The Purpose of This Book Is to Provide a Framework for the Development of the Capabilities

FOREWORD

The purpose of this book is to provide a framework for the development of the capabilities and competence required of nuclear safety regulatory bodies. It does this by describing the expectations of the regulatory body, at three different levels, and by identifying within this description associated and relevant learning objectives that can be used to ensure the competence of the regulatory body.

It is intended for use in support of IAEA training courses and workshops on regulation. It is also intended to be used by prospective and current nuclear safety regulatory bodies of Member States within their own training programmes. It is aimed at developing understanding in those areas in which capabilities and competencies are needed for the delivery of effective nuclear safety regulation. The book gives examples of regulation with reference to its application to Nuclear Power Plant but does not describe detailed expectations of plant operation. The learning objectives are thus most applicable to NPPs but may also usefully be applied to other nuclear facilities.

It sets out general principles only, but refers extensively to IAEA source material for more detailed explanations. It is very firmly linked to IAEA expectations, with the clear intention of encouraging their use as the means of securing established good practice based on the experience of member states throughout the world. In this waythe book promotes and encourages international good practice based on many years’ experience of regulatory and operational practice. It provides a vehicle for member states to develop competence where they consider that this is necessary.

In addition, and noting that it can take some time to establish international expectations and requirements, this book also includes a more explicit commitment to continuous improvement. This is intended to encourage the adoption of approaches and practices that may not as yet be codified but nevertheless represent an opportunity to make improvements, for example through the analysis of operational experience. Similarly, the national examples are intended to show how different countries approach in different ways issues that are of particular interest to themselves.

The book is targeted mainly at professional staff members new to regulatory bodies. However, it is also equally relevant to existing staff who may wish to check their current levels of competence. Some parts, particularly those concerned with the global nuclear infrastructure and management and organisation of the regulatory body, are especially applicable to more senior staff and managers within the regulatory body.

The book was originally compiled from IAEA presentations given in regulatory control training courses in 1997 and 1998. It was completed in 2002, with expert assistance and following inclusion of updates on the Nuclear Safety Convention. Since then there have been a number of significant developments that need to be taken into account, set out below.

There has been a continuation and development of the theme set out in the 2002 edition of the importance of leadership, management and culture not only within the operating organisation, but also within the regulatory body. This includes a commitment to continuous improvement and learning from experience, for example from the accident at Fukushima, and also to active benchmarking with other organisations.

Many regulatory bodies are now also responding to societal demand for greater open-ness and an effective dialogue with everyone who has an interest in or is affected by nuclear power. This reflects the fact that the regulatory body is one part of a wider regulatory system within which shared understandings are an important constituent.

The continuing importance of research and development is also highlighted in recognition of the fact that despite the maturity of the nuclear power industry there is always the need to stay ahead of any new potential challenges to nuclear safety that may not have previously been addressed.

Finally, this latest revision of the book makes use of more modern approaches to training and development, in particular the systematic approach to training adopted by the IAEA in its Strategic Approach to Education and Training in Nuclear Safety 2013-2020. For this reason, the learning objectives are set out in a way that aligns with the ‘four quadrant model’ of competence developed described in (ref). This (ref) has been successfully used to develop and secure their own competence by many nuclear safety regulatory bodies.

The book refers extensively to IAEA safety standards. Although these are not mandatory, they represent a global consensus and consistent basis for the protection of people and the environment from the hazards of the nuclear industry. They can be used by Member States as a reference for their approach to the regulation of nuclear safety. The related learning objectives also identified in the book are intended to underpin this usage by securing the competence that is necessary for their effective application.

Feedback is welcome and should be directed to:

INTRODUCTION

1 The book addresses nuclear safety only. Nuclear security and safeguards are not currently covered. However, some of the issues that have emerged in recent experience from the sometimes differing requirements of safety and security are raised at appropriate points. The content of the book is set out on three levels.

