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Reviewing Governmental and Regulatory Responsibilities

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1 Reviewing Governmental and Regulatory Responsibilities
USNRC IRRS TRAINING Lecture 13 Reviewing Governmental and Regulatory Responsibilities Part II: IRRS Module 3

2 Outline Responsibilities and functions of the regulatory body
Objectives of regulatory functions Organizational structure Effective independence Staffing and competence Advisories and support Liaison with authorized parties Stability and consistency Record keeping Communications USNRC IRRS Training - Reviewing Regulatory Responsibilities

3 Learning objectives After finishing this lecture the trainee will:
Know what are the objectives of the regulatory function. Understand the organizational structure, staffing and competence, advisory bodies, support organizations, liaison with other parties, stability and consistency of the regulatory body and its necessary provisions for record keeping and communication with other parties. USNRC IRRS Training - Reviewing Regulatory Responsibilities

4 IRRS Module 3 Responsibilities and functions of the regulatory body
IAEA GSR Part 1, pages & 35 USNRC IRRS Training - Reviewing Regulatory Responsibilities

5 Objectives of regulatory function
Safety is optimized Safety assessment proves adequate level of safety Sites for facilities are suitable Facilities meet regulatory requirements Facilities are operated within operating limits Human, organizational, financial and technical resources are available Shutdown and decommissioning are regulated USNRC IRRS Training - Reviewing Regulatory Responsibilities

6 Organizational structure and resources
Requirement 16; referenced 16 times. The regulatory body shall structure its organization and manage its resources so as to discharge its responsibilities and perform its functions effectively. This shall be accomplished in a manner commensurate with the radiation risks associated with facilities and activities. USNRC IRRS Training - Reviewing Regulatory Responsibilities

7 Sufficiency of human and financial resources Organizational structure
Recommendation of Experienced Reviewers Give particular attention to: Sufficiency of human and financial resources Organizational structure Sufficiency of resources and organizational structure should be given in the Advance Reference Material. Get familiar with the web site of the regulatory body USNRC IRRS Training - Reviewing Regulatory Responsibilities

8 Example (organization)
USNRC IRRS Training - Reviewing Regulatory Responsibilities

9 Effective independence
Requirement 17; referenced 7 times. The regulatory body shall perform its functions in a manner that does not compromise its effective independence. USNRC IRRS Training - Reviewing Regulatory Responsibilities

10 Independent decision making Functional separation from undue influence
Recommendation of Experienced Reviewers Give particular attention to: Independent decision making Functional separation from undue influence Integrity of staff USNRC IRRS Training - Reviewing Regulatory Responsibilities

11 Example (effective independence)
USNRC IRRS Training - Reviewing Regulatory Responsibilities

12 Staffing and competence
Requirement 18; referenced 52 times. The regulatory body shall employ a sufficient number of qualified and competent staff, commensurate with the nature and the number of facilities and activities to be regulated, to perform its functions and to discharge its responsibilities. USNRC IRRS Training - Reviewing Regulatory Responsibilities

13 Staffing and competence
A human resources plan shall be developed It shall cover recruitment, rotation of staff and a strategy to compensate for the departure of qualified staff. A process shall be established to develop and maintain the necessary competence and skills. USNRC IRRS Training - Reviewing Regulatory Responsibilities

14 Sufficiency and competence of staff Long term human resource planning
Recommendation of Experienced Reviewers Give particular attention to: Sufficiency and competence of staff Long term human resource planning Knowledge management (coordinate with subchapter 4.3) A computer demonstration of the Regulators administrative systems should be provided USNRC IRRS Training - Reviewing Regulatory Responsibilities

15 Examples (staffing and competence)
USNRC IRRS Training - Reviewing Regulatory Responsibilities

16 Example (training) USNRC IRRS Training - Reviewing Regulatory Responsibilities

17 Advisory bodies and support organizations
Requirement 20; referenced 46 times. The regulatory body shall obtain expert advice or services in support of its regulatory functions This shall not relieve the regulatory body of its assigned responsibilities. Could be dedicated or contractual arrangement. Avoidance of the conflict of interests shall be taken care of. USNRC IRRS Training - Reviewing Regulatory Responsibilities

