Research
Report number: 2013:29 ISSN: 2000-0456 Available at www.stralsakerhetsmyndigheten.se
Regulatory Approaches in
Nuclear Power Supervision
2013:29
SSM perspective Background
Between 2003 and 2005 the Swedish Nuclear Power Inspectorate (SKI) sponsored a study to better understand the benefits and difficulties of using various regulatory approaches for supervision of commercial nuclear power safety. At the time of the study little research had been published on the use and impact of different regulatory strategies. This is still the situation today.
The main purpose of this exploratory study was to contribute to a more systematic understanding of the experiences of nuclear regulatory staff when using different regulatory approaches. This type of information can facilitate the building of a better knowledge base on the conditions under which experts have found certain strategies to be more or less effective. In the first study, a number of regulatory approaches were identified and defined by consulting with nuclear regulatory staff. Since the previous study was completed major changes have taken place in the nuclear in-dustry worldwide. Long term operation (LTO), beyond the initial licenses, is planned in many countries. As a result of these plans, more attention needs to be given to aging management. In some countries, moderni-sations are also needed to allow longer periods of operating. Actions to further increase the terminal output in nuclear power reactors are underway in several countries. New reactors are being built and licensing processes are underway. Taken together, these conditions lead to signi-ficant new challenges for regulatory bodies. Although many regulatory organizations are being strengthened with additional resources in this situation, they need to continue developing and refining their strategies for their regulatory supervision in different functional supervision areas in order to conduct their regulatory activities as efficiently as possible. Objectives
The objective of this follow-up study was to support SSM in further understanding regulatory approaches and how they can be combined as part of effective strategies. The survey was intended to assist SSM in identifying current standards, experiences, and practices in the regula-tion of nuclear power plants. The results will also be valuable for the participating authorities as well as other parties interested in nuclear regulatory supervision activities.
Results
In the more in-depth study, it was stressed that regulatory supervision is a dynamic process and that the approaches being examined in this survey were important tools, used iteratively and in combination to add-ress complex cases. The effectiveness of any approach was linked to how appropriate it was to the specific characteristics of the case.
Many of the findings from the previous study were confirmed by the findings from the extended new study, including most of the benefits
and difficulties of different approaches. As found in the previous study, combinations of approaches were used across all the areas of regulatory supervision studied. The findings from the study show that the combi-nations of approaches depend on the nature of regulatory supervision. There is also a tendency to combine additional approaches as a functio-nal area of regulatory supervision becomes more complex.
SSM will use the findings in order to achieve a regulatory supervision that is more effective and even more appropriate for purpose. In SSM’s further development of its regulatory activities, approaches and strate-gies will be developed for various areas of regulatory supervision and be adapted to the nature of the areas and matters of regulatory supervision as well as their importance for safety.
The starting point of this work will be the discussion on the findings of the present study at the CNRA workshop on Regulatory Approaches and the Characteristics of an Effective Regulator, which will be held 28-30 October 2013 in Stockholm. The results from the workshop will be docu-mented in a CNRA Green Booklet.
Need for further research
The two studies have contributed to a more systematic understanding of experience with different regulatory approaches and practices—their selection, their use, and their outcomes. However, there is a need for further research in the area. This includes the need to study how the re-sults from the area of nuclear safety can be transferred to other related regulatory areas, such as radiation protection and security.
Project information
Contact person at SSM: Anna Franzén Reference: 7030021-01
Dnr: SSM 2011-58 Project no: 7030021-01
2013:29
Author:Date: September 2013
Report number: 2013:29 ISSN: 2000-0456 Available at www.stralsakerhetsmyndigheten.se
Nancy E. Durbin
Nancy E. Durbin Consulting, San Luis Obispo, California USA
Regulatory Approaches in
Nuclear Power Supervision
This report concerns a study which has been conducted for the Swedish Radiation Safety Authority, SSM. The conclusions and view-points presented in the report are those of the author/authors and do not necessarily coincide with those of the SSM.
Content
Sammanfattning av rapporten ... 6
Report Summary ... 12
1. Introduction ... 17
1.1. Background and study goals ... 18
1.1.1. Method and findings from 2003-2004 study and 2004 workshop . 20 Findings from the 2003/04 interviews ... 22
Workshop on findings from the 2003/04 study ... 22
1.2. Overview of the 2011/12 study and organization of this report ... 23
2. Research plan and implementation ... 26
2.1. Defining terms ... 26
2.1.1. Regulatory supervision ... 26
2.1.2. Approaches ... 27
2.1.3. Areas of supervision ... 27
2.2. Developing the questionnaire ... 29
2.2.1. Section I: Case study examples ... 30
2.2.2. Section II: Usual approach or combination of approaches ... 32
2.2.3. Section III: Approach definitions and usefulness ... 33
2.2.4. Response categories and requests for comments ... 33
2.3. Administering the questionnaire ... 33
2.4. Completing initial analysis ... 35
2.5. Meeting with participating agencies ... 35
2.6. Analysing written comments and discussion ... 36
3. General findings regarding the role of approaches in regulatory supervision ... 37
3.1. Regulatory supervision is a dynamic process ... 37
3.2. Approaches used in combination and described as tools ... 38
