EN ANNEX 8 of the Commission Decision on the Annual Action Programme 2016 for Nuclear Safety Cooperation to be financed from the general budget of the European Union Action Document for Turkey Nuclear Safety Cooperation 1. Title/basic act/ CRIS number 2. Zone benefiting from the action/location 3. Programming document 4. Sector of concentration/ thematic area 5. Amounts concerned TK3.01/16 Support to the Regulatory Authority of Turkey CRIS number: 2016 / 038878 Financed under the Instrument for Nuclear Safety Cooperation Turkey The action shall be carried out in Turkey Commission implementing decision of 13.6.2014 on the Instrument for Nuclear Safety Cooperation Multiannual Indicative Programme (2014-2017) C(2014)3764 final Nuclear Safety DEV. Aid: NO 1 Total estimated cost: EUR 3 million Total amount of EU budget contribution EUR 3 million 6. Aid Project Modality modality(ies) and Direct management Procurement of services implementation modality(ies) 7. a) DAC code(s) 23150 b) Main Delivery Channel 8. Markers (from CRIS DAC form) Channel 1 1000: Public Sector Institutions General policy objective Not targeted Significant objective Main objective Participation development/good governance Aid to environment 1 Official Development Aid is administered with the promotion of the economic development and welfare of developing countries as its main objective. [1]
9. Global Public Goods and Challenges (GPGC) thematic flagships Gender equality (including Women In Development) Trade Development Reproductive, Maternal, New born and child health RIO Convention markers Not targeted Significant objective Main objective Biological diversity Combat desertification Climate change mitigation Climate change adaptation SUMMARY Turkey has planned to construct nuclear electricity generating capacity in the country with the first unit to be operational in 2023. The proposed action aims to strengthen the managerial and technical capabilities of the Nuclear Regulatory Authority in Turkey. 1 CONTEXT 1.1 Sector/Country/Regional context/thematic area 1.1.1 Turkish Nuclear Power Program The Republic of Turkey considers the use of nuclear energy in its energy mix as an important factor contributing to energy security policies. In this respect, Turkey plans to have about 20 GWe of nuclear electricity generating capacity by the year 2030. In order to reach this goal, Turkey s first and second nuclear power plant projects of about 5 GWe each, are underway. Akkuyu and Sinop Nuclear Power Plants will be the first two nuclear power plant projects to be implemented in Turkey s nuclear power programme. Akkuyu NPP will be Turkey's first nuclear power plant and will have four units of VVER-1200 type reactors with a total installed power capacity of 4800 MWe. The first unit of the project is expected to be constructed starting in 2017 and to be in commercial operation by the year 2023. As the implementation of these two projects progresses, other projects are expected to be developed. Within the framework of the Turkish Nuclear Power Programme, negotiations with different countries having different types of nuclear power technologies, such as VVER, ATMEA1, AP1000 and APR1400 have been conducted by the Ministry of Energy and Natural Resources. VVER and ATMEA1 reactor designs have been selected for the first two NPPs of the country. Therefore, Turkey is expected to host more than one type of NPP originating from different vendor countries. The licensing process of nuclear facilities is being conducted in accordance with the Decree Pertaining to Issue of Licenses for Nuclear Facilities, 1983. The licensing process for nuclear facilities is completed in three s: Site, Construction and Operating Licenses. [2]
1.1.2 Regulatory background Turkey, as a candidate for membership to the European Union, has to adopt and implement the acquis communautaire. The Turkish legislation on nuclear and radiation safety, safeguards and physical protection is in place. The legislation is mostly based on relevant IAEA Safety Standards Series documents and relevant international conventions. However, there is a need for revision of some regulations to make them fully compliant with the EU acquis and/or EU practices and preparation of new regulations and guides as the nuclear power programme evolves in Turkey. Further preparation and development of the more specific regulations concerning safety of nuclear facilities is a continuous issue. Assistance in this respect is foreseen in the IPA twinning project between TAEK and the nuclear regulator from France, ASN, for which negotiations were ongoing at the beginning of 2016. In the Turkish Atomic Energy Authority Act (Act No. 2690 1982), Turkish Atomic Energy Authority (TAEK) is defined as a judicial organization under the direct supervision of the Prime Minister and is authorized to draw up regulations concerning radiation protection, safety and security of nuclear installations, nuclear materials and radioactive sources, as well as being authorized and responsible for licensing of nuclear facilities and radioactive sources. TAEK undertakes all the regulatory activities concerning nuclear safety and security, radiation safety, radioactive waste safety, transport safety and safeguards in Turkey. TAEK has an internal training centre for Radiation Protection. In addition to this, basic training is provided to newcomers by DNS experienced staff. There are currently five in-house basic training courses. One of the