1. Legislative and Regulatory Framework in Korea
Myung-Mo JUNG, Ph.D
Korea Institute of Nuclear Safety

2. 1. Nuclear Legislative & Regulatory Framework
1.1 Introduction
The general safety objective is to protect individuals and the environment from harm by establishing and maintaining in nuclear installations effective defenses against radiological hazards
To successfully carry out nuclear power projects, safety should be assured through all stages of project
site selection, design, manufacturing, construction, operation, maintenance and decommissioning.
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3. 1. Nuclear Legislative & Regulatory Framework
The Act defines fundamental matters concerning the development and utilization of atomic energy and safety regulations
Atomic
Energy Act
The Decree provides the technical standards and administrative matters necessary to enforce the Atomic Energy Act
Enforcement
Decree of the Act
(Presidential Decree)
Enforcement
The Regulation defines the licensing procedures and application methods necessary for the implement of the Atomic Energy Act and Enforcement Decree
Regulation of the Act
( Ministerial Ordinance)
Notice of the Minister
The Notice provides the technical standards and procedures in detail
of Science and Technology
Codes and Standards for materials, design, test, and inspection of components and equipment
Industrial Codes and Standards
(KEPIC, ASME, IEEE, ACI, etc.)
Fig. 1-1 Legal system of nuclear safety regulation.
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4. 1. Nuclear Legislative & Regulatory Framework
1.2 nuclear legislative framework
Atomic energy act
The act was promulgated in march 1958 and amended 18 times
Includes provisions on the ;
Atomic energy commission, nuclear safety commission
Nuclear energy promotion program
Construction permit /operating license of nuclear installations
Enforcement decree of the atomic energy act: presidential decree
Enacted in September 1982, and amended 13 times
Systematically defines the technical standards and administrative matters necessary to enforce the atomic energy act
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5. 1. Nuclear Legislative & Regulatory Framework
Enforcement regulation of the atomic energy act: ministerial ordinance
Enacted in April 1983, and amended 9 times
Defines the licensing procedures and application methods
Two regulations were enacted recently “on technical standards for nuclear facility and for the safe control of radiation”
Notice of the minister of science and technology
Provides technical standards and procedures in detail
Prescribes specific issues including regulatory requirements and technical standards
Total of 75 notices have been developed and stipulated
Regulatory guides on licensing review and inspection
Total of 46 detailed regulatory guides for licensing review and regulatory inspection are developed by KINS
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6. 1. Nuclear Legislative & Regulatory Framework
1.3 Nuclear regulatory framework
President
Prime Minister
Ministry of Science & Technology
Nuclear Safety Commission
Nuclear Energy Bureau
Special Committee on Nuclear Safety
Nuclear
Safety Officer
Resident Inspectors Office
Reactor Systems Sub-Com.
Radiation Protection Sub-Com.
Site & structure Sub-Com.
Regulatory Policy & Systems Sub-Com.
Nuclear Emergency & Environment Sub-Com.
KINS
Fig. 1-2 Organization of nuclear safety regulation.
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7. 1. Nuclear Legislative & Regulatory Framework
1.3 Nuclear regulatory framework
Fig. 1-3 General working mechanism of nuclear regulation and licensing
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8. 1. Nuclear Legislative & Regulatory Framework
Regulatory organizations
Nuclear safety commission
Composed of 9 members including the minister of the MOST who chairs the commission
Principal function is decision-making on major nuclear safety and regulatory policy and licensing issues.