3.3. Approaches are complementary tools, not competing options ... 38
3.4. Approaches differed in emphasis but used/useful across all areas . 39 3.5. Increase in the use of approaches ... 39
3.6. Circumstances often determine the approach(es) used, and effectiveness of outcomes ... 39
3.7. Resources, expertise requirements can be high regardless of approach ... 40
3.8. Prescriptive and education/influence approaches represent multiple tools ... 41
4. Follow up of 2003/04 findings ... 42
4.1. Benefits and difficulties of regulatory approaches ... 42
4.1.1. Prescriptive ... 43
4.1.2. Case-based and Facility-based ... 43
4.1.3. Outcome-based ... 43
4.1.4. Risk-based and Risk/hazard-based ... 44
4.1.5. Process-based ... 44
4.1.6. Self-assessment based ... 44
4.1.7. Education/influence approach ... 44
4.2. Use of approaches in regulatory supervision ... 45
4.2.1. Combinations of approaches used in all areas of supervision ... 45
4.2.2. Less reliance on a prescriptive recently, moving toward process-based with prescriptive for action/closure when necessary ... 46
4.2.3. Risk-based to prioritize for quality systems and plant design/modifications ... 46
4.2.4. Risk-based for plant design/modification: tension and balance .... 46
4.3. Consequences of regulatory approaches ... 47
4.3.1. Primary responsibility for safety on licensee or regulator? ... 47
4.3.2. Clear requirements and expectations of licensee? ... 48
4.3.3. Important safety issues identified and addressed? ... 49
4.3.4. Level of expertise required of licensee? Of regulator? ... 49
4.3.5. Level of resources required of licensee? Of regulator? ... 50
4.3.6. Flexibility given licensee with usual approach(es)? ... 51
4.3.7. Do approach(es) affect public credibility regarding safety of licensee facility? Regarding regulator? ... 52
4.3.8. Do approach(es) affect safety culture of licensee? Of regulator?. 53 4.4. 2003/04 report issues that emerged from examples regarding regulatory approaches ... 54
4.4.1. Resistance to changing regulatory approaches ... 54
4.4.2. Tension concerning use of risk analysis for regulatory decisions . 54 4.4.3. Differences in interpretations of regulatory approach definitions .. 55
4.4.4. Importance of combinations of approaches for regulatory effectiveness ... 55
5. Circumstances that affect regulatory supervision ... 56
5.1. Experience ... 56
5.2. Characteristics of the industry ... 57
5.3. The use of contractors ... 57
5.4. Cooperation/agreement between regulator and licensee ... 58
5.5. Characteristics of the case: scope and early intervention ... 59
5.6. Performance by licensee and regulator... 60
6. Usefulness, use, emphasis, and change of regulatory approaches: overall and within areas of supervision ... 61
6.1. Results across all areas of supervision ... 61
6.1.1. Overall usefulness of approaches ... 62
6.1.2. Overall use and emphasis of different approaches ... 63
6.1.3. Overall change in the use of approaches ... 64
New regulation ... 65
Increased use of self-assessment ... 65
Increased use of risk/hazard approach ... 66
Experience/learning by the agency ... 66
Increased use of outcome approach ... 66
An event led to the change ... 66
6.2. Evaluation of approaches in each area of supervision ... 66
6.2.1. Management Systems ... 67
6.2.2. Maintenance ... 69
6.2.3. Operations ... 71
6.2.4. Safety Culture ... 73
6.2.5. Plant Life Extension ... 75
6.2.6. Major Plant Modifications ... 77
6.2.7. Power Up Rates ... 79
6.2.8. Construction ... 81
7. Discussion of specific approaches ... 83
7.1. Prescriptive ... 83
7.1.1. Usefulness of approach ... 86
Clear and detailed requirements ... 86
Rigid, inefficient, and places responsibility for safety on the regulator ... 87
Exertion of regulatory authority ... 87
7.1.2. Use, emphasis, and change in use of prescriptive approach ... 88
7.2. Facility ... 88
7.2.1. Usefulness of approach ... 89
Overarching regulations... 89
Both general and site specific approaches needed ... 90
Reasons for using a facility approach ... 90
7.2.2. Use, emphasis, and change in use of facility approach ... 91
7.3. Outcome ... 91
7.3.1. Usefulness of approach ... 91
Improving plant performance ... 92
Responsibility for performance placed with licensee ... 93
Difficulties of finding good outcome measures ... 93
7.3.2. Use, emphasis, and change in use of outcome approach ... 93
7.4. Risk/Hazard ... 94
7.4.1. Usefulness of approach ... 94
Using a risk/hazard approach to focus regulatory attention ... 94
Using a risk/hazard approach to improve safety performance ... 94
Difficulties with method used for risk/hazard based ... 95
7.4.2. Use, emphasis, and change in use of risk/hazard approach ... 96
7.5. Process ... 96
7.5.1. Usefulness of approach ... 96
Critical approach for safety management ... 97
Requires a high level of expertise ... 98
7.5.2. Use, emphasis, and change in use of process approach ... 98
7.6. Self-Assessment ... 98
7.6.1. Usefulness of approach ... 99
Promoting continuous improvement ... 100
Placing responsibility on the licensee ... 100
Should be used with other approaches and monitored by the regulator ... 100
7.6.2. Use, emphasis, and change in use of self-assessment approach ... 101
7.7. Education/Influence ... 101
7.7.1. Usefulness of approach ... 101
Key tool for regulators ... 104
Providing information ... 104
Requires a great deal of experience ... 104
Depends upon licensee acceptance ... 104
7.7.2. Use, emphasis, and change in use of education/influence approach ... 105
7.8. Responses to “Additional comments” and “Should other approaches to regulatory supervision be added?” ... 105
8. Summary and concluding remarks ... 107
8.1. Summary... 107 8.2. Concluding Remarks ... 110 Appendix 1...... 113 Appendix 2 ...... 127 Appendix 3 ...... 129 Appendix 4 ...... 135 Appendix 5 ...... 137 SSM 2013:29
Acknowledgments
