INTEGRATED REGULATORY REVIEW SERVICE (IRRS)
综合监管审查服务（IRS）

THE UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
大不列颠及北爱尔兰联合王国

INTEGRATED REGULATORY REVIEW SERVICE (IRRS)
综合监管审查服务（IRS）

TO  到
THE UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
大不列颠及北爱尔兰联合王国

REPORT OF THE
INTEGRATED REGULATORY REVIEW SERVICE (IRRS) MISSION
TO
综合监管审查处（IRRS）考察报告

1. RESPONSIBILITIES AND FUNCTIONS OF THE GOVERNMENT … 15
   1.1 NATIONAL POLICY AND STRATEGY FOR SAFETY … 15
   1.2 ESTABLISHMENT OF A FRAMEWORK FOR SAFETY … 15
   1.2 建立安全框架...... 15
   1.3 ESTABLISHMENT OF A REGULATORY BODY AND ITS INDEPENDENCE … 16
   1.4 RESPONSIBILITY FOR SAFETY AND COMPLIANCE WITH REGULATIONS … 17
   1.5 COORDINATION OF AUTHORITIES WITH RESPONSIBILITIES FOR SAFETY WITHIN THE REGULATORY FRAMEWORK … 18
   1.6 SYSTEM FOR PROTECTIVE ACTIONS TO REDUCE EXISTING OR UNREGULATED RADIATION RISKS … 19
   1.7 PROVISIONS FOR THE DECOMMISSIONING OF FACILITIES AND THE MANAGEMENT OF RADIOACTIVE WASTE AND OF SPENT FUEL … 20
   1.8 COMPETENCE FOR SAFETY … 22
   1.8 安全能力...... 22
   1.9 PROVISION OF TECHNICAL SERVICES … 23
   1.10. POLICY ISSUE DISCUSSION: MANAGEMENT OF NUCLEAR MATERIAL AND RADIOACTIVE WASTE … 23
   1.10.
   1.11. SUMMARY … 24
   1.11.
2. THE GLOBAL SAFETY REGIME … 25
   2.1 INTERNATIONAL OBLIGATIONS AND ARRANGEMENTS FOR INTERNATIONAL COOPERATION … 25
   2.2 SHARING OF OPERATING EXPERIENCE AND REGULATORY EXPERIENCE … 25
   2.3. SUMMARY … 27
   2.3.
3. RESPONSIBILITIES AND FUNCTIONS OF THE REGULATORY BODY … 28
   3.1. ORGANIZATIONAL STRUCTURE OF THE REGULATORY BODY AND ALLOCATION OF RESOURCES … 31
   3.1.
   3.2. EFFECTIVE INDEPENDENCE IN THE PERFORMANCE OF REGULATORY FUNCTIONS … 33
   3.2.
   3.3. STAFFING AND COMPETENCE OF THE REGULATORY BODY … 34
   3.3.
   3.4. LIAISON WITH ADVISORY BODIES AND SUPPORT ORGANIZATIONS … 37
   3.4.
   3.5. LIAISON BETWEEN THE REGULATORY BODY AND AUTHORIZED PARTIES. … 38
   3.5.监管机构与授权方之间的联络。... 38
   3.6. STABILITY AND CONSISTENCY OF REGULATORY CONTROL … 39
   3.6.
   3.7. SAFETY RELATED RECORDS. … 40
   3.7.安全相关记录。... 40
   3.8. COMMUNICATION AND CONSULTATION WITH INTERESTED PARTIES … 41
   3.8.
   3.9. POLICY ISSUE DISCUSSION: PUBLIC ENGAGEMENT AROUND RISK … 42
   3.9.
   3.10. POLICY ISSUE DISCUSSION: REGULATORY INNOVATION AND REGULATING ADVANCED NUCLEAR TECHNOLOGIES … 43
   3.10.
   3.11. SUMMARY … 43
   3.11.总结 ... 43
4. MANAGEMENT SYSTEM OF THE REGULATORY BODY … 45
