Regulatory Control Training Workshop Regulatory Cooperation Forum Establishing the safety infrastructure for nuclear power and the IAEA nuclear safety standards Regulatory Control Training Workshop Regulatory Cooperation Forum Luis Lederman 6-10 November, 2017 Morocco

Learning objectives In this lecture participants will learn about: IAEA’s statutory objectives and functions IAEA safety standards (role, structure and development process) Phased application of SS to embarking countries (IAEA safety guide SSG 16)

International Atomic Energy Agency Established 1957 168 MSs (as of Feb. 2016) 2,500 staff IAEA is established in 1957 As of March 2015, 164 countries are member to the IAEA. Around, 2.500 staff from more than 100 countries are working in the IAEA The IAEA's mission is guided and determined based on the interests and needs of Member States by the vision given in the IAEA Statute. Actually, These three main pillars – working areas - underpin the IAEA's mission: Science and Technology, Safety and Security and Safeguards and Verification. 3 pillars Nuclear Science and Technology Safety and Security Safeguards and Verification

IAEA Statute (OBJECTIVES)‏ “The Agency shall seek to accelerate and enlarge the contribution of atomic energy to peace, health and prosperity throughout the world. It shall ensure, so far as it is able, that assistance provided by it or at its request or under its supervision or control is not used in such a way as to further any military purpose.” According to IAEA Statute Article III: One of the main task of the IAEA regarding safety is the preparation and the promulgation of safety standards and also to provide for application and promotion of them.

IAEA Statute (FUNCTIONS) Article III.A.6 “To establish or adopt… [in consultation with…] standards of safety for the protection of health and minimization of danger to life and property” “…and to provide for the application of these standards” According to IAEA Statute Article III: One of the main task of the IAEA regarding safety is the preparation and the promulgation of safety standards and also to provide for application and promotion of them.

IAEA Nuclear Safety Standards 1958 1961 1962 1965 1988 SS No. 15 1974 1996 SS No. 15 2006 Under Article III.A.6 of its Statute, the IAEA is authorized “To establish or adopt, in consultation and, where appropriate, in collaboration with the competent organs of the United Nations and with the specialized agencies concerned, standards of safety for protection of health and minimization of danger to life and property (including such standards for labour conditions), and to provide for the application of these standards to its own operation as well as to the operations making use of materials, services, equipment, facilities, and information made available by the Agency (…).“ Shortly after its inception in 1957, the Secretariat began developing and setting safety Standards. In 1958, the Agency published its first safety standard, Safety Series No. 1, Safe Handling of Radioisotopes (STI/PUB/1). Over the years, some 200 publications were issued in the Safety Series. 2016 IAEA safety standard on Communication 2016

Hierarchy of the Safety Standards Safety Fundamentals Safety Requirements Safety Guides Fundamental safety objective and principles for protecting people and environment What shall be done Requirements that must be met to ensure protection of people and environment –’shall’ This picture shows us the hierarchy of the IAEA Safety Standards: We have there levels of SSs: Top down approach is seen in the hierarchy of the SSs. Safety fundamental document is at the top, like a constitution or a main law for the lower level requirements. It contains 10 fundamental safety principles. It is supported by the Requirements, they are obligatory in nature for who referring and basing on the IAEA SSs. Then, at the bottom, there are safety guides whose application is voluntary in nature. SF-1 defines 10 fundamental safety principles which constitute a base for the requirements. The requirements gives what should be done/applied/satisfied to meet these principles; The guides provide recommendations on how to meet those requirements, shows us the ways of meeting those requirements. As a conclusion, Requirements tell “What to do” and Guides tell “How to do”. You can use other ways different from the recomended by the guides to meet the requirements. But, please do not forget that, the ways recommended by our guides are based on good or best experiences and practices which are proven on appropriately and effectively meeting the relevant requirements. How it should be done Recommended ways of meeting the requirements – “should”

Status of the IAEA Safety Standards Not binding on Member States but may be adopted by them. Binding for IAEA’s own activities. Binding on States in relations to operations assisted by the IAEA. Binding on States wishing to enter into project agreements IAEA. http://www-ns.iaea.org/standards/default.asp?s=11&l=90

EXAMPLES

Development Process Outline and work plan Prepared by the Secretariat Review by the committees and Commission on Safety Standards Drafting or revising of safety standard by the Secretariat and consultants Review by the safety standards committee's)‏ Member States Endorsement by Commission on Safety Standards Committees NUSSC RASSC WASSC TRANSSC Approval by the IAEA’s Director General or BoG

Structure of the IAEA Safety Standards

Embarking Countries The number of countries considering the introduction of nuclear power has increased particularly in the last ten years, Although some of these countries have changed their opinion after the Fukushima Accident, currently, there are around 25 countries that have interest or a serious intention for embarking on a nuclear power programme.   Most of them have no experience, some of them have little experience in building, operating or regulating nuclear facilities. But, almost all of them have already acknowledged the need to establish an appropriate and comprehensive national safety infrastructure in compliance with the IAEA SSs, to ensure safety and to gain public trust at national level as well as at international level. Increasing number of countries considering the introduction of nuclear power in the last decade Need to establish an appropriate and comprehensive national safety infrastructure in compliance with the IAEA SSs for ensuring safety and gaining public trust at national and international level. (having no or little experience in building, operating or regulating nuclear facilities)

