Preliminary Announcement

Transcription

1 OECD Nuclear Energy Agency Committee on Nuclear Regulatory Activities Working Group on Inspection Practices Preliminary Announcement 10 th International Nuclear Regulatory Inspection Workshop on Experience from Inspecting Safety Culture Inspection of the Licensee Safety Management System Effectiveness of Regulator Inspection Processes 16 th 19 th May, 2010 Hosted by the Ministry of Housing, Spatial Planning and the Environment VROM Inspectorate- Department of Nuclear Safety, Security and Safeguards Amsterdam, the Netherlands General Information - Registration Information - Participants Survey On-line information is available:

2 OECD Nuclear Energy Agency Committee on Nuclear Regulatory Activities Working Group on Inspection Practices PRELIMINARY ANNOUNCEMENT 10 TH INTERNATIONAL NUCLEAR REGULATORY INSPECTION WORKSHOP GENERAL INFORMATION The OECD Nuclear Energy Agency (NEA) Committee on Nuclear Regulatory Activities (CNRA) Working Group on Inspection Practices (WGIP) will sponsor the 10 th International Workshop on Nuclear Regulatory Inspection Activities on Experience from Inspecting Safety Culture, Inspection of the Licensee Safety Management System, and Effectiveness of Regulator Inspection Processes. The workshop will be hosted by the Ministry Housing, Spatial Planning & Environment, VROM Inspectorate - Nuclear Safety Department, the Netherlands Nuclear Safety Authority and will take place in Amsterdam, the Netherlands from the 16 th to 19 th of May Objective The main purpose of the Workshop is to provide a forum for the exchange of information on regulatory inspection activities. Participants will have the opportunity to meet with their counterparts from other countries and organisations to discuss current and future issues on the selected topics. They will develop conclusions regarding these issues and identify methods to help improve their own inspection programmes. Background The CNRA believes that safety inspections are a major element in a regulatory authority s efforts to ensure the safe operation of nuclear facilities. Considering the importance of these issues, the Committee established a special working group to address inspection practices. The purpose of WGIP is to facilitate the exchange of information and experience related to regulatory safety inspections between CNRA Member countries. This Workshop, which is the 10 th in a series, along with many other activities performed by WGIP, is directed towards this goal. The consensus from participants at previous Workshops, noted that the value of meeting with people from other inspection organisations was the most important achievement. Topics The Workshop will address the following three (3) main topics concerning inspection activities: Experience from Inspecting Safety Culture Inspection of the Licensee Safety Management System Effectiveness of Regulator Inspection Processes 2

3 Overview A brief overview of the concepts and issues for each of the topics is provided in the following paragraphs. Actual issues to be discussed during the workshop will be generated by the organising committee members based on the responses submitted by participants with their registration forms. This will help ensure that issues considered most important by the workshop participants are covered during the group discussions. Experience from Inspecting Safety Culture Given the work that has been previously performed by WGIP at its Toronto 2006 workshop and by the Working Group of Human and Organisational Factors (WGHOF) and its workshop at Chester 2007, this workshop will give regulatory inspectors an opportunity to share their own experience regarding internationally practised approaches for the assessment of licensees safety culture by a process of inspecting some attributes of the behaviour of nuclear power plant (NPP) management and staff. The workshop should also compile the initial knowledge and qualification requirements for inspectors to assess NPPs, as well as further development of necessary skills for experienced inspectors. In addition, the workshop should evaluate methods to incorporate the findings of the inspectors into the overall assessment of plant performance. Inspection of the Licensee Safety Management System In 2001, the WGIP recognized that there is a spectrum of approaches that may be appropriate for use by a regulatory authority when it assesses the effectiveness of a licensee in managing safety related issues (NEA/CNRA/R(2001)9). Since then the inspection methodologies and programs have been evolved. Experiences in inspection of the management system have been gained. Inspections are performed which cover the most important elements of the management system like the establishment and the basis of the management system, responsibilities and documentation, policy and resources, process implementation and continuous improvement. Inspections, meetings and indicators are used to evaluate the overall effectiveness of the management system as to ensure the safety of the plant. The objective of this workshop topic is to share and discuss different approaches and practices as well as to identify commendable practices for the regulatory inspection of licensee's management systems and of processes within these management systems. Effectiveness of Regulator Inspection Processes As an essential part of their mission, the Regulatory Bodies must carry out inspections of the NPPs. The inspections are designed to verify that the Licensees operate their facilities in a safe manner, in accordance with design/licensing basis, and regulatory requirements are met, (laws, regulations standards, etc.). While findings are identified and corrected on routine basis, there is a challenge on how the regulator determines whether the inspection program is effective in maintaining and improving the safety of the plant. Therefore, it is important for the Regulatory Bodies to have a tool for the periodical assess and measure of the effectiveness of their inspection process and programs. This may be accomplished by the regulatory body through various self-assessment processes or by other means such as 3 rd party independent evaluations, and taking into account all the stake holders. 3

