(5.1)Development of IMS to fit the organization (step wise) Training Course on Integrated Management System for Regulatory Body Module 5 (Development and Implementation of IMS) (5.1)Development of IMS to fit the organization (step wise) 1

Objective The aim of the module is to show the way how to develop Integrated Management System. IAEA Training Course on IMS Module X 2 2

Responsibilities (Vertical Commitment) Management Level Documents State (parliament, government) or the Ministry ► Declaration by the Government, Legislation (laws and decrees) + + Regulator authority (board/commission)) ► Strategy of the regulator (vision, mission, values and policies) + + ► High (senior) management Management System Manual + + ► Middle management Strategies and procedures + + ► Methodical instructions, internal guidance Lower management IAEA Training Course on IMS Module X 3 3

Development of IMS – Involvement of Management An integrated management system (IMS) should cover the whole organization and its activities and it should be developed also in consultation with stakeholders (“customers”) since regulators are civil service organizations. Development of IMS is not a one man project! It requires team approach – appropriate resources to implement the project will be required. IAEA Training Course on IMS Module X 4 4

Analysis of the Existing IMS - Gap Analysis Gap analysis identifies gaps between actual performance of IMS and desired performance. Gap analysis is a formal study of what IMS is doing currently and where it should go in the future. Gap analysis involves: determining, documenting, and approving the difference between requirements to the IMS and current status of the IMS. IAEA Training Course on IMS Module X 5 5

Gap Analysis A gap analysis refers to understanding the difference between a current level of performance and a desired level of performance. IAEA Training Course on IMS Module X 6 (source http://www.austrac.gov.au/elearning_amlctf_programcourse/mod5/module_5_implementing_22.html) 6

Gap Analysis Results of gap analysis may be grouped. Following slides show one of possible approaches for grouping: 1) Results leading to a quick wins - an improvement that is visible, has immediate benefit, and can be delivered quickly. Quick wins are typically defined as opportunities that require minimal investment of time and resources and can yield positive benefit. For typical example of a “quick win” see example 3 later in this presentation Příklad IAEA Training Course on IMS Module X 7 7

Gap Analysis 2) Results of gap analysis leading to more complex systemic solution (a root cause solution). Systemic solutions change in the fundamental way how the management system works. For typical example of a “systemic solution” see example 1 and 2 later in this presentation. Typický příklad IAEA Training Course on IMS Module X 8 8

Developing IMS in Accordance with Gap Analysis Results Gap analysis identifies problematic issues in the organization with respect to management aspects. For nuclear regulators such analysis shall concentrate on: Comparison of best practices (IAEA GSR) with current status in an organization (RB); Development of a list of identified gaps (typically 10-20). Long list of issues may create a problem with organization of remedial actions and may lead to loosing a focus! Doplnit dle textu IAEA Training Course on IMS Module X 9 9

Developing IMS in Accordance with Gap Analysis Results Management and senior staff shall be interviewed to identify significance of each gap from the list and whether any gap they know about is missing; Prioritization of gaps from the list shall be done based on their significance; Sorting of gaps to categories (for example „quick wins“ and „systemic solutions“) is recommended; Incorporation of identified priorities to project plan shall be done; Decision shall be made on dividing of IMS development project to different steps – step wise approach. Doplnit dle textu IAEA Training Course on IMS Module X 10 10

Developing IMS in Accordance with Gap Analysis Results (cont.) Examples of identified gaps: systemic solutions Example No 1 “Stakeholder management” Example No 2 “Compliance management” quick wins Example No 3 “Obsolete documents” IAEA Training Course on IMS Module X 11 11

Developing IMS in accordance with Gap Analysis - Example No 1 “Stakeholder management” Example No 1 (systemic solution): Gap: Stakeholders and stakeholder management process is not defined. Requirement: IAEA Safety Standard, GSR Part 2, Requirement 10: Interested Parties “Interactions with interested parties shall be integrated in the management system. ...” Action: Define key stakeholders and create power/interest grid for stakeholder prioritization, define the procedure for stakeholder management and organize appropriate training IAEA Training Course on IMS Module X 12 12

