IAEA - Department of Nuclear Safety & Security

IAEA - Department of Nuclear Safety & Security
School on Drafting Regulations Module 1.2 – Overview of IAEA safety standards IAEA - Department of Nuclear Safety & Security Division of Nuclear Installation Safety | Regulatory Activities Section

Contents Introduction Vision and Strategies General Safety Standards
Specific Safety Standards Conclusions Module 1.2 – Overview of IAEA safety standards 2014

1. Introduction 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.” In 1958, the IAEA published its first Safety standard, Safety Series No. 1, Safe Handling of Radioisotopes. Over the years, about 200 publications were issued in the Safety Series. 1958: the first IAEA Safety Standard 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. Module 1.2 – Overview of IAEA safety standards 2014

1. Introduction 1958 1961 1962 1965 SS No. 15 1988 1974 SS No. 15 1996 2006 2010 2013 Module 1.2 – Overview of IAEA safety standards 2014

CSS 1. Introduction Since 1958 1996
the IAEA Safety Standards have been progressively organised and better structured 1996 Establishment of the Department of NS and a harmonized processes involving the Commission and the four Committees (Nuclear, Radiation, Transport and Waste) CSS NUSSC RASSC TRANSSC WASSCC Commission on Safety Standards (CSS) Nuclear Safety Standards Committee (NUSSC) Radiation Safety Standards Committee (RASSC) Waste Safety Standards Committee (WASSC) Transport Safety Standards Committee (TRANSSC) Module 1.2 – Overview of IAEA safety standards 2014

SF GSG SSR SSG 1. Introduction Safety fundamentals Safety requirements
The structure of the safety standards reflects the ten Fundamental Safety Principles and the “Roadmap on the long-term structure of the safety standards” Safety requirements Requirements address what shall be done while the Guides will address how this may be achieved General Safety Requirements: Applicable to all facilities and activities Specific Safety Requirements: Applicable to specified facilities or activities Safety guides Provide guidance on how to implement safety requirements General or Specific Safety Guides Expressed as ‘should statements’ SF GSG SSR SSG Clear, logical and integrated structure The structure of the safety standards reflects the ten Fundamental Safety Principles and the “Roadmap on the long-term structure of the safety standards” of May 2008. SAFETY REQUIREMENTS. General Safety Requirements are complemented by a series of facility and activity specific Safety Requirements. Requirements should: Address all radiation exposure situations; Apply to any facility and activity2; and Take into account that safety and security measures must be designed and implemented in an integrated manner. The Requirements address what must be done while the Guides will address how this may be achieved. SAFETY GUIDES. Safety Guides implement several requirements and thus allow for the optimization of the whole set of guides. There should be one Safety Guide for each important theme, unless a justification is provided for the need for a separate Guide or if combining too many topics for a single theme would not be practicable. The preferred approach is to have “vertical guides” with guidance on all topics for each type of facility or activity (user approach), except for NPPs and research reactors, where this would not be practicable, considering the large number of topics to be covered. When the recommendations are applicable to NPPs, research reactors and fuel cycle facilities, a common Safety Guide is desirable, possibly with a graded approach for its implementation for the different types of installations (see SPESS Annex IV). ________________ 2 The term ‘facilities and activities’ — existing and new — encompasses any human activity that may cause people to be exposed to radiation risks arising from naturally occurring or artificial sources. Module 1.2 – Overview of IAEA safety standards 2014

1. Introduction Application of Safety Standards by Member States
Formally adopted Direct use of standards Used as reference for review of national standards and as benchmark for harmonization Safety Standards are Non binding on Member States but may be adopted by them Binding for IAEA’s own activities Binding on States in relation to operations assisted by the IAEA or States wishing to enter into project agreements with IAEA Module 1.2 – Overview of IAEA safety standards 2014

1. Introduction The fundamental safety objective is to protect people and the environment from harmful effects of ionizing radiation [SF-1] Protective Actions to Reduce Existing Or Unregulated Radiation Risks Emergency Preparedness and Response Prevention of Accidents Responsibility for Safety Role of Government Leadership and Management Justification of Facilities and Activities Optimization of Protection Limitation of Risks to Individuals Protection of Present and Future Generations Module 1.2 – Overview of IAEA safety standards 2014 8