2 Level 1 describes the very strong and important international dimension and consensus that has developed around nuclear energy programmes, and the expectations of any national framework set up within this consensus. It is intended to underpin the importance to nuclear safety of the effective sharing of global experience and working practices, and to explain why it is important for regulatory bodies to play an active role in this. This level will be a key interest for those countries contemplating a nuclear energy programme that may need to consider the considerable and extensive demands of such a programme on their national capabilities. It will also be a useful reference for existing regulatory bodies, especially those that are regenerating capabilities that may not have been required for some time, for example a country that is building new nuclear facilities after some years of quiescence. It covers:

-  International and governmental framework

o  Global nuclear safety framework

o  IAEA safety standards

o  Peer review and international co-operation

o  Governmental frameworks and obligations

o  Nuclear safety infrastructure

3 Level 2 deals with the regulatory body as a whole. It is intended to help answer the question: to what sort of regulatory organisation should I belong? It should be noted that this section does not cover the administrative aspects of regulatory body functions such as budgeting and finance, planning, procurement etc. Level 2 covers:

-  Constitution of the regulatory body (duties, authorities, responsibilities, accountabilities, rights etc)

-  Regulatory philosophies and relationships (including inspection and assessment philosophies, and relations with licensee/parent companies)

-  Organisation of the regulatory body

o  Leadership, management and culture

o  Values, integrity, professionalism

o  Management of competence

o  Staffing and succession planning

o  Open-ness and stakeholder engagement

o  Liaison arrangements

-  Independence of the regulatory body

-  Documentation of regulatory guidance and processes

-  Continuous improvement, benchmarking, and management systems for the regulatory body

-  Support to national and international processes (emergency preparedness arrangements, advice to government, event reporting and OEF systems, international missions etc)

4 Level 3 covers the ‘operational’ regulatory functions that it is expected will be managed by the regulatory body in the discharge of its regulatory duties. It is intended to answer the question: what should I spend most of my time doing as a regulator and how should I do it? Level 3 covers:

-  Authorisation

-  Assessment and review

-  Inspection and enforcement

-  Drafting, use and evaluation of regulations, guidance, standards and documentation

-  Operational experience processes

-  Emergency preparedness and response

-  Identification and management of research and development needs

-  Interacting with the public and other stakeholders

5 Implicit within the coverage in level 3 are the key principles of defence-in-depth and the vital importance of human performance, both of which have to be properly organised and controlled in order to ensure that nuclear safety is delivered, and both of which therefore have to be targeted by regulatory activity.

6 As the book is concerned primarily with the development and maintenance of competence within the regulatory body, it identifies learning objectives throughout the text where appropriate. Where possible these are separately identified against the Milestones in the Development of a National Infrastructure for Nuclear Power (ref) and the IAEA four quadrant competence model set out in (ref).

7 The main target group is the professional regulatory staff having duties in those areas identified at Level 3, in particular new staff. However, the book is also equally relevant to existing staff who may wish to check their current levels of competence. Some parts, particularly at level 1 and 2, are especially applicable to more senior staff and managers within the regulatory body.

8 The book is intended to provide the basis and source material for IAEA training courses and workshops and written background and references for others involved in training for and within regulatory bodies.

9 Part A provides information and references relating to the various topics and functions identified against the three levels mapped out above, with relevant learning objectives identified throughout the text at appropriate points. Part B expands on these learning objectives and provides material that is designed to enable professional staff to develop the necessary competence to be effective regulators.

10 Wherever possible, reference is made to the particular experience of the regulatory bodies of different countries. As well as giving examples to deal with specific issues, these also give an idea of how the general principles identified in this book can be applied in practice so that presenters can complement their own experience with that of other practitioners. The examples will also be useful for the group exercises suggested in Part B.

