Office for Nuclear Regulation

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1 Office fr Nuclear Regulatin An agency f HSE ONR GUIDE Licensee Cre and Intelligent Custmer Capabilities Dcument Type: Nuclear Safety Technical Assessment Guide Unique Dcument ID and Revisin N: NS-TAST-GD-049 Revisin 4 Date Issued: April 2013 Review Date: April 2016 Apprved by: Andy Hall Prgramme Directr Recrd Reference: Trim Flder (2013/79464) Revisin cmmentary: Rutine update TABLE OF CONTENTS 1. INTRODUCTION PURPOSE AND SCOPE RELATIONSHIP TO NUCLEAR SITE LICENCE AND OTHER LEGISLATION RELATIONSHIP TO SAPS, WENRA REFERENCE LEVELS AND IAEA SAFETY STANDARDS ADVICE TO INSPECTORS APPENDICES APPENDIX 1: TREATMENT OF SECONDED AND AGENCY STAFF Crwn cpyright. If yu wish t reuse this infrmatin visit fr details. Yu may reuse this infrmatin (excluding lgs) free f charge in any frmat r medium, under the terms f the Open Gvernment Licence. T view the licence visit write t the Infrmatin Plicy Team, The Natinal Archives, Kew, Lndn TW9 4DU, r psi@natinalarchives.gsi.gv.uk. Sme images and illustratins may nt be wned by the Crwn s cannt be reprduced withut permissin f the cpyright wner. Enquiries shuld be sent t cpyright@hse.gsi.gv.uk. NS-TAST-GD-049 Revisin 4 Page 1 f 19

2 Office fr Nuclear Regulatin An agency f HSE 1. INTRODUCTION 1.1. ONR has established its Safety Assessment Principles (SAPs) MS.1 t MS.4 which apply t the assessment by ONR specialist inspectrs f the rganisatinal capability f ptential land existing licensees. The principles presented in these SAPs are supprted by a suite f guides t further assist ONR s inspectrs in their technical assessment wrk in supprt f making regulatry judgements and decisins. This technical assessment guide is ne f these guides. 2. PURPOSE AND SCOPE 2.1. The primary respnsibility fr the safety f a nuclear installatin rests with the licensee. The licensee must be able t demnstrate sufficient knwledge f the plant design and safety case fr all plant and peratins n the licensed site. The licensee must be in cntrl f activities n its site, understand the hazards assciated with its activities and hw t cntrl them, and have sufficient cmpetent resurce within the licensee rganisatin t be an intelligent custmer fr any wrk it cmmissins externally This TAG prvides guidance t help Inspectrs assess the suitability f the appraches that a licensee may take t the maintenance f in-huse expertise t maintain cntrl and versight f nuclear safety at all times, and the use and versight f cntractrs whse wrk has the ptential t impact n nuclear safety. It cnsiders the licensee s apprach t: Identificatin f the cre capability that it needs t understand its safety case, manage activities n the nuclear licensed site and deliver nuclear safety; Use f cntractrs t perfrm functins that have the ptential t impact n nuclear safety; Identificatin f its intelligent custmer capability within the cre capability t understand, specify, versee and accept nuclear safety related wrk undertaken n its behalf by cntractrs Definitins The fllwing wrds r phrases are used in this dcument: Cre Capability means the knwledge, functinal specialisms and resurces that the licensee shuld maintain within its wn rganisatin t be able t maintain cntrl and versight f safety at all times. This cre capability will include technical, peratinal and managerial elements. The licensee s Intelligent custmer and Design Authrity capabilities, and nuclear baseline psts will be sub-sets f the verall cre capability. Cntractr means any rganisatin r individual persn that prvides a service fr a licensee under a legally binding cntract that is nt in the licensee s direct emplyment r frmally secnded t the licensee frm the licensee s parent cmpany. This definitin als includes divisins r functins f the parent cmpany rganisatin appinted by the licensee rganisatin t prvide specific services e.g. Architect Engineer r Respnsible Designer services. The definitin excludes individual cntractrs r members f cntractr rganisatins which the licensee is able t demnstrate as being fully embedded in the licensee rganisatin t the pint that they can be regarded as emplyees fr health and safety law purpses, and secndees frm a parent cmpany r parent NS-TAST-GD-049 Revisin 4 Page 2 f 19

3 Office fr Nuclear Regulatin An agency f HSE bdy rganisatin. Annex 1 gives further explanatin f when these exclusins apply. Intelligent Custmer. The cncept f intelligent custmer (IC) was develped by ONR and has gained internatinal acceptance. It is defined by the IAEA as fllws: As an intelligent custmer, in the cntext f nuclear safety, the management f the facility shuld knw what is required, shuld fully understand the need fr a cntractr's services, shuld specify requirements, shuld supervise the wrk and shuld technically review the utput befre, during and after implementatin. The cncept f intelligent custmer relates t the attributes f an rganisatin rather than the capabilities f individual pst hlders. A licensee s intelligent custmer capability will be a sub-set f its cre capability This guidance may als be used t infrm ONR assessment f the prcurement f safety critical equipment which will be manufactured t the specificatin f the licensee r thers frmally appinted t act n its behalf. 3. RELATIONSHIP TO NUCLEAR SITE LICENCE AND OTHER LEGISLATION 3.1. The Health and Safety at Wrk etc. Act (1974) Sectins 3 and 4 f the Act give emplyers general duties t prtect the health and safety f peple they d nt directly emply and thse wh have access t their premises The Management f Health and Safety at Wrk Regulatins (1999) Regulatin 3 requires every emplyer t make a suitable and sufficient assessment f the risks t the health and safety f peple ther than direct emplyees in cnnectin with the wrk they are undertaking fr the emplyer. Regulatin 12 requires that any emplyees frm an utside undertaking are prvided with cmprehensive infrmatin by the emplyer relating t the risks t their health and safety arising frm the wrk they are undertaking fr the emplyer The Cnstructin (Design and Management) Regulatins (2007) These regulatins impse requirements and prhibitins with respect t the design and management aspects f cnstructin wrk Nuclear Installatins Act (1965) as amended (NIA) The NIA requires HSE t attach cnditins t nuclear site licences as necessary in the interests f safety. Mst f the cnditins attached t the nuclear site licences apply t relevant wrk undertaken by cntractrs Nuclear Site Licence Cnditins LCs 6 and 25 Dcuments, Recrds, Authrities and Certificates, and Operatinal Recrds. These cnditins require a licensee t ensure that cntractrs and vendrs supply relevant dcuments and recrds as specified under cntract by the licensee, fr example n cmpletin f wrk. LC 7 Incidents n Site. This cnditin requires a licensee t ensure that cntractrs are aware f and engaged in arrangements t reprt incidents. NS-TAST-GD-049 Revisin 4 Page 3 f 19

