Benchmarking of a Management System A Case Study from the Swedish Nuclear Industry Henrik Jonsson DISSERTATION Department of Energy and Environment Environmental Systems Analysis CHALMERS UNIVERSITY OF TECHNOLOGY Göteborg, Sweden 2008 Report no 2008:10 Dissertation for the degrees MSc in International Project Management Teknologie magisterexamen i International Project Management Benchmarking of a Management System A Case Study from the Swedish Nuclear Industry Henrik Jonsson International Project Management CHALMERS UNIVERSITY OF TECHNOLOGY NORTHUMBRIA UNIVERSITY Göteborg, Sweden 2008 Acknowledgement This dissertation is the final project of the International Project Management programme, which is a joint degree between Chalmers University, Sweden and Northumbria University, United Kingdom. The dissertation covers 30 Swedish university points and 60 university credits in the United Kingdom. A presentation of the result from the dissertation took place on the 7th of February at Ringhals AB in Sweden. The author would like to send his sincerest regards all the people that have helped him during his work with this dissertation. Especially his supervisors, Karin Andersson at Environmental System Analysis Chalmers and Sten Bergman at Ringhals AB, and also to Svanhvit Einarsdottir at Vattenfall’s office in Gothenburg. Last but not least the author would like to thank his wonderful girlfriend Linda for being there when the motivation was running low to give the much-needed support. Abstract This dissertation is a case study from the Swedish nuclear industry, an industry, which is very hard regulated. All proprietors of nuclear facilities in Sweden have to comply with the injunctions of SKI. In injunction SKIFS 2004:1 states SKI (Swedish Nuclear Power Inspectorate) that all nuclear facilities shall be managed and developed with the support of a quality assurance system, they recommend that IAEA’s norms and standards for quality assurance could be used as guidance. In 2006 IAEA released a new set of requirements called IAEA GS-R-3, which focuses on management systems. The Swedish nuclear power plant Ringhals AB wanted to analyse how their management system RVS stood against this standard, this came to be the purpose of this dissertation. Ringhals AB is Sweden’s largest power plant in the Nordic countries and has about 1300 employees. One of the keys within IAEA GS-R-3 is that it integrates all aspects of managing nuclear installations and activities including safety, health, environment, security, quality and economic requirements. It also has strong influences from other management systems standards such as ISO 9001 and ISO 14001. The author has searched through documents within RVS to locate and evaluate if the requirements from the standard are fulfilled. The result from the study was that a few gaps were identified where RVS did not fulfil the requirements in the standards. The requirements that were not fulfilled was further analysed and a suggestions on what RAB can do to fulfil the requirement was given. Apart from direct deviations were also general differences in the approach on management system between IAEA and RAB discussed. The conclusion summons that RVS is a well worked through management system that with some adjustments could fulfil of the requirements in IAEA GS-R-3. List of abbreviations AFS - Arbetsmiljöverkets Föreskrifter (Swedish Work Environment Authority Regulations) EFQM - European Foundation for Quality Management EMAS - Eco-Management and Audit Scheme IAEA - International Atomic Energy Agency IMS - Integrated Management System ISO - International Organization for Standardization KTL - Kärntekniklagen (Act on nuclear activities) OHSAS - Occupational Health and Safety Management Systems OSART - Operational Safety Review Team PDCA - Plan-Check-Do-Act RAB - Ringhals AB RVS - Ringhals Verksamhetssystem (Ringhals Management system) SKI - Statens Kärnkraftsinspektion (Swedish Nuclear Power Inspectorate) SSI - Statens strålskyddsinstitut (Swedish Radiation Protection Institute) TQM - Total Quality Management UN - United Nations 3 ACKNOWLEDGEMENT.............................................................................................................. 3 ABSTRACT............................................................................................................................... 4 LIST OF ABBREVIATIONS ......................................................................................................... 5 1 INTRODUCTION..................................................................................................................... 4 1.1 Background .................................................................................................................. 4 1.2 Problem ........................................................................................................................ 5 1.3 Purpose......................................................................................................................... 5 1.4 Delimitations ................................................................................................................ 5 1.5 Company description.................................................................................................... 5 2 THEORETICAL FRAME OF REFERENCE ................................................................................... 6 2.1 IAEA ............................................................................................................................. 6 2.2 IAEA Safety Standard................................................................................................... 7 2.3 SKI/SSI ......................................................................................................................... 8 2.4 Management Systems ................................................................................................... 8 2.5 Management Systems Standards ................................................................................ 10 2.6 PDCA-Cycle ............................................................................................................... 12 2.7 Correspondence between management system standards ......................................... 12 2.8 Integrated Management Systems................................................................................ 13 2.9 Ringhals Verksamhetssystem...................................................................................... 15 2.10 Organisational change............................................................................................. 17 3 METHOD............................................................................................................................. 18 3.1 Strategies of inquiry ................................................................................................... 18 3.2 Types of qualitative research ..................................................................................... 18 3.3 Data collection ........................................................................................................... 19 3.4 Data analysis.............................................................................................................. 20 4 ANALYSIS........................................................................................................................... 21 2. Management System..................................................................................................... 21 3. Management responsibility .......................................................................................... 24 4. Resource Management ................................................................................................. 27 5. Process implementation ............................................................................................... 29 6. Measurement, Assessment and improvement ............................................................... 35 5 DISCUSSION........................................................................................................................ 40 5.1 Identified deviations ................................................................................................... 40 5.2 Differences in overall approach................................................................................. 43 6 CONCLUSION ...................................................................................................................... 45 REFERENCES ......................................................................................................................... 46 Other references............................................................................................................... 48 APPENDIX 1........................................................................................................................... 49 APPENDIX 2........................................................................................................................... 58 4 1 Introduction This chapter provides the reader with some background to why this dissertation is conducted, what will be studied delimitation of the study and the sole purpose of the study. It also includes a description of the company Ringhals AB, which initiated and supported the study. 1.1 Background In the yearly report on Human Development released by UN (2007) it is stated that nuclear power accounts for 36.2 % of Sweden’s total energy supply. This number is the second highest among the high human development countries, only France has a higher percentage of nuclear power supply. The nuclear industry in Sweden has been highly debated and in a referendum in 1980 it was decided that all nuclear power plant would be shut down in the year of 2010. Although this decision came it as recent as the 11th of January 2008 a proposition from the leader of the Liberal party, Jan Björklund to further extend and build four new reactors in Sweden. (The Local, 2008) United Kingdom gave green light the 10th of January to the building of four new reactors to secure their energy supply, and in an article in the Guardian states the business secretary John Hutton that the first new wave of nuclear plant will be built “well before 2020”. (Guardian, 2008) Since the disaster of Chernobyl and the melt down in Harrisburg has the industry been in a decline. The regulatory environment tightened and the public got scared of the industry. Millions were spent on bailing out nuclear power companies, which had lost a lot of money. The whole industry became a byword for mendacity, secrecy and profligacy with taxpayer’s money. (The Economist, 2007) An article in The Economist (2007) states that the wind has changed for the nuclear industry as the insight of the climate change is growing. Nuclear powers offer large quantities of energy cleaner then coal, more secure than gas and more reliable than wind. Only during 2007 did the NRC (Nuclear Regulatory Commission) in USA receive 12 applications for building nuclear power plants. With a growing amount of power plants it is of the up-most importance that users and regulators in the industry can ensure a high level of safety in the use of nuclear materials and radiation sources. Internationally, IAEA is the organisation responsible for safety standards used to achieve this goal. The Swedish nuclear industry is regulated by Kärntekniklagen (Act on nuclear activities), which sets a requirement that states that all nuclear facilities shall be managed and developed with the support of a quality assurance system. (SKI, 2004). Within this injunction (SKI, 2004) it is stated that IAEA (International Atomic Energy Agency) norms and guidelines for quality assurance in nuclear facilities could be used as guidance when developing a quality assurance system for nuclear facilities. Ringhals AB (RAB) have developed its management system, Ringhals Verksamhetsstyrsystem (RVS) that integrates traditional management functions with quality management and environmental management. The integrated management system is developed out of a TQM perspective with the award Svensk kvalité and its European counterpart EFQM, quality- and environmental management according to ISO 9001 and ISO 14001, EMAS as well as AFS 2001:1 and OHSAS 18001 with in mind. 5 1.2 Problem In 2005 was a masters dissertation conducted which benchmarked RAB’s Management system, RVS with IAEA’s guidelines (Safety Guides 50-C/SG-Q). IAEA has since then performed a substantial update and developed a new set of guidelines and requirements wherefore a new benchmark is needed. 