Products & Policies | Ex-Im Bank Policies | Nuclear Guidelines

Nuclear Guidelines - Table 3

The guidelines outlined in this table are applicable to all transactions involving the supply of U.S. sourced equipment for Soviet-designed commercial nuclear power plants. Included are plants of this type which are in various phases of construction as well as plants which have already entered into commercial operation.

I. GENERAL

Ex Im Bank continues to support the policy to encourage the early shutdown of RBMK and VVER 440, Model V 230 nuclear power plants because they utilize a reactor, which is not enclosed in a containment vessel and lacks an adequate emergency core cooling system. In accordance with this policy, Ex Im Bank will only support exports which improve the near term and operational safety of these types of plants and which do not extend the useful life of the plants. Projects consisting of near term safety improvements to these types of plants will be evaluated with reference to the guidelines presented below as well as the degree of added value in the area of safety. Safety upgrades should clearly contribute to reducing the risk of radioactive release during both normal operations and in situations where emergency systems are employed to bring the reactor to a safe shutdown mode.

The Soviet designed VVER 1000 nuclear plants are designed with a containment vessel and an adequate emergency core cooling system. The Soviet designed VVER 440, Model V 213 nuclear plants contain an adequate emergency core cooling system. Exports for projects involving VVER 1000 and VVER 440, Model V 213 nuclear plants will generally be considered eligible for Ex Im Bank support, subject to evaluation with reference to Ex Im Bank guidelines for these projects. 

II. GUIDELINES FOR RBMK AND VVER-440, MODEL V 230 NUCLEAR PLANTS

Ex Im Bank will only support U.S. exports that can be demonstrated as clearly enhancing the safety associated with the operation of existing plants, and which do not increase the expected life of these plants. The Guidelines for exports supported by Ex Im Bank for this class of Soviet designed plants are as follows:

A. Liability: The host country must have a regime acceptable to Ex-Im Bank governing liability for nuclear damage.

B. Nuclear Conventions and Treaties: The host country must provide a list of the applicable nuclear-related treaties and conventions, including the in-country status, to which the host country is a signatory.

C. Local Regulatory Structure and Authority: The host country must have an established legal code addressing nuclear regulations and environmental protection. It must have an established nuclear regulatory authority to implement sound licensing and, as appropriate, re-licensing procedures.

The country's nuclear regulatory authority should have the independence and qualifications to oversee the siting, design, construction, commissioning, operation and decommissioning of the entire project to a level sufficient to ensure that all relevant safety measures and procedures are addressed and followed. Any IAEA reports on the status of the nuclear regulatory authority, such as an IRRT assessment, shall be used to evaluate the regulatory authority. Furthermore, the licensing process followed by the country's nuclear regulatory authority should follow the safety requirements set forth by the IAEA, such as IAEA Safety Standards No. GS-R-1 "Legal and Governmental Infrastructure for Nuclear, Radiation, Radioactive Waste and Transport Safety", and relevant supplemental Safety Guides GS-G-1.1 "Organization and Staffing of the Regulatory Body for Nuclear Facilities", GS-G-1.2 "Review and Assessment of Nuclear Facilities by the Regulatory Body", GS-G-1.3 "Regulatory Inspection of Nuclear Facilities and Enforcement by the Regulatory Body" and GS-G-1.4 "Documentation for Use in Regulating Nuclear Facilities".

D. Plant Modification and Procedures: Only upgrades directly enhancing the safety of the project (reducing the potential for a nuclear accident), and which do not extend the useful life of the project will be eligible for Ex Im Bank support. These safety upgrades shall be undertaken in accordance with the fundamental principles set forth in IAEA Safety Standard and the relevant Safety Guidelines. All equipment and components for the safety upgrade of the plant shall adhere to applicable QA/QC criteria established for nuclear power plants such as IAEA Safety No. 50-C/SG-Q "Quality Assurance for Safety in Nuclear Power Plants and Other Nuclear Installations, Codes and Safety Guides Q1-Q14" and the safety guides that supplement IAEA 50-C/SG-Q. It must be demonstrated that safety guidelines recommended by IAEA, to the degree practical, are incorporated into the safety upgrade of the project. The safety upgrade must be subject to the approval of the host country's regulatory authority. 

