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IAEAInternational Atomic Energy Agency
THE IAEA INTEGRATED REGULATORY REVIEW SERVICE (IRRS) PROCESS
Ivan LUX Regulatory Activities Section | Division of Nuclear Installation Safety
Department of Nuclear Safety and Security
Presentation to the EPREV Lessons Learned Workshop
16.07.2014
IRRS Process_EPREV LL Ws.pptx
IAEA IRRS Mission overview 2
Outline
• On the IRRS missions in general
• Analysis of past missions
• Continuous improvement of the IRRS programme
IAEA IRRS Mission overview 3
ON THE IRSS MISSIONS IN GENERAL
IAEA IRRS Mission overview 4
IRRS as successor of other missions
• IRRS – Integrated Regulatory Review Service, superseds a number of former missions:• Integrated Regulatory Review Team (IRRT)• Radiation Safety, and Security of Radioactive
Sources, Infrastructure Appraisal (RaSSIA)• Part of Emergency Preparedness Review (EPREV)
Core areaAdditional area(also in separate
missions)
IAEA IRRS Mission overview 5
IRRS Missions
• Integrated Regulatory Review Service to peer review the host country’s nuclear and radiation safety regulatory regime against the IAEA Safety Standards
• Modular review by international experts (15-20)• Core regulatory activities Modules + additional areas• Mission report with Recommendations, Suggestions,
Good Practices (observations)
IRRS Modules
IAEA IRRS Mission overview 6
What is an IRRS mission for?
• IRRS is meant to provide• an opportunity for continuous improvement for the
host nuclear and radiation safety regulatory body through self-assessment and through peer review by an international expert team
• a review of the technical and policy issues relevant for the host country
• an opportunity to share and exchange experience and discuss issues with international experts
• a contribution to the harmonization of regulatory approaches among Member States
IAEA IRRS Mission overview 7
What is not an IRRS mission for?
• The IRRS mission are not meant to• inspect regulatory or operator activity in the host
country• form any judgment on the host country regulatory
regime or practice• to provide comparison among Member States
Therefore the number of findings 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.
IAEA IRRS Mission overview 8
IRRS Process
• Prep-meeting about 6 months before
• Self-assessment by host• First mission: 12 days• Report finalization about
3 months• Follow-up missions after
2-3 years, about 7 days
IAEA IRRS Mission overview 9
Mission outline
• Initial team meeting• Entrance meeting• Review of technical and policy
issues (interviews and meetings)• Site visits• Daily team meetings• Report preparation• Plenary discussion• Exit meeting
IAEA IRRS Mission overview 10
Missions in 2006-2014
Korea (f)
Zimbabwe
Niger UAE France
Mexico Germany Canada (f) Netherlands
Mauritius Ukraine Russia Switzerland UK (ff)
Cameroon Sierra Leone UK (part 2) Australia (f) Belgium Cameroon
Kenya Namibia Vietnam Slovenia Czech Rep. Vietnam (f)
Uganda Madagascar Lebanon Ukraine (f) Germany (f) Finland Russia (f) Slovenia (f)
France Gabon Botswana Canada USA Korea Greece UK (f) Jordan
UK Australia Spain Peru China Spain (f) Slovakia Poland Pakistan
Romania Japan Cote d'Ivoire France (f) Iran Romania Sweden Bulgaria USA (f)
2006 2007 2008 2009 2010 2011 2012 2013 2014
3 9 8 7 4 9 4 6 3 (11)
IAEA IRRS Mission overview 11
Missions in 2006-2014: Site Overview
Initial missionsFollow-up missions
IAEA IRRS Mission overview 12
IRRS Guidelines
• Published in May 2013
• A series of Targeted Consultancies was held for collecting experience and advice for a thorough revision
• Novel edition will be compiled based on the consultancies
IAEA IRRS Mission overview 13
Results of an IRRS mission
• Missions report, including observations (agreed with the host during the mission):• Recommendation: non-
compliance with IAEA Safety Standards
• Suggestion: a way of further improvement
• Good Practice: unique feature worth of recommending to others
IAEA IRRS Mission overview 14
IAEA Safety Standards used in IRRS
IAEA IRRS Mission overview 15
Basis for findings: GSR Part 1 Requirements
IRRS Modules
+ other IAEA Safety Standards
IAEA IRRS Mission overview 16
Participation in the missions (2006-2014)
• No. of experts (including IAEA): 362• No. of participations: 673• From 59 countries
010
2030
4050
ALB
ALG
ARG
AUS
AUT
BEL
BIH
BKF
BUL
BRA
CAN
CHI
CPR
CUB
CZR
DEN
EGY
ETH
FIN
FRA
GFR
GRE
HUN
ICE
IND
IRE
ISR
ITA
JOR
JPNLIT
MEX
MO
RN
ETNIR
NO
RN
ZEPA
KPO
RRO
KRO
MRU
