Enhancing Energy Planning in Nuclear Sector: Training Course Insights
Gain valuable insights into enhancing energy planning, nuclear power infrastructure development, and nuclear safety regulatory oversight through this regional training course. Learn about inspection procedures, enforcement actions, and general requirements for effective regulatory control of nuclear installations.
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Presentation Transcript
Regional Training Course on Enhancing Energy Planning, Nuclear Power Infrastructure Development and Nuclear Safety Regulatory Oversight Regulatory Control of Nuclear Installations 25 September - 6 October 2017 IAEA, Vienna, Austria Inspection and Enforcement Riad IDIR A.S.N France Riad.idir@asn.fr
Learning objectives To understand how to plan, conduct and report an inspection To understand the need for the graded approach to enforcement actions Inspection and enforcement 25 September - 6 October 2017 2
Contents General requirements Pre-inspection work Entrance meeting Interviewing for information Observation skills Document review The internal synthesis of the inspection team The wrap-up meeting to the operator Exit meeting Inspection and enforcement 25 September - 6 October 2017 3
Regional Training Course on Enhancing Energy Planning, Nuclear Power Infrastructure Development and Nuclear Safety Regulatory Oversight Regulatory Control of Nuclear Installations 25 September - 6 October 2017 IAEA, Vienna, Austria General requirements
General Requirements Announcement of inspection date Inspection team (2 inspectors : including one team leader) Pre inspection work Start with entrance meeting Take notes Follow procedures Look beyond the checklist Discuss important findings with licensee Finish with exit meeting The follow up of the inspection Inspection and enforcement 25 September - 6 October 2017 5
Regional Training Course on Enhancing Energy Planning, Nuclear Power Infrastructure Development and Nuclear Safety Regulatory Oversight Regulatory Control of Nuclear Installations 25 September - 6 October 2017 IAEA, Vienna, Austria Pre inspection work
Pre inspection work Set the inspection team Set the inspection framework (telephone or email) Announce the general theme of the inspection Define the date of the inspection taking into account the wishes of the licensee Define the general agenda of the inspection : Specify the documents to be forwarded or made available Specify whether field visits will take place (to predict access) The agenda is provisional and not exhaustive Confirmation of the inspection timing and logistics Inspection and enforcement 25 September - 6 October 2017 7
Pre inspection meeting Aim : to develop the inspection agenda When should it be done: 1 month to 1 week before inspection For inspections following an event (safety event or radiation protection), the preparation may take place the day before. Participants: The inspectors, possible accompanying persons and observers The team leader: Sets a date and venue (audio conference if applicable) Prepares this meeting by gathering and analyzing the relevant documentation, in order to prepare a first draft agenda. Inspection and enforcement 25 September - 6 October 2017 8
Pre inspection meeting Request and review documents in advance Consider a pre-inspection visit Confirm what equipment inspectors will need to take Answer these questions: Will activities you want to see? Will facility be in the mode you want? Will the people you want to interview be there? Which standards are applicable? Have there already been inspections on this topic? Have there ever been significant events on this theme? Are there any particular concerns (actuality, ...)? Inspection and enforcement 25 September - 6 October 2017 9
Regional Training Course on Enhancing Energy Planning, Nuclear Power Infrastructure Development and Nuclear Safety Regulatory Oversight Regulatory Control of Nuclear Installations 25 September - 6 October 2017 IAEA, Vienna, Austria Inspection on site
On site For the licensee, an inspection requires the mobilization of skills: One or more officials (throughout the inspection) Technical officers (as needed or throughout the inspection) Site management (at least for entrance and exit meetings) The visit of the facilities may interfere with licensee activities in progress Inspection and enforcement 25 September - 6 October 2017 11
Entrance meeting Led by inspection team leader Introduce team Team administration Licensee contacts Define inspection scope and criteria Review the agenda Confirm interview times and locations Confirm observations times and locations Review personal safety requirements Time and location for exit meeting Inspection and enforcement 25 September - 6 October 2017 12
Time control An inspection has a limited duration Do not underestimate the time required for on-site travel (especially on nuclear sites to reach the room, access to controlled areas ...) The team leader must maintain control of the inspection process and therefore: Decide whether or not to go deeper on certain points of the inspection Reframe interventions and requests if necessary Periodically review the progress of the inspection Periodically review outstanding requests Inspection and enforcement 25 September - 6 October 2017 13
Time control Introduction Lunch 9 am 5 pm 9.30 am 12:30 2 pm 4 pm 6 pm Break Documentation Inspection Site visit Internal synthesis Wrap up meeting to the operator Introduction D jeuner 9 am 5 pm 9:30 am 12:30 2 pm 6 pm Inspection and enforcement 25 September - 6 October 2017 14
Regional Training Course on Enhancing Energy Planning, Nuclear Power Infrastructure Development and Nuclear Safety Regulatory Oversight Regulatory Control of Nuclear Installations 25 September - 6 October 2017 IAEA, Vienna, Austria Interviewing for information
Interviewing for information Put the person at ease Explain why you are there, that some of the questions may seem obvious, but you have to ask and you need to hear the answer If possible, interview the person close to their work area so they can show you documents, etc Interview in a private location If possible, have two persons, one to ask the questions and the other to take notes Inspection and enforcement 25 September - 6 October 2017 16
