Template for the IRRS ARM Summary Report Page | 1


Contents

I.GENERAL GUIDANCE

A.Following the structure of the Report Template

B.Summarizing self-assessment results

C.Conclusions and actions

D.References to related documents

II.GUIDANCE ON THE CONTENTS OF THE SUMMARY REPORT

0.BACKGROUND

1.RESPONSIBILITES AND FUNCTIONS OF THE GOVERNMENT

2.GLOBAL NUCLEAR SAFETY REGIME

3.RESPONSIBILITIES AND FUNCTIONS OF THE REGULATORY BODY

4.MANAGEMENT SYSTEM OF THE REGULATORY BODY

5.AUTHORIZATION

6.REVIEW AND ASSESSMENT

7.INSPECTION

8. ENFORCEMENT

9.REGULATIONS AND GUIDES

10. EMERGENCY PREPAREDNESS AND RESPONSE

11. ADDITIONAL AREAS

12. INTERFACE WITH NUCLEAR SECURITY

III.GUIDANCE ON ACTION PLAN

I.GENERAL GUIDANCE

The IRRS Advance Reference Material (ARM) Summary Report (in the sequel the Summary Report) need to be complied by taking into account the following basic guidelines:

  1. It should follow the structure of the Standardized IRRS Mission Report Template
  2. It should summarize the results of the self-assessment
  3. It should describe the conclusions drawn and the actions foreseen from the self-assessment
  4. It should refer with explicit links to all documents that are needed for full understanding of the report

The basic guidelines above are described in somewhat more details in the following sections.

A.Following the structure of the Report Template

The Standardized IRRS Mission Report Template defines the chapters and sections to include into the final report of the mission. The so structured Mission Report templatefollows the IRRS Module system and the structure of the underlying IAEA safety standards (first of all that of GSR Part 1). The Summary Report is intended to facilitate the IRRS review process and reporting, therefore the structure of the Summary Report is suggested to follow the same pattern as the Mission Reportdoes. Part II of the present template summarizes the expected specific contents of the various parts of the Summary Report.

B.Summarizing self-assessment results

The main goal of the Summary Report is ashort and concise collection and presentation of the conclusions drawn from the IRRS-related self-assessment (SARIS). Since the self-assessment is closely related to the IAEA safety standard Requirements the Summary Report is also to be compiled with a focus on the Requirements underlying the self-assessment questions. Accordingly, the Summary Report shall briefly summarize for each Requirement those issues that need to be described for providing

a)well defined evidences of complying with the Requirement if it is met, or

b)the underlying circumstances or causes of a partial or full non-compliance witha Requirement.

More to this issue is given in Part II in connection with the specific IAEA safety standard Requirements.

(Note that the conclusions and actions are to be described in a separate section at the end of each chapter, see below.)

C.Conclusions and actions

Each chapter in the Summary Report should be closed by a section that gives overall conclusions regarding the given chapter as well as the list and short expansion of those actions that have been decided by the regulatory body in order to get in full compliance with the IAEA Requirements considered. These actions should also appear in the Action Plan prepared as part of the ARM and their identification in the Action Plan shall also be referred to in the Summary Report.

D.References to related documents

Documents that are necessary for the full understanding of the ARM and for the comprehensive overview of the reviewed areas need to be referred to in the Summary Report with explicit links to their electronic versions available as parts of the ARM.

II.GUIDANCE ON THE CONTENTS OF THE SUMMARY REPORT

In this part guidance is offered for the compilation of the Summary Report. The guidance is structured according to the suggested table of contents and shall refer to the IAEA safety standard Requirements related to the given sections and chapters. The Report should be started by a Background chapter, the suggested contents of which are also given below.