1.3 Purpose The purpose of this study is to benchmark RVS with the new Safety Standard from IAEA and its appurtenant Safety Requirements (GS-R-3), Safety Guide (GS-G-3.1) and the draft Safety Guide (DS349) to identify and evaluate contingent differences and propose corrective actions. The result will reflect the differences in overall approach on management systems and a concrete list of corrective actions as well as proposals of where in the management systems the corrective actions shall be made. 1.4 Delimitations This dissertation is limited to what is written in the management systems, it will never try to confirm that what is written really is conducted. Furthermore will it due to time and space constrains not go in to depth on each requirement that is covered. 1.5 Company description Ringhals is the largest Nordic power plant and it is also the only nuclear power plant in Sweden using both Pressure Water Reactor (PWR) and Boling Water Reactor (BWR). The first reactor (reactor 2) was in operation 1975 and last (reactor 4) was taken into operation in 1983. The plant is located 60 kilometres south of Gothenburg in the municipality of Varberg. The nuclear power plant has over 1300 employees and about 500 consultants and framework contractors working there per year. 2006 Ringhals had a turnover at SEK 4,7 billion and produced 27 billions Kilo Watt Hours of electricity, enough to cover the electric demand of Sweden’s second largest city six times. Totally it accounts for 18 % of Sweden’s electricity consumption. The ownership of Ringhals AB is divided into Vattenfall AB a government Company (70,4%) and EON Kärnkraft AB (29,6%). (Ringhals, 2006) Its mission statement rule; “Ringhals AB shall be the leading nuclear power plant of Europe”. Its business idea is to, produce the requested quantity of energy in a safe and environmental way. The production shall be both competitive and sustainable. (Ringhals, 2007) 6 2 Theoretical frame of reference This chapter will present the theory behind this dissertation; including a description of the organisation that published the standard, what is included in the safety standard, other standard requirement that affect nuclear power plant in Sweden and finally what an integrated management system is. This to provide reader with the theory and the knowledge to understand where IAEA safety standard is sprung from and the many requirements that a nuclear power plant has to consider in Sweden. 2.1 IAEA The UN founded IAEA in 1957 as an autonomous organisation with the effort to make a reality of US President Eisenhower’s speech “Atoms for Peace” held at the UN general assembly in 1953. IAEA consists of 130 member states and base its work on the need of these member states. (IAEA, 2007). Its statue is “The Agency shall seek to accelerate and enlarge the contribution of atomic energy to peace, health and prosperity throughout the world. It shall ensure, so far as it is able, that assistance provided by it or at its request or under its supervision or control is not used in such a way as to further any military purpose.” IAEA’s headquarter is situated in Vienna, Austria, in addition to that they have operational liaison and regional offices located in Geneva, Switzerland; New York, USA; Toronto, Canada; and Tokyo, Japan. The IAEA Secretariat consists of a team of 2200 multi-disciplinary professional and support staff in more than 90 countries. (IAEA, 2007) As of 1997 is the agency led by Director General Mohamed ElBaradei, who took over after Hans Blix, former foreign minister of Sweden. (IAEA, 1997) IAEA is guided by the needs and interests of the member states but also by their strategic plans and the vision or statue, which is quoted above. The work is conducted on three main pillars; Safety and Security; Science and Technology; and Safeguards and Verification. • Promoting Safeguards & Verification IAEA claims that they are the world’s nuclear inspectorate, and have worked with verification in more than four decades. It is the inspector’s work to see to that the safeguarded nuclear material and activities are not used for military purpose. It is also IAEA that is responsible for the nuclear file in Iraq. (IAEA, 2007) • Promoting Safety & Security IAEA helps countries to upgrade their nuclear safety and to prepare for and respond to emergencies. They do this mainly through international conventions, standards and guidance. Two sets of activities are prioritized, safety and security. In the safety area is the core element setting up and promoting the application of international safety standards for the management and regulation of activities involving nuclear and radioactive materials. In the security area is the focus on helping states prevent, detect and respond to terrorists or other malicious acts such as illegal handling of nuclear materials and to protect nuclear installations and transports against sabotage. (IAEA, 2007) • Promoting Science & Technology IAEA states that the work to mobilise peaceful application of nuclear science and technology for critical needs in developing countries. Furthermore it is written on their webpage that their work contributes to the fighting of poverty, sickness and pollution of the earth’s environment and other of the UN’s Millennium Development goals for a safer and better future. (IAEA, 2007) 7 2.2 IAEA Safety Standard As safety is a national responsibility are the international standards and approaches from IAEA a tool to promote consistency in the safety work. They are also a way providing help in assuring that nuclear and radiation related technologies are used safely, and facilitate international technical cooperation, commerce and trade. (IAEA, 2007) The IAEA safety standards reflect according to IAEA the international consensus on what constitutes a high level of safety for protecting people and the environment. The IAEA safety standard is divided into three categories, which are: Safety fundamentals In this document are the objectives, concepts and principles for protection and safety presented they also provide a basis for the safety requirements. Safety requirements The safety requirements establish according to IAEA (2007) the requirements that must be met to ensure the protection of the people and environment. All requirements are expressed as shall statements and derive from the objectives, concepts and principles of the Safety fundamentals. IAEA states that if they are not met must measures be taken to reach and restore the required level of safety. Safety guides The safety guides consists of recommendations on how to comply with the Safety requirements. All recommendations are expressed as should statements but IAEA still recommends nuclear facilities to take measures or equivalent alternative measures. The safety guides are presented as good practice and should reflect best practises to in order to help the users in the strive to achieve a high level of safety. (IAEA, 2007) This standard supersedes the document Safety Series No. 50-Sg-Q1-Q7 published in 1996. (IAEA, 2007) Safety Series No. 50-Sg-Q1-Q7, which consisted of basic requirements that nuclear power plants could adopt for establishing and implement a quality assurance programme. (IAEA, 1996) One of the authors of the safety standard published an article in the Indonesian magazine Atom Indonesia (Dahlgren, 2007). There she states that the code on Quality Assurance in Safety Series No. 50-Sg-Q1-Q7 as well as developments in within the International Organisation for Standardization ISO 9001:2000 and ISO 14001:1996 were considered when the integrated management system requirements was developed. The experiences of Member states within IAEA from developing, implementing and improving management systems were also considered. According to Kerstin Dahlgren (2007) is the aim of the safety standard to provide requirements and guidance when implementing an effective management system, which: • Integrates all aspects of managing nuclear installations and activities including safety, health, environmental, security, quality and economic in a coherent manner. • Promotes continual improvement • Describes the planned and systematic actions necessary to provide adequate confidence that all these requirements can be satisfied, and • That it supports the enhancement and improvement of organisational and safety culture. 8 In a report published by the an independent group of specialists with the support of the Swedish nuclear power industry called Analysis Group (Analysgruppen, 2007) found the author signs that pointed that the recent published safety standards by IAEA would become supporting tools in the evaluation process of nuclear power plants. 2.3 SKI/SSI SKI Kärntekniklagen primarily regulates the nuclear activities in Sweden. (the act on Nuclear activities). This act is also the basis for the work of Statens Kärnkraftinspektion, SKI, (Swedish Nuclear Power Inspectorate). The act declares that the holder of a license for nuclear activities has full responsibility for the safe operation of the facility. The mission of SKI is to ensure that the proprietor of nuclear facilities follows the act. SKI supervises all nuclear activities in Sweden such as, nuclear fabrication, and nuclear power plant operation, operation of other technical facilities transport and waste management. They do this on the behalf of Swedish government, parliament and the Swedish people and report the results to the Swedish Ministry of Environment. Their main areas of work are: • Activity-based supervisory work, which focuses on the licensee’s ability to conduct and develop safety and safeguards and maintain high quality in all parts of the activities. • Inspections are important tools in SKI’s supervisory activities. SKI’s inspectors visit the facilities regularly and check the facilities’ compliance with regulations, licence conditions and safety requirements. • SKI reviews all major technical and organisational modifications and changes, which are introduced within nuclear facilities. (SKI, 2007) SSI SSI is an abbreviation of Statens strålskyddsinstitut, which is the Swedish Radiation Protection Authority. They are a central probation authority working for radiation protection of humans and the environment, both in present time and in the future. SSI sets requirements on the doses of radiation for those working with radiation can be exposed to. They also issue regulations and see to that they are fulfilled. SSI has round the clock staff standby to respond to radiation accidents. Other roles include information, training advisory, recommendations and support and evaluation of research on radiation. (SSI, 2007) Merger of SKI and SSI The 7th of May the Swedish Ministry for Environment published a memorandum proposing a merger between SKI and SSI to a new authority. The purpose is that the new authority will gain significantly with coordination. According to the ministry do both of the authorities share a common ground and a merger would lead to firmer supervision of both nuclear technical and non-nuclear technical activity. The merger shall be conducted before the 1st of April 2008. (Miljödepartementet, 2007) 2.4 Management Systems The author has had problems locating an official definition of the term management system; this was also lifted as an issue during a conversation between the author and Peter Hartzell (2007) at the Swedish Institute of Standards. The author turned to Oxford English dictionary for guidance. A search for management system gave no hits, although the word management was referred to as: organisation, supervision, or direction. 