   4.1. RESPONSIBILITY AND LEADERSHIP FOR SAFETY … 45
   4.1.
   4.2. RESPONSIBILITY FOR INTEGRATION OF SAFETY INTO THE MANAGEMENT SYSTEM … 46
   4.2.
   4.3. THE MANAGEMENT SYSTEM … 47
   4.3.
   4.4. MANAGEMENT OF RESOURCES … 52
   4.4.资源管理...... 52
   4.5. MANAGEMENT OF PROCESSES AND ACTIVITIES … 53
   4.5.
   4.6. CULTURE FOR SAFETY … 55
   4.6.安全文化...... 55
   4.7. MEASUREMENT, ASSESSMENT AND IMPROVEMENT … 56
   4.7.
   4.8. SUMMARY … 58
   4.8.总结 ... 58
5. AUTHORIZATION … 59  授权 ... 59
   5.1. GENERIC ISSUES … 59
   5.1.
   5.2. AUTHORIZATION OF NUCLEAR POWER PLANTS … 60
   5.2.
   5.3. AUTHORIZATION OF FUEL CYCLE FACILITIES … 61
   5.3.
   5.4. AUTHORIZATION OF RADIOACTIVE WASTE MANAGEMENT FACILITIES. … 61
   5.4.放射性废物管理设施的授权... 61
   5.5. AUTHORIZATION OF RADIATION SOURCES FACILITIES AND ACTIVITIES … 62
   5.5.
   5.6. AUTHORIZATION OF DECOMMISSIONING ACTIVITIES … 64
   5.6.
   5.7. AUTHORIZATION OF TRANSPORT … 64
   5.7.
   5.8. AUTHORIZATION ISSUES FOR OCCUPATIONAL EXPOSURE … 65
   5.8.
   5.9. AUTHORIZATION ISSUES FOR MEDICAL EXPOSURE … 66
   5.9.
   5.10. AUTHORIZATION ISSUES FOR PUBLIC EXPOSURE. … 68
   5.10.... 68
   5.11. SUMMARY … 69
   5.11.
6. REVIEW AND ASSESSMENT … 70
   审查和评估...... 70
   6.1. GENERIC ISSUES … 70
   6.1.
   6.1.1. MANAGEMENT OF REVIEW AND ASSESSMENT … 70
   6.1.1.
   6.1.2. ORGANIZATION AND TECHNICAL RESOURCES FOR REVIEW AND ASSESSMENT … 71
   6.1.2.
   6.1.3. BASES FOR REVIEW AND ASSESSMENT … 72
   6.1.3.
   6.1.4. PERFORMANCE OF REVIEW AND ASSESSMENT … 73
   6.1.4.审查和评估的绩效...... 73
   6.2. REVIEW AND ASSESSMENT FOR NUCLEAR POWER PLANTS … 73
   6.2.
   6.3. REVIEW AND ASSESSMENT FOR FUEL CYCLE FACILITIES. … 73
   6.3.... 73
   6.4. REVIEW AND ASSESSMENT FOR WASTE MANAGEMENT FACILITIES … 74
   6.4.
   6.5. REVIEW AND ASSESSMENT FOR RADIATION SOURCES FACILITIES AND ACTIVITIES … 74
   6.5.
   6.6. REVIEW AND ASSESSMENT FOR DECOMMISSIONING ACTIVITIES … 76
   6.6.
   6.7. REVIEW AND ASSESSMENT FOR TRANSPORT … 77
   6.7.
   6.8. REVIEW AND ASSESSMENT FOR OCCUPATIONAL EXPOSURE … 77
   6.8.
   6.9. REVIEW AND ASSESSMENT FOR MEDICAL EXPOSURE … 77
   6.9.
   6.10. REVIEW AND ASSESSMENT FOR PUBLIC EXPOSURE … 78
   6.10.
   6.11. SUMMARY … 80
   6.11.总结
7. INSPECTION … 81  检查 ... 81
   7.1. GENERIC ISSUES … 81
   7.1.
   7.2. INSPECTION OF NUCLEAR POWER PLANTS … 81
   7.2.检查核电站...... 81
   7.3. INSPECTION OF FUEL CYCLE FACILITIES … 83
   7.3.