Supported by the special committee on nuclear safety (34 members) that is composed of 5 subcommittees
Regulatory authority
MOST is a regulatory authority of the Korean government
Responsible for establishing and implementing nuclear regulatory policies for activities related to power and research reactors, radiation applications
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9. 1. Nuclear Legislative & Regulatory Framework
Regulatory expert organization
KINS is a technical expert organization to support the MOST
KINS is responsible for
Safety review and evaluation to assure the safety of nuclear installations; Radioisotopes and radiation generators regulation
Safety inspection for nuclear installations
Regulation of RI and radiation generators
Development of regulatory policy
Development of technical standards
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10. 1. Nuclear Legislative & Regulatory Framework
1.4 Evolution of Nuclear Regulation : A Korean Experience
A. Beginning stage
From 1971 to 1978, turnkey contract basis
Kori unit 1&2 from Westinghouse, Wolsung unit 1(CANDU) from AECL
Contractors assumed overall responsibility for the construction schedule, inspection, startup and performance of the plants
Licensing and regulation
Vendor country’s laws and regulations applied ; for W PWRs : 10CFR, Reg. Guide and SRP of USNRC as mandatory for CANDU : Canadian laws and regulatory requirements as mandatory
Domestic laws and regulations were not available at that time for licensing and regulation
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11. 1. Nuclear Legislative & Regulatory Framework
B. Development stage
From 1980 ~ 1986, component approach with foreign contractors
Contracts were separately awarded for major components, thus enabling more domestic industries to participate in the projects as subcontractors
Six NPPs were constructed :
Kori 3&4, Yonggwang 1&2 from W
Ulchin 1&2 from Framatome
A two-step licensing system, CP and OL, was incorporated into the law
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12. 1. Nuclear Legislative & Regulatory Framework
C. Self-sufficient stage
From 1987 ~ present, standardized stage
As part of technological self-reliance program, major efforts have been concentrated on maximizing technological development and improvement of domestic industries
Starting with the Yonggwang 3&4 contracts in 1987 :
KEPCO took overall management of construction projects
Prime contractors were domestic companys foreign companies were subcontractors
Technology transfer was an overriding priority in selecting foreign vendors and suppliers ; CE – vendor, S&L – AE
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13. 1. Nuclear Legislative & Regulatory Framework
The KSNP was developed in 1992.
Improved design features against severe accidents but has virtually the same design features as YGN 3&4.
UCN 3&4, the first standard units, were permitted for construction in July 1993, with some conditions for implementing safety enhancement;
Mid-loop operation, safety depressurization system, hydrogen ignitors as part of severe accident prevention and mitigation
Safety enhancement to Yonggwang 5&6
Level control in CVCS, digitalization and duplication of the process control system, human factors in the remote shutdown system, the filtered vent system, etc
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14. 1. Nuclear Legislative & Regulatory Framework
1.5 Licensing and Regulatory Inspection in Korea
Licensing Requirements for Nuclear Power Plants
A special attention has been paid to the following items during licensing reviews ;
Feedback of domestic and foreign experiences
Application of new regulatory requirements
Incorporation of the improved design features Evaluation of safety features against severe accidents
Establishment of well-defined Quality Assurance Program for major equipment and components
Independent assessment of computer codes and methodologies used in safety analysis
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15. 1. Nuclear Legislative & Regulatory Framework
B. Licensing procedure
Early site approval
To begin limited construction work on a proposed site before the construction permit is issued
An application for approval accompanied by a site survey report and a radiological environmental report to the minister of science and technology
Based on the results of the safety review by KINS, minister will grant official approval
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16. 1. Nuclear Legislative & Regulatory Framework
Construction permit (CP)
Objectives of CP :
To confirm the safety of the proposed NPP design, which should meet the regulatory codes and standards
To review the safety of the preliminary designs and implementation of the regulatory criteria
To evaluate the environmental impact and the strategy for minimizing its effects
The main documents for the application of CP consist of;
Preliminary safety analysis report (PSAR),
Quality assurance (QA) program
Environmental report (ER)
The site survey report & detailed geological survey report
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17. 1. Nuclear Legislative & Regulatory Framework
Operating license (OL)
Confirming the final design meets the acceptance criteria
Application documents for OL ;
Final safety analysis report(FSAR)
Quality assurance program
Technical specifications for operation
Radiological emergency plan
Amendment of OL
