Nuclear Safety: Information on the International Nuclear Regulators
Association (Letter Report, 08/06/1999, GAO/RCED-99-243).

Pursuant to a congressional request, GAO provided information on the
Nuclear Regulatory Commission's (NRC) participation in the International
Nuclear Regulators Association, focusing on: (1) the Association's
activities since it was created; (2) U.S. costs to support NRC's
participation in the Association; (3) the views of NRC's commissioners
and others on the benefits of the Association; and (4) other groups and
activities that promote nuclear safety and the extent to which these
groups duplicate the work of the Association.

GAO noted that: (1) the International Nuclear Regulators Association's
activities since its inception over two years ago have focused in part
on practical matters such as arranging and conducting meetings to
discuss nuclear regulation and safety-related issues; (2) since 1998,
the Association has published statements on topical matters, such as the
year 2000 computer problem and its potential impact on the safe
operation of nuclear power plants; (3) the Commission's former Chairman
told GAO that the Association's public statements are important because
they increase public awareness of the group and help promote nuclear
safety from a regulatory perspective; (4) according to the NRC, its
costs for participating in the Association from fiscal year (FY) 1997
through May 1999 were $113,719; (5) about two-thirds of these costs, or
$72,500, are for the salary and benefits of Commission employees who
support Association-related activities; (6) the Commission Chairman's
salary and benefits are not included in this amount because the
Chairman's time is not allocated to individual projects or activities;
(7) the remainder of the expenses are for travel, activities related to
hosting meetings and functions, and costs for the design and printing of
stationary; (8) NRC anticipates spending $40,000 to $45,000 to support
its participation in the Association in FY 2000; (9) Commission
officials stated that the Commission's future costs for participating in
the Association would decrease because the Commission's Chairman no
longer serves as the Association's chairman or provides secretariat
services; (10) members of the Association, representatives of
international organizations, and U.S. government and U.S. nuclear
industry officials expressed differing views about the Association; (11)
seven Association members, including the former NRC Chairman, found it
to be useful as a way to exchange ideas and information about regulatory
issues facing each country; (12) nine other international groups or
organizations have been established or proposed that also promote
nuclear safety and regulation; (13) some of these groups have formed
under the auspices of larger, multilateral organizations; and (14)
according to officials from NRC's Office of International Programs and
the Department of State, as well as some Association members, the
Association does not duplicate the functions of other groups because its
members consist of the heads of participating countries' nuclear
regulatory organizations.

--------------------------- Indexing Terms -----------------------------

 REPORTNUM:  RCED-99-243
     TITLE:  Nuclear Safety: Information on the International Nuclear
	     Regulators Association
      DATE:  08/06/1999
   SUBJECT:  International relations
	     Nuclear facility safety
	     Redundancy
	     International organizations
	     Safety standards
	     Nuclear powerplant safety
	     Safety regulation
	     Regulatory agencies
IDENTIFIER:  Convention on Nuclear Safety
	     Canada
	     France
	     Germany
	     Japan
	     Spain
	     Sweden
	     United Kingdom

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rc99243 GAO United States General Accounting Office

Report to the Chairman, Committee on Foreign Relations, U. S.
Senate

August 1999 NUCLEAR SAFETY Information on the International
Nuclear Regulators Association

GAO/RCED-99-243

  GAO/RCED-99-243

Page 1 GAO/RCED-99-243 Nuclear Regulators Association United
States General Accounting Office

Washington, D. C. 20548 Resources, Community, and Economic
Development Division

B-283100 Letter August 6, 1999 The Honorable Jesse Helms Chairman,
Committee on Foreign Relations United States Senate

Dear Mr. Chairman: The United States currently participates in and
expends funds on numerous organizations dealing with international
nuclear safety. Several U. S. government agencies, including the
Nuclear Regulatory Commission

(NRC), take part in one or more of these organizations. One of
these organizations, the International Nuclear Regulators
Association, was established in 1997 as an informal group for
senior regulators to exchange ideas and views on issues related to
nuclear safety and regulation. Members include the Chairman of the
NRC from the United States and the equivalent position in seven
other countries-- Canada, France, Germany, Japan, Spain, Sweden,
and the United Kingdom. The Association's members selected the
former Chairman of the NRC, who was a chief

proponent of the Association, to serve as its first chairman, a
position that she held until May 1999. 1

You have expressed concern about NRC's participation in these
organizations, particularly the International Nuclear Regulators
Association, because, among other things, this association may
duplicate

the activities carried out under the Convention on Nuclear Safety,
which was ratified by the U. S. Senate in March 1999. 2
Accordingly, you asked that 1 On June 30, 1999, the NRC Chairman
left NRC to assume a position as the president of a private
university. The President appointed one of NRC's four remaining
commissioners as the new chairman, effective July 1, 1999. Until
another commissioner is appointed, NRC will operate with four
commissioners rather than five. For the purpose of this report, we
make frequent references to the five commissioners who were part
of the NRC during the course of our work.

2 The Convention is viewed by the executive branch as an important
tool to encourage countries with civilian nuclear programs that do
not meet western safety standards (especially those possessing
Soviet- designed nuclear power plants) to improve the safety of
their nuclear reactors. For more

information on the Convention, see the following: Nuclear Safety:
Progress Toward International Agreement to Improve Reactor Safety
(GAO/RCED-93-153, May 14, 1993); Nuclear Safety: Uncertainties
About the Implementation and Costs of the Nuclear Safety
Convention

(GAO/RCED-97-39, Jan. 2, 1997); and Nuclear Safety: The Convention
on Nuclear Safety (GAO/T-RCED-99-127, Mar. 17, 1999). Lett er

B-283100 Page 2 GAO/RCED-99-243 Nuclear Regulators Association

we provide information on (1) the Association's activities since
it was created, (2) U. S. costs to support NRC's participation in
the Association, (3) the views of NRC's commissioners and others
on the benefits of the Association, and (4) other groups and
activities that promote nuclear safety and the extent to which
these groups duplicate the work of the Association.

