USNRC IRRS TRAINING Lecture 14 Reviewing Authorization, Inspection and Enforcement Functions of the Regulatory Body (IRRS Modules 5, 7 and 8)

Outline Learning objectives Introduction Authorization Inspection Enforcement USNRC IRRS Training - Reviewing Authorization, Inspection and Enforcement Functions of the Regulatory Body

Learning objectives After finishing this lecture the trainee will: Get understanding about the contents to be reviewed in the scope of the IRRS Modules 5, 7 and 8 Understand that the review should address authorizations in different stages of the nuclear facility like nuclear power plants. Understands that as authorizations, review and assessment and inspections are interconnected, their respective review during IRRS also need coordination. Understand the concept of graded approach in authorization, inspection and enforcement. USNRC IRRS Training - Reviewing Authorization, Inspection and Enforcement Functions of the Regulatory Body

Learning objectives After finishing this lecture the trainee will: Understand the generic and specific requirements related to authorization and inspection for specific types of facilities. Understand how to review different types of inspections. Understand how to review the inspection programme of the regulatory body. Understand how to review the enforcement policy. USNRC IRRS Training - Reviewing Authorization, Inspection and Enforcement Functions of the Regulatory Body 4

Introduction This Training Lecture covers three IRRS Modules: Module 5: Authorization Module 7: Inspection Module 8: Enforcement

Complexity of these IRRS modules Complexity of the review depends on complexity of the nuclear programme in the country Each module has its core part (left) and subchapters depending on types of activities or facilities (right) Nuclear power plants are so reviewed together with the general process reviews

Hints about the following slides There is a line under the title with the GSR Par 1 Requirement number looking like this: GSR Part 1, Requirement 7; In 2006-2011 referenced 11 times. This is the number of references to that Requirement by IRRS missions to nuclear countries between 2006 and 2011. Indicates the practical importance of that Requirement. Some slides have the following title: Recommendation of Experienced Reviewers Give particular attention to: Those slides list the most important issues, that have been recognized as such by experienced IRRS reviewers during a series of Consultancies in 2012. USNRC IRRS Training - Reviewing Authorization, Inspection and Enforcement Functions of the Regulatory Body 7

Review Methods – short reminder Review Methods are explained in detail in Training Lecture 10 – Methodology of review Summary: Three basic methods to acquire sufficient information for an objective review are: A review of written material. Interviews with personnel and other officials. Direct observation of regula- tory body activities in the office and at facilities. USNRC IRRS Training - Reviewing Authorization, Inspection and Enforcement Functions of the Regulatory Body

Review is assisted by Report Template As presented in Training Lecture 7 – Report writing the Standard Mission report Template gives guidance and assistance in the interviews and in writing the report USNRC IRRS Training - Reviewing Authorization, Inspection and Enforcement Functions of the Regulatory Body

IRRS Module 5: Authorization USNRC IRRS Training - Reviewing Authorization, Inspection and Enforcement Functions of the Regulatory Body 10

Authorization GSR Part 1, Requirements 23 & 24 In 2006-2011 referenced 12 & 67 times respectively. Authorization by the regulatory body shall be a prerequisite for all facilities and activities. The applicant shall be required to submit an adequate demonstration of safety. 11

Types of authorizations Different types for different stages: site evaluation, design, construction, commissioning, operation, shutdown, decommissioning ... Authorizations for different activities: operation, maintenance, engineering activities ... USNRC IRRS Training - Reviewing Authorization, Inspection and Enforcement Functions of the Regulatory Body

Authorization process License amendment, renewal, revocation Independent verification of the safety assessment and traceability of decisions Requirements reflecting graded approach Clear criteria, requirements, safety objectives and independent assessment USNRC IRRS Training - Reviewing Authorization, Inspection and Enforcement Functions of the Regulatory Body

Recommendation of Experienced Reviewers Give particular attention to: Coordinate with Modules 3 & 4: Clearly defined roles of stakeholders (government, regulatory body, other regulators ...) Competence available to regulatory body Interfaces with others involved in licensing [The license applicant, advisory boards, Technical Support Organizations (rules applied to avoid conflict of interest), public, etc.] USNRC IRRS Training - Reviewing Authorization, Inspection and Enforcement Functions of the Regulatory Body 14

Examples (Req. 23)

Examples (Req. 24)

Facilities and activities For each facility or activity check the situation with respect to standards mentioned on following pages For NPPs the scope of the review is usually quite standard and similar in different countries. For other facilities the scope of the review could be very broad and different from each other. 17

Authorization of nuclear power plants Standards: SSR-2/1 Design, SSR-2/2 Commissioning and Operation, NS-R-3 Site Evaluation, SSG-12 Licensing Process Recommendation of Experienced Reviewers Give particular attention to: Application for authorization Definition of the safety case Documentation of the licensing basis Ageing management 18

Authorization of research reactors For titles and description of standards see IRRS Training Lecture No. 17! Standards: NS-R-4, CoC Research Reactors, NS-R-3, SSG-12 Recommendation of Experienced Reviewers Give particular attention to: Ageing management Safety committees, lines of authority and communications Influence on DBA by experiments and experimental devices Role of the reactor manager Licensing of personnel USNRC IRRS Training - Reviewing Authorization, Inspection and Enforcement Functions of the Regulatory Body 19

Authorization of fuel cycle facilities Standards: NS-R-5, NS-R-3, SSG-12, SSG-5, SSG-6, SSG-7, SSG-15 Describe specific authorization requirements for facilities available in the host country. FCF’s: processing, refining, conversion, enrichment, fabrication of UOX and MOX fuel, SF storage, SF reprocessing, fuel cycle research and development installations USNRC IRRS Training - Reviewing Authorization, Inspection and Enforcement Functions of the Regulatory Body 20

