National Report of The Slovak Republic, september 2001


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3.1.3 Regulation in the field of nuclear safety


The key document is the Act No.130/1998 Coll.LL. Based on it, regulations are being drafted and ÚJD decisions are being issued. For the time being, also some regulations drafted during the time of former Czechoslovakia are still applicable.

ÚJD issues a variety of decisions, including licences, permits, approvals, consents. They concern the following types of decisions:

  1. it grants and withdraws authorization to and from legal entities and natural persons,
  2. it grants and withdraws permits to
    1. receive nuclear materials and their utilization ,
    2. management of radioactive waste and spent nuclear fuel,
    3. import or export nuclear materials, special materials and equipment,
    4. transportation of nuclear materials,
    5. decommissioning of nuclear installations,
    6. change the purpose of nuclear installation through reclassification of nuclear installation with different purpose,
    7. re-imports of radioactive waste;
  3. grants consent to
    1. construct nuclear installations,
    2. design changes during the construction, operation and decommissioning of nuclear installations that may impact nuclear safety,
    3. start individual stages of commissioning of nuclear installations,
    4. operate nuclear facilities,
    5. extend the operation of nuclear installations;
  4. approves
    1. types of transportation equipment for the transportation of nuclear material or radioactive waste,
    2. limits and conditions for safe operation of nuclear installations,
    3. programmes for commissioning of nuclear installations split into stages,
    4. study principles, including technical equipment used, at specialized institutions for the training of employees in respect of whom a professional qualification or a particular professional qualification is required ,
    5. quality systems and requirements for the quality of nuclear installations and activities,
    6. on site emergency plans;
  5. orders :
    1. transfer of nuclear materials,
    2. management of radioactive waste where no originator is known,
    3. reduction in the output or shut down of a nuclear installations or its construction, suspension of the use of nuclear materials or of radioactive waste management;
  6. verifies the professional qualification of selected employees
  7. supports within its competence international cooperation 
  8. ensures public relation 


ÚJD grants authorization for

  1. siting, designing, construction, imports, commissioning, operation and upgrading of nuclear installations and their decommissioning,
  2. designing, construction, production, imports, assembling, testing, maintenance, repairs and upgrading of selected facilities,
  3. acquisition and using of nuclear materials, with the exception of their transport,
  4. treatment of radioactive wastes and spent nuclear fuel,
  5. professional training of nuclear installations staff at specialized facilities.

The conditions for the granting to legal entities of licenses include:

  1. registered address in the territory of the Slovak Republic,
  2. legal capacity, good character and reliability of the statutory body or at least one statutory body member,
  3. demonstration of professional competence of the staff performing activities according to the Act.

The conditions for the granting of licenses to natural persons include:  

  1. permanent residence or long-term residence in the Slovak Republic,
  2. professional competence,
  3. capacity to take legal actions,
  4. unblemished reputation and reliability,
  5. health related capacity.

The condition for granting of licenses to legal entities and natural persons is the demonstration of financial, technical, material and organizational capacities, including quality systems for due performance of the activities in the relevant areas.

Pursuant to this Act, any person shall be deemed of good character who has not been enforceable sentenced of a criminal offence committed by negligence, whose subject matter is connected with the scope of the license or of a criminal offence committed deliberately.

Pursuant to the Act, a person shall not be deemed reliable who

  1. demonstrably indulges in excessive consumption of alcoholic beverages,
  2. uses addictive substances, use of which may cause dependency upon them .

Professional competence means completed university education in an appropriate area and three years of practical experience in the field.

  • The written application for the granting of license shall include,  
    1. for legal entities, name, registered address and identification No.,
    2. for natural persons, given name and surname, birth No. and domicile or long-term residence,
    3. for legal entities and natural persons,
      1. scope, type, extent and place of doing business or performing activities,
      2. period during which the given person intends to perform the respective activities.
  • The following shall be attached to the application: 
    1. for legal entities, 
      1. extract from Commercial Registry if the legal entity is an entrepreneur,
      2. association or foundation document for newly established business entities,
      3. extract from criminal records in respect of the statutory body or members thereof,
      4. a document on professional competence of the statutory body or at least of one member thereof,
      5. documents of professional competence of the staff,
    2. for natural persons, 
      1. statement on domicile or long-term residence in the territory of the Slovak Republic,
      2. extract from criminal records,
      3. documents of professional competence,
      4. medical opinion concerning health-related capacity,
    3. legal entities and natural persons shall produce evidence for financial, technical, material and organizational capacities, including quality systems for due performance of activities for which license is applied.