Results In Brief The International Nuclear Regulators
Association's activities since its inception over 2 years ago have
focused in part on practical matters such as

arranging and conducting meetings to discuss nuclear regulation
and safety- related issues. Since 1998, the Association has
published statements on topical matters, such as the year 2000
computer problem and its

potential impact on the safe operation of nuclear power plants.
The Commission's former Chairman told us that the Association's
public statements are important because they increase public
awareness of the group and help promote nuclear safety from a
regulatory perspective.

According to the Nuclear Regulatory Commission, its costs for
participating in the Association from fiscal year 1997 through May
1999 were $113,719. About two- thirds of these costs, or $72,500,
are for the salary and benefits of Commission employees who
support Association- related activities. The Commission Chairman's
salary and benefits are not included in this amount because the
Chairman's time is not allocated to individual projects or
activities. The remainder of the

expenses are for travel; activities related to hosting meetings
and functions, such as breakfasts and dinners; and costs for the
design and printing of stationery. The Nuclear Regulatory
Commission anticipates spending

$40,000 to $45,000 to support its participation in the Association
in fiscal year 2000. Commission officials stated that the
Commission's future costs for participating in the Association
would decrease because the Commission's Chairman no longer serves
as the Association's chairman or provides secretariat services.

Members of the International Nuclear Regulators Association,
representatives of international organizations, and U. S.
government and U. S. nuclear industry officials expressed
differing views about the Association. Seven Association members,
including the former Nuclear Regulatory Commission Chairman (who
was also one of the Commission's five commissioners), found it to
be useful as a way to exchange ideas and information about
regulatory issues facing each country. Several of the Nuclear
Regulatory Commission's other commissioners had concerns about the
Association because they (1) are excluded from its activities, (2)
Lett er

B-283100 Page 3 GAO/RCED-99-243 Nuclear Regulators Association

do not know how the group may be benefiting the Commission, and
(3) believe that the countries that might benefit the most from
the Association, such as Russia, are not members. In addition, one
commissioner said that the Association does not have a clear
purpose or mission.

Nine other international groups or organizations have been
established or proposed that also promote nuclear safety and
regulation. Some of these groups have formed under the auspices of
larger, multilateral organizations. The creation of the
International Nuclear Regulators Association was the impetus
behind the development of at least two other groups of regulators.
We obtained differing views as to whether the Association
duplicated the work of other groups that promote nuclear safety.
According to officials from the Nuclear Regulatory Commission's
Office of International Programs and the Department of State, as
well as some Association members, the Association does not
duplicate the functions of other groups because its members
consist of the heads of participating countries' nuclear
regulatory organizations. However, a German nuclear regulatory
official told us that having so many regulator groups raises
potential for the duplication of activities. Furthermore, a

senior Russian regulator said that all of the groups that promote
nuclear safety need to have a clear division of responsibility.

Background According to NRC's former Chairman, prior to the
creation of the Association, no permanent forum was devoted solely
to the mutual interests of senior nuclear regulatory officials.
The Association's objectives include (1) building a global nuclear
safety culture, (2) enhancing the stature of nuclear regulatory
organizations worldwide, and (3) seeking consensus on how
regulatory issues can be approached and implemented. According to
the Association's charter, the group meets at least once each year
and is headed by a chairman who is responsible for coordinating
the Association's work. The first person to serve as the
Association's chairman, NRC's former Chairman, served a 2- year
term. Subsequent chairmen will serve for 1- year terms. In May
1999, Association members selected a new chairman, the United
Kingdom's Chief Inspector of Nuclear Installations.

Association members decided to limit the group to eight countries
with major civil nuclear power programs Canada, France, Germany,
Japan, Spain, Sweden, the United Kingdom, and the United States.
Some countries with significant civil nuclear power programs that
are not members of the Association include Russia, China, and the
Republic of

B-283100 Page 4 GAO/RCED-99-243 Nuclear Regulators Association

Korea. According to the Association's charter, the membership
takes into account the size and scope of each country's nuclear
program, the existence of a well- established, independent nuclear
regulatory authority, and a firm commitment to the provisions of
the Convention on Nuclear Safety. Association members have
discussed the possibility of adding new members but have made no
final determination.

International Nuclear Regulators Association's Activities

NRC officials told us that the Association's activities since its
inception over 2 years ago have focused in part on practical
matters, such as arranging and conducting meetings to discuss
nuclear regulation and safety

related issues. Furthermore, according to one Association member,
its Chairman thought that it was important for the Association to
produce public statements on matters pertaining to nuclear
regulation and safety. NRC's former Chairman told us that the
Association's public statements are

important because they increase public awareness of the group and
help promote nuclear safety from a regulatory perspective. Since
1998, the Association has disseminated statements on nuclear
safety that were provided to officials attending the G- 7/ G- 8
Birmingham Economic Summit

and the G/ 7G- 8 Moscow Energy Ministerial Meeting on the World
Energy Future. 3 For example, the Association's public statements
identified several elements that should be present in every
national nuclear power program, including the following:

 a national commitment to safety as a fundamental requirement for
a nuclear power program;  a legislative and regulatory framework
governing the safety of nuclear

power installations;  a system of regulatory inspection and
assessment, including independent safety analysis by the
regulator; and  the recognition that the prime responsibility for
the safety of a nuclear power installation rests with the holder
of the license, while a strong

and competent regulatory body should ensure that each license
holder meets its responsibility. NRC's former Chairman also
considered the development of formal relationships with other
international nuclear bodies to be a key

accomplishment of the Association. For example, in 1998, the
Association 3 The G- 7 refers to the seven major industrialized
countries -- Canada, France, Germany, Italy, Japan, the United
Kingdom and the United States. The G- 8 consists of the G- 7
countries plus Russia.

