Grading of the

Management Systems Requirements an introduction

Jeannot P. Boogaard

E-mail J.Boogaard@iaea.org

January 2012

Contents

Aspects of a graded approach

Graded approach in the Safety Standards for

management systems

Examples

Conclusions

A single and coherent system should be developed in which

all the parts of an organization are integrated to

enable achieving its objectives.

economics

quality

environment

health

Integrated Management Systems

All individuals are contributing as an integral

part of their activities. Activities are results of interacting processes.

All to ensure that safety is not compromised.

Security

Nuclear

safety

Consideration of requirements separately may introduce negative impact on safety

Safety guides give guidance to comply with requirements Expressed as ‘should’ statements and the recommended method or equivalent method should be used. Equivalent safety level shall be obtained/proved

Must be fulfilled to ensure safety and are expressed as 'shall' statements.

IAEA SAFETY STANDARDS ON MANAGEMENT SYSTEM

Effective leadership and management for

safety must be established and

sustained

Safety shall be paramount within the management

system

New SGs provide guidance for management

system implementation and

Sustainability

SAFETY FUNDAMENTALS SAFETY

REQUIREMENTS SAFETY GUIDES

Introduction: Fundamental Safety Principles: SF-1

Principle 3 - Leadership and management for safety: 3.15. Safety has to be assessed for all

facilities and activities, consistent with a graded approach;

Principle 5: Optimization of protection 3.22. To determine whether radiation

risks are as low as reasonably achievable, all such risks, whether arising from normal operations or from abnormal or accident conditions, must be assessed (using a graded approach)

Safety requirements should be applied in such a way that the level of analysis, documentation and actions are commensurate with the potential hazard associated with the facility, or activity without adversely affecting safety.

General Aims of GS-R-3

2.6. The application of MS requirements shall be graded to deploy appropriate resources, with the consideration of: • Significance and complexity • Hazards and magnitude of potential

impact (risks) associated with safety, health, environmental, security, quality and economic elements

• Possible consequences if a product fails or an activity is carried out incorrectly.

2.7. Grading of the application of the MS requirements shall be applied to the products and activities of each process.

7

IAEA GS-G-3.1

Provides guidance on HOW TO comply with (i.e. to implement) GS-R-3 requirements:

Grading the application of management system requirements

Graded approach (2.37–2.40 Grading process (2.41–2.44)

IAEA GS-G-3.5

Provides guidance for application of GS-R-3 at nuclear facilities Grading the application of

requirements for the management system (2.38-2.41)

Annex I: Example of a methodology for gradingthe application of management system requirements

Graded Approach

Graded approach shall be used to deploy resources based on: • Hazards and potential impact (risks) associated with

safety, health, environmental, security, quality and economic related elements

• Safety analyses and engineering judgement • Significance and complexity of each activity • Experiences of the staff involved • Possible consequences in case of failure • Maturity level of the technology and operating experience

associated with the activities • Lifecycle stage of the facility • License, OLC and Regulatory requirements.

• Identification of appropriate requirements • Identification of hazard categories and assessment

criteria • Classification of activities which present significant

risks • Determine and analyze the risks (direct and indirect) • Determine necessary controls and document them

• Define areas of implementation

Steps to be considered for grading

- Documentation Level of detail description Level of review, approval, detail and control

- Training Level of training required

(Awareness/Qualification/Certification) - Organizational Structure Complexity of organizational structures Appropriate levels of management and supervision Frequency of oversight Independence of reviews,

and confidence level

Implementation steps to be considered for grading

Examples of topics to be considered for grading MS

• Detail of procedures instructions

• Review, approval and authorization of documents

• Training/retraining programme

• Self assessment programme

• Internal audit/inspection programme

• Fault reports, operational feedback

• Near miss reports, precursor events, incidents

• Oversight activities

• Management systems self

Examples of Graded Approach

• Changing oil filters of a car engine or airplane engine • Change water cleaning filters for secondary system

or primary water purification system • Check water reservoir of car windscreen • Maintenance of a pump for drinking water or for fire

fighting equipment • Checklist or instruction for experienced senior or

junior operator/technician • Checklist for reactor start or checklist for holidays

Index supporting documents

(Changes are presented in Italic and bold) Revision date

• NRG-OD-4.01 Audit quidelines 01.10.2003• NRG-OD-4.02 Audit report 03.03.2003• NRG-OD-4.03 Audit evaluation formsheet 03.03.2003• NRG-OD-4.04 Complaint/ Non comformity report 03.03.2003• NRG-OD-4.05 Improvement proposal 03.03.2003• NRG-OD-4.06 Guideline for idea assessment 03.03.2003• NRG-OD-4.07 Formsheet customer satisfaction 01.10.2003

Revision date: 01.10.2003 Approved Manager QSE:

It is the responsibility of the receiver to incorporate the new version and todestroy the old version.

