OVERVIEW TO INTERNATIONAL SAFETY RELATED CONVENTIONS The Convention on Nuclear Safety

1. OVERVIEW TO INTERNATIONAL SAFETY RELATED CONVENTIONS The Convention on Nuclear Safety VN/RA/01 Task 1&2 Workshop Hanoi, October 2012 Ilari Aro STUK

2. Objectives Objectives of the presentation are: • to provide an overview to international legally binding safety related conventions • to provide an overview to Convention on Nuclear Safety • after the presentation participants are able to understand international binding requirements on nuclear safety and their relationship with the IAEA • to study through an exercise what do these conventions mean in your own country and in your own organization I. Aro, October 2012

3. Conventions • Vienna Convention on Civil Liability for Nuclear Damage (1963, 1988, 1997) • Convention on Early Notification of a Nuclear Accident (27 October 1986) • Convention on Assistance in the Case of a Nuclear Accident or Radiological Emergency (28 February 1987) • Convention on the Physical Protection of Nuclear Material (8 February 1987) • Convention on Nuclear Safety (24 October 1996) • Joint Convention on the Safety of Spent Fuel Management and on the Safety of Radioactive Waste Management (Opened for signature 29 September 1997) I. Aro, October 2012

4. The role of conventions • When the Party / Member State have signed the Convention and when the Parliament of Member State has ratified the convention, it has a status of law in the Member State • Internationally, the conventions make it possible to interfere nuclear safety situation in other countries via the convention procedures and practices • Convention on Nuclear Safety is the only international means that provide a legal basis for discussion on nuclear safety situation between the neighbouring countries • IAEA Safety Standards provide a voluntary basis for international safety standards but their fulfilment is not obligatory while Convention on Nuclear Safety provides a legal requirement • Interesting is to realize that Convention on Nuclear Safety does not provide A REGULATORY REGIME - NO INSPECTIONS OR INTERNATIONAL SECRETARIAT ; NOT A SANCTIONS REGIME WITH PENALTIES FOR NON-COMPLIANCE butit is CONSIDERED AN INCENTIVE CONVENTION WITH PERIODIC PEER REVIEW MEETINGS TO ENCOURAGE MEMBER STATES TO MEET CNS OBLIGATIONS I. Aro, October 2012

5. Convention on Nuclear Safety Objectives • …to achieve and maintain a high level of nuclear safety worldwide..; • …to protect individuals, society and the environment from harmful effect of ionizing radiation…; • ...to prevent accidents with radiological consequences and to mitigate such consequences should they occur. Scope The Convention applies to “the safety of nuclear installations” • “nuclear installation” means any land based civil nuclear power plant…including such storage, handling and treatment facilities for radioactive materials as are on the same site and are directly related to the operation of a nuclear power plant; until, • a plant is no longer a “nuclear installation” when all nuclear fuel elements have been removed permanently from the reactor core and have been stored safely in accordance with approved procedures, and a decommissioning programme has been agreed to by the regulatory body I. Aro, October 2012

6. Convention on Nuclear Safety - Preamble • “…responsibility for safety rests with the State having jurisdiction over a nuclear installation..” • “…this convention entails a commitment to the application of fundamental safety principles for nuclear installations rather than detailed safety standards and that there are internationally formulated safety guidelines which are updated from time to time and so can provide guidance on contemporary means of achieving a high level of safety..” I. Aro, October 2012

7. Convention on Nuclear Safety - Obligations of Contracting Parties Implementingmeasures Each Contracting Party shall: • take legislative, regulatory and administrative measures and other steps necessary to implement its obligations..; Reporting Each Contracting Party shall: • submit for review a report on the measures it has taken to implement each of the obligations of..; Existing Nuclear Installations Each Contracting Party shall: • ensure that the safety of nuclear installations is reviewed as soon as possible..; • ensure that all reasonably practical improvements are made to upgrade the safety of the nuclear installation..; • shut down the nuclear installation as soon as practically possible, if such upgrading cannot be achieved..; I. Aro, October 2012

8. Convention on Nuclear Safety: IAEA Obligations The IAEA shall: • provide the Secretariat for “review meetings”. The secretariat shall: • convene, prepare and service the meetings of the Contracting Parties; • transmit information received or prepared in accordance with the provisions of this convention; • provide other services in support of the “review meetings” as requested by consensus; • be the Depository of the Convention. I. Aro, October 2012

9. Adopted Entry into force Preparatory meeting Organizational meeting First Review Meeting (49 Contracting parties) Second, Third and Fourth Review Meetings Extraordinary meeting on Fukushima consequences June 1994 October 1996 April 1997 (Rules of procedures, financial rules and guidelines for national reports) September 1998 April 1999 April 2002, 2005, 2008 and 2011 August 2012 Convention on Nuclear Safety I. Aro, October 2012