Contents Introduction Vision and Strategy General Safety Requirements
Specific Safety Requirements Conclusions Module 1.2 – Overview of IAEA safety standards 2014

A GLOBAL REFERENCE FOR PROTECTING PEOPLE AND THE ENVIRONMENT
2. Vision and Strategy THE VISION - THE IAEA SAFETY STANDARDS: A GLOBAL REFERENCE FOR PROTECTING PEOPLE AND THE ENVIRONMENT An integrated, comprehensive and consistent set of up-to-date, user friendly and fit-for-purpose IAEA safety standards of a high quality. Using and applying the IAEA safety standards will provide for a worldwide harmonized high level of protection for people and the environment from harmful effects of ionizing radiation. On the occasion of the 50th anniversary of the Safety Standards in 2008, the vision for the IAEA Safety Standards was outlined as: A GLOBAL REFERENCE FOR PROTECTING PEOPLE AND THE ENVIRONMENT -The IAEA Safety Standards will constitute an integrated, comprehensive and consistent set of up-to-date, user friendly and fit-for-purpose body of standards of a high quality. -Using and applying the IAEA Safety Standards will provide for a worldwide harmonized high level of protection for people and the environment from harmful effects of ionizing radiation. Module 1.2 – Overview of IAEA safety standards 2014

2. Vision and Strategy Clear categories Clear, logical and integrated structure Clear scope Consensus at the highest level User friendliness Manageable number of safety standards Clarity, rigour and efficiency of the processes Involvement of stakeholders Effective feedback mechanisms Harmonized terminology Promotion of the IAEA safety standards Outlined by the CSS and Senior Regulators’ Meeting in 2008 In pursuit of the vision for the IAEA Safety Standards, in 2008, the CSS and the Senior Regulators outlined the following characteristics as essential: A. Clear categories B. Clear, logical and integrated structure C. Clear scope D. Consensus at the highest level E. User friendliness F. Manageable number of safety standards G. Clarity, rigour and efficiency of the processes H. Involvement of stakeholders I. Effective feedback mechanisms J. Harmonized terminology K. Promotion of the IAEA safety standards We will turn to these items in the following slides. Module 1.2 – Overview of IAEA safety standards 2014

2. Vision and Strategy 2. Clear, logical and integrated structure
Clear, logical and integrated structure (cont’d) Safety Requirements consist of overarching requirements, requirements on associated conditions and explanations of the concepts in the Safety Requirements. Safety Guides focus on recommendations on how the Requirements can be met. Safety Guides should clearly state: the types of facilities and activities considered the topics being comprehensively covered related requirements and how each of these requirements can be met other safety standards that have to be consulted. Safety standards should also highlight any interface with security measures and include reference to the related security guidance in the Nuclear Security Series. The format and style of the safety standards should be user friendly The Safety Requirements should be short to encourage their reading and use in Member States Concepts should be explained in the Safety Requirements so as to facilitate their interpretation for establishing national regulatory requirements Each overarching requirement should be allocated a number in sequence Associated conditions are referenced through the normal paragraph numbering system Revisions of Safety Guides will refer to these numbers Manageable number of safety standards OVER THE PAST TEN YEARS, 85 SAFETY STANDARDS HAVE BEEN PUBLISHED ERGO: 8-9 SAFETY STANDARDS CAN BE COMPLETED WITHIN ANY YEAR3 There is typically a ten year cycle for the revision of the standards, it is important to keep this factor in mind when deciding on a manageable number of Safety Guides. SPESS sets out the conditions under which new Safety guides may be started or existing Safety Guides may be revised. The set of Safety Requirements should be stabilized with General Safety Requirements in seven parts complemented by six specific Safety Requirements. The Safety Requirements will contain overarching requirements, which will help provide stability in regulatory approaches. For Safety Guides, responding to Member States’ needs and optimizing the number of Safety Guides will entail: -Limiting the number of Safety Guides in the thematic areas to those of a generic nature; -Developing Safety Guides in facility specific areas that cover the whole lifetime of the facility (site evaluation, design, commissioning, operation and decommissioning); -Identifying among the facility specific guides those that may be applicable to several types of facilities so as to avoid the establishment of guides addressing the same topical issue for different types of facilities/activities; -Including, wherever possible, additional topics as part of the revision of existing Safety Guides, rather than by developing new Safety Guides. New Safety Guides The need for additional topics to be addressed in Safety Guides should be justified by a gap identification. In most cases, it will be possible to address the additional need by expanding the scope of an existing guide at its next revision or through the production of addendum pages. Once it is confirmed that there is a gap to be filled, a proposal for the establishment of a new Safety Guide in the whole collection, together with a Document Preparation Profile (DPP) will be considered only if there is a justification for an urgent need. The prioritization of proposals for new safety guides or the revision of existing safety guides should be consistent with the main topics identified as priorities by the CSS at the beginning of each term. Module 1.2 – Overview of IAEA safety standards 2014