4 Office fr Nuclear Regulatin An agency f HSE LC 9 Instructins t Persns n Site. This cnditin requires a licensee t ensure that cntractrs n site are given adequate instructins abut hazards and emergency arrangements. LC 10 and 12 Training, and Duly Authrised Persns and Other Suitably Qualified and Experienced Persns. These cnditins require a licensee t ensure that anyne carrying ut wrk that may affect nuclear safety n the site is suitably qualified and experienced (SQEP). This includes all f the supply chain f the site and, where apprpriate, ff-site wrk by cntractrs and vendrs, wherever in the wrld they happen t be. LC 11 Emergency Arrangements. This cnditin requires a licensee t cnsider, where necessary, the new hazards that cntractrs may bring t site in the site emergency plan. LC 17 Management Systems. This cnditin requires a licensee s quality management arrangements t rbustly encmpass all wrk carried ut fr the site by cntractrs whether as an n-site cntractr r as a vendr f gds and services. LC 18 Radilgical Prtectin. This cnditin requires a licensee t make and implement arrangements fr the radilgical prtectin f all wrkers n site, including cntractrs. LCs 19 t 22 Cnstructin, Installatin and Mdificatin f New Plant, Cmmissining, and Mdificatin r Experiment n Existing Plant. These cnditins require a licensee t make and implement arrangements t cntrl cnstructin, mdificatin, cmmissining etc. f plant which include arrangements fr apprpriate cntrl and versight f wrk perfrmed by cntractrs. LC 26 Cntrl and Supervisin f Operatins. This cnditin requires a licensee t ensure that all peratins that may affect safety are under the cntrl and supervisin f persns wh are frmally appinted as SQEP by the licensee. This strengthens the general requirements f the Health and Safety at Wrk Act by specifying the need t ensure the cmpetence f supervisrs and impses a duty t cntrl wrk. LC 36 Organisatinal Capability. This cnditin requires a licensee t prvide and maintain adequate financial and human resurces t ensure the safe peratin f the licensed site, and t make and implement adequate arrangements t cntrl any change t its rganisatinal structure r resurces which may affect safety. 4. RELATIONSHIP TO SAPS, WENRA REFERENCE LEVELS AND IAEA SAFETY STANDARDS Safety Assessment Principles (SAPs) 4.1. The Safety Assessment Principles (SAPs) fr Nuclear Facilities (2006 Editin Revisin 1) prvide a framewrk t guide regulatry decisin making in the nuclear permissining prcess. They are supprted by Technical Assessment Guides (TAGs) which further aid the decisin making prcess. The fllwing principles are f particular relevance t this TAG: MS.1. Leadership. Identifies the need fr directrs, managers and leaders t fcus the rganisatin n achieving and sustaining high standards f safety and n delivering the characteristics f a high reliability rganisatin. NS-TAST-GD-049 Revisin 4 Page 4 f 19

5 Office fr Nuclear Regulatin An agency f HSE MS.2. Capable Organisatin. Identifies the need fr an rganisatin t have the capability t secure and maintain the safety f its undertakings. MS.3. Decisin Making. Identifies the need fr decisins at all levels that effect safety t be ratinal, bjective, transparent and prudent. MS.4. Learning frm Experience. Identifies the need t learn lessns frm internal and external events t cntinually imprve leadership, rganisatinal capability, safety decisin making and safety perfrmance. Technical Assessment Guides 4.2. The fllwing Technical Assessment Guides are applicable t this TAG: T/AST/027 Training and Assuring Persnnel Cmpetence This TAG infrms regulatry assessment f a licensee s apprach t implementing a systematic apprach t training. T/AST/048 Organisatinal Capability This TAG sets ut the brad principles which underpin ONR s expectatins f a licensee s arrangements t prvide and maintain adequate financial and human resurces and t cntrl changes t its rganisatinal structure r resurces which may affect safety. T/AST/065 Functin and Cntent f the Nuclear Baseline This TAG addresses the means by which the licensee demnstrates that its rganisatinal structure, staffing and cmpetencies are, and will remain, suitable and sufficient t manage nuclear safety thrughut the full range f the licensee s business. It prvides the fundatin frm which rganisatinal change can be assessed. T/AST/072 Functin and Cntent f a Safety Management Prspectus This TAG expects the licensee t be able t demnstrate via the SMP a cherent apprach t safety management incrprating rganisatin, resurces and management systems. T/AST/077 Prcurement f Nuclear Safety Related Items r Services This TAG infrms regulatry assessment f supply chain arrangements which are particularly imprtant t the supply f items r services significant t nuclear safety designated fr use in the UK. It highlights the need fr the licensee t prvide clarity regarding: Wh is, r will, ultimately be respnsible fr prviding assurance that prcured items with nuclear safety significance meet the required specificatin; The purchaser s understanding f its respnsibilities, either under a nuclear site licence r as a supplier t a future nuclear site licensee, and the adequacy f arrangements t assure the quality f items r services received frm the supply chain; The adequacy f skills and resurces within the licensee rganisatin t maintain cntrl and versight f the prcurement prcess fr items r services. T/AST/079 Licensee Design Authrity Capability NS-TAST-GD-049 Revisin 4 Page 5 f 19

