Evaluation of Operating Results for Japan Atomic Energy Agency in FY2015

Transcription

1 Evaluation of Operating Results for Japan Atomic Energy Agency in FY2015 September 2016 Minister of Education, Culture, Sports, Science and Technology Minister of Economy, Trade and Industry Nuclear Regulation Authority

2 Form Annual evaluation of national research and development agency and its outline 1. Matters concerning the subject of evaluation Name of agency Japan Atomic Energy Agency Business year subject to Annual evaluation FY2015 (third period) evaluation Period for the medium-term objectives FY2015-FY Matters concerning the evaluator Competent Minister Minister of Education, Culture, Sports, Science and Technology Supervisory Bureau Research and Development Bureau Division and person in Bureau responsible for Science and Technology Policy Bureau Division and person in inspection and evaluation Competent Minister Ministry of Economy, Trade and Industry Supervisory Bureau Electricity and Gas Industry Department, Agency for Natural Resources and Division and person in Energy Bureau responsible for Minister s Secretariat Division and person in inspection and evaluation Competent Minister Nuclear Regulation Authority Supervisory Bureau Regulatory Standard and Research Department, Nuclear Regulation Division and person in Authority Secretary-General s Secretariat Bureau responsible for Nuclear Regulation Authority Secretary-General s Secretariat Division and person in inspection and evaluation Naoko OKAMURA (Atomic Energy Division) Naohisa MURAKAMI (Planning and Evaluation Division) Kenichiro URAGAMI (Nuclear Energy Policy Planning Division) Tomoyoshi YAHAGI (Policy Evaluation and Public Relations Division) Takaaki KURASAKI (Regulatory Standard and Research Division) Katsumi MATSUURA (Policy Planning and Coordination Division) 3. Matters concerning the evaluation (1) Hearing of opinions from the National Research and Development Agency Council (hereinafter referred to as the Council ) As described below, at the Council of the Ministry of Education, Culture, Sports, Science and Technology and the Council of the Ministry of Economy, Trade and Industry, we heard opinions regarding the evaluations made by the competent ministers on operating results of the Japan Atomic Energy Agency (hereinafter referred to as the JAEA ) in FY2015. June 15, 2016: At the Working Groups on JAEA (hereinafter referred to as the Working Group ) under the Council of the Ministry of Education, Culture, Sports, Science and Technology and the Council of the Ministry of Economy, Trade and Industry, we heard opinions regarding item 9 Activities to strengthen government-industry-academia collaborations and ensure public trust and item 12 Establishment of effective and efficient management system. In addition, we held a hearing of the President of JAEA. July 6, 2016: At the Working Group of the Ministry of Education, Culture, Sports, Science, we heard opinions regarding item 1 Matters concerning securing of safety and nuclear security, item 4 R&D on improvement of nuclear safety and activities conducive to nuclear non-proliferation and nuclear security, item 3 Technical support for the administration of nuclear safety regulation and research on safety therefor, and item 5 Research on basic nuclear infrastructure and human resource development. July 11, 2016: At the Working Groups of the Ministry of Education, Culture, Sports, Science and Technology and the Ministry of Economy, Trade and Industry, we heard opinions regarding item 8 R&D on nuclear fusion, item 2 R&D on countermeasures against the accidents at the TEPCO s Fukushima Daiichi Nuclear Power Station, item 6 R&D on fast reactor, item 7 R&D on reprocessing regarding nuclear fuel cycle, production of fuels and disposal and processing of radioactive wastes and item 10 Rational and efficient business operations. July 13, 2016: At the Working Group of the Nuclear Regulation Authority, we heard opinions regarding item 3 Technical support for the administration of nuclear safety regulation and research on safety therefor. In addition, we held a hearing of the President of JAEA. 1

