, nuclear
material
JR JUBIN | 2013 34
4. Regulatory framework |3
• Responsibilities and functions of the regulatory
body
• Establish, promote or adopt regulations and guides
• Review and assess the operator’s submissions (prior to
authorization, periodically)
• Issues, amend, suspend or revoke authorization with
conditions
• Perform regulatory inspections
• Require corrective actions if unsafe conditions occurred
• Take enforcement actions if safety conditions were
violated
JR JUBIN | 2013 35
4. Regulatory framework |4
Regulatory independence /1
“Independence in the regulatory decision making and its implemention”.
• Need to ensure that regulatory judgments can be made, and regulatory decisions and enforcement actions taken, without pressure or influence from interests that may conflict with safety.
• Aspects/Elements of regulatory independence
Political
Legislative
Financial
Competence
Communication with interested parties (public …) JR JUBIN | 2013 36
4. Regulatory framework |5
Regulatory independence /2
• Financial considerations
• Adequate and stable financing for all regulatory activities
and their scientific and technical support is fundamental
to the independence
• Financing mechanism clearly defined in the legal framework
• The budget for the RB should not
not depend on fines collected from licensees;
not be decided by or be subject to the approval of those parts of the government
which are responsible for exploiting or promoting nuclear technologies;
• Within the limit on its total budget, the regulatory body needs to
have a high degree of independence in deciding how the budget is
to be distributed between its various regulatory activities for the
greatest effectiveness and efficiency JR JUBIN | 2013
37
38
4. Regulatory framework |6
Basic mission of nuclear safety -regulatory authority
Effective protection of the public health and safety, security and of the environment.
Content
1. Safety Infrastructure
2. Establishing a Safety Infrastructure
3. Foundation of safety infrastructure
4. Regulatory framework
5. Global Safety Framework
6. Conclusion
JR JUBIN | 2013 39
5. Global Safety Framework |1
• The government shall:
• fulfil the relevant international
obligations,
• participate in relevant international
arrangements, including
international peer reviews, and
• promote appropriate international
cooperation to enhance safety
globally
• The regulatory body shall make
arrangements:
• for analysis of operating experience
and regulatory experience, including
experience in other States, and
• for the dissemination of the lessons
learned.
JR JUBIN | 2013 40
6. Global Safety Framework |2
• Safety Conventions and Codes • Convention on Early Notification of a Nuclear Accident
• Convention on Assistance in the Case of a Nuclear Accident or
Radiological Emergency
• Convention on Nuclear Safety (CNS)
• Joint Convention on the Safety of Spent Fuel Management and on
the Safety of Radioactive Waste Management
• Code of Conduct on the Safety and Security
of Radioactive Sources
• Code of Conduct on the Safety of Research
Reactors
JR JUBIN | 2013 41
7. Conclusion |1
• The highest priority in all activities relevant to nuclear
power programme should be given to the safety
• An effective Legal and Regulatory Framework is essential
to ensure the achievement of the safety in nuclear facilities
and activities
• An effective, competent and independent regulatory body is
the key element of a well-functioning regulatory system
JR JUBIN | 2013 42
IAEA International Atomic Energy Agency
Thank you
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