1. IAEA International Atomic Energy Agency RER2006 RTC Establishing a Nuclear Safety Infrastructure for a National Nuclear Power Programme Wrap up, Where are we headed IAEA Requirements for Governmental, Legal and Regulatory Framework for Safety, GSR Part 1 23 – 27 July 2012 Stephen Koenick Senior Safety Officer Regulatory Activities Section Nuclear Safety and Security Department

2. IAEA Contents 1. Background 2. Ensuring an appropriate system of regulatory control

3. IAEA 1. Background

4. IAEA 4 IAEA statute Article III, A.1 “To encourage and assist research on, and development and practical application of, atomic energy for peaceful uses throughout the world; …” IAEA provides the core engineering, technological and management support to interested Member States in the field of nuclear power IAEA statute Article III, A.6, “To establish or adopt, in consultation …, standards of safety for protection of health and minimization of danger to life and property …and to provide for the application of these standards ” IAEA guidance for NPP construction

5. IAEA Need for a Legal and Governmental Infrastructure The decision to launch or expand a nuclear power programme implies a commitment at national and international levels. This requires in particular the establishment of an appropriate and comprehensive legal and governmental infrastructure

6. IAEA To ensure control over nuclear material, facilities and any other radioactive material To ensure that nuclear energy and its applications are exclusively used for peaceful uses To ensure that nuclear facilities, nuclear materials and any other radioactive material are handled and operated safely and securely through a system of regulatory control Why the need for a legal and governmental infrastructure?

7. IAEA To ensure that compensation mechanisms are in place in case of nuclear damage To define responsibilities, obligations and rights of parties To ensure confidence building in the use of nuclear power at national and international levels Why the need for a legal and governmental infrastructure?

8. IAEA Phase 1 Phase 2Phase 3 ~ 2 years~ 4 years~ 9 years M2 Ready to make a knowledgeable decision Ready to commission Ready to invite bids Ready to make a knowledgeable commitment to a nuclear programme M1 Ready to commission and operate the first NPP M3 How to achieve these goals? Establishing a Legal and Governmental Infrastructure Adoption of a comprehensive nuclear law: Safety, security, safeguards and liability for nuclear damage Establishment of an independent regulatory body Implementation of international obligations of the State

9. IAEA IAEA Assistance with Nuclear Law Use of Regional TC Projects to provide all support related to Nuclear Law

10. IAEA Ensuring an appropriate system of regulatory control

11. IAEA IAEA Safety Standards http://www-ns.iaea.org/standards/ 11

12. IAEA IAEA Safety Standards 12

13. IAEA 13 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.” Fundamental Safety Principles 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

14. IAEA 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. The licensee retains the prime responsibility for safety throughout the lifetime of facilities and activities, and this responsibility cannot be delegated. Other groups, such as designers, manufacturers and constructors, employers, contractors, and consignors and carriers, also have legal, professional or functional responsibilities with regard to safety. Since radioactive waste management can span many human generations … Provision must also be made for the continuity of responsibilities and the fulfilment of funding requirements in the long term.

15. IAEA Principle 2: Role of government An effective legal and governmental framework for safety, including an independent regulatory body, must be established and maintained. “The government is responsible for the adoption within its national legal system of such legislation, regulations, and other standards and measures as may be necessary to fulfil all its national responsibilities and international obligations effectively, and for the establishment of an independent regulatory body.”

16. IAEA Structure of GSR Part 1 RESPONSIBILITIES AND FUNCTIONS OF THE GOVERNMENT THE GLOBAL SAFETY REGIME RESPONSIBILITIES AND FUNCTIONS OF THE REGULATORY BODY

17. IAEA RESPONSIBILITIES AND FUNCTIONS OF THE GOVERNMENT Establish a national policy and strategy for safety Establish and maintain appropriate governmental, legal, and regulatory framework for safety – that clearly allocates responsibilities Establish effectively independent regulatory body Assign prime responsibility of safety to the organization responsible for the activity – this responsibility cannot be delegated Ensure effective coordination between governmental organizations Make provisions for emergency preparedness

18. IAEA RESPONSIBILITIES AND FUNCTIONS OF THE GOVERNMENT Establish system for protective actions to reduce undo radiation risks from unregulated sources Make provisions for safe decommissioning of facilities; management and disposal of radioactive waste; and management of spent fuel Make provisions for building and maintaining competence of all parties having responsibilities for safety Ensure arrangements established for interfaces of safety with nuclear security and with State system of accounting for and control of nuclear material Make provisions for technical services related to safety such as personal dosimetry and environmental monitoring

19. IAEA RESPONSIBILITIES AND FUNCTIONS OF THE GOVERNMENT - example Establish a national policy and strategy for safety 1. The UAE is committed to complete operational transparency. 2. The UAE is committed to pursuing the highest standards of non-proliferation. 3. The UAE is committed to the highest standards of safety and security. 4. The UAE will work directly with the IAEA and conform to its standards in evaluating and potentially establishing a peaceful nuclear energy program. 5. The UAE hopes to develop any peaceful domestic nuclear power capability in partnership with the Governments and firms of responsible nations, as well with the assistance of appropriate expert organizations. 6. The UAE will approach any peaceful domestic nuclear power program in a manner that best ensures long-term sustainability.