3 July 20, 2016: At the Working Groups of the Ministry of Education, Culture, Sports, Science and Technology and the Ministry of Economy, Trade and Industry, we heard opinions regarding item 11 Budget (including the estimation of personnel expenses), revenue and expenditure plan and financial plan. In addition, we held a hearing of the auditor. August 2, 2016: At the Council of the Ministry of Education, Culture, Sports, Science and Technology, we heard opinions regarding the evaluation made by the competent minister on operating results of JAEA in FY2015. August, 4, 2016: At the Council of the Ministry of Economy, Trade and Industry, we heard opinions regarding the evaluation made by the competent minister on operating results of JAEA in FY2015 under the jurisdiction of METI. August 5, 2016: At the Working Group of the Nuclear Regulatory Authority, we heard opinions in the form of documentary deliberation regarding the evaluation made by the competent minister on operating results of JAEA in FY2015 under the jurisdiction of NRA. August 8, 2016: The Working Group Chair submitted a report on the decided content to the Council Chair. (2) Field research conducted by the Working Group members June 3, 2016: Field researches on the Nuclear Science Research Institute and the Nuclear Fuel Cycle Engineering Labs of JAEA were conducted. June 30, 2016: Field researches on the Fukushima area of JAEA were conducted. 4. Other important matters concerning the evaluation - Some of the researches on quantum beams and businesses regarding R&D on nuclear fusion will be transferred from JAEA. It will merge into the National Institute of Radiological Sciences to form National Institutes for Quantum and Radiological Science and Technology from FY

4 Form Annual evaluation of national research and development agency: Overall evaluation 1. Overall evaluation Evaluation 1 (Grade S, A, B, C, D) B: As a result of comprehensively considering achievements of activities of JAEA and its initiatives taking various circumstances into consideration in the light of the purpose, business and medium and long-term objectives as a national research and development agency, it is found that achievements have been produced or achievements are expected to be produced in the future toward the maximization of R&D achievements and business operations are steadily conducted. (Reference) Overall evaluations of the past fiscal years in this period for medium-term objectives Comprehensive evaluation FY2015 FY2016 FY2017 FY2018 FY2019 FY2020 FY2021 Grounds - Although the Japan Atomic Energy Agency covers a wide variety of business, its business operations in FY2015 were carried out steadily in most of the initiatives in the light of the annual plan. It should be highly appreciated. - It is particularly commendable that JAEA produced outstanding achievements or it is expected to produce achievements in the future in such fields as R&D on countermeasures against the accidents at the TEPCO s Fukushima Daiichi Nuclear Power Station, Technical support for the administration of nuclear safety regulation and research on safety therefor, R&D on improvement of nuclear safety and activities conducive to nuclear non-proliferation and nuclear security and R&D on nuclear fusion. - On the other hand, it is required for JAEA to steadily advance the initiatives for cancelling the order to take security measures of the Monju reactor in terms of Matters concerning securing of safety and nuclear security and R&D on fast reactor. Moreover, it is expected for JAEA to further make modifications and improvements for the purpose of realizing business operations which give the priority to safety. - As regards Research on basic nuclear infrastructure and human resource development, JAEA has produced outstanding achievements in basic and generic researches which support atomic power, advanced nuclear science research, applied research on quantum beams. However, it is pointed out that the operational goals of Japan Proton Accelerator Research Complex (J-PARC) were not achieved and Japan Materials Testing Reactor (JMTR) violated the safety regulations. We expect JAEA to make further improvements with respect thereto. Having comprehensively examined these factors, the evaluation of JAEA is graded as B. B 2. Evaluation of JAEA as a whole - As the only comprehensive research and development institute for nuclear power in Japan, it should be highly appreciated that JAEA has steadily carried out its business operations in many initiatives based on the annual plan toward the maximization of R&D achievements which give the priority to safety. - It should be highly appreciated that JAEA produced outstanding achievements or achievements are expected to be produced in the future especially in the following initiatives. As regards R&D on countermeasures against the accidents at the TEPCO s Fukushima Daiichi Nuclear Power Station, it is commendable that outstanding achievements have been produced or such achievements are expected to be produced in the future in terms of R&D toward the prevention of its decommissioning, R&D on environmental restoration and establishment of research and development infrastructure. JAEA should be highly recognized for Technical support for the administration of nuclear safety regulation and research on safety therefor, since it ensures effectiveness of business and neutrality and transparency of the agency with respect to technical support for the administration of nuclear safety, research on safety therefor, and technical support for nuclear disaster prevention. Moreover, it should be highly appreciated that JAEA has produced outstanding achievements or is expected to produce such achievements in the future in those areas. It should be appreciated that steady initiatives have been taken for research and development to improve nuclear safety in terms of R&D on improvement of nuclear safety and activities conducive to nuclear non-proliferation and nuclear security. Moreover, it is found that particularly-outstanding achievements were produced or special achievements are expected to be produced in the future with respect to activities conducive to nuclear non-proliferation and nuclear security. JAEA is worthy of recognition in this respect. As for R&D on nuclear fusion, it is found that outstanding achievements were produced or special achievements are expected to be produced in the future regarding the promotion of the ITER plan, broad outreach activities and nuclear fusion engineering research. These initiatives should receive recognition. - On the other hand, we expect JAEA to make further modifications or improvements regarding the following initiatives. As regards Matters concerning securing of safety and nuclear security, JAEA is worthy of recognition, because it has steadily taken such initiatives as activities to foster a culture of safety and a culture of nuclear security, measures for aged facilities, security measures and measuring control. However, we expect JAEA to make further improvements toward steady business operations through taking initiatives for cancellation of the order to take security measures of the Monju reactor. JAEA has steadily conducted research and development toward the establishment of demonstrated technologies for fast reactors with regard to R&D on fast reactor so that outstanding achievements were produced. However, as the order to take security measures of the Monju reactor has not been cancelled, we expect JAEA to make further improvements with respect thereto. 3