9 Combined with the reference for system, which reads, a set or assemblage of things connected, associated, or interdependent, so as to form a complex unity. This presents a decent explanation of what the term mean, supervision or direction of how to connect associated or interdependent things to form a unity. This is perhaps not to far from away ISO’s own explanation of the term management system, as they say that management system refers to what the organisation does to manage its processes, or activities, so that its products or services meet the objectives it has set itself, such as. (ISO, 2007) • Satisfying the customer’s quality requirements, • Complying with regulations, or • Meeting environmental objectives. Furthermore provides ISO 9001:2000 another explanation of management system, it calls it a system for establishing policy and objectives and a way to achieve these objectives. (ISO, 2000) RAB use EFQM definition of management system to describe, RVS, which is that a management system is a framework of processes and procedures used to ensure that the organisation can fulfil all tasks required to achieve its objectives. (EFQM, 2007) Evolution of management systems Kerstin Dahlgren (2007) presents a model for the over the last century regarding the approaches applied by organisations in order to achieve better performance. This model is not as detailed and complex as the reality but it gives directions of how management systems have evolved. Quality Control: Sorting non-conforming products from conforming products. Quality Assurance: Measures taken to systematically prevent non-conformances from occurring. Quality management: Introduced the consideration of everyone involved within the process and the concept of internal customer and supplier. Integrated management system: Organisation gives attention to issues such as safety, health, quality, environment, finance security, human resources, cultural aspects etc. in a coherent and integrated manner. Figure 1 (Dahlgren, 2007) 10 This model also concludes that integrated management system is not the final solution for managing organisations. (Dahlgren, 2007) 2.5 Management Systems Standards Here follows descriptions of management system standards and audit schemes that are included in RAB’s management system, RVS. It also includes descriptions of system standards that have influenced IAEA Safety Standard. ISO 9001:2000 The International Standard Organisation (2000) states that the adoption of a quality management system should be a strategic decision of an organisation. Meaning that it should not try to implement a system just for the sake of it. The design and implementation is supposed to be influenced by the varying needs, particular objectives, the products provided, the processes within the organisation and the size and structure of the organisation. ISO 9001 promotes the use of process approach when developing, implementing and improving the efficiency of the quality management system. A process is according to ISO (2000) an activity that uses resources, and managed in order to transform input to output. By identifying and management by all the linking process will the organisation function more effective and have a better ongoing control of its processes. The use of processes together with identification is called “process approach”. (SIS, 2002) ISO 9001 was first released in 1987 than revised in 1994 both these issues had the focus on enabling organisations to produce the same quality of products every time by specifying procedures, the policy and instructions in a quality handbook. The 2000 revision moved the focus towards customer satisfaction and continuous improvement. (Jörgensen et al., 2006) ISO 14001:2004 Jörgensen et al, (2006) writes that an environmental system is: “part of an organisations management system used to develop and implement its environmental policy and to manage its environmental aspects”. ISO 14001 was first released in 1996 and later revised in 2004. ISO (2004) states in the introduction of their standard that more and more organisation are increasingly concerned with its impact on the environment and in demonstrating a sound environmental performance. They continue by writing that many organisations are conducting environmental reviews and audit to assess their environmental performance but for these to be effective they need to be conducted within a structured management system that is integrated within the organisation. ISO 14001:2004 includes requirements for an environmental management system, which drives the organisation to develop and implement a policy and objectives that account legal requirements and information about significant environmental aspects. According to ISO depends the success of the environmental management system on the commitment from all levels and functions of the organisation, but in particular the senior management. ISO also declares that the overall goal with the standard is to support environmental protection and prevention of pollution in balance with socio-economic needs. (SIS, 2004) EMAS The EU Eco-Management and Audit Scheme (EMAS) is a management tool complied both for companies and for other organisations that are willing to evaluate, report and improve their 11 environmental performance. The European Commission (2007) declares that organisations can progress from ISO 14001 to EMAS without duplicating the work. Ans Kolk (2004) writes that EMAS takes the environmental management one step further with its requirement on an independent verified public environmental statement. On top of this come also requirements on: • Government approval for legal compliance, meaning that an EMAS-registered organisation has to demonstrate full compliance to environmental legislation; • Continual improvement of environmental performance; • Employee’s participation and openness to the public, i.e. an EMAS registered organisation has to demonstrate an open dialogue with employees and interested parties, such as stakeholders, local authorities and suppliers. (European Commission, 2007) OHSAS 18001 OHSAS 18001 was formulated on the basis of the British standard BS 8800 and published in 1999. It is used for certification of occupational health and safety management system. (Jörgensen et al., 2006). It is focused on hazards identification and risk assessment, which separate it from other international safety standards. In recent time have organisations of all types more actively addressed the question of health and safety in the workplace, partly because of legal requirements but also in response to the fear of lawsuits and the pressure from raising insurance premiums. (Whitelaw, 2004) Bad publicity from unsafe practise and the realisation that accidents do have a negative impact on the organisations financial situation, in form of through stoppage, investigations and loss of productivity, all these issues have become drivers for the work with safety. (Whitelaw, 2004) WhiteLaw (2004) concludes that true assurance on safety can only be achieved with a proactive management system that manages safety rather than reacting when an event occurs. OHSAS was according to (Jörgensen et al., 2006) developed to be compatible with ISO 9001:1994 and ISO 140001:1996, to facilitate integration of the management systems, if organisations wish to do so. AFS 2001:1 The Swedish Work Environment Authority set a regulation regarding systematically occupational environment work. Systematically occupational environment work is defined by the Swedish Work Environment Authority as the employer’s work to investigate, implement and evaluate the organisation in way, which prevents non-health and occurrence of workplace accidents and to achieve a satisfying occupational environment. (Arbetsmiljöverket, 2001) The regulation covers all employers, it also includes is those who hire staff. The systematically work with occupational health shall be a part of the daily work. The employer shall give all individuals in the organisation the authority to affect occupational environment. The organisation must have a policy for the occupational health that describes the working conditions and what is done to prevent un-healthiness and work related accidents. The tasks of occupational health shall be spread within the organisation and the employer shall see to that the needed competence and knowledge is available. A regular evaluation of the working conditions and the risk of un-healthiness and work related accidents shall be performed. It is also stated that in the case of a work related accident shall the employer evaluate the reason for occurrence and what can be done to prevent it reoccurring. (Arbetsmiljöverket, 2001) 12 2.6 PDCA-Cycle ISO write on their web page that both ISO 9001 and ISO 14001 use the Plan – Do – Check – Act (PDCA) as an operating principle. (ISO, 2007) This model is also sometimes called the Deming cycle from W Edward Deming who made PDCA-cycle popular during the 50’s. The foundation of the PDCA-cycle is the idea of analysing and measuring processes in order to identify deviations from customer requirements. (Karlöf, 2007) The model can be used in various situations such as, a model for continuous improvement, when starting a new improvement project when developing a new or improved design of a process, product or service. (Tague, 2004) Figure 2. PDCA-cycle ISO (Bengt Karlöf, 2007) As seen in the figure above consists the model of four steps, which should be repeated again and again for continuous improvement. Those four steps can be describes as; Plan - Establish objectives for the change and decide how the change should be implemented. Do - Implement the change that was decided upon in the previous step. Check - Measure the results to see how far the actual achievement met the planned objectives. Act – Correct and improve the plans and the method for implementation of the objectives. Continue to the plan phase once again. (Karlöf, 2007) 2.7 Correspondence between management system standards The table below is supposed to visualise an example of the similarities between the different management system standards. It is these similarities and compatibilities that have made it possible for organisation to integrate its management systems. Furthermore is this also an example of how IAEA has been influenced and how they incorporated other management standards when they developed their standard GS-R-3. IAEA GS-R-3 ISO 9001 ISO 140001 OHSAS 18001 6.7. Management Review A management system review shall be conducted at planned 5.6.1 Management Review Top management shall review the organisation's quality 4.6 Management Review Top management shall review the organisation's 4.6 Management Review The organisations top management shall, at intervals that it 13 intervals to ensure the continuing suitability and effectiveness of the management system and its ability to enable the objectives set for the organisation to be accomplished. management system, at planned intervals, to ensure its continuing suitability, adequacy and effectiveness. This review shall include assessing opportunities for improvement and the need for changes to the Quality management system, including the quality policy and quality objectives. Records from management reviews shall be maintained (ISO 9001, 2000) environmental management system, at planned intervals, to ensure its continuing suitability, adequacy and effectiveness. Reviews shall include assessing opportunities for improvement and the need for changes to the environmental management system, including the environmental policy and environmental objectives and targets. Records of the management reviews shall be retained. (ISO 140001, 2000) determines, review the OH&S management system to ensure its continuing suitability, adequacy and effectiveness. The review shall ensure that the necessary information is collected to allow management to carry out this evaluation. This review shall be documented. The management review shall address the possible to need to adjust policy, objectives, and other elements of the OH&S MS in light of audit results, changing circumstances, and