Office for Nuclear Regulation
An agency of HSE

Operating Experience – Operation and use of international information exchange systems

BMM Annex 10 - Issue 1

Issue date:
14/04/10
Review date:
12/04/14
OG Status:
Fully Open
Approved by:
Paul Brown

1 Purpose and scope

1.1 Operating experience (OPEX) information from safety significant overseas events forms one of many inputs used by ONR in targeting its regulatory interventions and in informing improvements in its regulatory performance (“Learning Organisation”). ONR’s holistic process for utilisation of operating experience feedback from the full range of inputs is described in a separate procedure.

This procedure describes ONR’s processes for contribution to, and use of international operating experience feedback (IOEF) systems, and associated IOEF Groups.

2 Policy

2.1 The UK has obligations, under Article 19 of the Convention on Nuclear Safety and Articles 9 and 16 of the Joint Convention on the Management of Spent Fuel and the Management of Radioactive Waste, to collect and analyse operating experience, with the objective of sharing important experience with international bodies. As part of these obligations, it is Government Policy for the UK to participate in jointly operated Web based IAEA/NEA IOEF systems:

  1. Incident Reporting System (IRS) (for nuclear power plants – reactors)
  2. Fuel Incident Notification and Analysis System (FINAS)

IRS and FINAS systems provide a significant proportion of information for ONR on overseas events.

2.2 The UK also participates in the IAEA Incident Reporting System for Research Reactors (IRSRR). This procedure focuses on IRS and FINAS. However, similar processes are applicable to IRSRR.

2.3 ONR operates IRS, FINAS and IRSRR on behalf of the Department of Energy and Climate Control (DECC). ONR appoints National Co-ordinators to facilitate operation of these systems.

2.4 ONR also participates in NEA Working Groups, which review information from IRS and FINAS for trends, lessons learned, areas for research etc. to achieve improvements in nuclear safety. NEA Working Groups with particular relevance to IOEF are:

  1. Working Group on Operating Experience (WGOE) (primary focus – nuclear power plant), and
  2. Working Group on Fuel Cycle Safety (WGFCS)

2.5 The UK nuclear industry has representative(s) contributing to the work of WGOE (via the Safety Directors’ sponsored National Operating Experience learning Group (NOELG)) and of WGFCS. WGOE and WGFCS co-ordinate their activity, in particular, with NEA Working Groups on Inspection Practices (WGIP) and on Human and Organisational Factors (WGHOF). Reference 3 provides an overview of existing IOEF systems and Working Groups. Details of the operation of these systems and Working Groups are given on the IAEA and NEA Web sites.

2.6 The International Nuclear Event Scale (INES) system (and associated Nuclear Events Web based System (NEWS) is designed to facilitate communication and understanding between the technical community, the media and the public on the safety significance of events. It may also alert ONR to incidents that possibly provide important lessons. As for IRS, FINAS and IRSRR, ONR operates the INES System on behalf of DECC. Separate BMS Guidance covers operation of the UK INES System.

2.7 Bilateral exchanges of Nuclear Inspectors with other regulators and licensees, together with routine internet searches (in particular, in relation to United States Nuclear Regulatory Commission Information Notices) provide additional sources of international operating experience.

3 Responsibilities

3.1 ONR Management Board has responsibility for:

  1. Nominating IRS and FINAS National Co-ordinators and deputies (generally from operational Divisions)
  2. Nominating representatives for NEA Working Groups – WGOE, WGFCS, WGIP, WGHOF etc (generally from operational Divisions)
  3. Reviewing the adequacy of ONR’s FINAS/IRS/INES arrangements, normally on an annual basis
  4. Nominating UK facilities to receive international missions (for example, IAEA Integrated Regulatory Review Team (IRRT) missions)
  5. Making offers to host international meetings.