CONTENTS

LEVEL 1

1 INTERNATIONAL AND GOVERNMENTAL FRAMEWORK

1.1 Global nuclear safety framework

1.1.1 Nuclear conventions - purpose, development and usage

1.1.2 Nuclear Safety Convention

1.1.3 JCSSFMSRWM

1.1.4 Other conventions

1.2 IAEA Safety Standards

1.2.1 IAEA Safety Standards: Safety Fundamentals, Safety Requirements and Safety Guides, status and usage

1.2.2 IAEA Safety Requirements for nuclear safety legislation

1.2.3 IAEA Safety Standards for government level

1.2.4 IAEA Safety Standards for regulatory body organisational level

1.2.5 IAEA Safety Standards for regulatory body operations

1.2.6 IAEA Safety Standards and criteria for NPP operators

1.3 Peer review and International co-operation

1.3.1 IRRS missions

1.3.2 Reporting and OEF systems

1.3.3 Knowledge management systems

1.3.4 Other regional systems, arrangements and organisations (eg WENRA, OECD/NEA, EC, networks)

1.3.5 Role of other international standards and standards making bodies)

1.4 Governmental frameworks and obligations

1.4.1 Role of state, its structures and duties

1.4.2 Nuclear safety legislation

1.4.3 Regulatory guidance and safety criteria

1.5 Nuclear safety infrastructure

1.5.1 Research and development, and educational bodies and institutions

1.5.2 Supply chain, design houses, accreditation/certification/standards organisations

1.5.3 Non-governmental organisations, public, media

1.5.4 Other regulatory bodies, advisory bodies

1.5.5 Technical Service Organisations and specialist nuclear consultancies

1.5.6 National emergency preparedness and resilience organisations

LEVEL 2

2 ORGANISATION AND MANAGEMENT OF THE REGULATORY BODY

2.1 Constitution of RB

2.1.1 Duties: to enforce statutory requirements, to exchange information on good practice, to operate in accordance with national public body expectations.

2.1.2 Authority and rights of the RB

2.1.3 Responsibilities and accountabilities (internal, to government, to public, to industry)

2.2 Regulatory philosophy and relationships

2.2.1 Need and benefit

2.2.2 Characteristics

2.2.3 Inspection philosophies

2.2.4 Assessment philosophies

2.2.5 Relationship with licensee

2.2.6 Relationship with other related companies/organisations

2.3 Organisation of the RB

2.3.1 IAEA safety standards for management systems

2.3.2 Leadership and management of safety.

2.3.3 Values, integrity, professionalism

2.3.4 Use of four quadrant model for management of competence (to include duty on individual for self-development, importance of behavioural skills, the need for a minimum common ‘core’ understanding of nuclear safety

2.3.5 Staffing and succession planning

2.3.6 Open-ness and stakeholder engagement

2.3.7 Liaison arrangements

2.3.8 Examples of regulatory body organisation

2.4 Independence of regulatory body

2.4.1 Importance, legal basis, limitations and practicalities

2.4.2 Political

2.4.3 Provision of information, open-ness, stakeholder engagement

2.5 Documentation of regulatory processes

2.5.1 Guidance

2.5.2 Processes

2.5.3 Examples of use of document and guidance management systems

2.6 Continuous improvement processes, benchmarking and management systems

2.6.1 Continuous improvement and regulatory learning from experience

2.6.2 Benchmarking of regulators

2.6.3 Role of management systems

2.6.4 Examples of management systems within regulatory body

2.7 Support to national processes

2.7.1 Emergency preparedness

2.7.2 Advice to government

2.7.3 Event reporting systems

LEVEL 3

3 OPERATIONAL REGULATION

3.1 Authorisation

3.1.1 Licensing of new NPPs

3.1.2 Licensing during the plant life-cycle

3.1.3 Life extension

3.1.4 Examples of licensing processes

3.2 Assessment and review

3.2.1 IAEA guidance

3.2.2 Safety objectives and requirements

3.2.3 Review and assessment methodology

3.2.4 Topics to be covered by regulatory review and assessment

3.2.5 Examples of assessment processes

3.3 Inspection and enforcement

3.3.1 IAEA guidance

3.3.2 Purpose of inspection

3.3.3 Approaches to inspection

3.3.4 Types of inspection

3.3.5 Organisation of inspection

3.3.6 Oversight of licensee performance

3.3.7 Enforcement

3.3.8 Examples of inspection practice

3.4 Drafting, use and evaluation of of regulations, guidance, standards and documentation

3.4.1 IAEA guidance

3.4.2 Documents produced by the regulator

3.4.3 Documents produced by the operator

3.4.4 Examples of document and guidance management systems and usage

3.5 OEF

3.5.1 Oversight of licensee OEF processes

3.5.2 Use of industry OEF by regulator

3.5.3 Examples of regulators’ OEF systems

3.6 Emergency preparedness and response

3.6.1 Regulatory body responsibilities

3.6.2 Individual responsibilities

3.6.3 Operator’s responsibilities

3.6.4 Tests and exercises