0.BACKGROUND

GENERAL INFORMATION

  • Short description of the basic general data characterizing the host country
  • Description of the legal and regulatoryframework relevant to the scope of the mission
  • Basic information on the functions, roles and relationship of the governmental organizations relevant to the scope of the mission

NUCLEAR PROGRAMME

  • Short description of the nuclear facilities and activities (operational, under construction or under decommissioning) in the host country including siting, relevant capacity data, operators, operational/activity statuses
  • Listing of the facilities and activities in the scope of the mission

REGULATORY BODY

  • Institutions forming the nuclear and radiation safety regulatory body
  • Structure, organization, staffing, responsibility, activity and cooperation of the institutions in the regulatory body that are in the scope of the mission

MISSION ORGANIZATION

  • Organizational, logistics and any other information that may be necessary for the reviewers
  • List of host country counterparts for the topics in the mission scope with photos

1.RESPONSIBILITES AND FUNCTIONS OF THE GOVERNMENT

1.1NATIONAL POLICY AND STRATEGY FOR SAFETY

Related to GSR Part 1, Requirement 1

If Requirement 1 is met

  • Give references to the government’s policy and strategy statement documents or equivalent legally bindingdocuments
  • Describe briefly the fundamental safety objectives and safety principles set out in the safety policy and strategy
  • Point therein to the country’s long term commitment to safety
  • Demonstrate a graded approach of the implementation

If Requirement 1 is not met

  • Describe reasons for non-compliance and views and plans of the government regarding its policy and strategy for safety
  • ESTABLISHMENT OF A FRAMEWORK FOR SAFETY

Related to GSR Part 1, Requirement 2

If Requirement 2 is met

  • Describe and give reference to the elements of the legal framework for safety
  • Demonstrate that it covers all types of facilities and activities in the scope of the IRRS mission including clear specification of responsibilities
  • Describe how legal and financial provisions for management of radioactive waste and spent fuel have been taken

If Requirement 2 is not met

  • Describe reasons for non-compliance and measures taken and plans to establish appropriate legal and regulatory framework for safety
  • ESTABLISHMENT OF A REGULATORY BODY AND ITS INDEPENDENCE

Related to GSR Part 1, Requirements3 and 4

If Requirement 3 is met

  • Describe and give reference to the elements of the legal framework establishing a regulatory body
  • Describe how the competence and resources of the regulatory body necessary to fulfil its statutory obligations are provided

If Requirement 3 is not met

  • Describe reasons for non-compliance and measures taken and plans to establish a regulatory body

If Requirement 4 is met

  • Show the legal background and the practical manifestation of the effective independence of the regulatory body
  • Describe the decision making process and show that it is free from undue influence (Note: details on authorization should be given in Chapter 5)
  • Describe handling conflict of interest, show freedom from conflicting responsibilities

If Requirement 4 is not met

  • Describe reasons for non-compliance and measures taken and plans to establish effective independence of regulatory body
  • COMPLIANCE WITH REGULATIONS AND RESPONSIBILITY FOR SAFETY

Related to GSR Part 1, Requirements 5 and 6

If Requirement 5 is met

  • Describe how the legal framework assigns prime responsibility for safety of facilities and activities (facilities and activities involved, persons involved, stages of lifetime covered, cases and ways of transfer of responsibility).
  • Give reference to the legal framework that provides authority to the regulatory body to require demonstration of compliance with the safety requirements

If Requirement 5 is not met

  • Describe reasons for non-compliance and measures taken and plans to establish adequate legal framework for assigning prime responsibility for safety.

If Requirement 6 is met

  • Demonstrate that requirements (regulations, guides) established by the regulatory body may not relieve responsible persons from their prime responsibility for safety

If Requirement 6 is not met

  • Describe reasons for non-compliance and measures taken and plans to establish adequate legal framework to ensure that compliance with regulatory requirements does not relieve responsible persons from their prime responsibility for safety.
  • COORDINATION OF AUTHORITIES WITH RESPONSIBILITIES FOR SAFETY WITHIN THE REGULATORY FRAMEWORK

Related to GSR Part 1, Requirement 7

If Requirement 7 is met

  • Give a short description of the distribution of responsibilities among the authorities having roles in nuclear safety
  • Summarize and document coordination and cooperation among the authorities

If Requirement 7 is not met

  • Describe reasons for non-compliance and measures taken and plans to provide for the effective coordination and cooperation among authorities having responsibilities for safety
  • SYSTEM FOR PROTECTIVE ACTIONS TO REDUCE UNREGULATED RADIATION RISK

Related to GSR Part 1, Requirement 9

If Requirement 9 is met

  • Describe the system of protective actions (including regulatory actions) to reduce radiation risks associated with natural or artificial unregulated sources or with past contaminating activities or events