4 Format The formal Workshop sessions will be divided into an Opening Session, Discussion Sessions, Open Discussion Session and a Closing Session. Additionally, informal opportunities will be made available throughout the Workshop, for participants to exchange information and communicate on other inspection topics. Plenary Opening Session This will include presentations by invited speakers from both regulatory and other organisations. The lead WGIP Facilitator for each topic will introduce the main topics to be addressed during the Workshop, based on the responses received to the Participants Survey and WGIP discussions. Workshop Discussion Sessions (3 half-day sessions) PARTICIPANTS WILL BE DIVIDED INTO SMALLER GROUPS TO DISCUSS ONE OF THE MAIN TOPICS. A TRAINED FACILITATOR AND RECORDER WILL WORK WITH EACH GROUP TO STIMULATE AND ENCOURAGE DISCUSSIONS. BASED ON EXPERIENCE AT PREVIOUS WORKSHOPS EACH GROUP WILL REMAIN THE SAME THROUGHOUT THESE SESSIONS, ALTHOUGH FACILITATORS MAY BE ROTATED TO ENHANCE THE EXCHANGES OF INFORMATION. EACH GROUP WILL BE EXPECTED TO DEVELOP A LIST OF CONCLUSIONS AND COMMENDABLE PRACTICES FOR THE TOPICS BEING DISCUSSED. Participants should indicate on the registration form, the preferred topic they would like to discuss during these sessions. Every attempt will be made to assign participants to the appropriate discussion group. Again, past experience has shown that groups having the most diverse (e.g., participants from different countries) groupings, have been the most effective. Participants are also requested to list one or two specific issues that they would like to see addressed during the Workshop Discussion Sessions. AS A RESULT OF PREVIOUS WORKSHOPS, MOST PARTICIPANTS HAVE COMMENTED THAT ADVANCE INFORMATION IS VERY VALUABLE TO THE DISCUSSIONS. THEREFORE, YOU ARE KINDLY REQUESTED (AND IT IS HIGHLY RECOMMENDED) THAT PARTICIPANTS SUPPLY THE FOLLOWING INFORMATION: A short questionnaire for each topic is attached to this announcement and (also available on the NEA web site). Participants are kindly requested to provide brief responses (on their chosen topic and/or all topics) of no more than 2 pages. It is hoped that each participating country will provide responses to each of the topic questionnaires in order to better facilitate and co-ordinate the group discussion sessions. Additionally, those participants can if they wish provide general information (short papers of 1 or 2 pages) on their countries inspection practices for each topic. The responses to the questionnaires must be sent to Ms. Diane Jackson, diane.jackson@oecd.org and received by 1 st April 2010, such that the session leads will have time to review the responses. PLEASE NOTE THAT THE REQUESTED INFORMATION (SHORT) PAPERS ARE NOT FOR PRESENTATION AT THE WORKSHOP. PARTICIPANTS CAN UTILISE PAPERS IN DISCUSSIONS, BUT DUE TO LIMITED TIME SCHEDULES THERE WILL NOT BE TIME FOR PARTICIPANTS TO MAKE PRESENTATIONS DURING THE DISCUSSION SESSIONS. 4

