Legal and regulatory framework in Finland for licensing of a new NPP VN/RA/01 Task 1&2 Workshop

1. Legal and regulatory framework in Finland for licensing of a new NPP VN/RA/01 Task 1&2 Workshop Hanoi, October 2012 Confidential Ilari Aro STUK

2. Regulatory organization • Requirement 16: Organizational structure of the regulatory body and allocation of resources The regulatory body shall structure its organization and manage its resources so as to discharge its responsibilities and perform its functions effectively; this shall be accomplished in a manner commensurate with the radiation risks associated with facilities and activities. • Requirement 18: Staffing and competence of the regulatory body The regulatory body shall employ a sufficient number of qualified and competent staff, commensurate with the nature and the number of facilities and activities to be regulated, to perform its functions and to discharge its responsibilities. Governmental, Legal and Regulatory Framework for Safety, IAEA General Safety Requirements Part 1

3. 4.11. The regulatory body has to have appropriately qualified and competent staff. A human resources plan shall be developed that states the number of staff necessary and the essential knowledge, skills and abilities for them to perform all the necessary regulatory functions. • 4.12. The human resources plan for the regulatory body shall cover recruitment and, where relevant, rotation of staff in order to obtain staff with appropriate competence and skills, and shall include a strategy to compensate for the departure of qualified staff. • 4.13. A process shall be established to develop and maintain the necessary competence and skills of staff of the regulatory body, as an element of knowledge management. This process shall include the development of a specific training programme on the basis of an analysis of the necessary competence and skills. The training programme shall cover principles, concepts and technological aspects, as well as the procedures followed by the regulatory body for assessing applications for authorization, for inspecting facilities and activities, and for enforcing regulatory requirements. Regulatory organization and human resources

4. Requirement 19: The management system of the regulatory body The regulatory body shall establish, implement, and assess and improve a management system that is aligned with its safety goals and ontributes to their achievement. • 4.14. The regulatory body shall establish and implement a management system whose processes are open and transparent. The management system of the regulatory body shall be continuously assessed and improved. • 4.16. The management system shall maintain the efficiency and effectiveness of the regulatory body in discharging its responsibilities and performing its functions. This includes the promotion of enhancements in safety, and the fulfilment of its obligations in an appropriate, timely and cost effective manner so as to build confidence. Management system

5. Requirement 20: Liaison with advisory bodies and support organizations The regulatory body shall obtain technical or other expert professional advice or services as necessary in support of its regulatory functions, but this shall not relieve the regulatory body of its assigned responsibilities. • Requirement 21: Liaison between the regulatory body and authorized parties The regulatory body shall establish formal and informal mechanisms of communication with authorized parties on all safety related issues, conducting a professional and constructive liaison. Advisory committees

6. 4.18. The regulatory body may decide to give formal status to the processes by which it is provided with expert opinion and advice. If the establishment of advisory bodies, whether on a temporary or a permanent basis, is considered necessary, it is essential that such bodies provide independent advice, whether technical or non-technical in nature. • 4.19. Technical and other expert professional advice or services may be provided in several ways by experts external to the regulatory body. The regulatory body may decide to establish a dedicated support organization, in which case clear limits shall be set for the degree of control and direction by the regulatory body over the work of the support organization. Other forms of external support would require a formal contract between the regulatory body and the provider of advice or services. • 4.20. Arrangements shall be made to ensure that there is no conflict of interest for those organizations that provide the regulatory body with advice or services.8 If this is not possible domestically, then the necessary advice or assistance shall be sought from organizations in other States or, as and where appropriate, from international organizations which have no such conflicts of interest. Advisory committees

7. Nuclear power programme in Finland • Fennovoima Ltd • New utility, no operating reactors • DiP approved for FA1, Hanhikivi Site • Loviisa NPP (Fortum) • 2 operating units – VVERs • Interim Spent Fuel Storage at site • L/ILLW repository • Olkiluoto NPP (TVO) • 2 operating units - ABB BWRs • OL3 (EPR) under construction • DiP approved for OL4 • Interim Spent Fuel Storage at site • L/ILLW repository • Posiva “Onkalo” Photo: Fortum Photo: TVO