10. Convention on Nuclear Safety HIGHLIGHTS OF SUMMARY REPORT (1999) LEGISLATIVE AND REGULATORY FRAMEWORK • legislative framework is well established in most countries • in several cases effective independence of regulatory bodies needs to be improved (“de jure”, “de facto”) • experience with prescriptive and non-prescriptive regulatory strategies should be reported at the next review meeting SAFETY OF NUCLEAR INSTALLATIONS • some countries reported on difficulties to obtain required financial resources for safety upgradings • some plants designed to earlier standards, if not upgraded would need to adopt measures in Article 6 • (“….. shutdown as soon as practically possible…..”) • status of safety improvement programmes with demonstration of progress achieved would be welcomed at the next review meeting • for older generation NPPs scope of initial safety analysis was limited. In some countries, work on a more comprehensive safety analysis should be accelerated • in some NPPs containment function would not meet current standards CONCLUSIONS • review process proved to be of great value to national nuclear safety programmes • strong commitment by all the Contracting Parties on the safety objectives of the Convention. All the Contracting Parties are taking steps in the right direction • Contracting Parties are committed to make all reasonable efforts to provide the additional information called for in the next national reports I. Aro, October 2012

11. Convention on Nuclear Safety: “Requirements” Main topics • Legislation and regulation • General safety considerations • Safety of installation • Siting • Design and construction • Operation I. Aro, October 2012

12. Convention on Nuclear Safety: “Requirements” Legislation and regulation • Legislative and regulatory framework • Establishment of safety requirements and regulations • System of licensing for nuclear installations • Regulatory inspection and assessment • Enforcement of regulations and terms of licences • Regulatory body with authority, competence and financial and human resources as well as with effective separation from promotion or utilization functions • Operator’s prime responsibility for safety General safety consideration • Priority to safety • Financial and human resources • Human factors • Quality assurance • Assessment and verification of safety • Radiation protection • Emergency preparedness I. Aro, October 2012

13. Convention on Nuclear Safety: “Requirements” Each Contracting Party shall take the appropriate steps to ensure that Priority to safety • all organizations engaged in activities directly related to nuclear installations shall establish policies that give due priority to nuclear safety. Financial and human resources • adequate financial resources are available to support the safety of each nuclear installation throughout its life • sufficient numbers of qualified staff with appropriate education, training and retraining are available for all safety-related activities for each nuclear installation, throughout its life Human factors and Quality assurance • the capabilities and limitations of human performance are taken into account throughout the life of a nuclear installation • quality assurance programmes are established and implemented with a view to providing confidence that specified requirements for all activities important to nuclear safety are satisfied throughout the life of a nuclear installation Assessment and verification of safety • comprehensive and systematic safety assessments are carried out before the construction and commissioning and throughout the facility life. Such assessments shall be well documented, updated in the light of operating experience and significant safety information and reviewed by the RB. • verification by analysis, surveillance, testing and inspection is carried out to ensure accordance with design, safety requirements and operational limits and conditions. I. Aro, October 2012

14. Convention on Nuclear Safety: “Requirements” Safety of installation Siting: • evaluating the effect of environment to NPP and the effect of NPP to environment • consulting other Contracting Parties in the vicinity of the facility and providing the necessary information to them for their own safety assessment of the safety impact on their own territory of the facility Design and construction: • use of defence in depth and proven technology • design allows reliable, stable and easily manageable operation, including human factors and man-machine interface Operation: • Initial authorization and commissioning • Operational limits and conditions • Procedures for operations, etc. • Emergency operating procedures • Engineering and technical support • Incident reporting • Operating experience feedback • Waste and spent fuel management at site I. Aro, October 2012

15. Convention on Nuclear Safety • “…this convention entails a commitment to the application of fundamental safety principles for nuclear installations rather than detailed safety standards and that there are internationally formulated safety guidelines which are updated from time to time and so can provide guidance on contemporary means of achieving a high level of safety..” • IAEA Safety Standards • Safety Fundamentals • Requirements (Government, Siting, Design, Operation, ..) “shall” • Safety Guides “should” • Safety Practices, Safety Report Series • Tecdoc Series • INSAG Series, Training Series etc I. Aro, October 2012

16. Convention on Early Notification • Objective: to provide relevant information about nuclear accidents as early as possible in order that transboundary radiological consequences can be minimized • Scope: any accident involving facilities or activities from which a radioactive release occurs or is likely to occur and which may result in an transboundary release that could be of radiological safety significance for another state • Facility/activity: nuclear reactor; fuel cycle or waste handling facility or respective transportation and storage; manufacture, use, transport or disposal of radioisotopes I. Aro, October 2012