7KHDXWKRUJUDWHIXOO\DFNQRZOHGJHVWKHSDUWLFLSDWLRQRIILYHQXFOHDU UHJXODWRU\DJHQFLHVLQWKLVVWXG\DQGWKDQNVWKHPDQ\PDQDJHUVDQG VWDIIPHPEHUVZKRJDYHJHQHURXVO\RIWKHLUH[SHUWLVHDQGWLPHWR VXSSRUWWKLVSURMHFW7KHDJHQFLHVLQFOXGHWKH&DQDGLDQ1XFOHDU6DIH W\&RPPLVVLRQ &16& &RQVHMRGH6HJXULGDG1XFOHDU6SDLQ &61 6ZHGLVK5DGLDWLRQ6DIHW\$XWKRULW\ 660 2IILFHRI1XFOHDU5HJX ODWLRQ8QLWHG.LQJGRP 215 DQGWKH8QLWHG6WDWHV1XFOHDU5HJX ODWRU\&RPPLVVLRQ 15& ,ZRXOGDOVROLNHWRWKDQN$QQD)UDQ]pQRI660IRUKHUVSRQVRUVKLS RIWKLVVWXG\DQGKHUSDWLHQFHSURIHVVLRQDOLVPSDUWLFLSDWLRQLQFRO OHFWLQJWKHGDWDIRUWKHVWXG\DQGVXSSRUWLQJWKHDQDO\VLVDQGILQDO UHSRUW,QDGGLWLRQ,ZRXOGOLNHWRWKDQN/DUV6NnQEHUJRI660IRUKLV VSRQVRUVKLSDQGLQSXWWKURXJKRXWWKHLPSOHPHQWDWLRQRIWKHVWXG\ $OVR%DUEDUD0HOEHU%ULDQ*ULPHV%DUFOD\+RZGHQ'RXJ0LOOHU DQG0LNH'XUELQSURYLGHGHVVHQWLDOUHYLHZVDQGFRPPHQWVGXULQJWKH GHYHORSPHQWRIWKHTXHVWLRQQDLUHDQGWKHFRPSOHWLRQRIWKHUHSRUW )LQDOO\,ZRXOGOLNHWRWKDQNP\FROOHDJXHV-HQQLIHU0DFDXOD\DQG ,UpQH7DHOIRUWKHLULQYDOXDEOHDQGLQVLJKWIXOKHOSDQGVXSSRUW SSM 2013:29
Sammanfattning av rapporten
'HQQDUDSSRUWEHVNULYHUUHVXOWDWHWIUnQHQVWXGLHVRPJHQRPI|UWVXQGHUSHUL RGHQSnXSSGUDJDY6WUnOVlNHUKHWVP\QGLJKHWHQ 660 6\IWHW PHGVWXGLHQKDUYDULWDWW|NDNXQVNDSHUQDRPROLNDDQJUHSSVlWWI|UWLOOV\Q RFKUHJOHULQJGHUDVI|UGHODURFKVYnULJKHWHUYLGWLOOV\QDYNlUQNUDIWYHUN 6WXGLHQE\JJHUSnRFKI|OMHUXSSUHVXOWDWHWIUnQHWWIRUVNQLQJVSURMHNWVRP JHQRPI|UGHVSnXSSGUDJDYIG6WDWHQVNlUQNUDIWLQVSHNWLRQ 6.,QXPHUDHQ GHODY660 3URMHNWHWDYVOXWDGHV 6.,UDSSRUW 'HQWLGLJDUH VWXGLHQYDUKXYXGVDNOLJHQDYXQGHUV|NDQGHRFKI|UNODUDQGHNDUDNWlUPHG PnOHWDWWNDUWOlJJDYLONDDQJUHSSVVlWWVRPROLNDWLOOV\QVP\QGLJKHWHULQRP NlUQNUDIWRPUnGHWDQYlQGHUYLGUHJOHULQJRFKWLOOV\Q6WXGLHQV\IWDGHRFNVn WLOODWWNDUWOlJJDHUIDUHQKHWHUDYDQJUHSSVVlWWHQVHIIHNWLYLWHWRFKNRQVHNYHQ VHUVDPWGHUDVlQGDPnOVHQOLJKHWRFKWLOOlPSQLQJLROLNDWLOOV\QVVLWXDWLRQHUL I|UKnOODQGHWLOOI\UDWLOOV\QVRPUnGHQ)RUWVlWWQLQJVVWXGLHQVRPUHGRYLVDVL GHQQDUDSSRUWRPIDWWDUDQJUHSSVVlWWVRPWLOOlPSDVLQRPnWWDWLOOV\QVRPUn GHQ OHGQLQJVV\VWHPXQGHUKnOOGULIWVlNHUKHWVNXOWXUVNOnQJWLGV GULIWI|UOlQJGGULIWWLGRPIDWWDQGHDQOlJJQLQJVlQGULQJDUHIIHNWK|MQLQJDURFK XSSI|UDQGHDYQ\DDQOlJJQLQJDU6WXGLHQKDUJHQRPI|UWVLIRUPDYHQHQNlW XQGHUV|NQLQJXQGHURFKPHGXSSI|OMDQGHP|WHQRFKGLVNXVVLRQ HURFKDYVnJWLOOlPSQLQJHQDYI|OMDQGHVMXDQJUHSSVVlWW 3UHVNULSWLYI|UHVNULYDQGHLQULNWQLQJDYUHJOHULQJRFKWLOOV\QLQQHElU DWWP\QGLJKHWHQGHOVVWlOOHUUHODWLYWGHWDOMHUDGHNUDYSnVnYlOWHNQLVND O|VQLQJDUVRPSnKXUYHUNVDPKHWHQVNDEHGULYDVGHOVLVLQWLOOV\QI|OMHU XSSNUDYHIWHUOHYQDGHQSnHQPHUGHWDOMHUDGQLYn $QOlJJQLQJVLQULNWDGUHJOHULQJRFKWLOOV\QLQQHElUDWWP\QGLJKHWHQ LQWHKDUJHQHUHOOWJLOWLJDNUDYXWDQVWlOOHULQGLYLGXHOODNUDYSnYDUMHDQ OlJJQLQJXWLIUnQGHVVVSHFLILNDNRQVWUXNWLRQXWIRUPQLQJRFKYHUNVDP KHW7LOOV\QHQLQULNWDVVHGDQSnDWWI|OMDXSSKXUGHLQGLYLGXHOODNUDYHQ HIWHUOHYV 5HVXOWDWLQULNWDGUHJOHULQJRFKWLOOV\QLQQHElUDWWP\QGLJKHWHQVWlOOHU VlNHUKHWVPnORFKUHVXOWDWNUDYXUVlNHUKHWVV\QSXQNWSnDQOlJJQLQJHQRFK YHUNVDPKHWHQXWDQDWWJH\WWHUOLJDUHUnGHOOHUYlJOHGQLQJI|UKXUGHVVD PnORFKUHVXOWDWVNDXSSQnV'HWEOLUXSSWLOOWLOOVWnQGVKDYDUHQDWWEH VWlPPDKXUPnOHQRFKUHVXOWDWHQVNDXSSQnV 5LVNLQULNWDGUHJOHULQJRFKWLOOV\QRFK)DUDVNDGHLQULNWDGUHJOHULQJ RFKWLOOV\QLQQHElUDWWP\QGLJKHWHQDQDO\VHUDUULVNHUUHVSHNWLYHVNDGH SRWHQWLDOHUI|UROLNDGHODUDYDQOlJJQLQJHQRFKGHVVYHUNVDPKHWHURFK VHGDQVWlOOHUNUDYRFKLQULNWDUVLQWLOOV\QXWLIUnQGHWWD5LVNUHVSHNWLYH VNDGHSRWHQWLDOGRPLQHUDQGHGHODUSULRULWHUDVLNUDYVWlOODQGHWRFKLWLOOV\ QHQ 3URFHVVLQULNWDGUHJOHULQJRFKWLOOV\QLQQHElUDWWP\QGLJKHWHQLGHQWLIL HUDUYLONDW\SHUDYSURFHVVHUVRPWLOOVWnQGVKDYDUHEHK|YHUWLOOlPSDI|U DWWXSSUlWWKnOODHQVlNHUDQOlJJQLQJRFKYHUNVDPKHWRFKVHGDQVWlOOHU SSM 2013:29NUDYSnDWWGHVVDSURFHVVHUVNDLQI|UDVRFKWLOOlPSDV7LOOV\QHQLQULNWDV SnXSSI|OMQLQJDYWLOOVWnQGVKDYDUHQVWLOOlPSQLQJRFKSURFHVVHUQDV lQGDPnOVHQOLJKHWRFKHIIHNWLYLWHW (JHQYlUGHULQJVLQULNWDGUHJOHULQJRFKWLOOV\QLQQHElUDWWP\QGLJKHWHQ VWlOOHUNUDYSnWLOOVWnQGVKDYDUHQDWWXWYHFNODRFKWLOOlPSDHWWV\VWHPI|U IRUWO|SDQGHHJHQXSSI|OMQLQJJUDQVNQLQJRFKXWYlUGHULQJDYVLWWVlNHU KHWVDUEHWH0\QGLJKHWHQIRNXVHUDUVHGDQLVLQWLOOV\QSnWLOOVWnQGVKDYD UHQVV\VWHPRFKJHQRPI|UULNWDGHLQVDWVHUI|UEHG|PQLQJDYKXUV\VWH PHQWLOOlPSDVRFKYLONDUHVXOWDWGHWOHGHUWLOO 3nYHUNDQVHOOHUXWELOGQLQJVLQULNWDGP\QGLJKHWVYHUNVDPKHWLQQHElU DWWP\QGLJKHWHQDQRUGQDUXWELOGQLQJVLQVDWVHUZRUNVKRSVVHPLQDULHU RFKDQGUDLQIRUPDWLRQVLQVDWVHULV\IWHDWWSnYHUNDWLOOVWnQGVKDYDUHQVVl NHUKHWVDUEHWHLROLNDDYVHHQGH (WWIUnJHIRUPXOlUI|UYDUMHWLOOV\QVRPUnGHDQYlQGHVI|UDWWNDUWOlJJDKXU VSHFLDOLVWHUIUnQROLNDP\QGLJKHWHULQRPNlUQNUDIWVRPUnGHWXW|YDUWLOOV\Q 0\QGLJKHWHUIUnQROLNDOlQGHUVRPLQJnWWLVWXGLHQ 6WUnOVlNHUKHWVP\QGLJ KHWHQ 660 L6YHULJH&RQVHMRGH6HJXULGDG1XFOHDU &61 L6SDQLHQ1X FOHDU5HJXODWRU\&RPPLVVLRQ 15& L86$&DQDGLDQ1XFOHDU6DIHW\ &RPPLVVLRQ &16& L.DQDGDRFK2IILFHIRU1XFOHDU5HJXODWLRQ 215 L 6WRUEULWDQQLHQ)HPWLRI\UDIUnJHIRUPXOlUEHVYDUDGHVPHOODQIHEUXDULRFKMXOL 8QGHURNWREHURFKQRYHPEHUJHQRPI|UGHVXSSI|OMQLQJVP|WHQ SnYDUMHP\QGLJKHWI|UDWWGLVNXWHUDGHWSUHOLPLQlUDUHVXOWDWHW 6\IWHWPHGVWXGLHQKDUYDUNHQYDULWDWWKLWWDHWWHQVNLOWDQJUHSSVVlWWHOOHUHQ XSSVlWWQLQJDQJUHSSVVlWWVRPlU´ElVW´I|UUHJOHULQJRFKWLOOV\QHOOHUDWW EHYLVDlQGDPnOVHQOLJKHWHQKRVHWWHOOHUIOHUDDQJUHSSVVlWW6\IWHWKDULVWlOOHW YDULWDWWVWLPXOHUDIRUWVDWWGLDORJRPROLNDDQJUHSSVVlWWI|UWLOOV\QJHQRPDWW SnHWWV\VWHPDWLVNWVlWWVDPODLQIRUPDWLRQRPKXUROLNDDQJUHSSVVlWWDQ YlQGV6\IWHWKDUYLGDUHYDULWDWWIn|NDGI|UVWnHOVHRPKXUGHROLNDDQ JUHSSVVlWWHQNDQLQYHUNDSnWLOOV\QVXW|YQLQJHQI|UElWWUDKMlOSPHGOHQVRP ILQQVWLOOJlQJOLJDI|UP\QGLJKHWHURFKDWWI|UElWWUDNRPPXQLNDWLRQHQRP YHUNW\JHQEnGHLQRPRFKPHOODQP\QGLJKHWHUQD5DSSRUWHQVDPPDQIDWWDU HQNlWVYDUHQRFKEHVNULYHUHWWDQWDORPUnGHQVRPNDQJHYLNWLJDLQVLNWHUYLG XWYHFNOLQJDYP\QGLJKHWHUVWLOOV\QVYHUNVDPKHW SSM 2013:29
Huvudsakliga resultat
Tillsyn är en iterativ och dynamisk process som använder olika kombinationer av angreppssätt som redskap för att fånga in tillsynens komplexitet
([SHUWHUQDVRPGHOWRJLVWXGLHQRFKLGHXSSI|OMDQGHGLVNXVVLRQHUQDEHWR QDGHDWWWLOOV\QlUHQG\QDPLVNSURFHVVRFKDWWGHDQJUHSSVVlWWVRPXQGHU V|NWHVLVWXGLHQlUYLNWLJDUHGVNDS'HVVDDQYlQGVLWHUDWLYWRFKLNRPELQDWLRQ I|UDWWVYDUDPRWROLNDWLOOV\QVIUnJRUVNRPSOH[LWHW$QJUHSSVlWWHQVNDVHV VRPNRPSOHWWHUDQGHYHUNW\JRFKLQWHVRPNRQNXUUHUDQGHYHUNW\J
Alla angreppssätten tillämpades och bedömdes vara an-vändbara $OODDQJUHSSVVlWWHQWLOOlPSDGHVRFKEHG|PGHVYDUDDQYlQGEDUDDYGHIOHVWD SHUVRQHUQDVRPGHOWRJLVWXGLHQ5HQWDOOPlQWDQVnJGHVYDUDQGHDWWDQYlQG QLQJHQDYROLNDDQJUHSSVVlWWLQRPWLOOV\QHQKDGH|NDW'HWWDNDQW\GDSnDWW DQYlQGQLQJHQDYROLNDDQJUHSSVVlWWlUPHUHWDEOHUDWLGDJ7URWVYDULDWLRQL DQYlQGQLQJHQRFKLJUDGHQDYDQYlQGEDUKHWVnUDSSRUWHUDGHVDQYlQGEDUKHW I|UYDUMHDQJUHSSVVlWWLQRPVDPWOLJDWLOOV\QVRPUnGHQVRPVWXGHUDGHV Angreppssättens effektivitet har stark koppling till karaktä-ren på tillsynsaktiviteten )DNWRUHUDYEHW\GHOVHI|UDQJUHSSVVlWWHQVHIIHNWLYHWHWYDUWLOOH[HPSHOWLOO VWnQGVKDYDUHQVRFKP\QGLJKHWHQVHUIDUHQKHWHUIUnJDQVVlNHUKHWVEHW\GHOVH I|UWURHQGHWPHOODQWLOOVWnQGVKDYDUHQRFKP\QGLJKHWHQRFKNRPSHWHQVHQKRV WLOOVWnQGVKDYDUHQRFKP\QGLJKHWHQ 'HVYDUDQGHVNRPPHQWDUHUDQW\GHUDWW VDPWOLJDDQJUHSSVVlWWI|UXWVlWWHUJRGDVSHFLDOLVWNXQVNDSHURFKUHVXUVHUKRV P\QGLJKHWHQRFKDWWQLYnQSnNXQVNDSHUQDRFKUHVXUVHUQDEHURUSnWLOOV\QV IUnJRUQDVNDUDNWlU(QVOXWVDWVIUnQGLVNXVVLRQHUQDRPUHVXUVHUYDUDWWHWW IHODNWLJWYDODYDQJUHSSVVlWWI|UHQWLOOV\QVDNWLYLWHWOHGGHWLOO|NDWEHKRYDY UHVXUVHU