Change or modifications to operating nuclear facilities should be authorized by regulatory body
Relevant safety analysis report or QA program should be submitted to the regulatory body
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18. 1. Nuclear Legislative & Regulatory Framework
C. Regulatory inspection for nuclear power plants
Pre-operational inspection
Conducted during the construction to prove that the installation and performance of the facilities meet the safety requirement specified in the relavant technical standards
When the proposed facility passes all the pre-operational inspections, the OL is officially issued
When the functional test results are unsatisfactory and/or corrective action is necessary official findings or recommendations are issued ;
Which should be cleared to pass the pre-operational inspections
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19. 1. Nuclear Legislative & Regulatory Framework
Regulatory periodical inspection (RPI)
Periodic inspection for an operating NPP is conducted to verify whether the nuclear installation is properly operating in conformity with the conditions of the OL;
To verify the installation can withstand pressure, radiation and operating environments
To verify the performance of the installation maintains license conditions
Performed by means of a document inspection and a field inspection during the period of refueling outage for a PWR, and during periodic maintenance for a PHWR
The standard periodical inspection items (usually items) are established for each reactor type
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20. 1. Nuclear Legislative & Regulatory Framework
Daily inspection by resident inspectors
To confirm whether the plant is operated in compliance with the technical specifications
Monitor the safety parameters and review the station logs everyday
When an event occurs, investigate the root cause and extent of the event and report to the MOST and KINS
Quality assurance audit
To check whether QA activities are being performed in conformity with the QA program
The licensee’s QA program should be submitted to the regulatory body for approval
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21. 1. Nuclear Legislative & Regulatory Framework
Table 1. Standard periodic inspection items for PWR
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22. 1. Nuclear Legislative & Regulatory Framework
Table 2. Standard periodic inspection items for CANDU
Note ; A: Witness B: Test result review
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23. 1. Nuclear Legislative & Regulatory Framework
D. Enforcement
If any violation is found as a result of the regulatory inspection, the license holder should to take corrective or complementary measures
If regulatiory enforcement deemed necessary, the minister conduct a regulatory inspection to verify that the documents are in conformity with field conditions and order the operator to take corrective or complementary measures
The minister of MOST may order the revocation of the permit (or license) or the suspension of business within a period of not more than one year, when the installer or operator fails to satisfy permit(or license) conditions
Any violation of the relevant provisions specified in the act shall cause a penalty or a fine according to its extent
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24. 2. Review of Legislative Requirements
2.1 Regulatory Body
A. Mandates and Duties of Regulatory Body
The primary mission of MOST is to ensure adequate protection of the public health and the environment against radiation hazards. Major functions are ;
To establish policies for nuclear safety and regulation
To review and assess safety information of nuclear installations
To issue, amend or revoke licenses for the construction and operation of nuclear installations
To conduct regulatory inspections
To establish technical standards and regulatory requirements
To take necessary enforcement actions, where a violation of regulatory requirements has found
To ensure that corrective actions are taken where unsafe or potentially unsafe conditions are detected
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25. 2. Review of Legislative Requirements
Major functions (cont’d)
To ensure the appropriate emergency response capabilities
To ensure that the records of occupational radiation exposure are maintained
To assure the qualifications of radiation workers
To provide safety information to the public for enhancement of public confidence
The ministry is responsible to perform the following additional functions:
To operate the national environmental radiation monitoring program
To initiate and coordinate nuclear safety research and development
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26. 2. Review of Legislative Requirements
B. Authority and responsibility of regulatory body
MOST assumes the responsibility for the following ;
To develop the acceptance criteria for construction and operation of nuclear installation
To develop technical standards for operational safety measures
To ensure compliance at every stage of the siting, design, construction, commissioning, operation, and decommissioning of nuclear installations
KOREA INSTITUTE OF NUCLEAR SAFETY

27. 2. Review of Legislative Requirements
C. Structure and resources of regulatory body and supporting organizations
Fig. 2-1 Organization chart of the ministry of science and technology.