Acquisition and uses of nuclear materials  

  • Nuclear materials may only be acquired and used based on permit issued by ÚJD.
  • ÚJD may grant permits for longer time periods, however not exceeding ten years.

Transport of nuclear materials 

  • Nuclear materials may only be transported based on transportation permits issued to carrier or consignor by ÚJD.
  • Only transport equipment types approved by ÚJD may be used to transports nuclear materials.

Construction of nuclear installations 

  • ÚJD shall decide on the granting of approvals for the construction of nuclear installations based on developer’s written application with the following safety-related documents attached:
    1. safety report,
    2. terms of reference of the nuclear installation,
    3. preliminary radioactive wastes handling plan and/or handling plan for spent nuclear fuel,
    4. conceptual plan for the decommissioning of the nuclear installation,
    5. classification into safety grades of selected equipment,
    6. preliminary plan of physical protection,
    7. quality assurance programme for the construction stage,
    8. preliminary on-site emergency plan,
    9. suggested limits and safe operation conditions,
    10. preliminary pre-operation inspection programme for the nuclear installation,
    11. preliminary environmental radiation programme for the area adjacent to the nuclear installation.

The approval at the same time represents approval granted pursuant to a separate regulation.

  • Approval of the commissioning of the nuclear installation shall be granted by ÚJD against operator’s application with the following safety-related documentation attached:
    1. for approval: 
      1. limits and conditions of safe operation,
      2. nuclear installation commissioning programme spited into stages,
      3. quality assurance programme,
      4. on site emergency plan,
    2. for review:  
      1. pre-operational safety report,
      2. plan of physical protection ,
      3. radioactive wastes and spent nuclear fuel management system,
      4. conceptual plan of decommissioning of the nuclear installation,
      5. programme of in-service inspection of equipment (components and systems),
      6. selected operating procedures,
      7. test programmes for equipment and systems important to safety,
      8. evidence of special qualification of employees,
      9. documents evidencing the preparedness of the nuclear installation for start up,
      10. insurance documents and/or documents on other financial safeguards (§ 30),
      11. environmental radiation monitoring in the vicinity of the nuclear installation.

Approval of the operation of a nuclear installation shall be granted by ÚJD based on the operator’s application with a report on the evaluation of the commissioning of the nuclear installation attached.

Extension of the period of operation of nuclear installations 

  • ÚJD may extend the validity of its approval of the operation of a nuclear installation based on the actual condition of the facility and based on additional safety documentation.

Treatment of radioactive wastes

  • License holder may only handle radioactive wastes based on ÚJD permit.

Nuclear safety and quality assurance

  • Any safety relevant changes made during the construction, operation and decommissioning of nuclear installations must be submitted by developer or operator to ÚJD for approval.

Professional competence 

  • Only professionally competent employees may perform safety relevant working activities in nuclear installations whose professional competence has been verified by an examination commission established by the legal entity or the natural person holder of license for professional training of the staff of nuclear installations at specialized facilities (hereinafter „specialized facilities“) that granted them certificate of professional competence.
  • Only selected employees may perform working activities with direct impact on nuclear safety during the operation of nuclear installation whose special professional competence has been verified by ÚJD that granted them special professional competence certificates.
  • Employees of specialized facilities who perform theoretical and practical professional training of selected employees may perform such activities only based on authorization granted by ÚJD.

Quality assurance

  • Quality systems and requirements for the quality of nuclear installations and activities are subject to approval and control by ÚJD.

Emergency planning 

  • Emergency plans and emergency transport schedules shall be approved as follows:
  • on-site emergency plans are approved by ÚJD,
  • off-site emergency plans (population protection plans) are approved by Ministry of Interior of the Slovak Republic,
  • emergency transport schedules are approved by Ministry of Transport, Posts and Telecommunications of the Slovak Republic.

In general, decisions may be characterized as law application acts. In other words, they concern the application upon specific cases of a specific entity of rights and responsibilities laid down in generally binding legal regulations. Decisions issued by administrative authorities are referred to as individual administrative acts. Obligations imposed upon by decisions are enforceable and failing to act upon them is sanctionable. Decisions however are principally subject of petitions filed with courts concerning reviews of the decisions. Courts however will not review decisions excluded from their competencies in terms of the Rules of Civil Court Proceedings.

