1. IAEA International Atomic Energy Agency ESTABLISHING THE SAFETY INFRASTRUCTURE FOR A NUCLEAR POWER PROGRAMME IAEA WORKSHOP ON LEADERSHIP AND MANAGEMENT SYSTEM FOR REGULATORY BODY (WS-8) CORE SET – Topic 3.1 Integrated Management System

2. IAEA 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 System2

3. IAEA Content 1. Introduction 2. Management system requirements 3. Grading the application of IMS requirements 4. Management responsibility 5. Resources management 2014Integrated Management System3

4. IAEA 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 2014Integrated Management System4

5. IAEA 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… 2014Integrated Management System5

6. IAEA 1. Introduction Key Concepts Work - a set of interrelated processes All individuals involved contribute to achieving objectives 2014Integrated Management System6

7. IAEA Quality Control Quality Assurance Quality Management Integrated Management Systems Time Safety & Performance 50-C-QA 1985-88 50-C-Q 1996 GS-R-3 2006 GS-R part 2 2014 1. Introduction 2014Integrated Management System7 Evolution to Management Systems Systemic Approach

8. IAEA 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 2014Integrated Management System8

9. IAEA 2. Management System requirements Responsibility of Management Management of Resources Process Implementation Measurement, Assessment and Improvement 9 Management System

10. IAEA 10 2. Management System requirements Management System Model

11. IAEA 2. Management System requirements 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 2014Integrated Management System11

12. IAEA 2. Management System requirements 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 2014Integrated Management System12

13. IAEA 3. Grading the application of IMS requirements 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. 2014Integrated Management System13

14. IAEA 3. Grading the application of IMS requirements 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. 2014Integrated Management System14

15. IAEA 3. Grading the application of IMS requirements 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 2014Integrated Management System15

16. IAEA 3. Grading the application of IMS requirements 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 2014Integrated Management System16

17. IAEA 3. Grading the application of IMS requirements 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 2014Integrated Management System17

18. IAEA 3. Grading the application of IMS requirements 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 2014Integrated Management System18

19. IAEA 3. Grading the application of IMS requirements 2014Integrated Management System19 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

20. IAEA 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 2014Integrated Management System20

21. IAEA 4. Management Responsibility 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 2014Integrated Management System21

22. IAEA 4. Management Responsibility 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 2014Integrated Management System22

23. IAEA 4. Management Responsibility 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 2014Integrated Management System23

24. IAEA 4. Management Responsibility 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 2014Integrated Management System24

25. IAEA 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 2014Integrated Management System25

26. IAEA 5. Resources Management 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.) 2014Integrated Management System26

27. IAEA 5. Resources Management …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. 2014Integrated Management System27

28. IAEA 5. Resources Management 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. 2014Integrated Management System28

29. IAEA 5. Resources Management 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… 2014Integrated Management System29

30. IAEA 5. Resources Management 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 2014Integrated Management System30

31. IAEA 5. Resources Management 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 2014Integrated Management System31

32. IAEA 5. Resources Management 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 2014Integrated Management System32

33. IAEA 5. Resources Management 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 2014Integrated Management System33

34. IAEA THANK YOU 2014Integrated Management System34