Licensing Process of Nuclear Installations

IAEA International Atomic Energy Agency

ANNuR Regional workshop on legislation and regulation | 04-09-2013

Establishment of the safety

infrastructure for a Nuclear Power

Programme, including the regulatory

framework

Jean-René JUBIN

IAEA - RAS/NSNI

Content

1. Safety Infrastructure

2. Establishing a Safety Infrastructure

3. Foundation of safety infrastructure

4. Regulatory framework

5. Global Safety Framework

6. Conclusion

JR JUBIN | 2013 2

1. Safety Infrastructure |1

• Considerations to launch a nuclear power

programme

• Unlike many large industrial projects, a nuclear power

project (NPP) involves certain unique characteristics

related to, inter alia:

nuclear safety and security

Long-term waste management

non proliferation

public trust

• The decision implies a commitment at national and international

levels (at least “100 years +”)

• Requires in particular the establishment of an appropriate and

comprehensive governmental, legal and regulatory framework

and safety infrastructure

JR JUBIN | 2013 3


• Ensuring safety

• A commitment to launch a NPP inherently implies a commitment to a strong

nuclear safety infrastructure

• An enabling condition for a sustainable and successful NP programme

• Permeates all activities relevant to NP programme; an integral part of all

infrastructure issues

• Embarking on a NPP requires to be joining the Global Nuclear

Safety Regime and committing to its components

• National responsibility, but their consequences are increasingly global

JR JUBIN | 2013 4

“…Radioactive cloud does not respect national

boundaries, or national sovereignties. Rules ensuring the

safe use of large-scale nuclear activities should therefore

be worked out internationally and accepted to apply

everywhere….”

Hans Blix, former IAEA Director General


• Objectives of the safety infrastructure

• To ensure that nuclear facilities, nuclear materials

and any other radioactive materials are handled and

operated SAFELY and SECURELY in full compliance

with the regulatory requirements to achieve the

fundamental safety and security objectives

• To ensure confidence building in the use of nuclear

power at national and international levels

JR JUBIN | 2013 5


JR JUBIN | 2013 6

Nuclear Safety Infrastructure is the set of

- institutional

- organizational

- technical

elements and conditions established in a Member

State to provide a sound foundation for ensuring a

sustainable high level of nuclear safety (International

Nuclear SAfety Group)

Due to the importance of safety, those elements have

requirements to comply with, requirements stated in

the IAEA Safety Standards

IAEA Safety

Standards

National

Infrastructure for

nuclear power

Nuclear Safety

Infrastructure


JR JUBIN | 2013 7

Content






6. Conclusion

JR JUBIN | 2013 8

2. Establishing a Safety Infrastructure |1

Establishing a safety infrastructure

JUBIN | 2013 9

Phase 1

Safety

infrastructure

before deciding

to launch a

nuclear power

programme

Safety infrastructure

during decommissioning

and waste management

phases of a NPP

Phase 5

20~100+ years ~9 years

Phase 4

Safety

infrastructure

during the

operation phase

of a NPP

40~60 years

Safety

infrastructure

during

preparatory

work for

construction of

a NPP

Phase 2

~4 years

Positive

decision

The safety-related elements of the

rationale for the negative decision have

to be clearly identified and stated.

Negative

decision

~2 years

Safety

infrastructure

during

implementation/

construction of

the first NPP

Phase 3

A systematic programme has to be implemented for developing or upgrading the national nuclear safety infrastructure progressively to ensure meeting the safety requirements at each phase and also for being prepared for the subsequent phases

Phases and Milestones in a NPP [INSAG 22 & Milestones Document (NG-G-3.1)]

JR JUBIN | 2013 10

Phase 1 Phase 2

Contract

Application for

construction license

First concrete

Bid

assessmen

t

Prep

aration

of safety

do

cum

entatio

n

Rev

iew an

d A

ssessmen

t

by th

e regulato

ry bo

dy

Co

nstru

ction

ph

ase

Issuance of the

nuclear law

Issuance of

requirements

needed for bid

specification

Bid

prep

aration

Estab

lishin

g the b

asic

regulato

ry framew

ork

Site p

reparatio

n

Fuel delivery

Issuance of the

construction licence

Phase 3

~ 2 years ~ 4 years ~ 9 years

Initial site

studies

Feasibility

study

M2

Ready to make a

knowledgeable decision

M1

Ready to

commission

M3

Ready to

invite bids

M2

Ready to make a knowledgeable

commitment to a nuclear programme

M1

Ready to commission and

operate the first NPP

M3

Nu

cle

ar p

ow

er o

ptio

n in

clu

ded

with

in n

atio

nal e

nerg

y stra

teg

y


• Why a safety guide?