2. Vision and Strategy 3. Clear scope
Beyond Safety Standards Series publications, the IAEA publishes Safety Reports, books in the Nuclear Security Series and in the Nuclear Energy Series and TECDOCs Clear scope Beyond Safety Standards publications, IAEA publishes Safety Reports, books in the Nuclear Security Series and in the Nuclear Energy Series and TECDOCs; each series has its scope, namely: Publications in the Safety Reports Series may give practical examples and detailed methods to ensure observance of Safety Requirements or Safety Guides. Safety Reports may describe good practices but do not establish requirements or present recommendations; they do not contain prescriptive ‘shall’ nor ‘should’ statements. The Nuclear Security Series comprises Nuclear Security Fundamentals, which includes objectives and essential elements of a State’s nuclear security regime; Recommendations; Implementing Guides; and Technical Guidance. The Nuclear Energy Series of publications has an interface with the IAEA Safety Standards. However, IAEA Safety Standards should not be developed nor revised in NE series documents. TECDOCS are relevant if the lifetime of the publication is expected to be short, if the subject matter is tentative, of a limited interest, or if TECDOCS present a compilation to be used in future publications. Module 1.2 – Overview of IAEA safety standards 2014

2. Vision and Strategy 4. Consensus at the highest level
The Commission on Safety Standards and the Committees were established with the objective of achieving consensus, quality, coherence and consistency in the development of international standards for safety. IAEA safety standards are developed in close consultation with Member States and with representatives of relevant international organizations. Approval by the Board of Governors is required for Safety Fundamentals and Safety Requirements. The authority to establish Safety Guides has been delegated to the IAEA Director General. Consensus at the highest level The Commission on Safety Standards and the Committees were established with the objective of achieving consensus, quality, coherence and consistency in the development of international standards for safety. The Commission has a special overview role in the preparation and review of the IAEA safety standards. Consensus on what constitutes a high level of safety is reached at the highest level: IAEA safety standards are developed in close consultation with Member States (through their representatives in the Commission and Committees and the 120 day comment period) and with representatives of relevant international organizations. Approval by the Board of Governors is required for Safety Fundamentals and Safety Requirements. The authority to issue Safety Guides has been delegated to the IAEA Director General. Module 1.2 – Overview of IAEA safety standards 2014

Process Flow for the Development of IAEA Safety Standards SPESS
2. Vision and Strategy Outline and work plan Prepared by the Secretariat Review by the committees and Commission on Safety Standards Process Flow for the Development of IAEA Safety Standards SPESS Strategies and Processes for the Establishment of the IAEA Safety Standards SF and SRs approved by BoG SGs approved by DG Drafting or revising of safety standard by the Secretariat and consultants Review by the safety standards committee(s) Member States The objective of this document is to describe the strategies, the processes and associated responsibilities for the planning, development, review and revision, approval and establishment of the IAEA safety standards. The intent is to document and strengthen the process which started with the establishment of the Commission on Safety Standards and the Safety Standards Committees in 1996, in order to achieve by the end of 2015 and maintain beyond this time: A genuine integration of all areas in the Safety Standards Series, using a top-down approach based on the unified Safety Fundamentals; A rationalization of the Series with a reasonable and manageable number of Safety Guides; A significant improvement in ‘user-friendliness’; and A rigorous and efficient process for the establishment of additional standards and the revision of existing ones. It is expected that these factors cumulatively will result in a major change in the use and application of the safety standards in the Member States. Endorsement by Commission on Safety Standards Establishment by the IAEA’s Director General or BoG Publication Module 1.2 – Overview of IAEA safety standards 2014