6 NOT PROTECTIVELY MARKED Office fr Nuclear Regulatin An agency f HSE This TAG sets ut the ONR s expectatins fr existing and prspective licensees Design Authrity capability. It cnsiders the licensee s apprach t: Identificatin and implementatin f rganisatinal arrangements and cre cmpetencies t understand and manage the design f its plant and the safety functins that needs t be prvided; The use f cntractrs as Respnsible Designers t prvide authritative advice t the Design Authrity; The retentin f design knwledge in a frm that is practically and easily available t the licensee ver the full lifetime f the plant until the plant is decmmissined. Licensing f Nuclear Installatins (ONR 2012) 4.3. Paragraphs 81, 82 and 83 set ut ONR s expectatins f a licensee s intelligent custmer capability, including the requirement fr the licensee t have sufficient, suitably qualified and experienced staff, and fr the creatin f a Design Authrity functin within the licensee. Paragraph 83 als expects the licensee t develp apprpriate strategies t transfer expert plant design knwledge frm the vendr. Relevant WENRA Safety Reference Levels 4.4. The bjective f the Western Eurpean Nuclear Regulatrs Assciatin (WENRA) is t develp a cmmn apprach t nuclear safety in Eurpe by cmparing natinal appraches t the applicatin f IAEA safety standards. The Reactr Harmnisatin Wrking Grup Reference Levels, 2008 represent gd practices in the WENRA member states. The fllwing issues have been embdied within this TAG and shuld be taken int accunt by the inspectr: Issue A: Safety Plicy Key elements f a licensee s safety plicy shuld be cmmunicated t cntractrs in such a way that the licensee s expectatins and requirements are understd and applied in their activities. Issue B: Operating Organisatin Organisatin structure, management f safety and quality, sufficiency and cmpetency f staff. It identifies the need fr: The rganisatin structure t be justified and dcumented. Sund decisin making, cntinuus mnitring f safety perfrmance, use f relevant perating experience, cntrl f activities thrugh a dcumented management system, and independent review f safety issues by a suitably qualified independent review functin. The required number f staff fr safe peratin t be analysed in a systematic and dcumented way. The licensee t maintain in huse sufficient and cmpetent staff and resurces t specify, set standards, manage and evaluate safety wrk carried ut by cntractrs. Issue C: Management system, management cmmitment. Identifies the need fr: The cntrl f prcesses, r wrk perfrmed within a prcess, cntracted t external rganisatins shuld be identified within the management system. The licensee shuld retain verall respnsibility when cntracting any prcess r wrk perfrmed within a prcess. Suppliers f prducts and services shuld be selected n the basis f specified criteria and their perfrmance shuld be evaluated. NS-TAST-GD-049 Revisin 4 Page 6 f 19

7 Office fr Nuclear Regulatin An agency f HSE IAEA Safety Standards 4.5. The IAEA Safety Standards, Requirements and Guides were the benchmark fr the revisin f the SAPs in 2006 and are recgnised by ONR as relevant gd practice. They shuld therefre be cnsulted, as apprpriate, by the Inspectr. The fllwing requirements and guides are applicable: Fundamental Principle 1: Respnsibility fr Safety - states that The prime respnsibility fr safety must rest with the persn r rganisatin respnsible fr facilities and activities that give rise t radiatin risks IAEA Safety Standard GS-R-3 The Management System fr Facilities and Activities. This safety standard defines the requirements fr establishing, implementing, assessing and cntinually imprving a management system that integrates safety, health, envirnmental, security, quality and ecnmic elements t ensure that safety is prperly taken int accunt in all the activities f an rganisatin. Sectin 3 Management Respnsibility, Sectin 4 Resurce Management and Sectin 5 Prcess Management are particularly relevant t the use f cntractrs and intelligent custmer capability. 5. ADVICE TO INSPECTORS Backgrund 5.1. Licensees shuld understand the knwledge, functinal specialisms and resurces that they need t maintain within their rganisatins t be able t maintain cntrl and versight f safety at all times. They shuld be able t demnstrate a cre capability within the licensee rganisatin that has sufficient cmpetent persns t be able t maintain cntrl and versight f safety at all times. This cre capability will include, but nt necessarily be limited t, technical, peratinal and managerial resurces. Licensees will als be expected t demnstrate that, within their cre capability, they have sufficient in-huse expertise t fulfil specific rles relating t intelligent custmer, design authrity and nuclear baseline (nuclear safety) A licensee s cre capability shuld cmprise directly emplyed, cmpetent staff. Hwever, ONR recgnises that direct emplyment by the licensee rganisatin may nt be the preferred mdel fr sme licensee rganisatins and its cre capability may include staff secnded frm parts f a parent cmpany. Cntract resurces, including embedded cntractrs, are nt regarded as being part f a licensee s cre capability Licensees may chse t use cntractrs t carry ut sme activities. The imprtance f taking apprpriate decisins n when t use cntractrs, and the effective management f their wrk, has been highlighted in a number f events and near misses acrss the nuclear and ther high hazard industries fr example in the cnstructin f new nuclear pwer statins at Flamanville in France and Olkilut in Finland, the explsin and fire at the Buncefield il strage deprt in 2005, and the Deepwater Hrizn drilling rig explsin in The aim f this guide is t help Inspectrs assess whether r nt the arrangements that licensees have identified t establish and maintain the cre cmpetencies that they need t manage safety, and t retain cntrl f thse items and services that are cntracted ut, are adequate. It shuld be read in cnjunctin with T/AST/077 Prcurement f Nuclear Safety Related Items r Services and T/AST/079 Licensee Design Authrity Capability which make specific references t the use f cntractrs and intelligent custmer capability. NS-TAST-GD-049 Revisin 4 Page 7 f 19