3.2 IRS and FINAS National Co-ordinators have responsibility for:

  1. Nominating and reviewing (annually) a list of registered UK Users of Web Based IRS and FINAS systems
  2. For FINAS, reviewing (annually) the list of current UK facilities and submitting changes via the UK National Fuel Cycle Co-ordinator (currently within International Nuclear Services / Nuclear Decommissioning Authority)
  3. Identifying UK events for entry onto IRS and FINAS – main criteria are that the event has actual or potential safety significance and important lessons can be learned by the international community
  4. Ensuring that sufficient UK reports are submitted promptly (at least two reports annually, target timescale – 6 months from event occurrence) to IRS and FINAS
  5. Ensuring that overseas reports are suitably promulgated within the UK
  6. Representing the UK internationally – including attendance at meetings of IRS and FINAS National Co-ordinators
  7. Reviewing IRS / FINAS system operation on an annual basis in preparation for IRS / FINAS National Co-ordinators’ Meetings
  8. Advising IAEA/NEA on IRS system operational issues via the IRS Advisory Committee
  9. Briefing ONR WGOE (for IRS) and WGFCS (for FINAS) representatives on matters relating to the respective mandates of these groups (paragraph 2.3 above)
  10. Reviewing and providing feedback on ONR OPEX Briefings relating to International OPEX.

3.3 Division 4 OPEX Section Leader (Inspector) has responsibility for:

  1. Overseeing the work of Division 4 Administrative OPEX Support Team Leader.
  2. Supporting IRS and FINAS National Co-ordinators in discharging their responsibilities, primarily in terms of identifying events for potential input to IRS or FINAS via the UK event screening process
  3. Producing OPEX Briefings for
    • Input to Intervention Management Group (IMG) Meetings for targeting regulatory activity
    • Consideration by ONR Nuclear Topic Leads (NTLs) in informing Nuclear Topic Group (NTG) activities
    • Consideration by UK WGIP and WGHOF representatives.

3.3 Division 4 Administrative OPEX Support Team Leader has responsibility for:

  1. Supporting the Division 4 OPEX Section Leader (Inspector) in all aspects of duties listed in paragraph 3.3 above.
  2. Supporting IRS and FINAS National Co-ordinators in discharging their responsibilities, primarily in terms of:
  3. Nominating and reviewing (annually) lists of UK Users and submitting these to the IAEA Secretariat
  4. Submitting UK reports approved by the National Officer to IRS and FINAS (at least two reports annually)

3.5 The Unit Head for ONR’s OPEX Section has responsibility for maintaining oversight of ONR’s processes for contribution to and utilisation of international operating experience.

3.6 ONR Managers, Nuclear Topic Leads (NTLs) and Inspectors have responsibility for:

  1. Bringing relevant international operating experience to the attention of ONR’s OPEX Section
  2. Using OPEX Briefings to inform leverage and regulatory interventions
  3. Providing feedback to the OPEX Section on the usefulness of OPEX Briefings

In addition, NTLs have responsibility for utilising OPEX Briefings to inform Nuclear Topic Group activities, where relevant.

4 Procedure

4.1 Annexes 1 and 2 provide flowcharts summarising key activities associated with the operation and use of international information exchange systems.

IRS and FINAS System Operation

4.2 National Co-ordinators are responsible for ensuring that UK events with nuclear safety and regulatory lessons are input to IOEF systems in accordance with IRS and FINAS Guidelines. This involves liaison with nominated licensee contacts and with ONR’s OPEX Section. Since licensee contributions to IRS and FINAS IOEF systems are on a voluntary basis, ONR aims to minimise the burden on industry, whilst continuing to fulfil UK national obligations.

4.3 Every 3-6 months, National Co-ordinators hold screening meetings with licensees to identify UK events for entry to IRS and FINAS. In addition, ONR UK event screening meetings, as described in reference 4, also identify events for consideration by National Co-ordinators for input to IRS or FINAS.

4.4 Information sources for IRS and FINAS include:

  1. British Energy’s Nuclear Plant Event Report (NUPER) database (reactor licensees)
  2. Licensee event reporting databases
  3. Nuclear and radiological events notified or reported to ONR.