5 - As regards Research on basic nuclear infrastructure and human resource development, it is found that JAEA has produced outstanding achievements in basic and fundamental researches which support atomic power, advanced nuclear science research and applied research on quantum beams. However, it is pointed out that the operational goals of the Japan Proton Accelerator Research Complex (J-PARC) were not achieved and the Japan Materials Testing Reactor (JMTR) violated the safety regulations. We expect JAEA to make further improvements with respect thereto. Having comprehensively examined these factors, the evaluation of JAEA is graded as B. 4

6 3. Major issues related to evaluation by each item and mattes to be improved - It is necessary that JAEA continues to steadily take initiatives for ensuring safety based on the medium to long-term plan, the annual plan and the quality guidelines for nuclear safety, raise an awareness of all employees about safety, and improve its business operations and system which give the priority to safety at all times. Moreover, it is required to steadily take initiatives for the reduction of accidents and troubles and the prevention of any violation against the Operational Safety Programs or Physical Protection Program (See p.7). - The operational goals of J-PARC were not achieved. It is required for JAEA to make an improvement as to this issue by conducting thorough investigations on the cause thereof and by carefully reviewing its design (See p.57). - It is necessary that JAEA continue to perform its business operations which give the priority to safety in terms of the Monju reactor and to restructure its management and maintenance system and quality assurance system toward the cancellation of the order to take security measures (See p.77). 4. Other matters Major opinions from the National Research and Development Agency Council Opinions of the Working Group on Japan Atomic Energy Agency under the National Research and Development Agency Council of the Ministry of Education, Culture, Sports, Science and Technology - We judge that the annual plan has been steadily achieved almost entirely. Moreover, noteworthy achievements have been produced in the response to the nuclear accidents in Fukushima, technical support for the administration of nuclear safety regulation, nuclear non-proliferation and nuclear security and R&D on nuclear fusion. However, the shared use of the specific advanced large research facilities and R&D on fast reactor (the Monju reactor) are graded as C, because the goals were not accomplished. We consider, therefore, that B is appropriate comprehensive evaluation for JAEA. - It is unsure when the order to take security measures for the Monju reactor will be cancelled and some of the goals regarding provision and shared use of facilities at J-PARC were not accomplished. Nevertheless, it is judged that JAEA steadily carried out its business operations and systematically achieved the objectives listed in the annual plan when we comprehensively evaluate its business. The initiatives for improvement of clarification and visualization of business taken in the whole agency under the leadership of the President have produced certain results. - From an external point of view, it is inevitable that people pays attention to the fact that the order to take security measures has not been cancelled. However, we presume that some achievements have been produced from an internal point of view. Therefore, we request JAEA to reveal achievements produced inside the organization and fruits of efforts made by employees. - It should be highly recognized that JAEA made active contributions to activities to hear and understand local needs in response to the accidents at the TEPCO s Fukushima Nuclear Power Station. However, we expect JAEA to modify public relations activities in a way that the understanding of all the nation is deepened. Moreover, we request JAEA to check at all times whether the budgets and human resources are distributed flexibly taking global research trends into consideration and to bring forward selection and concentration of research