the commitment to continual improvement. (OHSAS 18001:1999) Table 1. Correspondence between management system standards 2.8 Integrated Management Systems Beckmerhagen and Berg (2002) define the integration of management systems as a process of putting together different function-specific management systems into a single and more effective integrated management system (IMS). They also write that different degrees of integration can be distinguished starting with partial coordination of documentation, which is the least stringent degree of integration. Taking it one more step further means to broadening the scope and enhancement of the combined systems using integrated audits and resource deployment. According to them is full integration achieved when the management systems are amalgamated into a new and comprehensive integrated management system. There is a difference between integrating the standards (ISO 9001, ISO 14001, OHSAS 18000 etc.) and integrating a management system. While the integration of management system standards is under the support of standardization bodies such as ISO, it is up to the each company to align their own management systems. Although ISO have been making efforts to harmonize the structure of the existing and emerging management systems standard, is a fully integrated management system standard not to be expected. (Jonker, 2004) The harmonisation of the management system standards have increased with every revision and new editions of the different standards evidence of this is that. 14 • ISO 9001:2000 has a process focusing on continuous improvements, which is one of the fundamentals if the environmental as well as the health and safety management system standards. • ISO 14001:2004 have been developed to improve the compatibility with ISO 9001:2000 and the connection to EMAS is clarified. (Jörgensen et al., 2006) Beckmerhagen and Berg (2002) states that is due to increasing numbers of management systems standards and their revisions together with the cost that comes with them that need for integration origin from. At the same time it has become vital for organisations to continuously improve their overall quality, environmental, safety and even public accountability performance. By developing and implementing integrated management systems can organisations theoretically “kill both these birds with one stone”. Beckmerhagen and Berg (2002) also present two lists of what they see have advantages and concerns with integration of management systems. Advantages: Concerns: • Simplification of standards and requirements for management systems • Perception that existing management systems are sufficient and should remain separate • Reduction of auditing and registration costs. • Doubts about added value • One-stop approach for auditing through simultaneous, joint, round robin or integrated audits • External and internal audits may still be performed separately, even though the systems are integrated into a single entity • Executive management buy in • Scepticism of middle management, partly due to inadequate information • Organisations can choose which modules (i.e. quality, environment, safety, social accountability) they prefer to implement • Insufficient communication with and involvement if supervisors and workers • Provision of a simple transition from existing management systems and standards, rather than a radically new approach. • Past bad experience with failed quality programs, management by objectives, or other management models • Cost reduction in the areas of standards interpretation and implementation • Lack of pressure from customers or competitors to implement and integrated management system. • Harmonisation of management system documentation • Reduction of paperwork • Synergy effects occur when different systems are integrated • Duplication of efforts and redundancies are eliminated • Improved system effectiveness. Table 2. Advantages and concerns regarding IMS (Beckmerhagen Bergl., 2002) 15 2.9 Ringhals Verksamhetssystem Ringhals AB is according to the Kärntekniklagen, KTL (Act on nuclear activities) proprietor of a nuclear facility and has the permission to operate nuclear activities. With the permission comes an obligation to establish and implement a system for quality assurance programme that includes a system for handling non-conformances. To meet this requirement Ringhals has implemented their management System, Ringhals Verksamhetssystem (RVS). The following section will give a deeper description of how it is constructed and what is included within it. According to the description of the management system has the President established the management system to be able to manage the company in a structured and systematically way. The President has complied the company policy, which points out in what direction the company is headed. The policy is connected with a number of strategies, which demonstrates how the company is to act in certain areas to reach the set goals. The figure above is way of visualising how different departments are connected with certain parts of the management system. It also shows how Ringhals has to amend with both requirements that are limiting and requirements on profitability. The management system is written in Swedish to ensure that as many as possible can understand and use the management system, since the majority of the employees have Swedish as their mother tongue. The translations used in this section are made by the author and are in no way officially used by RAB. The point of the translation is to make the text more understandable for English readers. First will the Swedish word be written in the headline followed by the English word in brackets, in the text will the English translation be used. Figure 3. Ringhals Verksamhetssystem 16 Ringhals Övergripande Styrsystem (Ringhals overall management system) Ringhals overall management system includes all the documents that describes the organisation and its responsibility, overall goals and plans of the organisation. Furthermore identifies it and interpret the requirements that RAB needs to adjust to. The following documents are included in Ringhals overall management system. - VD styrdokument (President’s governing document) - Fackområdesdirektiv and VD-direktiv (Special field area directive and President directive) - Strategisk inriktning and Balanserat Styrkort (Strategic direction and balanced scorecard) - Målbrev and Affärsplan (Target letter and Business Plan) VD Styrdokument (President’s governing document) The President’s governing document describes the management of the company and how it is governed, evaluated and developed, and how the organisation is assembled. The documents are first and foremost intended for departmental managers but nevertheless also for co-workers in general. The documents also consist of guidelines and requirements of how the organisation should be controlled and designed. Fackområdes och VD-direktiv (Special field area directive and President directive) The responsible for each special field area, sees to that all requirements that sets limitations on the organisation are identified, kept under surveillance and filed as a special field area requirement. The requirements are than interpreted to suit the President directives. In relation to interpretation of the requirements suggests the responsible for the special field area the proper level of ambition. The requirements are documented in the right President directive and to control that the company is heading towards the decided goals are frequent measurements of requirement fulfilment conducted. Strategisk inriktning och balanserat styrkort (Strategic direction and balanced scorecard) The strategic planning derives from the requirements of the owners and the society and is connected to the company policy and included the strategies. The company controller (RC) works in co-operation with the President to follow what is happening around the world and is continuously developing the strategic direction for RAB. Under given intervals are the strategies evaluated and strengths, weaknesses and opportunities and threats are analyzed in what is called SWOT-analysis. Based on the result from the different SWOT-analysis are the balanced scorecards designed. They are used to formulate, measure and develop the business goals, to manage the company in the decided direction. Målbrev och Affärsplan (Target letter and Business Plan) The president distributes the profitability requirements to staff and department managers through so called target letters. In the target letters are frames and guidelines given, furthermore are also the general goals included. These are valid for approximately a year, and are then updated. The alignment communicated in the strategy is the foundation of RAB’s Business plan. In the business plan are goals and plans for implementing given under a specific period of time. It is developed by the economic department and approved and acknowledged by the board of RAB. The business plan is reviewed on a yearly basis. Stabs och avdelningshandböcker (Staff and department manuals) Every department manager governs its own department according to its department manual, which is the top document in every department. Within this documented it is presented how each 17 division is to be managed, governed, planned, implemented, reported and how the results should be evaluated and improved. Verksamhetshandböcker (Organisation manuals) The organisation manuals are drawn up for each overall process given in President’s governing document. All the interpret requirements are transmuted in the organisation manuals to a set of regulations on how the process shall be managed. These documents are valid for all individuals within the organisation. Appointed individuals are responsible for keeping the contents up-to- date see to that they cover everything important and also that the material is revised when needed. 2.10 Organisational change The management system RVS is a living system according to Sten Bergman (2007), who is responsible for the updating and management of RVS. It is continually improved and changed in order to facilitate the daily business. This is one of the foundations in ISO-family. The continuously improvement of the management system meant that it has changed during the time for this dissertation. In order to illustrate this follows an example of an organisational change, which took place during the time for the dissertation. As of the 15th of November 2007 were the position result manager removed and its tasks implemented into President position. Furthermore has the management conventions been phased out. Its function was to formulate the organisations overall goal, this is now conducted on strategic management meetings. On top of this is also the responsibility to update and manage RVS moved from the department of organisational support to the quality department. This section is supposed to exemplify that the management system is a dynamic and not a static system. 18 3 Method Here are the methods and strategies the author used when developing this dissertation presented. 3.1 Strategies of inquiry According to Creswell (2003) it is the strategies of inquiry that gives the specific direction for the procedures in a research design. The strategies of inquiry contribute to the overall research approach. The most frequently used approaches in social research are according to Creswell (2003), quantitative, qualitative or mixed methods approach. • Having a quantitative approach means that the researcher primarily uses post-positivist claims for developing the knowledge. This by using such strategies as experiments and surveys that yields statistical data. (Creswell. 