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28. 2. Review of Legislative Requirements
Nuclear safety commission (NSC)
The commission deliberates and decides on the following matters:
Consolidation and coordination of nuclear safety control
The regulation of nuclear materials and reactors
The protection against hazards due to radiation exposure
The plan for estimation and allocation of expenditures for nuclear safety control
The formulation of tests and research for nuclear safety control
The fostering and training of researchers and engineers in the area of nuclear safety control
The safety management of radioactive waste
The measures against radiation accidents, and
Other matters deemed important by the chairman
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29. 2. Review of Legislative Requirements
Divided into 5 sub-committees ;
The reactor system sub-committee
The radiation protection sub-committee
The site and structure sub-committee
The nuclear emergency & environment
The regulatory policy & system sub-committee
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30. 2. Review of Legislative Requirements
Korea institute of nuclear safety (KINS)
Established in December 1981 and initially operated under the name of "nuclear safety center“
Major functions for nuclear safety regulation are as follows：
Safety reviews to licensing, approval of nuclear installations
Regulatory inspections during manufacturing, construction and operation of nuclear installations
Research and development of the technical standards of safety regulation for nuclear installations
License examinations for the handling of nuclear materials and radioisotopes, and the operation of nuclear installations
Process of notifications relevant to licensing formalities
Quality assurance examination and inspection
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31. 2. Review of Legislative Requirements
KINS also takes responsibility of nuclear safety regulation technology, technical support to MOST for ;
Policy development
Radiation protection
Information management on safety regulation
Monitoring and evaluation of environmental radioactivity
327 staffs of which 274 persons are technical experts
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32. 2. Review of Legislative Requirements
2.2 Responsibility of License Holder
A. Responsibility of License Holder
The construction permit (CP) holder assumes the responsibility to construct a nuclear installation as approved
The holder also assumes the responsibility to comply with the conditions imposed on the CP by the regulatory body
The operating license holder (OL) assumes the responsibility to operate a nuclear installation as approved
The holder also assumes the responsibility to comply with the conditions imposed on the OL by the regulatory body
The ultimate responsibility for the safety of a nuclear installation rests with the operating organization
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33. 2. Review of Legislative Requirements
B. Mechanism for regulatory body to ensure that license holder will meet its primary responsibility for safety
The installer of a nuclear installation shall undergo pre-operational inspections to verify that the nuclear installation is constructed as previously approved
After passing the inspections, the installer can commence operation
The operator of a nuclear installation shall undergo periodic inspections to assure that the performance of the nuclear installation maintains conformity with the technical standards as prescribed in the relevant provisions
If the installer or operator of a nuclear installation has failed to meet the permit or license conditions, the minister of MOST may order the revocation of the permit or license or the suspension of the business for a given period
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34. 3. Recommendation to Introduce the NPP
For the successful nuclear power program to introduce the NPP, our suggestion is to make every use of 'late-starter advantage': proven technology and approved system to operate it safely
High level of nuclear safety is not achieved solely by the operator because the operator has another objective to produce electricity and may face conflicting situation of safety versus production
It is noted that safety regulation and compliance with regulatory requirements shall not relieve the operator of the ultimate responsibility of nuclear safety
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35. 3. Recommendation to Introduce the NPP
3.1 Role of the Government
The government should ;
Establish a regulatory infrastructure at an early stage of its nuclear power program
Establish a regulatory body
enactment of legislation shall start in advance of construction of the first unit of nuclear power plant
The primary objectives of legislation to regulate the safety of nuclear power plants and related activities are ;
To provide the statutory basis for establishing such a regulatory body
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36. 3. Recommendation to Introduce the NPP
To provide the legal basis for ensuring that NPPs are sited, designed, constructed, commissioned, operated and decommissioned without undue radiological risks to the site personnel and to the public, and with proper regard to protecting the environment
To provide adequate financial indemnification for third parties in the event of a nuclear accident, in view of the potential magnitude of damage and injury which may arise from the accident
To provide the regulatory body with the power to establish and enforce the necessary regulations with respect to nuclear safety
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37. 3. Recommendation to Introduce the NPP
3.2 Responsibility of Regulatory Body
To establish a governmental emergency response system