17. Convention on Early Notification: Obligations of Contracting Parties A State Party having a nuclear or radiological accident going on in its territory shall • make known to the IAEA and other States Parties competent authorities and points of contact • notify those States which may be affected the nature, time of occurrence and exact location of the nuclear accident • provide promptly the States affected with such available information relevant to minimize the radiological consequences • respond promptly to a request for further information or consultations sought by affected State Party • ensure the provision of information: facility or activity, cause and foreseeable development, meteorological and hydrological conditions, off-site protective measures taken or planned • to supplement information at appropriate intervals I. Aro, October 2012

18. Convention on Early Notification: Obligations to the IAEA • to ensure confidentiality of confident information (applies also to other State Parties) • to maintain an up-to-date list of points of contact and provide it to others, • to assist non-nuclear countries in investigations concerning radiation monitoring systems • depositary functions I. Aro, October 2012

19. Convention on Assistance in the case of Nuclear Accident Objectives: • Establish an international framework to facilitate promt provision of assistance in the event of a nuclear accident or radiological emergency to mitigate its consequences • States Parties shall co-operate between themselves and with the IAEA to facilitate prompt assistance • States Parties may agree on bilateral arrangements for preventing or minimizing injury and damage Scope: • In the event of a nuclear accident or radiological emergency, whether or not such an accident or emergency takes place in one’s own country • A State Party may call for assistance from: • any other state • IAEA or other international intergovernmental organizations where appropriate I. Aro, October 2012

20. Convention on Assistance: Obligations of Contracting Parties • A requesting State Party shall specify the scope and type of assistance needed and provide the information necessary for determining the extent of assistance to be given • A State Party to which a request is directed shall promptly decide and notify whether it is in a position to render the assistance requested and in which extent • IAEA shall respond to a request for assistance: • make available appropriate resources • transmit promptly the request to other States and international organizations • co-ordinate the assistance at international level • The Assisting State shall: • designate a person responsible for staff and equipment delivered • co-ordinate the assistance relating medical treatment • make efforts to co-ordinate release of information I. Aro, October 2012

21. Convention on Assistance: Obligations of Contracting Parties The requesting State shall: • co-ordinate the assistance in its territory • provide local facilities and services for effective administration • ensure the protection of personnel and equipment delivered • facilitate entry, stay and departure of personnel • ensure the ownership and return of equipment • afford privileges and immunities to personnel The State Parties shall: • Inform points of contact to the IAEA and others • Identify and notify the IAEA about experts, equipments and materials which could be delivered • Protect the confidentiality of confidential information • Facilitate transit through its territory of duly notified personnel • Co-operate to facilitate the settlement of legal proceedings and claims I. Aro, October 2012

22. Convention on Assistance: Obligations to the IAEA The IAEA shall: • collect and dissiminate information concerning: • experts, equipment and materials available • methodologies and techniques to response to nuclear accidents • assist a State Party in • preparing emergency plans and appropriate legislation • developing training programmes for personnel • developing transmitting requests for assistance • maintain an up-to-date list of points of contact • establish and maintain liaison with relevant international organizations • offer its good offices in the event of accident • perform depositary functions I. Aro, October 2012

23. Vienna Convention on Civil Liability for Nuclear Damage Objective: • To establish some minimum standards to provide financial protection against damage resulting from certain peaceful uses of nuclear energy • Main features: • strict liability (channeled to the operator) • financial limitation of liability • time limits to claim compensation • financial security to cover the liability (compulsory insurance or other security) Scope: • Nuclear installation: • any nuclear reactor • any factory using nuclear fuel, processing of nuclear material, storing of nuclear material • during the transport of nuclear materials to or from nuclear installation I. Aro, October 2012

24. Vienna Convention on Civil Liability for Nuclear Damage Liability of the operator for nuclear damage • shall be absolute • may be limited by the Installation State to not less than US $5 million for any one nuclear incident • the operator shall be required to maintain insurance or other financial security covering his liability for nuclear damage Protocol to amend Vienna Convention: • to provide for broader scope, increased amount of liability of the operator and enhance means for securing adequate compensation • liability of the operator not less than 300 million SDRs (special drawing right means unit of account defined by International Monetary Fund) and • not less than 150 million SDRs excess and up to at least 300 million SDRs public funds shall be made available by the state • where the liability of an operator is legally unlimited the installation state may establish a limit of financial security of the operator not lower than 300 million SDRs Convention on supplementary compensation • establish a worldwide liability regime to supplement and enhance the measures and to increase the amount of compensation. Fixed contributions which are in relationship with the installed capacity, in addition to national compensation. I. Aro, October 2012