Developing IMS in Accordance with Gap Analysis - Example No 2 “Compliance management” Example No 2 (systemic solution): Gap: Process guide for „compliance management“ is not integrated into the management system Requirement: IAEA Safety Standard, GSR Part 1, Requirement 32: Regulations and guides “The regulatory body shall establish or adopt regulations and guides to specify the principles, requirements and associated criteria for safety upon which its regulatory judgements, decisions and actions are based.” … requirements continue on the next slide IAEA Training Course on IMS Module X 13 13

Developing IMS in Accordance with Gap Analysis - Example No 2 “Compliance Management” Action: Develop under the management system procedure and guide(s) for compliance management: Define the set of relevant requirements for each area of competence (apply graded approach); Develop compliance database; Instruct and appoint data owners responsible for database update; Train staff. IAEA Training Course on IMS Module X 14 14

Developing IMS in Accordance to Gap Analysis - Example No 3 “Obsolete Documents” Example No 3 (quick win): Gap: Some (few) management system documents are over 10 years old with no evidence of checking for validity. Requirement: IAEA Safety Standard, GSR Part 1 Requirement 33: Review of regulations and guides “Regulations and guides shall be reviewed and revised as necessary to keep them up to date, with due consideration taken of relevant international safety standards and technical standards and of relevant experience gained” IAEA Training Course on IMS Module X 15 15

Developing IMS in Accordance to Gap Analysis - Example No 3 “Obsolete Documents” Action: Adoption of a process for periodic review of documents (with application of graded approach). DO EASY QUICK WINS FIRST IAEA Training Course on IMS Module X 16 16

Decisions to Implement IMS Its a management decision to introduce Management System that fits the needs of the organization. For nuclear (radiation, transport, …) safety regulatory authority is even more sensitive to use appropriate IMS due to its specific nature of duties – enforcing appropriate protection of people, society and environment. IAEA Training Course on IMS Module X 17 17

Agreement on Vision, Mission and Values As a first activity (part, phase) in a project to develop IMS it is essential to define its new general structure, including vision, mission, values and policy For details see previous presentation (L 3.2) and result of group activity. To refresh memory, next slide include one example of vision, mission and values statement IAEA Training Course on IMS Module X 18 18

Example of Integrated Management System Policy Example of Integrated Management System Policy (source State Office for Nuclear Safety of the Czech Republic) mission overview compliance declaration values formulated as cornerstones of Integrated Management System IAEA Training Course on IMS Module X 19 19

Decisions on Prioritizing Elements during IMS Development For extensive modernization or development of totally new Integrated Management System its recommended to prioritize the work and split the effort to several phases. In some cases it is better to cover in the beginning only core functions by new IMS and include all other functions in later phase (step wise approach) „Application of graded approach“ is advisable - depending on size of the RB and its duties, limited resources available - mainly human resources) IAEA Training Course on IMS Module X 20 20

Simplified and Complex Process Model for a RB Leadership and strategies GOVERNANCE DOMAIN Management system governance Financial management and economics MANAGEMENT DOMAIN Human Resource Management PRIMARY DOMAIN Authorization Assesment Inspection Enforcement Information technology SUPPORT DOMAIN Administration and purchasing IAEA Training Course on IMS Module X 21 21

GOVERNANCE DOMAIN MANAGEMENT DOMAIN PRIMARY DOMAIN SUPPORT DOMAIN Leadership and strategies GOVERNANCE DOMAIN Stakeholder management IMS control and documentation Measurement, evaluation and feedback Management of risk Financial control and economics MANAGEMENT DOMAIN Human resources management Project management Knowledge management Legislation Authorization Evaluation Security Nuclear Safety Radiation Safety Emergency preparedness Radioactive Waste and Transport Safety Decommissioning Safety Non-proliferation Inspection Enforcement PRIMARY DOMAIN IT support SUPPORT DOMAIN Internal security Procurement Administration

Decisions on Prioritising Elements during IMS Development Typical strategy: First items to fix – Primary Domain gaps – these represents core functions of RB which constitute key deliverables of the organization. Second in the row to fix - Management Domain gaps – mainly resource management (financial, human, knowledge management). Governance Domain and Support Domain - gaps may be fixed in the later stage. IAEA Training Course on IMS Module X 23 23

Short Interactive Session at the End ? Identify three gaps to IAEA GSR Part 2 you can see in your organization. Discuss a set of most frequent gaps in participants organizations. Který?? IAEA Training Course on IMS Module X 24 24

Thank you!! IAEA Training Course on IMS Module X 25 25