Independence of a Regulatory Body Regulatory Cooperation Forum (RCF) Plenary 2016, IAEA Independence of a Regulatory Body 30 September, 2016 Yutaka HARA Director of International Affairs Office, Nuclear Regulation Authority (NRA), Japan

Contents Independence of the regulatory body Situation of the regulatory framework in Japan Closing 1

1. Independence of the regulatory body

Why is “Independence of RB” Important ? “The primary reason for independence of the regulatory body is to ensure that regulatory decisions can be made and enforcement actions taken without pressure from interests that may conflict with safety.” “The credibility of the regulatory body in the eyes of the general public, whose health and safety it is the regulatory body’s responsibility to protect, depends in large part upon whether the regulatory body is considered to be independent in its decision making.” “Independence in regulatory decision making does not obviate the need　for accountability. …………….., it must be　accountable to government and　parliament as well as to the general public with　regard to effectively and efficiently fulfilling its mission to protect workers, the public and the environment from radiation hazards.” （ Reference ） INSAG-17 “Independence in regulatory decision making” 3

What is Independence of a Regulatory Body? In IAEA Safety Standards, GSR Part 1 “Establishment of a regulatory body” Requirement 3 “The government, through the legal system, shall establish and maintain a regulatory body, and shall confer on it the legal authority and provide it with the competence and the resources necessary to fulfil its statutory obligation for the regulatory control of facilities and activities”. Legal authority Competence Resources – financial and human Absence of undue pressure from interested Concrete Criteria 4

2. Situation of the regulatory framework in Japan

Start of Regulatory Framework in JAPAN 1956 Atomic Energy Commission (Secretariat: Science and Technology Agency) 　　AEC covered promotional issues and regulatory issues at that time During about 60 years Regulatory Framework in JAPAN had been changed and improved for several times Ex. Establishment of Nuclear Safety Commission in 1978 6

Change in Regulatory Framework in 2012 Structural defects before Fukushima Daiichi Accident Regulatory and promotional sections in the same ministry Different competent ministries for different types of facilities such as power reactors and research reactors “Double-checking” system made the regulatory responsibility rather ambiguous. Safety, security and safeguards under different jurisdictions AEC : Atomic Energy 　 　　　　　Commission METI : Ministry of Economy, 　　　　 Trade and Industry MEXT : Ministry of Education, Culture, Sports, Science 　　　　 and Technology NISA : Nuclear and Industrial Safety　Agency　　　 NSC : Nuclear Safety　 　　　　Commission Before 2012 NSC AEC Security 2nd Check Regulatory sections METI NISA Regulation on Commercial facilities Promotion of nuclear energy MEXT R&D of nuclear Regulation on RR, RI, Safeguards, Monitoring 7

Change in Regulatory Framework in 2012 New RB “Nuclear Regulatory Authority(NRA)” was established. Clear separation of regulation from promotion 　　　( Set under Ministry of Environment ) Integration of regulatory functions on all nuclear facilities and radiation sources. Integration of all nuclear regulatory functions; “3S”. safety 3S security safeguards Before 2012 regulatory regulatory promotional promotional NSC AEC NRA Safety, Security, Safeguards, RI, Monitoring, etc. AEC Ministry of Environment 2nd Check Security (abolished) METI METI NISA Regulation on Commercial facilities Promotion of nuclear energy (abolished) MEXT R&D of nuclear MEXT Regulation on RR, RI, Safeguards, Monitoring 8

How to Ensure Independence (Case of NRA, Japan) Legal authority Absence of undue pressure from interested Independent from promotional sections (External organization* of the Ministry of the Environment) * Article-3 Authority based on the Article 3, paragraph 2 of the National Government Organization Act Authority to issue ministerial ordinance for regulatory requirements, High transparency (Commission Meetings, meetings with stakeholders etc.) Implementation of the No-Return Rule (prohibiting the relocation of NRA personnel to administrative promotional organizations) Establishment of a special (Nuclear Safety Regulation Measures) category in the special accounts for energy policy measures. Development of training programs such as dedicated training on nuclear regulations for Nuclear Safety Inspector, etc. Competence Resources – financial and human 9