5 Open Discussion Session Prior to the closing session an open informal discussion (morning) session will be held. Participants will be given the opportunity to discuss and review all of the workshop topics in an informal setting. This may include a presentation on selected related topics arranged by the workshop host, VROM Inspectorate - Department of Nuclear Safety, Security and Safeguards. Plenary Closing Session One facilitator from each topic will present the conclusions and proposed commendable practices that were developed by their respective groups. A panel discussion including all facilitators and recorders for the topic will answer questions from the audience. Following the presentations, there will be an open panel discussion on the results of the Workshop. Participants It is expected that the participation in the Workshop will be mainly from regulatory organisations familiar with inspection programmes and activities. This includes inspectors, inspection managers and inspection training officers. The intrinsic value of these Workshops has been to people, (i.e., the inspectors) who face these topics in practical situations on a day-to-day basis. Language All presentations, discussions, and meeting documents will be in English. Workshop Proceedings Proceedings from the Workshop will be published, and will include papers from the Opening Session, Conclusions and Recommendations from the discussion groups, Summary of panel discussions, and information papers submitted by participants to the Workshop. Informal Sessions In order for Participants to be able to communicate and exchange information on other topics of interest, informal sessions will be arranged during lunch periods and following daily sessions. Additionally, a cocktail reception and a dinner have been arranged. The preliminary schedule is provided below and a detailed schedule and programme will be transmitted to each participant in advance of the Workshop. 5

6 Preliminary Schedule of Workshop Activities The following schedule has been developed for the Workshop. Participants should note that this schedule is preliminary in nature and is subject to change based on the planning and arrangements currently being prepared by the Host Organisation. As noted in the table, VROM Inspectorate will be hosting a cocktail reception on Sunday evening, a Workshop Dinner on Tuesday evening and coffee breaks during the workshop. Day Sunday 16 May Event Hotel registration Pre-registration Meet & Greet Cocktail reception - Hosted by VROM Inspectorate Monday 17 May Registration and Coffee Plenary Opening Session Welcome by Piet Müskens,director-inspector KFD/VROM Inspectorate Presentations of the Workshop topics by WGIP Topic leads Lunch Workshop Discussion Sessions - by topic End Free evening to visit Amsterdam Tuesday 18 May Topics Sessions: Part 2 and Resume Workshop Discussion Sessions Lunch Workshop Discussion Sessions End Workshop Dinner - Hosted by VROM Inspectorate Wednesday 19 May Host Country Presentation and Open Discussion Session Lunch Plenary Closing Session: Workshop Discussion Results Closing 6

7 Travel to and within The Netherlands Schiphol airport is not far from Amsterdam centre. There are trains day and night, six times an hour through the day, and hourly in the dead of night; trains take about 15 minutes. Please note to take the train from the airport to Central Station (not Amsterdam-Zuid/WTC). A single journey costs about 4. A taxi to/from the airport will cost about 30 and takes about 10 minutes go to the official taxi rank, and do not accept personal offers in the arrival hall of Schiphol. Amsterdam is a very compact city where your destination will usually not be at a great distance. The city is therefore ideal for getting around by foot, bicycle or public transport. Amsterdam has a very dense public transport system and tram, metro or bus stops are usually around the corner. Cars are less suited for getting around in Amsterdam. Parking rates are substantial in almost the entire city. Venue The workshop will be held at NH Amsterdam Centre, located in the centre of Amsterdam. The site is about 15 minutes walking distance from hotel NH City Centre Amsterdam and is easily accessible by public transport. NH Amsterdam Centre **** Stadhouderskade ES Amsterdam The Netherlands Phone: +31 (0) Fax: +31 (0) Hotel Reservation Information Hotel accommodation has been pre-booked by Hotelmatch at favourable rates for workshop participants in hotel NH City Centre Amsterdam (3 star hotel). Your registration fee includes hotel room reservation. NH Amsterdam City Centre is located in the heart of Amsterdam overlooking the famous Singel Canal. Close to the flower market and the home of Anne Frank. There is a bus stop right in front of the hotel for the NH Shuttle Bus to and from the airport (20 km). The rooms are all fully equipped and comfortable. 7