Relation with the Safety Requirements The 20 elements/topics of SSG-16 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 GS-R-3 GSR Part 3 GSR Part 4 WS-R-5 SSG-16 is structured in accordance with the relevant IAEA Safety Requirement level documents. Primary use is to help enhancing Safety Infrastructure and Capacity Building in newcomer countries This is the list of SSG-16 elements which are derived from these 11 safety requirement level documents: -1- National … ……….. As it is seen in this figure, there is a strong relation between SSG-16 elements and relevant IAEA Safety Requirements documents. For example; the first 7 elements are covered in details by the GSR Part 1; and actions given under these 7 elements are derived from the relevant requirements of GSR-Part 1.  The Actions set out in this Safety Guide are not reformulations of those safety requirements and are not a substitute for them. SSG-16 attempts only to facilitate the development of the national safety infrastructure by phased implementation of these IAEA SSs. GSR Part 5 SSR 2/2 GS-R-2 SSR 2/1 NS-R-3 TS-R-1 Establishing a Safety Infrastructure for a national nuclear power programme in compliance with the IAEA Safety Requirements

SSG 16 Format and content for each phase IAEA Safety Requirements identified with reference Actions (“should statements”) are listed and numbered Action 10: The Government should … Action 29: The Regulatory Body should … Action 149: The Operating Organization should … Other actions… SSG-16 consists of 20 elements, in other words 20 topics; Under each element actions are separately defined for each 3 phases; in total there are 200 actions.   For each phase, first, relevant IAEA Safety Requirements are identified, then responsibilities and tasks are listed as Actions by using “should “ statements. In each action, who/which entity is responsible for the implementation of the action is explicitly defined. For phases of each element, there is also an additional text part providing rationale for the should statements and additional guidance on how to satisfy the actions. Phase 2 and 3 has the same structure with the Phase 1. additional text provides: Rationale for the should statements; Additional guidance to satisfy the actions.

Phase 1: Informed decision making Energy security Safety of nuclear power Handling of nuclear waste Adequacy of sites for a NPP Financial resources Man power resources National and international commitments Public support Planning and coordination 15

Phase 2: Building institutions and processes Owner-Operator Regulatory Authority Government

Involvement of the institutions Ready to make a knowledgeable decision on whether or not to introduce nuclear power Ready to invite bids/negotiate a contract Ready to commission and operate the first NPP Phase 1 Phase 2 Phase 3 Involvement of the Government Involvement of the Regulatory Body establishment Involvement of the Operating Organization establishment

Actions for the Legal Framework Phase 1 Action 20. The government should identify all necessary elements of a legal framework for the safety infrastructure, and should plan how to structure it and develop it. Action 21. The government should consider the process that should be employed to license nuclear facilities in the later stages of the programme. Phase 2 Action 22. The government should enact and implement the essential elements of the legal framework for the safety infrastructure. . This is an example for the “Legal Framework” element: These are the examples for the actions that are assigned to the Government. For example, Action 20, which is recommended if the country is in the Phase 1 countries, states that ……… Similarly, Action 22, which is recommended if the country is in the Phase 2 countries, states that And Action 23, which is recommended if the country is in the Phase 3 countries, states that ………

Some challenges faced by newcomers Establishment of the Legal Framework • Complexity of the process for drafting and approving the laws; • Lack of clear understanding among the stakeholders on the responsibility for drafting the comprehensive nuclear law and its content. In some cases, multiple and conflicting drafts of the law are prepared by the different organizations; • Resolution of issues involving policy matters beyond the competence of the drafters and that need to be resolved by high level decision makers in the government

Actions for the regulatory framework Phase 1 Action 24. The government should recognize the need for an effectively independent and competent regulatory body, and should consider the appropriate position of the regulatory body in the State’s governmental and legal framework for safety. Action 25. The government should seek advice from the regulatory body on radiation safety issues relating to a nuclear power programme. Action 26. The government should identify the prospective senior managers of the regulatory body. For the same element of SSG-16, These are the examples for the actions that are assigned to the regulatory body, For example; Action 29, which is recommended if the country is in the Phase 2, states that

Regulatory Framework The regulatory body needs to be operational quite early (phase 2) and the regulatory processes and regulations should be in place

Some challenges faced by newcomers Regulatory Framework Lack of nuclear regulatory experience Conducting regulatory activities in case of multiple projects with different design and vendors Inadequate funding for regulatory bodies to implement regulatory functions effectively (contracting services, training)

Human Resources HR programme at national level to ensure long-term sustainability HR programme at organizational level both for the OO and for the RB

Some challenges faced by newcomers Human Resources Development Absence of national plan for human resources development in nuclear field Difficulty in recruitment qualified staff due to application of rules for civil service staff recruitment Aging of staff and generation gaps Adverse effect in recruiting and training staff caused by delays in the government decision for the country to embark on nuclear power and by the uncertainty in technology/vendor selection

Some challenges faced by newcomers Technical Support Organizations Difficulty in hiring TSOs due to complexity of state procurement process (competitive process) Development and sustainability of national/domestic TSOs. Unpredictable submission time for licensing documents Inability to make regulatory decisions in situations of conflicting safety opinions and advices from TSOs Lack of awareness / knowledge of other regulatory organizations in the country about the specific functions of the nuclear regulatory body

Outlook Safety is a national responsibility Safety leaves no room for complacency Safety requires continuous vigilance Safety is always work underway with respect to technology and human behaviour Safety is an enabling factor for a successful nuclear power programme

International Atomic Energy Agency Thank you for your attention