1. IAEA International Atomic Energy Agency Reviewing Management System and the Interface with Nuclear Security (IRRS Modules 4 and 12) BASIC IRRS TRAINING Lecture 10

2. IAEA Outline Learning Objectives The Management System of the Regulatory Body Relevant IAEA Safety Requirements Relevant Safety Guides Recommendations of experienced reviewers Typical data obtained in the analysis of past missions Practical lessons learned The Interface with Nuclear Security Relevant IAEA Safety Requirements Recommendations of experienced reviewers Typical data obtained in the analysis of past missions BIT - Reviewing Management System and Interface with Security2

3. IAEA Learning objectives After finishing this Lecture the trainee will: Know which IAEA Safety Standards are relevant for the review of IRRS Modules 4 and 12 Know the main contents of these Safety Standards Know key aspects and issues identified by experienced reviewers in the review of IRRS Modules 4 and 12 Be informed about typical data obtained in the analysis of past missions regarding IRRS Modules 4 and 12 Be informed about practical lessons learned in the review of Module 4 BIT - Reviewing Management System and Interface with Security3

4. IAEA Interpretation of slides Some slides have the following title: Recommendation of Experienced Reviewers Give particular attention to: On these slides the most important issues are listed, that have been recognized by experienced IRRS reviewers during a series of Consultancies in 2012 BIT - Reviewing Management System and Interface with Security4

5. IAEA Use of report template Note also here that the Standard Mission Report Template shall guide and assist interviews and writing BIT - Reviewing Management System and Interface with Security5

6. IAEA IRRS Module 4: The Management System of the Regulatory Body IRRS Module 4: The Management System of the Regulatory Body BIT - Reviewing Management System and Interface with Security6

7. IAEA Relevant IAEA Safety Requirements There are two IAEA Safety Requirements publications relevant for the Management System of the Regulatory Body (c.f. also Training Lecture 2): GSR Part 1: Governmental, Legal and Regulatory Framework for Safety (issued 2010) GS-R-3: The Management System for Facilities and Activities (issued 2006) BIT - Reviewing Management System and Interface with Security7

8. IAEA GSR PART 1 BIT - Reviewing Management System and Interface with Security8

9. IAEA GSR Part 1 GSR Part 1: Governmental, Legal and Regulatory Framework for Safety Requirement 19: The Regulatory body shall establish, implement, and assess and improve a management system that is aligned with its safety goals and contributes to their achievement BIT - Reviewing Management System and Interface with Security9

10. IAEA GSR Part 1 Key aspects of GSR Part 1, Requirement 19: Regulatory processes shall be open and transparent The MS shall be continuously assessed and improved The MS has three purposes: 1) ensure proper discharge of responsibilities, 2) maintain and improve performance of the regulatory body, 3) foster and support a safety culture in the regulatory body The MS shall maintain the efficiency and effectiveness of the regulatory body The MS shall specify in a coherent manner the planned and systematic actions necessary to provide confidence that the statutory obligations placed on the regulatory body are being fulfilled BIT - Reviewing Management System and Interface with Security10

11. IAEA GS-R-3 BIT - Reviewing Management System and Interface with Security11

12. IAEA GS-R-3 GS-R-3: The Management System for Facilities and Activities The objective of this publication is to define requirements for establishing, implementing, assessing and continually improving a management system that integrates safety, health, environmental, security, quality and economic elements to ensure that safety is properly taken into account in all the activities of an organization BIT - Reviewing Management System and Interface with Security12

13. IAEA GS-R-3 GS-R-3 is applicable to various facilities and activities: Nuclear facilities Activities using sources of ionizing radiation Radioactive waste management The transport of radioactive material Radiation protection activities Any other practices or circumstances in which people may be exposed to radiation from naturally occurring or artificial sources The regulation of such facilities and activities BIT - Reviewing Management System and Interface with Security13

14. IAEA GS-R-3 GS-R-3 has no numbered key requirements like GSR Part 1 but groups of requirements under the following chapters: Management system (paras 2.1- 2.10) Management responsibility (paras 3.1- 3.14) Resource management (paras 4.1- 4.5) Process implementation (paras 5.1- 5.29) Measurement, assessment and improvement (paras 6.1- 6.18) Key aspects under the different chapters are listed below BIT - Reviewing Management System and Interface with Security14

15. IAEA GS-R-3 – Management System Key aspects A MS shall be established, implemented, assessed and continually improved, with integration of all requirements but safety is paramount The MS shall be used to promote and support a strong safety culture The application of MS requirements shall be graded to provide resources according to significance, complexity, hazards and consequences of failure of an activity Documentation of the MS shall include descriptions of: policy statement, the system, organizational structure, responsibilities and authorities, all the processes and supporting information that explain how work is prepared, reviewed, carried out, recorded, assessed and improved BIT - Reviewing Management System and Interface with Security15