Operating organizations
2. Vision and Strategy The principal users of safety standards are regulatory bodies and other relevant national authorities. The safety standards are also used by individuals, co-sponsoring organizations, organizations that design, manufacture and operate nuclear facilities, and organizations involved in the use of radiation related technologies Regulatory bodies Operating organizations State officials, Governments Health sector IAEA Safety Standards Manufacturers Vendors User friendliness The principal users of safety standards are regulatory bodies and other relevant national authorities. The safety standards are also used by co-sponsoring organizations, organizations that design, manufacture and operate nuclear facilities, and organizations involved in the use of radiation related technologies. The structure of safety standards should be such that the users may easily identify among the whole collection of safety standards those that are particularly applicable to the specific facility or activity they are dealing with. The format and style of the safety standards, particularly the Safety Requirements, should facilitate their use for the establishment of the regulatory framework in Member States. The structure and layout of the Safety Standards Series publications should be uniform. The level of safety reflected in a Safety Standards Series publication at the time of its issue is expected to remain adequate until its future revision. Terminology should be harmonized across the Series, especially bearing in mind further translation. TSOs Designers Module 1.2 – Overview of IAEA safety standards 2014

2. Vision and Strategy HARMONIZED TERMINOLOGY Drafters of safety and security related IAEA publications — particularly safety standards — should use terms as recommended by the IAEA Safety Glossary No individual glossary in individual publications. If a need to add or revise a definition of the IAEA Safety Glossary is identified through the development or revision of a safety standard, the proposal will be submitted to the review process and to the meeting of the four Chairs and if agreed, the Safety Glossary will be updated accordingly. Harmonized terminology Drafters of safety and security related IAEA publications — particularly safety standards — should, as far as possible, use terms as recommended by the Safety Glossary. Unless otherwise justified and accepted through the review process, there should be no individual glossary in individual publications. If a need to add or revise a definition of the IAEA Safety Glossary is identified through the development or revision of a safety standard, the proposal will be submitted to the review process and to the meeting of the four Chairs and if agreed, the Safety Glossary will be updated accordingly and the agreed definition will then be included in the new/revised safety standard as well as in a revision of the Safety Glossary. Module 1.2 – Overview of IAEA safety standards 2014

Contents Introduction Vision and Strategies
General Safety Requirements Specific Safety Requirements Conclusion Module 1.2 – Overview of IAEA safety standards 2014

3. General Safety Requirements
GSR part 1 Governmental Legal and Regulatory Framework for Safety Covers all phases of the lifetime of facilities and duration of activities until release from regulatory control 3 major areas covered with 36 Requirements Responsibilities and Functions of the Government (13) The Global Safety Regime (2) Responsibilities and Functions of the Regulatory Body (21 At safety requirement level, GSR part 1 is the most relevant publication regarding communication, consultation, transparency and other issues related to the need to meaningfully informed the public and the other interested parties SLIDE Module 1.2 – Overview of IAEA safety standards 2014

GSR Part 1 - Responsibilities and Functions of the Government National policy and strategy for safety Establishment of a framework for safety Establishment of an independent regulatory body Prime responsibility for safety… GSR Part 1 - Global Safety Regime International obligations and arrangements for international cooperation Sharing of operating experience and regulatory experience GSR Part 1 - Responsibilities and functions of the Regulatory Body Organization; resources; staffing; competence; management Independence in the performance of regulatory functions Management of adequate records relating to safety Stability and consistency of regulatory control Regulatory functions, etc. Module 1.2 – Overview of IAEA safety standards 2014

