Licensing Procedures for NPPs and its Impact on Nuclear Technology Transfer

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Licensing Procedures for NPPs and its Impact on
Nuclear Technology Transfer - Korean Experience -
April 2007, Ho-Kee Kim
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• Table of Contents
• Introduction
• Regulatory Framework and Licensing Procedures
• Regulatory Development History
• Korea Institute of Nuclear Safety and its
  International Cooperation
• Lessons Learned from History
• Conclusion

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• Introduction

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• Nuclear safety
• Risk level secured lower than social expectation,
  due to nuclear utilization
• Safety regulation
• Legal and government enforcement to reduce or
  maintain the level of risk
• Characteristics of safety regulation
• Technical knowledge based enforcement through the
  process of licensing
• Responsible for the establishment of rules and
  regulations, and authorization, review,
  inspection and enforcement
• International consensus on the role and mission
• Regulatory leadership toward safety enhancement
  as a worldwide topic

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• Licensing and nuclear technology transfer
• Licensing expedites, inherently, to achieve
  technical capability of applicant for safety and
  performance
• Reactor technology of the existing designs is
  almost fully developed and nuclear safety
  achievement is a global goal
• International cooperation is an effective tool
  for regulatory development
• Various types of international cooperation are
  implemented in the way of bilateral and
  multilateral agreements, and through
  international organizations
• Training and/or orientation, joint safety review,
  design peer review, joint regulation development
  for future reactors, etc.
• Regulation and its leading role are practically
  utilized to secure nuclear technology in
  developing countries

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• Regulatory Framework and Licensing Procedures

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• Framework of Nuclear Safety Regulation

• Regulatory body
• MOST
• Regulatory enforcement authority
• NSC
• 9 members and supported by 5 sub-committees
• Decision-making on major nuclear issues
• KINS (Korea Institute of Nuclear Safety)
• Quasi-government agency, entirely dedicated to
  nuclear safety regulation

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• General working mechanism

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• Legal and regulatory policy system

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• Licensing procedure for NPPs
• Purpose of licensing
• To ensure that all activities affecting safety of
  nuclear power plant are planned and performed in
  accordance with regulatory requirements
• Covers design, manufacturing, construction,
  operation, test, training, and emergency
  preparedness
• Consequently, to protect employees, residents,
  and surrounding environments against potential
  hazard

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• General sequence review and inspection

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• Safety review for NPPs

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• Construction Permit (CP)
• To ensure the adequacy of plant location and
  design, and construction approaches in accordance
  with Rules and Regulations, prior to the
  commencement of construction
• Major application documents
• Preliminary Safety Analysis Report (PSAR),
  Quality Assurance Program (QAP) for design and
  construction, Environmental Report (ER), etc.
• Early Site Approval (ESA)
• To allow the applicant to perform a limited civil
  engineering work of site preparation and power
  block excavation, before CP
• Application documents Site Survey Report,
  Detailed Geological Survey Report, etc.

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• Operating License (OL)
• To confirm the final adequacy of plant design and
  operational approaches
• Performs safety review in the same manner as that
  for CP, but with some additional reviews of the
  operating capability and accident response
  ability of applicant
• Major application documents
• Final Safety Analysis Report (FSAR), QAP for
  operation, Technical Specifications for
  Operation, Radiological Emergency Plan, etc.
• Nuclear fuel loading and commissioning tests upon
  the issuance of OL

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• Continued operation after plant design life
• Extension of plant operating period after the
  design life
• Applied, as necessary, 2 to 5 years before the
  end of design life for additional 10 years of
  operation
• Periodic safety evaluation report, aging
  evaluation report of major equipment,
  radiological environmental report, etc.
• Amendment of Permit or License
• Modification of the contents of approved
  documents after permit or license
• Supplementary documents to verify the adequacy
• Approval of Standard Design
• Prior authorization of a standard NPP design for
  the repeated construction effective for 10 years
• Safety analysis report on the standard design,
  preparation plan of emergency operating procedures

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• Approval of topical report
• Avoidance of repetitive review on a specific
  technology during licensing and enhancement of
  licensibility of the technology
• Detailed technical background on the application
  topic
• Implementation of Severe Accident Policy
• Secure of severe accident prevention and/or
  mitigation features, and enhancement of the
  capability to cope with the severe accidents
• Pre final PSA results during CP OL review
  periods, respectively, and implementation of the
  Severe Accident Management Program prior to the
  commercial operation
• Periodic Safety Review (PSR)
• Comprehensive and systematic review for the
  safety of each operating NPP in 10 year intervals
  after the OL
• Physical conditions, safety analysis, equipment
  verification, aged deterioration, safety
  performance, experience feedback, operating
  procedures, etc.