8 Travelling to the conference location takes about 10 minutes by public transport and 15 minutes by foot. Hotel NH City Centre Amsterdam *** Spuistraat VX Amsterdam Phone: +31 (0) Fax: +31 (0) In case you need more information about your reservation please contact Hotelmatch at the address below: Hotelmatch Prinses Beatrixlaan BM The Hague The Netherlands Phone: +31 (0) Fax: +31 (0) Registration Clink on the link below in the yellow box to connect to the on-line registration form: Click here to open the registration form Or cut and paste the below address for the on-line Registration for the workshop and hotel: Registration for the workshop is handled by Oosterhof Organizing. For registration matters, contact via is preferred. Oosterhof Organizing Koninginnegracht AD The Hague The Netherlands Phone: +31 (0) or +31 (0) Fax: +31 (0) It is important to register soon by Friday, 12 February 2010 (inclusive). The hotel rate is only guaranteed for registrations before Saturday, 13 February. 8

9 Workshop Registration Fee 10 th WGIP Workshop Registration and Hotel Fee Fee and 3 nights hotel Fee and 4 nights hotel Fee and 5 nights hotel Fee and 6 nights hotel Workshop and Hotel Rate Guaranteed only until Friday, 12 February 2010 Workshop Registration fee includes: Welcome reception on Sunday, 16 May 2010 Attendance of the workshop, conference documentation, refreshments and lunches from Monday, 17 May through Wednesday, 19 May 2010 Workshop Dinner on Tuesday, 18 May , 4, 5, or 6 nights in the NH City Centre Amsterdam (hotel room includes breakfast and city tax) Important Deadlines: Registration for the Workshop and Hotel February 12 th Payments received to the Workshop and Hotel Participants Survey responses (questionnaire) February 15th April 1 st 9

10 Workshop Payment An invoice will be sent to you after receipt of your registration form. Full payment must be received by Monday, 15 February Forms will not be accepted or processed without full and correct payment. Payment must be in Euros ( ). Bank costs are for account of the delegate. Bank transfer of the amount due to ABN AMRO Bank, The Hague Bank account number: IBAN: NL21.ABNA SWIFT/BIC Code: ABNANL2A Please clearly quote: WGIP 2010 and your name. Confirmation After having submitted your registration form, a confirmation will be sent to you. A definite confirmation and further information will be issued to all delegates. Your participation is only guaranteed after confirmation by the conference secretariat (Ms. Oosterhof). Your hotel reservation will be confirmed directly by Hotelmatch after having received your payment. Amendments and Cancellation Conditions to Registration Notification of cancellation of the workshop or amendments must be submitted in writing to the conference secretariat ( organizing@datalinx.nl). There will be no charges for cancellations or amendments. Amendments to Hotel Reservation Any amendments or cancellations to hotel reservations must be submitted in writing to Hotelmatch ( info@hotelmatch.nl). Changes are subject to availability. Please note that on your hotel reservation, the Uniform Conditions for the Hotel and Catering Industry (UVH) are applicable. The cancellation policy is applicable on the room rate of 135 per room/ per night. This mentioned rate is the net rate and excludes breakfast and city tax. o o o o o The reservation can be cancelled free of charge till 3 months prior to arrival (15/02/2010) In case of cancellation between 2 and 3 months prior to arrival, 15% of the total reservation value will be charged. In case of cancellation between 1 and 2 months prior to arrival, 35% of the total reservation value will be charged. In case of cancellation between 14 days and 1 month prior to arrival, 60% of the total reservation value will be charged. In case of cancellation between 7 and 14 days prior to arrival, 85% of the total reservation value will be charged. 10