themes. - JAEA should not carry out defensive or reactive reforms but proactive reforms without losing sight of the positive significance of the reorganization taking advantage of the division of some of its business operations to the National Institutes for Quantum and Radiological Science and Technology. - Uncertainty about the future of projects carried out by JAEA such as the Monju reactor and about the annual plan due to nuclear regulation reforms has stagnated consciousness and motivation of research field. While a sense of tension is essential, we request JAEA to pay attention to the creation of environment in which employees can focus on their work without any fear in cooperation with the supervisory ministries and agencies. - It should be highly appreciated that outstanding achievements are produced in R&D on response to the accidents in Fukushima, technical support for the safety regulation administration, research on safety, R&D on improvement of nuclear safety, activities for nuclear non-proliferation and nuclear fusion from a viewpoint of maximizing research achievements, which is one of the important missions of research and development agencies. We expect JAEA to produce such achievements on a continuous basis in research and technological development fields. On the other hand, we request JAEA to improve its management to ensure safety in the future. - It is problematic that the strategies and visions for each item are unclear. In the nuclear field, we can say that no new plant will be established in the next 20 years. Unless new research fields are explored, the meaning of existence of JAEA would be lost. It should create visions of future development of research fields and establish a system in which new basic and generic researches can be initiated. - Since there is a great need for basic and generic researches aiming at the construction of a second reprocessing plant, JAEA shall bring forward its unique researches based on visions. When these researches are conducted, JAEA should not concentrate on research fields which have potentials. We expect JAEA to conduct basic and generic researches with the aim of establishing an economic fuel cycle taking world affairs into consideration and finding seeds based on needs. - We urge JAEA to investigate the cause of the loss of the mindset of researcher among its employees. JAEA should be responsible for parts which lack in researchers of the nuclear field who belong to universities in Japan. We strongly encourage JAEA to be committed to reviving the mindset of researchers. - The purpose of JAEA is broadly specified in the Atomic Energy Basic Act. In this sense, its business structure, which deals with fast reactors, nuclear fuel cycle, R&D on nuclear fusion, enhancement of basic and generic researches, support for nuclear safety regulation, R&D on response to the accidents occurred in Fukushima, and R&D on nuclear non-proliferation and nuclear security, is exact. The organizational operations regarding these activities are conducted under complex conditions and we can observe creative initiatives in various aspects. - Taking strengthened nuclear regulations and aversion bias against nuclear power in society into consideration, the business operations of JAEA is appropriate, efficient and effective. Although the initiatives taken thereby have not reached a stage of producing visible results, we can expect that outstanding achievements will be produced in the future. We expect JAEA to further take creative initiatives and conduct activities on a continuous basis toward the maximization of R&D achievements. Therefore, its evaluation is graded as high-level B. - JAEA counts on facilities which other organizations cannot possess so that it is of importance to conduct high-level researches. Therefore, it is vital that researchers themselves have an awareness that their researches contribute to Japan and other countries without shutting themselves away. - When we focus on an awareness of employees in of maintenance of facilities, it is not straightforward to maintain extreme safety under an awareness that the facilities have not been 5