• Existing IAEA SSs were providing all requirements that should be meet for

establishment of an adequate and effective nuclear

infrastructure, BUT guidance was missing on how

this should be established progressively in different phases of

implementation of a nuclear power project

they will identify their needs in a timely manner

• Number of embarking countries requested guidance on:

Which elements of a nuclear safety infrastructure that they will need for

ensuring safety in different phases of implementation of a NPP

What & when they should do for progressive establishment of an

nuclear safety infrastructure defined in relevant SSs

Work started in 2008, completed in 2011

JR JUBIN | 2013 11


• The main 3 roles of SSG-16

JR JUBIN | 2013 12

1. Road-map to gradually apply the IAEA Safety Standards

2. Self Assessment and Safety Review Services

3. Training framework for embarking countries


The central role

of SSG-16

JR JUBIN | 2013 13

IAEA SAFETY STANDARDS

GUIDES

REQUIREMENTS

FUNDAMENTALS

Relation with the Safety Requirements

SSG-16 = 20 Safety Elements = 200 Actions

JR JUBIN | 2013 14

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

GSR Part 3

GSR Part 5

GS-R-2

NS-R-3

GS-R-3

GSR Part 4

WS-R-5

TS-R-1 Establishing a Safety Infrastructure

for a national nuclear power programme

in compliance with the IAEA Safety Requirements

SSR 2/2

SSR 2/1

Content






6. Conclusion

JR JUBIN | 2013 15

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3. Foundation of safety infrastructure |1

JR JUBIN | 2013 16

Extract from DG’s 2008 General Conference speech:

“Every country has the right to introduce nuclear power, as

well as the responsibility to do it right.”

Responsibility

for

Safety

Role of

Government

Leadership

and

Management

for Safety

Justification of

Facilities and

Activities

Optimization

of Protection

Limitation of

Risks to

Individuals

Protection of

Present and

Future

Generations

Protective

Actions to

Reduce Existing

Or Unregulated

Radiation Risks

Prevention

of Accidents

Emergency

Preparedness

and Response “To protect people and the environment from harmful effects of ionizing radiation”


Principle 1: Responsibility for safety

The prime responsibility for safety must rest with the person or

organization responsible for facilities and activities that give rise to

radiation risks.

JR JUBIN | 2013 17

The licensee retains the prime responsibility for safety throughout

the lifetime of facilities and activities, and this responsibility cannot be

delegated

− Establishing and maintaining the necessary competences

− Providing adequate training and information

− Establishing procedures and arrangements to maintain safety under all conditions

− Verifying appropriate design and the adequate quality of facilities and activities and of their associated equipment

− Ensuring the safe control of all radioactive material that is used, produced, stored or transported

− Ensuring the safe management of all radioactive waste that is generated


Principle 2: Role of government

An effective legal and governmental framework for safety, including an

independent regulatory body, must be established and maintained

JR JUBIN | 2013 18

- To adopt legislation, regulations, and other standards and

measures that are necessary to fulfil all its national responsibilities

and international obligations effectively,

- To establish an independent regulatory body.

- To ensure that arrangements are made for preparing programmes

of actions to reduce radiation risks, including actions in

emergencies, for monitoring releases of radioactive substances to

the environment and for disposing of radioactive waste.


Principle 3: Leadership and management for safety

Effective leadership and management for safety must be established and sustained in

organizations concerned with, and facilities and activities that give rise to, radiation risks.

JR JUBIN | 2013 19

- Leadership in safety matters has to be demonstrated at the highest levels in an

organization.

- Safety has to be achieved and maintained by means of an effective management

system. This system has to integrate all elements of management so that

requirements for safety are established and applied coherently with other

requirements, including those for human performance, quality and security, and

so that safety is not compromised by other requirements or demands.

- The management system also has to ensure the promotion of a safety culture,

the regular assessment of safety performance and the application of lessons

learned from experience.

- A safety culture that governs the attitudes and behaviour in relation to safety of

all organizations and individuals concerned must be integrated in the

management system.


Principle 4: Justification of facilities and activities

Facilities and activities that give rise to radiation risks must yield an overall

benefit.

