IAEA International Atomic Energy Agency ESTABLISHING THE SAFETY INFRASTRUCTURE FOR A NUCLEAR POWER PROGRAMME IAEA WORKSHOP ON LEADERSHIP AND MANAGEMENT

IAEAInternational Atomic Energy Agency

ESTABLISHING THE SAFETY INFRASTRUCTURE FOR A NUCLEAR POWER PROGRAMME

IAEA WORKSHOP ON LEADERSHIP ANDMANAGEMENT SYSTEM FOR REGULATORY BODY

(WS-8)

CORE SET – Topic 3.1

Integrated Management System

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Learning objective

• The aim of this lecture is to introduce the relevant requirements and recommendations applicable to Integrated Management System, including about the graded approach

• This presentation provides information to assist implementation of SSG-16 Actions 75 (2) and 79 (3)

2014Integrated Management System 2

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Content

1. Introduction

2. Management system requirements

3. Grading the application of IMS requirements

4. Management responsibility

5. Resources management


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1. Introduction

• A management system shall be established, implemented, assessed and continually improved

• Safety shall be paramount within the management system, overriding all other demands.

• The organization shall be able to demonstrate the effective fulfillment of its management system requirements

• The efficiency of an IMS begins at the level of senior management


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1. Introduction

• What is Integrated Management System?• Single framework for arrangements and processes

necessary to address organizational goals and requirements• Safety• Health• Environmental• Security• Quality• Economic• Social responsibility…


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1. Introduction

• Key Concepts

• Work - a set of interrelated processes

• All individuals involved contribute to achieving objectives


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Quality Control

Quality Assurance

Quality Management

IntegratedManagement Systems

Time

Saf

ety

& P

erfo

rman

ce

50-C-QA1985-88

50-C-Q1996

GS-R-32006

GS-R part 22014

1. Introduction


Evolution to Management Systems Systemic

Approach

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2. Management System requirements

• A management system should be used to promote and support the enhancement and improvement of safety culture and the achievement of high levels of safety performance by• Commitment to protection and safety• Understanding of the key aspects of safety culture• Supporting tasks carried out safely and successfully, taken in to account

ITO interactions • Participation in development and implementation of policies, rules and

procedures dealing with protection and safety• Accountability for protection and safety• Open communication with regard to protection and safety • Questioning and learning attitude and discouraging complacency

Continuously developing and strengthening safety culture


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Responsibility of Management

Management of Resources

Process Implementation

Measurement, Assessment

and Improvement

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Management System

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Safety Culture

Member state Statutory

Requirements

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Requirements

Requirements from

stakeholders

Requirements from other standards

A PRODUCT THAT SATISFIES ALL REQUIREMENTSSafety - Health - Environment - Security - Quality - Economic - Others

Measure Assess and

Improve

Management Responsibility

Resource Management

Process Implementation

MANAGEMENT SYSTEM

Man

agem

ent

Sys

tem

Mo

del

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Senior management should:• Be responsible and accountable for the planning and

implementation of the IMS• Have responsibility for the effectiveness of the management system

which should not be delegated• Establish and cultivate principles that integrate all requirements into

daily work• Provide the individuals performing the work with the necessary

information, tools, support and encouragement to perform their assigned work properly

• Communicate the beliefs that underlie the organization’s policies through their own behaviour and management practices


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• Documentation of the Management System should:• include:

• policy statements• descriptions of:

• the management system• the structure of the organization• the functional responsibilities, accountabilities• the processes and supporting information

• be understandable to those who use it


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• A graded approach applies IMS requirements to a product or activity of a process commensurate with • its relative importance, complexity, variability, maturity• potential impact on safety, health, environmental, security, quality

and economics elements• the possible consequences if the product fails or if the activity is

carried out incorrectly.


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• Grading the application of the management system requirements should enable valuable resources and attention to be targeted at the products or activities of greater significance. This can result in minimizing total costs while improving safety.


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• Grading controls and checks• Applying controls demands resources• For all products and activities, to consider all

requirements of and demands on the relevant process• Based on grading methodology, to identify products and

activities of lesser significance within a process• For them, to determine whether all the controls and

checks of the process are necessary• E.g., qualification and training for individuals, type and format of

procedures


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• Grading process• Grading a process is to allocate the resources to an

activities on the basis of aspects such as safety significance and contribution to the performance to regulate safety• E.g., to apply tighter regulatory oversight to more safety

significant activities

• Then, resources to be applied to a lesser degree for less important activities


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• The regulatory body should develop and implement a structured approach to determining how the management system requirements should be applied to products and activities.