NRG-OD 3.10: ARCHIVE AND TERMLIST Revision date: 21.04.2009 Approved Manager QSE : CENTRAL DOCUMENTS Expire period 1) Responsible Policy 10 year Dir. Secretariat Business plan 3 year Dir. Secretariat Minutes Management Team 3 year Secretariate Personal dose data 30 year 2) 3) Dosimetriedienst RE Organization sheet NRG 3 year Manager QSE Job descriptions 3 year Human Resources Waste disposal data 10 year Manager QSE Licensing documentation 10 year 3) Manager QSE Near miss and incident reports 10 year 3) Manager QSE Correspondence with competent authorities 10 year 3) Manager QSE Radiological work permits 1 year QSE Transport documents RA material 1 year QSE Data of radio active releases 10 year QSE 1) Years after dismantling of installation 2) Until age of 75 but at least 30 years after determination of employment 3) Legislation requirement

It is the responsibility of the receiver to incorporate the new version and to destroy the old version.

Security Management as part of IMS, but with confidentiality restrictions

1. Management responsibility • Management reporting • Management system administration • Organization structure • Management review • Licenses, occupational health and safety

assessment • Safety related organizational changes 2. Management of personnel and resources • Recruitment, selection and appointment • Performance, assessment and training • Software and code administration • Operation of installations and laboratories • HSE aspects for VCA projects • Waste management • Health, safety and environment at operations • (Potential) unsafe situation • Accident and/or emergency • RSC treatment of safety relevant operation • Employing temporary workers/outsourcement • Administration and maintenance of equipment

and installations

3. Implementation • Quotation management • Project management • Numerical calculations • Purchasing and receipt of goods • NRG reports • Calibration of measuring devices • Incoming and outgoing correspondence • Archiving 4. Improvement cycle • Internal audits • Complaints and product non-conformances • Improvement proposals • Feed-back of operational experiences

Security Management as part of IMS, but with confidentiality restrictions

1. Management responsibility • Management reporting • Management system administration • Organization structure • Management review • Licenses, occupational health and safety

assessment • Safety related organizational changes 2. Management of personnel and resources • Recruitment, selection and appointment • Performance, assessment and training • Software and code administration • Operation of installations and laboratories • HSE aspects for VCA projects • Waste management • Health, safety and environment at operations • (Potential) unsafe situation • Accident and/or emergency • RSC treatment of safety relevant operation • Employing temporary

workers/outsourcement • Administration and maintenance of

equipment and installations

3. Implementation • Quotation management • Project management • Numerical calculations • Purchasing and receipt of goods • NRG reports • Calibration of measuring devices • Incoming and outgoing correspondence • Archiving 4. Improvement cycle • Internal audits • Complaints and product non-conformances • Improvement proposals • Feed-back of operational experiences

IAEA Safety Standards http://www-ns.iaea.org/standards/default.asp?s=11&l=90 IAEA Management System Standards http://www-ns.iaea.org/standards/documents/topics.asp?sub=130&x=3&y=7 NE series reports http://www.iaea.org/OurWork/ST/NE/NESeries/ClickableMap/ NE Management System web info http://www.iaea.org/NuclearPower/ManagementSystems/ Entrac http://entrac.iaea.org/default.aspx INSAG documents (incl safety culture) http://www-ns.iaea.org/committees/insag.asp#2 Meeting presentations http://www.iaea.org/NuclearPower/Engineering/Meetings/

Useful links

• Any grading that is performed should ensure that safety functions and License, Operating Limits and Conditions are preserved and there are no negative effects on the facility staff, the public, or the environment

• Graded approach should be based on potential hazard, complexity of activity, experience of the staff, possible consequences in case of failure

• IMS itself is already a graded application • Development and implementation of a Management

systems should also be graded • Management system is the best place to define

grading

Concluding remarks

20

Graded approach is common

sense but it is not that

common at all

Thank you for your attention …Questions and comments?