16. IAEA Recommendation of Experienced Reviewers Give particular attention to: Implementation and documentation of the Management System Documentation of the Management System, existence of Manual (electronic or paper based) including overall process map showing all the processes and their interrelations All regulatory processes and support activities being defined by documented processes Integration of all requirements on the organization Priority to safety Promotion of continuous improvement Promotion of safety culture Application of the graded approach BIT - Reviewing Management System and Interface with Security16

17. IAEA GS-R-3 - Management Responsibility Key aspects Management shall demonstrate its commitment to the MS, develop values and expectations, foster involvement of all individuals in the MS Expectations of interested parties shall be considered Organizational policies shall be developed Senior management shall develop goals, strategies, plans and ensure measurable objectives and review of implementation Senior management shall be ultimately responsible for the MS, an assigned individual shall have specific responsibility and reporting directly to senior management The organization shall retain responsibility for the MS when external organizations are involved BIT - Reviewing Management System and Interface with Security17

18. IAEA Not this way! BIT - Reviewing Management System and Interface with Security18

19. IAEA Management responsibility Demonstration of management commitment at all levels to the establishment, implementation, assessment and continual improvement of the Management System Means to collect and address expectations of interested parties and to communicate with stakeholders (coordinate with Mod 3) Development, documentation and evaluation of organizational policies Establishment of measurable goals, strategies, plans and objectives Conduct and follow up of strategic and annual activity planning (coordinate with Mod 3) BIT - Reviewing Management System and Interface with Security19 Recommendation of Experienced Reviewers Give particular attention to:

20. IAEA GS-R-3 – Resource management Key aspects: Senior management shall Determine the amount of resources needed and provide the resources to carry out the activities of the organization and to maintain the MS Determine the competence requirements for individuals at all levels and provide training or other actions to achieve the required competence Ensure that individuals are competent and understand the consequences for safety of their activities Determine and provide infrastructure and the working environment necessary for work to be carried out safely and for requirements to be met Information and knowledge shall be managed as a resource BIT - Reviewing Management System and Interface with Security20

21. IAEA Resource management Determination of resources necessary to carry out the activities of the organization Determination of competence requirements Development of staffing plan Implementation and follow up of staff training Resources for the development and improvement of the Management system Handling of work environment issues BIT - Reviewing Management System and Interface with Security21 Recommendation of Experienced Reviewers Give particular attention to:

22. IAEA GS-R-3 – Process Implementation Key aspects All processes needed to achieve the goals, meet all requirements and deliver the products of the organization shall be identified, developed, implemented, assessed and continually improved For each process a designated individual shall be given administrative responsibility and authority (process owner) Work in each process shall be carried out under controlled conditions The following generic processes shall be developed in the MS: Control of documents Control of products Control of records Purchasing Communication Managing organizational change BIT - Reviewing Management System and Interface with Security22

23. IAEA Process implementation Methods for identification and development of processes Documentation of processes, process maps Scope of process owner responsibility Control of working documents Control of records Internal and external communication Management of organizational changes BIT - Reviewing Management System and Interface with Security23 Recommendation of Experienced Reviewers Give particular attention to:

24. IAEA GS-R-3 – Measurement, assessment & improvement Key aspects (1) The effectiveness of the MS shall be monitored and measured Managers at all levels shall carry out self-assessment of work performance and improvement of safety culture Independent assessments (audits) shall be done regularly on behalf of senior management An organizational unit with sufficient authority shall be established with responsibility to conduct the independent audits A holistic management system review shall be conducted at planned intervals to ensure the continued suitability and effectiveness of the MS BIT - Reviewing Management System and Interface with Security24

25. IAEA GS-R-3 – Measurement, assessment & improvement Key aspects (2) The causes of non-conformances shall be determined and remedial actions taken to prevent recurrence Potential non-conformances shall be identified Opportunities for improvement of the MS shall be identified and improvement actions selected, planned and recorded Improvement plans shall include provision of adequate resources, actions shall be monitored to completion and their effectiveness checked BIT - Reviewing Management System and Interface with Security25

26. IAEA Measurement, assessment and improvement Management self-assessment Independent audits, audit plans, staffing of audits, conduct Management system review, a systematic approach should be demonstrated with a defined methodology Management of non-conformances Management of potential non-conformances Opportunities for improvement of the Management System BIT - Reviewing Management System and Interface with Security26 Recommendation of Experienced Reviewers Give particular attention to:

27. IAEA A relevant IAEA Safety Guide GS-G-3.1: Application of the Management System for Facilities and Activities (issued 2006) Contains recommendations and information relevant for the implementation of the requirements in GS-R-3. There is no specific guide on application of Management System requirements on regulatory activities BIT - Reviewing Management System and Interface with Security27