TSO forum initiative – Supporting Member States in

developing their Technical and Scientific capacity in

supporting regulatory functions

KARIM BEN OUAGHREM – SAFETY OFFICER

NUCLEAR SAFETY COORDINATION OFFICE

DEPARTMENT OF NUCLEAR SAFETY AND SECURITY

International Workshop on TSOs

supporting Regulatory Functions

April 10-13, 2018, Vienna

International TSO Conference 2018

October 15-18, 2018 in Brussels, Belgium

Further development

Overview

2.1 TECDOC-1835

2.3 Cases studies

based

methodology

2.4 National

workshop

1. Background 2. The TSO initiative 3. Joining the development

Conclusions of past TSO Conferences

Decision of the Steering Committee of

the TSO Forum (October 2015)

Experience feedback from RBs and

TSOs (July 2016)

Supporting Member States in their

TSO related strategies

Based on IAEA-TECDOC-1835

2.2 TSO Self-

assessment

1. Background - The IAEA TSO Conferences

2007: 1st TSO Conference:

– develop a common understanding of the TSOs challenges

2010: 2nd TSO Conference:

– Regulatory functions need to be science based.

– Need of a platform for networking => Creation of TSO Forum

2011: Fukushima Daiichi NPP Accident:

– The “need for appropriate technical and scientific support” is one of the area of

improvement for strengthening the effectiveness of national regulatory bodies.

2014: 3rd TSO Conference (200 participants from 42 Member States):

– Technical and Scientific function is a critical component of the regulatory

system => Development of a TECDOC

– Member States should have the possibility to evaluate the capabilities of

their national technical scientific support function through peer review

missions, either in the context of IRRS mission or in another way, to be identified

(e.g. dedicated TSO missions). The TSO Forum could contribute to the

building of TSO capabilities of newcomer countries. => TSO initiative

2007

2010

2014

TSO Forum website

https://gnssn.iaea.org/m

ain/tsof/Pages/default.a

spx

21 Members

Regulatory Bodies, TSOs and members

from:

Belgium (Bel V)

Canada (CNSC)

China (NRSC)

Czech Republic (CVR)

European Commission / Joint Research

Centre (JRC)

European Nuclear Safety Training and

Tutoring Institute (ENSTTI)

European Technical safety Organisation

Network (ETSON)

Finland (VTT)

France (IRSN)

Germany (GRS)

Italy (ENEA, ITER Consult)

Japan (NRA)

Republic of Korea (KINS)

Lithuania (LEI)

Pakistan (PNRA)

Poland (NCBJ)

Russian Federation (SEC-NRS)

Slovakia (VUJE)

South Africa (NNR-CNSS)

UK

Ukraine (SSTC NRS)

USA (US-NRC)

2 Steering Committee meetings per year:

➢ Exchanging of experience and information among TSO representatives per thematic session.

➢ Reviewing of progress on planned actions.

➢ Discussing of future objectives.

➢ Addressing specific request from RB and TSOs.

+ Consultancy meetings to develop technical documents and programmes

1. Background - The IAEA TSO Forum (TSOF)

July 2016: Consultancy meeting (Belgium, Germany, Finland, France,

Russian Federation, Republic of Korea, United States of America, Vietnam)

➢ Scientific and Technical (S&T) knowledge and

expertise are essential components for effectively

regulating safety

➢ Early stage of the thinking/establishment of the TSO

in the development of a nuclear including financial

mechanisms

➢ Sharing knowledge and expertise (knowhow) transfer

➢ More emphasis is also required on TSO capacity

during INIR and IRRS review missions

➢ Providing specific guidance on how to establish S&T

capability

1. Background

2.1 Scope of the IAEA-TECDOC-1835 on Technical and Scientific

Support Organizations Providing Support to Regulatory Functions

“A Technical and Scientific Support Organization (TSO) is

organization or organizational unit designated, or otherwise

recognized by a regulatory body and/or a government, to provide

expertise and services to support nuclear and radiation safety and

all related scientific and technical issues, to the regulatory body.”