outcomes of this project will be the expanded in-house training capacity in the area of nuclear safety. The main regulatory responsibilities of TAEK are to give approval, permission and licenses related to the siting, construction, operation and environmental protection of nuclear power and research reactors and nuclear fuel cycle facilities, to carry out necessary studies and controls, to limit (restrict) the operator in case of non-compliance with the permission or license, to cancel permanently or temporarily the permission or license given and to make recommendations to the Prime Minister for the shutdown of those facilities and to prepare the necessary technical guides, decrees and regulations for those purposes. Regulatory functions of TAEK are performed by two departments, namely the DNS and the Department of Radiological Health and Safety (DRHS). According to the Turkish Atomic Energy Authority Law (No 2690 - Article: 8-a), the mission of the Department of Nuclear Safety (DNS) within TAEK is to implement the tasks, given by this law, concerning the services related to nuclear safety, site selection of nuclear facilities, construction, system engineering, commissioning, operation, physical protection; radiation safety, nuclear material safety and inspection, environmental safety, and other interested duties. There are 80 technical staff working for DNS. As of May 2015 DNS inspectors are responsible for checking whether the nuclear facility is being operated properly and conforms to the regulations and operating conditions in force. Routine and non-routine inspections including siting, construction, commissioning, operation, physical protection of nuclear facilities, security and safeguards activities and environmental protection are performed by inspectors of DNS according to relevant TAEK regulations. The relevant international conventions and agreements that are in force in Turkey are: 1. Convention on Nuclear Safety, 1994; 2. Paris Convention on Third Party Liability in the Field of Nuclear Energy (29 July 1960), 1961; [3]
a. Protocol to Amend the Convention on Third Party Liability in the Field of Nuclear Energy of 29 July 1960 (28 January 1964), 1967; b. Protocol to Amend the Convention on Third Party Liability in the Field of Nuclear Energy of 29 July 1960, as Amended by the Additional Protocol of 28 January 1964 (16 November 1982), 1984; 3. Treaty on the Non-Proliferation of Nuclear Weapons (NPT), 1979; 4. Agreement between the Government of the Republic of Turkey and the IAEA for the Application of Safeguards in Connection with NPT, 1981; a. Protocol Additional to the Agreement between the Government of the Republic of Turkey and the IAEA for the Application of Safeguards in Connection with NPT, 2001; 5. Convention on Assistance in the Case of a Nuclear Accident or Radiological Emergency, 1990; 6. Convention on Early Notification of a Nuclear Accident, 1990; 7. Convention on the Physical Protection of Nuclear Material, 1986 (2005 amendment has been ratified in 2015); 8. Comprehensive Test Ban Treaty, 1999. The accession process of Turkey to the Joint Convention on the Safety of Spent Fuel Management and on the Safety of Radioactive Waste Management is on-going. 2 RISKS AND ASSUMPTIONS Risks Partner institutions will not mobilise the necessary capacity and capabilities for the management of the project and make the required human resources available. Assumptions Risk level (H/M/L) L Mitigating measures Close monitoring of project implementation Effective implementation assumes the full support from the national authorities and institutions identified as partners (see section 5.5 below). 3 LESSONS LEARNT, COMPLEMENTARITY AND CROSS-CUTTING ISSUES 3.1 Lessons learnt The European Union has gained considerable experience both in projects carried out within the INSC and the former TACIS programme, in supporting the development of national frameworks for regulating radiation protection and nuclear safety. This experience will be used in the implementation of this action. 3.2 Complementarity, synergy and donor coordination A twinning project, with the nuclear safety authorities of France, ASN and IRSN was programmed under the Instrument for Pre-accession Assistance (IPA). Negotiations about implementation were ongoing in the beginning of 2016. The project budget is 1.5 million. [4]
This INSC project builds on and complements the activities of the IPA Twinning Project which consists of the following components: Transposition of the EU nuclear safety acquis; Development and implementation of review and assessment procedures for licensing and permission activities; Improving regulatory inspection capability; Human Resource Management. TAEK has also been working with the International Atomic Energy Agency (IAEA) in a Technical Cooperation (TC) project to support capacity building activities. The project title and code are: TUR9019 / Enhancing the Turkish Atomic Energy Authority's capabilities for regulatory oversight of construction, commissioning and operation of new nuclear power plants. This IAEA TC project started in 2011 and has been extended every two years since. The objective of the project is to enhance TAEK's capabilities to manage the licensing process and oversee the construction, commissioning and operation of multiple unit NPPs to be built in Turkey. A number of training and review activities have been performed until 2015 under this TC project. This INSC action is self-standing and is not directly linked to any potential actions of other donors or the International Atomic Energy Agency (IAEA). The project does not foresee the participation of other international donors and does not knowingly overlap with any other existing bi-lateral or multi-donor initiatives. The European Union will remain the only fund provider. 