B-283100 Page 5 GAO/RCED-99-243 Nuclear Regulators Association

established cooperative arrangements with the International Atomic
Energy Agency (IAEA) 4 and the Nuclear Energy Agency (NEA) 5 for
the purpose of exchanging information and documents and
participating in

certain meeting and conferences hosted by the respective
organizations. Furthermore, the Association published a statement
on a proposal related to the future role and mission of NEA. The
Association suggested that NEA consider the Association's views in
the formulation of a strategic plan and in the development of a
mission statement. According to NEA's Deputy Director General, the
Association's advice was very useful in providing the

consensus views of the top nuclear regulators from the major civil
nuclear power countries within NEA. Furthermore, the Association's
views were considered in the final stages of the development of
NEA's strategic plan. In addition, in early 1999, the Association
prepared a brief statement on year 2000 (Y2K) computer problems.
The Association urged governments, and their regulatory
authorities and operating organizations, to (1) diagnose the
extent to which the Y2K problems could affect nuclear power plants
and other facilities using radioactive materials and (2) implement
corrective programs and contingency planning in the near term. The
statement was sent to Association members' governments, NEA, IAEA,
and the Chairman of the first review meeting of the Convention on
Nuclear Safety. IAEA's Deputy Director General for Nuclear Safety
told us that the Association's Y2K statement came too late to be
of any value because IAEA

had already prepared a guidance publication on this matter. A
Department of State official who headed the U. S. delegation to
the Convention on Nuclear Safety told us that she was not aware of
the Association's Y2K statement. 4 IAEA was formed in 1957 as a
specialized agency in the United Nations system. The organization
serves as the world's central intergovernmental forum for
scientific and technical cooperation in the

nuclear field and as the international inspectorate for the
application of nuclear safeguards and verification measures
covering civilian nuclear programs. Currently, 128 nations are
IAEA members.

5 The Nuclear Energy Agency is a semiautonomous body within the
Organization for Economic Cooperation and Development. The
Agency's objective is to contribute to the development of nuclear
energy through the cooperation of its 27 participating countries,
including the United States.

B-283100 Page 6 GAO/RCED-99-243 Nuclear Regulators Association

NRC Has Spent About $114,000 on Association- Related Activities

Table 1 shows NRC's costs to participate in the Association from
fiscal year 1997 through May 1999.

Table 1: NRC's Costs to Participate in the Association, 1997
Through May 1999

a Excludes the salary and benefits of the former NRC Chairman.
Source: NRC.

As shown in table 1, salaries and benefits are NRC's single
largest cost for Association participation, amounting to $72,500
(or 64 percent of the total) through May 1999. 6 Salaries and
benefits are for various officials in NRC's Office of
International Programs and staff in the NRC Chairman's office who
are devoted to Association activities, as well as the
administrative and clerical staff employed in copying and mailing
documents and travel needed to support participation in the
Association. Travel is the second largest cost of NRC's
participation in the Association, totaling $25,296 (or 22 percent
of all expenses) through May 1999. While three of the

Association's six meetings were in Washington, DC, NRC staff
traveled to Association functions in Texas, California, Nevada,
and Paris, France. 7 The trips to California and Nevada involved
seven NRC staff and cost about $14,400. The Texas trip involved
six NRC staff and cost about $7, 200.

Three NRC staff traveled to Paris at a cost of $3, 664. As part of
the travel, Association officials took trips to two DOE facilities
Lawrence Livermore National Laboratory in California and the Yucca
Mountain Site Characterization Project in Nevada. These trips were
Fiscal year Salaries and

benefits a Travel Meetings Design and

production of materials Total

1997 $22,500 $3, 664 $1,115 $7,156 $34, 435 1998 30, 000 14, 412
4,829 0 $49, 241 1999 20, 000 7, 220 2,823 0 $30, 043

Total $72, 500 $25, 296 $8,767 $7,156 $113, 719

6 In 1997, NRC commissioners voted to limit NRC's personnel
support for the Association. As a result, NRC can only provide
one- fourth full- time equivalent staff for Association- related
activities, which equates to between $30,000 and $35,000 per year
in salary and benefits. 7 The Paris meeting, held in May 1997, was
an organizational preparatory meeting and was not hosted by NRC.

B-283100 Page 7 GAO/RCED-99-243 Nuclear Regulators Association

arranged by NRC to provide Association members with brief (half-
day each) facility visits. According to a May 1997 Department of
State memo providing guidance on the formation of the Association,
the Association's objective is to focus and coordinate nuclear
safety and security in civil nuclear programs worldwide but not to
exercise regulatory authority over any national civilian nuclear
program or conduct any site visits in that capacity. An NRC
official said the trips to the DOE facilities did not

conflict with the guidance on the Association's formation
including limits on its role and responsibilities-- because the
visits were not conducted with the intention of providing
regulatory oversight over these facilities. Furthermore, NRC did
not pay any of the travel or per diem expenses of other
Association members who attended meetings in the United States.
According to the Association's charter, members are to cover their
own

expenses for meetings. Additionally, the Association's charter
states that its Chairman is responsible for providing Secretariat
functions during his or her time of incumbency. As a result, when
NRC's former Chairman served as the Chairman for the Association,
NRC spent $8,767 (or 8 percent of NRC's total costs) on activities
related to hosting Association meetings, such as

continental breakfasts, lunches, dinners, or receptions for its
members. Also in its role as Association Chairman, NRC incurred
costs of $7,156 (or 6 percent of its total costs) for the design
and production of Association materials such as stationery and
brochures. NRC anticipates spending $40,000 to $45,000 to support
Association participation in fiscal year 2000. NRC officials
stated that its future costs for participation would decrease
because NRC's Chairman no longer serves as the Association's
Chairman or provides secretariat services, including hosting
meetings. Officials Expressed

Differing Views About the Benefits of the International Nuclear
Regulators Association

Seven Association members and others told us that the group was a
useful venue for sharing information on regulatory matters.
However, others, including most of the NRC Commissioners, had
concerns about the

Association's benefits because, among other things, (1) they were
excluded from participating in the group and (2) membership was
limited to those countries with well- developed nuclear regulatory
organizations.