8 Principles n the Use and Management f Cntractrs Office fr Nuclear Regulatin An agency f HSE 5.5. There are sme brad principles which underpin ONR s expectatins f a licensee s arrangements fr the use f cntractrs and fr retaining cntrl f nuclear safety. These are summarised belw and then interpreted in the sectins that fllw. 1. The licensee shuld maintain a cre in-huse staff t ensure effective cntrl and management fr nuclear safety; 2. The licensee shuld retain verall respnsibility fr, and cntrl and versight f, the nuclear and radilgical safety and security f all f its business, including wrk carried ut n its behalf by cntractrs (nte that this is a legal requirement); 3. Licensee chices between surcing wrk in-huse r frm cntractrs shuld be infrmed by a cmpany plicy that takes int accunt the nuclear safety implicatins f thse chices; 4. The licensee shuld maintain an intelligent custmer capability fr all wrk carried ut n its behalf by cntractrs that may impact upn nuclear safety; 5. The licensee shuld ensure that it nly lets cntracts fr wrk with nuclear safety significance t cntractrs with suitable cmpetence, safety standards, management systems, culture and resurces; 6. The licensee shuld ensure that all cntractr staff are familiar with the nuclear safety implicatins f their wrk and interact in a well crdinated manner with its wn staff; 7. The licensee shuld ensure that cntractrs wrk is carried ut t the required level f safety and quality in practice. Principle 1 Licensees shuld maintain a cre f in-huse staff t ensure effective management fr nuclear safety The licensee shuld be able t identify and maintain the cre capability that it needs t maintain effective management fr nuclear safety. ONR expects the licensee t, within its wn rganisatin, have sufficient cmpetent persns t be able t maintain cntrl and versight f safety at all times. This cre capability will include technical (e.g. design authrity, engineering, safety case capability), peratinal and managerial elements. Tgether they cmbine t ensure that the safety case fr the installatin is understd and maintained, and that the site, and plants r prjects are perated in accrdance with the safety case and the cnditins f the nuclear site licence The licensee shuld be able t demnstrate that it is sustaining its cre capability and that this capability is resilient in ther wrds, the licensee understands challenges t its retentin f this capability and has put in place measures t mitigate them. Such measures may include vulnerability analysis, prgressin planning, review f the availability f external capability etc The mst secure surce f cre capability is generally direct emplyment f cmpetent staff. ONR recgnises that direct emplyment by the licensee rganisatin may nt be the preferred mdel fr sme licensee rganisatins and its cre capability may include staff secnded frm parts f a parent cmpany. In such instances, the licensee must be able t demnstrate that it has frmal arrangements in place t ensure that it will, at all times, have access t sufficient, cmpetent staff and that thse staff cannt return t the parent cmpany individually r en blc unless sufficient ntice is given by the parent cmpany t NS-TAST-GD-049 Revisin 4 Page 8 f 19

9 Office fr Nuclear Regulatin An agency f HSE allw alternative arrangements t be made by the licensee t ensure cntinuity f cre capability (see guidance in Annex 1) The licensee s apprach t identifying and managing its cre capability shuld initially be set ut in its Safety Management Prspectus (see T/AST/072 Functin and Cntent f a Safety Management Prspectus ) and develped in mre detail using an established methdlgy set ut in its Nuclear Baseline (see T/AST/065 Functin and cntent f a Nuclear Baseline). The cntinued suitability f this apprach shuld be peridically reviewed and kept live The licensee Bard shuld put arrangements in place t assure itself that key decisins relating t the size f the cre capability are subject t rbust challenge and scrutiny. It shuld als be actively invlved in assessing the implicatins, and mnitring the subsequent implementatin, f prpsed rganisatinal changes where key activities with the ptential t impact n nuclear safety may be utsurced r the size f the cre capability significantly reduced New licensees whse primary bjective is t cnstruct new nuclear pwer statins shuld: Take int cnsideratin their cre capability needs cmmensurate with stages f the prject. In the pre-cnstructin stage, ONR acknwledges that much f the knwledge f plant design may reside with the Respnsible Designer (RD) r Architect Engineer (AE). The licensee shuld develp an apprpriate cre capability t manage the ttality f its activities as a licensee which includes sufficient resurce t act as an intelligent custmer fr the services prvided by the RD r AE. It is imprtant t nte that, althugh the RD r AE may have an enduring rle, it shuld always be regarded as a key external resurce and nt a part f the licensee s cre capability. Be able t demnstrate that they understand when and hw much cre capability they need t develp in huse r transfer int the licensee rganisatin frm the AE r RD as the prject prgresses including a strategy t achieve this. It is expected that the licensee s cre capability will increase and the rle f the RD r AE will diminish as the prject prgresses thrugh the pre-cnstructin, cnstructin and cmmissining phases, and int peratins Established licensees shuld: Be able t justify the size f their cre capability and demnstrate hw they are maintaining it via their arrangements fr cmplying with LC 36 Organisatinal Capability. This will include a justificatin f the level f technical, peratinal and managerial and ther key resurces, and the level f resurce required fr fulfil specific rles such as intelligent custmer, design authrity and nuclear baseline as part f the verall cre capability. It is imprtant t nte that intelligent custmer, design authrity and nuclear baseline capabilities are sub-sets f the verall licensee cre capability. The nuclear baseline in particular shuld specifically identify psts cntaining rles with the ptential t impact n nuclear safety. It shuld nt include ther nn-nuclear safety related psts. Cnsider the nuclear safety implicatins arising frm the ptential fr lss r degradatin f cre capability ver time, particularly if they are cnsidering cntracting ut majr parts f their technical capability. The impact f such an NS-TAST-GD-049 Revisin 4 Page 9 f 19