8. STUK - Radiation and Nuclear Safety Authority Mission: Protecting people, society, environment, and future generations from harmful effects of radiation

9. Main contacts between STUK and Ministries • MINISTRY OF SOCIAL • AFFAIRS AND HEALTH • administrative authority • for the use of radiation • MINISTRY OF EMPLOYMENT AND THE ECONOMY • administrative authority for the • use of nuclear energy Budget and supervision • STUK – RADIATION AND NUCLEAR • SAFETY AUTHORITY • independent regulatory and research • organisation Expert advice and service • MINISTRY OF THE INTERIOR • rescue and protection duties in • emergency conditions • - security and physical protection MINISTRY FOR FOREIGN AFFAIRS - nuclear safety in neighbour countries - non-proliferation of nuclear weapons

10. Organisation Organisation Nuclear Waste and Materials Nuclear Waste and Materials DG's DG's office office Regulation Regulation 8 9 29 27 Nuclear Reactor Regulation Nuclear Reactor Regulation 115 106 Public Public Radiation Practices Regulation Radiation Practices Regulation Communication Communication 4 4 42 44 Emergency Emergency Research and Environmental Research and Environmental Preparedness Preparedness Surveillance Surveillance 89 84 4 4 Expert Services Expert Services Non Non - - ionising Radiation ionising Radiation 7 7 10 9 Administration, Internal Services and Information Management Administration, Internal Services and Information Management 52 57 STUK-Radiation and Nuclear Safety AuthorityMission: Protecting people, society, environment, and future generations from harmful effects of radiation Figures refer to staff numbers at the end of 2011 Total staff was 356

11. Organisation of Nuclear Reactor Regulation

12. Organization of Nuclear Waste and Material Regulation Division Director Risto Paltemaa Deputy Director Arja Tanninen Management Support Regulation of Nuclear Waste Currently 29 persons Regulation of Nuclear Material National Data Center for Comprehensive Nuclear Test Ban Treaty (CTBT)

13. Education of STUK personnel (1) PhD, Doctor of Tech., Lic’s, (2) Master of Science, Diploma Engineer, (3) Lover university level education, (4) Others

14. Age breakdown of personnel at Nuclear Regulation Department

15. Reactor, safety functions, systems and analyses Radiation safety and emergency preparedness

16. Staffing of regulatory bodies Table Approximate staffing of some regulatory bodies

17. STUK’s budget in 2009 • (Milj. EUR) • Operating costs 38.1 • Funding • state budget 13.0 • regulatory control 17.9 • expert services 5.8 • research funds (incl. EU) 1.3 • other funds 0.1

18. Preparation of nuclear safety regulations in Finland • Nuclear Energy Act (1987) and Nuclear Energy Decree (1988) • latest revision 2008 • preparation coordinated by Ministry (TEM), STUK provides input to directly safety related parts • Government Decrees (first versions issued 1991, revised 2008) • drafts written by STUK, final format given by Ministry (TEM) • four separate Decrees:safety of NPPs, physical protection of NPPs, emergency preparedness, safety of the disposal of nuclear waste • YVL Guides issued by STUK • detailed technical requirements, acceptable practices, guidance for licensee-STUK interaction • prepared by STUK in close co-operation with relevant interested parties (e.g., licensees) • regulations are found from website: www.stuk.fi

19. Legal pyramid in Finland

20. Hierarchy of safety requirements • Nuclear Energy Act (1987): “nuclear energy utilisation shall be safe”; “licensee is responsible for safety” • Nuclear Energy Decree (1988): administrative details for licensing and regulatory oversight • Government Decree 733/ 2008 • gives general principles, fundamental technical requirements, radiological acceptance criteria; • There are other decrees on emergency preparedness, security, nuclear waste management • YVL Guides issued by STUK: detailed technical requirements, acceptable practices, guidance for licensee-STUK interaction, e.g. YVL 1.0 and YVL 1.1 on general design criteria and STUK’s role in licensing • STUK’s decisions

