iaea international atomic energy agency. iaea outline learning objectives responsibilities and...

IAEAInternational Atomic Energy Agency

Reviewing Governmental and Regulatory Responsibilities

Part I: IRRS Modules 1 and 2

USNRC IRRS TRAINING

Lecture 11

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Outline

• Learning Objectives• Responsibilities and

functions of the government• Framework for safety• The Regulatory Body• Emergency Preparedness• Decommissioning and waste

management• Competence for safety• Safety Security and

Safeguards• The Global Safety

Regime

USNRC IRRS Training - Reviewing Governmental Responsibilities 2

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Learning objectives

After finishing this lecture the trainee will:• Know what is national policy and strategy for safety. • Understand what kind of governmental, legal and

regulatory framework is needed.• Understand the importance of the regulatory body and of

its independence.• Know that the prime responsibility for safety lies with the

authorized party.• Understand that different authorities fulfilling

regulatory duties have to be properly coordinated.


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Learning objectives – cont.

After finishing this lecture the trainee will:• Understand the importance of provisions for reduction of

risks due to unregulated sources.• Know that the provisions must be in place for

decommissioning of facilities and management of radioactive waste and spent nuclear fuel.

• Understand the importance of maintaining the competence for safety

• Understand the importance of interfaces between safety, security and safeguards

• Understand the importance of provisions for technical services.

• Understand the importance of international obligations.• Understand the importance of operating experience

feedback.USNRC IRRS Training - Reviewing Governmental Responsibilities 4

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How to read the following slides?

There is a line under the title with the GSR Part 1 Requirement number looking like this:

Requirement 7; 2006-2013 referenced 11 times.

This is how many times that Requirement was referenced during IRRS missions between 2006 and 2013. It indicates the practical importance of that Requirement in the IRRS missions.

Recommendation of Experienced Reviewers

Give particular attention to:

On those slides lists of the most important issues, that have been recognized by experienced IRRS reviewers during a series of Consultancies in 2012 are given.

Some slides have the following title:


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Review Methods – short reminder

• Three basic methods to acquire sufficient information for an objective review:• A review of written material.• Interviews with personnel and other officials.• Direct observation of regulatory body activities in

the office and at facilities.


More on Review Methods in Lecture 10!

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Review is assisted by Report Template

The Standard Mission report Template gives guidance and assistance in the interviews and in writing the report


More on Report Template in Lecture 7!

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A senior government representative responsible for safety within the State Administration should be interviewed The Head of the Regulatory Body should also be interviewed Verify, through examples, that the IAEA requirements are not only transposed into the regulatory infrastructure but are also correctly implemented.




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IRRS Module 1:

Responsibilities and functions of the government

IAEA GSR Part 1, pages 3-14


http://www-pub.iaea.org/MTCD/publications/PDF/Pub1465_web.pdf

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National policy and strategy for safety

• There should be the national policy and strategy for safety in place

• It should follow IAEA Safety Fundamentals• It should be graded to the national

circumstances• Could be implemented by different means

(laws, statutes, rules ...)

Requirement 1

2006-2013 referenced 12 times.


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National strategy for safety shall include

• Long term commitment to safety;• International legal instruments (conventions);• Governmental, legal and regulatory framework;• Provision for human and financial resources;• Provision and framework for research and

development;• Mechanisms for taking account of social and

economic developments;• Promotion of leadership and management for

safety, including safety culture.


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A senior government representative responsible for safety within the State Administration should be interviewed Long term commitment to safety ...... which is promulgated as a statement (document)!Radwaste and spent fuel management policy and strategy should be includedThere should be a basis for graded approach set!




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Example


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Establishment of a framework for safety

• The government shall establish and maintain an appropriate governmental, legal and regulatory framework for safety.

• Responsibilities shall be clearly allocated.

• Appropriate laws and statutes shall be promulgated.

Requirement 2

2006-2013 referenced 37 times.


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Framework for safety shall include

• The safety principles for protecting people

• The types of facilities and activities that are included

• The type of authorization• Involvement of interested

parties in decision making;• Provision for assigning

responsibility to the persons and for ensuring the continuity of responsibility

• The establishment of a regulatory body

• Provision for review and assessment

• The authority and responsibility for promulgating regulations and preparing guides

• Provision for inspection and enforcement

• Provision for appeals against decisions of the regulatory body;

• Provision for preparedness for, and response to, a nuclear or radiological emergency;


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Framework for safety shall include

• Provision for an interface with nuclear security;

• Provision for an interface with the safeguards system

• Provision for the competence for ensuring safety;

• Responsibilities in respect of financial provision for the management of radioactive waste and of spent fuel, and for decommissioning of facilities

• The criteria for release from regulatory control;

• The specification of offences and the penalties;

• Provision for controls on the import and export of nuclear material and radioactive material.


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Legally binding framework for safety covering all types of activities and facilities

Requirements for authorization

Legal responsibility for safety

Establishment of a Regulatory Body

Legal and financial provisions for management of radioactive waste and spent fuel




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Example (1)


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Example (2)


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The regulatory body

• The government shall establish and maintain a regulatory body with the competence and the resources to fulfill its obligation for the regulatory control.

• The regulatory body shall be effectively independent in its decision making and shall have functional separation from entities having responsibilities or interests that could unduly influence its decision making.

Requirement 3&4; 2006-2013 referenced 35 times.


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Independence

• Regulatory Body will not be entirely separate from other governmental bodies.

• However, it should be able to make decisions without undue pressure from promoters of activities.

• Should have sufficient staff and resources.• Several authorities may represent a

Regulatory Body


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Legal authority

Necessary competence and resources

Effective independence as provided by the legal basis

Free from conflicting responsibilities




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Example


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Prime responsibility and compliance with regulations for safety

• Prime responsibility for safety shall be with the person or organization responsible for a facility or an activity (Licensee).