10 Office fr Nuclear Regulatin An agency f HSE apprach shuld be fully assessed, justified and shared with ONR using the licensee s management f rganisatinal change arrangements The Inspectr shuld cnsider whether r nt: The licensee has a ratinale and justificatin fr its current and future cre capability and whether this methdlgy clearly identifies subrdinate key rles such as intelligent custmer, design authrity and nuclear baseline. There is adequate evidence t demnstrate that cre capability is being maintained at the level specified by the licensee and regularly mnitred and reviewed by the licensee Bard. Principle 2 The licensee shall retain verall respnsibility fr, and cntrl and versight f, the nuclear and radilgical safety and security f all f its business, including wrk carried ut n its behalf by cntractrs The Nuclear Installatins Act places a duty n the licensee t ensure that the cnditins f the licence are cmplied with. The licensee is nt able t delegate this respnsibility t cntractrs, service prviders r thers wh d wrk n its behalf (see definitin f cntractr in sectin 2.3). The licensee therefre must retain verall respnsibility fr nuclear and radilgical safety at all times, and ONR cnsiders that in rder t d this it must maintain a suitable level f cntrl and versight f thse wh are carrying ut wrk n its behalf In rder t retain this cntrl and versight, the licensee needs t identify the ptential nuclear safety impact f its activities and bear this in mind when making decisins abut whether t retain thse activities shuld be undertaken by in-huse resurces r whether they can be cntracted them ut. These decisins shuld be infrmed by a cmpany plicy n the use f cntractrs (see Principle 3) Decisins will be affected nt nly by nuclear safety significance, but als by the nature f the wrk being cnsidered. Fr example, if the licensee is cnsidering cntracting ut the management f sme activities as ppsed t perfrming peratins r administrative functins using its wn resurces, it may be apprpriate t questin whether the licensee can remain in cntrl f thse activities. Similarly, if the licensee is cnsidering using cntractrs t deliver functins which are cre t the cntinued safe peratin f its facility, it is reasnable t seek cnfidence that the licensee is able t retain the capability t make and enact its wn decisins n safety matters In such instances, the licensee must be able t demnstrate that, thrugh a cmbinatin f technical cmpetence, understanding f the wrk, management arrangements, relatinship with the cntractr, and assurance f the cntractr s management arrangements, that it will retain adequate and enduring cntrl f the nuclear safety risks by being an intelligent custmer fr wrk carried ut by a cntractr n its behalf It shuld be nted that the Bard f the licensee rganisatin is the ultimate intelligent custmer fr the activities undertaken n its behalf n the nuclear licensed site. It shuld demnstrably wn the cmpany plicy n the use f cntractrs (see Principle 3) and ensure that arrangements are in place t mnitr the effectiveness f wrk undertaken by cntractrs n its behalf The Inspectr shuld cnsider whether r nt: NS-TAST-GD-049 Revisin 4 Page 10 f 19

11 Office fr Nuclear Regulatin An agency f HSE The licensee has rbust, auditable plicies and arrangements in place thrugh which it can demnstrate that: The licensee has retained within its wn rganisatin, at all times, the capability t make, and take respnsibility fr, infrmed and prudent decisins and actins affecting nuclear safety; The licensee will remain in cntrl at all times f wrk with nuclear safety implicatins that is carried ut n its behalf by cntractrs n the nuclear licensed site; Adequate arrangements are in place t maintain versight f wrk with nuclear safety implicatins that is carried ut n its behalf by cntractrs ff the nuclear licensed site. There a clear line f sight and evidence f respnsibility being exercised in a prprtinate manner, frm the Bard dwn, fr all wrk placed with the supply chain with nuclear safety implicatins and any prpsed rganisatinal changes that may affect the size f the cre r intelligent custmer capabilities. Principle 3 Licensee chices between surcing wrk in-huse r frm cntractrs shuld be infrmed by a cmpany plicy that takes int accunt the nuclear safety implicatins f thse chices The licensee shuld establish a clear plicy and ratinale fr making chices between placing wrk and business activities with the supply chain, r retaining them in-huse (a make r buy plicy). This plicy shuld take adequate accunt f the lng and shrt-term nuclear safety implicatins f using cntractrs Licensee rganisatins shuld be aware f, and be able t justify, the apprach that they take t use f cntractrs. This may differ accrding t the maturity f the licensee rganisatin Fr new build rganisatins, the apprach t the use f cntractrs shuld be explained in its Safety Management Prspectus. The apprach shuld recgnise the need fr, and demnstrate, the ability f the licensee t retain cntrl and versight f nuclear safety and t deliver an adequate intelligent custmer capability. This is particularly imprtant where a new build rganisatin intends t appint a Respnsible Designer (RD) t develp the UK specific design, r an Architect Engineer (AE) t prject manage aspects f new build develpment and installatin. In such instances, the licensee must be able t demnstrate that it is in cntrl f the new build prject and has adequate arrangements and resurces t versee wrk being undertaken n its behalf by the RD r AE Fr established licensees, the use f cntractrs may have grwn histrically, rather than in accrdance with a cherent plicy. In such instances, this shuld be recgnised by ONR and the licensee, and the licensee shuld be able t prvide evidence t justify its apprach, and demnstrate that it is sundly based and will nt have a detrimental effect n nuclear safety. Use f the plicy shuld als be evident when significant rganisatinal changes are being frmulated which invlve cnsideratin f whether r nt t retain services and resurces in-huse r t utsurce them frm the supply chain. Althugh cmmercial cnsideratins may influence that chice they shuld nt utweigh r verride safety The licensee shuld be able t demnstrate that it has a prcess t cnsider ptential rganisatinal vulnerabilities arising frm dependence n cntractrs which ideally links t NS-TAST-GD-049 Revisin 4 Page 11 f 19