21. Nuclear Energy Act:Detailedsafetyrequirements The Radiation and Nuclear Safety Authority (STUK) shall specify detailed safety requirements concerning the implementation of safety level in accordance with this Act. Further, the Radiation and Nuclear Safety Authority (STUK) shall specify the safety requirements it sets in accordance with the safety sectors involved in the use of nuclear energy, and publish them as part of the regulations issued by the Radiation and Nuclear Safety Authority (STUK). The safety requirements of the Radiation and Nuclear Safety Authority (STUK) are binding on the licensee, while preserving the licensee's right to propose an alternative procedure or solution to that provided for in the regulations. If the licensee can convincingly demonstrate that the proposed procedure or solution will implement safety standards in accordance with this Act, the Radiation and Nuclear Safety Authority (STUK) may approve procedure or solution by which the safety level set forth is achieved.

22. Development of regulations in Finland • STUK issues detailed regulations called YVL Guides. There are currently about 70 YVL Guides. In the future, aim is to combine them to decrease the number to 35. • YVL guides are rules that shall be complied with unless some other acceptable procedure or solution is presented to STUK by which the safety level laid down in an YVL guide is achieved • YVL guides are written in view of new plants and functions. Separate assessment and decision is made on application for operating plants. • Finnish nuclear and radiation legislation as well as Government Decisions and YVL Guides are available in internet, www.stuk.fi

23. Structure of the new YVL Guides

24. Challenges • how to meet a moving target? • WENRA’s design objectives for new reactors released for comments • IAEA’s design requirements for NPPs under preparation • how to find resources for preparation and commenting? • national requirements vs. harmonisation Development of safety regulations in Finland

25. DiD-levels, event categories and frequency of events belonging to each category Ilari Aro, 31 October 2010

26. DBC 1, Normal operation • radiation dose limit 0,1 mSv / year for the entire site • DBC 2, Anticipated operational occurrences • radiation dose limit 0,1 mSv • DBC 3, Class 1 postulated accidents • radiation dose limit 1 mSv • DBC 4, Class 2 postulated accidents • radiation dose limit 5 mSv • DEC, Design extension conditions • radiation dose limit 20 mSv • SA, Severe accidents • release < 100 TBq Cs-137 equivalent • no acute health effects Acceptance criteria for radioactive releases / max doses to general public

27. DiD-concept reinforced to include multiple failure situations , independence between different defence lines emphasized • off-site measures (such as iodine prophylaxis , sheltering , evacuation ) should not be needed in design basis accident conditions • in severe reactor accidents ( core melt accidents ) only limited protective measures in area and time are needed for the public assuming the containment functions as designed Design objectives for new reactors ( WENRA RHWG )

28. Authorities involved in NPP licensing and regulation in Finland • Licenses for nuclear facilities in Finland are issued by the Government • Ministry of Employment and the Economy (TEM) provides administrative support for processing license applications • STUK is the regulatory body dedicated to safety oversight: • preparation of national nuclear safety regulations • safety evaluation (necessary prerequisite for issuing a license) • inspections needed to verify the safety state of the facility and the compliance with license conditions over the plant lifetime • inspections on nuclear waste management and nuclear material safeguards

29. Licensing is divided in two stages: political decision and safety demonstration • Political decisionon a new nuclear power plant is needed as a precondition before major investments are permitted. • Political decision is called Decision in Principle (DiP). It concludes whether • “a new NPP is in line with the overall good of society”. • Environmental Impact Assessment (EIA) has to be completed first for each alternative site • EIA report has to be annexed to the application for the DiP. • Plant vendor and design are not chosen before the DiP, but main safety features of several alternatives are evaluated during the DiP process.

30. Stakeholders in Licensing of nuclear facilities Public, other authorities, and expert organizations PARLIAMENT: Confirms Decision in Principle • Three step licensing: • Decision in Principle • Construction Permit • Operating License GOVERNMENT: Makes licensing decisions Ministry of Employment and the Economy: Conducts preparations Opinions Statement on safety Application Agreement on site STUK (regulatory body) APPLICANT MUNICIPALITY OF PLANT SITE Regulatory review and oversight Advice Design documents Expert organizations Suppliers- nuclear industry