If Requirement 9 is not met

  • Describe reasons for non-compliance and measures taken and plans to provide protection against unregulated radiation
  • PROVISIONS FOR DECOMMISSIONING AND MANAGEMENT OF RADIOACTIVE WASTE AND SPENT FUEL

Related to GSR Part 1, Requirement 10

If Requirement 10 is met

  • Give references to the government’s policy and strategy statement documents or equivalent legally bindingdocuments on waste and spent fuel management (including final disposal) and decommissioning
  • Describe in brief the respective legal provisions
  • Describe the respective governmental provisions for financial resources, fund

If Requirement 10 is not met

  • Describe reasons for non-compliance and measures taken and plans to make provisions for safe management of radioactive waste, spent fuel and decommissioning
  • COMPETENCE FOR SAFETY

Related to GSR Part 1, Requirement 11

If Requirement 11 is met

  • Give references to and describe in short the government’s provisions ensuring sustainable competence of all parties having responsibilities in nuclear and radiation safety
  • Describe requirements and provisions for sufficient qualified and experienced staff
  • Describe arrangements for professional training programmes
  • Describe requirements and provisions for appropriate research and development programmes

If Requirement 11 is not fully met

  • Describe reasons for non-compliance and measures taken and plans to reach full compliance with the requirement
  • PROVISION OF TECHNICAL SERVICES

Related to GSR Part 1, Requirement 13

If Requirement 13 is met

  • Give references to and describe in short the government’s provisions for technical services relating to safety

If Requirement 13 is not met

  • Describe reasons for non-compliance and measures taken and plans to make provisions for technical services relating to safety
  • CONCLUSIONS AND ACTIONS
  • Summarize in brief those topics that are in full compliance with the respective Requirements by GSR Part 1
  • List those actions that are meant to fully comply with those requirements by GSR Part 1 which fall into the scope of the present chapter and are not fully met at the time of the self-assessment. Refer to the corresponding Action Plan item(s).

2.GLOBAL NUCLEAR SAFETY REGIME

1.11INTERNATIONAL OBLIGATIONS AND ARRANGEMENTS FOR INTERNATIONAL COOPERATIONS

Related to GSR Part 1, Requirement 14

If Requirement 14 is met

  • List those international conventions and agreements related to nuclear safety to which the government is a contracting party. Describe how the obligations of such conventions are fulfilled.
  • List those international, multilateral and bilateral cooperation programmes in nuclear safety in which the country participates. Give examples of the results of such cooperation.
  • Describe the participation of the country in international nuclear safety peer reviews and in the development of IAEA Safety Standards

If Requirement 14 is not met

  • Describe the activities on-going or plans available for meeting the Requirement in a foreseeable future.
  • SHARING OPERATING EXPERIENCE AND REGULATORY EXPERIENCE

Related to GSR Part 1, Requirement 15

If Requirement 15 is met

  • Describe how the regulatory bodyobtaines, implements and uses operational and regulatory experience and feedback from other countries and organizations
  • Describe how the regulatory body disseminates its experience and lessons learned to other regulatory bodies

If Requirement 15 is not met

  • Describe the activities on-going or plans available for sharing of operating and regulatory experience with other regulatory bodies and organizations
  • CONCLUSIONS AND ACTIONS
  • Summarize in brief those topics that are in full compliance with Requirements 14 and 15 in GSR Part 1
  • List those actions that are meant to fully comply with Requirements 14 and 15 in GSR Part 1, not fully met at the time of the self-assessment. Refer to the corresponding Action Plan item(s).

3.RESPONSIBILITIES AND FUNCTIONS OF THE REGULATORY BODY

3.1. ORGANIZATIONAL STRUCTURE OF THE REGULATORY BODY AND ALLOCATION OF RESOURCES

Related to GSR Part 1, Requirement 16

If Requirement 16 is met

  • Describe the organizational structure and the decision making process of the regulatory body
  • Show that the human and financial resources are sufficient and are properly distributed for effective discharge of the regulatory responsibilities and performance of functions

If Requirement 16 is not met

  • Describe the planned measures to improve the organizational structure or resources of the regulatory body in order to meet Requirement 16

3.2.EFFECTIVE INDEPENDENCE IN THE PERFORMANCE OF REGULATORY ACTIVITIES

Related to GSR Part 1, Requirement 17

If Requirement 17 is met

  • Describe how the regulatory body discharges its responsibilities while preserving its effective independence. Give full list of and way of cooperation with those organizations that may have roles in the decision making process of the regulatory body
  • Show the means for preserving integrity of the regulatory staff and for resolving any possible conflict of interest