En stor del av resultatet från studien som genomfördes under perioden 2003-2004 bekräftades av resultatet från studien 2011-2012 +XYXGGHOHQDYUHVXOWDWHWIUnQGHQWLGLJDUHVWXGLHQEHNUlIWDGHVLGHQQDVWXGLH WLOOH[HPSHOYDGJlOOHUI|UGHODURFKVYnULJKHWHUYLGWLOOlPSQLQJDYROLNDDQ JUHSSVVlWWDQYlQGQLQJHQDYDQJUHSSVVlWWYLGWLOOV\QRFKlYHQYLVVDDYNRQ VHNYHQVHUQDVRPI|OMHUDYROLNDDQJUHSSVVlWW)|UGHODUQDRFKVYnULJKHWHUQD PHGDQJUHSSVVlWWHQLGHQQDVWXGLHOLNQDUGHVRPDQJDYVLVWXGLHQIUnQ 3UHVNULSWLYI|UHVNULYDQGHLQULNWQLQJDYUHJOHULQJRFKWLOOV\Q 'HQKXYXGVDNOLJDI|UGHOHQPHGGHWWDDQJUHSSVVlWWlUDWWGHWlUW\GOLJW RFKNODUWI|UWLOOVWnQGVKDYDUHQYLONDNUDYVRPJlOOHURFKGHI|UYlQWQLQJDU SSM 2013:29
VRPILQQV'HKXYXGVDNOLJDVYnULJKHWHUQDlUDWWDQJUHSSVVlWWHWNDQWHQ GHUDDWWWDDQVYDUHWIUnQWLOOVWnQGVKDYDUHQRFKDWWGHQNUlYHUUHODWLYWVWRUD UHVXUVHUKRVP\QGLJKHWHQRFKDWWV\VWHPHWNDQEOLVWHOWRFKVYnUWDWWI|U lQGUD $QOlJJQLQJVLQULNWDGUHJOHULQJRFKWLOOV\Q 'HQKXYXGVDNOLJDI|UGHOHQPHGGHWWDDQJUHSSVVlWWlUDWWGHQJHUHQ VW|UUHIOH[LELOLWHWJHQRPDWWNUDYHQDQSDVVDVWLOOGHWLQGLYLGXHOODIDOOHW 'HKXYXGVDNOLJDVYnULJKHWHUQDlUDWWDQJUHSSVVlWWHWNDQXSSOHYDVVRP JRGW\FNOLJWRFKEOLLQNRQVHNYHQWLNUDYVWlOODQGHWSnOLNQDQGHDQOlJJ QLQJDU'HVVXWRPNUlYHUGHQQDVWUDWHJLUHODWLYWVWRUDUHVXUVHUKRVP\Q GLJKHWHQI|UGHLQGLYLGXHOODNUDYDQSDVVQLQJDUQDRFKVHGDQXSSI|OMQLQJ HQLWLOOV\QHQ 5HVXOWDWLQULNWDGUHJOHULQJRFKWLOOV\Q 'HQKXYXGVDNOLJDI|UGHOHQPHGGHWWDDQJUHSSVVlWWlUDWWGHQOnWHUWLOO VWnQGVKDYDUHQVMlOYDYJ|UDElVWDVlWWHWDWWEHGULYDYHUNVDPKHWHQI|UDWW XSSQnVlNHUKHWVPnOHQRFKVlNHUKHWVUHVXOWDWHQ'HKXYXGVDNOLJDVYnULJ KHWHUQDI|UP\QGLJKHWHUlUDWWLGHQWLILHUDRFKVWlOODGHPnORFKUHVXOWDW NUDYVRPEHK|YVI|UDWWVlNHUKHWHQVNDXSSUlWWKnOODVRFKVHGDQLWLOOV\ QHQKLWWDVlWWDWWI|OMDXSSRFKPlWDPRWPnOHQ 5LVNLQULNWDGUHJOHULQJRFKWLOOV\QRFK)DUDVNDGHLQULNWDGUHJOHULQJ 'HQKXYXGVDNOLJDI|UGHOHQPHGGHVVDDQJUHSSVVlWWlUDWWNUDYHQNDQ VWlOODVLUHODWLRQWLOOULVNQLYnUHVSHNWLYHVNDGHSRWHQWLDORFKlYHQLQULNWD WLOOV\QHQHIWHUGHWWD7LOOV\QHQNDQGlUPHGRSWLPHUDV'HKXYXGVDNOLJD VYnULJKHWHUQDPHGGHVVDDQJUHSSVVlWWlUDWWDYJ|UDWLOOI|UOLWOLJKHWHQKRV ULVNYlUGHULQJVULVNDQDO\VPHWRGHUQDUHVSHNWLYHPHWRGHUQDI|UYlUGHULQJ DYVNDGHSRWHQWLDOHUVDPWEHG|PDYLONDLQGDWDVRPNDQHOOHUE|UWLOOlP SDV'HVVDDQJUHSSVVlWWE|UHQOLJWGHGHOWDJDQGHP\QGLJKHWVH[SHUWHUQD GlUI|UHQGDVWDQYlQGDVLNRPELQDWLRQPHGDQGUDDQJUHSSVVlWW 3URFHVVLQULNWDGUHJOHULQJRFKWLOOV\Q 'HQKXYXGVDNOLJDI|UGHOHQPHGGHWWDDQJUHSSVVlWWlUDWWGHQJHUP\Q GLJKHWHQHQI|UGMXSDGI|UVWnHOVHRPWLOOVWnQGVKDYDUHQVYHUNVDPKHWRFK YDGVRPSnYHUNDUGHQQHVVlNHUKHWVDUEHWH'HKXYXGVDNOLJDVYnULJKHWHU QDI|UP\QGLJKHWHUPHGGHWWDDQJUHSSVVlWWlUDWWGHILQLHUDGHVlNHUKHWV PnOSnROLNDQLYnHULHWWOHGQLQJVV\VWHPPRWYLONDSURFHVVHUQDRFKGHUDV HIIHNWLYLWHWVNDXWYlUGHUDV'HWWDlUHQNRPSOH[XSSJLIW (JHQYlUGHULQJVLQULNWDGUHJOHULQJRFKWLOOV\Q 'HQKXYXGVDNOLJDI|UGHOHQPHGGHWWDDQJUHSSVVlWWlUDWWGHQLVLJW\GOLJ J|UDWWGHWSULPlUDVlNHUKHWVDQVYDUHWOLJJHUKRVWLOOVWnQGVKDYDUHQ'HQ KXYXGVDNOLJDVYnULJKHWHQPHGGHWWDDQJUHSSVVlWWlUDWWGHWNDQJHOnJ WURYlUGLJKHWKRVDOOPlQKHWHQI|UP\QGLJKHWHQVDUEHWHRFKE|UGlUI|U DQYlQGDVLNRPELQDWLRQPHGDQGUDDQJUHSSVlWW'HVVXWRPEHK|YHU P\QGLJKHWHQVMlOYLOlPSOLJRPIDWWQLQJJHQRPI|UDLQJnHQGHEHG|P QLQJDUDYUHVXOWDWHQIUnQWLOOVWnQGVKDYDUHQVHJHQYlUGHULQJVDUEHWH'HWWD NDQNUlYDVWRUDUHVXUVHU SSM 2013:29
3nYHUNDQVHOOHUXWELOGQLQJVLQULNWDGP\QGLJKHWVYHUNVDPKHW $QJUHSSVlWWHWlUDQYlQGEDUWLNRPPXQLNDWLRQHQPHGWLOOVWnQGVKDYDUH RFKDOOPlQKHWHQ(QVYnULJKHWPHGDQJUHSSVlWWHWlUDWWGHWDQWDJOLJHQ NUlYHUK|JNRPSHWHQVRFKJRGHUIDUHQKHWKRVP\QGLJKHWHQVDPWDWWDQ JUHSSVlWWHWI|UXWVlWWHUWLOOVWnQGVKDYDUHQVDFFHSWDQV'HWWDlUHWWDQ JUHSSVVlWWVRPHQGDVWE|UDQYlQGDVLNRPELQDWLRQPHGDQGUDUHJOHULQJV RFKWLOOV\QVDQJUHSSVlWW ,EnGDVWXGLHUQDIUDPNRPDWWROLNDNRPELQDWLRQHUDYDQJUHSSVVlWWDQYlQGV I|UDWWXSSQnPnOHQPHGWLOOV\QHQRFKDWWGHQSUHVNULSWLYDI|UHVNULYDQGH LQULNWQLQJRIWDWLOOlPSDVI|UDWWInWLOOVWnQGVKDYDUHDWWJHQRPI|UDnWJlUGHU RFKI|UDYVOXWDYlUHQGHQ)UnQVWXGLHQVRPJHQRPI|UGHVXQGHUSHULRGHQ I|OMGHVnWWDIUnJRUXSSLGHQQDVWXGLH)UnJRUQDKDQGODGHRPNRQ VHNYHQVHUYLGWLOOlPSQLQJHQDYGHROLNDDQJUHSSVVlWWHQYLGWLOOV\Q SnYHUNDQ SnYHPVRPWDUKXYXGDQVYDUI|UVlNHUKHWHQNUDYHQVW\GOLJKHWKXUVlNHU KHWVIUnJRUO|VHVQ|GYlQGLJDVSHFLDOLVWNXQVNDSHUUHVXUVDQYlQGQLQJIOH[LEL OLWHWWURYlUGLJKHWKRVDOOPlQKHWHQVDPWVlNHUKHWVNXOWXU6YDUHQLVWXGLHQ DQW\GHUDWWGHVVDNRQVHNYHQVHUYDUPHUUHODWHUDGHWLOOGHWHQVNLOGDWLOOV\QVl UHQGHWIUDPI|UDOOWWLOOWLOOVWnQGVKDYDUHQVRFKP\QGLJKHWHQVHUIDUHQKHWHURFK I|UKnOODQGHWPHOODQWLOOVWnQGVKDYDUHRFKP\QGLJKHWHQlQWLOOVMlOYDDQ JUHSSVVlWWHWHOOHUWLOONRPELQDWLRQHQDYDQJUHSSVVlWWVRPWLOOlPSDGHV Omständigheterna påverkar utfallet av tillsyn
(WWDQWDORPVWlQGLJKHWHUQlPQGHVDYGHVYDUDQGHLVWXGLHQRFKXQGHUGLV NXVVLRQHUQDVRPlJGHUXPKRVP\QGLJKHWHUQD1nJUDH[HPSHOlUHUIDUHQ KHWHULQGXVWULQVHJHQVNDSHUDQYlQGQLQJHQDYHQWUHSUHQ|UHUJUDGHQDYGLD ORJPHOODQP\QGLJKHWRFKWLOOVWnQGVKDYDUHGHWHQVNLOGDIDOOHWRFKHIIHNWLYL WHWHQKRVWLOOVWnQGVKDYDUHRFKP\QGLJKHWHU2PVWlQGLJKHWHUVRPRIWDVW QlPQGHVKDVWRUSnYHUNDQYDUHUIDUHQKHWHQKRVWLOOVWnQGVKDYDUHRFKP\QGLJ KHWHQUHVSHNWLYHJUDGHQDYGLDORJPHOODQWLOOVWnQGVKDYDUHRFKP\QGLJKHWHQ ,VWXGLHQEHWRQDGHVJHQRPJnHQGHYLNWHQDYHUIDUHQKHWHURFKOlUGRPDUGHOV QlUGHWJlOOHUYDOHWDYDQJUHSSVVlWWI|UDWWKDQWHUDHQVlUVNLOGIUnJDGHOVQlU GHWJlOOHUHIIHNWLYWLOOlPSQLQJDYIOHUDDQJUHSSVVlWWLWLOOV\QHQ(UIDUHQKHW YDUGHQSnYHUNDQVIDNWRUVRPXSSJDYVKDVW|UVWEHW\GHOVHI|UVOXWUHVXOWDWHWL HWWHQVNLOWWLOOV\QVlUHQGH9LNWHQDYHUIDUHQKHWKRVWLOOVWnQGVKDYDUHHQWUHSUH Q|UHURFKP\QGLJKHWHQO\IWHVIUDP (Q|SSHQGLDORJPHOODQWLOOVWnQGVKDYDUHQRFKP\QGLJKHWHQDQVnJVLQYHUND SnGHWYDOGDDQJUHSSVVlWWHWQlUWLOOV\QVUHODWHUDGHIUnJRUKDQWHUDVRFKSnGH UHVXUVHUVRPEHK|YV 7UHRPUnGHQVRPDQVnJVKDEHW\GDQGHLQYHUNDQSnWLOOV\QHQVHIIHNWLYLWHW RDYVHWWYLONHWDQJUHSSVVlWWVRPWLOOlPSDVEOHYW\GOLJDXQGHUGLVNXVVLRQHUQD PHGP\QGLJKHWHUQDVRPGHOWRJLVWXGLHQ SSM 2013:29
YLNWHQDYlQGDPnOVHQOLJP\QGLJKHWVXW|YQLQJRFKNUDYVWlOOQLQJ YLNWHQDYDWWP\QGLJKHWHQlUW\GOLJPHGGHI|UYlQWQLQJDUVRPVWlOOVSn WLOOVWnQGVKDYDUHQRDYVHWWYLONHWDQJUHSSVVlWWHWVRPWLOOlPSDV NRPPXQLNDWLRQVHOOHUVDPYHUNDQVIRUPHUQDVRPDQYlQGVDYP\QGLJ KHWHQ±LQIRUPDWLRQXWELOGQLQJSnYHUNDQHOOHUIUlPMDQGH 'HVVDRPUnGHQE|URFNVnI|OMDVXSSRFKGLVNXWHUDV SSM 2013:29
Report Summary
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³EHVW´DSSURDFKRUVHWRIDS SURDFKHVIRUUHJXODWLRQRUWRSURGXFHSURRIRIWKHHIILFDF\RIDQ\RQH DSSURDFKRUVHWRIDSSURDFKHV,WZDVLQWHQGHGWRHQFRXUDJHGLDORJ DERXWUHJXODWRU\DSSURDFKHVDQGWRV\VWHPDWLFDOO\FROOHFWLQIRUPDWLRQ1 See report for full definitions of these approaches.