12 Office fr Nuclear Regulatin An agency f HSE r integrated with the nuclear baseline. Vulnerability may increase as a result f factrs such as the scarcity f, and demand fr, the services that the cntractr prvides, the degree f site specific knwledge required fr the task, and hw readily available suitably qualified and experienced (SQEP) replacements are, either in-huse r in the market place Where cntracted wrk may create a dependency n singletn r specialised cntractrs fr essential safety related wrk such as maintenance, ONR expects the licensee t have identified this as a vulnerability as part f a structured vulnerability assessment and be able t justify the decisin; and explain what the cntingency and successin arrangements wuld be shuld the cntract terminate. The vulnerability assessment shuld result in actins t mitigate individual vulnerabilities which are mnitred and managed as part f the licensee s human resurce prcesses. The vulnerability analysis shuld be subject t regular review The Inspectr shuld cnsider whether r nt: The licensee has a clear plicy and ratinale fr use f cntractrs and there is evidence that the plicy is being used in practice; Licensee management is able t explain and justify the extent f its current and future reliance n cntractrs; Cntractrisatin prpsals may ptentially weaken the cntrl f the licensee r intrduce ambiguities ver the legal psitins f the parties invlved, fr example new functinal cntractrisatin r partnership prpsals. In such instances the Inspectr shuld seek the advice f the ONR Leadership and Management fr Safety Prfessinal Lead. Where a licensee has cntracted ut functins, r is prpsing t d s, it can shw that the risks f ding s have been adequately assessed and managed. This includes cnsidering whether: Cntracting ut the task culd cmprmise the licensee s retentin f cre capability; Cntracting ut the wrk intrduces ptential fr additinal challenges t nuclear safety and, where this may be s, shwing hw these risks are managed; The licensee has cnsidered ptential vulnerabilities arising frm lss f services prvided by cntractrs with key nuclear safety related capabilities and, where apprpriate, identified cntingency arrangements. This may include cnsideratin f whether r nt the knwledge required fr the task is scarce r mre generally available in the market place, r whether there will be sufficient cmpetent staff inhuse t prvide effective care and maintenance until replacement cntract supprt can be fund. The licensee has a prcess t assess and manage rganisatinal vulnerabilities arising frm the use f cntractrs. Principle 4 The licensee shuld maintain an intelligent custmer capability fr all wrk carried ut n its behalf by cntractrs that may impact upn nuclear safety The licensee may chse t cntract ut wrk which has the ptential t impact upn nuclear safety. In these circumstances, the licensee shuld be able t demnstrate that, within its cre capability, it has a suitable and sufficient cmpetence, resurce and NS-TAST-GD-049 Revisin 4 Page 12 f 19

13 Office fr Nuclear Regulatin An agency f HSE arrangements t understand where and when wrk is needed; specify requirements t carry ut that wrk; understand and set suitable standards; supervise and cntrl the wrk; and be able t review, evaluate and accept the wrk carried ut n its behalf. This capability is referred t as the Intelligent Custmer (IC)' (see paragraph 2.3 fr the IAEA definitin) The licensee shuld be able t demnstrate that it understands the need t retain an IC capability and it has put in place arrangements t determine the range f functins fr which it requires IC capability. It shuld be able t demnstrate that it has the ability t make infrmed judgements abut the depth f knwledge and level f SQEP resurce it will require t maintain its IC capability fr each functin. It shuld be nted that IC is a functin f the licensee as a whle, and the IC capability t manage cntracted wrk is unlikely t be vested in a single individual It is expected that a licensee will develp IC arrangements apprpriate fr the cnstructin f new nuclear facilities. These arrangements shuld be an integral part f its management system, and reflect the IC requirements cmmensurate with the lifecycle phases f the prject i.e. design, prcurement, cnstructin, installatin, cmmissining and peratin. The arrangements shuld ensure that, in the event that individuals hlding IC rles change during the curse f the prject, r IC respnsibilities change as the prject mves frm ne phase t the next, there is a mechanism t frmally handver IC respnsibility frm ne rle hlder t the next The licensee shuld be able t demnstrate that it is delivering in practice its claimed IC capability. Fr example, if cntractrs are used t prepare a safety case, the licensee must be cmpetent t ensure that the cntractr is suitably qualified and experienced, fllws an apprpriate methdlgy, and uses the crrect data and assumptins. The licensee shuld have sufficient knwledge t understand the limitatins and implicatins f the analysis t its safety case; t questin and challenge the cntractr s wrk; and t shw that it has applied an apprpriate degree f versight in practice. The licensee shuld be able t lead the presentatin f the safety case arguments. Hwever the licensee need nt necessarily have the depth f knwledge required t undertake the detailed analysis itself Rles with IC respnsibilities shuld be identified in the nuclear baseline. As part f this prcess, the licensee shuld be able t demnstrate that it has put in place suitable successin planning fr individuals hlding IC rles The Inspectr shuld cnsider whether r nt: The licensee is able t demnstrate that it has arrangements in place t identify and secure the intelligent custmer capability needed t cnduct its business; Arrangements are in place t identify the cmpetencies required t fulfil IC rles and that individuals fulfilling IC rles are demnstrably cmpetent and frmally appinted t the rles; Psts cntaining IC rles are clearly identified n the licensee s nuclear baseline and that these psts are included in the vulnerability assessment; Cntingency plans are in place t cater fr lss f staff r absences in vulnerable areas, particularly where IC numbers are scare r individuals fulfilling IC rles are singletns; The licensee is able t demnstrate the applicatin f IC capability t selected activities by: Explaining hw it is able t judge when external expertise is required; NS-TAST-GD-049 Revisin 4 Page 13 f 19