3.3 Cross-cutting issues The project contributes to the improvement of the governance in the policy area of nuclear safety. It will enhance the capacity of the National Regulatory Authority to ensure independent regulatory oversight on the construction of a new nuclear power plant neighbouring the European Union. It will promote the application of high level nuclear safety standards. 4 DESCRIPTION OF THE ACTION 4.1 Objectives/results The main aim of this project is the strengthening of managerial and technical capabilities of the Turkish Nuclear Regulatory Authority and its Technical Support Organisations. More specifically the project aims at enhancing competency within TAEK in nuclear regulatory activities for nuclear power plants in the following areas: 1. In-house training capability of TAEK for licensing process of nuclear installations; 2. Deterministic and Probabilistic Safety Analysis; 3. Manufacturing and construction inspections; 4. Management system of the regulatory body. The European Commission adopted the "Communication of the Commission to the Council and the European Parliament addressing the international challenge of nuclear safety and security" in spring 2008. This project fulfils the criteria on project selection as mentioned in the "Council Conclusions on assistance to third countries in the field of nuclear safety and [5]
security" adopted by the 2913th Transport, Telecommunication and Energy Council Meeting on 9 December 2008. The Council Directive 2014/87/Euratom of 8 July 2014 amending Directive 2009/71/Euratom, the Council Directive 2011/70/Euratom (Waste Directive), the Council Directive 2013/59/Euratom (Basic Safety Standards) of 5 December 2013 and the Vienna Declaration on the Convention of Nuclear safety of 9 February 2015 will be used as a reference. The Council conclusions on the subject of off-site nuclear emergency preparedness and response EP&R (Council document 14618/15 of 15 December 2015) will be used to inform neighbouring third countries about the provisions established in the Directive 2013/59/Euratom aiming at strengthening EP&R in the Member States. 4.2 Main activities Task 1. Enhancing the in-house training capability of TAEK for the licensing process of nuclear installations This task will identify the necessary areas, develop training material, train trainers and deliver specific training courses for newcomers and for specialised staff in TAEK. TAEK has already developed basic courses in the following areas: Basic training on nuclear energy; Basic training on nuclear safety; Basic training on nuclear security and safeguards; Basic training for inspectors; Basic training on regulatory control. TAEK staff has also followed IAEA training activities, but more advanced and specific capacity building is needed and will be provided under this task, which will also include on the job training of Turkish regulatory staff. In particular, topics related to the PSAR and SAR or submitted documents will be covered, such as: systems important to nuclear safety (reactor, primary circuit, secondary circuit, safety systems, I&C systems, power supply systems, etc); radiation protection; emergency preparation; internal and external hazards; deterministic and probabilistic safety analysis. Furthermore relevant aspects related to the regulatory control including inspection, during siting, manufacturing, construction, commissioning, operation and decommissioning will be covered, including the assessment of operating instructions and guides including SAMG. Task 2: Enhancing deterministic and probabilistic safety analysis capability TAEK will be supported in the development and enhancement of technical capability in assessing safety analysis performed by the NPP owner and in performing independent analyses. [6]
The present situation in Turkey regarding the availability of necessary computer codes and its capability to use these codes for the independent regulatory activities will be assessed. TAEK will procure relevant computer codes for deterministic and probabilistic safety analysis of NPPs in order to be able to perform independent safety analysis. TAEK experts will be trained in: assessing safety analyses which are submitted by the NPP owner, using those codes for the regulatory functions including code customisation which is relevant for the independent verification of safety analysis and the regulatory interpretation of the analysis results. Task 3: Improving manufacturing and construction inspection capacity Cooperation on practical and specific example cases, relevant for the nuclear safety regulation will be performed to enhance the nuclear safety regulatory practical experience and transfer EU experience in regulating and inspecting the manufacturing and construction process of nuclear installations, in particular nuclear power plants. The following list includes typical regulatory activities in this field: Review of design specifications for safety related equipment; Review of manufacturing inspection/test program of the owner; Development of requirements for and preparation of the approval to manufacture and assemble the