B-283100 Page 8 GAO/RCED-99-243 Nuclear Regulators Association

International Nuclear Regulators Association Members Believe the
Association Is Useful

Members from seven countries, including the United States, had
positive views about the Association and generally found it to be
very useful as a way to exchange ideas and information about
regulatory issues facing each country. 8 For example, the United
Kingdom's Association representative-- and new chairman-- told us
that he was initially skeptical about the Association but has
found it to be a very useful way to get to know his colleagues
from other countries. NRC's former Chairman told us that she was
proud of the Association's accomplishments over the past 2

years. Specifically, she said that Association meetings have
helped outline important similarities and differences among its
members' approaches to nuclear safety and have helped create
common definitions of regulatory terms. Japan's representative
said that the Association's accomplishments may not necessarily be
specific and tangible. However, he said that the

information exchanged among the members had enabled him to obtain
a much better understanding of how others view their nuclear
regulatory responsibilities.

Furthermore, IAEA's Deputy Director General for Nuclear Safety
told us that the Association is one of a number of regulator
groups that provide nuclear safety and regulation benefits. NEA's
Deputy Director General told us that although the Association's
impact has not been tangible, the process of having senior
regulators meet on a routine basis is valuable. In his view, it is
important to have as many organizations as possible discussing
nuclear safety. NRC officials from the Office of International
Programs also supported the

Association. They noted that the group's small group setting was
conducive to open and frank discussions. However, when we asked
NRC officials to rate the overall value of the Association, they
responded that it was of moderate benefit. According to the
Department of State's Senior Coordinator for Nuclear Safety, who
is responsible for coordinating U. S.

international nuclear safety assistance, the Association has been
useful in promoting information exchanges among its members. In
March 1999, the Department of State's Deputy Assistant Secretary
for Nonproliferation Affairs testified before the Senate Foreign
Relations Committee on the Convention on Nuclear Safety. He said
the Association was helpful to its

8 We were unable to obtain a response from Germany's Association
representative. According to an official from his organization,
the German senior regulator was recently appointed and had not yet
formed an opinion about the group.

B-283100 Page 9 GAO/RCED-99-243 Nuclear Regulators Association

members in performing their own national responsibilities, but it
does not speak for the U. S. government. Four of Five NRC
Commissioners Have Concerns About the Association

Four of NRC's commissioners expressed concerns about NRC's
participation in the Association and do not support it in its
current form. 9 Two of these commissioners told us that it did not
make sense that only NRC's Chairman participated in Association
activities. One commissioner said that it was his initial
impression, when the Association was being formed, that all NRC
commissioners would be able to participate in the group's
meetings. However, during the Association's formation, the country
representatives determined that only each country's most senior

regulatory official-- NRC's Chairman and the foreign country
equivalent-- would participate. This commissioner noted that all
NRC commissioners were entitled to full participation in the group
because no one individual knows everything that occurs affecting
the U. S. nuclear regulatory agency or the civil nuclear
activities of any country.

This same commissioner also told us that he was concerned that the
Association has moved beyond an informal group to areas that are
outside of its jurisdiction or authority. For example, the
commissioner believes that the Association should not be entering
into agreements with

international organizations or developing position papers that are
distributed to foreign ministers. He said that the group should
not be trying to assume a more active role in international
nuclear activities because that is the purview of the Department
of State or the Department of Energy.

Several commissioners also told us that NRC's former Chairman has
not kept them adequately involved in Association- related
activities. As a result, they do not know how the group is
benefiting NRC. According to one commissioner, the Association
might be of great personal benefit to NRC's former Chairman, but
all of the commissioners would benefit if these insights were
circulated. He noted that information is exchanged between the
commissioners' staffs but believed that this is insufficient.
Furthermore, he believed that increased information sharing among

commission members would be useful and could lead to greater
commission support for the Association. According to one NRC
commissioner, the Association does not have a clear purpose or
mission.

9 The NRC is headed by five commissioners appointed by the
President and confirmed by the U. S. Senate for 5- year terms. One
of the commissioners is designated by the President to be
Chairman. The Chairman serves as the principal executive officer
and the official spokesperson of the Commission.

B-283100 Page 10 GAO/RCED-99-243 Nuclear Regulators Association

Another commissioner said NRC should continue to participate in
the Association only if (1) additional countries are added as
members, (2) other NRC commissioners participate in the group's
meetings, and (3) the costs of NRC's participation are minimized.
NRC's former Chairman disagreed with the views of the other
commissioners. She said that Association information is circulated
to all of the NRC commissioners. For example, NRC staff give
periodic briefings and circulate Association documents and
speeches to the Commission.

