1. 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

4. 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

5. 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

6. 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

7. 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

8. 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

10. 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

11. 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

12. 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

13. 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-

14. 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

15. 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

16. 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
…..

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

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

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

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

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

22. 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

24. 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

25. 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

26. 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

27. 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

28. 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

29. IAEA Safety Guides

30. 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

32. 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

33. 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

34. 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.

35. 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

36. 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.

37. 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.

39. 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.

40. International Atomic Energy Agency
IAEA Headquarters in Vienna, Austria.
The IAEA was established in 1957.
…Thank you for your attention