1. Training Course on Integrated Management System for Regulatory Body
Module 2 (Safety Standards)
(2.2) Other Requirements

2. Objective
To outline other requirements for the development and implementation of an integrated management system
IAEA Training Course on IMS Module X

3. Content National legislation and regulations Regulatory requirements
Other international requirements
Professional bodies requirements P
IAEA Training Course on IMS Module X

4. National Legislation
The constitution of a certain country has a clause as follows “ the State must adopt and implement policies and legislation to develop efficiency, competence, accountability , transparency, personal integrity and financial probity in all institutions and agencies of Government at every level and in every public institution…..”
IAEA Training Course for Regulators on Enforcement Module 5.2

5. Legislative and regulatory
National legislation and regulatory systems require effective and efficient management of state bodies to:-
Justify the use of national financial resources;
Address the expectations of all interested parties;
Ensure sustainability and continuity of regulatory programmes.
IAEA Training Course for Regulators on Enforcement Module 5.2

6. ISO
The International Organisation for Standardisation (ISO) is an international body with a responsibility for developing standards covering a broad range of areas.
ISO over the years has developed several standards covering risk management, quality and environmental systems that are relevant to the operations of regulatory bodies
The standards provide a number of requirements that systems are to meet in order to be certified
IAEA Training Course for Regulators on Enforcement Module 5.2

7. Objective is to ensure customers are satisfied
ISO 9001:2015 sets out the criteria for a quality management system for certification
It is based on a number of quality management principles including a strong customer focus, motivation and implication of top management, process approach and continual improvement
Objective is to ensure customers are satisfied
IAEA Training Course for Regulators on Enforcement Module 5.2

8. ISO 14001:2015 sets out the criteria for the certification of an environmental management system.
It maps out a framework that an organization can follow to set up an effective environmental management system
It is aimed at ensuring environmental sustainability of organizational operations.
IAEA Training Course for Regulators on Enforcement Module 5.2

9. Baldrige Framework
US excellence model that recognizes business performance based on for Performance Excellence, core values and concepts, and scoring guidelines.
It is aimed at:-
Helping organizations assess their improvement efforts, diagnose their overall performance management system, and identify their strengths and opportunities for improvement
Identify recipients that will serve as role models for other organizations.
IAEA Training Course for Regulators on Enforcement Module 5.2

10. Baldrige Framework
IAEA Training Course for Regulators on Enforcement Module 5.2

11. EFQM
a non-prescriptive business excellence framework for organizational management systems, promoted by EFQM (formerly known as the European Foundation for Quality Management).
Aimed at helping organizations in their drive towards being more competitive through understanding gaps and then stimulating solutions.
organisations determine their current “level of excellence” and where they need to focus improvement efforts.
IAEA Training Course for Regulators on Enforcement Module 5.2

12. Professional Requirements
Finance and Accounting
The accounting function follows requirements set out by the International Accounting Standards Board
International Financial Reporting Standards ( formally International Accounting Standards)
These ensure uniformity on presentation of financial information.
statement of financial position , statement of comprehensive income, statement of changes in equity, Statement of Cash flows and notes to the financial statements.
IAEA Training Course for Regulators on Enforcement Module 5.2

13. Occupational Health and Safety
Most organisations have developed occupational health and safety systems following OHSAS 18001, Occupational Health and Safety Management Systems—Requirements
The requirements are aligned with the structures of ISO 9001 and ISO 1400 enabling them to be adopted into existing management systems
IAEA Training Course for Regulators on Enforcement Module 5.2

14. OHSAS cont.
promotes a safe and healthy working environment by providing a framework that helps organizations to:
Identify and control health and safety risks
Reduce the potential for accidents
Aid legal compliance
Improve overall performance
IAEA Training Course for Regulators on Enforcement Module 5.2

15. Risk Management
The risk management framework in progressive organisations follows the requirements set out by the Committee of Sponsoring Organizations of the Treadway Commission (COSO)
COSO has established a common internal control model against which companies and organizations may assess their control systems
Control environment
Risk assessment
Control activities
Information and communication
Monitoring activities
IAEA Training Course for Regulators on Enforcement Module 5.2

16. Summary
Requirements for management system emanate from a number of obligations that include:-
Membership to Professional bodies
Need for certification (ISO )
Occupational management systems
Legal and regulatory
Government expectations
IAEA Training Course on IMS Module X

17. References www.coso.org www.iso.org
IAEA Training Course on IMS Module X