2003) • Whereas in a qualitative approach the researcher often makes knowledge claims based on constructive angles with the intent o develop a theory or pattern. The most commonly used strategies are narratives, phenomenologies, ethnographies, grounded theory and case studies. Furthermore states Merriam (1998) that a characteristic of a qualitative approach is that the researcher is the primary instrument for data collection and analysis. The data is analysed through this “human instrument” rather than a questionnaire or a computer. • The mixed methods approach combines the two earlier mentioned and tends to base knowledge claims on pragmatic grounds. It uses strategies of inquiry that involve data collection either as they occur or in a sequential order. The data collection consists of both data collected numerical as well as text information from interviews, making it an approach that mix the quantitative and qualitative approach. As this study is an attempt to benchmark the management system RVS against a management system standard released by IAEA it is clearly a qualitative study. Even though many requirements are covered, are all of them processed by the author in order to draw conclusions. This also suits one of characteristic that Creswell presents (2003), which is that qualitative research fundamentally, is interpretive. This means that the researcher makes an interpretation of the data. 3.2 Types of qualitative research Merriam (1998) describes qualitative research as an umbrella term with numerous variations. Below is a table presented that should provide the reader with some background to the most commonly used types of qualitative research. It also serves as motive to why the author chose a certain type of research. Type Characteristics Basic or Generic • Includes description, interpretation and understanding • Identifies recurrent patterns in the form of themes or categories • May delineate a process Ethnography • Focus on society and culture • Uncovers and describes beliefs, vales, and attitudes that structures behaviour of a group 19 Phenomenology • Is concerned with essence or basic structure of a phenomenon • Uses data that are the participant’s and the investigator’s firsthand experience of the phenomenon Grounded Theory • Is designed to inductively build a substantive theory regarding some aspect of practice • Is “grounded” in the real world Case Study • Is intensive, holistic description and analysis of a single unit or bounded system • Can be combined with any of above types The most suited type of qualitative research was a case study, where the case is RVS and the study is the benchmark between the IAEA standard and RVS. It is a bounded system where the author can really fence in what it is he is going to study. Furthermore gives Merriam (2003) a technique for assessing the bound ness of the topic, which is to ask your self how finite the study is, whether the study has a limited amount of time for observations or if there is a limit to the amount of observations that could be conducted. In the case of this thesis, it is clear that both the time constrains and the limited numbers of requirements within the IAEA standard makes this thesis suitable for a case study. An advantage of case studies are that unlikely experimental and, surveys or historical research they does not claim any particular method for data collection or data analysis. The case study is also anchored in real-life situation, which makes the case study a rich and holistic account of a phenomenon. A problem with case studies is that although rich, thick description and analysis of the phenomenon is wanted, may the time and money not be sufficient, in other words it is time consuming. Even if enough time is available it is possible that the case becomes too lengthy and too detailed making it hard to read. (Merriam, 1998) 3.3 Data collection Creswell (2003) writes that one of the main ideas of qualitative research is to select participants or documents that will help the researcher understand the problem and the research question in the best way. He continues by stating that the collection procedures in qualitative research consist of four basic types, observations, interviews, documents and audio and visual material. The collection procedures used in this thesis have primarily been collecting documents and conducting interviews. Documents An advantage that documents have over interviews and observers is that they never intrude upon or alter the setting as the presence of an investigator often does. Furthermore it is safe to say that they do not depend on the cooperation of human being with a sudden whim, which can be essential for good data collection. (Merriam, 1998) Creswell (2003) mentions advantages such as availability and time saving as two factors for using documents. The documents that mostly have been studied during this dissertation are those included in RAB’s management system, RVS, they have been collected through their intranet web page Insidan (2007). As this information is not public the author needed authorisation to be able to retrieve it. Another problem with collecting the documents was that because the strict security at Table 3. Common Types of Qualitative Research (Merriam, 1998) 20 nuclear power plants could the information only be retrieved within the RAB’s computer system. Other documents that the author found vital are reports and articles that were used in order to gain knowledge on the subject. This information was gathered from scientific databases such as, Science Direct and Elsevier through the Chalmers library web page. Yin (1995) expresses the importance of being able to understand that documents are written for another purpose and audience than those of the case study. As this dissertation has the purpose of benchmarking an existing management system with a management system standard was this an issue that the author had to address many times. Interviews Merriam states (1998) that the most common type of interview is the person-to-person encounter where one person elicits from another. She continues by presenting a table of three different types of interviews, highly structured, semi structured and unstructured interviews. Highly structured interviews are those that have a predetermined order of questions, in semi structured interviews are the interviews a mix of more and less structured question, finally unstructured interviews where the interview consists of open-ended questions, which turns the interview into more of a conversation (Merriam, 1998). Interviews were used in this dissertation whenever the author ran into problem in understanding or locating the relevant information within the management system, RVS. Most of these interviews were conducted over telephone due to the distance to the nuclear power plant, although some took place at the sight in a face-to-face situation. These interviews were unstructured and a good tool for the author in the search for text in RVS matching the requirements in the IAEA safety standard. 3.4 Data analysis A strategy that suits the author is presented by Yin (1995), which is to rely on the theoretical proposition. Yin prefers this strategy as it follows the theoretical proposition that led to the case study. Which means that the data collection plan is based on the purpose of the dissertation, in this case to identify and evaluate contingent differences between RVS and the IAEA safety standard. When conducting a qualitative research with a case study shall the data be analysed simultaneously as it is collected. This because it is easy to forget why certain data was important for the result of the study. On-going data analysis makes the data both more parsimonious and illuminating. (Merriam, 1998) As the author collected the data needed to compare the management system, RVS, with the standard it was recorded where the data was found. This produced a table with references to where the data could be found, see appendix 1. The table could be seen as a beginning to an analysis, as the author choose not to make the whole analysis from start to end, which would have been very time consuming and could have led to loss of enthusiasm. Instead did the table make the analysis easier and also gave the author a second chance to think through what the requirements of IAEA safety standard really meant. 21 4 Analysis Below are 77 requirements presented, after each requirement follows a short statement of where in the RVS verified that the requirement is fulfilled. If the author believes that the requirement is not fulfilled is this noticed. The requirements from the IAEA standard are written in bold, the author’s viewpoints are presented in regular fonts. In appendix 1 is presented a map, which tells where in RVS the answer to the requirements is located. Appendix 2 gives an overview of how many deviations RVS has in each chapter of the Safety Standard as well as the total amount of identified deviations. 2. Management System General requirements 2.1. A management system shall be established, implemented, assessed and continually improved. It shall be aligned with the goals of the organization and shall contribute to their achievement. The main aim of the management system shall be to achieve and enhance safety by: —Bringing together in a coherent manner all the requirements for managing the organization; —Describing the planned and systematic actions necessary to provide adequate confidence that all these requirements are satisfied; —Ensuring that health, environmental, security, quality and economic requirements are not considered separately from safety requirements, to help preclude their possible negative impact on safety. It is written in the introduction of the document Beskrivning av RAB verksamhetsstyrsystem, that Ringhals as proprietor of a nuclear facility is obligated (KTL) to establish and implement system for quality management. RAB have chosen to establish a management system that integrates quality, environmental, health, safety, and economy and risk management. Furthermore states section 1.6 of the document Ringhals Ledningshandbok that the president is responsible with the support the RC and RVQ to keep the systems up to date and regularly improved. It is also written that RVS’s task is to identify and interpret both the limiting requirements and the requirements on profit and from them are policies and strategies created. They are then formulated into directives and goals for the organisation. RAB writes in section 1.5 of Ledningshandboken that safety and environmental issues are integrated in RVS, although it is hard to find any certain proves of the all requirements not considered separately from the safety requirements. 2.2. Safety shall be paramount within the management system, overriding all other requirements. The document Ringhals Verksamhetspolicy states that first priority shall be to protect the surroundings, staff and the facility from damages. Under the headline Ansvarstagande, it is written that safety and environment should be prioritized in all activities. In the business idea is the word safety mentioned to describe the product, electricity. Both requirement 2.1 and 2.2 write about prioritizing safety, it could be an issue that Ringhals Ringhals place environment and safety on equal level in the policy. 2.3. The management system shall identify and integrate with the requirements contained within this publication: —The statutory and regulatory requirements of the Member State; —Any requirements formally agreed with interested parties (also known as ‘stakeholders’); 22 —All other relevant IAEA Safety Requirements publications, such as those on emergency preparedness and response and safety assessment; —Requirements from other relevant codes and standards adopted for use by the organization. Within the management system there is a document called Sammanställning av identifierade krav för RAB that complies and keeps all the requirements the organisation is faced with under surveillance. The requirements derive from: - Authorities - Laws and regulations passed by the Riksdag and the government, constitutions issued by authorities and group and owner requirements issued by Vattenfall AB - Norms and standards - Permissions, non commercial agreements and decisions It is not mentioned in the management system how they will meet other requirements from IAEA publications, such as emergency preparedness and response and safety assessment. 