E. Plant Operation Procedures: The plant must have a series of sound operating plans, which address emergency procedures, evacuation programs and nuclear waste handling approved by the regulatory authority and in accordance with applicable IAEA guidelines such as IAEA Safety Standards No. NS-R-2, "Safety of Nuclear Power Plants: Operation," and that there is (or will be) an adequate number of trained and qualified personnel licensed by the regulatory authority to operate the plant in a safe manner in accordance with the operating plan of the project. The project should conform to the relevant supplemental documents including but not limited to, IAEA Safety Standards NS-G-2.8, "Recruitment, Qualification, and Training for Nuclear Power Plants. The operating record of the plant, including the number and type of any reported incidents, should demonstrate that the plant is being operated in a manner consistent with sound operating procedures. 

F. Environmental Monitoring Facility: An environmental monitoring facility shall be (or shall have been) installed at or near the project site, which will monitor the levels of radioactivity from the plant and the effects, if any, of the plant on the environment and ecology of the region around the plant. The facility shall submit regular reports, which show the results of its monitoring activities to the regulatory authority and to the environmental authority of the region. 

III. GUIDELINES FOR VVER-1000 AND VVER-440, MODEL V 213 NUCLEAR PLANTS

U.S. exports for plants utilizing these types of nuclear steam supply systems are generally eligible for Ex Im Bank support to the extent that the project meets the guidelines set forth below. The following guidelines address projects consisting of either upgrades to existing VVER 1000 and VVER 440 Model V 213 plants or the purchase of U.S. products for plants of this type, which are under construction.

A. Liability: The host country must have a regime acceptable to Ex-Im Bank governing liability for nuclear damage.

B. Nuclear Conventions and Treaties: The host country must provide a list of the applicable nuclear-related treaties and conventions, including the in-country status, to which the host country is a signatory.

C. Local Regulatory Structure and Authority: The host country must have an established legal code addressing nuclear regulations and environmental protection. It must have an established nuclear regulatory authority capable of developing and implementing sound licensing and, as appropriate, re licensing procedures. 

The country's nuclear regulatory authority should have the independence and qualifications to oversee the siting, design, construction, commissioning, operation and decommissioning of the entire project to a level sufficient to ensure that all relevant safety measures and procedures are addressed and followed. Any IAEA reports on the status of the nuclear regulatory authority, such as an IRRT assessment, shall be used to evaluate the regulatory authority. Furthermore, the licensing process followed by the country's nuclear regulatory authority should follow the safety requirements set forth by the IAEA, such as IAEA Safety Standards No. GS-R-1 "Legal and Governmental Infrastructure for Nuclear, Radiation, Radioactive Waste and Transport Safety", and relevant supplement Safety Guides GS-G-1.1 "Organization and Staffing of the Regulatory Body for Nuclear Facilities", GS-G-1.2 "Review and Assessment of Nuclear Facilities by the Regulatory Body", GS-G-1.3 "Regulatory Inspection of Nuclear Facilities and Enforcement by the Regulatory Body" and GS-G-1.4 "Documentation for Use in Regulating Nuclear Facilities".

D. Plant Design Criteria:

1) New Plants under Construction (applicable to VVER 1000 plants): The NSSS system and relevant plant systems shall be designed, supplied and installed in accordance with all applicable IAEA guidelines, such as IAEA Safety Standards No. 110 "The Safety of Nuclear Installations" and No. NS-R-1 "Safety of Nuclear Power Plants: Design", fundamental principles, safety requirements and supplemental Safety Guides and local regulatory guidelines. All safety guidelines recommended by the regulatory authority and/or the IAEA shall be incorporated into the design of the project. 

2) Retrofits or Upgrades to Existing Plants (applicable to VVER 1000 and VVER 440 model V 213 plants): In the case of retrofits to plants which are operational (have received a permit to operate), it must be demonstrated that all safety guidelines recommended by the host country regulatory authority and/or the IAEA are incorporated into the design of the project, to the degree practical. 

E. Plant Design and Construction Procedures:

1) New Plants under Construction (applicable to VVER 1000 plants): The construction and management of the plant must be in accordance with the fundamental principles set forth in IAEA documents. These include in particular the document issued by the IAEA Director General's International Nuclear Safety Advisory Group (INSAG), "Basic Safety Principles for Nuclear Power Plants, INSAG-12, and the recommendations and safety requirements adopted by the IAEA's Board of Governors. 

