Workshop on the Use of a Harmonized Safety Culture Framework

1. Workshop on the Use of a Harmonized Safety Culture Framework Mr. Antonio Hernández Maldonado ahernandez@cnsns.gob.mx National Commission on Nuclear Safety and Safeguards Mexican Nuclear RegulatoryAuthority (MNRA) 23rd to 25th October 2017 International Atomic Energy Agency (IAEA), Vienna, Austria

2. Agenda • Introduction • Safety Culture Framework • Project for Implementing an Organizational Culture Oriented to Safety in the Mexican Nuclear Regulatory Authority (MNRA) • Oversight Process for Assessment and Monitoring the Safety Culture in Laguna Verde Nuclear Power Plant • Remarks

3. Introduction • Nuclear Installations: • Laguna Verde NPP: One site with 2 Boiling Water Reactors 5 (General Electric) and Mark II Containment (Capacity each unit 682.44 Mwe) • Nuclear Research Institute: • One Research Reactor (Triga Mark III) • One irradiator • Universities: • 3 Subcritical Reactors • Mexican Nuclear Regulatory Authority • 3 Divisions: Nuclear Safety, Radiation Protection Safety and Environmental Surveillance-Physical Protection-Safeguards • Almost 140 personnel (Top manager, managers, supervisors and technical advisors)

4. CONSTITUTION REGULATORY LAW OF ARTICLE 27 OF THE CONSTITUTION IN NUCLEAR MATTER 10 CFR 50 GENERAL RULES OF RADIATION SAFETY MEXICAN NATIONAL STANDARD NOM-034-NUCL-2016 COMMERTIAL OPERATING LICENSES FOR LAGUNA VERDE UNITS 1 AND 2 STATEMENT ON SAFETY CULTURE (NUM. 19 REQUIREMENT) TECHNICAL SPECIFICATIONS, QUALITY ASSURANCE PROGRAM FOR LAGUNA VERDE UNITS 1 AND 2: COMMITMENTS REGULATORS: PERMANENT, PRE-REFUEL, REFUEL, POST-REFUEL AND DURING THE OPERATING CYCLE Safety Culture Framework Hierarchy of Mexican Nuclear Regulatory Framework INTERNATIONAL AGREEMENTS AND TREATIES SAFETY STANDARDS AND GUIDELINES IAEA, ASME, IEEE, ASTM, etc.

5. Searching for a Safety Culture Framework? IAEA INPO OECD/NEA WANO NEI WENRA US NRC ENSTTI ENSI FORATOM Ibero-American Forum of Regulators

6. Safety Culture Framework SAFETY STANDARDS AND GUIDELINES IAEA, ASME, IEEE, ASTM, etc. 1.3 The content of this publication supports the achievement of the two general aims of the management system, as stated by the International Nuclear Safety Group (INSAG): “To improve the safety performance of the organization through the planning, control and supervision of safety related activities in normal, transient and emergency situations. “To foster and support a strong safety culture through the development and reinforcement of good safety attitudes and behaviour in individuals and teams so as to allow them to carry out their tasks safely.” Appendix: Basic Knowledge on Safety Culture for RB

7. Safety Culture Framework SAFETY STANDARDS AND GUIDELINES IAEA, ASME, IEEE, ASTM, etc. Safety Culture (2.32 to 2.26) A strong safety culture has the following important attributes: Safety is a clearly recognized value Leadership for safety is clear Accountability for safety is clear Safety is integrated into all activities Safety is learning driven

8. Safety Culture Framework SAFETY STANDARDS AND GUIDELINES IAEA, ASME, IEEE, ASTM, etc.

9. Safety Culture Framework SAFETY STANDARDS AND GUIDELINES IAEA, ASME, IEEE, ASTM, etc. A regulatory body should have public safety as its primary focus and a healthy safety culture is essential in this regard. Such a safety culture should encompass individual staff members, leaders and the organisation as a whole. The five principles adopted by the Mexican Nuclear Regulatory Authority are: Leadership for safety is to be demonstrated at all levels in the regulatory body. All staff of the regulatory body have individual responsibility and accountability for exhibiting behaviours that set the standard for safety. The culture of the regulatory body promotes safety and facilitates co-operation and open communication. Implementing a holistic approach to safety is ensured by working in a systematic manner. Continuous improvement, learning and self-assessment are encouraged at all levels in the organisation.

