1. IAEA International Atomic Energy Agency LESSONS LEARNED ON THE REGULATION OF NUCLEAR SAFETY Presentation to the Workshop on Lessons Learned from IRRS Missions Moscow, Russian Federation 9-11 December 2014

2. IAEA Outline Basis of presentation Analysis of references Lessons Learned on the Regulatory Framework IRRS enhancements2

3. IAEA BASIS OF PRESENTATION IRRS enhancements3

4. IAEA Missions in 2006-2014 IRRS enhancements4

5. IAEA IAEA Nuclear Safety Action Plan IAEA is to “Strengthen IAEA peer reviews in order to maximize the benefits to Member States”. In specific: 2.4.1 IAEA Secretariat to review the effectiveness of their peer reviews To set the basis for this action an analysis of past IRRS missions has been performed IRRS enhancements5

6. IAEA Missions analysed Initial (22) an follow-up (9) missions in 2006- 2014 to countries with nuclear power plants IRRS enhancements6

7. IAEA Details of analysis reported http://gnssn.iaea.org/ regnet/irrs/Pages/IR RS_pub_docs.aspx IRRS enhancements7

8. IAEA IRRS Modules IRRS enhancements8

9. IAEA Observations and their types IRRS enhancements9 Observations lead to: Recommendation Suggestion Good Practice Findings Observation: focused results of the review process, based on facts and related to possible ways of improvement or achievements to recognise, with reference to requirements in IAEA Safety Standards observations

10. IAEA This BASIS is a Reference to GSR Part 1 Requirement 4 IRRS enhancements10 Format of an Observation Quotation from the relevant IAEA Safety Standard that is to be / has been followed. (There may be more than one Bases) Recommendation / suggestion / good practice offered by the reviewer A description of what the reviewer observed, that has lead to the present finding or good practice

11. IAEA ANALYSIS OF REFERENCES IRRS enhancements11

12. IAEA References to IAEA safety standards IRRS enhancements12 GSR Part 1 is indeed the IAEA safety standard that plays a central role in the IRRS process, further basic references are GS- R- 3 and GS-R-2.

13. IAEA Frequently referred Requirements R24: Demonstration of safety for the authorization of facilities and activities in Module 5; R18: Staffing and competence of the regulatory body in Module 3; R20: Liaison with advisory bodies and support organizations in Module 3; R32: Regulations and guides in Module 9. IRRS enhancements13 Findings, referencing GSR Part 1 Requirements relating to core regulatory functions from initial missions comprise a dominant part of all references

14. IAEA LESSONS LEARNED ON THE REGULATORY FRAMEWORK IRRS enhancements14

15. IAEA Statistics of observations analysed IRRS enhancements15 by Modulesby missions

16. IAEA The Subject Group approach In order to analyse the technical contents of the findings they are classified into Subject Groups (SGs). The purpose of this grouping is to collect the observations having similar characters into statistically meaningful groups E.g.: SG 1d): Providing/using legal framework for regulatory activities includes findings related to revision of regulations to provide authority; reflecting independence of the regulatory body; issuance of decrees and orders; relieving time constraints on decision making. IRRS enhancements16

17. IAEA The most populated SGs IRRS enhancements17

18. IAEA Characteristic examples of issues (1) The most populated Subject Group, Providing/using legal framework for regulatory authorities, (Module 1) includes the following typical recommendations The government should establish the legal framework for an effectively independent, unambiguously authorized regulatory body with clear division of responsibilities; provide the regulatory body with the authority to issue or the involvement in issuance of regulatory requirements; provide full provisions for appeals The addressee of these findings is the government and the issue raised is lack of specific legal provisions necessary for discharging regulatory responsibilities. IRRS enhancements18

19. IAEA Characteristic examples of issues (2) Developing inspection programme (Module 7) is the second most frequent SG. Typical findings therein are: The regulatory body should (or should consider to) expand the inspection programme (in scope, in types, in frequency); develop further its inspection system (initiation, methodology, monitoring, evaluation); improve inspection planning. This is a fairly homogeneous group of findings, the addressee of which is the regulatory body and the main issue is shortcomings in the inspection methodology applied. IRRS enhancements19

20. IAEA SG Reviewing regulations and guides (Module 9) is the third among the most frequent ones with typical findings: The regulatory body should (or should consider to) systematically and periodically review and revise as necessary the regulations, regulatory requirements and guidance; introduce formalized gap analysis between IAEA requirements and national regulations. This group also addresses the regulatory body and points to weaknesses in review and revision of regulations. IRRS enhancements20 Characteristic examples of issues (3)

21. IAEA Characteristic examples of issues (4) The most frequent Subject Group of Good Practices is External involvement in the regulatory process (Module 3). Typical observations are taking advice and assistance from advisory committees, Technical Support Organizations; regular contact with the licensees and manufacturers. The most frequently commended activity is accepting technical assistance. (Note that this activity is fairly common among the regulatory bodies and as such it would not qualify for a Good Practice – pointing to a weakness in the process). IRRS enhancements21

22. IAEA Dual issues Certain subjects appear both as findings and as Good Practices: Developing the inspection program (2 nd in findings, 8 th in GPs) Staffing of RB (5 th in findings, 10 th in GPs) External involvement (1 st in GPs, 8 th in findings) IRRS enhancements22

23. IAEA Follow-up missions Limited amount of data from 9 missions Progress can be characterized by the number of issues remained open and by the number of new issues IRRS enhancements23

24. IAEA Issues remained open 69 open issues The most populated Subject Groups are: Details of the MS, developing MS manual (Module 4) – 6 pcs Resources of the RB (Module 3) – 5 pcs IRRS enhancements24

25. IAEA IRRS enhancements25 THANK YOU FOR YOUR ATTENTION Photo: V. Friedrich 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