DERXWKRZGLIIHUHQWUHJXODWRU\DSSURDFKHVDUHXVHGLQRUGHUWREXLOGD EHWWHUXQGHUVWDQGLQJRIWKHLPSDFWVRIXVLQJYDULRXVDSSURDFKHVLP SURYHWKHWRROVDYDLODEOHWRUHJXODWRUVDQGWRLPSURYHFRPPXQLFDWLRQ DERXWWKHVHWRROVZLWKLQDQGDFURVVUHJXODWRUV7KHUHSRUWVXPPDUL]HV UHVSRQVHVDQGLGHQWLILHVWKHPHVDFURVVWKHUHSRUWHGH[SHULHQFHVRI H[SHUWVWKDWPD\SURYLGHLQVLJKWVWRUHJXODWRU\DJHQFLHVLQWHUPVRI VXSHUYLVRU\SUDFWLFHV
Key findings
Regulatory supervision is an iterative and dynamic process that uses combinations of approaches as tools to address the complexity of regulatory supervi-sion 7KHH[SHUWVVXUYH\HGE\WKHTXHVWLRQQDLUHDQGLQFOXGHGLQGLVFXVVLRQV DWPHHWLQJVVWUHVVHGWKDWUHJXODWRU\VXSHUYLVLRQLVDG\QDPLFSURFHVV DQGWKDWWKHDSSURDFKHVEHLQJH[DPLQHGLQWKLVVXUYH\ZHUHLPSRUWDQW WRROV XVHGLWHUDWLYHO\DQGLQFRPELQDWLRQWRDGGUHVVWKHFRPSOH[LW\RI UHJXODWRU\VXSHUYLVLRQ7KHVHDSSURDFKHVZHUHSUHVHQWHGDVFRPSOH PHQWDU\²QRWFRPSHWLQJ²ZD\VRIPDQDJLQJUHJXODWRU\SUDFWLFH
All of the approaches were used and considered use-ful $OORIWKHDSSURDFKHVZHUHXVHGDQGFRQVLGHUHGXVHIXOE\WKHPDMRULW\ RIUHVSRQGHQWV2YHUDOOUHVSRQGHQWVUHSRUWHGWKDWLQWKHLUH[SHULHQFH WKHUHKDGEHHQDQLQFUHDVHLQWKHXVHRIWKHVHDSSURDFKHVLQUHJXODWRU\ SUDFWLFHVXJJHVWLQJWKDWWKHXVHRIWKHVHDSSURDFKHVKDVEHFRPHPRUH HVWDEOLVKHGRYHUWLPH$OWKRXJKWKHUHZDVYDULDWLRQLQWKHOHYHORIXVH DQGUHSRUWHGXVHIXOQHVVRIVSHFLILFDSSURDFKHVDFURVVDUHDVRIUHJXOD WLRQWKHUHZDVVRPHXVHDQGUHSRUWHGXVHIXOQHVVRIHDFKDSSURDFK ZLWKLQHDFKRIWKHHLJKWDUHDVRIVXSHUYLVLRQ
The effectiveness and efficiency of any approach was tied to how appropriate it was to the specific charac-teristics of the case
7KHDSSURDFKHVXVHGDQGRYHUDOORXWFRPHRIWKHUHJXODWRU\VXSHUYL VLRQGHSHQGHGRQWKHFKDUDFWHULVWLFVRIWKHFDVH²LQFOXGLQJWKHH[SH ULHQFHRIWKHOLFHQVHHDQGWKHUHJXODWRUWKHVDIHW\VLJQLILFDQFHRIWKH LVVXHWKHOHYHORIWUXVWLQWKHOLFHQVHHUHJXODWRUUHODWLRQVKLSDQGWKH FRPSHWHQFHRIWKHOLFHQVHHDQGWKHUHJXODWRU&RPPHQWVE\UHVSRQG HQWVVXJJHVWHGWKDWDOODSSURDFKHVUHTXLUHH[SHUWLVHDQGUHVRXUFHVDQG SSM 2013:29
WKDWWKHOHYHOGHSHQGVRQWKHVSHFLILFFDVH2QHLPSOLFDWLRQRIWKHGLV FXVVLRQVRQUHVRXUFHVZDVWKDWFKRRVLQJWKHZURQJDSSURDFKIRUWKH FLUFXPVWDQFHVRIWKHFDVHLQFUHDVHGUHVRXUFHUHTXLUHPHQWV
Many of the findings from the 2003/04 study were sup-ported by the findings in the 2011/12 study
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²HVSHFLDOO\WKH H[SHULHQFHRIWKHOLFHQVHHDQGWKHUHJXODWRUDQGWKHUHODWLRQVKLSEH WZHHQWKHOLFHQVHHDQGWKHUHJXODWRU²WKDQWRWKHDSSURDFKRUFRPEL QDWLRQRIDSSURDFKHVXVHG
Circumstances affect the outcomes of regulatory su-pervision $QXPEHURIFLUFXPVWDQFHVZHUHQRWHGLQFRPPHQWVE\UHVSRQGHQWV WRWKHTXHVWLRQQDLUHDQGLQWKHGLVFXVVLRQVDWDJHQFLHV7KHVHLQFOXGHG H[SHULHQFHFKDUDFWHULVWLFVRIWKHLQGXVWU\WKHXVHRIFRQWUDFWRUVFR RSHUDWLRQDQGDJUHHPHQWEHWZHHQWKHUHJXODWRUDQGWKHOLFHQVHHFKDU DFWHULVWLFVRIWKHFDVHDQGWKHSHUIRUPDQFHOHYHORIOLFHQVHHVDQGUHJX ODWRUV7KHFLUFXPVWDQFHVWKDWZHUHPRVWRIWHQPHQWLRQHGDVKDYLQJD VLJQLILFDQWLPSDFWZHUHH[SHULHQFHRIWKHOLFHQVHHDQGWKHUHJXODWRUDV ZHOODVFRRSHUDWLRQDQGDJUHHPHQWEHWZHHQWKHOLFHQVHHDQGWKHUHJX ODWRU 7KHLPSRUWDQFHRIH[SHULHQFHDQGOHVVRQVOHDUQHGZDVHPSKDVL]HG WKURXJKRXWWKHFRPPHQWVE\UHVSRQGHQWVERWKLQUHIHUHQFHWRWKH FKRLFHRIDSSURDFKXVHGWRDGGUHVVDSDUWLFXODULVVXHDQGLQUHIHUHQFH WRWKHHIIHFWLYHLPSOHPHQWDWLRQRIDSSURDFKHVLQUHJXODWRU\SUDFWLFH ([SHULHQFHZDVWKHFKDUDFWHULVWLFPRVWRIWHQPHQWLRQHGDVDFLUFXP VWDQFHWKDWZRXOGKDYHDIIHFWHGWKHRXWFRPHRIWKHFDVH7KHLP SRUWDQFHRIOLFHQVHHFRQWUDFWRUDQGUHJXODWRUH[SHULHQFHZDVQRWHG 7KHOHYHORIFRRSHUDWLRQDQGDJUHHPHQWEHWZHHQWKHOLFHQVHHDQGWKH UHJXODWRUZDVPHQWLRQHGDVLQIOXHQFLQJWKHDSSURDFKVHOHFWHGWRDG GUHVVDUHJXODWRU\FRQFHUQDQGDVKDYLQJDVWURQJLPSDFWRQWKHUH VRXUFHVXVHG 7KUHHWRSLFVPHQWLRQHGDVKDYLQJDVLJQLILFDQWLPSDFWRQWKHHIIHF WLYHQHVVRIUHJXODWRU\SUDFWLFH²UHJDUGOHVVRIWKHDSSURDFKXVHG² HPHUJHGGXULQJWKHGLVFXVVLRQVDWUHJXODWRU\DJHQFLHV SSM 2013:29
WKHLPSRUWDQFHRIWKHDSSURSULDWHOHYHORIUHJXODWRU\DXWKRULW\DQG WKHLPSRVLWLRQRIPDQGDWRU\UHTXLUHPHQWV WKHLPSRUWDQFHRISURYLGLQJFOHDUUHJXODWRU\H[SHFWDWLRQVUHJDUG OHVVRIWKHDSSURDFKXVHG WKHW\SHRIFRPPXQLFDWLRQRULQWHUDFWLRQHQJDJHGLQE\WKHUHJXOD WRU\DJHQF\²LQIRUPDWLRQHGXFDWLRQLQIOXHQFHRUSURPRWLRQ 7KHVHWRSLFVPHULWDGGLWLRQDOUHYLHZDQGGLVFXVVLRQ SSM 2013:29
1. Introduction
7KLVUHSRUWSUHVHQWVWKHILQGLQJVIURPDVWXG\VSRQVRUHGE\ WKH6ZHGLVK5DGLDWLRQ6DIHW\$XWKRULW\ 660 7KHSXUSRVHRIWKH VWXG\ZDVWREHWWHUXQGHUVWDQGWKHXVHEHQHILWVDQGGLIILFXOWLHVRIGLI IHUHQWUHJXODWRU\DSSURDFKHVIRUUHJXODWRU\VXSHUYLVLRQRIFRPPHU FLDOQXFOHDUSRZHUVDIHW\7KHVWXG\XVHVWKHUHVXOWVIURPDQGIROORZV XSRQDSURMHFWVSRQVRUHGE\WKH6ZHGLVK1XFOHDU3RZHU,QVSHFWRUDWH 6.,QRZSDUWRI660 WKDWZDVFRPSOHWHGLQ ([SHULHQFH ZLWK5HJXODWRU\6WUDWHJLHVLQ1XFOHDU3RZHU2YHUVLJKW6.,5HSRUW 6SHFLILFDOO\660DVNHGWKDWWKHVWXG\ORRNDWUHJXODWRU\ SUDFWLFHVLQHLJKWDUHDVRIVXSHUYLVLRQWR VXUYH\H[SHULHQFHRIUHJXODWRU\VWDIIUHJDUGLQJWKHHIIHFWLYHQHVVRI GLIIHUHQWDSSURDFKHV VXUYH\H[SHULHQFHRIUHJXODWRU\VWDIIZLWKUHJDUGWRZKHWKHUWKH DSSURDFKHVXVHGDIIHFW ZKRWDNHVSULPDU\UHVSRQVLELOLW\IRUVDIHW\ KRZFOHDUWKHUHTXLUHPHQWVDQGH[SHFWDWLRQVDUHWROLFHQVHHV H[SHUWLVHUHTXLUHGRIOLFHQVHHVDQGUHJXODWRUV UHVRXUFHVUHTXLUHGRIWKHOLFHQVHHVDQGWKHUHJXODWRUV IOH[LELOLW\JLYHQWROLFHQVHHV SXEOLFFUHGLELOLW\RIWKHOLFHQVHHVDQGWKHUHJXODWRUV VDIHW\FXOWXUHRIWKHOLFHQVHHVDQGWKHUHJXODWRUV LGHQWLI\WKHDSSURDFKHVXVHGRYHUDOODQGLQHDFKDUHDRIVXSHUYL VLRQ LGHQWLI\FKDQJHVLQWKHXVHRIGLIIHUHQWDSSURDFKHVDQGWKHUHDVRQV IRUWKRVHFKDQJHV $ZULWWHQTXHVWLRQQDLUHRQUHJXODWRU\DSSURDFKHVZDVGHYHORSHGDQG DGPLQLVWHUHGWRDGGUHVVWKHVHTXHVWLRQV VHH$SSHQGL[IRUDFRS\RI WKHFRPSOHWHTXHVWLRQQDLUH ([SHUWVIURPILYHFRXQWULHV 6ZHGHQ 6SDLQWKH8QLWHG6WDWHV&DQDGDDQGWKH8QLWHG.LQJGRPSDUWLFLSDW HGLQWKHVXUYH\)LIW\IRXUTXHVWLRQQDLUHVZHUHUHWXUQHGEHWZHHQ)HE UXDU\DQG-XO\RI,QDGGLWLRQWRWKHVHTXHVWLRQQDLUHV PHPEHUVRIWKH,QWHUQDWLRQDO$WRPLF(QHUJ\$JHQF\ ,$($ ,QWH JUDWHG5HJXODWRU\5HYLHZ6HUYLFH ,556 PLVVLRQWR6ZHGHQLQ)HE UXDU\RIILOOHGRXWTXHVWLRQQDLUHV,QDGGLWLRQWRWKHTXHVWLRQ QDLUHVXUYH\PHHWLQJVZHUHKHOGDWHDFKRIWKHDJHQFLHVSDUWLFLSDWLQJ2: Regulatory supervision is defined in section 2.1.1 and includes all areas of regulatory
over-sight.