2.4. The organization shall be able to demonstrate the effective fulfilment of its management system requirements. In the section 5 Utvärdera verksamhetens resultat in the document Ledningshandboken it is stated that the organisation is reviewed every spring to see that it is working accordance to its requirements. It is also stated that the body is gathered from individuals as well as manager at all levels then processed by the department RQ and presented for FL. Safety Culture 2.5. The management system shall be used to promote and support a strong safety culture by: —Ensuring a common understanding of the key aspects of safety culture within the organization; —Providing the means by which the organization supports individuals and teams in carrying out their tasks safely and successfully, taking into account the interaction between individuals, technology and the organization; —Reinforcing a learning and questioning attitude at all levels of the organization; —Providing the means by which the organization continually seeks to develop and improve its safety culture. The document Verksamhetspolicy includes an appendix, which describes how RAB shall work with safety. It covers a couple of the issue in the requirement such as, that RAB employees should have a questioning attitude and gives the needed guidelines to ensure a common understanding of the safety culture. In addition to the policy provides the document Övergripande mål och förhållningssätt för Reaktorsäkerhet an insight in RAB’s safety culture. From the ambition given in this document it is clear that all departments and individual that have any effect on the reactor safety shall be able to affect and develop the safety culture. It also states that even though in hard competition RAB should always work with continuous improvement of its safety. Furthermore it is also stated in the appendix time and resources should not be prioritised over quality of work. Grading the application of the management system requirements 2.6. The application of management system requirements shall be graded so as to deploy appropriate resources, on the basis of the consideration of: —The significance and complexity of each product or activity; 23 —The hazards and the magnitude of the potential impact (risks) associated with the safety, health, environmental, security, quality and economic elements of each product or activity; —The possible consequences if a product fails or an activity is carried out incorrectly. The regulation SKIFS 2004:1 4§ declares that all structures, systems, components and devices shall be designed, manufactured, installed, controlled and tested in accordance with requirements, which are adapted to their function and importance for facility safety. In its recommendations it is stated that a classifications system should be applied to ensure that the components are in adapted for their importance to safety. Verksamhetshandboken Drift och Underhåll section 4.3 PAKT-dokument, klassningsregler declares that in order to gather all the requirements put on products used in nuclear power plants the Swedish nuclear companies have complied the PAKT documents as a collective interpret. It sets requirements on the supplier, which must be met in order to deliver the product. Although can the author not find any information linking between classification of safety, environment, function etc. and application of management requirements. Meaning that although grading systems for the products exists, it lacks the feature of telling how much requirements should be applied to a certain grade. 2.7. Grading of the application of management system requirements shall be applied to the products and activities of each process. Subject covered in requirement 2.6. Documentation of the management system 2.8. The documentation of the management system shall include the following: —The policy statements of the organization; —A description of the management system; —A description of the structure of the organization; —A description of the functional responsibilities, accountabilities, levels of authority and interactions of those managing, performing and assessing work; —A description of the processes and supporting information that explain how work is to be prepared, reviewed, carried out, recorded, assessed and improved. This requirement is fulfilled on the basis that the management system includes a policy statement, a description of the management system, a organisational description with levels of authority and a description of the processes. The supporting information for all processes is described in each Verksamhetshandbok. 2.9. The documentation of the management system shall be developed to be understandable to those who use it. Documents shall be readable, readily identifiable and available at the point of use. Even if this requirement can be seen as an appraisal of what make something understandable or not, it is clearly stated in Ledningshandboken 1.6 Ringhals Verksamhetsstyrsystem that the documents in the management system have to be written in Swedish. If foreign consultancies are regarded could this be seen as a problem. Even though it makes it more understandable for those with Swedish as mother tongue. Every single document is identified with a number or DARWIN-code, which makes it easy to locate either using the web page Insidan or the computer application DARWIN. A document called Definitioner av begrepp som används i Ringhals 24 verksamhetsstyrssystem RVS provides definitions of terms that are commonly used in the management system to help the reader understand the content. 2.10. The documentation of the management system shall reflect: —The characteristics of the organization and its activities; —The complexities of processes and their interactions. The document Beskrivning av Ringhals verksamhetsstyrsystem declares that Ringhals Övergripande Styrsystem (Ringhals overall management system) consists of documents that describes the organisation and its responsibilities, goals and plans and identifies and interpret the requirements for the organisation. The documents included in RÖS are not as detailed and instructive as the Stabs and avdelningshandböcker and verksamhetsböcker, which are documents further down in the hierarchy. 3. Management responsibility Management commitment 3.1. Management at all levels shall demonstrate its commitment to the establishment, implementation, assessment and continual improvement of the management system and shall allocate adequate resources to carry out these activities. According to the Ledningshandboken 1.6 Ansvar is the president responsible that the systems are maintained and updated. He does this with the support of RC and RVQ. To manage RVS have RC and RVQ created the RVS-kommittén. It is described in RVS förvaltning och utveckling that the committee is responsible for designing and takes decisions on the systems management and its development. RVQ have created a management and developing organisation to make sure that the adequate resources are available and to get support for the development of the system. This chain of managers fulfils this requirement. 3.2. Senior management shall develop individual values, institutional values and behavioural expectations for the organization to support the implementation of the management system and shall act as role models in the promulgation of these values and expectations. RVS is an implemented management system that the organisation utilizes, Ringhals Ledningshandbok states in chapther 2.9 ethics values that the employer should follow. The senior management also has developed an organisational policy that is supposed to pervade the whole organisation. The key elements of the organisational policy are; - Openness - Accountability - Effectiveness It also provides the organisation with guidelines on how it is supposed to work with safety and environmental issues. 3.3. Management at all levels shall communicate to individuals the need to adopt these individual values, institutional values and behavioural expectations as well as to comply with the requirements of the management system. Under the section 2.2 Medarbetarnas kompetens, medvetenhet och utbildning it is written that policy understanding and the organisations goals for safety, environment, competence and value 25 creating shall be include in the training of the employees. Although it is also stated that it shall also be clear what the consequences are if the requirements are not fulfilled. 3.4. Management at all levels shall foster the involvement of all individuals in the implementation and continual improvement of the management system. Section 2.1 Medarbetarnas engagemang of Ledningshandboken states that the management shall with the support and involvement of the staff improve the effect and efficiency of both the organisation and of RVS. It also says that routines are to be created which leads to improvement of functions as well as results that will stimulate the individual’s involvement and development. 3.5. Senior management shall ensure that it is clear when, how and by whom decisions are to be made within the management system. In the document RVS Förvaltning och utveckling it is stated that it is the RVS-Kommittén task to monitor and take decisions regarding the management system. They meet twice a year to formulate and decides the guidelines for the systems administration and development. Section 1.6 of ledningshandboken clearly states that the president is responsible for RVS but he has the support of the RC and the department RVQ to keep it up to date. Satisfaction of interested parties 3.6. The expectations of interested parties shall be considered by senior management in the activities and interactions in the processes of the management system, with the aim of enhancing the satisfaction of interested parties while at the same time ensuring that safety is not compromised. In Ledningshandboken section 6.6 Processutveckling it is written in that requirements and guidelines that are specified by interested parties is considered as a part of the process inflow. Section 2.2 Medarbetarnas kompetens, medvetenhet och utbildning in the same document also states that the management is to stress the importance of meet the requirements and needs of the interested parties. It shall also be clear what the consequences can be if these requirements are not meet. The organisational policy states in the topic openness that the relationship with co- operating partners and suppliers should be based on good business ethics and with the safety and environmental requirements in mind. Organisational Policies 3.7. Senior management shall develop the policies of the organization. The policies shall be appropriate to the activities and facilities of the organization. The senior management have developed an organisational policy and it is possible to say that it is appropriate to the activities and facilities of a nuclear power plant. The organisational policy is based on the corporate group Vattenfall’s core values, which are openness, accountability and effectiveness. Although have RAB adapted them to suit its own organisation. Planning 3.8. Senior management shall establish goals, strategies, plans and objectives that are consistent with the policies of the organisation. The president has appointed the RC to ensure that a document with goals, strategies plans and objectives is created. Ringshals calls this document Strategisk inriktning and it is written in the 26 ledningshandbok section 2.3 that the strategic planning is based on the requirements from the owner and the society and should be linked to the organisational policy. 