JR JUBIN | 2013 20

- For facilities and activities to be considered justified, the benefits

that they yield must outweigh the radiation risks to which they give

rise. For the purposes of assessing benefit and risk, all significant

consequences of the operation of facilities and the conduct of

activities have to be taken into account.

- In many cases, decisions relating to benefit and risk are taken at

the highest levels of government, such as a decision by a State to

embark on a nuclear power programme. In other cases, the

regulatory body may determine whether proposed facilities and

activities are justified.


• Content

• Responsibilities and

functions of the

government

• The global safety regime

• Responsibilities and

functions of the regulatory

body

JR JUBIN | 2013 21

Relevant IAEA Safety Standards


• Relevant IAEA Safety Standards

JR JUBIN | 2013 22


• Main principles concerning National Policy and

Strategy for Safety /1

• The decision to embark on a nuclear power programme has to

come from the government; decisions relating to benefit and risk are

taken at the highest levels of government, such as a decision by a

State to embark on a nuclear power programme and to be based on

full understanding and knowledge

• The prime importance of safety has to be reflected in policy decision

documents

• The national policy has to emphasize the effective transfer of

knowledge and competence in safety to the State

• Leadership & Management for safety have to be promoted

JR JUBIN | 2013 23


• Main principles concerning National Policy and

Strategy for Safety /2

• The prime responsibility for safety has to be assigned to the

prospective licensee, and the government has to establish and

maintain an effective governmental, legal and regulatory framework

to support and to ensure a high level of safety

• The prime responsibility for safety has not to be able to be

delegated or outsourced; it has to be discharged by the licensee

through leadership, adequate funding, sufficient expertise and legal

responsibility

• Due diligence has to be shown for participation in the relevant

international arrangements and legal instruments

JR JUBIN | 2013 24


• Role and responsibilities of the Government

JR JUBIN | 2013 25

Involvement of the Government

Involvement of the Regulatory Body

Involvement of the Operating Organization

Ready to

invite bids



Ready to make a knowledgeable

decision on whether or not to introduce

nuclear power

Phase 1 Phase 2 Phase 3

establishment

establishment

3~7 years

- The Government to establish a project organization that is given an explicit

governmental mandate to perform most of the tasks assigned to it in SSG-16:

‘governmental project management organization’ or ‘nuclear energy

programme implementing organization’ (NEPIO)

- The Government is responsible to make the decision to go or not to Nuclear


• Government responsibilities /1

• To establish a national policy and strategy for safety

• To take decisions relating to benefit and risk to embark on a nuclear

power programme

• To establish and maintain appropriate governmental, legal, and

regulatory framework for safety – that clearly allocates

responsibilities

• To establish effectively independent regulatory body

• To assign prime responsibility of safety to the organization

responsible for the activity – Responsibility cannot be delegated

• To ensure effective coordination between governmental

organizations

• To make provisions for emergency preparedness

JR JUBIN | 2013 26


• Government responsibilities /2

• To make provisions for safe decommissioning of facilities;

management and disposal of radioactive waste; and management

of spent fuel

• To make provisions for building and maintaining competence of all

parties having responsibilities for safety

• To make provisions for technical services related to safety such as

personal dosimetry and environmental monitoring

• To ensure arrangements established for interfaces of safety with

nuclear security and with State system of accounting for and control

of nuclear material

• To ensure arrangements established for Financial Liability

• To fulfil its respective international obligations and participate in the

relevant international arrangements.

JR JUBIN | 2013 27


• How to achieve safety goals?

JR JUBIN | 2013 28

Phase 1 Phase 2 Phase 3

~ 2 years ~ 4 years ~ 9 years

M2

Ready to

invite bids Ready to make a knowledgeable

commitment to a nuclear programme

M1



M3

Establishing a Regulatory Framework and

Safety Infrastructure

Adoption of a comprehensive nuclear law


JR JUBIN | 2013 29

ACTION Nº 20 & 21

“Identify elements … plan structure & dev.”