• Published in March 2018, providing:

• Various organizational models of TSOs

(internal, external, others)

• Key core values and characteristics of

TSOs supporting regulatory functions

• Nature and scope of technical and

scientific activities (assessment, R&D,

EP&R, OEF, inspections…)

• Examples provided in the CD ROM

TSO Forum

2.1 TECDOC-1835 - TSO in the Regulatory Framework

According to GSR Part 1 requirement 11, the government shall make

provision for building and maintaining the competence of all parties having

responsibilities in relation to the safety of facilities and activities.

Several different models in TECDOC Chap.2 and appendix 1+CDROM :

Internal unit, external, TSO ecosystem, TSOs working both sides

2.1 TECDOC-1835 - Common characteristics and core values

TECDOC Chap.3

❖ Safety culture,

❖ Independence,

❖ Transparency,

❖ Conflict of interest: TSO working both sides but not only/ TECDOC 3.1+CDROM

Requirement 20 of GSR Part 1 (Rev. 1) §4.20-21:

“Arrangements shall be made to ensure that there is no conflict of interest for those organizations that

provide the regulatory body with advice or services”.

“If the necessary advice or assistance can be obtained only from organizations whose interests potentially

conflict with those of the regulatory body, the seeking of this advice or assistance shall be monitored, and

the advice given shall be carefully assessed for conflicts of interest”.

Footnote 9 of GSR Part 1 (Rev. 1):

“If an organization that provides the regulatory body with advice or services were also to advise an

authorized party on the same subject, the potential conflict of interest could compromise its reliability”.

2.1 TECDOC-1835 - TSO Activities

TECDOC Chap.4 and appendix 1

2.1 TECDOC-1835 - Sustaining TSO capacity

E&T: TECDOC 3.3

KM: TECDOC 3.3

HR: TECDOC 3.3

Leadership

Research: TECDOC.4.4

International cooperation: TECDOC 4.10

Computation codes and models:

TECDOC 4.7.2 + TSO Conference 2018

Other topics: TSO Conference 2018

April 2017:

Contribution of IAEA-TECDOC-1835 to support the Member States when preparing the IRRS and INIR

missions (Germany, Finland, France, Russian Federation, Republic of Korea, United States of America,)

References:

SARIS, INIR questionnaire

2.1 TECDOC-1835 - Contribution to review missions

IRRS

SARIS tool

Module 3: “Responsibilities and functions of the regulatory

body”

Safety Standards Series No. GSR Part 1 (Rev. 1)

Requirement 20

Does the regulatory body have adequate arrangements for obtaining

technical or other expert professional advice or services as necessary, in

support of its regulatory functions?

Refer to Section 2 TSO IN THE

REGULATORY FRAMEWORK AND ITS

RELATIONSHIP with THE REGULATORY

BODY AND OTHER INTERESTED

PARTIES

2.2. PROVISION OF TECHNICAL

AND SCIENTIFIC SUPPORT

Section 4 NATURE AND SCOPE OF

TECHNICAL AND SCIENTIFIC SUPPORT

ACTIVITIES

4.11. TRAINING AND

KNOWLEDGE MANAGEMENT

The Module focuses on what

arrangements are made to obtain

technical or other expert professional

advice or services, however there is no

specific reference on how to assess and

obtain technical capabilities such as

TSOs.

TSOs can contribute to the

maintenance of the core competencies

of the regulatory body by providing

training and knowledge transfer.

TSOF suggests IAEA

encourage embarking countries to

make full use of the TECDOC for

this Module

2.1. TECDOC-1835 Next steps

❖ Better address the needs of TSOs on specific radiation safety issues,

further detailed complements (EP&R)

❖ Propose guidance in the process in developing and sustaining TS

capacity (TSO initiative)

• Objective to assess the S&T capabilities of a TSO :

– What are the S&T capabilities of the TSO?

