STRENGTHENING THE REGULATORY FRAMEWORK FOR COUNTRIES EMBARKING NUCLEAR POWER Gustavo Caruso Section Head Regulatory Activities Section Department of Nuclear Safety and Security Agenda has two parts, Process we have followed to arrive here Proposed structure You have received our proposal, but I’ll go through it briefly. We will take note of your comments and make necessary changes before submitting to CSS in Nov

Strong Nuclear Safety Infrastructure Needs Emerging optimistic and ambitious plans for the development of nuclear energy Different situations require customized approaches Countries with optimistic plans for the future Countries with realistic near term plans to enter nuclear Countries expanding their fleet Countries extending plant life or decommissioning Needs are different, but the prevention of accidents must be a priority for all

A Changing World and Challenges to the International Nuclear Community Globalization Sustainable and dynamic development Secure, safe and clean energy supply Nuclear “Renaissance” (vita nova) Non-proliferation Public concern for nuclear safety Nuclear security Technology and management innovation Picture is of Kaiga Nuclear Power Station

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 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 Conventions and Codes of Conduct have been elaborated with high political commitment IAEA Safety Standards are increasingly complementing international instruments Global Safety and Security Regime offers both legally binding and non-legally binding institutional frameworks supported by networks of experts Global community of experts continue to develop new knowledge, share experience and support creation of international consensus IAEA Safety Standards are increasingly complementing international instruments

Convention on Nuclear Safety 4th CNS Review Meeting Convention on Nuclear Safety Nuclear Power Plants Only 61 Contracting Parties Triennial Meeting National Reports Peers Pressure Transparency

Global conclusions and observations (con’t) 4th CNS Review Meeting Global conclusions and observations (con’t) For new NPPs Necessity to establish the safety infrastructure well in advance Countries starting a nuclear programme should join CNS Relevant experience with IRRS missions References to safety standards

IAEA Safety Standards and Services IAEA has statutory obligation to develop international standards of safety Article III.A.6 of Statutes: To establish or adopt standards of safety for the protection of health and minimization of danger to life and property To provide for the application of these standards

IAEA Nuclear Safety Activities Establishment and Revision of Nuclear Safety Standards Fundamentals, Safety Requirements and Safety Guides Safety Standards Application and Feedback Advisory and Review Services Training Courses and Workshops Sharing Experience and Knowledge through Networking Support for Implementation of Conventions, Codes of Conduct and for Improvement of the Global Nuclear Safety Regime

Global Nuclear Safety Regime International Legal Instruments Conventions and Codes of Conduct IAEA Safety Standards IAEA Safety Reviews and Services Global Knowledge Network Global Experts’ Community National and Regional Nuclear Infrastructure Regulation Enforcement Operation Research & Education

Strong Nuclear Safety Infrastructure Needs Developing a NP programme means 10 to 15 y planning and development before operation and a “100 y commitment” Three Major Phases Consideration before decision Preparatory work for the construction Activities to implement a first NPP “Considerations to Launch a Nuclear Power Programme” At the same time the NPP commitment is done, a commitment to nuclear safety culture is needed. During the entire “century” safety infrastructure is needed, i.e. not an issue only for “new nuclear countries” “Nuclear Safety Infrastructure for a National Power Programme” INSAG-22 –NEW-

NUCLEAR SAFETY STANDARDS Structure of Safety and Security Documents NUCLEAR SAFETY STANDARDS Safety Fundamentals NUCLEAR SECURITY SERIES Safety Requirements Security Fundamentals Recommendations Safety Guides Implementing Guides Early stage of development Mature stage through transparent development process Global reference for high level of nuclear safety and security

Structure of Safety Standards Legal and governmental infrastructure Emergency preparedness and response Management systems Assessment and verification Site evaluation Radiation protection Radioactive waste management Decommissioning Remediation of contaminated areas Thematic standards Nuclear power plants: design Radiation related facilities and activities Research reactors Fuel cycle facilities Waste treatment and disposal facilities Facilities specific standards Safety Fundamentals Nuclear power plants: operation Note: Each area has one Safety Requirement except for the area of Radiation related facilities and activities. G = Safety Guide(s) (5 G) (2 G) (3 G) (7 G) (1 G) (6 G) (10 G) (17 G) (15 G) (9 G) This represent the requirements, below are the guides

Safety Fundamentals Global reference point for the high level of safety required for use of nuclear energy and technology Ten principles: 1. the prime responsibility for safety must rest with the operator and the user 2. an effective legal and governmental framework for safety, and a competent, independent nuclear safety regulatory body with sufficient authority to ensure compliance …..