14 Office fr Nuclear Regulatin An agency f HSE Shwing that it understands the relevance f any given wrk carried ut by cntractrs t the safety case; Explaining hw the specificatin fr cntracted wrk was derived, Shwing hw it assessed the technical quality f tenders and prpsals; Explaining why the cntractr selected was suitable fr the specific task; Shwing that it mnitred the ptential impact n nuclear safety f wrk being perfrmed by cntractrs, and explaining hw it judged if this was adequate; Explaining hw it has evaluated the items r services prvided and determined that it was f the apprpriate quality; Being able t lead the presentatin f safety case arguments t the regulatr. There is any evidence f unsafe r pr quality wrk by cntractrs and, if s, is the licensee able t demnstrate that it has identified the prblem and has put suitable plans in place t learn frm the experience; There is a prcess thugh which the licensee s senir management can gain assurance that the licensee has retained a suitable cre capability and intelligent custmer capability and that this is effective and rbust in ensuring the safe perfrmance f cntractrs. Arrangements have been develped fr nuclear installatin cnstructin prjects which ensure that IC respnsibilities have been identified fr each phase f the prject and that they include arrangements fr ensuring that there is a frmal handver f IC respnsibilities between the phases. Principle 5 The licensee shuld ensure that it nly lets cntracts fr wrk with nuclear safety significance t cntractrs with suitable cmpetence, safety standards, management systems, culture and resurces The licensee s safety management system shuld include a cntractr selectin and award prcess that ensures that the expectatins f the successful cntractr in terms f technical delivery, prduct r service quality, and nuclear safety culture and behaviurs are clearly specified in the tender dcumentatin. The prcess shuld include an examinatin f prspective cntractrs verall ability and capacity t deliver the gds and services required, certificatin t an apprpriate QA standard, and safety perfrmance. It shuld be nted that althugh price is an imprtant factr it shuld nt verride technical capability, quality and safety perfrmance (see T/AST/077 Prcurement f Nuclear Safety Related Items r Services ). These requirements shuld be applied thrughut the supply chain i.e. in sub-cntracts between the main cntractr and its sub-cntractrs The prcess shuld als ensure that nce the cntract has been awarded the cntractr is nly given tasks fr which it has been assessed and deemed t be suitable and that its perfrmance in delivering the cntractual requirements is regularly assessed. The licensee shuld ensure that it has sufficient resurces t versee and assess cntractr perfrmance thrughut the supply chain. NS-TAST-GD-049 Revisin 4 Page 14 f 19

15 Office fr Nuclear Regulatin An agency f HSE The licensee shuld be aiming fr an intelligent custmer and intelligent cntractr relatinship where bth deply suitably qualified and experienced persnnel wh understand the requirements specified under the cntract and are able t cmmunicate them effectively. This is particularly imprtant in the event that cntract variatins shuld arise where bth parties need t be assured that variatins t cntract have been prperly cnceived, cmmunicated, implemented and assessed fr nuclear safety implicatins The licensee shuld be able t shw that it has made, and implemented, apprpriate arrangements which prvide assurance that its cntractrs cmpetencies are adequate. There shuld be a clear auditable trail that demnstrates that cntractr staffs are equally as SQEP as licensee staff wuld be fr the same rle (see T/AST 027 Training and Assuring Persnnel Cmpetence ). Fr key cntract staff whse services are needed regularly it may be apprpriate t assess and cnfirm their cmpetence using the licensee s cmpetence assurance system. Where this is nt the case, the licensee shuld be able t shw hw it has cnfirmed the adequacy f the cntractrs arrangements fr cmpetence assurance These expectatins apply t relevant wrk by cntractrs bth n the licensed site and at ther lcatins. Fr example, the licensee shuld take suitable steps t ensure that cntractrs wrk n a safety case r n the cnstructin f nuclear safety-related plant which is later t be used n site is carried ut by SQEP peple wherever in the wrld they happen t be lcated The cntractr appraisal and apprval system shuld be a live system, such that the licensee actively mnitrs its cntractrs safety management arrangements and perfrmance and that any deficiencies are reviewed and acted n as apprpriate The Inspectr shuld cnsider whether r nt: The licensee is maintaining a cntractr selectin and award prcess that ensures each cntractr and subcntractr used has: The technical capability, safety and quality perfrmance t deliver cntractual requirements withut adversely affecting nuclear safety; The individual and cllective cmpetence t carry ut the specified wrk cntracted t the required safety and quality standards; The resurces, including manpwer and equipment, t carry ut the wrk safely; A cntractual arrangement that reflects the technical, safety and quality requirements f the licensee s cntract and whether r nt these arrangements are cnsistently applied t sub-cntractrs. The cntractr is nly given tasks fr which it is suitable, and fr which all f the abve apply. The licensee can demnstrate that it has assured the adequacy f tenders and prpsals frm cntractrs, including clear identificatin f any particular r unusual hazards that their activities will intrduce; There is evidence at all relevant stages f cntract preparatin and cntractr selectin that ptential immediate r latent nuclear safety risks that culd arise frm the quality r cnduct f the wrk have been identified and cnsidered as necessary; There is evidence that effective actin has been taken where cntractr perfrmance was judged t be less than adequate; NS-TAST-GD-049 Revisin 4 Page 15 f 19