Furthermore, each commissioner was given the opportunity to
comment on the development of the Association, and their views
were incorporated where feasible. The former Chairman also said
that it may be impossible for all of the commissioners to
participate in group- related activities because of agency
regulations that restrict meetings without providing a public
notification under NRC's interpretation of the Government in the
Sunshine Act. 10 Under existing practices, any discussion of
agency business by three or more commissioners, no matter how
informal or preliminary, cannot be held without a formal public
notice of a meeting. NRC is currently in the process of seeking to
make the definition of a

meeting less restrictive in order to enable the commissioners to
meet to discuss general information so long as the discussions do
not effectively predetermine final agency action. NRC's former
Chairman also told us that she was aware that other commissioners
resented their lack of involvement in Association activities. She
noted, however, that her participation in the

Association was fully transparent. NRC noted that the
commissioners were not seeking all- inclusive Commission
participation in the Association. Rather, the commissioners
believe that the Commission could be represented by the Chairman
and one of the other commissioners at Association meetings.
Alternating commissioner participation would enhance (1) overall
Commission understanding of the Association's benefits for NRC and
(2) NRC's representation by capitalizing on individual
commissioners' areas of

expertise. Views of a Representative of the U. S. Nuclear Industry

According to the Senior Vice President and Chief Nuclear Officer
of the Nuclear Energy Institute, an organization that represents
the interests of 10 The Government in the Sunshine Act (5 U. S. C.
552b) opens the policymaking deliberations of

collegially headed federal agencies such as boards, commissions,
or councils to public scrutiny unless closed in accordance with a
number of exemptions.

B-283100 Page 11 GAO/RCED-99-243 Nuclear Regulators Association

over 300 companies involved in the commercial nuclear energy
industry, the Institute generally opposes the use of NRC funds to
support NRC international activities, including NRC's
participation in the Association. While the Institute does not
oppose the Association's activities, it believes that the
Association should be supported by public funds rather than U. S.
industry fees. NRC typically recovers nearly 100 percent of its
annual budget through licensing and inspection fees assessed on
the U. S. nuclear industry. He added that the Association does not
serve the interests of the

U. S. domestic nuclear industry because time spent on Association-
related activities is time taken away from the NRC Chairman's
normal duties. NRC's former Chairman disagreed, saying that NRC's
presence in the international arena can be helpful in promoting
the long- term interests of the U. S. nuclear industry. NRC
officials, however, according to the former Chairman, are
sensitive to industry concerns and are exploring ways to

move some of their international programs off the fee- based
system and into the general fund portion of NRC's future
appropriations.

Officials Express Concern About the Association's Limited
Membership

Both the Nuclear Energy Institute official and three NRC
commissioners said they were concerned about the Association's
limited membership. The Institute official also questioned the
ability of the Association to promote worldwide nuclear safety if
its membership was limited to countries with well- developed
regulatory organizations. He told us that the group's limited
membership creates a sense of elitism, which does not encourage
cooperation, especially in those countries with developing
regulatory organizations. The three NRC commissioners told us that
the Association's membership was too restrictive and was not
reaching out to the countries that would benefit from
participating in a group of countries with mature regulatory
regimes. According to the commissioners, the Association

needed to include countries such as Russia and China as well as
countries with emerging nuclear programs if it is to promote
global nuclear safety.

A few Association members said the group should not be expanded at
the present time. NRC's former Chairman stated that expanding the
group's membership at this time could detract from its safety
objectives by inhibiting candid exchange of views and information.
The Department of State's Senior Coordinator for Nuclear Safety
told us that expanding membership to countries like Russia and
China could shift the focus of the group from information exchange
to identifying regulatory shortcomings.

Furthermore, the Department of State's Deputy Assistant Secretary
for Nonproliferation Affairs stated that although some of the
Association's

B-283100 Page 12 GAO/RCED-99-243 Nuclear Regulators Association

members have an interest in expansion, they are not interested in
making the Association a large and unwieldy body.

Other Groups and Activities That Promote Nuclear Safety

In addition to the Association, there are nine other regulator
groups or organizations that exist-- or have been proposed-- for
the purpose of promoting nuclear safety and regulation, as shown
in table 2. Appendix I provides more detailed information about
them.

B-283100 Page 13 GAO/RCED-99-243 Nuclear Regulators Association

Table 2: Regulator Groups and Organizations Characteristics/
activities

Organization/ Agreement Date established

Head regulators

involved a Technical focus Policy

focus U. S. participation Members

International Atomic Energy Agency Senior Regulators Meetings 1983

 Senior regulators from among the IAEA's 128 member nations
Nuclear Energy Agency Committee on Nuclear Regulatory Activities
1989 b  Australia, Austria, Belgium, Canada, Czech Republic,
Denmark, Finland, France, Germany, Greece, Hungary, Iceland,
Ireland,

Italy, Japan, South Korea, Luxembourg, Mexico, Netherlands,
Norway, Portugal, Spain, Sweden, Switzerland, Turkey, United
Kingdom, United States

Convention on Nuclear Safety c 1996  d    50 nations have
ratified; 65 nations have signed

International Nuclear Regulators Association 1997    Canada,
France, Germany,

Japan, Spain, Sweden, United Kingdom, United States

Western European Nuclear Regulators Association 1998  Belgium,
Finland, France, Germany, Italy, Netherlands, Spain, Sweden,
Switzerland,

United Kingdom Forum of Iberian- American Regulators 1997
Argentina, Brazil, Cuba, Mexico, Spain

Network of Regulators of Countries with Small Nuclear Programs

1998   Argentina, Belgium, Bulgaria, Czech Republic, Finland,
Hungary, Netherlands, Slovak Republic, Slovenia, South

Africa, Switzerland Asia Nuclear Safety Consultative Organization
e Proposed Australia, China, Japan, Indonesia, South Korea,

Malaysia, Philippines, Thailand, Vietnam

B-283100 Page 14 GAO/RCED-99-243 Nuclear Regulators Association

a Equivalent to the NRC Chairman. b From 1983 through 1996, NEA
hosted a series of Senior Regulator meetings that involved head
regulators. These meetings were disbanded after 1996 because some
NEA members felt excluded and because of the planned formation of
the Association. c The Convention calls on its members to
establish and maintain a legislative framework and an

independent regulatory body to govern the safety of nuclear
regulators. The Convention will also use a peer review process to
assess countries' safety practices, including regulatory
practices. d Some head regulators attended a portion of the
Convention's first meeting in May 1999.