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• Safety inspection for NPPs

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• Quality Assurance inspection
• To confirm the quality achievement of
  organizations involved in the design,
  manufacturing, construction, and operation of
  facilities
• To verify the effectiveness of QA Program (QAP)
  and the appropriateness of applicants QA
  activities
• Performed in reference to the QAP approved by the
  regulatory body, in a programmatic manner,
  annually planned for each organization
• Pre-operational inspection
• To confirm the adequacy of materials, components,
  systems and structures, as well as construction
  related activities, processes, procedures and
  personnel competence
• Performed in compliance with safety assessment
  results and Safety Analysis Reports, and in
  reference to the project milestones

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• Periodic inspection
• To ensure that the performance of reactor
  facility is maintained in the state of the
  pre-operational inspection, for re-criticality
  after plant overhaul
• Performed during the plant outage period
• Resident inspection
• To monitor daily construction and operation
  status, and identify and respond to any
  activities adverse to nuclear safety
• Operate, both the MOST and KINS, resident
  inspection office at each plant site
• Special inspection
• Initiated in response to unexpected, unplanned or
  unusual situation or event, as necessary

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• Regulatory Development History

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• History summary

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• Changes of legal organizational framework
• Initial stage from 1958 through 1980
• Legislation of the Atomic Energy Act in 1958, and
  establishment of the Office of Atomic Energy
  under the direct control of the President in
  1959
• To promote peaceful use and development of
  nuclear energy
• Incorporation into the Act the 1 step licensing
  and inspection requirements for nuclear
  facilities in 1969
• Applied to Kori and Wolsong unit 1 plants
• Adoption of the 2 step licensing processes and
  designation of KAERI as the expert organization
  in 1978
• TMI unit 2 accident in 1979
• Formation of a basic regulatory infrastructure,
  and change of the government direct regulation to
  the involvement of an expert organization

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• Transitional stage from 1981 through 1989
• Establishment of Nuclear Safety Center as the
  subsidiary expert organization of KAERI in 1981,
  to be an independent branch in 1987
• Substantial amendment of the Rules Regulations
  in 1982
• Establishment of AEC, the current legal hierarchy
  of the Act-Decrees-Regulations and licensing
  process for nuclear facilities, and entrust of
  technical regulations to the expert
• Re-organization of the Rules and Regulations into
  the current legal system, and establishment of a
  safety expert organization

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• Current stage from 1990 through present
• Foundation of Korea Institute of Nuclear Safety
  (KINS) as the regulatory agency by the special
  KINS Act in 1990
• Stipulation for the creation of comprehensive
  nuclear promotion plan in 5 year intervals in
  1994
• Establishment of Nuclear Safety Commission
  separating the functions from the existing AEC,
  and nuclear RD fund utilizing levy on the NPP
  operator in 1996
• Adoption of the Periodic Safety Review in 10 year
  intervals for operating plants, and the
  application of continued operation after plant
  design life in 2001 and 2005, respectively
• Enhancement of regulatory independence,
  legislation of the development of national
  nuclear utilization plan, and strengthening of
  the safety for the operating NPPs

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• Changes of nuclear safety regulations
• Initial stage from 1958 through 1980
• Legal foundation of the fundamentals for the
  development of nuclear energy and its safety
  control
• Safety regulations together with promotion by the
  Office of Atomic Energy of the government
• Introduction of the first 3, Kori unit 12 PWR
  and Wolsong unit 1 PHWR, NPPs
• Safety achievement strategy of the initial NPPs
  of the proven technology and turnkey projects
• Vendors were responsible for schedule,
  inspection, startup and performance of the plants
• Safety evaluation by the Safety Review Committee
  with the advisory support of the IAEA, in
  accordance with the vendor countries regulatory
  requirements

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• Transitional stage from 1981 through 1989
• Strengthening of legal foundation and
  establishment of a regulatory expert
  organization, incorporating the enlarged nuclear
  use and international movement emphasizing safety
  after the TMI accident
• Construction of six (6) more NPPs with
  non-turnkey projects and multipurpose research
  reactor, and commencement of NPP and fuel
  localization
• NPP licensing by the government with the safety
  review report by the expert
• Launch forth developing domestic regulatory
  requirements and guidelines, cultivating
  regulatory staff, dispatching resident inspector,
  and establishing emergency preparedness plan