11 o In case of cancellation 7 days or less before the arrival date, in case of No Show or in case of early departure during the stay in the hotel, 100% of the total reservation value will be charged. Disclaimer All best endeavours will be made to present the program as presented. However, the Workshop Committee of WGIP reserves the right to alter or cancel, without prior notice, any of the arrangements, timetables, plans or other items relating directly or indirectly to the conference, for any cause beyond their reasonable control. The Workshop Committee is not liable for any loss or inconvenience caused as a result of such alteration. The Official Workshop Contacts are: NEA Secretariat: Ms. Diane JACKSON Nuclear Safety Division, OECD NEA Le Seine St.-Germain 12, blvd des Iles Issy-les-Moulineaux FRANCE Tel: +33 (0) Fax:+33 (0) diane.jackson@oecd.org Host Country Contact: Mr. Kees DES BOUVRIE, Nuclear Safety Auditor Organisations and Operation Inspectorate of Housing, Spatial Planning and the Environment Nuclear Safety Department/IPC 560 P.O. Box BD The Hague The Netherlands Tel: +31 (0) Fax: +31 (0) Kees.desBouvrie@minvrom.nl Workshop Managing Office: Questions about registration Oosterhof Organizing Koninginnegracht AD The Hague The Netherlands Phone: +31 (0) ( Fax: +31 (0) organizing@datalinx.nl Hotel Reservation: Questions about hotel booking: Hotelmatch Prinses Beatrixlaan BM The Hague The Netherlands Phone: +31 (0) Fax: +31 (0) info@hotelmatch.nl 11

12 PRELIMINARY REGISTRATION FORM QUESTIONNAIRE A Experience from Inspecting Safety Culture Submittal Date: 1 st April 2010 Notes: Forward: Only one response per country is required. If more than one person from your country is participating, please co-ordinate the responses accordingly. Please provide responses on separate sheet and clearly identify the questionnaire part and topic. Submittals should be sent by to: diane.jackson@oecd.org Given the work that has been previously performed by WGIP at its Toronto 2006 workshop and by the Working Group of Human and Organisational Factors (WGHOF) and its workshop at Chester 2007, this workshop will give regulatory inspectors an opportunity to share their own experience regarding international practised approaches for the assessment of licensees safety culture by a process of inspecting some attributes of the behaviour of nuclear power plant (NPP) management and staff. The workshop should also compile the initial knowledge and qualification requirements for inspectors to assess NPPs, as well as further development of necessary skills for experienced inspectors. In addition, the workshop should evaluate methods to incorporate the findings of the inspectors into the overall assessment of plant performance. Questionnaire: COUNTRY: For preparation of the workshop, participants are invited to supply their national inspection approaches used in inspection of safety culture according to the following questionnaire: 1. In the absence of regulatory requirements how does your regulatory body convey its expectations regarding the importance of safety culture on nuclear safety and the promotion of its use, (e.g., the content of a safety culture program and the need to be proactive) to operators/licensees? 2. How does your agency inspect against its expectations for operators/licensees (e.g., routine inspections, special inspections, inspection criteria) in lieu of its inspections against regulatory requirements? 3. How does your inspection program convey to operators/licensees that the agency s expectations for the implementation of a safety culture programme have or have not been met (e.g., management meetings, documentation of inspection findings, enforcement or regulatory actions)? 12

13 4. How does your agency train its inspectors in the inspection of safety culture (e.g., does it use experts educated in this area, and/or does it train its inspectors)? 5. How does your agency avoid subjectivity and maintain consistency during inspections of safety culture? 6. How does your agency fairly communicate findings in the area of safety culture to external stakeholders (e.g., other operator/licensees and the general public) to ensure its findings are not mischaracterized or taken out of context? 7. How does your agency assess the effect of safety culture on decision making process of operators/licensees (e.g., performing maintenance or equipment testing in a plant configuration that meets technical specifications and regulatory requirements but reduces the margin of safety)? 8. What have been the outcomes and findings associated with your inspection of the operators/licensees safety culture? 9. What would you like to learn regarding the inspection of safety culture from the workshop? 13

14 PRELIMINARY REGISTRATION FORM QUESTIONNAIRE B Inspection of the Licensee Safety Management System Submittal Date: 1 st April 2010 Notes: Only one response per country is required. If more than one person from your country is participating, please co-ordinate the responses accordingly. Please provide responses on separate sheet and clearly identify the questionnaire part and topic. Foreword: Submittals should be sent by to: diane.jackson@oecd.org For an organization operating a nuclear power plant an effective and safety oriented management system is one of the prerequisites to ensure nuclear safety. Many operators of nuclear power plants have enhanced their existing management system in the last decade. A management system based on processes in which all requirements are integrated and which ensures that the safety overrides all other demands has become state of the art. In the IAEA Safety Standard GS-R-3, requirements for such a management system are given. The objective of this workshop topic is to share and discuss different approaches and practices as well as to identify commendable practices for the regulatory inspection of licensee's management systems and of processes within these management systems. Questionnaire: COUNTRY: For preparation of the workshop, participants are invited to supply their national inspection approaches used in inspection of events and incidents according to the following questionnaire: 1. Requirements In your country, do the following items exist: a) a legal/regulatory requirement for a management system (comparable to IAEA GS-R-3)? b) a regulatory approval of the management system? c) a procedure for a regulatory approval in the case of the modification of documents of the management system? 14