3.9. Senior management shall develop the goals, strategies, plans and objectives of the organization in an integrated manner so that their collective impact on safety is understood and managed. The document strategisk inriktning is written in an integrated manner and covers, safety, environment, production, competences and resources, organisation and management, interested parties and information management. Ledningshandboken section 3 Planera verksamhetens inriktning declares that it is the Presidents duty to own/manage, maintain, develop and possibly liquidate the facilities so that the short term and long term and economical goals are satisfied, without neglecting the requirements sat on safety and environment. Although it is not stated that working in an integrated manner will help in understanding the collective impact on safety it probably does so. 3.10. Senior management shall ensure that measurable objectives for implementing the goals, strategies and plans are established through appropriate processes at various levels in the organization. Both the organisations mid-term and its long-term goals for the different strategic areas are measurable; the goals are gathered in the document strategisk inriktning from section two to section four. 3.11. Senior management shall ensure that the implementation of the plans is regularly reviewed against these objectives and that actions are taken to address deviations from the plans where necessary. From the Ledningshandbok section 3.2 Strategisk planering it is possible to extract that the evaluation of the determined direction is regularly conducted during management conferences. Under the headline 2.3 Strategisk inriktning och balanserat styrkort in the document Beskrivning av RVS you can read that under given intervals is the strategy work examined with SWOT analysis to visualise the Strengths, Weaknesses, Opportunities and Threats of the work. Out of the results of these SWOT analyses are Balance Scorecards created and with the support of them can business goals be formulated, measured and developed in the determined direction. Responsibilities and Authority for the Management System 3.12. Senior management shall be ultimately responsible for the management system and shall ensure that it is established, implemented, assessed and continually improved. In Ledningshandbok it is stated in section 1.6 Ringhals Verksamhetsstyrsystem that the one who is ultimate responsibility for establishment and development of the management system is the President of RAB, he does this with the support of the RC and the department RVQ. Furthermore has RAB according to the document RVS förvaltning och utveckling formed a RVS-committee that is responsible for monitoring and taking decisions of the structure of the management system. 3.13. An individual reporting directly to senior management shall have specific responsibility and authority for: —Coordinating the development and implementation of the management 27 system, and its assessment and continual improvement; —Reporting on the performance of the management system, including its influence on safety and safety culture, and any need for improvement; —Resolving any potential conflicts between requirements and within the processes of the management system. In the description of RVS Beskrivning av RVS it is written that an appointed representative is supposed to have the total responsibility for that the management system is working adequacy and that it is systematical and regularly improved. The document RVS förvaltning och utveckling declares that it is RAB’s company strategic that has been appointed the responsible to manage and develop RVS and he utilize the department RVQ to manage, develop and quality assure the structure of RVS. In the department RVQ it is according to the document Funktionsbeskrivning RVQ, the Verksamhetsutvecklare together with the support of RVS-samordnare that is responsible for keeping RVS up-to-date. RVS-samordnare collects and follows up the requirements addressed within RVS. From the document Delegering av arbetsuppgifter rörande förvaltning och utveckling av Ringhals verksamhetsstyrsystem RVS, från Björn Sjöström till Sten Bergman, it is possible to extract some of the definitions that RAB demands from the person working with the management system. It covers some of the points in the requirements such as, reporting on the performance of RVS and keeping the document updated and to spread the knowledge of the management system within RAB. 3.14. The organization shall retain overall responsibility for the management system when an external organization is involved in the work of developing all or part of the management system. The management system is developed internally, but if an external organisation would develop a part of the management system it still would be the one who is appointed to be responsible for the management system that has the final responsibility for the content. 4. Resource Management 4.1. Senior management shall determine the amount of resources necessary and shall provide the resources to carry out the activities of the organization and to establish, implement, assess and continually improve the management system. The senior management writes in the Ledningshandbok section 2 Hantera resurser, that it shall be settled that the resources needed to operate and improve the RVS and to carry out the activities, as a whole is available. Although it is not written where it is published and how much resources are needed, just that it is settled, the author believes that the information is published in the business plan, which is a documents not available for him. When RAB talks about resources they mean, employees, suppliers, co-operators, and infrastructure, working environment, information and economical resources. 4.2. The information and knowledge of the organization shall be managed as a resource. As mentioned above (4.1) is information seen as a resource by RAB, It is not written that knowledge is a resource, but in section 2.2 in ledningshandboken are employees mentioned, as a 28 resource it is almost certain that their knowledge is seen as a resource. Although could this use some clarification. Human resources 4.3. Senior management shall determine the competence requirements for individuals at all levels and shall provide training or take other actions to achieve the required level of competence. An evaluation of the effectiveness of the actions taken shall be conducted. Suitable proficiency shall be achieved and maintained. Section 2.2 of Ledningshandboken tells that the senior management shall ensure that the competence necessary to effectively operate the facility is available. Furthermore it declares that the senior management shall regularly review and analyse both the present and the forecasted competence requirements against the competence that exist. The plan to cover the need for theoretical and practical training is in RAB based on the expected changes within the employee development and organisational culture. The goal with the training is to provide the employees with knowledge and skills, which together with experience will mean that the necessary competence always is available. This section also tells that the training shall be evaluated to see the effect on the organisations efficiency, the evaluations also serve as a tool to improve the training. 4.4. Senior management shall ensure that individuals are competent to perform their assigned work and that they understand the consequences for safety of their activities. Individuals shall have received appropriate education and training, and shall have acquired suitable skills, knowledge and experience to ensure their competence. Training shall ensure that individuals are aware of the relevance and importance of their activities and of how their activities contribute to safety in the achievement of the organization’s objectives. This requirement is covered in Ledningshandboken section 2.2; it states that the senior management shall ensure that the necessary competence for running the facilities effectively is available. Furthermore it states that training shall provide the employees with skills and knowledge, which together with experience ensures the necessary competence. In addition to this it is written that the training also shall give the insight of the link between the organisational policy and the management system goals for safety, environment, competence and value creating. It shall also be declared what the consequences can be for the organisation and its employees if the requirements not are fulfilled. According to the document instruktion R1-R4 Kompetens- och behörighetsprövning av driftpersonal demands RAB that all the control room operators and stations technicians goes through a yearly competence check. If an employee’s competence does not meet the set standard shall a plan of actions be established, it shall include what competence the person lacked, how it can be fixed and what the time line for such action is. All education and training are evaluated against set targets. Infrastructure and the working environment 4.5. Senior management shall determine, provide, maintain and re-evaluate the infrastructure and the working environment necessary for work to be carried out in a safe manner and for requirements to be met. Under section 2.3 in the Ledningshandbok it is stated that the senior management shall ensure that the required infrastructure to sustain a safe, environmental, persevering energy production is 29 available. Section 2.4 says that the senior management shall see to that the working environment has a positive influence in employee motivation, satisfaction and performance with the intention to improve the organisations functions and result. Furthermore states the directive Arbetsmiljö that the working environment shall be evaluated on an on yearly basis. It also says that it is the department of RSM that is responsible for the evaluation that shall see to those requirements on working environment are met. The result from the evaluation shall be presented to working environment committee and shall also be used as basis for improvements. 5. Process implementation Developing process 5.1. The processes of the management system that are needed to achieve the goals, provide the means to meet all requirements and deliver the products of the organization shall be identified, and their development shall be planned, implemented, assessed and continually improved. The processes are identified in the document Ringhals Processrelationsschem, and it is according to Ledningshandboken section 6.6 Processutveckling used to describe how the organisation is managed seen from a process perspective. Furthermore claim the same section that the process owner shall contribute to make the process more efficient and the continually improvement of the processes. 5.2. The sequence and interactions of the processes shall be determined. The process map gives a clear view of the sequence and the interaction between the processes. RAB has divided their process into three sections, management processes, core processes and support processes. This information is available in Ringhals Processrelationsschema, the process map is also divided in two levels of details. 5.3. The methods necessary to ensure the effectiveness of both the implementation and the control of the processes shall be determined and implemented. In the document Verksamhetsbok Processutveckling section 5 Genomförande presents RAB their model for process development. It consists of four phases, preparing, analyse of “current position”, development of “wanted position” and implementation. Before the implementation phase is started should a process owner be appointed, it is his task to see to that the new process reaches the set goals. 5.4. The development of each process shall ensure that the following are achieved: —Process requirements, such as applicable regulatory, statutory, legal, safety, health, environmental, security, quality and economic requirements, are specified and addressed. —Hazards and risks are identified, together with any necessary mitigatory actions. —Interactions with interfacing processes are identified. —Process inputs are identified. —The process flow is described. —Process outputs (products) are identified. —Process measurement criteria are established. 