In addition to generally binding legal regulations, ÚJD also issues safety guidelines that assist operators complying with the generally binding regulations (see chapter 6.2).

Standards and recommendations of International Agency for Atomic Energy are used and applied to in the approval procedures for nuclear installations.  

3.1.3.1 Proceedings for the licensing of nuclear installations

The license proceedings comprise three major steps: site selection, commencement of construction and standing operation. Prior to granting the license for standing operation, the regulatory body performs inspections according to the approved programs of hot and cold tests, and grants approval of fuel loading, physical start up, energetic start up, and trial operation. Figure 3.1.3.1. illustrates the major regulatory bodies and the procedure for the licensing of standing operation.

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Fig. 3.1.3.1 Licensing procedure

The principal conditions key for the granting of the approval from the aspect of nuclear safety include drafting and submission of safety report and other prescribed safety-related documents, and meeting of the conditions of the preceding approval proceedings and of decisions by the supervisory body.

Environmental departments of Regional Offices issue decisions concerning site selection, construction, operation and decommissioning of nuclear installations based on the approval of ÚJD, Ministry of Health bodies and of other authorities and agencies of state administration. With respect to approvals and consents, the responsibilities of the authorities are laid down in Act No. 50/1976 Coll. (Building Act), by orders of the Czechoslovak Commission for Atomic Energy issued under Nos. 2/1978 and 4/1979, and by Regulations of Ministry of Environment of the Slovak Republic Nos. 453/2000 Coll.LL. and 55/2001 Coll.LL.

License holder is liable for the safety of the nuclear installation in question.

Construction
The information required for construction to be permitted from the aspect of nuclear safety include ( §14 (3) of Act No. 130/1998 Coll.LL):

  • safety report,
  • terms of reference for the nuclear installation project,
  • preliminary RAW and/or spent fuel treatment plan,
  • conceptual plan of the decommissioning of the nuclear installation,
  • classification of selected facilities with safety relevance,
  • preliminary plan of physical protection,
  • quality assurance programme for the construction stage,
  • preliminary on-site emergency plan,
  • draft L&C of safe operation,
  • preliminary pre-operation control plan for the nuclear installation,
  • preliminary environmental radiation control plan for the vicinity of the nuclear installation. 

Commissioning
The information required for the approval of operation from the aspect of nuclear safety include (§15 (2) of Act No. 130/1998 Coll.LL.):

  • L&C,
  • nuclear installation commissioning programme,
  • divided into stages,
  • quality assurance programme,
  • on site emergency plan,
  • pre-operational safety report,
  • physical protection plan,
  • RAW and spent fuel management plan,
  • conceptual plan for the decommissioning of the nuclear installation,
  • in service inspection plan for equipment (components and systems),
  • selected operating regulations,
  • testing programs of safety-relevant equipment and systems,
  • documents evidencing professional competence of the staff,
  • documents evidencing the preparedness of the nuclear installation for start up,
  • documents on insurance obtained and/or on other financial safeguards,
  • environmental radiation monitoring of the vicinity of the nuclear installation

Operation
The information required for the approval of the operation from the aspect of nuclear safety to be granted include (§ 15 (3) of Act No. 130/1998 Coll.LL. and § 28 of ČSKAE Decree No. 6/1980 Coll. ) :

  • Evaluation report of the commissioning stage of the nuclear installation,
  • operating L&C,
  • complete operating documentation corresponding to the as-is condition of the construction,
  • complete operating regulations for the nuclear installation and for every functional position, including a list of such regulations,
  • list of nuclear safety relevant deviations from the approved project,
  • documents and testing protocols for selected systems of protection and control and additional systems relevant for the securing of nuclear safety (signaling system, emergency cooling system, etc.),
  • list of nodes, systems and equipment of principal potential impact on nuclear safety of the nuclear installation, and numbers of their functional tests and inspections,
  • ÚJD-approved operating control programme and the corresponding quality assurance programs and operating controls,
  • staff examination protocols and documents on training and authorization of workers to perform activities connected with the working position, including an overview of the changes,
  • emergency plans,
  • report on the outcome of trial operation,
  • report on the meeting of the conditions shown on the individual ÚJD approvals,
  • annual operation time schedule,
  • a document on the preparedness of the nuclear facility and the staff for permanent operation.