18 Handling of conflicts of interest
Recommendation of Experienced Reviewers Give particular attention to: Handling of conflicts of interest The regulatory body as an intelligent customer Representatives from advisory bodies and support organizations should be interviewed USNRC IRRS Training - Reviewing Regulatory Responsibilities

19 Example (conflict of interest)
USNRC IRRS Training - Reviewing Regulatory Responsibilities

20 Liaison with authorized parties
Requirement 21; referenced 5 times. The regulatory body shall establish formal and informal mechanisms of communication with authorized parties on all safety related issues. Mutual understanding and respect shall be fostered. Through communication the common objectives in ensuring safety should be achieved. USNRC IRRS Training - Reviewing Regulatory Responsibilities

21 Meeting types and schedules Nature of relationship
Recommendation of Experienced Reviewers Give particular attention to: Meeting types and schedules Nature of relationship Representatives from authorized parties should be interviewed Carefully check possible interfaces with Module 4 review results! USNRC IRRS Training - Reviewing Regulatory Responsibilities

22 Stability and consistency
Requirement 22; referenced 21 times. The regulatory body shall ensure that regulatory control is stable and consistent. Decisions shall be based on policies, principles, criteria and procedures. Decisions must be justifiable. Consistency in the decision making builds confidence among stakeholders. USNRC IRRS Training - Reviewing Regulatory Responsibilities

23 Recommendation of Experienced Reviewers Give particular attention to:
Predictability of the regulatory body (in the sense of the consistency of its decision making based on regulations) Process and transparency of change in regulatory requirements (coordinate with Modules 4 and 9) USNRC IRRS Training - Reviewing Regulatory Responsibilities

24 Example (consistency in decision)
USNRC IRRS Training - Reviewing Regulatory Responsibilities

25 Record keeping Requirement 35; referenced 6 times. The regulatory body shall keep records relating to the safety. Registers of: Sealed radioactive sources and radiation generators Occupational doses; The safety of facilities and activities; Records that might be necessary for the shutdown and decommissioning; Events Inventories of radioactive waste and of spent fuel etc. USNRC IRRS Training - Reviewing Regulatory Responsibilities

26 Example (record keeping)
USNRC IRRS Training - Reviewing Regulatory Responsibilities

27 Scope of records to be kept Management of records
Recommendation of Experienced Reviewers Give particular attention to: Scope of records to be kept Management of records Coordinate with IRRS Module 4 USNRC IRRS Training - Reviewing Regulatory Responsibilities

28 Communication and consultation with interested parties
Requirement 36; referenced 15 times. The regulatory body shall inform and consult interested parties and the public about the possible radiation risks and about its work. The authorized party also has an obligation to inform the public about the possible radiation risks. USNRC IRRS Training - Reviewing Regulatory Responsibilities

29 Information policy, including interfaces with the media
Recommendation of Experienced Reviewers Give particular attention to: Information policy, including interfaces with the media Types of meetings with interested parties and the public Use of the regulator’s website Issue of regulatory reports Liaison with interested parties within the vicinity of authorized facilities USNRC IRRS Training - Reviewing Regulatory Responsibilities

30 Example (communication)
USNRC IRRS Training - Reviewing Regulatory Responsibilities

31 FYI! Requirements 19 and 23 to 34 of the GSR Part 1
(Management System, Authorization, Review and Assessment, Inspection, Enforcement, Regulations and Guides) are covered by other Training Lectures and IRRS Modules! USNRC IRRS Training - Reviewing Regulatory Responsibilities

32 Summary When reviewing Responsibilities of the Regulatory Body focus should be on: Organizational structure Independence Staffing and Competence Advisory bodies and TSOs Stability and consistency Record keeping Communication with others USNRC IRRS Training - Reviewing Regulatory Responsibilities

33 THANK YOU FOR YOUR ATTENTION
This activity is conducted by the IAEA, with funding by the European Union. The views expressed in this presentation do not necessarily reflect the views of the European Commission Photo: V. Friedrich USNRC IRRS Training - Reviewing Regulatory Responsibilities

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