16 Office fr Nuclear Regulatin An agency f HSE The licensee s prcurement prcedures address cmmunicatin and interfaces in the supply chain; The licensee actively mnitrs and gains assurance regarding the cntinuing suitability f its cntractrs arrangements fr delivering the required quality wrk using cmpetent persnnel; Prcurement prcedures include the need fr technical and safety SQEPs t be frmally appinted as Intelligent Custmers. Principle 6 The licensee shuld ensure that all cntractr staff are familiar with the nuclear safety implicatins f their wrk and interact in a well crdinated manner with their wn staff The licensee shuld prvide its cntractrs with sufficient infrmatin and instructin t ensure that cntractrs staffs wrk safely and understand the limits f what they can d. Their appreciatin f the hazards shuld nt be cnfined t the specifics f the task but shuld include their entire wrking envirnment when they are n the licensed site. It is imprtant fr cntractrs t be aware that they share legal accuntability fr the safety f their peratins n the licensed site The licensee shuld be able t demnstrate that this applies thrughut the supply chain where necessary. It is nt sufficient t gain assurance that the main cntractr understands the nuclear safety implicatins f its wrk; the licensee shuld seek assurance that sub-cntractrs have the same understanding Where cntractrs have a cntinuing relatinship with the licensee, the licensee shuld be wrking t ensure that they becme an integral part f the licensee s safety culture and expectatins f behaviur. This means, fr example, including cntractrs as well as licensee emplyees in safety briefs, wrking grups, behaviural safety initiatives, audits etc The licensee shuld als ensure that cntractrs are suitably inducted nt the site and that licensee behaviural expectatins, as well as technical jb perfrmance, are effectively cmmunicated and understd by the cntracting rganisatin and its staff The licensee shuld ensure that there are clear arrangements, which are understd by all parties, fr crdinatin, cmmunicatin and authrisatin f wrk between the licensee s wn staff, cntractrs, and subcntractrs. Where there is an extended supply chain, the ptential exists at each interface fr dilutin and misunderstanding f custmer requirements The licensee s prcurement prcesses shuld cnsider the ptential number f subcntract layers when letting cntracts with the bjective f aviding unnecessarily lng supply chains. The licensee shuld als ensure that there is effective cmmunicatin and interfaces between each link in the supply chain t ensure that the licensee s requirements are clearly understd and effectively cascaded t each cntractr The Inspectr shuld cnsider whether r nt : There is evidence that, at all relevant stages f a cntract, the fllwing items have been identified and apprpriate cntrl measures agreed and cmmunicated, as necessary, t all cntractr and sub-cntractr staff wrking n the licensed site and their understanding verified: NS-TAST-GD-049 Revisin 4 Page 16 f 19

17 Office fr Nuclear Regulatin An agency f HSE Immediate r latent nuclear safety risks frm inadequate quality f wrk r errrs by cntractrs r subcntractrs; Radilgical risks t cntractr staff frm the licensee s plant and prcesses; Rules and instructins including, but nt cnfined t, emergency arrangements; Arrangements fr authrising and managing wrk; Arrangements fr cmmunicatin between all parties; Quality management arrangements. There is evidence that cntractrs have been suitably inducted nt the site and are aware f the standards and behaviurs expected t supprt the licensee s safety culture; Adequate infrmatin has been prvided t licensee staff and thers wh may cme int cntact with a cntractr cncerning the nature, extent and cntrl f the cntractr s wrk; Cntractr staffs with a frequent r permanent presence n the site have been given equivalent status t licensee staff and are being included in the licensee s nrmal tw-way safety cmmunicatins and ther relevant safety activities. Principle 7 The licensee shuld ensure that cntractrs wrk is carried ut t the required level f safety and quality in practice The licensee s arrangements and behaviur in supervising cntractrs shuld be active and rigrus, in prprtin t the risks f the wrk, and the capabilities and track recrd f the cntractr. Cntracting ut wrk des nt lessen a licensee s legal accuntability fr the wrk dne n its behalf and the degree f supervisin and assurance shuld reflect that The licensee shuld judge whether r nt it is able t reduce the level f supervisin based n its assessment f the adequacy f the cntractr s safety management and quality assurance arrangements.. The licensee shuld be able t demnstrate that it is aware, and in cntrl f, the standards f wrk thrughut the supply chain, prprtinate t nuclear safety implicatins The licensee s arrangements shuld prvide fr wrk perfrmed by cntractrs t be cnfirmed as cmplete in accrdance with the technical specificatin, and frmally accepted by the IC. Expert resurce shuld be engaged as apprpriate t prvide this assurance The Inspectr shuld cnsider whether r nt: The licensee is able t demnstrate that it has adequate arrangements and resurces t mnitr cntractr, and where apprpriate sub-cntractr, perfrmance t a degree that takes int accunt the hazards and risks assciated with the tasks and the capabilities and previus perfrmance f the cntractr; There is evidence frm the perfrmance f cntractr and subcntractr staff n site that the licensee s mnitring arrangements are effective; The licensee is able t demnstrate, where apprpriate, that the arrangements that the cntractr uses t ensure quality, such as quality targets and plans, are effective; NS-TAST-GD-049 Revisin 4 Page 17 f 19