Examples Research reactor: Fuel cycle facility:

IRRS Module 7 Inspection 22

Inspections GSR Part 1, Requirement 27; In 2006-2011 referenced 31 times. The regulatory body shall carry out inspections of facilities and activities. Inspections shall verify that the authorized party is in compliance with the regulatory requirements and with the conditions specified in the authorization USNRC IRRS Training - Reviewing Authorization, Inspection and Enforcement Functions of the Regulatory Body 23

Types of inspections GSR Part 1, Requirement 28; In 2006-2011 referenced 3 times. There shall be programmed inspections and reactive inspections; both announced and unannounced. Regulatory Body should develop and implement a programme of inspections. Inspections shall cover all areas of responsibility of the regulatory body USNRC IRRS Training - Reviewing Authorization, Inspection and Enforcement Functions of the Regulatory Body 24

Graded approach GSR Part 1, Requirement 29; In 2006-2011 referenced 31 times. Inspections of facilities and activities shall be commensurate with the radiation risks associated – graded approach. USNRC IRRS Training - Reviewing Authorization, Inspection and Enforcement Functions of the Regulatory Body 25

Recommendation of Experienced Reviewers Give particular attention to: Inspection methods (reviews, interviews, walk downs, observation of activities) Reporting the results Planning of inspections Use of third party for the inspection (TSO, inspection organizations, consultants) Joint inspections with other regulators, sharing of inspection results with other regulators Interfaces with authorization, review and assessment and enforcement USNRC IRRS Training - Reviewing Authorization, Inspection and Enforcement Functions of the Regulatory Body 26

Recommendation of Experienced Reviewers Give particular attention to: Follow up and closure of corrective actions Manpower available, qualification and training of inspectors Resident/site inspectors Authority of inspectors Use of inspection feedback in the regulatory process 27

Example (Req. 27)

Examples (Req. 28 and 29)

Example (Req. 29)

Inspection of facilities Base the review on the following standards NPPs: GS-G-1.3 Regulatory Inspection of Nuclear Facilities and Enforcement by the Regulatory Body Research Reactors: NS-R-4 Safety of Research Reactors Fuel Cycle Facilities: NS-R-5, SSG-5, SSG-6, SSG-7, SSG-15 Waste Management Facilities: GSR Part 5, SSR-5, WS-G-2.5, WS-G-2.6, WS-G-2.7, WS-G-6.1, SSG-1, SSG-14, SSG-15, GS-G-3.4 USNRC IRRS Training - Reviewing Authorization, Inspection and Enforcement Functions of the Regulatory Body 31

IRRS Module 8 Enforcement 32

Enforcement Policy GSR Part 1, Requirements 30 & 31; In 2006-2011 referenced 8 & 24 times, resp. The regulatory body shall establish and implement an enforcement policy for responding to non-compliance by authorized parties In the event that risks are identified, the regulatory body shall require corrective actions to be taken. 33

Enforcement Policy Criteria for corrective actions, should be established. Enforcement actions may include recorded verbal or written notification, written warnings, penalties and revocation of the authorization. Prosecution may follow in cases where the authorized party does not cooperate USNRC IRRS Training - Reviewing Authorization, Inspection and Enforcement Functions of the Regulatory Body 34

Recommendation of Experienced Reviewers Give particular attention to: Graded approach Enforcement tools and powers clearly defined in the legislation From enforcement to prosecution Safety culture aspects Possibility for the licensee to appeal Interface with authorizations, review and assessment and inspections USNRC IRRS Training - Reviewing Authorization, Inspection and Enforcement Functions of the Regulatory Body 35

Recommendation of Experienced Reviewers Give particular attention to: Transparency and openness Guidance, criteria and examples for different enforcement tools Training of inspectors on the enforcement 36

Examples

Summary (1) When reviewing Authorization focus should be on: Checking that authorization is a prerequisite for any nuclear safety related activity Different types of authorizations Authorization process Facility related authorizations USNRC IRRS Training - Reviewing Authorization, Inspection and Enforcement Functions of the Regulatory Body

Summary (2) When reviewing Inspection focus should be on: Verification that authorized party is in compliance with regulatory requirements Different types of inspections Graded approach Facility related inspections USNRC IRRS Training - Reviewing Authorization, Inspection and Enforcement Functions of the Regulatory Body

Summary (3) When reviewing Enforcement focus should be on: checking, that enforcement is in place to respond to non-compliances Clear criteria for enforcement Graded approach USNRC IRRS Training - Reviewing Authorization, Inspection and Enforcement Functions of the Regulatory Body

THANK YOU FOR YOUR ATTENTION This activity is conducted by the IAEA, with funding by the European Union. The views expressed in this presentation do not necessarily reflect the views of the European Commission Photo: V. Friedrich USNRC IRRS Training - Reviewing Authorization, Inspection and Enforcement Functions of the Regulatory Body

Discussion Why is authorization so important, so emphasised in all international standards? Couldn't we simply trust the users to perform their radiation activities or use their nuclear facilities without the licence? Compare the pro’s and con’s of a formal, direct, written request of the inspector in case of incompliance with an open discussion with the licensee looking for the optimum solutions of the recognised weaknesses? Explain an example of graded approach related to inspection activities. What is a better goal for the inspector: as many enforcement actions as possible or as few enforcement as possible? Basic IRRS Training – Reviewing Authorization, Inspection and Enforcement Functions of the Regulatory Body