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• Current stage from 1990 through present
• Highly strengthening of independence and
  competence of safety regulation with KINS and NSC
  establishments
• Achievement of significant progress in developing
  regulatory expertise and infrastructure,
  necessary in self-performance of all the safety
  regulations
• Construction of 17 additional NPPs
• 11 plants under operation and 6 plants under
  construction
• Accumulation of ample regulatory experience with
  19 new plants, including 2 KEDO plants for the
  DPRK in 2001 under the Agreement with KEDO
• 14 OPR-1000, 2 APR-1400, 3 PHWR plants
• Achievement of high level of nuclear safety for a
  total of 20 operating NPPs
• Commencement of international contributions,
  including the orientation for 25 DPRK regulatory
  staff in 2002
• Moving toward further deepening of regulatory
  capability

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• Korea Institute of Nuclear Safety (KINS) and its
  International Cooperation

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• Korea Institute of Nuclear Safety (KINS)
• Established in February 1990
• Quasi-government agency, independent and
  stand-alone, by the special KINS Act
• Mission of protecting the public health and
  environment from potential radiation hazards
• Safety review and inspection, RD for standards,
  policy development, radiation protection, safety
  information and licensing examination management
• Human resources
• Approx. 400 staff members, and more than 80 has
  Ph.D and Masters degree
• Approx. 45 years old (average age), having ample
  experience for nuclear safety regulation
• Regulatory agency having expertise and entirely
  dedicated to nuclear safety regulation in Korea

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• Organization of KINS

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• Facilities of KINS

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• Nuclear facilities subject to KINS regulation

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• International cooperation and KINS
• International cooperation in safety regulation
• Emphasized by international standards and society
  toward the safety of facilities and activities
• Expedited to establish bilateral or multilateral
  arrangements with neighboring countries, others
  or intergovernmental organizations
• Utilized in fulfilling national obligations under
  international conventions, information exchange,
  mutual assistance in activities, staff training,
  and meetings
• New movements of cooperation
• Expansion of the extent from unilateral
  technology transfer of the past, to international
  policy making and joint works for safety review
  and regulation development
• International Nuclear Regulators Association
  (INRA), Western Europe Nuclear Regulators
  Association (WENRA), Multilateral Design
  Evaluation Program (MDEP) toward common standards
  for Gen. 4 reactor

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• KINS policy and implementation
• Positive policy in mutual cooperation and
  contribution toward global safety achievement
• Cooperation with the IAEA and the OECD/NEA
• Participation in committees and meetings IAEA
  CSS and its subcommittees, OECD/NEA committees,
  international conventions, SRMs, and MDEP
• Cooperation with the regulatory organizations
• 15 Agreements or MOUs with organizations in 11
  countries CHINA, FINLAND, FRANCE, GERMANY,
  INDONESIA, JAPAN, ROMANIA, SWEDEN, UK, US and
  VIETNAM
• Received 21 trainees from 7 countries and many
  visitors in 2006, and dispatched approx. 340 of
  400 staff members to participate in various
  international activities

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• Lessons Learned from the History

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• Nuclear development of Korea
• Secured Korean OPR-1000 and its advanced APR-1400
  NPP designs by stepwise approach of NPP
  construction
• Turnkey contract, non-turnkey project and design
  localization
• Nuclear development program of Korea was started
  at the early stage of the peaceful use of nuclear
  energy in the world
• Consistent policy and implementation of the
  government for development over a long period
  was essential
• Currently, 4 OPR and 2 APR units are under
  construction, and SMART, medium size reactor (660
  Mwt), is under development
• Relatively short period of nuclear technology
  transfer for developing countries is possible in
  consideration of technical maturity of the
  existing designs and international competition
• Government policy and public acceptance become
  major factors, and favorable environment due to
  climate change and instability of natural energy
  resources is created

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• Licensing development
• Accumulated, gradually, regulatory capability in
  parallel to the nuclear development program
• From licensing of NPPs in reference to vendor
  country requirements and practices, to the
  development of inherent system and requirements
• Secured, KINS, regulatory leadership in terms of
  safety technology development and enlarges
  international contribution toward global safety
• Utilized, regulatory leadership, as the tool for
  nuclear technology transfer for developing
  countries
• International consensus toward nuclear safety,
  regulatory cooperation environment and apparatus,
  and the nature of nuclear licensing coupled with
  technology

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• Conclusion

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• Imperativeness of technical knowledge for
  licensing of NPPs toward nuclear safety and
  plant performance, for both applicant and
  regulator
• Positive function of regulatory leadership and
  competence necessary for nuclear licensing, in
  technology transfer
• Effectiveness and efficiency of the simultaneous
  and parallel development of nuclear program and
  regulation
• Utilization of international cooperation and its
  new movements of regulatory policymaking and
  joint works

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