30 RAB has a instruction for how a process development should be conducted called Rutin för organisations och Verksamhetsförändringar. A sponsor with a leading role within the affected process is appointed to the process development mission. The unit RVU then assign coaches that together with the sponsor select a project team for the assignment. When the process development has comes as far as implementation is a project owner selected and it is his responsibility to see to that the requirements are meet. In the appendix to this document are frame works and guidelines available that include routines for the safety, inner and outer environment. In section 8 of the appendix it is stated how to deal with risk analysis. 5.5. The activities of and interfaces between different individuals or groups involved in a single process shall be planned, controlled and managed in a manner that ensures effective communication and the clear assignment of responsibilities. Verksamhetshandboken Processutveckling describes in section 5.2 that during the ”Current position” phase performs the coaches several interviews with individuals involved in the process teams in order to put together a cross functional process map, which describes the workflow and communications between the different functions and groups. Process Management 5.6. For each process a designated individual shall be given the authority and responsibility for: —Developing and documenting the process and maintaining the necessary supporting documentation; —Ensuring that there is effective interaction between interfacing processes; —Ensuring that process documentation is consistent with any existing documents; —Ensuring that the records required to demonstrate that the process results have been achieved are specified in the process documentation; —Monitoring and reporting on the performance of the process; —Promoting improvement in the process; —Ensuring that the process, including any subsequent changes to it, is aligned with the goals, strategies, plans and objectives of the organization. The process owner is described in the document Funktionsbeskrivning Processägare. He/She fulfils the requirements that IAEA sets on an individual responsible for a process. Under section 2 of that document are his/hers responsibilities listed, and it covers most of the requirement. It is not mentioned that it is up to the designated individual responsible for the process to ensure that there is an effective interaction with interfacing processes. Although it is should be covered by the meetings between the process owners called, Process Ägar Rådet (PÄR). 5.7. For each process, any activities for inspection, testing, verification and validation, their acceptance criteria and the responsibilities for carrying out these activities shall be specified. For each process, it shall be specified if and when these activities are to be performed by designated individuals or groups other than those who originally performed the work. The description of the process owner (Funktionsbeskrivning Processägare) says that it is his responsibility to measure the performance of the process, he then report this at a Process Owner meeting (PÄR), which are held once bimonthly. The instruction Internrevision section 2 Ansvar states that inspections are planned on a 4-year basis, in excess of those can inspections be ordered by manager at all levels in depending on their responsibility area. Although it could be 31 mentioned in the document Verksamhetshandbok for each process to clarify who is responsible for the inspections. 5.8. Each process shall be evaluated to ensure that it remains effective. As mentioned above it is the task of the process owner to evaluate the process in order for it to remain effective. 5.9. The work performed in each process shall be carried out under controlled conditions, by using approved current procedures, instructions, drawings or other appropriate means that are periodically reviewed to ensure their adequacy and effectiveness. Results shall be compared with expected values. In the document Verksamhetshandbok Drift och underhåll in section 3.2 Arbetsbeskrivning it is stated that the work within the operation shall follow established routines. The routines, which are documented and established endorse that the facility in each and every aspect fulfils the requirements dictated in STF (Säkerhetstekniska driftförutsättningar) to guarantee the safety for the surroundings. Though this is only mentioned in the handbook for maintenance and operations, which of course are key areas of the plant, but the issue could also be stressed in other areas of the management system. 5.10. The control of processes contracted to external organizations shall be identified within the management system. The organization shall retain overall responsibility when contracting any processes. Suppliers of services are evaluated the in same way as suppliers of goods; all suppliers are evaluated on their performance in the areas of quality, technical performance, economical performance and environmental performance, according to the instruction leverantörsbedömning section 3. The instruction Internrevision states that the control of outsourced process shall be a part of supplier evaluation. Although regarding the responsibility of the contracted processes cannot the author find any written proves of who is responsible. Generic Management System Processes 5.11. The following generic processes shall be developed in the management system. RVS has systems for all the generic processes and they will be presented under each requirement. Control of documents 5.12. Documents shall be controlled. All individuals involved in preparing, revising, reviewing or approving documents shall be specifically assigned this work, shall be competent to carry it out and shall be given access to appropriate information on which to base their input or decisions. It shall be ensured that document users are aware of and use appropriate and correct documents. The document Verksamhetshandboken CM/DM chapter 3 describes RAB’s system for creation and usage of documents. A reviewer controls the documents before publishing. He/she has to have knowledge in the area, which the document covers. A documentation system has been implemented to ensure that the users use the correct documentation. 5.13. Changes to documents shall be reviewed and recorded and shall be subject to the same level of approval as the documents themselves. 32 According to the Verksamhetshandbok CM/DM Chapter Six, gets an updated document a new version number. The document has to have a revision list, where changes to the document are listed. Furthermore have the changes in the document go through the same process of approval as the document once did. Control of products 5.14. Specifications and requirements for products, including any subsequent changes, shall be in accordance with established standards and shall incorporate applicable requirements. Products that interface or interact with each other shall be identified and controlled. The technical requirements set on products that are to be used within the nuclear power plant are divided into mechanical and electrical product requirements. For mechanical products it is the document TBM and for electrical governs TBE what requirements both new and modified products shall meet if the are to be installed and used in Swedish nuclear power plants. TBM and TBE shall be used together whenever a product contains both mechanical and electrical components. TBM states under the section 2.4 Konstruktionsspecifikationer that the construction specification should include analysis of how the change will affect both the current and the interacting system. 5.15. Activities for inspection, testing, verification and validation shall be completed before the acceptance, implementation or operational use of products. The tools and equipment used for these activities shall be of the proper range, type, accuracy and precision. Also when it comes to inspection, testing, verification and validation are mechanical and electrical products differentiated from each other. KBM declares in section 2.2 that the general control requirements for mechanical products consist of five classifications. • Control before manufacturing, installation or repairing. IP-100 • Control of original material and ready manufactured detail. IP-200 • Control during manufacturing, welding or other concatence. IP-300/500 • Control of complete devices and parts of devices. IP-400 • Control of completed installation or repairment. IP-600 Whereas the control requirements for electrical products on the supplier according to KBE 100-3 section 3.3 Produktverifiering consists of: • A type check where the supplier must specify what types of control the product have gone through and what standards have been the foundation for these controls. • Shall be specified what overall control the product undergo during and after manufacturing. • Delivery control normally consists of a Factory Acceptance Test (FAT). Which if successful gives the supplier a permit to deliver the product. • Before the product can be taken in operation it have to go through a practical test called Site Acceptance Test (SAT) to see that it meets the requirements of the power plant. It is written in section 1.4.3 Ackreditering of KBM, that company’s that perform controls and tests of products need a certificate that say that the meet the specified requirements of SWEDAC. But if the accredited company’s use tool tools and equipment of proper range is not found within the management system. 33 5.16. The organization shall confirm that products meet the specified requirements and shall ensure that products perform satisfactorily in service. This requirement is fulfilled with the Site Acceptance Test for electrical products and IP-600 control requirement for mechanical products. See requirement 5.16. 5.17. Products shall be provided in such a form that it can be verified that they satisfy the requirements. The author has had problems identifying in what state the products shall be provided in, but realize that it is hard to approve a product if it cannot be tested. 5.18. Controls shall be used to ensure that products do not bypass the required verification activities. The characteristics for controls are similar for both mechanical products and electrical products. It is written in KBM section 2.1.3 Kontrollmomentbeskrivningar that the general control features, EP, consists of references and directions of control and testing execution, operations, range, acceptance level and requirements on reporting of the performed control or testing process. KBE states in section 3.3.1 that deviations from the buyers control plan regarding the range of the testing and controls must be reported by the manufacturer in order to start the manufacturing. Furthermore shall the buyer have the rights to participate in the deliberations between the manufacturer and the third party control company regarding control issues. 5.19. Products shall be identified to ensure their proper use. Where traceability is a requirement, the organization shall control and record the unique identification of the product. In TBE 100 section 3.14 Märkning it is written that products shall be identified with the facilities in-plant identification system in accordance with the buyer’s directions. The delivered material shall be labelled with clear and lasting signs to enable identification after the installation to facilitate the operations, inspections and maintains. It is described how the products should be identified and there by made traceable in chapter 16 of Verksamhetshandboken CM/DM. 5.20. Products shall be handled, transported, stored, maintained and operated as specified, to prevent their damage, loss, deterioration or inadvertent use. TBE section 6 set requirements on that the manufacturer shall package and transport the goods in a way that not causes them any damage. The manufacturer shall also provide the buyer with written directions on how the products shall be stored in order to preserve its performance. Furthermore it is stated that supplier shall leave an offer on a training program for the staff of the buyer. Verksamhetsboken MA section 3.6.6 declares that it is up to the storage function to see to that the products are s