– How are they developed, managed and sustained?

– How are they applied in regulatory functions?

– For embarking countries or countries with already established capabilities

– To be used as self-assessment tool, in workshops among MS, or in connection with peer reviews

2.2 TSO self-assessment questionnaire

• Key considerations in the development of the questionnaire

– Limited number of questions encouraging reflection and assessment: 28 major questions

– Based on experience from peer review missions and from the SARIS questionnaire

– Based on the IAEA-TECDOC-1835, link to SSG16

– Emphasis on evaluation of how the TSO is performing its duties

– Easy to visualise areas of improvement

– Address all phases of TSO development (in particular early phases)

– Support the identification of gaps, recommendations for actions and the development of roadmaps

• SWOT analysis on 8 key areas (pillars),

• graphical display of results on a spider web chart

• test, possible use in connection with peer review missions

2.2 TSO self-assessment questionnaire

Support to Regulatory Functions:

1. Expertise for Safety Assessment and Inspections (Questions 17 and 19)

2. Support to the Development of Regulation (Question 18)

3. Dose and Environment Assessment and Surveillance (Questions 22 and 23)

4. Assessment of Operational Experience Feedback (Question 24)

5. Emergency Preparedness and Response (Question 21)

Enabling issues:

6. Institutional Factors, Resources and Management (Questions 1 to 12, 15 and 16)

7. Capacity Building including Human Resources Development (Questions 13 and 14)

8. Research and Development (Question 20)

Pillar 1

Expertise

for Safety

Assessment

and

Inspections

2.2 TSO self-assessment questionnaire

Each key area can be broken down according to several criteria

• Mechanisms and interface

with the Regulatory Body

• Procedure for safety

assessment

• Range/areas of technical

expertise

• Incorporation of national and

international experience

feedback

• Consideration of feedback

from the Regulatory Body

• Inspection: role of the TSO

and areas covered

• Evaluation of TSO

effectiveness in safety

assessment and inspection

Pillar 6

Institutional

Factors,

Resources

and

Management

2.2 TSO self-assessment questionnaire

Each key area can be broken down according to several criteria

Institu

tion

al National context

Regulatory framework

Situation of TSO in the national reg. framework

Nature and scope of TSO activities

Ma

na

gem

en

t

Leadership, organization and management system

Mission and core values

Safety culture

Information protection

Independence

Conflicts of interest

Resources

Sharing experience and lessons learnt from others through story telling

• Two case studies already developed and based on the experiences of:– the National Nuclear Regulator (NNR, South Africa)

– the Pakistan Nuclear Regulatory Authority (PNRA, Pakistan)

• In 3 parts:

– Why the initiative to set up a TSO? « spark »

– How it was designed? « project »

– How it was implemented? « implementation »

• Further steps:– Test during the first international workshop

– Library of case studies please propose your case studies

2.3 Case studies approach - currently in the library

2.3 NNR Case study – SPARK

✓ Skills shortage and lack of capacity in key nuclear safety areas

– Loss of skilled personnel to industry - higher salaries than those of regulatory body

– Migration of skilled and experienced personnel to other countries

– Existing nuclear engineering education too focused on specific nuclear technology

✓ Need of more HR resources due to additional activities regulated by the NNR

– Radioactive waste disposal institute established

– Possible integration of radioactive sources regulation

✓ Envisaged nuclear expansion

– Need for skills for review and assessment of site licenses

✓ Over-dependence on consultants

– Use of international TSO locally faces growing legal, regulatory and economic hurdles due

to the design that is for local application only

– Lack of skills transfer by consultants

– Time scales for contract award become unpredictable

– Costs unpredictable due to significant currency fluctuations

2.3 NNR Case study – Lessons Learnt

✓ Linkage between various types of collaborators

causes delays

• Agreements/contract taking long to conclude

delayed operationalization of TSO

(recruitment; working space)

• Misalignment of timeframes between

collaborative partners ( academic partners

have different Financial Years compared to the

TSO)

✓ Sustainability and securing of funds

✓ Leadership and Awareness

✓ Evolving organizational structure creates

complexity 19

Education and Training (E&T)

Regulatory Research and Development (R&D)

Technical Support Services (TSS)

Strategic Partnerships (SP)

Center for Nuclear Safety &

SecurityLaunched by Minister of Energy in

September 2016

GSR Part 1 requirement 11: the government shall make provision for building and maintaining the

competence of all parties having responsibilities in relation to the safety of facilities and activities.