SSA
FSL
OSL
RSP
ASU
DSY
RSW
ESW
ITA
NTU
NTU
RU
AEUK
UKR
USA
Expe
rts
in IR
RS m
issi
ons
Num
ber
of p
artic
ipati
ons
Num
ber
of e
xper
ts
IAEA IRRS Mission overview 17
ANALYSIS OF PAST IRRS MISSIONS - EXTRACTS
IAEA IRRS Mission overview 18
Scope of analysis
• Missions in 2006-2014 to MSs operating NPPs
• Modules and facilities related to nuclear installations
Niger UAEMexico Germany Canada (f)
Mauritius Ukraine Russia SwitzerlandCameroon Sierra Leone UK (part 2) Australia (f) Belgium
Kenya Namibia Vietnam Slovenia Czech Rep.Uganda Madagascar Lebanon Ukraine (f) Germany (f) Finland Russia (f)
France Gabon Botswana Canada USA Korea Greece UK (f)UK Australia Spain Peru China Spain (f) Slovakia Poland
Romania Japan Cote d'Ivoire France (f) Iran Romania Sweden Bulgaria USA (f)2006 2007 2008 2009 2010 2011 2012 2013 2014
IAEA IRRS Mission overview 19
Analysed topics
• Frequency of references from mission observations to IAEA safety standard requirements
• Distribution and correlation of observations (by types by missions, by IRRS modules)
• Contents of observations (most frequent subjects, coincidence of subjects in findings and GPs,…)
0
10
20
30
40
50
60
70
80
24 18 20 32 27 25 2 29 36 4 26 33 15 22 31 16 19 14 11 23 1 3 8 7 5 30 35 17 21 28 10 34 6 13 9 12
Num
ber o
f ref
eren
ces
GSR Part 1 Requirement number
All references to GSR Part 1 from all missions (ordered)
0
5
10
15
20
25
30
35
40
45
50
1.d 7.a 9.b 7.c 3.a 4.a 10.e 3.f 4.b 9.a
Num
ber o
f find
ings
per
mis
sion
s
Subject Group
Subject Groups with the most findings
0
10
20
30
40
50
60
70
A B C D E F G H I J K L M N O P Q R S T U V
Num
ber o
f ob
serv
ation
s
Missions
Observations in initial MissionsR S GP R+S Ʃ
IAEA IRRS Mission overview 20
Conclusions of analysis (examples)
• Conclusion: The mission reports analysed indicate that requirements which would be expected to form the basis of observations in particular IRRS Modules often appear in other Modules.
• Conclusion: Recommendations and Suggestions, referencing GSR Part 1 Requirements relating to core regulatory functions from initial missions, comprise a dominant part of all references.
• Conclusion: There is no need to set rules as for the desirable number of observations offered in missions, the practice so far followed ensures reasonable distributions for these numbers.
IAEA IRRS Mission overview 21
Conclusions of analysis (examples)
• Conclusion: The numbers of the Recommendations and those of the Good Practices are indeed negatively correlated in the missions analysed. Yet this seems to be less pronounced than expected, further analysis of selected missions may reveal the reasons for this.
• Conclusion: In the light of the limited data available it is likely that complying with findings addressed to the government needs more time, or other prerequisites than with those for the regulatory body.
• Conclusion: The Subject Group most frequently addressed by findings in the analysed missions is related to the legal framework for regulatory activities
• Conclusion: Activities related to inspection represent the most controversial part of the regulatory regime involving some fields with frequent non-compliance and others often commended by the missions.
IAEA IRRS Mission overview 22
CONTINUOUS IMPROVEMENT OF THE IRRS PROGRAMME
IAEA IRRS Mission overview 23
Ways to improve
• Basic IRRS Training• IRRS Mission Standards• Feedbacks• Measuring effectiveness and
efficiency• Prompt Evaluation Report
IAEA IRRS Mission overview 24
Basic IRRS Training Course
• First held in October 2013• 62 participants from 38 MSs• In the framework of the EC-IAEA
cooperation in the field of Nuclear Safety
• Covered all aspects of the IRRS programme, 16 Training Lectures, 3 Information Lectures
• Test Questionnaires for all Lectures• 2nd edition in October 2014• Refresher course (in missions)• E-learning modules
IAEA IRRS Mission overview 25
Feedback on the course
Evaluation of the BIT Course by participantsQuestion Mark
4.64
How do you rate the training course presentations from the point of view of
the information therein and their completeness 4.45
their clarity 4.30
their format 4.29
How do you rate the training course lecturers from the pointof view of
their competence in the field 4.69
the way they held the presentations 4.26
What is your opinion on the course-related organization and arrangements by IAEA? 4.69
Average: 4.47
Number of answers: 56
How useful you consider the training in your possible future IRRS activity?