Good practices on section 1.2 IRRS Mission Report to Japan in 2016 Good practices on section 1.2 The prompt establishment of a legal and governmental framework supporting a new independent and transparent regulatory body with increased powers. NRA’s prompt and effective incorporation of lessons learnt from the TEPCO Fukushima Daiichi accident in the areas of natural hazards, severe accident management, emergency preparedness and backfitting of existing facilities, into the new regulatory framework. INTEGRATED REGULATORY REVIEW SERVICE (IRRS) MISSION TO JAPAN http://www.nsr.go.jp/data/000148261.pdf 10

3 Closing Japan has changed National Regulatory Framework to continuously improve Nuclear Regulation in Japan. We have realized highly independent Regulatory Body for Japanese nuclear regulation. NRA will strive to further enhance nuclear safety and security in Japan. Because Nuclear safety and security are the endless important issues. 11

Thank you for your attention. http://www.nsr.go.jp/english/index.html 12

APPENDIX 13

NRA’s Commissioners (Sep. 2016) Chairman Shunichi Tanaka Commissioner Toyoshi Fuketa Commissioner Satoru Tanaka Commissioner Akira Ishiwatari Commissioner Nobuhiko Ban 　 14

Organizational Chart of NRA Secretariat As of May , 2016 Secretariat of the NRA Number of staff: 968 (in quota), 923(real) Secretary-General Deputy Secretary-General Nuclear Regulation Department Secretary-General’s Secretariat Director-General Director-General for Emergency Response Nuclear Regulation Policy Planning Division Director-General for Technical Affairs Divisions of Regulation（7） *2 Director-General for Radiation Protection Strategy and Security Director-Generals (3) Policy Planning and Coordination Division - General affairs - Policy evaluation - Public affairs - International affairs Radiation Protection Department Emergency Preparedness / Response and Nuclear Security Division Personnel Division Counsellor for Budget and Accounting Regulatory Reform Office Radiation Monitoring Division Regulatory Standard and Research　Department Radiation Protection and Safeguards Division Regulatory Standard and Research Division Divisions of Research(4) *1 *1 The fields of Reactor System Safety; Severe Accident; Nuclear Fuel Cycle and Radioactive Waste; and Earthquake and Tsunami *2 The fields of BWRs; PWRs; Inspections of Nuclear Reactor Facilities; Advanced Reactors, Research Reactors, Decommissioning; Nuclear Fuel (Fabrication and Reprocessing) Facilities and Use of Nuclear Material; Radioactive Waste, Storage and Transport; and Earthquake and Tsunami NRA Human Resource Development Center 15

Structure of NPP Regulatory Legislation Mandatory Atomic Energy Basic Act Nuclear Reactor Regulation Act Cabinet Orders NRA Ordinances NRA Regulatory Guides Technical Documents Requirements Performance-based criteria Guides Show examples to satisfy the performance-based regulatory criteria Technical documents 16

NRA’s Public Information (1) For Ensuring Openness, The NRA thoroughly discloses regulatory information, as well as its decision-making process. The NRA takes videos of regular press briefings/meetings and posts them on web. The NRA also posts the distributed material and the minutes on web. (except classified information, e.g. nuclear security) Video Hosting Service http://www.youtube.com/user/NRAJapan http://ch.nicovideo.jp/nra niwango.inc 17

NRA’s Public Information (2) 　Regular press briefings NRA Chairman: Every Wednesday (once a week) NRA spokesperson (Director for Policy Planning and Coordination Division): Every Tuesday and Friday (twice a week) 　 The NRA Commission Meeting Every Wednesday (once a week) 　 The meeting of study team, Expert Meeting etc. 18