IAEAInternational Atomic Energy Agency

Reviewing Management System and the Interface with Nuclear Security

(IRRS Modules 4 and 12)

BASIC IRRS TRAINING

Lecture 10

IAEA

Outline

• Learning Objectives• The Management

System of the Regulatory Body• Relevant IAEA Safety

Requirements• Relevant Safety Guides• Recommendations of

experienced reviewers• Typical data obtained in

the analysis of past missions

• Practical lessons learned

• The Interface with Nuclear Security• Relevant IAEA Safety

Requirements• Recommendations of

experienced reviewers

• Typical data obtained in the analysis of past missions

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Learning objectives

After finishing this Lecture the trainee will:• Know which IAEA Safety Standards are relevant

for the review of IRRS Modules 4 and 12• Know the main contents of these Safety

Standards• Know key aspects and issues identified by

experienced reviewers in the review of IRRS Modules 4 and 12

• Be informed about typical data obtained in the analysis of past missions regarding IRRS Modules 4 and 12

• Be informed about practical lessons learned in the review of Module 4

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Interpretation of slides

Some slides have the following title:

Recommendation of Experienced Reviewers

Give particular attention to:

On these slides the most important issues are listed, that have been recognized by experienced IRRS reviewers during a series of Consultancies in 2012

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Use of report template

Note also here that the Standard Mission Report Template shall guide and assist interviews and writing

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IRRS Module 4:

The Management System of the Regulatory Body

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Relevant IAEA Safety Requirements

There are two IAEA Safety Requirements publications relevant for the Management System of the Regulatory Body (c.f. also Training Lecture 2):

GSR Part 1: Governmental, Legal and Regulatory Framework for Safety (issued 2010)

GS-R-3: The Management System for Facilities and Activities (issued 2006)

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GSR PART 1

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GSR Part 1

GSR Part 1: Governmental, Legal and Regulatory Framework for Safety

Requirement 19:

The Regulatory body shall establish, implement, and assess and improve a management system that is aligned with its safety goals and contributes to their achievement

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GSR Part 1

Key aspects of GSR Part 1, Requirement 19:• Regulatory processes shall be open and transparent • The MS shall be continuously assessed and improved• The MS has three purposes:

1) ensure proper discharge of responsibilities,

2) maintain and improve performance of the regulatory body,

3) foster and support a safety culture in the regulatory body

• The MS shall maintain the efficiency and effectiveness of the regulatory body

• The MS shall specify in a coherent manner the planned and systematic actions necessary to provide confidence that the statutory obligations placed on the regulatory body are being fulfilled

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GS-R-3

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GS-R-3

GS-R-3: The Management System for Facilities and Activities

The objective of this publication is to define requirements for establishing, implementing, assessing and continually improving a management system that integrates safety, health, environmental, security, quality and economic elements to ensure that safety is properly taken into account in all the activities of an organization

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GS-R-3

GS-R-3 is applicable to various facilities and activities:• Nuclear facilities• Activities using sources of ionizing radiation• Radioactive waste management• The transport of radioactive material• Radiation protection activities• Any other practices or circumstances in which people may

be exposed to radiation from naturally occurring or artificial sources

• The regulation of such facilities and activities

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GS-R-3

GS-R-3 has no numbered key requirements like GSR Part 1 but groups of requirements under the following chapters:

• Management system (paras 2.1- 2.10)• Management responsibility (paras 3.1- 3.14)• Resource management (paras 4.1- 4.5)• Process implementation (paras 5.1- 5.29)• Measurement, assessment and improvement (paras 6.1-

6.18)

Key aspects under the different chapters are listed below

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GS-R-3 – Management System

Key aspects • A MS shall be established, implemented, assessed and continually

improved, with integration of all requirements but safety is paramount

• The MS shall be used to promote and support a strong safety culture

• The application of MS requirements shall be graded to provide resources according to significance, complexity, hazards and consequences of failure of an activity

• Documentation of the MS shall include descriptions of: policy statement, the system, organizational structure, responsibilities and authorities, all the processes and supporting information that explain how work is prepared, reviewed, carried out, recorded, assessed and improved

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Recommendation of Experienced Reviewers

Give particular attention to:

Implementation and documentation of the Management System

Documentation of the Management System, existence of Manual (electronic or paper based) including overall process map showing all the processes and their interrelationsAll regulatory processes and support activities being defined by documented processesIntegration of all requirements on the organizationPriority to safetyPromotion of continuous improvement Promotion of safety cultureApplication of the graded approach

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GS-R-3 - Management Responsibility

Key aspects • Management shall demonstrate its commitment to the MS,

develop values and expectations, foster involvement of all individuals in the MS

• Expectations of interested parties shall be considered• Organizational policies shall be developed• Senior management shall develop goals, strategies, plans and

ensure measurable objectives and review of implementation• Senior management shall be ultimately responsible for the MS,

an assigned individual shall have specific responsibility and reporting directly to senior management

• The organization shall retain responsibility for the MS when external organizations are involved

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Not this way!

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Management responsibilityDemonstration of management commitment at all levels to the establishment, implementation, assessment and continual improvement of the Management SystemMeans to collect and address expectations of interested parties and to communicate with stakeholders (coordinate with Mod 3)Development, documentation and evaluation of organizational policiesEstablishment of measurable goals, strategies, plans and objectivesConduct and follow up of strategic and annual activity planning (coordinate with Mod 3)

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Recommendation of Experienced Reviewers

Give particular attention to:

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GS-R-3 – Resource management

Key aspects: Senior management shall • Determine the amount of resources needed and provide the

resources to carry out the activities of the organization and to maintain the MS

• Determine the competence requirements for individuals at all levels and provide training or other actions to achieve the required competence

• Ensure that individuals are competent and understand the consequences for safety of their activities

• Determine and provide infrastructure and the working environment necessary for work to be carried out safely and for requirements to be met

• Information and knowledge shall be managed as a resource

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Resource managementDetermination of resources necessary to carry out the activities of the organizationDetermination of competence requirementsDevelopment of staffing planImplementation and follow up of staff trainingResources for the development and improvement of the Management systemHandling of work environment issues

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Recommendation of Experienced Reviewers

Give particular attention to:

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GS-R-3 – Process Implementation

Key aspects• All processes needed to achieve the goals, meet all

requirements and deliver the products of the organization shall be identified, developed, implemented, assessed and continually improved

• For each process a designated individual shall be given administrative responsibility and authority (process owner)

• Work in each process shall be carried out under controlled conditions

• The following generic processes shall be developed in the MS:• Control of documents• Control of products• Control of records• Purchasing• Communication• Managing organizational change

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Process implementationMethods for identification and development of processes

Documentation of processes, process maps

Scope of process owner responsibility

Control of working documents

Control of records

Internal and external communication

Management of organizational changes

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Recommendation of Experienced Reviewers

Give particular attention to:

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GS-R-3 – Measurement, assessment & improvement

Key aspects (1) • The effectiveness of the MS shall be monitored and measured• Managers at all levels shall carry out self-assessment of work

performance and improvement of safety culture• Independent assessments (audits) shall be done regularly on

behalf of senior management• An organizational unit with sufficient authority shall be

established with responsibility to conduct the independent audits

• A holistic management system review shall be conducted at planned intervals to ensure the continued suitability and effectiveness of the MS

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GS-R-3 – Measurement, assessment & improvement

Key aspects (2) • The causes of non-conformances shall be

determined and remedial actions taken to prevent recurrence

• Potential non-conformances shall be identified• Opportunities for improvement of the MS shall

be identified and improvement actions selected, planned and recorded

• Improvement plans shall include provision of adequate resources, actions shall be monitored to completion and their effectiveness checked

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Measurement, assessment and improvementManagement self-assessment

Independent audits, audit plans, staffing of audits, conduct

Management system review, a systematic approach should be demonstrated with a defined methodology

Management of non-conformances

Management of potential non-conformances

Opportunities for improvement of the Management System

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Recommendation of Experienced Reviewers

Give particular attention to:

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A relevant IAEA Safety Guide

GS-G-3.1: Application of the Management System for Facilities and Activities (issued 2006)

Contains recommendations and information relevant for the implementation of the requirements in GS-R-3.

There is no specific guide on application of Management System requirements on regulatory activities

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