15 2. Regulatory inspections a) Does your regulatory body carry out inspections of the licensee s management system? b) Are the inspections usually conducted by site inspectors, specialists or mixed teams? c) How does your regulatory body train/qualify the inspectors, program reviewers, specialists etc. in the field of the management system? 3. Inspections issues Do the inspections cover a) important elements of the management system like responsibilities, policy, resources, documentation, process implementation, continuous improvement? b) specific safety important processes / tasks (examples?) c) the effectiveness of the management system? 4. Inspection criteria a) What criteria are applied for those inspections? b) How is it ensured that the inspections focus on the integration of the management system and on safety relevant activities, and are not distracted by areas outside of regulatory interest (e.g. financial matters)? 5. Inspection experience Considering the methods or procedures for the inspections of the licensee s safety management system in your country, a) what are their main features? b) what kind of positive experience do you have? c) what problems have occurred? d) what improvements do you intend? 6. Please propose any other important issues related to this topic which you would like to discuss during the workshop. 15

16 PRELIMINARY REGISTRATION FORM QUESTIONNAIRE C Effectiveness of Regulator Inspection Programmes Submittal Date: 1 st April 2010 Notes: Only one response per country is required. If more than one person from your country is participating, please co-ordinate the responses accordingly. Please provide responses on separate sheet and clearly identify the questionnaire part and topic. Foreword: Submittals should be sent by to: diane.jackson@oecd.org As an essential part of their mission the Regulatory Bodies (RB) must carry out inspections of the NPPs. The inspections are designed to verify that the Licensees operate their facilities in a safe manner, in accordance with design/licensing basis, and regulatory requirements are met, (laws, regulations standards, etc.). The objective of this workshop for this task is to find a suitable way for the RBs of measuring the effectiveness of the regulatory inspections in their process and programs of inspection. While findings are identified and corrected on routine basis, there is a challenge on how does the regulator determine whether the inspection program is effective in ensuring the safety of the plant. Therefore it is important for the Regulatory Bodies to get a tool for the periodical assess and measure of the effectiveness of their inspection process and programs. This may be accomplished by the regulatory body through various self-assessment processes or by other means such as 3rd party independent evaluations, and taking into account all the stake holders. Questionnaire: COUNTRY: For preparation of the workshop, participants are invited to supply their national approaches used in measuring the effectiveness of their process inspection according to the following questionnaire: 16

17 1) Considering the following items as key elements for the inspection process, please identify those items that you feel need to be improved in your RB. 1. Legal basis Regulatory laws covering inspection and enforcement. 2. Organization & Resources. 3. Competence & Training. 4. Communication between inspectors and licensees. 5. Inspection guidance (procedures, program, etc). 6. Inspection Planning, Preparation, Performance and Reports. 7. Review, assessment/enforcement, and followup of inspection findings/outcomes and corrective actions. 8. Independence of regulatory body 9. Lessons learnt process (both nationally and internationally) 2) How does your effectiveness review incorporate lessons learned both from your own country and internationally? 3) Please provide examples of recent challenges or improvements, performed or planned by your RB, related to the elements that support the process of inspection, included in the previous question. 4) What are the tools used by your RB to review the procedures, programme, planning, and effectiveness of the inspection process? Some examples of tools could include: Indicators, Internal / External Audits, IRRS missions, Self-Assessments, Combination of previous items, Other. Please give a short explanation. 5) What part(s) of your organisation is responsible for these reviews? 6) How is feedback considered in the effectiveness review? These may include: licensees, external stakeholders, RB staff. 7) Please state any other important issue, related to inspection, which you would like to discuss during the workshop. 17