e This organization will have a regulatory focus. f The VVER is a
Soviet- designed, pressurized light water cooled and moderated
reactor. g The United States and several other countries and
organizations participate in this group as associate members and
observers. h CANDU is the Canada Deuterium Uranium nuclear
reactor. This group has a component that deals

with nuclear regulators. Source: Nuclear Regulatory Commission,
International Atomic Energy Agency, Nuclear Energy Agency, and
interviews and materials from a variety of nuclear regulatory
officials. Other groups have formed in response to the
Association. One of these

groups, the Network of Regulators of Countries with Small Nuclear
Programs, was established because its members were excluded from
the Association. Another group, the Forum of Iberian- American
Regulators,

seeks to model itself on the Association because its founder
Spain's senior nuclear regulator believes that the group is
valuable. Spain's senior nuclear regulator also told us that the
Association contributed to the development of the Western European
Nuclear Regulators Association. A March 1999 report by the Senate
Committee on Foreign Relations on the Convention on Nuclear Safety
expressed concern about the large number of international nuclear
safety- related groups in which the United States participates.
According to the report, the Committee believes that one benefit
of the Convention on Nuclear Safety is to consolidate some of the
activities of these groups under the auspices of the Convention.
The

Characteristics/ activities Organization/ Agreement Date

established Head

regulators involved a Technical

focus Policy focus U. S.

participation Members

VVER Owners' Regulatory Group f 1993   g Armenia, Bulgaria, Czech
Republic, Finland, Hungary, Russia, Slovak Republic, Ukraine

Forum for CANDU Regulators h 1996  Argentina, Canada, China,
India, South Korea, Pakistan, Romania

B-283100 Page 15 GAO/RCED-99-243 Nuclear Regulators Association

Committee also expressed its hope that the Administration would
eliminate activities which unnecessarily duplicate those to be
performed under the Convention on Nuclear Safety. 11 In that
report, the Committee made clear its desire that the executive
branch limit U. S. participation in nontreaty organizations, which
exist largely to discuss broad regulatory policy. The Committee
report stated that the Association replicates the purpose of the
Convention on Nuclear Safety. For example, the Committee report
noted, the Association's charter differed little in substance from
the primary purpose of the Convention on Nuclear Safety. That is,
both seek to enhance nuclear safety on a worldwide basis. The
Committee attached

several conditions to the ratification of the Convention. For
example, it required the President to certify that the U. S.
government will not unnecessarily duplicate activities undertaken
in conjunction with the Convention. On April 9, 1999, the
President made that certification.

According to NRC and Department of State officials as well as some
Association members, the Association does not duplicate the
functions of other nuclear regulatory groups. According to NRC
officials, the regulatory

meetings that are held under the auspices of IAEA and NEA, for
example, involve much larger memberships, are more formal and
structured, focus on more technically oriented issues, and
generally are attended by less senior officials than Association
members. They also made the following comments about other groups:
The Network of Regulators of Countries with Small Nuclear Programs

consists of countries with small nuclear power programs that have
limited numbers of regulatory staff. The Network also focuses more
on technical issues and involves less senior regulators.  The
Forum of Iberian- American Regulators, though modeled on the

Association, has a smaller membership linked by culture, language,
and dependence on imported nuclear technology.  The Western
European Nuclear Regulators Association has a specific

technical goal of assessing the state of nuclear safety in seven
Eastern European countries that are candidates for membership in
the European Union.  The VVER Owners' Regulatory Group as well as
the Forum for Canada

Deuterium- Uranium Regulators also focus on narrower technical
issues 11 S. 866, 106 th Cong. 1 st Sess., contains provisions
that (1) urge the Secretary of State to ensure that the
Association's activities are practicable under the Convention on
Nuclear safety and (2) require that the President submit a report
identifying any Association activity that duplicates the
Convention during the first year after ratification.

B-283100 Page 16 GAO/RCED-99-243 Nuclear Regulators Association

surrounding these reactor designs. A VVER reactor is a Soviet-
designed water- cooled nuclear power reactor. The Canada
Deuterium- Uranium reactor is a Canadian- designed nuclear power
reactor. A German nuclear regulatory official told us, however,
that while the Association may serve a useful function, the
formation of all of these regulator groups may result in overlap
and duplication. A senior Russian regulatory official told us that
there needs to be a clear division of responsibility among the
many groups. NRC's former Chairman has suggested that Association
members may sponsor a congress to which all of these new regulator
groups would be invited for the purpose of providing a broader
forum for discussing nuclear regulatory issues and establishing
better lines of communication.

Finally, according to Department of State and NRC officials, the
Association and the Convention on Nuclear Safety are not
duplicative even though they share the broad objective of
promoting nuclear safety. The Department of State's Deputy
Assistant Secretary for Nonproliferation said that there are
significant differences between the Association and the
Convention. Specifically, he said that the Convention is a formal,
legally binding international agreement that has now been ratified
by 50 countries. Furthermore, the Convention sets up a system of
national reporting and peer reviews to ensure that countries are
complying with their obligations to meet international safety
standards. In contrast, the Association is informal and does not
meet pursuant to any legal requirement. The Convention requires
that meetings take place at least once every 3 years, while the
Association meets at least annually to informally discuss general

regulatory issues of concern to its eight members. Agency Comments
And Our Evaluation