• Consequently, a methodology for grading that ensures that all staff applies this common sense approach in a uniform manner

• Provisions to be embedded in the management system • to allocate properly the resources of the regulatory body among its

different tasks according


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• For the document and records management, examples of controls that could be graded:• Preparation of documents and records• Level of approval to which documents are subjected• Document distribution (to whom and what way)• Need to archive superseded documents• Need to categorize, register, index, retrieve and store

document records;• Retention time of records


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• Examples, graded approach applies to the following regulatory activities• Requirement 26: Review and assessment• Requirement 29: Inspections of activities

• frequency of inspections and the areas and programmes to be inspected, determined in accordance with a graded approach

• Requirement 31: Regulatory body’s response to a non-compliance with regulatory requirements or with any conditions specified in the authorization

• to be commensurate with the significance for safety of the non-compliance

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4. Management Responsibility

• Commitments• Management should

• at all levels, demonstrate its commitment to the establishment, implementation, assessment and continual improvement of the management system

• allocate adequate resources to carry out these activities• develop and communicate individual values, institutional values

and behavioural expectations for the organization to support the implementation of the management system and shall act as role models

• at all levels, foster the involvement of all individuals in the implementation and continual improvement of the management system

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• Interested Parties• Senior management should:

• consider the expectations of interested parties in the activities and interactions in the processes of the management system, with the aim of enhancing the satisfaction of interested parties while at the same time ensuring that safety is not compromised


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• Policies• Senior management should:

• Develop the documented policies of the organization• Make sure that all levels within the regulatory body understand

the direction set , which should represent an ambitious picture of the future, and feel personally accountable for meeting the objectives

• To allocate adequate resources to implement these policies


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• Planning• Senior management should:

• develop the goals, strategies, plans and measurable objectives that are consistent with the policies of the organization

• disseminate throughout the organization a documented set of policies that establish the management’s plans, objectives and priorities with regard to safety, health, environmental, security, quality and economic considerations

• Insure that the implementation of the plans are regularly reviewed and actions taken to address deviations


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• Responsibilities and authority for the MS• Senior management is ultimately responsible for the

management system:• An individual reporting directly to senior management should

have specific responsibility and authority for coordinating the development, implementation, assessment and improvement of the management system

• The organization should retain overall responsibility for the management system when an external organization is involved in the work of developing all or part of the management system


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5. Resources Management

• Provision of resources - Senior management should:

• determine the amount of resources necessary• provide the resources to carry out the activities of the

organization• provide the resources to establish, implement, assess and

continually improve the management system


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Basis• SSG-16 Action 81. All the relevant organizations should ensure

that appropriate arrangements for management of safety related knowledge (including record management and report management) and knowledge transfer are in place.

• The regulatory body should establish and maintain a system for the control of records and reports that are important to safety. Documentation should be controlled in a consistent and compatible manner throughout its preparation, revision, review, approval, release, distribution and archiving

• Records provide objective evidence of activities performed or results achieved (Specifications, inspection or R&A Reports, test results, etc.)


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…Basis

• GSR Part 1 Requirement 35: Safety related records

• The regulatory body shall make provision for establishing, maintaining and retrieving adequate records relating to the safety (of NPP)

• The requirement for the regulatory body to maintain records cannot diminish the responsibility of authorized parties to keep their own records.


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• Safety-related Knowledge management (transfer, retention…):• an integrated, systematic approach to identify, acquire, transfer,

use, share and preserve knowledge• Involvement of individuals, processes, technology and focuses on

individuals and organizational culture to stimulate and nurture the sharing and use of knowledge

• on processes or methods to find, create, capture and share knowledge• on technology to store knowledge and make it available

• Knowledge retention mechanism when individuals are leaving the regulatory body, should be properly developed and applied

• Knowledge to be collected, recorded, transferred and shared.


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• Record management• Requirements for the management of records, such as statutory

obligations and standards, to be identified and understood to ensure to be addressed in the relevant management processes

• Responsibilities to manage records clearly defined and documented• Records should be specified, prepared, authenticated and

maintained as required• Records should be properly stored and archived for the adequate

duration• Legal and regulatory requirements• Management system needs…


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• Human resources: Competence, awareness, training, Inspector specificity• Senior management should

• Determine the competence requirements for individuals, ensure that they are competent and understand the consequences for safety of their activities

• Evaluate present and expected needs for competences, since loss of trained human capital may jeopardize the implementation and sustainability of the safety infrastructure

• Undertake education and training in academic and vocational institutions of the necessary number of persons for ensuring safety


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Human resources: Inspector specificity• Inspectors should be able to evaluate and discuss safety related

issues, including interviewing people, observing, reviewing records, evaluating activities at the facility site and, where appropriate, make decisions and recommendations

• Members of the regulatory body staff should be appointed at such grades and with such salaries and conditions of service as would facilitate their regulatory relationships and reinforce their authority


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• Infrastructure and the working environment• The infrastructure includes resources such as

workspace, equipment, support services, information and communication technology, and transport facilities

• Senior management should:• determine, provide, maintain and re-evaluate the infrastructure

and the working environment• ensure it has a positive influence on the motivation, satisfaction

and performance of individuals


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• Resources provided by suppliers and partners• The regulatory body

• can obtain technical or other expert professional advice or services in support of its regulatory functions

• may establish advisory committees to provide ‘independent’ advice, whether technical or non-technical.

• This does not relieve it of its assigned responsibilities

• The RB may contract work to external organizations• On the basis of an established management strategy for suppliers• IMS should specify all work delegated to them; communication lines

and interfaces between internal and external organizations; and should describe the responsibility of each organization for work assigned


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THANK YOU

2014

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IAEA International Atomic Energy Agency ESTABLISHING THE SAFETY INFRASTRUCTURE FOR A NUCLEAR POWER PROGRAMME IAEA WORKSHOP ON LEADERSHIP AND MANAGEMENT