The compliance function: verification and oversight during construction and operation

The regulatory body oversees the compliance with regulations, regulatory requirements and the conditions specified in the licence through review and assessment and regulatory inspection. This review and assessment of infor­mation is performed prior to granting a licence and during the lifetime of the nuclear power plant. There are several types of review: pre-licensing review, review of the design or of operational changes at the plant, review of the application of the operational experience, review of the ageing of the plant, and review of licence extension or long-term operation beyond the licensing basis.

The independent review and assessment and the regulatory inspections are not separate and distinct processes. The safety verification and oversight is an integrated and interactive process that involves both the independent review and assessment processes and the regulatory inspections; from the results of both of these activities, conclusions can be drawn and therefore regulatory decisions taken. Coordination between review and assessment activities and inspection activities is a key element to ensure a systematic approach.

The results and decisions from the oversight are necessary to take appro­priate regulatory actions for safety, including enforcement action when necessary. The results of reviews and assessments should be provided as feedback information for the regulatory process.

The review and assessment activities and inspection activities are the major functions carried out by the regulatory body. Therefore it is necessary to consider the human and financial resources and regulatory competences required to perform these activities.

A crucial aspect is to provide the licensee with a comprehensive under­standing of national safety requirements, or references to international or other countries’ requirements clearly specified as part of the licensing and regulatory framework in the early stages of the project. Vendor, licensee and regulator need to have a clear understanding of the licensing, regula­tory, and inspection practices in the State where the plant is designed and in the State where the plant will be constructed.