equipment; Performing manufacturing inspections by the regulatory body; Performing construction inspections by regulatory body. In this scope, the project will include capacity building activities such as : providing training to TAEK experts in the form of workshops and on-the-job trainings; participation of EU MS experts in TAEK s inspections as observers and preparation of recommendations for TAEK in order to improve TAEK s inspection methods; development and enhancement of an inspection guidance documents. Task 4: Improving the management system of the regulatory body TAEK intends to align its management system to an integrated management system for its regulatory functions. The existing management system will be assessed, recommendations will be provided and TAEK will be supported in the implementation and migration to the integrated management system. The cooperation to improve the management system will address the administrative and regulatory aspects related to its functioning as regulator, such as: License application review and assessment process; License decision making process; Inspection and enforcement process; Issue tracking system (review & assessment and inspections); [7]
Management of Change; Document management system; Resource management system; Oversight of consultancy services. 4.3 Intervention logic The department of nuclear safety of TAEK (DNS) has limited experience in licensing of nuclear facilities and would benefit from advice and support from experienced Member State nuclear regulatory bodies to improve the review assessment and inspection procedures to achieve a more effective and efficient performance. Therefore, there is a need for DNS staff to be trained on review and assessment and regulatory safety inspection. Increasing the capacity for safety assessment at this stage in the construction process is of benefit for Turkey, but also for EU states, in the first place those which border the Mediterranean and Black Sea coast. 5 IMPLEMENTATION 5.1 Financing agreement In order to implement this action it is not foreseen to conclude a financing agreement with Turkey, referred to in Budget Article 184(2)(b) of Regulation (EU, Euratom) No 966/2012. 5.2 Indicative implementation period The indicative operational implementation period of this action, during which the activities described in section 4.2 will be carried out and the corresponding contracts and agreements implemented, is 72 months from the date of adoption by the Commission of this Action Document. Extensions of the implementation period may be agreed by the Commission s authorising officer responsible by amending this decision and the relevant contracts and agreements; such amendments to this decision constitute technical amendments in the sense of point (i) of Article 2(3)(c) of Regulation (EU) No 236/2014. 5.3 Procurement (Direct Management) Subject in generic terms, if possible Type (works, supplies, services) Indicative number of contracts Indicative trimester of launch of the procedure Regulatory support activities Services 1 4/2016 5.4 Scope of geographical eligibility for procurement and grants The geographical eligibility in terms of place of establishment for participating in procurement and grant award procedures and in terms of origin of supplies purchased as established in the basic act and set out in the relevant contractual documents shall apply. [8]
The Commission s authorising officer responsible may extend the geographical eligibility in accordance with Article 9(2)(b) of Regulation (EU) No 236/2014 on the basis of urgency or of unavailability of products and services in the markets of the countries concerned, or in other duly substantiated cases where the eligibility rules would make the realisation of this action impossible or exceedingly difficult. 5.5 Indicative budget Module EU contribution (amount in EUR) Third party contribution 4.3.1. Procurement (direct centralised) 3 000 000 N.A. 4.7. Evaluation and audit (indicative) Will be covered by another decision 4.8. Communication and visibility (indicative) Will be covered by another decision N.A. N.A. Total 3 000 000 N.A. 5.6 Organisational set-up and responsibilities The project point of contact is the Ministry of EU affairs, the beneficiary is the Ministry of Energy and Natural Resources and the End User is the Turkish Atomic Energy Authority, TAEK. 5.7 Performance monitoring and reporting The day-to-day technical and financial monitoring of the implementation of this action will be a continuous process and part of the implementing partner s responsibilities. To this aim, the implementing partner shall establish a permanent internal, technical and financial monitoring system for the action and elaborate regular progress reports (not less than annual) and final reports. Every report shall provide an accurate account of implementation of the action, difficulties encountered, changes introduced, as well as the degree of achievement of its results (outputs and direct outcomes) as measured by corresponding indicators, using as reference the log-frame matrix (for project modality) or the list of result indicators (for budget support). The report shall be laid out in such a way as to allow monitoring of the means envisaged and employed and of the budget details for the action. The final report, narrative and financial, will cover the entire period of the action implementation. The Commission may undertake additional project monitoring visits both through its own staff and through independent consultants recruited directly by the Commission for independent monitoring reviews (or recruited by the responsible agent contracted by the Commission for implementing such reviews). 5.8 Evaluation Having regard to the nature of the action, a(n) ex-post evaluation will not be carried out for this action or its components. [9]