25. Paris and Brussels Conventions • Most of the OECD / Europeancountriesbelong to Paris and Brusselsconventionson Nuclear Liability instead of Viennaconvention • Thereareprotocolsthatdefinehandlingsbetween the Paris / Brussels and Viennaconventions • In Finland, there is national legislation and regulatoryguidance • Nuclear Liability Act and Decree • Regulatory Guide YVL 1.16 Regulatorycontrol of nuclearliabilityinsurances • As a result of the successful international negotiations to update the Paris and Brussels Conventions also the Finnish Nuclear Liability Act has been under review by a special governmental committee. The financial provisions to cover the possible harms of a nuclear accident have been arranged according to the Paris and Brussels Conventions. A remarkable increase in the sum available for compensation of nuclear damages is expected in the near future since international negotiations about the revision of the Paris/Brussels agreements were completed in 2004. The funds available for compensation will more than triple in the coming years compared with the current situation. I. Aro, October 2012

26. Paris and Brussels Conventions • In addition to increased compensation, Finland has decided to enact unlimited licensee liability by law. This means, that Finnish nuclear operators will require insurance coverage for a minimum amount of EUR 700 million and the liability of Finnish operators shall be unlimited in cases where nuclear damage has occurred in Finland and the third tier of the Brussels Supplementary Convention (providing cover up to EUR 1.5 billion) has been exhausted and there remains damage to be compensated. • The revised law will also have some other improvements, like extending the claiming period up to 30 years for victims of nuclear accidents. • The law amendment (2005) has not taken effect yet. It will enter into force at a later date as determined by government decree. The entering into force of the amending act will take place simultaneously as the 2004 Protocols amending the Paris and Brussels Conventions will enter into force. I. Aro, October 2012

27. Convention on Physical Protection of Nuclear Material Objectives • to avert the potential dangers posed by unlawful taking and use on nuclear material • to adopt appropriate and effective measures to ensure the prevention, detection, and punishment of offences • to establish effective measures for the physical protection of nuclear material Scope: Convention applies to nuclear material used for peaceful purposes while • in international nuclear transport including storage incidental to such transport • in domestic use, storage and transport (lower level of protection is possible) • nuclear material is defined as plutonium, enriched uranium, natural uranium etc. I. Aro, October 2012

28. Convention on Physical Protection of Nuclear Material Obligations • Establish and maintain a physical protection system for nuclear material • Identify and make known its national contact point responsible for nuclear material and for co-ordinating efforts for recovery • protect confidentiality of information received in confidence • Co-operate and assist for recovery and protection in case of theft etc. Obligations of State Parties • Establishment of necessary legislation (definition of offence, jurisdiction over the offence) • Appropriate measures to fulfil the requirements • While international nuclear transport of nuclear material to ensure that nuclear material is protected at the required levels described in the Convention • Not to undertake or authorize such transport unless assurances are provided on required protection I. Aro, October 2012

29. Joint Convention on Safety of Spent Fuel Management and on the Safety of Radioactive Waste Management Joint Convention is a sister convention for the Convention on Nuclear Safety for spent fuel and radioactive waste. Basic ideas and practices are similar in both conventions. Objectives • Radioactive waste should be disposed of in the State in which it was generated whilst recognizing that safe and efficient management might be fostered through agreements among Contracting Parties • Any state has the right to ban import of foreign spent fuel and radioactive waste • Importance of informing the public on the issue • Application of relevant safety standards • Strengthening the international control system Scope • safety of spent fuel management excluding off-site transportation • safety of radioactive waste management excluding off-site transportation • discharges I. Aro, October 2012

30. Joint Convention General safety requirements • Each Contracting Party shall take appropriate steps to ensure that individuals, society and the environment are adequately protected against radiological hazards • Safety aspects are continuously taken into account General safety provisions • Each Contracting Party shall take legislative, regulatory and administrative measures and other steps necessary to implement its obligations • Regulatory body should have adequate authority, competence and financial and human resources to fulfil its assigned responsibilities and have effective independence from other functions • Prime responsibility rests with the holder of the licence or with Contracting Party if there is no license holder I. Aro, October 2012

31. Joint Convention: reporting and meetings • Each Contracting Party shall submit for review a report to each review meeting of Contracting Parties • The report shall address the measures taken to implement each of the obligations of the Convention • The report should address Contracting Party’s • spent fuel management policy and practices • radioactive waste management policy and practices • criteria used to define / categorize radioactive waste • list of spent fuel management etc facilities The IAEA shall provide the Secretariat for the meetings of the Contracting Parties to • convene, prepare and service the meetings • transmit information received or prepared in accordance with the Convention • provide other services in support of meetings as requested by consensus • be the depositary of the Convention I. Aro, October 2012

32. Exercise on Safety Standards and International Conventions • Please explain how international binding conventions and IAEA Safety Standards are taken into account in your country - in national legislation and regulatory guidance. I. Aro, October 2012