integrated regulatory review service (irrs) ... slovakia in the areas covered by the irrs. the irrs

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  • IAEA-NS-IRRS-2015/02

    ORIGINAL: English

    INTEGRATED

    REGULATORY

    REVIEW SERVICE (IRRS)

    FOLLOW-UP MISSION

    TO

    THE SLOVAK REPUBLIC

    Bratislava, Slovak Republic

    24 February to 2 March 2015

    DEPARTMENT OF NUCLEAR SAFETY AND SECURITY

  • INTEGRATED REGULATORY REVIEW SERVICE (IRRS)

    FOLLOW-UP REPORT TO

    THE SLOVAK REPUBLIC

    Bratislava, SLOVAK REPUBLIC

    24 February to 2 March 2015

  • INTEGRATED REGULATORY REVIEW SERVICE (IRRS)

    FOLLOW-UP REPORT TO

    THE SLOVAK REPUBLIC

    Mission date: 24 February to 3 March 2015

    Regulatory body: NUCLEAR REGULATORY AUTHORITY OF THE SLOVAK REPUBLIC – UJD SR

    Location: UJD SR/UVZ SR – HQ in Bratislava, SLOVAK REPUBLIC

    Regulated facilities

    and activities:

    Nuclear power plants, Radioactive Waste facilities, Environmental monitoring, Occupational Exposure in Nuclear Installations

    Organized by: International Atomic Energy Agency (IAEA)

    IRRS TEAM

    STRITAR Andrej Team Leader (Slovenia)

    REIERSEN Craig Deputy Team Leader (United Kingdom)

    AALTONEN Hannele Reviewer (Finland)

    ADORJAN Ferenc Reviewer (Hungary)

    BLOMMAERT Walter Reviewer (Belgium)

    JUBIN Jean-Rene IRRS Coordinator (IAEA)

    MANSOUX Hilaire IRRS Deputy Coordinator (IAEA)

    UBANI Martyn O. IRRS Administrative Assistant (IAEA)

    IAEA-2015

  • The number of recommendations, suggestions and good practices 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.

  • 5

    CONTENTS

    EXECUTIVE SUMMARY................................................................................................................................ 7

    I. INTRODUCTION.......................................................................................................................................... 9

    II. OBJECTIVE AND SCOPE ......................................................................................................................... 10

    III. BASIS FOR REVIEW ............................................................................................................................... 11

    1. RESPONSIBILITIES AND FUNCTIONS OF THE GOVERNMENT .................................................. 13

    1.1. NATIONAL POLICY AND STRATEGY ............................................................................ 13 1.2. ESTABLISHMENT OF A FRAMEWORK FOR SAFETY ................................................... 13 1.3. ESTABLISHMENT OF A REGULATORY BODY.............................................................. 13 1.4. INDEPENDENCE OF THE REGULATORY BODY ........................................................... 13 1.5. PRIME RESPONSIBILITY FOR SAFETY .......................................................................... 13 1.6. COMPLIANCE AND RESPONSIBILITY FOR SAFETY .................................................... 14 1.7. COORDINATION OF DIFFERENT AUTHORITIES WITH RESPONSIBILITIES

    FOR SAFETY WITHIN THE REGULATORY FRAMEWORK........................................... 14 1.8. COMPETENCE FOR SAFETY ............................................................................................ 16 1.9. PROVISION OF TECHNICAL SERVICES ......................................................................... 16

    2. GLOBAL NUCLEAR SAFETY REGIME ............................................................................................ 17

    2.1. INTERNATIONAL OBLIGATIONS AND ARRANGEMENTS FOR COOPERATION .................................................................................................................. 17

    2.2. SHARING OF OPERATING AND REGULATORY EXPERIENCE .................................... 17

    3. RESPONSIBILITIES AND FUNCTIONS OF THE REGULATORY BODY........................................ 18

    3.1. ORGANISATIONAL STRUCTURE OF THE REGULATORY BODY AND ALLOCATION OF RESOURCES ....................................................................................... 18