3: Available at http:// www.stralsakerhetsmyndigheten.se
4: These questionnaires did not include the identities, experience, or agencies of the
respond-ents. The data available from these questionnaires was examined to see if there were any significant differences in the approaches used. In addition, the case studies from these ques-tionnaires were used in the qualitative analysis.
LQWKHVWXG\5HVXOWVIURPWKHTXHVWLRQQDLUHVDQGWKHPHHW LQJGLVFXVVLRQVZHUHDQDO\VHGDQGDUHSUHVHQWHGLQWKLVUHSRUW /LNHWKHVWXG\WKHVWXG\ZDVH[SORUDWRU\LQQDWXUH ,WGLGQRWWHVWK\SRWKHVHVDQGZDVQRWH[SHFWHGWRSURGXFHSURRIRIWKH HIILFDF\RIDQ\SDUWLFXODUDSSURDFKRUVHWRIDSSURDFKHV7KHUHSRUWV VXPPDUL]HUHVSRQVHVDQGLGHQWLI\WKHPHVDFURVVWKHUHSRUWHGH[SHUL HQFHVRIH[SHUWVWKDWPD\SURYLGHLQVLJKWVWRUHJXODWRU\DJHQFLHVZLWK UHJDUGWRVXSHUYLVRU\SUDFWLFHV
1.1. Background and study goals
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²WKHUHDUHGLIILFXOWLHVWKDWDUHLQKHUHQWLQWKHMRE RIUHJXODWRU2QHRIWKHVHLVWKHRQJRLQJWHQVLRQLQHVWDEOLVKLQJWKH ERXQGDU\EHWZHHQUHJXODWRU\UHVSRQVLELOLWLHVIRUVDIHW\DQGLQGXVWU\ UHVSRQVLELOLWLHVIRUVDIHW\)RUH[DPSOHUHJXODWRUVPXVWEDODQFHWKH QHHGIRUOLFHQVHHIOH[LELOLW\WRFUHDWHVDIHRSHUDWLRQVZLWKWKHQHHGIRU WKHUHJXODWRUWRHVWDEOLVKFODULW\DQGVHWUHTXLUHPHQWVDQGVWDQGDUGV WKDWGHILQHSHUIRUPDQFHH[SHFWDWLRQV,QSUDFWLFHWKLVPHDQVILQGLQJD EDODQFHEHWZHHQ³XQGHUVSHFLILFLW\´ZKLFKFDQOHDGWRFRQIXVLRQDQG LQFRQVLVWHQF\LQPRQLWRULQJOLFHQVHHVDQG³RYHUVSHFLILFLW\´WKDWFDQ EHFRPHLQIOH[LEOH²UHGXFLQJWKHDELOLW\WRUHVSRQGWRQHZLQIRUPDWLRQ DQGWHFKQRORJ\²DQGWKDWPD\XQLQWHQWLRQDOO\PRYHUHVSRQVLELOLW\IRU VDIHW\IURPOLFHQVHHVWRWKHUHJXODWRU$QRWKHUGLIILFXOWDVSHFWRIUHJX ODWLRQLVPDLQWDLQLQJUHJXODWRU\LQGHSHQGHQFHDQGDXWRQRPRXVMXGJ PHQWZKLOHZRUNLQJFORVHO\ZLWKOLFHQVHHVDQGUHO\LQJRQWKHPDVD PDMRUVRXUFHRILQIRUPDWLRQDERXWRSHUDWLRQV5HJXODWRUVPXVWDOVR PDLQWDLQDZDUHQHVVRIWKHGLIIHUHQFHVLQWKHSULPDU\JRDOVRIWKHUHJX ODWRUDQGWKHLQGXVWU\:KLOHWKHUHJXODWRU¶VSULPDU\JRDOLVSXEOLF VDIHW\²IRUWKHOLFHQVHHWKHSULPDU\JRDOLVWRSURGXFHSRZHUDWD SURILW6DIHW\LVDQHFHVVDU\EXWQRWVXIILFLHQWFRQGLWLRQIRUWKHOLFHQ SSM 2013:29
VHHWRDFKLHYHWKDWJRDO+HQFHWKHUHJXODWRUDQGWKHOLFHQVHHPD\ KDYHGLIIHUHQWFULWHULDIRU³ZKDWLVVDIHHQRXJK"´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²QRWRQO\WRFRQVLGHUKRZWKH\PD\DIIHFWSODQW VDIHW\GLUHFWO\EXWDOVRWKHLULQGLUHFWHIIHFWVVXFKDVWKHLUHIIHFWRQ VDIHW\FXOWXUH$OWKRXJKUHJXODWRUVKDYHPDQ\\HDUVRIH[SHULHQFHLQ XVLQJYDULRXVDSSURDFKHVDQGSUDFWLFHVIRUGLIIHUHQWW\SHVRIVDIHW\ LVVXHVPXFKRIWKLVZHDOWKRIH[SHULHQFHKDVVWD\HGZLWKLQDJHQFLHV DVSDUWRIHYHU\GD\ZRUN$OWKRXJKUHJXODWRU\VWDIIRIWHQSUHVHQWWKHLU H[SHULHQFHZLWKUHJXODWRU\VXSHUYLVLRQDWLQWHUQDWLRQDOPHHWLQJV² LQFOXGLQJWKHDSSURDFKHVDQGSUDFWLFHVXVHG²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²WKHLUVHOHFWLRQWKHLUXVH DQGWKHLURXWFRPHV²VRWKDWUHJXODWRUVFDQEHWWHUXVHWKHPDVWRROVWR HQVXUHVDIHW\ 7KHVWXGLHVZHUHQRWLQWHQGHGWRILQGRQH³EHVW´DSSURDFKRUVHWRI DSSURDFKHVIRUUHJXODWLRQ,QVWHDGWKH\ZHUHLQWHQGHGWRHQFRXUDJH GLDORJXHDERXWUHJXODWRU\DSSURDFKHVDQGWRV\VWHPDWLFDOO\FROOHFW LQIRUPDWLRQDERXWKRZGLIIHUHQWUHJXODWRU\DSSURDFKHVDUHXVHG660 EHOLHYHGWKDWEXLOGLQJDEHWWHUXQGHUVWDQGLQJRIWKHLPSDFWVRIXVLQJ YDULRXVDSSURDFKHVEDVHGRQDV\VWHPDWLFFRPSDUDWLYHUHYLHZRIWKH H[SHULHQFHVRIUHJXODWRUVDFURVVFRXQWULHVZRXOGEHKHOSIXOWRLP
5: In the 2003/04 study, the specific ways in which regulators approached supervision were
referred to as “strategies”. Based on feedback from that study, in the 2011/12 study, and throughout this report, the term “approach” is used to refer to the specific approaches to super-vision and the term “strategy” is not used.
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
1.1.1.
Method and findings from 2003-2004 study and 2004 workshop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ee Appendix 2 for a comparison of the definitions of the strategies/approaches from the two
studies.