20. IAEA RESPONSIBILITIES AND FUNCTIONS OF THE GOVERNMENT - example Establish and maintain appropriate governmental, legal, and regulatory framework for safety – that clearly allocates responsibilities Establish effectively independent regulatory body UAE – A Federal Law by Decree No. 6 of 2009, Concerning the Peaceful Uses of Nuclear Energy Article (4) 1. A public organization under the name of “Federal Authority for Nuclear Regulation” shall be established with independent balance sheet and it shall have an independent legal personality, full legal competence and financial and administrative independence in all its matters.

21. IAEA RESPONSIBILITIES AND FUNCTIONS OF THE GOVERNMENT - example Make provisions for emergency preparedness An important part of FANR’s mission is to work with licensees and appropriate government entities to ensure that in event of a nuclear or radiation emergency effective actions would be taken to protect people from harm. FANR requires that all licensees prepare plans to respond to an emergency. Emergency plans will be exercised to ensure they remain effective. FANR will liaise with the National Crisis and Emergency Management Authority (NCEMA), and other relevant bodies to protect people during emergency.

22. IAEA Global Safety Framework 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.

23. IAEA RESPONSIBILITIES AND FUNCTIONS OF THE REGULATORY BODY Organization, effective independence, and competence to discharge its responsibilities, Establish and implement management system, Obtain technical advise as necessary, Establish communications with authorized parties, Ensure stable and consistent regulatory control, Make provisions for establishing, maintaining, and retrieving adequate records for safety of facilities and activities.

24. IAEA ACTIVITIES OF THE REGULATORY BODY (1) Development of regulations and guides Domestic legal system Nature and extent of regulated activities Regulatory approach selected

25. IAEA ACTIVITIES OF THE REGULATORY BODY (1) Development of regulations and guides Management Systems for Nuclear Facilities FANR-REG-01 ( Arabic, English) This regulation defines generic management system requirements applicable throughout all phases (i.e. siting, design, construction, commissioning, operation and decommissioning) of the lifetime of a nuclear facility including any subsequent period of institutional control.

26. IAEA ACTIVITIES OF THE REGULATORY BODY (2) Authorization (also called licensing) Safety has to be demonstrated Graded approach (registration - multi-stage authorization process) Guidance on format and content of the documents

27. IAEA ACTIVITIES OF THE REGULATORY BODY (3) Review and assessment Principles and criteria being used should be available to the operators Information - complete, accurate, verifiable Programme of review and assessment Periodic safety re-assessment

28. IAEA ACTIVITIES OF THE REGULATORY BODY (4) Inspection and enforcement Cover all areas of regulatory responsibility Facilities, equipment Documents Persons Timely identification and correction of deficiencies/deviations Distribution of lessons learned – feedback process

29. IAEA ACTIVITIES OF THE REGULATORY BODY (5) Inspection Systematic programme Planned, reactive Inspection report Enforcement graded approach: warning letter, withdrawal of license All enforcement decisions are in written form

30. IAEA ORGANIZATION OF THE REGULATORY BODY Influenced by many factors - no single model Structure should correspond to the extent and scope of the regulated activities Effectiveness and efficiency Resources, authority, independence, communication lines If the regulatory body consists of more authorities (definition of responsibilities, co-ordination) Outside technical support (technical support organization, university, private consultant, expertise, independence)

31. IAEA Publications under development LICENSING A COUNTRY’S FIRST NUCLEAR POWER PLANT, INSAG-26, DRAFT Start early and minimize project schedule pressures; Leverage reference plant, build competence by time of commissioning; Early reliance on experienced regulators and other external support; Development of regulatory body doesn’t end with licensing of first NPP

32. IAEA Publications under development Draft Safety Report Managing Regulatory Competences Appendix dedicated to establishing safety infrastructure Will supersede TecDOC 1254

33. IAEA 33 International Atomic Energy Agency S.M. Modro, July 2008 s.koenick@iaea.org Thank you for your attention