7 Major opinions from the auditor in operation for a long period of time and they will be disposed of in the future. JAEA should consider a desired way of operation and evaluation for the purpose of keeping the awareness of its employees high. Opinions of the Working Group on Japan Atomic Energy Agency under the National Research and Development Agency Council of the Ministry of Economy, Trade and Industry - Although the initiatives for reforming JAEA have made a certain degree of progress, there is still a room for improvement in such aspects as concretization of the annual plan, desired ways of evaluating and verifying achievements, safe use of facilities, decision of priority of research items and transmission of information on achievements. - JAEA should receive a recognition of citizens and become a visible research institution as a core agency for atomic research through creating achievements and strengthening the transmission of information. - As regards the reforms of the Monju reactor, although the order to take security measures has not been cancelled, JAEA has steadily taken necessary measures for cancelling the order such as non-compliant management, the resetting of maintenance plans on an all-japan basis and the execution of business based on the quality management system (QMS). It is required for JAEA to steadily engage in preparation of QMS document architecture and technological education for employees in of maintenance of facilities. - JAEA has established a system in which any trouble is shared horizontally in the whole agency and steadily improved risk assessments effective for working safety and J-PARC in terms of activities to foster a culture of safety and safety management activities. It is expected that the head office of JAEA shall take active initiatives for horizontal share of troubles and conduct risk assessments based on the principle of three actuals (the actual place, the actual part, the actual situation). - As for internal control, JAEA has steadily taken initiatives conducive to the improved efficiency of business with a focus on the risk management system, improvement of compliance, protection of assets, securing of reliability of financial reporting, and selection and concentration of management resources. In the future, JAEA needs to bring forward the initiatives for review of business costs conducive to drastic improvements of business and for integration and abolition of facilities conducive to selection and concentration of business resources. - JAEA has made efforts for preventing problems of aged facilities from arising as regards the management of its assets. It is required for JAEA to take measures for renewed budget appropriations under the medium to long-term plan. - Although JAEA uses the general competitive bidding system to conclude contracts, some contracts do not fit in this system. Therefore, it is desirable that JAEA examines a method of concluding contracts in the future in consideration of secure implementation of business leaving a possibility of entry of newcomers. 1 S: As a result of comprehensively considering the achievements of activities of JAEA and its initiatives taking various circumstances into consideration in the light of the purpose, business and medium to long-term objectives as a national research and development agency, it is found that particularly-outstanding achievements have been produced or special achievements are expected to be produced in the future toward the maximization of R&D achievements under effective, efficient and proper business operations. A: As a result of comprehensively considering the achievements of activities of JAEA and its initiatives taking various circumstances into consideration in the light of the purpose, business and medium to long-term objectives as a national research and development agency, it is found that outstanding achievements have been produced or achievements are expected to be produced in the future toward the maximization of R&D achievements under effective, efficient and proper business operations. B: As a result of comprehensively considering the achievements of activities of JAEA and its initiatives taking various circumstances into consideration in the light of the purpose, business and medium to long-term objectives as a national research and development agency, it is found that achievements have been produced or achievements are expected to be produced in the future toward the maximization of R&D achievements and business operations are steadily conducted. C: As a result of comprehensively considering the achievements of activities of JAEA and its initiatives taking various circumstances into consideration in the light of the purpose, business and medium to long-term objectives as a national research and development agency, it is expected for JAEA to make further efforts or improvements toward the maximization of R&D achievements or effective, efficient and proper business operations. D: As a result of comprehensively considering the achievements of activities of JAEA and its initiatives based on various circumstances in the light of the purpose, business and medium to long-term objectives as a national research and development agency, it is required for JAEA to make particular efforts or improvements including thorough reviews toward the maximization of R&D achievements or effective, efficient and proper business operations. 6