Decommissioning
Conceptual plans of decommissioning and environmental impact assessment of the decommissioning are required for the long-term development and selection of the decommissioning strategy of nuclear installations.
To obtain permit for the individual stages of decommissioning according to the strategy selected, the operator presents to ÚJD limits and conditions of safe decommissioning, quality assurance programme, and internal emergency plan for approval. It presents for review plans of decommissioning stages, concept of decommissioning for the period after the completion of the stage to be approved, physical protection plan, system of radioactive waste management, environmental radiation control programme for the areas adjacent to the nuclear facility, equipment control programme, selected operating procedures, documents on professional competence of the staff, and documents on insurance and/or another financial safeguards.

3.1.3.2 Regulatory body - ÚJD

ÚJD is the successor to the former ČSKAE. It was established on 1 January 1993 and its responsibilities include those provided for by the Act of National Council of the Slovak Republic No. 2/1993 Coll.LL. ÚJD is an independent state regulatory authority that reports directly to the government, and that is headed by Chairman appointed by the government. Independence of the regulatory authority of any other body or agency dealing with the development or utilization of nuclear energy is being applied in all relevant areas (legislation, human and financial resources, technical support, international cooperation, enforcement tools). As of 1 January 2001, there were 82 employees at ÚJD. The following figure illustrates the organigram of the authority:

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Fig. 3.1.3.2 ÚJD organigram

The development of ÚJDś internal quality system started in November 1999, and its implementation will enable a better and more efficient meeting of ÚJD´s growing tasks. ÚJD Chairman’s declaration on quality analyzed the need for the provision for a high quality of tasks to be fulfilled by ÚJD, of responsibilities vis-a-vis the public in matters of nuclear safety and environmental protection. ÚJD´s management declared its awareness that ÚJD´s tasks cannot be perfectly fulfilled unless a quality system is in place whose setting up and implementation has full support on the part of ÚJD´s Chairman. At the same time, the basic principles were set for the quality system setting up and the need was voiced of an active approach on the part of all ÚJD´s staff.

In working together with an external agency, analysis of the possibilities of using the previous regulatory acts as a basis for future quality guidelines was performed. The first draft of a quality handbook was developed to be reviewed by an external agency; the latter recommended to adjust the structure of the handbook so as to creatively apply the ISO standard 9001:2000. Based on the recommendations mentioned, the second draft of the quality handbook was prepared that also analyzed the need for the development of new quality guidelines for activities the system is expected to be applied to. A single method was used to develop network diagrams of selected activities that represent the basis of the quality handbook and served the identification of the need of amendments to the existing internal guidelines and of the definition of new ones to be developed according to the single guidelines whose draft was prepared by an external agency.

3.1.3.3 The role of the regulatory body

Pursuant to Act No. 2/1993 Coll.LL., ÚJD provides for the exercise of the tasks of the state regulatory body for nuclear safety of nuclear installations, including regulation of the treatment of radioactive wastes, spent fuel and other parts of the fuel cycle, as well as of nuclear materials, including their control and accounting. It takes care of the assessment of the goals of the nuclear energy utilization programme and of the quality of selected facilities and nuclear technology devices, as well as of the commitments of the Slovak Republic under international agreements and treaties concerning nuclear safety of nuclear installations and management of nuclear materials (see chapters 4.5, 4.7 and 5 ).

Pursuant to Act No. 130/1998 Coll.LL., ÚJD is the state regulator in the field of nuclear safety of nuclear installations; in particular, it

  • performs inspections of workplaces, places of operation and premises of nuclear facilities, checking on the compliance with the responsibilities under the Atomic Act, regulations issued based thereon, operating regulations, adherence to limits and conditions of safe operation, quality assurance systems as well as the responsibilities arising from measures and instructions issued pursuant to the Atomic Act (see chapter 3.2.2.1),
  • verifies the compliance with the commitments under international agreements and treaties, in nuclear safety, management of nuclear materials, radioactive waste from nuclear facilities and treatment for disposal and disposal of institutional radioactive wastes, management of spent nuclear fuel, including accounting and control,
  • identifies the status , reasons and consequences of accidents, incidents and selected failures, and takes part, being a mandatory body, in the investigations of incidents and accidents led by other authorities,
  • checks the performance of mandatory inspections, reviews, operating controls and tests of selected equipment in nuclear facilities,
  • orders the elimination of shortcomings impacting upon nuclear safety,
  • reviews nuclear safety of nuclear facilities independently of the operator (see chapter 4.5),
  • checks the contents and exercise of emergency plans.