We provided a draft of this report to the Nuclear Regulatory
Commission for its review and comment. NRC generally agreed with
the information presented in our report. However, NRC wanted to
clarify the role of the commissioners in participating in
Association- related activities. The

commissioners are not seeking all- inclusive Commission
participation in the Association. Rather, they believe that the
Commission could be represented by the Chairman and one of the
other commissioners at

Association meetings. Alternating commissioner participation would
enhance (1) overall Commission understanding of the Association's
benefits for NRC and (2) NRC's representation by capitalizing on
individual commissioners' areas of expertise. We have added this
additional

B-283100 Page 17 GAO/RCED-99-243 Nuclear Regulators Association

information to our report. NRC also provided technical comments,
which we incorporated. NRC's comments are presented in appendix
II. Scope And Methodology

To obtain information on the purpose and impact of the
Association, we reviewed NRC documents and had discussions with
various officials who were knowledgeable about the Association's
responsibilities. We met, or had discussions with, all of the NRC
commissioners, including the former Chairman and officials from
NRC's Office of International Programs. We

also met or had discussions with officials from the Department of
State, foreign regulatory bodies, and international organizations.
Specifically, we discussed the Association with IAEA's Deputy
Director General for Nuclear Safety and the Nuclear Energy
Agency's Deputy Director General. We also obtained information
from the following Association members: the President and Chief
Executive Officer/ Atomic Energy Control Board (Canada); Director,
Directorate for the Safety of Nuclear Installations

(France); Chairman, Nuclear Safety Commission (Japan); President,
Consejo de Seguridad Nuclear (Spain); Director General, Nuclear
Power Inspectorate (Sweden); and HM Chief Inspector of Nuclear
Installations, Health and Safety Executive, Nuclear Safety
Directorate (United Kingdom). We also met with the Senior Vice
President and Chief Nuclear Officer of the

Nuclear Energy Institute. We obtained data related to U. S. costs
to support Association- related activities from NRC. We obtained
information on other international regulatory organizations from
various documents provided primarily by NRC. We also discussed
these matters with officials who participated in these groups. In
addition, we talked to an official from Switzerland's Nuclear
Safety Inspectorate about the Network of Regulators of Countries
with Small Nuclear Programs and the first deputy chairman of
Russia's nuclear regulatory organization, Gosatomnadzor. We
conducted our review from March 1999 through July 1999 in

accordance with generally accepted government auditing standards.
Copies of this report are being sent to appropriate congressional
committees; the Honorable Greta Dicus, Chairman of the Nuclear
Regulatory Commission; the Honorable Madeleine Albright, Secretary
of State; and the Honorable Jacob Lew, Director, Office of
Management and

Budget. Copies will also be made available to others upon request.

B-283100 Page 18 GAO/RCED-99-243 Nuclear Regulators Association

Please call me at (202) 512- 3841 if you or your staff have any
questions about this report. Key contributors to this review were
Gene Aloise, Glen Levis, Jonathan Gill, and Duane Fitzgerald.
Sincerely yours,

(Ms.) Gary L. Jones Associate Director, Energy, Resources, and
Science Issues

Page 19 GAO/RCED-99-243 Nuclear Regulators Association

Page 20 GAO/RCED-99-243 Nuclear Regulators Association

Contents Letter 1 Appendix I Nuclear Regulator Groups

22 Meetings of the International Atomic Energy Agency's Senior

Regulators 22 Nuclear Energy Agency 22 Western European Nuclear
Regulators Association 23 Forum of Iberian- American Regulators 23
Network of Regulators of Countries With Small Nuclear Programs 24
Asia Nuclear Safety Consulative Organization 24 VVER Owners'
Regulatory Group 24 Forum for Canada Deuterium Uranium Regulators
25

Appendix II Comments From the Nuclear Regulatory Commission

26 Tables Table 1: NRC's Costs to Participate in the Association,
1997 Through

May 1990 6 Table 2: Regulator Groups and Organizations 13

Abbreviations

CANDU Canada Deuterium Uranium Reactor GAO General Accounting
Office IAEA International Atomic Energy Agency NEA Nuclear Energy
Agency NRC Nuclear Regulatory Commission OECD Organization of
Economic Cooperation and Development

Page 21 GAO/RCED-99-243 Nuclear Regulators Association

Page 22 GAO/RCED-99-243 Nuclear Regulators Association

Appendix I Nuclear Regulator Groups Appendi x I

This appendix discusses other groups of regulators and activities
excluding the International Nuclear Regulators Association and the
Convention on Nuclear Safety that have been established or
proposed over the past several years.

Meetings of the International Atomic Energy Agency's Senior
Regulators

Since 1983, the International Atomic Energy Agency's General
Conference has sponsored the Special Scientific Program on Nuclear
Safety for Senior Regulators. These 2- day meetings of senior
regulators from countries with major nuclear power programs are
typically held annually on technical issues such as nuclear power
plants, radiation, and waste safety. The

Nuclear Regulatory Commission's (NRC) Executive Director for
Operations represents the United States at these meetings. NRC
officials and some other Association members told us that the
International Atomic Energy Agency setting is too large and too
formal for open and frank

discussions on nuclear regulatory issues. Nuclear Energy Agency
During the 1980s, the Nuclear Energy Agency (NEA), which is part
of the

Organization of Economic Cooperation and Development (OECD), 1
sponsored two nuclear regulatory groups  Heads of Regulatory
Agencies Meeting and the Committee on Nuclear Regulatory
Activities. Meetings of NEA's Heads of Regulatory Agencies The
meetings of the Heads of Regulatory Agencies, begun in 1983, were
intended to encourage the exchange of views between senior
regulators on

regulatory issues. The Nuclear Energy Agency continued these
meetings on an ad hoc basis through 1991 and biannually from 1992
through 1996. Many member countries saw value in these meetings,
and one NRC Chairman recommended that annual meetings be held.
Nevertheless, some members felt excluded from this process, and
NEA discontinued these meetings after 1996. According to an NEA
official, this meeting was the forerunner of the International
Nuclear Regulators Association. Once the Association was
established, this official believed that there was no longer a
need for this forum for senior regulators

1 OECD was formed in 1961 and provides its 29 member countries a
setting in which to discuss and develop economic and social
policy. The organization has an annual budget of around $200
million. OECD is organized around committees and a number of
semiautonomous bodies. The NEA, which was formed in 1972, is a
semiautonomous body within OECD. NEA's objective is to contribute
to the development of nuclear energy as a safe, environmentally
acceptable, and economical energy source

through cooperation among its participating countries. NEA's
membership consists of 27 countries, two- thirds of which have
active nuclear power programs; its annual budget is about $16
million.

