1. International Atomic Energy Agency Implementation of a Risk-Informed Approach into the Legislative and Regulatory Framework SNRCU Annual Topical Meeting Kiev, Ukraine December 2008 John F. Preston, IAEA Implementation of a Risk-Informed Approach into the Legislative and Regulatory Framework SNRCU Annual Topical Meeting Kiev, Ukraine December 2008 John F. Preston, IAEA

2. International Atomic Energy Agency Risk-Informed Decision Making (RIDM) - A Way of Thinking  We have a need – a decision is required, a judgement to be made  We apply a process – we consider, weigh, integrate complex inputs & insights  Deterministic Safety Assessment  Probabilistic Safety Assessment  Operational Experience  Compensating or Mitigating Measures  Other Pertinent Considerations  We consider each input & its context with each other & with whole  We assess Δs or Conformance to Guidance  We make a judgement based on: Safe, Sound, Optimum Decisions  We record the decision and process so that if further information becomes available – we can re-assess the validity of the judgement. (i.e. it is a fundamentally dynamic process sensitive to feedback)

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4. Benefits of Risk-Informed Decision Making  Improved Safety:  Risk insights have revealed and led to the correction of installation vulnerabilities. Correction (provisions for prevention or mitigation) has been through installation changes; improved programs, processes, and procedures; and enhanced awareness, operations, maintenance, and other activities.  Increased Reliability:  Risk insights provide guidance to adjust surveillance and inspection scope and frequency. This balance increases overall system and component availability while adequately verifying operability.  Increased Operational Flexibility:  Having risk insights and understanding the change of risk with changing installation configuration can allow a more balanced and dynamic application of the licensed safe operating envelope; e.g., technical specifications.  Reduced Radiological Exposure:  Focusing maintenance on more risk-significant areas reduces unnecessary activities in high radiation areas. Applications such as risk-informed in-service inspection have provided significant radiological exposure reductions.  Increased installation performance and cost effectiveness of operations:  A comprehensive and balanced understanding of an installation’s risk spectrum allows limited resources to be applied to the more risk-significant aspects while conserving resources applied to less risk-significant aspects.

5. International Atomic Energy Agency How to achieve the benefits of RIDM  To gain the benefits that RIDM can provide, changes are required at the legislative and regulatory level as well as at the plant operational level  At the legislative and regulatory level, a legal basis for RIDM must be provided which includes safety goals, guidance and appropriate regulation  Change should be gradual  The ‘good news’ is that in many cases the existing legislative and regulatory procedures are already sufficient to allow RIDM – and if change is needed, often these can be very small (e.g. ‘should’ to ‘shall’)

6. International Atomic Energy Agency Implementation Infrastructure  Legal Basis  Policy  Safety Goals  Regulation  RIDM Upper Tier Guidance  Programs & Procedures  DSA, PSA, Monitors  Scope, Quality, Control, Maintenance  Support: Data, Insights, References, Other Information  Reporting & Communication  Trending, Feedback, Adjustment  Training & Qualification  Applications  With all these the IAEA can assist – a TECDOC is in preparation

7. International Atomic Energy Agency RIDM TECDOC RIDM Perspective, Principles, Limitations, Cautions RIDM Programme Structure Tool Control & Maintenance: DSA PSA Monitors Hardware Infrastructure: Legislation Safety Goals Regulatory Framework Guidance Licensing Interfaces Programmes Procedures Communication Reporting Applications: Procedures Decision Guidance Support: Data References Insights Staff Assessment: RIDM-IR Organizational Culture Development: Training Workshops Harmonization Groups

8. International Atomic Energy Agency IAEA Assistance  RIDM TECDOC  RIDM Implementation Program & Infrastructure  Centre for Advanced Safety Assessment Tools (CASAT)  Data, Insights, References, & Other Information  RIDM International Review (RIDM-IR)  Capacity Development  Pilot Studies, Workshops, Fellowships, etc

9. Дякую - Спасибо

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11. Pilots  Hungary  HAEA & Paks NPP  Armenia  Other Expressed Interest Note: Parallel WWER Regulators Forum Activities Support Pilot States

12. International Atomic Energy Agency RIDM Development  NPP Common Design Harmonization Groups  Experience Indicates Leaders Assess & Resolve Spectrum of Common Issues  Examples of Such Groups  PWR Owners Group  PWR Owners Group, PSA Sub-Committee Source: Significant RIDM Progress in U.S.  WWER Regulators Forum  WWER Regulators Forum PSA Working Group Potential Source: Significant RIDM Progress Internationally  Superb Forum for Both Regulators & Operators

13. International Atomic Energy Agency The Regulatory Benefits of RIDM  RIDM can help enhance:  Regulation Development  Licensing  Inspection Planning  Significance Determination  Events Assessment  Emerging Issues

14. International Atomic Energy Agency Education Needed  Culture Change  Gradual  Needs Progressive Cultivation  Benefits of RIDM & PSA  Recognized in Many Arenas  Other Arenas Starting to Recognize  Other Arenas Appear to Need Assistance

15. International Atomic Energy Agency How to achieve the benefits of RIDM (con’t)  The regulators must check that at the legislative and regulatory level that:  The specified safety goals encompass a RIDM approach?  The safety goals are quantitative?  That risk is factored into the licensing for plants in the member state?  Does the set of legal requirements establish the means to perform activities or the goals to be achieved?  The safety goals are reflected in RIDM related applications?  The regulators must specify and/or check the RIDM processes to ensure they have confidence in the conclusions  With all these the IAEA can assist – a TECDOC is in preparation

16. International Atomic Energy Agency  The international nuclear community (designers, suppliers, constructors, licensees, operators, support organizations, and regulators) increasingly recognizes and emphasizes that probabilistic safety assessment (PSA) and other risk evaluations provide extremely valuable complementary insight, perspective, comprehension, and balance to deterministic safety assessment of nuclear installations. Accordingly, there is an immediate need to establish international standards for RIDM.

17. International Atomic Energy Agency Applications  Configuration Management  Configuration Risk Analyzer (CRA)  Technical Specifications  Maintenance & Outage Planning, Assessment, & Management  Regulatory  Regulation Development  Licensing  Inspection Planning  Significance Determination  Events Assessment  Emerging Issues  NPPs  Plant Vulnerabilities  Design & Design Review  Plant Improvement  Program Improvement  In-Service Inspection  In-Service Testing  Quality Assurance  Special Treatment  Security  Emergency Response  Training  Non-NPP  Emerging Applications

18. International Atomic Energy Agency How to achieve the benefits of RIDM (con’t)  The regulators must specify and/or check the RIDM processes to ensure they have confidence in the conclusions:  As with any decision making, RIDM is not an exact science; it requires thoughtful and balanced consideration of a spectrum of inputs  Mathematical models, deterministic and probabilistic, can assess only what is modeled. Such models cannot address out of scope phenomena  There are uncertainties; such uncertainties relate to phenomenological understanding, model completeness, data, assumptions, boundary conditions, equipment performance, and human performance.

19. International Atomic Energy Agency PSA Working Group Intended Direction  Support RIDM Implementation in WWERs  Assimilate, Coordinate, Disseminate:  Data  Insights  References  Related Information & Lessons Learned  Establish & Support Harmonization  Organizational Culture  Fundamental RIDM Principles  Terms & Definitions  Data Format  Establish & Support Fluent Communication