4.5 Screening for IRS and FINAS is on the basis of:

  1. Nuclear safety significance
  2. Lessons Learned – from single events or common themes.

4.6 Where licensees are members of the World Association of Nuclear Operators (WANO), reports submitted by licensees to WANO can be a good basis for IRS and FINAS reports and can minimise the impact to licensees of generating reports for IRS / FINAS purposes. (Note: regulators do not have access to WANO databases).

4.7 Licensees are expected to send agreed event reports in the format set out in the IRS / FINAS Guidelines to National Co-ordinators for onward transmission to IRS and FINAS respectively.

4.8 National Co-ordinators input events onto IRS and FINAS, via the OPEX Section if appropriate. ONR aims to meet IAEA / NEA expectations of entering events on IOEF systems within six months of the event taking place.

4.9 Registered users of IRS / FINAS (regulators and licensees) are notified directly by IAEA Systems Administrators of overseas events entered onto the systems. This allows them to assess relevance to their particular area of work. In addition, National Co-ordinators, in conjunction with the OPEX Section, review incoming events for applicability to the UK and disseminate to relevant ONR and licensee staff.

4.10 The OPEX Section generates and disseminates targeted OPEX Briefings for ONR staff where lessons learned have the potential to influence regulatory intervention strategies or enhance ONR’s learning organisation capability.

4.11 The OPEX Section provides annual updates of ONR’s international OPEX work to the National Operating Experience Learning Group (NOELG). The OPEX Section also distributes OPEX Briefings to the NOELG.

4.12 National Co-ordinators or their deputies are required to represent the UK at IAEA/NEA IRS / FINAS National Co-ordinators’ Meetings and other relevant meetings on system operation. They are required to undertake an annual review of UK IRS / FINAS operation to inform their attendance at National Co-ordinators’ Meetings. The IRS Co-ordinator should advise the IAEA/NEA of system operation issues via the IRS Advisory Committee.

International Co-ordination of OPEX Activity

4.13 IRS/FINAS Co-ordinators should ensure that ONR representatives of WGOE and WGFCS are kept informed of issues relevant to the mandates of these groups. Similarly, WGOE and WGFCS members should ensure that IRS and FINAS National Co-ordinators are familiar with key issues affecting system operation and improvements. WGFCS and WGOE should ensure that representatives from WGIP and WGHOF are briefed of issues that have potential impact for work on inspection practices or human and organisational factors. There are other international group working group interactions which are covered on the NEA Website.

Non-FINAS / IRS International OPEX

4.14 ONR’s OPEX Section reviews intelligence from a variety of international sources, including those set out on paragraph 2. The review process is the same as for IRS and FINAS events (paragraph 4.10) and results in OPEX Briefings, where appropriate.

5 Quality Assurance

5.1 ONR’s OPEX Section maintains an up-to-date list of nominated IRS/FINAS Registered Users and UK Facilities. This involves liaison with the National Co-ordinators.

5.2 ONR’s OPEX Section undertakes a quality check to review whether UK events considered appropriate for IRS/FINAS entry have been omitted from its log of nuclear safety significant events. Such events should be referred back to the ONR Screening Panel (see Procedure BMM Annex 8).

5.3 ONR’s OPEX Section maintains records of:

  1. Status of event reports identified for entry to IRS / FINAS
  2. OPEX Briefings and resulting actions
  3. Targeted distribution of specific IRS / FINAS reports, or other international OPEX reports, within ONR and externally, together with resulting regulatory and / or licensee actions.

References

  1. Convention on Nuclear Safety
  2. Joint Convention on the Management of Spent Fuel and the Management of Radioactive Waste
  3. NEA/CNRA/R(2008)3, The Use of International Operating Experience Feedback for Improving Nuclear Safety, January 2008.
  4. ONR Business Management Model Annex 8, Operating experience feedback Screening, Analysis, Monitoring, Review.
  5. Joint IAEA/NEA Incident Reporting System (IRS) Reporting Guidelines, Feedback from safety related operating experience for nuclear power plants.
  6. IAEA/NEA Fuel Incident Notification and Analysis System (FINAS) Guidelines, Vienna, September 2006.

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Updated 07.10.11