Design procedures should include provisions for a Site Investigation Report or equivalent study such as outlined in IAEA Safety Standard No. NS-R-3 "Site Evaluation for Nuclear Installations" and the Safety Guides that supplement IAEA NS-R-3, and a Safety Analysis Report or equivalent study undertaken in accordance with IAEA guidelines applicable to the project and subject to the approval of the local regulatory authority. Information contained in these reports, including any completed sections of these reports or preliminary version, should be made available to Ex Im Bank upon request. 

Quality Assurance (QA) and Quality Control (QC) measures and procedures shall be followed by suppliers of all applicable plant components, equipment and systems. All equipment and components shall adhere to applicable fabrication codes recommended by the IAEA Safety Standards No. 50 C/SG-Q "Quality Assurance for Safety in Nuclear Power Plants and Other Nuclear Installations, Codes and Safety Guides Q1-Q14" and the safety guides that supplement IAEA 50 C/SG-Q. The project must be subject to the approval of the host country's regulatory authority.

2) Upgrades or Retrofits to Existing Plants (applicable to VVER 1000 and VVER 440 model V 213 plants): All modifications or upgrades to an existing plant shall be undertaken in accordance with the fundamental principles set forth in IAEA Safety Standards. These include the Safety Requirements issued by the IAEA, Safety Standards No. NS-R-1 and No. NS-R-2 and the supporting Safety Guides, in particular NS-G-1.2 "Safety Assessment and Verification for Nuclear Power Plants" and NS-G-2.3 "Modifications to Nuclear Power Plants". 

All equipment and components for the retrofit or upgrade of the plant shall adhere to applicable fabrication codes recommended by the IAEA Safety Standards No. 50 C/SG-Q "Quality Assurance for Safety in Nuclear Power Plants and Other Nuclear Installations, Codes and Safety Guides Q1-Q14" and the Safety Guides that supplement IAEA 50 C/SG-Q and shall follow the QA/QC criteria established by the host country's regulatory authority. The retrofit or upgrade project must be subject to the approval of the host country's regulatory authority. 

F. Plant Operation Procedures: Operation of the plant will be subject to the issuance of an operating license by the host country's nuclear regulatory authority. There must be evidence that the project has adopted or will adopt sound operating plans, which address emergency procedures, evacuation programs and waste handling approved by the regulatory authority and in accordance with applicable IAEA guidelines such as IAEA Safety Standards No. NS-R-2, "Safety of Nuclear Power Plants: Operation," and that there is (or will be) an adequate number of trained and qualified personnel licensed by the regulatory authority to operate the plant in a safe manner in accordance with the operating plan of the project. The project should conform to the relevant supplemental documents including but not limited to, IAEA Safety Standards NS-G-2.8, "Recruitment, Qualification, and Training for Nuclear Power Plants." 

G. Environmental Monitoring Facility: An environmental monitoring facility shall be (or shall have been) installed at or near the project site, which will monitor the levels of radioactivity from the plant and the effects, if any, of the plant on the environment and ecology of the region around the plant. The facility shall submit regular reports, which show the results of its monitoring activities to the regulatory authority and to the environmental authority of the region. 

H. Environmental Impact Assessment (EIA):
1) For all new or greenfield projects, an EIA with respect to the project shall be submitted to Ex Im Bank which addresses the environmental effects of the project in accordance with Annex C. The EIA shall address the impact of the project on the ecology of the region as well as any significant impact on the local population resulting from actions such as resettlement or major changes to the cultural or economic structure of the region. It also shall indicate the degree to which the environmental guidelines listed below will be met, and list any measures taken to mitigate any adverse environmental effects of the project. 

2) For projects involving retrofits or upgrades to existing plants, information shall be made available, to the extent available commensurate with the scope of the retrofit or upgrade, indicating the degree of compliance with applicable host country and the international environmental guidelines set forth below.

I. Other International Guidelines

EMISSIONS
Measures shall be established to ensure that the emission of any radioactive material from the plant be maintained as low as reasonably achievable. Radiation dose limits for all individuals shall be established for applicable radioactive elements that are analogous to the numerical limits set forth in the applicable IAEA recommendations. 