To provide adequate funding for the proper operation of the regulatory body
The primary objective of the regulatory body is to ensure that the site personnel, the public and the environment are protected from any adverse effects arising from the operation and maintenance of nuclear power plants
Safety principles and criteria shall cover the following stages;
Siting, Design, Construction, Commissioning, Operation and
Decommissioning
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38. 3. Recommendation to Introduce the NPP
Safety principles and criteria to be prepared for the above stages shall include ;
Quality assurance
Emergency preparedness
Personnel qualifications and training
Inspection, testing and maintenance
Plant modifications
Land use and planning
Radiation protection
Environmental protection
Physical protection
Nuclear material control and accounting as related to safety
Handling and transportation of nuclear materials in licensed sites
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39. 3. Recommendation to Introduce the NPP
3.3 Requirements for Regulatory Body
Independent from the operator and from other governmental organizations
The regulatory body shall not be responsible for the promotion of nuclear power
Shall be independent from applicants/licensees, vendors and other related organizations
When the regulatory body is established within a greater governmental unit, it should be instituted as a functionally autonomous body within that greater unit and its independence in evaluating safety or environmental protection issues should not be compromised
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40. 3. Recommendation to Introduce the NPP
3.3 Requirements for Regulatory Body
The regulatory body shall have the statutory authority to ensure the effective performance of its responsibilities and functions including the authority ;
To communicate directly with higher level governmental authorities in all cases to exercise effective functions of the body
To cooperate with other governmental bodies such as health and safety, environmental protection and securities
To conclude agreements with other domestic governmental or non-governmental bodies and to delegate tasks to other organizations
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41. 3. Recommendation to Introduce the NPP
To maintain contact with foreign regulatory bodies and relevant international organizations
To enter any time the premises of any nuclear power plant licensed or under review
To issue mandatory directives to licensees when necessary to ensure nuclear safety
To obtain such documents and opinions from public or private organizations or persons as may be both necessary and appropriate
To carry out such responsibilities as stated above, the government should make arrangements for adequate funding so that the regulatory body can function effectively and independently
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42. 3. Recommendation to Introduce the NPP
Manpower requirement and technical competence ;
The regulatory body should have full time staff for performing these assessments or evaluating the adequacy of the assessments performed by consultants
The regulatory staff should possessing broad technical expertise for engineering judgement and nuclear health and safety skills, who are capable of assessing on an overall basis for the safety of a nuclear power plant
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43. 3. Recommendation to Introduce the NPP
3.4 Regulatory Functions
Regulatory body shall be engaged in performing the following functions ;
Reviewing and assessing safety information submitted by applicants and licensees
Issuing, amending or revoking licenses, approvals or permits
Carrying out regulatory inspections
Taking enforcement actions for violation of safety requirement
Ensuring the existence of appropriate emergency response capabilities
Ensuring that corrective actions are taken where unsafe or potentially unsafe conditions are detected
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44. 3. Recommendation to Introduce the NPP
Dealing with, and providing information to, other competent governmental bodies, international organizations and the public, if required
Ensuring that appropriate records are kept concerning ;
Radiation exposure of personnel, radioactive releases, waste management, unusual occurrences, fuel management, personnel, and plant construction and operating data
Establishing regulations and guides
Surveillance of appropriate qualification of site personnel responsible for the plant and its operation
International cooperation
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45. 3. Recommendation to Introduce the NPP
The regulatory body should make arrangements to ensure that other governmental bodies, national and international organizations and the general public are provided with adequate information on its regulatory philosophy, organization, procedures and decisions
These arrangements may involve:
Documents containing the legal basis for the establishment and operation of the regulatory body
Documents and announcements relating to proposed or effected licensing and enforcement actions
Periodic information on the activities of the regulatory body
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46. 3. Recommendation to Introduce the NPP
The regulatory body should make arrangements to ensure that other governmental bodies, national and international organizations and the general public be informed of ;
Accidents and other significant events
Decisions for the siting, construction, commissioning, operation and maintenance, or decommissioning of a nuclear power plant
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47. Thank you !
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