1. IAEA International Atomic Energy Agency THE IAEA INTEGRATED REGULATORY REVIEW SERVICE (IRRS) PROCESS Ivan LUX Regulatory Activities Section | Division of Nuclear Installation Safety Department of Nuclear Safety and Security Presentation to the EPREV Lessons Learned Workshop 16.07.2014 IRRS Process_EPREV LL Ws.pptx

2. IAEA Outline On the IRRS missions in general Analysis of past missions Continuous improvement of the IRRS programme IRRS Mission overview2

3. IAEA ON THE IRSS MISSIONS IN GENERAL IRRS Mission overview3

4. IAEA IRRS as successor of other missions IRRS – Integrated Regulatory Review Service, superseds a number of former missions: Integrated Regulatory Review Team (IRRT) Radiation Safety, and Security of Radioactive Sources, Infrastructure Appraisal (RaSSIA) Part of Emergency Preparedness Review (EPREV) IRRS Mission overview4 Core area Additional area (also in separate missions)

5. IAEA IRRS Missions Integrated Regulatory Review Service to peer review the host country’s nuclear and radiation safety regulatory regime against the IAEA Safety Standards Modular review by international experts (15-20) Core regulatory activities Modules + additional areas Mission report with Recommendations, Suggestions, Good Practices (observations) IRRS Mission overview5 IRRS Modules

6. IAEA What is an IRRS mission for? IRRS is meant to provide an opportunity for continuous improvement for the host nuclear and radiation safety regulatory body through self-assessment and through peer review by an international expert team a review of the technical and policy issues relevant for the host country an opportunity to share and exchange experience and discuss issues with international experts a contribution to the harmonization of regulatory approaches among Member States IRRS Mission overview6

7. IAEA What is not an IRRS mission for? The IRRS mission are not meant to inspect regulatory or operator activity in the host country form any judgment on the host country regulatory regime or practice to provide comparison among Member States Therefore the number of findings is in no way a measure of the status of the regulatory body. Comparisons of such numbers between IRRS reports from different countries should not be attempted. IRRS Mission overview7

8. IAEA IRRS Process Prep-meeting about 6 months before Self-assessment by host First mission: 12 days Report finalization about 3 months Follow-up missions after 2-3 years, about 7 days IRRS Mission overview8

9. IAEA Mission outline Initial team meeting Entrance meeting Review of technical and policy issues (interviews and meetings) Site visits Daily team meetings Report preparation Plenary discussion Exit meeting IRRS Mission overview9

10. IAEA Missions in 2006-2014 IRRS Mission overview10

11. IAEA Missions in 2006-2014: Site Overview IRRS Mission overview11 Initial missions Follow-up missions

12. IAEA IRRS Guidelines IRRS Mission overview12 Published in May 2013 A series of Targeted Consultancies was held for collecting experience and advice for a thorough revision Novel edition will be compiled based on the consultancies

13. IAEA Results of an IRRS mission Missions report, including observations (agreed with the host during the mission): Recommendation: non- compliance with IAEA Safety Standards Suggestion: a way of further improvement Good Practice: unique feature worth of recommending to others IRRS Mission overview13

14. IAEA IAEA Safety Standards used in IRRS IRRS Mission overview14

15. IAEA Basis for findings: GSR Part 1 Requirements IRRS Mission overview15 IRRS Modules + other IAEA Safety Standards

16. IAEA Participation in the missions (2006-2014) No. of experts (including IAEA): 362 No. of participations: 673 From 59 countries IRRS Mission overview16

17. IAEA ANALYSIS OF PAST IRRS MISSIONS - EXTRACTS IRRS Mission overview17

18. IAEA Scope of analysis Missions in 2006-2014 to MSs operating NPPs Modules and facilities related to nuclear installations IRRS Mission overview18

19. IAEA Analysed topics Frequency of references from mission observations to IAEA safety standard requirements Distribution and correlation of observations (by types by missions, by IRRS modules) Contents of observations (most frequent subjects, coincidence of subjects in findings and GPs,…) IRRS Mission overview19

20. IAEA Conclusions of analysis (examples) Conclusion: The mission reports analysed indicate that requirements which would be expected to form the basis of observations in particular IRRS Modules often appear in other Modules. Conclusion: Recommendations and Suggestions, referencing GSR Part 1 Requirements relating to core regulatory functions from initial missions, comprise a dominant part of all references. Conclusion: There is no need to set rules as for the desirable number of observations offered in missions, the practice so far followed ensures reasonable distributions for these numbers. IRRS Mission overview20

