Process management Requirements in IAEA Standards and Guides Richard Hibbert RSRL Quality, Assessment and Management Systems Manager Why start with Standards? • Significant issue for UK Nuclear industry due to new build programme – Supply chain seeking guidance on standards – Active discussion about a nuclear sector scheme • IAEA GS-R-3 is used by UK Regulators as a benchmark – Quoted by both ONR and EA • GS-R-3 and its supporting guides are an important knowledge repository on the practical application of process management in the nuclear industry Standards and Scope Evolution IAEA GS-R-3 Scope ISO 9001:2008 IAEA 50-C-Q TQM Excellence IMS Culture/ Stakeholder Customer ISO 9001 BS 5750 QC QA Process Control Product Time Management System Evolution Systems have moved from being one dimensional to being all embracing Standards Overview • IAEA GS-R-3 is nuclear specific and is used by regulators as a benchmark for Nuclear Site Licensees. • ISO 9001:2008 is a generic standard. It is used in many contractual situations but needs to be appropriately supplemented. • The whole nuclear supply chain needs to have the strong emphasis on safety and safety culture embodied in GS-R-3 and its supporting guides. IAEA GS-R-3 • • • • • Mandatory Standard Issued in 2006 Replaced IAEA 50-C-Q Aligned with ISO 9001:2000 Supported by a number of guides, particularly important are: – IAEA GS-G-3.1 replaces safety guides Q1 to Q7 – IAEA GS-G-3.5 replaces safety guides Q8 to Q14 GS-R-3 Safety Emphasis • The main aim of the management system shall be to achieve and enhance safety by: – Bringing together in a coherent manner all the requirements for managing the organization; – Describing the planned and systematic actions necessary to provide adequate confidence that all these requirements are satisfied; – Ensuring that health, environmental, security, quality and economic requirements are not considered separately from safety requirements, to help preclude their possible negative impact on safety. • Safety shall be paramount within the management system, overriding all other demands. IAEA GS-R-3 2.1&2.2 Safety Culture and the MS • The management system shall be used to promote and support a strong safety culture by: – Ensuring a common understanding of the key aspects of safety culture within the organization; – Providing the means by which the organization supports individuals and teams in carrying out their tasks safely and successfully, taking into account the interaction between individuals, technology and the organization; – Reinforcing a learning and questioning attitude at all levels of the organization; – Providing the means by which the organization continually seeks to develop and improve its safety culture. IAEA GS-R-3 2.5 GS-R-3 Structure • Six sections – Introduction – Management System – Management Responsibility – Resource Management – Process Implementation – Measurement, Assessment & Improvement GS-R-3 Section 5 Requirements (1) • Basic process management requirements are similar to ISO 9001:2008 – Identify Processes – Determine process requirements such as applicable regulatory, statutory, legal, safety, health, environmental, security, quality and economic requirements – Determine sequence and interactions of processes – Plan process development and implementation – Determine methods to ensure the effectiveness of implementation and control of the processes – Assess and continually improve processes GS-R-3 Section 5 Requirements (2) • Includes additional explicit process management requirements compared to ISO 9001:2008, in particular: – Process Co-ordination – Process Ownership – Generic management system processes Process Co-ordination “The activities of and interfaces between different individuals or groups involved in a single process to be planned, controlled and managed in a manner that ensures effective communication and the clear assignment of responsibilities.” IAEA GS-R-3 5.5 Process Ownership • For each process a designated individual shall be given the authority and responsibility for: – Developing and documenting the process and maintaining the necessary supporting documentation; – Ensuring that there is effective interaction between interfacing processes; – Ensuring that process documentation is consistent with any existing documents; – Ensuring that the records required to demonstrate that the process results have been achieved are specified in the process documentation; – Monitoring and reporting on the performance of the process; – Promoting improvement in the process; – Ensuring that the process, including any subsequent changes to it, is aligned with the goals, strategies, plans and objectives of the organization. IAEA GS-R-3 5.6 Generic Processes • Generic processes to be developed within the management system: – Control of documents – Control of products – Control of records – Purchasing – Communication – Managing organizational change Supporting Guidance • The guidance documents describe good practice but recognise there are acceptable alternatives GS-G-3.1 • Includes general guidance on process management • Suggests categorising processes into: – Core – Supporting – Management • Gives guidance on generic processes GS-G-3.5 • Provides supplementary guidance on process management. Needs to be used in conjunction with GS-G-3.1. • Covers safety culture extensively. GS-G-3.5 Safety Culture Model Safety is Safety is a into clearly integrated all recognised value activities Safety is is alearning Safety clearly driven value recognized Safety Safety is is a a clearly clearly recognized recognized value value Safety Culture Characteristics Accountability for Safety is a clearly safety is clear recognised value Leadership for Safety is a clearly safety is clear recognized value Summary • IAEA Standards and guides – Are nuclear sector specific – Are used as a regulatory benchmark for licensees in the UK – Have a strong focus on safety and safety culture – Fully embrace the process approach – Are fully aligned with ISO 9001 requirements – Contain some additional process management requirements and a lot of useful guidance – Specify a set of generic processes – Propose a particular process categorisation model