In case an evaluation is not foreseen, the Commission may, during implementation, decide to undertake such an evaluation for duly justified reasons either on its own decision or on the initiative of the partner. The evaluation reports shall be shared with the partner country and other key stakeholders. The implementing partner and the Commission shall analyse the conclusions and recommendations of the evaluations and, where appropriate, in agreement with the partner country, jointly decide on the follow-up actions to be taken and any adjustments necessary, including, if indicated, the reorientation of the project. The financing of the evaluation shall be covered by another measure constituting a financing decision. 5.9 Audit Without prejudice to the obligations applicable to contracts concluded for the implementation of this action, the Commission may, on the basis of a risk assessment, contract independent audits or expenditure verification assignments for one or several contracts or agreements. The financing of the audit shall be covered by another measure constituting a financing decision. 5.10 Communication and visibility Communication and visibility of the EU is a legal obligation for all external actions funded by the EU. This action shall contain communication and visibility measures which shall be based on a specific Communication and Visibility Plan of the Action, to be elaborated at the start of implementation and supported with the budget indicated in section 5.4 above. In terms of legal obligations on communication and visibility, the measures shall be implemented by the Commission, the partner country, contractors, grant beneficiaries and/or entrusted entities. Appropriate contractual obligations shall be included in, respectively, the financing agreement, procurement and grant contracts, and delegation agreements. The Communication and Visibility Manual for European Union External Action shall be used to establish the Communication and Visibility Plan of the Action and the appropriate contractual obligations. [10]
Specific objectiv(s) Outcome(s) Overall objective: Impact APPENDIX - INDICATIVE LOGFRAME MATRIX (FOR PROJECT MODALITY) The activities, the expected outputs and all the indicators, targets and baselines included in the logframe matrix are indicative and may be updated during the implementation of the action, no amendment being required to the financing decision. When it is not possible to determine the outputs of an action at formulation stage, intermediary outcomes should be presented and the outputs defined during inception of the overall programme and its components. The indicative logframe matrix will evolve during the lifetime of the action: new lines will be added for including the activities as well as new columns for intermediary targets (milestones) for the output and outcome indicators whenever it is relevant for monitoring and reporting purposes. Note also that indicators should be disaggregated by sex whenever relevant. Results chain Indicators Baselines (incl. reference year) Contributing to achieving the overall INSC objectives and contribute toward providing a sustainable and visible nuclear safety framework Targets (incl. reference year) Sources and means of verification See below 2016 2019 Project Terms of Reference Assumptions Full support of all government stakeholder organisations. I1 2, 3& 4: strengthening the nuclear regulatory authority and its technical support organisation by transferring EU expertise and best international practices and capacity building I5: promotion of gender equality I1: Number of regulatory documents or safety analysis produced under the project* I2: Number of staff trained in the beneficiary country* I1: to be defined during inception I2: to be defined during inception I1: to be defined during inception I2: to be defined during inception I1: Project reports provided by the contractor and accepted by the EC project manager I2: Training course report provided by the contractor Sufficient resources and absorption capacity in XX (please insert the Beneficiary or End- User as appropriate) I3 Capacity to independently carry out deterministic and probabailistic safety analysis I3: to be defined during inception I3: to be defined during inception I3: Project deliverables I4 Capacity to carry out indepently manufacturing and construction inspection I4: to be defined during inception I4: to be defined during inception I4: Project deliverables [11]
Outputs I5 Number of women enrolled in training and tutoring activities I5: to be defined during inception I5: 50% I5: Training course report provided by the contractor Training activities, draft regulatory documents, safety analysis, assessment reports Number of training courses and number of participants, number of documents produced and translated into the regulatory framework To be determined during project implementation To be determined during project implementati on Progress and final reports provided by the contractor and accepted by the EC project manager *Indicators derived from the Multiannual Indicative Programme [12]