Appendix I Nuclear Regulator Groups

Page 23 GAO/RCED-99-243 Nuclear Regulators Association

The Committee on Nuclear Regulatory Activities

The Committee on Nuclear Regulatory Activities was formed in 1989
to serve as a permanent standing committee addressing technical
issues on regulation, licensing, and the inspection of nuclear
installations within the OECD's NEA. The committee's primary
mandate is to provide a forum for the exchange of technical
information, views, and experiences among

regulatory organizations. The committee is organized into several
different subgroups. The U. S. representative to the committee is
the NRC's Director of the Office of Nuclear Reactor Regulation.
Compared with the International Nuclear Regulators Association,
the committee is much

larger and more technical, and involves lower level nuclear
regulators. Western European Nuclear Regulators Association

After several years of meeting on an informal basis, the European
Union's nuclear regulators decided to form the Western European
Nuclear Regulators Association in 1998. It is a regional
organization consisting of 10 European Union members, 5 of which
are members of the International

Nuclear Regulators Association. Its general goal is to promote the
harmonization of nuclear safety approaches within the European
Union, and its specific goal is to assess the state of nuclear
safety in the Eastern European countries that are candidates for
European Union membership. This marks the first time a group of
different regulators have come together to pass judgment on
nuclear safety in other sovereign countries. The

Western European Nuclear Regulators Association's March 1999
report examined 23 operating plants in seven Eastern European
countries. Forum of

Iberian- American Regulators The Forum of Iberian- American
Regulators was established in 1997. Its membership includes five
nations with shared characteristics: language

and cultural ties, importation of technology for nuclear power
stations, and regulatory agencies with limited resources.
According to the current chairman, who is also a member of the
International Nuclear Regulators Association, the forum involves
its member nations' most senior nuclear regulatory officials,
concentrates on a broad array of issues, conducts annual meetings,
and has an annually rotating secretariat paid for by the
sponsoring member country. Membership may eventually expand to all
of

the Spanish- American countries interested in nuclear safety and
radiological protection.

Appendix I Nuclear Regulator Groups

Page 24 GAO/RCED-99-243 Nuclear Regulators Association

Network of Regulators of Countries With Small Nuclear Programs

In 1998, the Network of Regulators of Countries with Small Nuclear
Programs was formed in reaction to being excluded from the
Association. This group is composed of 11 countries with small
nuclear power programs and limited nuclear regulatory resources
and staff. African, European, and South American nations are
represented. The organization seeks to facilitate information
exchanges between its members, promote a common understanding of
nuclear safety culture, and support the activities of other

international organizations such as IAEA and NEA. The network
plans to hold an annual general meeting and to appoint a new
chairman each year. It is technically oriented. An official from
Switzerland's Nuclear Safety Inspectorate told us that the group
emphasizes informal communications

and that members frequently correspond via electronic mail and
telephone calls. He said that the group would continue to be
successful as long as it remains technical. Asia Nuclear Safety

Consulative Organization

At least nine Asian countries are interested in formalizing a
series of Pacific Basin nuclear conferences into a formal
regulatory body, the Asia Nuclear Safety Consultative
Organization. The formation of the International Nuclear
Regulators Association has been accompanied by increased interest
in forming this organization, according to Korean nuclear
regulators. Initial topics may include restructuring the
electricity industry, waste management, extending the operating
life of nuclear power plants, regulatory efficiency, and public
transparency. The organization's establishment has been delayed,
however, because of disagreements among potential members over its
structure and mission.

VVER Owners' Regulatory Group The VVER 2 Owners' Regulatory Group,
composed of eight countries, was

formed in 1993. Between 1987- 1992, a Council of VVER Regulators
met to exchange information and propose solutions to VVER- related
safety problems. The group meets and rotates the chairmanship
annually. It has established a variety of working groups to deal
with a range of technical issues, such as in- service inspection
methods and seismic upgrading, as 2 The VVER is a type of Soviet-
designed pressurized, light water cooled and moderated reactor
that exists in three different models. As of January 1999, the
Department of Energy reported that 45

VVER- type reactors were operating worldwide. Though later models
have better safety features, the Department has reported that all
the VVERs have safety shortcomings, some of them serious.

Appendix I Nuclear Regulator Groups

Page 25 GAO/RCED-99-243 Nuclear Regulators Association

well as a working group to study the implementation of the
Convention on Nuclear Safety.

Forum for Canada Deuterium Uranium Regulators

The Forum for Canada Deuterium Uranium Regulators was formed in
1996 for countries that operate these pressurized heavy water,
natural uranium power reactors. Seven diverse nations, all members
of the forum, operate 28 reactors and have 10 under construction.

Page 26 GAO/RCED-99-243 Nuclear Regulators Association

Appendix II Comments From the Nuclear Regulatory Commission
Appendi x I I

(141306) Let t er

Now on p. 3. Now on p. 6. Now on p. 10.

Now on p. 10.

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