GOVERNAMENTAL AND REGULATORY FRAMEWORK FOR SAFETY Safety Requirements GOVERNAMENTAL AND REGULATORY FRAMEWORK FOR SAFETY

BACKGROUND Published in 2000 Currently under revision. “GOVERNAMENTAL AND REGULATOTY FRAMEWORK FOR SAFETY” new First draft approved by all Committees All MS comments received. High level consultancy

Licensing process for Nuclear installations New Safety Guides (on going): Licensing process for Nuclear installations

Stages of the Licensing Process Site evaluation “whole life cycle” Design Construction Commissioning Operations Decommissioning Release

Establishing a National Nuclear Installations Safety Infrastructure New Safety Guides (on going): Establishing a National Nuclear Installations Safety Infrastructure

Safety Guide: Establishing a National Nuclear Installations Safety Infrastructure “Road-map” to apply the entire suite of IAEA SS progressively at early phases of the implementation of a nuclear power programme. Major three elements: Institutional Safety Elements Organizational Safety Elements Technical Safety Elements

Establishment of Regulatory Framework GOVERNMENTAL RESPONSIBILITIES FOR SAFETY and STRATEGIC DECISION OF GOVERNMENT National Policy and Strategy Establishment of a National Framework Establishment of an Independent Regulatory Body Responsibility for Safety Competence in Safety

Establishment of Regulatory Framework INTERACTION WITH THE GLOBAL SAFETY REGIME International arrangements for cooperation Legally Binding International Instruments – Conventions International Safety Standards Multinational and Bilateral Arrangements for Cooperation International Peer Reviews Exchange of Operating and Regulatory Experience National and International Lessons learned application

Establishment of Regulatory Framework REGULATORY BODY - GENERAL REQUIREMENTS Organizational Structure and Allocation of Resources Effective Independence Coordination of Regulatory Responsibilities Management System Staffing and Competence of the Regulatory Body Advisory Bodies and Support Organisations Relations between the Regulatory Body and the Licensee Relations Regulatory Body and Interested Parties Regulatory Stability

Establishment of Regulatory Framework FUNCTIONS OF THE REGULATORY BODY Authorization/Licensing Review and Assessment Inspection Enforcement Regulations and Guides Information and Public Communication GS-R-1

REGULATORY INDEPENDENCE: The government shall, through its national legal system, establish and maintain a regulatory body whose task is to regulate facilities and activities for achievement of safety. The government shall ensure that the regulatory body is effectively independent in its safety related decision making and possesses an adequate measure of functional separation from entities having interests or responsibilities that could unduly influence regulatory decision making. The government shall ensure that the regulatory body is given the legal authority, competence and resources necessary to fulfil its statutory obligation to regulate facilities and activities. GS-R-1

IAEA Safety Guides

Integrated Regulatory Review Service MAIN SERVICES : “IRRS” Integrated Regulatory Review Service Top level Regulatory Review Service dedicated to Governmental and Regulatory Framework for Safety (including regulatory policy aspects) Modular service, adjusted to country’s request

IAEA Assistance on Regulatory Framework Strengthening national regulatory infrastructures Assisting MS on specific regulatory issues Performing Integrated Regulatory Review Services (IRRS) Reviewing and Issuing Safety Standards in the Regulatory Area

Strengthening Regulatory Capabilities for Countries Embarking on Nuclear Power Regulatory framework including development of nuclear legislation and the regulatory body; Regulatory approach; Enhancement of regulatory functions (development of regulations and guides, inspection, enforcement, review and assessment, etc.); Development of a comprehensive licensing process; Regulatory practices, including the establishment and promotion of international regulatory networks; Self-sustainability, including self-assessment

Safety Infrastructure for New NPP Countries Workshop: The Role and Responsibilities of Vendor Countries and Countries Embarking on Nuclear Power to Ensure Long-term Safety, IAEA, 1- 3 July, 2008 To review relevant experiences, to identify and disseminate good practices and lessons learned regarding assistance, support and training provided by vendor countries for countries embarking on nuclear power programs.

CHINA (Buyer) & FRANCE (Vendor) Role and Responsibilities of Vendor Countries and Countries Embarking on Nuclear Power to Ensure Long-term Safety CHINA (Buyer) & FRANCE (Vendor) PAKISTAN (Buyer) & CHINA (Vendor) FINLAND, IRAN (Buyer) & RUSSIA (Vendor) MEXICO (Buyer), SPAIN (Buyer) & USA (Vendor) ROMANIA (Buyer) & CANADA (Vendor) INSAG and IAEA (NS, NE and OLA) presentations

Role and Responsibilities of Vendor Countries and Countries Embarking on Nuclear Power to Ensure Long-term Safety Nuclear safety is a national responsibility International leverage should be enhanced through IAEA actions, bilateral or multilateral arrangements, MDEP initiative, etc. Newcomers should include the package of Treaties, Conventions to join the nuclear community. Moral responsibilities of Vendor countries and should report to all (CNS) about steps and actions establishing contracts and transferring nuclear technology to nuclear newcomers.

embarking on nuclear power programmes and mechanisms to Role and Responsibilities of Vendor Countries and Countries Embarking on Nuclear Power to Ensure Long-term Safety Continue with IAEA Safety guides development for countries embarking on nuclear power programmes and mechanisms to reinforce the Global Safety Regime. Systematic IAEA tailored review services, IRRS and pre-OSART for countries embarking on nuclear power, as prerequisite at different stages. This type of Workshop should be repeated on regular basis,1-2 y Next, November, 2009, nuclear newcomers will present their particular situation, difficulties and challenges developing their safety infrastructure to embark on nuclear power.

Final remarks Governmental and Regulatory Framework need strong support Tasks necessary to establish an effective independent regulatory body need to be carried out by the Member State. Licensing process needs to be defined at the early stage “How safe is safe enough?” is a national responsibility, the regulatory approach is the key element Efforts coordinated are essential in order to be consistent, comprehensive and effective.

International Atomic Energy Agency IAEA Headquarters in Vienna, Austria. The IAEA was established in 1957. …Thank you for your attention g.caruso@iaea.org