31. Nuclear Energy Act: Supervisoryrights The Radiation and Nuclear Safety Authority (STUK) shall be entitled, in order to carry out the supervision required under this Act, and by the provisions issued hereunder and by Finland's international treaties in the field of nuclear energy, to: 1) inspect and control operations referred to in paragraphs 1–6 of section 2 subsection 1, and in paragraph 2 of section 2 subsection 2, and for this purpose have access to any place where such an operation is being carried out, as well as to carry out measurements required for supervision, to take and to receive samples and to install equipment necessary for such supervision; 2) oblige the licence applicant to arrange entry for the Radiation and Nuclear Safety Authority (STUK) to carry out inspections and measurements and to take samples on the premises where, according to the application, the operation referred to in paragraphs 1–6 of section 2 subsection 1 would be carried out;

32. Supervisoryrights 3) require that nuclear fuel or the buildings and equipment intended as parts of the nuclear facility be manufactured in a manner approved of by the Radiation and Nuclear Safety Authority (STUK), and oblige the licensee or licence applicant to arrange for STUK sufficient opportunity to control manufacture of the fuel or such buildings or equipment; 4) receive necessary information and be provided with the plans and contracts and their grounds concerning the fabrication, quality control or processing of nuclear materials, nuclear waste, the nuclear facility and its structures and equipment, as well as any material, device and equipment referred to in paragraph 5 of section 2 subsection 1;

33. Supervisoryrights 5) oblige any person carrying out the operation referred to in section 2, subsection 1 or 2, to submit standard format reports, as well as other necessary information and notifications, and to keep nuclear material accounts and operating records in said standard format, and to audit these accounts; 7) have access, for the purposes of any supervision of non-proliferation of nuclear weapons requiring, to premises where such actions referred to in section 2, subsection 1 or 2, in which nuclear materials or ores have been used, have been carried out, as well as carry out measurements therein required for supervision, to collect and receive samples and to install equipment required for said supervision; 8) collect environmental samples and use radiation detection and measurement devices for any supervision required for the non-proliferation of nuclear weapons, pursuant to ensuring that activity subject to section 2, subsection 1 or 2 is not illegally carried out and that the information given is sound.

34. Nuclear Energy Decree Section 108 The various phases in the construction of a nuclear facility cannot be commenced until the Radiation and Nuclear Safety Authority (STUK) has, on the basis of the documents mentioned in section 35 and other detailed plans and documents, ascertained for each phase that all safety-related factors and safety regulations have been given sufficient consideration. Section 109 (1069/1999) After the construction licence has been granted, the Radiation and Nuclear Safety Authority (STUK) controls the implementation of the facility project in detail. The purpose of the control is to ensure that the conditions of the construction licence and the approved plans referred to in section 35 are complied with and that the nuclear facility is also in other respects constructed in accordance with regulations issued on the basis of the Nuclear Energy Act.

35. Nuclear Energy Decree Section 110 (732/2008) The various phases in the commissioning of a nuclear facility cannot be commenced until the Radiation and Nuclear Safety Authority (STUK) has determined, on the basis of the documents mentioned in section 36, and other detailed plans and documents required by STUK, for each stage, that sufficient attention has been paid to factors influencing safety, and regulations concerning safety. Similar requirements also apply to the restarting of a nuclear facility after a particularly substantial plant modification. Section 111 The Radiation and Nuclear Safety Authority (STUK) controls the operation of a nuclear facility to ensure that the operation of the facility is safe and complies with the licence conditions and the approved plans and that the operation also in other respects adheres to the Nuclear Energy Act and to the regulations issued by virtue of the Act. The control of the operation of a nuclear facility also involves the maintenance, repairs, inspections and tests of the nuclear facility systems, structures and components.

36. Nuclear Energy Decree Section 112 (732/2008) If the licensee intends to carry out modifications to the nuclear facility systems, structures, nuclear fuel or the way the facility is operated that influence safety and involve changes in the plans or documents approved by the Radiation and Nuclear Safety Authority (STUK), the licensee shall obtain approval from STUK for such modifications before they are carried out. Correspondingly, STUK shall approve measures related to the decommissioning of a nuclear facility. The licensee shall ensure that the documents mentioned in sections 35 and 36 are revised accordingly.