IAEA IRRS Mission overview 26
Feedback from the Test Questionnaires
0.500.550.600.650.700.750.800.850.900.951.00
1 2 3 4 5 6 7 8 9 10 11
Solution ratios in Test Questions No.1
0.500.550.600.650.700.750.800.850.900.951.00
1 2 3 4 5 6 7 8 9
Solution ratios in Test Questions No.6
IAEA IRRS Mission overview 27
Ways to improve
• Basic IRRS Training• IRRS Mission Standards• Feedbacks• Measuring effectiveness and
efficiency• Prompt Evaluation Report
IAEA IRRS Mission overview 28
Mission Standards – ARM Report Template
Under development / discussion
IAEA IRRS Mission overview 29
Mission Standards – Report Template
• Cross-contribution table• Instructions for reviewers
• Issues to cover• Format of observations
IAEA IRRS Mission overview 30
Mission Standards – Schedule
IAEA IRRS Mission overview 31
Ways to improve
• Basic IRRS Training• IRRS Mission Standards• Feedbacks• Measuring effectiveness and
efficiency• Prompt Evaluation Report
IAEA IRRS Mission overview 32
Feedbacks on the IRRS process
• Questionnaire on the quality of the ARM – reviewers at mission start
• Questionnaire on effectiveness of the mission – reviewers at end of mission
• Round-table conclusions and suggestions – reviewers at end of mission
• Questionnaire on effectiveness of the mission – host after mission
• Questionnaire on effectiveness of the initial mission – host before follow-up mission
• Workshop for team leaders (January 2013)• Triennial LL Workshop (October 2014, Moscow)• Workshop for experienced reviewers (planned
for 2015)
IAEA IRRS Mission overview 33
Ways to improve
• Basic IRRS Training• IRRS Mission Standards• Feedbacks• Measuring effectiveness and
efficiency• Prompt Evaluation Report
IAEA IRRS Mission overview 34
Effectiveness and efficiency of IRRS
• NSAP requires establishing criteria for efficiency of IRRS missions
• 16 Performance Indicators introduced to characterize the E&E of a mission, such as:• Team size; team experience;• Time available to prepare for the
mission;• Feedback from team members and from
hosts;• Coverage of the Action Plan by findings;• Balance of findings;• Conciseness of mission report; etc. Under development
IAEA IRRS Mission overview 35
Examples of Performance Indicators
3
3.5
4
4.5
5
Miss1 Miss2 Miss3 Miss4 Miss5 Miss6
mar
k
mission
Host Feedback
0.000.100.200.300.400.500.600.70
Fu-1 Fu-2 Fu-3 Fu-4 Fu-5 Fu-6 Fu-7
Ratio of open issues in follow-upsRecommendations Suggestions All
0.000.100.200.300.400.500.600.700.800.901.00
Fu-1 Fu-2 Fu-3 Fu-4 Ini-1 Ini-2 Ini-3 Ini-4 Ini-5 Ini-6 Ini-7 Ini-8 Ini-9
ratio
of m
embe
rs w
ith e
xper
ienc
e
missions
Team Experience
0306090
120150180210240270300330360390
FRA
UK
JPN
MEX
SPA
UKR GFR
FRA
-fu
CAN
UK-
fuR
US
CPR US
RO
MSP
A-f
uR
OK
GFR
-fu
SLO
SWI
CAN
-fu
SWE
SLR
FIN
BUL
UK-
fu2
RU
S-fu
CZR
BEL
com
pleti
on ti
me
in d
ays
Mission
Report Completion Time
Optimum Acceptable Need attention
0 0.2 0.4
IAEA IRRS Mission overview 36
E & E of past IRRS missions
Note: The Performance Indicator values presented here characterize the effectiveness and efficiency of the IRRS process and represent no indication whatsoever on the safety performance of the host countries of the missions
0.000
0.020
0.040
0.060
0.080
0.100
0.120
0.140
0.160
0.180
0.200
0.220
ROK GFR-fu SLO SWI CAN-fu SWE SLR FIN BUL UK-fu2 RUS-fu CZR BEL
Dist
ance
from
opti
mum
Mission
Efficiency and effectiveness of IRRS missions
to analyse
acceptable
effective
optimum
IAEA IRRS Mission overview 37
Ways to improve
• Basic IRRS Training• IRRS Mission Standards• Feedbacks• Measuring effectiveness and
efficiency• Prompt Evaluation Report
IAEA IRRS Mission overview 38
Prompt evaluation report
• Basic mission data• Feedback from the team• Feedback from the hosts• Overall evaluation of effectiveness
and efficiency• Discussion, conclusions• Summary
IAEA IRRS Mission overview 39
Evaluation of a mission via PI’s
IAEA IRRS Mission overview 40
Pilot application in nuclear missions
IAEA IRRS Mission overview 41
IN SUMMARY
IAEA IRRS Mission overview 42
Conclusions
• IRRS is an effective means of reviewing compliance of RB status and activities with IAEA safety standards
• Regular invitation of IRRS missions by all IAEA MS is highly recommended
• The IRRS process is mature and effective – yet it is under continuous development by using novel standardized tools and feedback from participants
• Lessons learned from past missions as well as mission effectiveness and efficiency analysed
• Prompt evaluations of IRRS missions to nuclear countries were performed in a pilot phase
IAEA IRRS Mission overview 43
THANK YOU FOR YOUR ATTENTION
Ivan Lux, IAEA NSNI RAS, I.Lux@iaea.org
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