Interviewing for information You may have to ask the question more than once to get the information you can use Use open-ended questions Good questions start with Describe Explain Minimize leading questions Minimize questions that require a yes/no answer Avoid interrupting the person Inspection and enforcement 25 September - 6 October 2017 17
Interviewing for information Rephrase the answer in you own words to confirm you understood it Ask for clarification Don t worry about asking stupid questions Use silent pauses to see if the person says more Ask them: What their strengths are? What their weaknesses are? What they think of their performance? Inspection and enforcement 25 September - 6 October 2017 18
Regional Training Course on Enhancing Energy Planning, Nuclear Power Infrastructure Development and Nuclear Safety Regulatory Oversight Regulatory Control of Nuclear Installations 25 September - 6 October 2017 IAEA, Vienna, Austria Observation skills
Observation skills Make sure you have everything you need before you go (protective equipment, authorization, checklists, etc.) Know and follow the workplace rules Look beyond the checklist (have a list in your head) When entering an area, be consistent in how you observe If observing an activity, introduce yourself and explain why you are there Inspection and enforcement 25 September - 6 October 2017 20
Observation skills If observing an activity, review the procedure beforehand and have it with you If you are reading a gauge, make sure you know how. If you don t know, ask! Pictures can be valuable, but be careful when taking pictures of people Don t touch anything unless you are sure you are allowed to Inspection and enforcement 25 September - 6 October 2017 21
Regional Training Course on Enhancing Energy Planning, Nuclear Power Infrastructure Development and Nuclear Safety Regulatory Oversight Regulatory Control of Nuclear Installations 25 September - 6 October 2017 IAEA, Vienna, Austria Documents reviews
Documents reviews Do not limit yourself to note the existence of documents, it is necessary to examine their contents Note the points to be seen during the field visit or to be mentioned during the synthesis: Review log books Work orders and authorizations Flow sheets up to date Testing records Training and qualification records Inspection and enforcement 25 September - 6 October 2017 23
Documents reviews Configuration management checks Change control Updating other documentation Design manuals Schedules and plans Inspection and enforcement 25 September - 6 October 2017 24
Regional Training Course on Enhancing Energy Planning, Nuclear Power Infrastructure Development and Nuclear Safety Regulatory Oversight Regulatory Control of Nuclear Installations 25 September - 6 October 2017 IAEA, Vienna, Austria The internal synthesis of the inspection team
The internal synthesis of the inspection team Aim : Take a step back by weighing the relative severity of the findings The synthesis allows, as far as possible on the basis of consensus to : Determine the inspection findings (positive and negative points) A request for corrective action; A request for additional information; A simple observation Determine the overall assessment by the inspection team on the subject of inspection Note the positive points in the licensee's practices The synthesis is led by the team leader inspector, once the licensee representative has left the room (at the inspectors' request) Inspection and enforcement 25 September - 6 October 2017 26
Regional Training Course on Enhancing Energy Planning, Nuclear Power Infrastructure Development and Nuclear Safety Regulatory Oversight Regulatory Control of Nuclear Installations 25 September - 6 October 2017 IAEA, Vienna, Austria The exit meeting with the licensee
The exit meeting with the licensee Aim : Present the conclusions of the inspection, in particular to licensee management The team leader inspector conducts this synthesis: Thank the licensee for facilitating the inspection process (or not ...) Briefly summarizes the day Main topics covered, documents consulted and places visited "Positive aspects" (ie, to appreciate the work done by the licensee) Main findings Key Issues raised At this point : Do not restart discussions But you can give the licensee the opportunity to provide additional information (with a deadline) Inspection and enforcement 25 September - 6 October 2017 28
The follow up of the inspection Next steps for both regulatory body and licensee : Finalize report When licensee can expect report Allow time for response to questions from regulatory body Commitments from licensee to provide further information or initiate corrective actions Inspection and enforcement 25 September - 6 October 2017 29
Regional Training Course on Enhancing Energy Planning, Nuclear Power Infrastructure Development and Nuclear Safety Regulatory Oversight Regulatory Control of Nuclear Installations 25 September - 6 October 2017 IAEA, Vienna, Austria Summary
Summary Inspection team (team leader) Pre-inspection work Set up general organization and the agenda of the inspection Inspection on site Entrance meeting Take notes Time control Follow procedures Proportionate the agenda on stakes Title of the presentation 25 September - 6 October 2017 31
Summary Interview for information Put the person at ease Explain why you are there don t worry about asking stupid questions Observation skills Documents reviews Internal synthesis Exit meeting with the licensee Present the conclusions of the inspection, in particular to licensee management Title of the presentation 25 September - 6 October 2017 32
Regional Training Course on Enhancing Energy Planning, Nuclear Power Infrastructure Development and Nuclear Safety Regulatory Oversight Regulatory Control of Nuclear Installations 25 September - 6 October 2017 IAEA, Vienna, Austria Thank you!