    3.2. EFFECTIVE INDEPENDENCE DURING CONDUCT OF REGULATORY ACTIVITIES ........................................................................................................................ 18

    3.3. STAFFING AND COMPETENCE OF THE REGULATORY BODY................................... 18 3.4. TRAINING & COMPETENCE ARRANGEMENTS ............................................................ 18 3.5. ADVISORY BODIES .......................................................................................................... 18 3.6. USE OF TECHNICAL SUPPORT........................................................................................ 18 3.7. LIAISON BETWEEN THE REGULATORY BODY AND AUTHORISED PARTIES ......... 20 3.8. STABILITY AND CONSISTENCY OF THE REGULAROTY CONTROL ......................... 20 3.9. COMMUNICATION AND CONSULTATION WITH INTERESTED PARTIES ................. 20

    4. MANAGEMENT SYSTEM OF THE REGULATORY BODY ............................................................. 21

    4.1. ORGANIZATIONAL POLICIES ......................................................................................... 21 4.2. MANAGEMENT SYSTEM ARCHITECTURE ................................................................... 21 4.3. RESOURCE MANAGEMENT ............................................................................................ 21 4.4. KNOWLEDGE MANAGEMENT ........................................................................................ 21 4.5. MANAGEMENT OF ORGANIZATIONAL CHANGE ........................................................ 22 4.6. SAFETY CULTURE ............................................................................................................ 22 4.7. COMMUNICATIONS WITH STAFF .................................................................................. 22 4.8. CONTROL OF DOCUMENTS ............................................................................................ 22 4.9. CONTROL OF RECORDS .................................................................................................. 23 4.10. PLANNING ......................................................................................................................... 23 4.11. GRADING THE APPLICATION OF RESOURCES ............................................................ 23 4.12. MEASUREMENT, ASSESSMENT & IMPROVEMENT ..................................................... 24

    5. AUTHORIZATION ............................................................................................................................. 25

    5.1. GENERAL ........................................................................................................................... 25 5.2. THE LICENSING/AUTHORISATION PROCESS ............................................................... 25 5.3. REGULATORY DECISIONS .............................................................................................. 25 5.4. REQUIREMENTS FOR PERIODIC SAFETY REVIEW...................................................... 26

    6. REVIEW AND ASSESSMENT............................................................................................................ 27

  • 6

    6.1. GENERAL ........................................................................................................................... 27 6.2. ORGANISATIONAL ASPECTS OF THE REVIEW AND ASSESMENT PROCESS .......... 27 6.3. CAPABILITY FOR INDEPENDENT REGULATORY AUDIT CALCULATIONS ............. 27 6.4. UPDATING OF REGULATIONS RELATED TO REVIEW AND ASSESSMENT .............. 27 6.5. ACCEPTANCE CRITERIA ................................................................................................. 27 6.6. PERIODIC SAFETY REVIEW – AGEING MANAGEMENT.............................................. 28 6.7. OPERATIONAL EVENT INVESTIGATION, EXPERIENCE FEEDBACK ........................ 28

    7. INSPECTION ...................................................................................................................................... 29

    7.1. GENERAL ........................................................................................................................... 29 7.2. NUCLEAR POWER PLANTS ............................................................................................. 30 7.3. WASTE FACILITIES .......................................................................................................... 31

    8. ENFORCEMENT................................................................................................................................. 32

    8.1. GENERAL ........................................................................................................................... 32

    9. REGULATIONS AND GUIDES .......................................................................................................... 33

    9.1. EXISTING REGULATIONS AND GUIDES........................................................................ 33 9.2. PROCESS FOR DEVELOPMENT OF REGULATIONS AND GUIDES .............................. 33 9.3. PROMOTION OF REVIEW OF THE REGULATIONS AND GUIDES TO

    INTERESTED PARTIES ..................................................................................................... 34

    10. EMERGENCY PREPAREDNESS AND RESPONSE .....................................................................

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