GS-R-3 The Management System for Facilities and Activities Requirements for establishing, implementing, assessing and continually improving a management system that integrates safety, health, environmental, security quality and economic elements to ensure that safety is properly taken into account in all activities of an organization At safety requirement level, GSR part 1 is the most relevant publication regarding communication, consultation, transparency and other issues related to the need to meaningfully informed the public and the other interested parties SLIDE Module 1.2 – Overview of IAEA safety standards 2014

GS-R-3 Management system: General requirements for the management system, including those relating to safety culture, grading and documentation Management responsibility: Responsibilities of senior management for the development and implementation of a management system Resource management Process implementation: Processes of the organization ⎯ specification, development and management, including the generic processes of the management system Measurement, assessment and improvement: measuring, assessing and improving the management system Module 1.2 – Overview of IAEA safety standards 2014

GSR Part 4 Safety assessment for facilities and activities Defence in depth, quantitative analyses and the application of a graded approach to the ranges of facilities and of activities that are addressed Address the independent verification of the safety assessment that needs to be carried out by the originators and users of the safety assessment Module 1.2 – Overview of IAEA safety standards 2014

GSR Part 4 BASIS FOR REQUIRING A SAFETY ASSESSMENT Basis for requiring a safety assessment to be carried out, derived from SF-1 GRADED APPROACH to implementation of the requirements for safety assessment for different facilities and activities. SAFETY ASSESSMENT Overall requirements for a safety assessment and specific requirements that relate to the assessment of features relevant to safety Requirements to address: defence in depth and safety margins, to perform safety analysis, to document the safety assessment and to carry out an independent verification MANAGEMENT AND MAINTENANCE OF THE SAFETY ASSESSMENT Module 1.2 – Overview of IAEA safety standards 2014

Contents Introduction Vision and Strategies
General Safety Requirements Specific Safety Requirements Conclusion Module 1.2 – Overview of IAEA safety standards 2014

4. Specific Safety Requirements
SSR-2/1 Design requirements for the structures, systems and components of a nuclear power plant and procedures and organizational processes important to safety Module 1.2 – Overview of IAEA safety standards 2014

SSR-2/1 Objective, safety principles and concepts that form the basis for deriving the safety function requirements as well as the safety design criteria. Requirements to be satisfied by the designer in the management of safety in the design process. Principal technical design criteria for safety, including for the fundamental safety functions, the application of defence in depth provision for construction, interfaces of safety with nuclear security and with the State system of accounting for, and control of, nuclear material, ensuring that radiation risks arising from the plant are maintained as low as reasonably achievable Module 1.2 – Overview of IAEA safety standards 2014

SSR-2/1 Requirements for: General plant design that supplement the requirements for principal technical design criteria to ensure that safety objectives are met and the safety principles are applied. General plant design apply to all items (i.e. structures, systems and components) important to safety. the design of specific plant systems such as the reactor core, reactor coolant systems, containment system, and instrumentation and control systems. Module 1.2 – Overview of IAEA safety standards 2014

SSR 2/2 Requirements to satisfy to ensure the safe operation of nuclear power plants Module 1.2 – Overview of IAEA safety standards 2014

SSR-2/2 Safety objective and safety principles, which form the basis for requirements to be met in the operation of a NPP Requirements to be applied for the management and organizational structure of the operating organization. Requirements for the management of operational safety operational safety programmes. plant commissioning. plant operations maintenance, testing, surveillance and inspection. preparation for decommissioning Module 1.2 – Overview of IAEA safety standards 2014

Basis for safety and for safety assessment of a research reactor (NS-R-4) a nuclear fuel cycle facility (NS-R-5) Transport (SSR-6) Module 1.2 – Overview of IAEA safety standards 2014

A global reference for protecting people and the environment
6. Conclusion IAEA SAFETY STANDARDS A global reference for protecting people and the environment Vision and strategies established to establish and maintain them in logical manner from the fundamentals Principal users are regulatory bodies and other relevant national authorities Basis to the develop a sound regulatory framework IAEA requirements can be considered to establish regulations and safety guides Module 1.2 – Overview of IAEA safety standards 2014

Thank you for your attention
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