10. Safety Culture Framework SAFETY STANDARDS AND GUIDELINES IAEA, ASME, IEEE, ASTM, etc. Aspects related with Safety culture were taken into account for the draft of the document “Organizational Culture Oriented to Safety for MNRA”

11. Safety Culture Framework SAFETY STANDARDS AND GUIDELINES IAEA, ASME, IEEE, ASTM, etc.

12. Project for Implementing an Organizational Culture Oriented to Safety in the Mexican Nuclear Regulatory Authority (MNRA)

13. Project for Implementing an Organizational Culture Oriented to Safety in the Mexican Nuclear Regulatory Authority (MNRA) • “Organizational Culture Oriented to Safety for Nuclear Safety Division” • Draft issued in September 14 of 2017 • Policy defined • Under revision of Nuclear Safety Division personnel (middle and top staff) • Planning for implementing in all organizations of MNRA (Start with Nuclear Safety Division) • “Regional Workshop on Safety Culture for Regulatory Bodies Senior Management”, 21 – 23 November, Mexico City, Mexico • The 1st meeting of the Committee on Nuclear Regulatory Activities Working Group on Safety Culture (WGSC) will be held on November 28-30, 2017 at the NEA Headquarters, France. • “Fundamentals on Safety Culture” Training Course for all technical advisors, February 2018. • “Organizational Culture Oriented to Safety” Training Course for all leaders and managers, February 2018.

14. SAFETY CULTURE MONITORING PROCESS FOR THE MEXICAN NUCLEAR REGULATORY AUTHORITY Actions and Communications Management Oversight NSDM (Decide and Act) Promote and Support a Strong Safety Culture Nuclear Safety Culture Review Meetings Organizational Interfaces LeadershipTeam Meeting (DOV, DA and DRA) [CriticalReflectionby Senior Leaders] Communications (exchange of information, both formally and informally, primarily between different departments or units) Monitoring Panel Meeting (Colegial Review and Binning of SC Principles) [BiannualReport and Study Cases on Safety Culture] Process Inputs International RegulatoryAssessments and Communications External and InternalOperatingExperience QMS ISO 9001 Top Management Review (PI/RM) QMS ISO 9001 AuditsResults (Internal/External) Management Response (Policies, Programs, Procedures, Training, Self-Assessments, Benchmarking, Action Plan) MiscellaneousSources Surveillance / Observation PublicFunction (AuditsProgram and AnonymousReports) Ethics Committee IMPROVEMENT (Feedback and Learning)

15. OVERSIGHT PROCESS FOR ASSESSMENT AND MONITORING THE SAFETY CULTURE IN LVNPP Plan for Implementing the RB Actions to Improve and Strenght Safety Culture RegulatoryOversight (Surveillance and Act) Require a Strong Safety Culture in PlantActivities LA Laguna Verde NPP Safety Culture Process RB Inspection Program Base Line Safety Culture: Insights and Actions PI Manual Chapter 0310 “Aspects within the Cross-Cutting Areas” PA Nuclear Safety Culture Review Meeting(s) EffectiveCommunication Attachment 95003.02 “Guidance for Conducting an Independent NRC Safety Culture Assessment” WP Enclosure 95003.02-A “Sample Inspection Requirements for Safety Culture Components“ Site and Corporate Interfaces CL Enclosure 95003.02-B “Sample Questions for Safety Culture Traits” RC Enclosure 95003.02-C “Guidance for Focus Groups and Individual Interviews” CO Process Inputs Enclosure 95003.02-D “Guidance for Structured Behavioral Observations” WE Enclosure 95003.02-E “Guidance for Event Follow-up Studies” QA Feedback and Learning Enclosure 95003.02-F “Guidance for Evaluating Safety Culture Surveys” DM RB Actions Oriented to Improve and Strenght Safety Culture

16. REMARKS • The lack of a national framework in safety culture motivates the search for several regulatory framework of other countries or organizations that can be used as a frame of reference. • There is a great diversity of documents from various international organizations (RB’s, Forums, Organizations, Suppliers, etc.) that can be used as part of the regulatory framework to address the issue of safety culture. • MNRA has made a thorough search and review of documents related to the safety culture, mainly those developed by the Organization for Economic Cooperation and Development/Nuclear Energy Agency, IAEA, NEI and US NRC have been adopted. • MNRA Ethics Code includes a principle for safety culture in all the activities of the staff personnel. • Principle 3 “The culture of the regulatory body promotes safety and facilitates co-operation and open communication”. The Non-Concurrence Process procedure was prepared and it is under revision (USNRC Handbook 10.158). Establish the way in which any person can express in an open atmosphere their safety concerns and the resolution about that. • Certificationon ISO-9001 (2015) has beenusefullto define a work –basedproceduresmethodology.