1. IAEA International Atomic Energy Agency

2. IAEA 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 Responsibilities2

3. IAEA 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. USNRC IRRS Training - Reviewing Governmental Responsibilities3

4. IAEA 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 Responsibilities4

5. IAEA 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: USNRC IRRS Training - Reviewing Governmental Responsibilities5

6. IAEA 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. USNRC IRRS Training - Reviewing Governmental Responsibilities6 More on Review Methods in Lecture 10!

7. IAEA Review is assisted by Report Template The Standard Mission report Template gives guidance and assistance in the interviews and in writing the report USNRC IRRS Training - Reviewing Governmental Responsibilities7 More on Report Template in Lecture 7!

8. IAEA 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. Recommendation of Experienced Reviewers Give particular attention to: USNRC IRRS Training - Reviewing Governmental Responsibilities8

9. IAEA IRRS Module 1: Responsibilities and functions of the government IRRS Module 1: Responsibilities and functions of the government IAEA GSR Part 1, pages 3-14 IAEA GSR Part 1, pages 3-14 USNRC IRRS Training - Reviewing Governmental Responsibilities9

10. IAEA 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. USNRC IRRS Training - Reviewing Governmental Responsibilities10

11. IAEA 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. USNRC IRRS Training - Reviewing Governmental Responsibilities11

12. IAEA 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 included There should be a basis for graded approach set! USNRC IRRS Training - Reviewing Governmental Responsibilities12 Recommendation of Experienced Reviewers Give particular attention to:

13. IAEA Example USNRC IRRS Training - Reviewing Governmental Responsibilities13

14. IAEA 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. USNRC IRRS Training - Reviewing Governmental Responsibilities14

15. IAEA 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; USNRC IRRS Training - Reviewing Governmental Responsibilities15

16. IAEA 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. USNRC IRRS Training - Reviewing Governmental Responsibilities16

17. IAEA 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 USNRC IRRS Training - Reviewing Governmental Responsibilities17 Recommendation of Experienced Reviewers Give particular attention to:

18. IAEA Example (1) USNRC IRRS Training - Reviewing Governmental Responsibilities18

19. IAEA Example (2) USNRC IRRS Training - Reviewing Governmental Responsibilities19

20. IAEA 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. USNRC IRRS Training - Reviewing Governmental Responsibilities20

21. IAEA 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 USNRC IRRS Training - Reviewing Governmental Responsibilities21

22. IAEA Legal authority Necessary competence and resources Effective independence as provided by the legal basis Free from conflicting responsibilities USNRC IRRS Training - Reviewing Governmental Responsibilities22 Recommendation of Experienced Reviewers Give particular attention to:

23. IAEA Example USNRC IRRS Training - Reviewing Governmental Responsibilities23

24. IAEA 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. USNRC IRRS Training - Reviewing Governmental Responsibilities24

25. IAEA 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 USNRC IRRS Training - Reviewing Governmental Responsibilities25 Recommendation of Experienced Reviewers Give particular attention to:

26. IAEA Example (1) USNRC IRRS Training - Reviewing Governmental Responsibilities26

27. IAEA Example (2) USNRC IRRS Training - Reviewing Governmental Responsibilities27

28. IAEA 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. 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 Requirement 7; 2006-2013 referenced 7 times. USNRC IRRS Training - Reviewing Governmental Responsibilities28

29. IAEA Responsibilities and functions of each authority are legally specified Appropriate and documented coordination and liaison among the authorities USNRC IRRS Training - Reviewing Governmental Responsibilities29 Recommendation of Experienced Reviewers Give particular attention to:

30. IAEA Example USNRC IRRS Training - Reviewing Governmental Responsibilities30

31. IAEA 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. 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. Clear responsibilities for decision making in an emergency shall be assigned. Provision for effective liaison between Licensees and authorities shall be in place. Provision for effective liaison between Licensees and authorities shall be in place. Requirement 8; 2006-2013 referenced 12 times. USNRC IRRS Training - Reviewing Governmental Responsibilities31

32. IAEA Reducing existing or unregulated radiation risks T here 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! USNRC IRRS Training - Reviewing Governmental Responsibilities32

33. IAEA 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 USNRC IRRS Training - Reviewing Governmental Responsibilities33 Recommendation of Experienced Reviewers Give particular attention to:

34. IAEA 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. 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. Requirement 10; 2006-2013 referenced 5 times. USNRC IRRS Training - Reviewing Governmental Responsibilities34

35. IAEA 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 USNRC IRRS Training - Reviewing Governmental Responsibilities35

36. IAEA 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 USNRC IRRS Training - Reviewing Governmental Responsibilities36 Recommendation of Experienced Reviewers Give particular attention to:

37. IAEA 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. 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. Sufficient number of suitably qualified and experienced staff shall be made available. Requirement 11; 2006-2013 referenced 14 times. USNRC IRRS Training - Reviewing Governmental Responsibilities37

38. IAEA Required for all parties with safety responsibilities Licensees Regulatory body Research and development centres Definition of necessary competence levels Arrangements for professional training programmes Requirements for provision of sufficient number of suitably qualified and experienced staff Provisions for appropriate research and development programmes USNRC IRRS Training - Reviewing Governmental Responsibilities38 Recommendation of Experienced Reviewers Give particular attention to:

39. IAEA Example USNRC IRRS Training - Reviewing Governmental Responsibilities39

40. IAEA 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.. USNRC IRRS Training - Reviewing Governmental Responsibilities40

41. IAEA Safety, security and safeg uards 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. USNRC IRRS Training - Reviewing Governmental Responsibilities41

42. IAEA 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. 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. USNRC IRRS Training - Reviewing Governmental Responsibilities 42

43. IAEA IRRS Module 2 The Global Nuclear Safety Regime IAEA GSR Part 1, pages 15-16 IAEA GSR Part 1, pages 15-16 IRRS Module 2 IAEA GSR Part 1, pages 15-16 IAEA GSR Part 1, pages 15-16 USNRC IRRS Training - Reviewing Governmental Responsibilities 43

44. IAEA 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 Requirement 14; 2006-2013 referenced 8 times. USNRC IRRS Training - Reviewing Governmental Responsibilities44

45. IAEA International conventions Codes of conduct Use of and participation in development of IAEA Safety Standards International peer reviews Multilateral and bilateral cooperation programmes USNRC IRRS Training - Reviewing Governmental Responsibilities45 Recommendation of Experienced Reviewers Give particular attention to:

46. IAEA Example USNRC IRRS Training - Reviewing Governmental Responsibilities46

47. IAEA Sharing of operating and regulatory experience Lessons shall be learned from operating and regulatory experience, including experience in other States. nt authorities. Lessons learned shall be disseminated to Licensee, the regulatory body and other relevant authorities. Requirement 15; 2006-2013 referenced 21 times. USNRC IRRS Training - Reviewing Governmental Responsibilities47

48. IAEA 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 USNRC IRRS Training - Reviewing Governmental Responsibilities48 Recommendation of Experienced Reviewers Give particular attention to:

49. IAEA Example USNRC IRRS Training - Reviewing Governmental Responsibilities49

50. IAEA 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 Responsibilities50

51. IAEA Summary (2) When reviewing Global Safety Regime focus should be on: International involvement of the government Operating experience feedback USNRC IRRS Training - Reviewing Regulatory Responsibilities51

52. IAEA THANK YOU FOR YOUR ATTENTION USNRC IRRS Training - Reviewing Regulatory Responsibilities52 Photo: V. Friedrich This 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