If Requirement 17 is not met

  • Describe the planned measures to ensure effective independence and integrity of the regulatory body

3.3. STAFFING AND COMPETENCE OF THE REGULATORY BODY

Related to GSR Part 1, Requirement 18

If Requirement 18 is met

  • Show the availability of a sufficient number of competent staff of the regulatory body
  • Describe human resource and succession planning
  • Describe knowledge management and regulatory training programme

If Requirement 18 is not met

  • Describe plans to ensure competent staffsufficient to discharge regulatory responsibilities

(Note: this section needs to be coordinated with Section 4.3 on resource management)

3.4.LIAISON WITH ADVISORY BODIES AND SUPPORT ORGANIZATIONS

Related to GSR Part 1, Requirement 20

If Requirement 20 is met

  • Describe the advisory bodies serving the regulatory body and the ways their services are applied
  • Describe the arrangements with Technical Support Organizations to assist the regulatory body and the way of using them (“intelligent customer”).
  • Show how conflict of interest is avoided when relying on services of advisory bodies and/or TSOs

If Requirement 20 is not met

  • Describe how services of advisory bodies and/or TSO’s are planned to be used in assisting regulatory decision making

3.5.LIAISON BETWEEN THE REGULATORY BODY AND AUTHORIZED PARTIES

Related to GSR Part 1, Requirement 21

If Requirement 21 is met

  • Describe the ways the regulatory body communicates with authorized parties
  • Show the methods of justification of regulatory decisions

If Requirement 21 is not met

  • Describe the planned steps by the regulatory body to establish proper communicates mechanisms with authorized parties

3.6.STABILITY AND CONSISTENCY OF REGULATORY CONTROL

Related to GSR Part 1, Requirement 22

If Requirement 22 is met

  • Describe the policies, principles, criteria, safety objectives set bythe regulatory body for implementation of its core processes
  • Describe the procedures established for the implementation of the core processes
  • Describe the ways how subjectivity avoided in decision making
  • Show the process for issuing new regulatory requirements and changing existing ones (including consultations with the interested parties)

If Requirement 22 is not met

  • Describe the planned steps by the regulatory body to establish stability and consistency of the regulatory control

3.7.SAFETY RELATED RECORDS

Related to GSR Part 1, Requirement 35

If Requirement 35 is met

  • List the safety related records established and maintained by the regulatory body
  • Explain how authorized parties maintain other safety related records
  • Describe the use of the safety related records by the regulatory body

If Requirement 35 is not met

  • Describe the planned steps by the regulatory body to establish and maintain safety related records

3.8.COMMUNICATION AND CONSULTATION WITH INTERESTED PARTIES

Related to GSR Part 1, Requirement 36

If Requirement 36 is met

  • Describe the communication mechanisms applied by the regulatory body with its various partners
  • Show the communication tools (web, reports, media) applied by the regulatory body
  • Describe the contacts kept with the general public

If Requirement 36 is not met

  • Describe the planned steps of the regulatory body to establish communication and consultation means with its partners
  • CONCLUSIONS AND ACTIONS
  • Summarize in brief those topics that are in full compliance with Requirements 16, 17, 18, 20, 21, 22, 35 and 36 in GSR Part 1
  • List those actions that are meant to fully comply with Requirements 16, 17, 18, 20, 21, 22, 35 and 36 in GSR Part 1, not fully met at the time of the self-assessment. Refer to the corresponding Action Plan item(s).

4.MANAGEMENT SYSTEM OF THE REGULATORY BODY

4.1.IMPLEMENTATION AND DOCUMENTATION OF THE MANAGEMENT SYSTEM

Related to GSR Part 1, Requirement 19 and GS-R-3, paragraphs 2.1-2.10

If Requirement 19 of GSR Part 1 is met

  • Show how the management system of the regulatory body is in line with its safety goals, functions and responsibilities
  • Describe how the management system is related to fostering safety culture
  • Show how priority is given to safety in the regulatory activities
  • Describe how the management system is assessed, developed, improved

If Requirement 19 of GSR Part 1 is not met