Objectives:

• to help the Member States in developing their strategies related to TSO capacity and its

sustainability

Targeted Member States:

• Embarking nuclear programmes;

• Expanding their nuclear programmes;

• Developing a sustainable regulatory system including scientific and technical support

functions;

• Assessing the proficiency and sustainability of their existing scientific and technical supporting

infrastructure.

The methodology will make best use of existing tools (IRRS reports, SARCoN, Self-assessment).

2.4 TSO initiative – National workshop

Objectives of the workshop April 10-13, 2018 in Vienna:

- to present initiatives supporting Member States in developing their strategies to establish or to strengthen

their Technical and Scientific Capacity (supporting Regulatory Functions) in embarking countries (and in

nuclear countries willing to improve their TSO related strategies) and

- to share participants’ comments to improve the materials developed by the IAEA.

including:

- presentation and examples of the IAEA-TECDOC-1835 on Technical and Scientific Support Organizations

Providing Support to Regulatory Functions,

- presentation of case studies and

- presentation TSO self-assessment methodologies.

Further step: implementation a first pilot national workshop to address a specific request or need of a

Member State

23 participants from 13 Member States (Bangladesh, Belarus, Canada, France, Germany, Iran, Kazakhstan,

Kenya, Republic of Korea, Pakistan, Poland, Russian Federation South Africa)

+ IAEA Technical Officers from NENP, NSNI, NSRW 21

3. Joining the development – Workshop on Technical

and Scientific Capabilities in Embarking Countries

• Development of a roadmap of competences

– for the 8 pillars of the TSO web spider and linked to

SSG 16

• Research and Development (R&D) for embarking

countries

National programme could start ”small on existing in-house

competences and be maximized through international

cooperation”.

– Development of a methodology/strategy guidance on

research and development,

– Evaluation of mechanism of cooperation.

3. Joining the development – Further actions

• Development of new case studies:

– on HR resources prioritization for TSO in embarking countries and a prioritization roadmap for

competences related to TSO initiative,

– on the training and development needs of a regulatory body,

– on interaction between TSOs and operating organizations in research.

• Specific national request addressed at the level of the TSO Forum Steering Committee of the TSO

Forum

– 2 Steering Committee meetings per year

– Template of request: issue and background, done, current, basis for a next case study

• Next international workshops and national TSO workshop please take benefit of it23

3. Joining the development – Further actions

3. Joining the development – What is your concern?

Question 1: Ranking the importance of the 8 pillars

Among the following areas, which one do you consider to be the main challenge in the

development of TSO capabilities?

1. Expertise for Safety Assessment and Inspections

2. Expertise in supporting to the Development of Regulation

3. Expertise in Dose and Environment Assessment and Surveillance

4. Expertise in Assessment of Operational Experience Feedback

5. Expertise in Emergency Preparedness and Response

6. Institutional Factors, Resources and Management

7. Capacity Building including Human Resources Development

8. Research and Development

3. Joining the development – What is your concern?

Question 2: Ranking offers of the IAEA TSO Initiative

In which of the following areas do you consider that AIEA help would be the most

valuable for the development of TSO capabilities?

1. Providing supporting tools, like self-assessment, roadmaps of competences

2. Developing new case studies of lesson learnt from other countries

3. Organizing opportunities for exchanges with peers from other countries

4. Organizing advisory expert missions via national workshop

5. Supporting the development of specific technical and scientific capabilities

Thank you!