To the extent that the facility emits significant levels of non nuclear pollutants (particulates, SO2 and/or NOx) from various plant sources, those emission levels should comply with the more stringent of host country emission guidelines or those limits contained in the Pollution Prevention and Abatement Handbook (PPAH) of the World Bank. 

LIQUID EFFLUENTS
Measures shall be established to ensure that any radioactive material released in the discharge of the liquid effluent stream from the project be maintained as low as reasonably achievable. Limits for such radioactive material above background shall be established for the plant discharge that are analogous to the list of elements and numerical limits set forth in the applicable IAEA recommendations for plant discharge. 

In addition, process wastewater, plant cooling water, domestic sewage and contaminated stormwater should be treated before being discharged to surface water. Treatment levels should be to the more stringent of applicable host country guidelines or the limits set forth below that are also set forth in the PPAH. 

In the case of discharges potentially impacting groundwater resources, metal parameters will meet the levels listed under the liquid effluent limits. Measures should be taken to prevent potential groundwater contamination from discharges containing toxic hydrocarbons.

Reduction in the generation of effluents through process modifications and recycling is recommended. Chromates should not be used in the water treatment process. For projects potentially causing erosion and sedimentation impacts in receiving waters, a plan should be submitted incorporating measures to mitigate the impacts on water quality and aquatic life.

SOLID AND LIQUID WASTES 
To the extent that the facility produces solid or liquid waste, a waste management plan that incorporates environmentally safe waste management and disposal practices should be described and adopted. Recycling or reclamation of non hazardous materials is encouraged where possible. If recycling or reclamation is not practical, wastes must be disposed of in an environmentally safe manner in compliance with applicable local laws and regulations. The storage and handling of all hazardous materials must be undertaken appropriate to their hazard characteristics: reactivity, flammability, corrosivity, radioactivity, and toxicity, with fire prevention systems and secondary containment installed for storage facilities, where required, to prevent the release of hazardous materials to the environment. All hazardous wastes must be disposed of in a manner to prevent the contamination of soil, groundwater and surface waters. 

NOISE
The Project boundary or fence line is the commonly accepted location for evaluating Project related noise impacts, although the outer edge of a buffer zone or other uninhabited area may be appropriate in selected cases.

AMBIENT NOISE: Steady-state noise levels from the Project's operation, measured at noise receptors located outside the Project property boundary, should not exceed the following limits:

Location Category Limits in Decibels, dB(A)
Day Time Night Time
Residential, Institutional, Educational 55 45
Commercial/Industrial 70 70

RESETTLEMENT, INDIGENOUS PEOPLES, CULTURAL PROPERTY (When Applicable)
Project site selection should take into account and minimize to the extent practical adverse impacts to indigenous and other vulnerable people within the project's area of influence resulting from involuntary resettlement, land use changes, population influx due to increased access caused by the project, or effects on culturally significant artifacts or sites.

Where large resettlement or relocation becomes unavoidable, a Resettlement Action Plan (RAP) must be developed and implemented in compliance with host-country laws and international guidelines such as those of the World Bank Group. (See Operational Safeguard Policies of the World Bank: OP 4.20, Indigenous Peoples; OP 4.11, Safeguarding Cultural Property and OD 4.30, Involuntary Resettlement). 

NATURAL HABITATS (When Applicable) 
Project site selection should take into account and minimize to the extent practical impacts to the ecology within the project's area of influence. Care to avoid/minimize impacts must be demonstrated, particularly in the case of important and critical natural habitats as defined in World Bank Operational Policy 4.04; Natural Habitats. For projects situated in sensitive locations, the EIA should address the risk of direct and indirect impacts on the environment of the project's area of influence as well as measures to mitigate these impacts. Guidance in protecting natural habitats is provided in OP 4.04. 

ENVIRONMENTAL MANAGEMENT AND MONITORING
For all projects requiring an EIA, an environmental management and monitoring plan (EMP), should be provided that sets forth: (a) the measures to be taken during the implementation and operation of a project to eliminate or offset adverse environmental impacts, or reduce them to acceptable levels; (b) the actions needed to implement these measures; and (c) actions required to assess the effectiveness of the mitigation measures employed. Specific requirements of the EMP will be made on a case-by-case basis according to the project's environmental sensitivities. The World Bank Operational Policy 4.01 provides guidance with respect to the preparation of an EMP. In addition, information should be provided in the EMP or in a separate document describing the Decommissioning Program for the project.