• Regulatory Body shall have authority to require Licensee to comply with regulatory requirements

• Compliance with regulations does not relieve the Licensee of its prime responsibility for safety

Requirement 5&6; 2006-2013 referenced 10 times.


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Prime legal responsibility for safety to the person/organization responsible for a facility/activity

Authorized party always responsible

Responsibility for safety covers all stages in the lifetime of the facility/activity

Transfer of responsibility for safety only after approval by the regulatory body




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Example (1)


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Example (2)


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Coordination of different authorities

• Where several authorities have responsibilities for safety they shall be effectively coordinated to avoid any omissions or undue duplication and to avoid conflicting requirements being placed on authorized parties.

Examples of different authorities:• Safety of workers and the public;• Protection of the environment;• Radiation in medicine, industry and

research;• Emergency preparedness and

response;• Management of radioactive waste• Liability for nuclear damage• Nuclear security;• Safeguards system;• Safety in relation to water use and

the consumption of food;• Land use, planning and

construction;• Safety in the transport of dangerous

goods.• etc



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Responsibilities and functions of each authority are legally specified

Appropriate and documented coordination and liaison among the authorities




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Example


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Emergency Preparedness and Response

• The government shall make provision for emergency preparedness to enable a timely and effective response in a nuclear or radiological emergency.

• Clear responsibilities for decision making in an emergency shall be assigned.

• Provision for effective liaison between Licensees and authorities shall be in place.



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Reducing existing or unregulated radiation risks

• There shall be an effective system in place to reduce undue radiation risks associated with unregulated sources and contamination from past activities or events.

Orphan sources, historical sources, post-accident

conditions ...• Special organization

to take care of them• Regulatory Body sets

rules

Requirement 9; 2006-2013 was not referenced!


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Protections against radiation risks not being under regulatory control

Unacceptable risk as a consequence of an accident, discontinued practice, inadequate control related to radiation sources

Role of the regulatory body in such cases




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Decommissioning and the mana-gement of r. waste and of spent fuel

• The government shall make provision for the safe decommissioning of facilities, the safe management and disposal of radioactive waste arising from facilities and activities, and the safe management of spent fuel.



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Decommissioning, RW and SF

• Should be part of national strategy• RW could be of different types• The interdependences of the steps in the

management process for shall be recognized

• Control after closure of disposal facility shall be clearly assigned

• Financial provisions shall be assured


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Included in the governmental policy and strategy

Interim targets and end states

Governmental provisions for appropriate research and development programmes

Interdependences in the management of radioactive waste




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Competence for safety

• The government shall make provision for building and maintaining the competence of all parties having responsibilities in relation to the safety of facilities and activities.

• Sufficient number of suitably qualified and experienced staff shall be made available.



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Required for all parties with safety responsibilitiesLicenseesRegulatory bodyResearch and development centres

Definition of necessary competence levelsArrangements for professional training programmesRequirements for provision of sufficient number of suitably qualified and experienced staffProvisions for appropriate research and development programmes




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Example


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Safety, security and safeguards

• Safety – protect people and environment from ionizing radiation

• Safeguards – Prevention of spread of nuclear weapons

• Security – Protect nuclear and radioactive material from malicious acts

Requirement 12; 2006-2013 referenced only once..


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Safety, security and safeguards

• The government shall ensure that adequate infrastructural arrangements are established for interfaces of safety with arrangements for nuclear security and with the State system of accounting for, and control of, nuclear material.


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Provision of technical services

• The government shall make provision, where necessary, for technical services in relation to safety, such as services for personal dosimetry, environmental monitoring and the calibration of equipment.

Requirement 13; 2006-2013 referenced only once.


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IRRS Module 2

The Global Nuclear Safety Regime

IAEA GSR Part 1, pages 15-16

IRRS Module 2

IAEA GSR Part 1, pages 15-16USNRC IRRS Training - Reviewing Governmental Responsibilities

43



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International cooperation

• The government shall fulfill its respective international obligations, participate in the relevant international arrangements, including international peer reviews, and promote international cooperation to enhance safety globally.International conventions,

Codes of conduct, IAEA Safety Standards,

International Peer Reviews, Multi- and bilateral cooperation



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International conventions

Codes of conduct

Use of and participation in development of IAEA Safety Standards

International peer reviews

Multilateral and bilateral cooperation programmes




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Example


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Sharing of operating and regulatory experience

• Lessons shall be learned from operating and regulatory experience, including experience in other States.

• Lessons learned shall be disseminated to Licensee, the regulatory body and other relevant authorities.



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Reporting of operating and regulatory experience

Receiving of information from other states and authorized parties

Dissemination of lessons learned and their use

Feedback on measures taken in response to information received




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Example


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Summary (1)

• When reviewing Responsibilities and functions of the government focus should be on:• National policy and strategy for safety• Framework for safety• Prime responsibility for safety• Coordination of different authorities• Emergency preparedness• Regulatory control of sources• Regulatory control of radioactive waste and decommissioning• Maintenance of Competence for safety• Interface between Safety, Security and Safeguards• Provisions of technical services

USNRC IRRS Training - Reviewing Regulatory Responsibilities 50

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Summary (2)

• When reviewing Global Safety Regime focus should be on:• International involvement of the government• Operating experience feedback


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THANK YOU FOR YOUR ATTENTION


Photo: V. FriedrichThis activity is conducted by the IAEA, with funding by the European Union. The views expressed in this presentation do not necessarily reflect the views of the European Commission

iaea international atomic energy agency. iaea outline learning objectives responsibilities and...

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