1. Richard Hibbert RSRL Quality, Assessment and Management Systems Manager Process management Requirements in IAEA Standards and Guides

2. Why start with Standards? Significant issue for UK Nuclear industry due to new build programme –Supply chain seeking guidance on standards –Active discussion about a nuclear sector scheme IAEA GS-R-3 is used by UK Regulators as a benchmark –Quoted by both ONR and EA GS-R-3 and its supporting guides are an important knowledge repository on the practical application of process management in the nuclear industry

3. QC QA ISO 9001 BS 5750 TQM Excellence IMS Product Process Control Customer Culture/ Stakeholder Time Scope Standards and Scope Evolution IAEA GS-R-3 ISO 9001:2008 IAEA 50-C-Q

4. Systems have moved from being one dimensional to being all embracing Management System Evolution

5. Standards Overview IAEA GS-R-3 is nuclear specific and is used by regulators as a benchmark for Nuclear Site Licensees. ISO 9001:2008 is a generic standard. It is used in many contractual situations but needs to be appropriately supplemented. The whole nuclear supply chain needs to have the strong emphasis on safety and safety culture embodied in GS-R-3 and its supporting guides.

7. IAEA GS-R-3 Mandatory Standard Issued in 2006 Replaced IAEA 50-C-Q Aligned with ISO 9001:2000 Supported by a number of guides, particularly important are: –IAEA GS-G-3.1 replaces safety guides Q1 to Q7 –IAEA GS-G-3.5 replaces safety guides Q8 to Q14

8. GS-R-3 Safety Emphasis The main aim of the management system shall be to achieve and enhance safety by: –Bringing together in a coherent manner all the requirements for managing the organization; –Describing the planned and systematic actions necessary to provide adequate confidence that all these requirements are satisfied; –Ensuring that health, environmental, security, quality and economic requirements are not considered separately from safety requirements, to help preclude their possible negative impact on safety. Safety shall be paramount within the management system, overriding all other demands. IAEA GS-R-3 2.1&2.2

9. Safety Culture and the MS The management system shall be used to promote and support a strong safety culture by: –Ensuring a common understanding of the key aspects of safety culture within the organization; –Providing the means by which the organization supports individuals and teams in carrying out their tasks safely and successfully, taking into account the interaction between individuals, technology and the organization; –Reinforcing a learning and questioning attitude at all levels of the organization; –Providing the means by which the organization continually seeks to develop and improve its safety culture. IAEA GS-R-3 2.5

10. GS-R-3 Structure Six sections –Introduction –Management System –Management Responsibility –Resource Management –Process Implementation –Measurement, Assessment & Improvement

11. GS-R-3 Section 5 Requirements (1) Basic process management requirements are similar to ISO 9001:2008 –Identify Processes –Determine process requirements such as applicable regulatory, statutory, legal, safety, health, environmental, security, quality and economic requirements –Determine sequence and interactions of processes –Plan process development and implementation –Determine methods to ensure the effectiveness of implementation and control of the processes –Assess and continually improve processes

12. GS-R-3 Section 5 Requirements (2) Includes additional explicit process management requirements compared to ISO 9001:2008, in particular: –Process Co-ordination –Process Ownership –Generic management system processes

13. Process Co-ordination “The activities of and interfaces between different individuals or groups involved in a single process to be planned, controlled and managed in a manner that ensures effective communication and the clear assignment of responsibilities.” IAEA GS-R-3 5.5

14. Process Ownership For each process a designated individual shall be given the authority and responsibility for : –Developing and documenting the process and maintaining the necessary supporting documentation; –Ensuring that there is effective interaction between interfacing processes; –Ensuring that process documentation is consistent with any existing documents; –Ensuring that the records required to demonstrate that the process results have been achieved are specified in the process documentation; –Monitoring and reporting on the performance of the process; –Promoting improvement in the process; –Ensuring that the process, including any subsequent changes to it, is aligned with the goals, strategies, plans and objectives of the organization. IAEA GS-R-3 5.6

15. Generic Processes Generic processes to be developed within the management system: –Control of documents –Control of products –Control of records –Purchasing –Communication –Managing organizational change

16. Supporting Guidance The guidance documents describe good practice but recognise there are acceptable alternatives

17. GS-G-3.1 Includes general guidance on process management Suggests categorising processes into: –Core –Supporting –Management Gives guidance on generic processes

18. GS-G-3.5 Provides supplementary guidance on process management. Needs to be used in conjunction with GS-G-3.1. Covers safety culture extensively.

19. GS-G-3.5 Safety Culture Model

20. Summary IAEA Standards and guides –Are nuclear sector specific –Are used as a regulatory benchmark for licensees in the UK –Have a strong focus on safety and safety culture –Fully embrace the process approach –Are fully aligned with ISO 9001 requirements –Contain some additional process management requirements and a lot of useful guidance –Specify a set of generic processes –Propose a particular process categorisation model