21. IAEA Conclusions of analysis (examples) Conclusion: The numbers of the Recommendations and those of the Good Practices are indeed negatively correlated in the missions analysed. Yet this seems to be less pronounced than expected, further analysis of selected missions may reveal the reasons for this. Conclusion: In the light of the limited data available it is likely that complying with findings addressed to the government needs more time, or other prerequisites than with those for the regulatory body. Conclusion: The Subject Group most frequently addressed by findings in the analysed missions is related to the legal framework for regulatory activities Conclusion: Activities related to inspection represent the most controversial part of the regulatory regime involving some fields with frequent non-compliance and others often commended by the missions. IRRS Mission overview21

22. IAEA CONTINUOUS IMPROVEMENT OF THE IRRS PROGRAMME IRRS Mission overview22

23. IAEA Ways to improve Basic IRRS Training IRRS Mission Standards Feedbacks Measuring effectiveness and efficiency Prompt Evaluation Report IRRS Mission overview23

24. IAEA Basic IRRS Training Course First held in October 2013 62 participants from 38 MSs In the framework of the EC-IAEA cooperation in the field of Nuclear Safety Covered all aspects of the IRRS programme, 16 Training Lectures, 3 Information Lectures Test Questionnaires for all Lectures 2 nd edition in October 2014 Refresher course (in missions) E-learning modules IRRS Mission overview24

25. IAEA Feedback on the course IRRS Mission overview25

26. IAEA Feedback from the Test Questionnaires IRRS Mission overview26

27. IAEA Ways to improve Basic IRRS Training IRRS Mission Standards Feedbacks Measuring effectiveness and efficiency Prompt Evaluation Report IRRS Mission overview27

28. IAEA Mission Standards – ARM Report Template Under development / discussion IRRS Mission overview28

29. IAEA Mission Standards – Report Template Cross-contribution table Instructions for reviewers Issues to cover Format of observations IRRS Mission overview29

30. IAEA Mission Standards – Schedule IRRS Mission overview30

31. IAEA Ways to improve Basic IRRS Training IRRS Mission Standards Feedbacks Measuring effectiveness and efficiency Prompt Evaluation Report IRRS Mission overview31

32. IAEA Feedbacks on the IRRS process Questionnaire on the quality of the ARM – reviewers at mission start Questionnaire on effectiveness of the mission – reviewers at end of mission Round-table conclusions and suggestions – reviewers at end of mission Questionnaire on effectiveness of the mission – host after mission Questionnaire on effectiveness of the initial mission – host before follow-up mission Workshop for team leaders (January 2013) Triennial LL Workshop (October 2014, Moscow) Workshop for experienced reviewers (planned for 2015) IRRS Mission overview32

33. IAEA Ways to improve Basic IRRS Training IRRS Mission Standards Feedbacks Measuring effectiveness and efficiency Prompt Evaluation Report IRRS Mission overview33

34. IAEA Effectiveness and efficiency of IRRS NSAP requires establishing criteria for efficiency of IRRS missions 16 Performance Indicators introduced to characterize the E&E of a mission, such as: Team size; team experience; Time available to prepare for the mission; Feedback from team members and from hosts; Coverage of the Action Plan by findings; Balance of findings; Conciseness of mission report; etc. IRRS Mission overview34 Under development

35. IAEA Examples of Performance Indicators IRRS Mission overview35

36. IAEA E & E of past IRRS missions Note: The Performance Indicator values presented here characterize the effectiveness and efficiency of the IRRS process and represent no indication whatsoever on the safety performance of the host countries of the missions IRRS Mission overview36

37. IAEA Ways to improve Basic IRRS Training IRRS Mission Standards Feedbacks Measuring effectiveness and efficiency Prompt Evaluation Report IRRS Mission overview37

38. IAEA Prompt evaluation report Basic mission data Feedback from the team Feedback from the hosts Overall evaluation of effectiveness and efficiency Discussion, conclusions Summary IRRS Mission overview38

39. IAEA Evaluation of a mission via PI’s IRRS Mission overview39

40. IAEA Pilot application in nuclear missions IRRS Mission overview40

41. IAEA IN SUMMARY IRRS Mission overview41

42. IAEA Conclusions IRRS is an effective means of reviewing compliance of RB status and activities with IAEA safety standards Regular invitation of IRRS missions by all IAEA MS is highly recommended The IRRS process is mature and effective – yet it is under continuous development by using novel standardized tools and feedback from participants Lessons learned from past missions as well as mission effectiveness and efficiency analysed Prompt evaluations of IRRS missions to nuclear countries were performed in a pilot phase IRRS Mission overview42

43. IAEA IRRS Mission overview43 THANK YOU FOR YOUR ATTENTION Ivan Lux, IAEA NSNI RAS, I.Lux@iaea.org