Assessment of

legislative

framework

Stakeholder input

ACTION Nº 22

“Enact & implement”

ACTION Nº 23

“Fully in place & compliance”

Phase 1

Phase 2

Phase 3

Phase 4

Promulgation

of final law

Further legislative

consideration

M1 M2 M3 29

Initial drafting

1st review of initial

draft

Legislative oversight

Legislative Process

for Nuclear Law: in

the context of the 3

Phases of an NPP


• Nuclear Law in general: Substantive elements /1

• National Institutional Framework

• Responsibilities of the organizations

• National regulatory and licensing system for nuclear energy activities

(authorisation, inspection and enforcement)

• Main provisions and principles concerning:

• Radiation Protection

• Safety of Nuclear Facilities

• Transport of Radioactive Material

• Emergency Preparedness and Response

• Mining and Milling of Radioactive Ores

• Radioactive Waste and Spent Fuel management

• Decommissioning

JR JUBIN | 2013 30


• Nuclear Law in general: Substantive elements /2

• Safety and Security of Radioactive Sources

• Physical Protection

• Civil Liability for Nuclear Damage

• Import/export of Nuclear Material

• Safeguards and non-Proliferation

JR JUBIN | 2013 31

Content






6. Conclusion

JR JUBIN | 2013 32

4. Regulatory framework |1

• The framework shall set out

1. The establishment of an effective and independent regulatory body

2. The safety principles for protecting people, society and the environment

from radiation risks, both at present and in the future

3. The types of facilities and activities that are included within the scope of the

framework for safety

4. The type of authorization that is required for the operation of facilities and

for the conduct of activities

5. Provision for assigning legal responsibility for safety to the persons or

organizations responsible for the facilities and activities, and for ensuring

the continuity of responsibility where activities are carried out by several

persons or organizations successively

6. Provision for the involvement of interested parties and for their input to

decision making

JR JUBIN | 2013 33


…

7. Provision for the review and assessment and inspections of facilities and activities

8. Provision for appeals against decisions of the regulatory body

9. Responsibilities and obligations in respect of financial provision for the management of

radioactive waste and of spent fuel, and for decommissioning of facilities and termination

of activities

10. The criteria for release from regulatory control

11. The specification of offences and the corresponding penalties

12. Provision for acquiring and maintaining the necessary competence nationally for ensuring

safety

13. Provision for preparedness for, and response to, a nuclear or radiological emergency

14. Provision for an interface with nuclear security

15. Provision for an interface with the system of accounting for, and control of, nuclear

material

JR JUBIN | 2013 34


• Responsibilities and functions of the regulatory

body

• Establish, promote or adopt regulations and guides

• Review and assess the operator’s submissions (prior to

authorization, periodically)

• Issues, amend, suspend or revoke authorization with

conditions

• Perform regulatory inspections

• Require corrective actions if unsafe conditions occurred

• Take enforcement actions if safety conditions were

violated

JR JUBIN | 2013 35


Regulatory independence /1

“Independence in the regulatory decision making and its implemention”.

• Need to ensure that regulatory judgments can be made, and regulatory decisions and enforcement actions taken, without pressure or influence from interests that may conflict with safety.

• Aspects/Elements of regulatory independence

Political

Legislative

Financial

Competence

Communication with interested parties (public …) JR JUBIN | 2013 36


Regulatory independence /2

• Financial considerations

• Adequate and stable financing for all regulatory activities

and their scientific and technical support is fundamental

to the independence

• Financing mechanism clearly defined in the legal framework

• The budget for the RB should not

not depend on fines collected from licensees;

not be decided by or be subject to the approval of those parts of the government

which are responsible for exploiting or promoting nuclear technologies;

• Within the limit on its total budget, the regulatory body needs to

have a high degree of independence in deciding how the budget is

to be distributed between its various regulatory activities for the

greatest effectiveness and efficiency JR JUBIN | 2013

37

38


Basic mission of nuclear safety -regulatory authority

Effective protection of the public health and safety, security and of the environment.

Content






6. Conclusion

JR JUBIN | 2013 39

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5. Global Safety Framework |1

• The government shall:

• fulfil the relevant international

obligations,

• participate in relevant international

arrangements, including

international peer reviews, and

• promote appropriate international

cooperation to enhance safety

globally

• The regulatory body shall make

arrangements:

• for analysis of operating experience

and regulatory experience, including

experience in other States, and

• for the dissemination of the lessons

learned.

JR JUBIN | 2013 40

6. Global Safety Framework |2

• 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 (CNS)

• 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

JR JUBIN | 2013 41

7. Conclusion |1

• The highest priority in all activities relevant to nuclear

power programme should be given to the safety

• An effective Legal and Regulatory Framework is essential

to ensure the achievement of the safety in nuclear facilities

and activities

• An effective, competent and independent regulatory body is

the key element of a well-functioning regulatory system

JR JUBIN | 2013 42

IAEA International Atomic Energy Agency

Thank you

Documents

Licensing Process of Nuclear Installations