WKHGHILQLWLRQVZHUHFOHDUDQGDFFXUDWH WKHUHZHUHDGGLWLRQDODSSURDFKHVWKDWVKRXOGEHLQFOXGHG FRPELQDWLRQVRIDSSURDFKHVZHUHXVHG 1H[WLQWHUYLHZHHVZHUHDVNHGWRFKRRVHDVSHFLILFH[DPSOHRIWKHLU H[SHULHQFHZLWKWKHDSSURDFKRUDSSURDFKHVXVHGIRUVRPHDVSHFWRI UHJXODWRU\VXSHUYLVLRQLQWKUHHDUHDV 3ODQWGHVLJQDQGPRGLILFDWLRQV²YHULILFDWLRQWKDWSODQWPRGLILFD WLRQVGRQRWDEURJDWHLQLWLDOWHFKQLFDOGHVLJQEDVLV 4XDOLW\V\VWHPV²DVVXUDQFHWKDWV\VWHPVWRDVVXUHTXDOLW\ZRUN SHUIRUPDQFHDUHDGHTXDWHDQGZHOOLPSOHPHQWHG 7UDLQLQJDQGTXDOLILFDWLRQV²DVVXUDQFHRISURSHUSUHSDUDWLRQRIDOO VWDII ,QWHUYLHZHHVZHUHDVNHGWR³ZDONWKURXJK´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
Findings from the 2003/04 interviews
$OOUHVSRQGHQWVUHSRUWHGWKDWFRPELQDWLRQVRIUHJXODWRU\DSSURDFKHV ZHUHXVHGLQVXSHUYLVLRQRIWKHWKUHHIXQFWLRQDODUHDV KRZHYHUWKH FRPELQDWLRQVGLIIHUHGGHSHQGLQJRQWKHIXQFWLRQDODUHD)RUH[DPSOH LQWKHDUHDRIGHVLJQDQGPRGLILFDWLRQRYHUKDOIWKHH[DPSOHVLQFOXG HGWKHXVHRIDFRPELQDWLRQRISUHVFULSWLYHULVNEDVHGDQGSURFHVV EDVHGDSSURDFKHV2WKHUDSSURDFKHVZHUHPHQWLRQHGLQOHVVWKDQD WKLUGRIWKHH[DPSOHVLQWKLVDUHD,QWKHIXQFWLRQDODUHDVRITXDOLW\ V\VWHPVDQGWUDLQLQJDQGTXDOLILFDWLRQVRYHUWZRWKLUGVRIWKHH[DP SOHVUHSRUWHGDSURFHVVEDVHGDSSURDFKFRPELQHGZLWKRWKHUDS SURDFKHV ,QWHUYLHZHHVDOVRH[SUHVVHGRSLQLRQVDERXWWKHHIIHFWLYHQHVVRIGLIIHU HQWDSSURDFKHVDQGWKHHIIHFWRIGLIIHUHQWDSSURDFKHVRQYDULRXVDV SHFWVRIUHJXODWRU\VXSHUYLVLRQ7KHLPSDFWVUHSRUWHGLQFOXGHG :KHWKHUWKHOLFHQVHHRUWKHUHJXODWRUWDNHVSULPDU\UHVSRQVLELOLW\ IRUVDIHW\ +RZFOHDUUHTXLUHPHQWVDQGH[SHFWDWLRQVDUHWROLFHQVHHV 7KHVLJQLILFDQFHRIVDIHW\LVVXHVLGHQWLILHG ([SHUWLVHQHHGHGE\UHJXODWRUVDQGOLFHQVHHV 5HVRXUFHVXVHGE\UHJXODWRUVDQGOLFHQVHHV )OH[LELOLW\DYDLODEOHWROLFHQVHHV 3XEOLFFUHGLELOLW\ $UHSRUWRQWKHILQGLQJVIURPWKHLQWHUYLHZVZDVSUHSDUHGDQGUHSUH VHQWDWLYHVIURPHDFKFRXQWU\SDUWLFLSDWLQJLQWKHVWXG\PHWLQ DZRUNVKRSWRGLVFXVVWKHILQGLQJV
Workshop on findings from the 2003/04 study
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
7: It was noted that these findings do not necessarily apply to other areas of regulation, such as
waste management.
FHUWDLQFKDQJHVVKRXOGEHPDGHWRWKHWHUPVDQGGHILQLWLRQVSUR SRVHGLQWKHUHSRUW WKHVL[³VWUDWHJLHV´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
1.2. Overview of the 2011/12 study and organization of this report ,Q660FRPPLVVLRQHGDVWXG\WRGHYHORSDQGXVHDZULWWHQ TXHVWLRQQDLUHVXUYH\RIH[SHUWVIURP6ZHGHQDQGRWKHUFRXQWULHVWR DVVHVVFXUUHQWUHJXODWRU\VXSHUYLVLRQDQGWRIROORZXSRQWKHILQGLQJV IURPWKHVWXG\ 6SHFLILFDOO\660DVNHGWKDWWKHVWXG\ORRNDWUHJXODWRU\DS SURDFKHVWR
8: In the 2011/12 report the term “practice” rather than the suggested term “strategy” is used to
describe the use of a combination of approaches to achieve regulatory goals.
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
8VHRIUHJXODWRU\DSSURDFKHV &RQVHTXHQFHVRIGLIIHUHQWDSSURDFKHV ,VVXHVWKDWHPHUJHGIURPH[DPSOHVUHJDUGLQJUHJXODWRU\DS SURDFKHV &KDSWHU &LUFXPVWDQFHVWKDWDIIHFWUHJXODWRU\VXSHU YLVLRQ &KDSWHU 8VHIXOQHVVXVHHPSKDVLVDQGFKDQJHRIUHJXODWRU\DS SURDFKHV RYHUDOODQGZLWKLQDUHDVRIVXSHUYLVLRQ &KDSWHU 'LVFXVVLRQRIHDFKDSSURDFK 'HILQLWLRQXVHIXOQHVVXVH HPSKDVLVDQGFKDQJH &KDSWHU 6XPPDU\RIWKHILQGLQJVDQGFRQFOXGLQJUHPDUNV SSM 2013:29
2. Research plan and implementation
7KHUHVHDUFKPHWKRGIRUWKHVWXG\ZDVWRFROOHFWLQIRUPDWLRQ IURPQXFOHDUUHJXODWRU\H[SHUWVXVLQJDZULWWHQTXHVWLRQQDLUHVXUYH\ DQGIHHGEDFNIURPPHHWLQJVDWSDUWLFLSDWLQJDJHQFLHV7KHDQDO\VLV LQFOXGHGVXPPDUL]LQJUHVSRQVHV DQGFRQWHQWDQDO\VLVRIZULWWHQ FRPPHQWVRQWKHTXHVWLRQQDLUHVDQGPHHWLQJGLVFXVVLRQV 7KHUHVHDUFKSODQZDVWR 'HILQHWHUPV 'HYHORSWKHTXHVWLRQQDLUH $GPLQLVWHUWKHTXHVWLRQQDLUH &RPSOHWHLQLWLDODQDO\VLV 0HHWZLWKSDUWLFLSDWLQJDJHQFLHV $QDO\VHZULWWHQFRPPHQWVDQGGLVFXVVLRQ 2.1. Defining terms ,QRUGHUWRDVVXUHFRQVLVWHQF\RIUHVSRQVHVWRWKHTXHVWLRQQDLUHLWZDV LPSRUWDQWWRFODULI\GHILQLWLRQVIRUUHJXODWRU\VXSHUYLVLRQWKHDS SURDFKHVEHLQJHYDOXDWHGDQGWKHDUHDVRIVXSHUYLVLRQEHLQJDVVHVVHG 7KHVHGHILQLWLRQVZHUHUHYLHZHGE\660VWDIIWRDVVXUHWKDWWKH\FR LQFLGHGZLWKWKHUHVHDUFKJRDOV7KHGHILQLWLRQVRIWKHVHWHUPVZHUH SURYLGHGZLWKWKHTXHVWLRQQDLUH 2.1.1. Regulatory supervision )RUSXUSRVHVRIWKHVWXG\UHJXODWRU\VXSHUYLVLRQZDVGHILQHG DVHQFRPSDVVLQJWKHVXSHUYLVLRQRIWKHHQWLUHRUJDQL]DWLRQWKDWLVRS HUDWLQJWKHSODQW²LQFOXGLQJWKHPDQDJHPHQWDQGSODQQLQJRUJDQL]D WLRQV5HIHUHQFHVWRWKH³UHJXODWLRQ´DQG³VXSHUYLVLRQ´RIQXFOHDU SRZHUSODQWVZHUHWRUHIHUWRDOODVSHFWVRIUHJXODWRU\VXSHUYLVLRQ² LQFOXGLQJFRPPXQLFDWLRQLQVSHFWLRQDQGHQIRUFHPHQWRIUHJXODWLRQ DVZHOODVZULWWHQUHJXODWLRQDQGSROLF\SUDFWLFHV7KHWHUP³RYHU VLJKW´ZDVXVHGLQWKHLQWURGXFWLRQWRWKHTXHVWLRQQDLUHDQGLQWKH TXHVWLRQQDLUHDVDQDOWHUQDWLYHWRWKHWHUP³VXSHUYLVLRQ´,QRUGHUWR LPSURYHFODULW\RQO\WKHWHUP³VXSHUYLVLRQ´LVXVHGLQWKLVUHSRUW
9: Summary statistics of responses, including percentages, means, and standard deviations
were obtained. No inferential statistics, such as correlations, were derived as the data are not appropriate for that type of statistical analysis.
2.1.2. Approaches 6HYHQDSSURDFKHVZHUHWKHIRFLRIWKHVWXG\7KHDSSURDFKHV ZHUHEDVHGRQWKHVL[DSSURDFKHVIURPWKHVWXG\7KHWHUPV XVHGDQGWKHGHILQLWLRQVZHUHUHYLVHGWRUHVSRQGWRFRPPHQWVDQG VXJJHVWLRQVIURPLQWHUYLHZHHVDQGZRUNVKRSSDUWLFLSDQWV,QDGGLWLRQ education and influenceZDVDGGHGDVDQDSSURDFKEDVHGRQVXJJHV WLRQVPDGHIROORZLQJWKHVWXG\7KHVHYHQDSSURDFKHVLQ FOXGHGZHUHprescriptive, facility based, outcome based, risk or haz-ard based, process based, self-assessment, and education and/or in-fluence based. 'HILQLWLRQVRIWKHVHDSSURDFKHVDUHSURYLGHGLQ7DEOH EHORZ([DPSOHVRIWKHXVHRIHDFKDSSURDFKLQWKHDUHDRI SHUVRQQHOFRPSHWHQF\ZHUHSURYLGHGLQWKHGHILQLWLRQV2QHUHFXUULQJ FRPPHQWRQWKHGHILQLWLRQVZDVWKDWLWZRXOGEHXVHIXOWRKDYHH[DP SOHVRIHDFKDSSURDFKIURPHDFKDUHDRIVXSHUYLVLRQ:KLOHWKLVZDV QRWSRVVLEOHIRUWKLVSURMHFWLWLVDXVHIXOVXJJHVWLRQIRUIXUWKHUZRUN LQWKLVDUHD 2.1.3. Areas of supervision 660ZDVLQWHUHVWHGLQORRNLQJDWUHJXODWRU\SUDFWLFHVLQHLJKWDUHDVRI VXSHUYLVLRQ7KHVWXG\KDGDGGUHVVHGWKUHHDUHDV IDFLOLW\ GHVLJQDQGPRGLILFDWLRQV TXDOLW\V\VWHPV DQGWUDLQLQJDQGTXDOLILFD WLRQV7KHVWXG\UHYLVLWVPDMRUSODQWPRGLILFDWLRQV SDUWRI ³GHVLJQDQGPRGLILFDWLRQV´IURPWKHVWXG\ DQGORRNVDWVHY HQDGGLWLRQDODUHDV PDQDJHPHQWV\VWHPVPDLQWHQDQFHRSHUDWLRQV VDIHW\FXOWXUHORQJWHUPRSHUDWLRQ LQFOXGHVSODQWOLIHH[WHQVLRQDQG OLFHQVHUHQHZDO DQGSRZHUXSUDWHVDQGFRQVWUXFWLRQ VHH7DEOH IRUGHILQLWLRQVRIWKHVHDUHDV
10: A comparison of the definitions of these approaches with the “strategies” used in the
2003/04 study is provided in Appendix 2.