ÚJD edits annual reports on the outcomes of regulatory activities and on nuclear safety. The annual summary reports are submitted to the Slovak Government.


3.1.3.4 International cooperation

Cooperation with International Atomic Energy Agency (IAEA)

In the view of the international importance and the broad range of opportunities for technical assistance, cooperation with the Vienna-based IAEA is of top significance. In working together with the Slovak Ministry of Foreign Affairs, the Slovak Republic has been fulfilling its commitments toward this organization fully and timely.

In the field of technical projects, the cooperation between the Slovak Republic and IAEA has been exceptionally successful. Slovakia participated in 2001 in the development of 5 national and 26 regional projects as well as in several scientific projects etc.

Significant amounts of the regional projects concerned nuclear safety issues. In the framework of regional projects, the Slovak Republic has been organizing fellowships for foreign experts, seminars, workshops and training courses with broad international participation. They are focusing on issues ageing of NPP components , radiation protection, safety culture, and utilization of nuclear technologies in the health sector.

Cooperation with the Organization for Economic Cooperation and Development’s Nuclear Energy Agency (OECD/NEA)

On 14 December 2000, the Slovak Republic was officially granted membership of the Organization for Economic Cooperation and Development (OECD). The granting of OECD membership created preconditions for Slovakia’s being accepted by OECD Atomic Energy Agency (OECD/NEA). Following Slovak Government’s resolution, official application of Slovakia to be granted membership in the organization was filed with OECD/NEA in March 2001.

ÚJD had cooperation with OECD/NEA already in the past, in particular with the legislative division, where Slovakia has observer status. ÚJD representatives have been participating in the meetings of the Government Experts Group on third-country nuclear liability, of government experts on the Committee for Safety of Nuclear Installations (CSNI), and of the Committee for Nuclear Regulatory Activities (CNRA).

Cooperation with the European Commission and European Union Member States

ÚJD representatives take regularly part in the meetings of the leading representatives of European nuclear regulatory authorities attended by European Union representatives (CONCERT), meetings of the European Nuclear Installations Safety Group (ENIS-G), and of the Nuclear Regulators Working Group (NRWG), with the aim to exchange opinions on the assessment of the nuclear safety standards of nuclear installations in Europe.

Among the important activities in this area was the report of the Western European Nuclear Regulators´ Association (WENRA) that reviewed the state of the nuclear safety in associated countries. The report that was provided to Slovakia in November 2000, principally evaluated the status of the legislation in the said area positively, as it did with respect to the progress achieved in the process of the safety improvements of nuclear power plant operation. The report at the same time stated that some safety analyses concerning loss of coolant accidents (LOCA) and confinement at NPP V-1 require some additional work. The NPP V-2 safety improvement programme is expected to be continued aiming at the implementation of safety relevant measures. The safety standard of the NPP Mochovce units is comparable with the safety standard of nuclear power plants operated in Western Europe.

Bilateral cooperation

There is formal (based on international agreements) as well as informal cooperation running with all neighboring countries (the Czech Republic, Poland, Ukraine, Hungary, Austria) as well as with other countries (such as Armenia, Bulgaria, Germany, France, Finland, Japan, Spain, Slovenia, the United Kingdom, USA). The cooperation focuses on mutual exchange of experiences in the peaceful uses of nuclear energy, on issues concerning establishment of emergency preparedness system, accident analyses, etc.

Forum of Nuclear Safety Regulatory Authorities of Countries Operating WWER Nuclear Power Plants

The Forum was established for the purpose of mutual exchange of experiences in constructing and operating WWER nuclear power plants. The activities are also being supported on the part of IAEA and other developed countries with nuclear programs. Ad hoc working groups are established in the framework of the Forum that deal with actual issues of nuclear safety and state regulation.

Group of Nuclear Regulatory Bodies of Countries with small Nuclear Programme

Network of Countries with Small Nuclear Programs (NERS) was established in 1998 at the initiative of the Swiss Regulator (HSK) to strengthen cooperation and exchange of experience among countries with similar nuclear programs. ÚJD has been taking regular and active part in NERS activities.

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