8 Form Annual evaluation of national research and development agency: Summary table of evaluation by item Medium to long-term Objectives (Medium to long-term Plan) Annual evaluation No. of record Medium to long-term Objectives (Medium Annual evaluation No. of record by Remark to long-term Plan) by FY2015 FY2016 FY2017 FY2018 FY2019 FY2020 FY2021 each each FY2015 FY2016 FY2017 FY2018 FY2019 FY2020 FY2021 item item I. Measures to be taken to achieve the objectives to maximize the research and development achievements and to II. Measures to be taken for achieving the objectives on rationalization and improvement of improve the quality of business business operations R&D on countermeasures Rational and against the accidents at the efficient business A 2 TEPCO s Fukushima Daiichi operations B 10 Nuclear Power Station Technical support for the administration of nuclear safety regulation and research A 3 on safety therefor R&D on improvement of nuclear safety and activities conducive to nuclear A 4 non-proliferation and nuclear security Research on basic nuclear infrastructure and human B 5 resource development R&D on fast reactor C 6 Remark R&D on reprocessing regarding nuclear fuel cycle, production of fuels and B 7 disposal and processing of radioactive wastes R&D on nuclear fusion A 8 Activities to strengthen government-industry-academia collaborations and ensure public trust B 9 III. Matters concerning improvement of the composition of finances Budget (including B 11 estimated labor 7

9 cost), income and expenditure plan and fund plan IV. Other matters Matters concerning securing of safety and nuclear security Establishment of effective and efficient management system C 1 B 12 8

10 The details of the evaluation criteria are as follows; Evaluation criteria Administrative affairs and business related to research and development (I) S: As a result of comprehensively considering the achievements of activities of JAEA and its initiatives based on various circumstances in the light of the purpose, business and medium to long-term objectives as a national research and development agency, it is found that particularly-outstanding achievements have been produced or special achievements are expected to be produced in the future toward the maximization of R&D achievements under effective, efficient and proper business operations. A: As a result of comprehensively considering the achievements of activities of JAEA and its initiatives based on various circumstances in the light of the purpose, business and medium to long-term objectives as a national research and development agency, it is found that outstanding achievements have been produced or achievements are expected to be produced in the future toward the maximization of R&D achievements under effective, efficient and proper business operations. B: As a result of comprehensively considering the achievements of activities of JAEA and its initiatives based on various circumstances in the light of the purpose, business and medium to long-term objectives as a national research and development agency, it is found that achievements have been produced or achievements are expected to be produced in the future toward the maximization of R&D achievements and business operations are steadily conducted. C: As a result of comprehensively considering the achievements of activities of JAEA and its initiatives based on various circumstances in the light of the purpose, business and medium to long-term objectives as a national research and development agency, it is expected for JAEA to make further efforts or improvements toward the maximization of R&D achievements or effective, efficient and proper business operations. D: As a result of comprehensively considering the achievements of activities of JAEA and its initiatives based on various circumstances in the light of the purpose, business and medium to long-term objectives as a national research and development agency, it is required for JAEA to make particular efforts or improvements including thorough reviews toward the maximization of R&D achievements or effective, efficient and proper business operations. Other than administrative affairs and business related to research and development (II and after) S: It is found that outstanding achievements beyond the original goals set forth in the medium-term plan both in quantity and in quality are produced as a result of activities undertaken by the medium-term objectives management agency (In case where a quantitative indicator is 120% or higher compared to the values set forth in the medium-term plan (or the plan for fiscal year) and outstanding achievements in terms of quality are produced). A: It is found that outstanding achievements beyond the original goals set forth in the medium-term plan are produced as a result of activities undertaken by the medium-term objectives management agency (In case where a quantitative indicator is 120% or higher compared to the values set forth in the medium-term plan (or the plan for fiscal year) is achieved). B: It is found that the original goals set forth in the medium-term plan are achieved (a quantitative indicator is between 100% and 120% compared to the values set forth in the medium-term plan (or the plan for fiscal year)). C: The original goals set forth in the medium-term plan are missed and improvements are required (a quantitative indicator is between 80% and 100% compared to the values set forth in the medium-term plan (or the plan for fiscal year)). D: The original goals set forth in the medium-term plan are missed and drastic improvements including the discontinuance of business are required (a quantitative indicator is under 80% compared to the values set forth in the medium-term plan (or the plan for fiscal year) or the competent Minster finds it to be necessary to issue an order to improve business operations or to take other necessary measures). 9