11: Some functional areas, such as power up rates and construction of new nuclear power
plants, are not relevant for some agencies. In this case only those agencies engaging in the activity filled out the questionnaire.
7DEOH 5HJXODWRU\$SSURDFKHVDQG'HILQLWLRQV 1RWH WKHVHDSSURDFKHVDUHQRWGHILQHGDVPXWXDOO\H[FOXVLYH $SSURDFK 'HVFULSWLRQ 3UHVFULSWLYH $SUHVFULSWLYHDSSURDFKHVWDEOLVKHVVSHFLILFUHTXLUHPHQWVIRUFRQ GXFWLQJDFWLYLWLHVLQFOXGLQJWHFKQLFDOVROXWLRQVExample: In the
area of personnel competency, requirements for specific education-al degrees or experience for a position would be prescriptive
)DFLOLW\ $IDFLOLW\EDVHGDSSURDFKGHWHUPLQHVWKHVDIHW\UHTXLUHPHQWVIRU HDFKOLFHQVHHWKURXJKLQGLYLGXDODVVHVVPHQWRILWVGHVLJQDQGRSHUD WLRQFRQVLGHULQJWKHXQLTXHKLVWRU\RIHDFKIDFLOLW\. Example: In the
area of personnel competency, requirements for different positions based on the characteristics of the facility would be a facility based approach
2XWFRPH $QRXWFRPHDSSURDFKHVWDEOLVKHVVSHFLILFSHUIRUPDQFHJRDOVRU RXWFRPHVIRUOLFHQVHHVWRDWWDLQEXWGRHVQRWVSHFLI\KRZWKH\VKDOO EHDWWDLQHG/LFHQVHHVGHWHUPLQHKRZWKH\ZLOOFRQGXFWWKHLUZRUN DFWLYLWLHVExample: In the area of personnel competency,
perfor-mance on a simulator would be outcome based.
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xample: In the area of personnel
com-petency, a requirement that licensees use a systematic approach to training to determine requirements would be process based.
6HOI $VVHVVPHQW /LFHQVHHVGHYHORSDQGLPSOHPHQWVHOIDVVHVVPHQWSURJUDPVLQFOXGLQJWKHLGHQWLILFDWLRQRIERWKJRRGSUDFWLFHVDQGSUREOHPDUHDV QHHGLQJLPSURYHPHQWLQWHUQDOUHYLHZVDQGIROORZXS7KHUHJXOD WRUHYDOXDWHVWKHOLFHQVHHVHOIDVVHVVPHQWSURJUDPUHYLHZVWKH UHVXOWVRIWKHOLFHQVHHDVVHVVPHQWVDQGVHOHFWLYHO\LQVSHFWVWKH OLFHQVHHV¶IROORZXSRQVHOIDVVHVVPHQWUHVXOWVExample: In the
area of personnel competency, a requirement that licensees do an evaluation of how effective and complete their training program is would be an example of self-assessment.
,QIOXHQFHRU (GXFDWLRQ 7KHUHJXODWRUSURYLGHVLQIRUPDWLRQDQGWUDLQLQJRSSRUWXQLWLHVIRU WKHLQGXVWU\²LQFOXGLQJZRUNVKRSVIHHGEDFNUHVHDUFKUHVXOWVDQG RWKHULQIRUPDWLRQ²LQRUGHUWRLPSURYHLQGXVWU\SHUIRUPDQFH.
Ex-ample: In the area of personnel competency, the regulator sponsor-ing a seminar on trainsponsor-ing for licensees or presentsponsor-ing at a regulatory information conference regarding training activities would be edu-cation or influence based.
7DEOH 'HILQLWLRQVRI$UHDVRI5HJXODWRU\6XSHUYLVLRQ Management systems 5HJXODWRU\VXSHUYLVLRQRImanagementV\VWHPVDWRSHUDWLQJ QXFOHDUSRZHUSODQWV Maintenance 5HJXODWRU\VXSHUYLVLRQRImaintenanceDFWLYLWLHVDWRSHUDWLQJ QXFOHDUSRZHUSODQWV Operations 5HJXODWRU\VXSHUYLVLRQRIoperationsDWRSHUDWLQJQXFOHDUSRZHU SODQWV
Safety Culture 5HJXODWRU\VXSHUYLVLRQRIsafety cultureDWRSHUDWLQJQXFOHDU
SRZHUSODQWV
Plant Life Ex-tension 5HJXODWRU\LQVSHFWLRQDQGDVVHVVPHQWVXSHUYLVLRQLQFRQQHF WLRQZLWKGHFLVLRQVRQ/RQJ7HUP2SHUDWLRQ LTO)/plant life extension/OLFHQVHUHQHZDO Major Plant Modifications 5HJXODWRU\LQVSHFWLRQDQGDVVHVVPHQWVXSHUYLVLRQRImajor plant modifications
Power Up Rates 5HJXODWRU\LQVSHFWLRQDQGDVVHVVPHQWVXSHUYLVLRQRIpower up rates.)RUSXUSRVHVRIWKLVVWXG\DSRZHUXSUDWHLVGHILQHGDV WKHSURFHVVRILQFUHDVLQJWKHPD[LPXPOLFHQVHGSRZHUOHYHODW ZKLFKDFRPPHUFLDOQXFOHDUSRZHUSODQWPD\RSHUDWH7KHSRZ HUXSUDWHLVJHQHUDOO\FDWHJRUL]HGEDVHGRQWKHPDJQLWXGHRIWKH SRZHULQFUHDVHDQGWKHPHWKRGVXVHGWRDFKLHYHWKHLQFUHDVH Construction 5HJXODWRU\VXSHUYLVLRQRIconstructionDQGFRPPLVVLRQLQJRI QHZQXFOHDUSRZHUSODQWVDVDEDVLVWRWDNHWKHSODQWLQWRRSHUD WLRQ H[FOXGLQJWKHUHJXODWRU\DFWLYLWLHVIRULVVXLQJDFRQVWUXF WLRQOLFHQVLQJSHUPLW
2.2. Developing the questionnaire
$TXHVWLRQQDLUHZDVGHYHORSHGWRDGGUHVVWKHTXHVWLRQVRILQWHUHVWWR 660 ,GHQWLI\WKHDSSURDFKHVXVHGRYHUDOODQGLQHDFKDUHDRIVXSHUYL VLRQ 6XUYH\H[SHULHQFHRIUHJXODWRU\VWDIIUHJDUGLQJWKHHIIHFWLYHQHVV RIGLIIHUHQWDSSURDFKHV ,GHQWLI\FKDQJHVLQWKHXVHRIGLIIHUHQWDSSURDFKHVDQGWKHUHDVRQV IRUWKRVHFKDQJHV 6XUYH\H[SHULHQFHRIUHJXODWRU\VWDIIZLWKUHJDUGWRZKHWKHUWKH DSSURDFKHVXVHGDIIHFW ZKRWDNHVSULPDU\UHVSRQVLELOLW\IRUVDIHW\ KRZFOHDUWKHUHTXLUHPHQWVDQGH[SHFWDWLRQVDUHWROLFHQVHHV UHVROXWLRQRILPSRUWDQWVDIHW\LVVXHV SSM 2013:29
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±RQHRIDVXFFHVV IXOFDVHDQGRQHRIDOHVVVXFFHVVIXOFDVH)RUHDFKH[DPSOHWKHUH VSRQGHQWLGHQWLILHGWKHDSSURDFKHVXVHGWKHOHYHORIHPSKDVLVIRU WKRVHDSSURDFKHVWKHHIIHFWLYHQHVVRIWKRVHDSSURDFKHVDQGWKHHIIHFW RIWKHRYHUDOOUHJXODWRU\VXSHUYLVLRQRIWKHFDVHRQWKHORFXVRIVDIHW\ UHVSRQVLELOLW\FODULW\RIUHTXLUHPHQWVUHVROXWLRQRIVDIHW\LVVXHVH[ SHUWLVHQHHGHGE\OLFHQVHHVDQGUHJXODWRUVDQGUHVRXUFHVXVHGE\OL FHQVHHVDQGUHJXODWRUV7KHVHFRQGVHFWLRQDVNHGDERXWWKHDSSURDFK HVXVHGLQWKHXVXDODSSURDFKIRUDGGUHVVLQJUHJXODWRU\VXSHUYLVLRQLQ WKHUHVSRQGHQW¶VDUHD ZKHWKHUWKHUHKDGEHHQFKDQJHLQWKHDSSURDFK HVXVHGDQGLIVRZK\ DQGWKHSHUFHLYHGHIIHFWVRIWKHDSSURDFKHVRQ IOH[LELOLW\SURYLGHGWROLFHQVHHVSXEOLFFUHGLELOLW\DQGVDIHW\FXOWXUH 7KHWKLUGVHFWLRQUHTXHVWHGLQIRUPDWLRQRQWKHFODULW\RIWKHGHILQL WLRQVRIWKHDSSURDFKHVDQGWKHRYHUDOOXVHIXOQHVVRIHDFKDSSURDFK LQWKHUHVSRQGHQW¶VDUHD7KHVHVHFWLRQVDUHGHVFULEHGLQPRUHGHWDLO EHORZ $VXPPDU\RIWKHTXHVWLRQQDLUHLVSURYLGHGLQ7DEOHDQGDFRP SOHWHFRS\RIWKHTXHVWLRQQDLUHLVSURYLGHGDV$SSHQGL[7KHTXHV WLRQQDLUHVZHUHSURGXFHGLQ3')IRUPDWDQGZHUHILOOHGLQDQGUH WXUQHGHOHFWURQLFDOO\
2.2.1. Section I: Case study examples
,QRUGHUWRHYDOXDWHWKHDSSURDFKHVXVHGLQUHJXODWRU\VXSHUYLVLRQWKH VWXG\XVHGLQWHUYLHZVWRREWDLQFDVHVWXGLHVRIUHJXODWRU\
12: Respondents were asked whether they found the definitions clear, with options for response
of 1 (very clear) to 5 (very unclear). The ratings for the clarity of the definitions were similar across all of the approaches. The proportion of those responding that the definition was be-tween somewhat to very clear (a rating of 3, 2, or 1) ranged from 85% to 93% (see Tables 7.1 through 7.7). Because the definitions of approaches were reported as relatively clear by the majority of the respondents, lack of understanding of the approaches should not substantially impact the validity of the results.