   7.4. INSPECTION OF WASTE MANAGEMENT FACILITIES … 83
   7.4.
   7.5. INSPECTION OF RADIATION SOURCES FACILITIES AND ACTIVITIES … 84
   7.5.
   7.6. INSPECTION OF DECOMMISSIONING ACTIVITIES … 87
   7.6.
   7.7. INSPECTION OF TRANSPORT … 87
   7.7.运输检查...... 87
   7.8. INSPECTION OF OCCUPATIONAL EXPOSURE … 88
   7.8.职业接触检查...... 88
   7.9. INSPECTION OF MEDICAL EXPOSURE … 89
   7.9.医疗接触检查...... 89
   7.10. INSPECTION OF PUBLIC EXPOSURE … 92
   7.10.
   7.11. SUMMARY … 92
   7.11.
8. ENFORCEMENT … 93  执行...... 93
   8.1. ENFORCEMENT POLICY AND PROCESS … 93
   8.1.
   8.2. ENFORCEMENT IMPLEMENTATIONS … 96
   8.2.执行实施...... 96
   8.3. SUMMARY … 98
   8.3.
9. REGULATIONS AND GUIDES … 99
   9.1. GENERIC ISSUES. … 99
   9.1.一般问题。... 99
   9.2. REGULATIONS AND GUIDES FOR NUCLEAR POWER PLANTS … 101
   9.2.
   9.3. REGULATIONS AND GUIDES FOR FUEL CYCLE FACILITIES … 102
   9.3.
   9.4. REGULATIONS AND GUIDES FOR WASTE MANAGEMENT FACILITIES … 102
   9.4.
   9.5. REGULATIONS AND GUIDES FOR RADIATION SOURCES FACILITIES AND ACTIVITIES … 105
   9.5.
   9.6. REGULATIONS AND GUIDES FOR DECOMMISSIONING ACTIVITIES … 107
   9.6.
   9.7. REGULATIONS AND GUIDES FOR TRANSPORT … 108
   9.7.运输条例和指南...... 108
   9.8. REGULATIONS AND GUIDES FOR OCCUPATIONAL EXPOSURE … 108
   9.8.职业接触法规和指南...... 108
   9.9. REGULATIONS AND GUIDES FOR MEDICAL EXPOSURE … 109
   9.9.
   9.10. REGULATIONS AND GUIDES FOR PUBLIC EXPOSURE … 110
   9.10.
   9.11. SUMMARY … 111
   9.11.摘要 ... 111
10. EMERGENCY PREPAREDNESS AND RESPONSE REGULATORY ASPECTS … 112
    应急准备和响应的监管方面...... 112
    10.1. AUTHORITY AND RESPONSIBILITIES FOR REGULATING ON-SITE EPR OF OPERATING ORGANIZATIONS … 112
    10.1.
    10.2. REGULATIONS AND GUIDES ON ON-SITE EP&R OF OPERATING ORGANIZATIONS … 112
    10.2.
    10.3. VERIFYING THE ADEQUACY OF ON-SITE EP&R OF OPERATING ORGANIZATIONS … 114
    10.3.
    10.4. ROLES OF THE RB IN A NUCLEAR OR RADIOLOGICAL EMERGENCY … 115
    10.4.
    10.5. SUMMARY … 117
    10.5.
11. INTERFACE WITH NUCLEAR SECURITY … 119
    119
    11.1. LEGAL BASIS … 119
    11.1.法律依据...... 119
    11.2. REGULATORY OVERSIGHT ACTIVITIES … 120
    11.2.监管活动...... 120
    11.3. INTERFACE AMONG AUTHORITIES … 120
    11.3.
    11.4. SUMMARY … 121
    11.4.摘要 ... 121
    IRRS UK REVIEW TEAM … 122
    英国劳资关系审查小组...... 122
    APPENDIX I - LIST OF PARTICIPANTS … 123
    APPENDIX II - MISSION PROGRAMME. … 125
    附录 II - 任务计划.... 125
    APPENDIX III - IRRS MISSION COUNTERPARTS … 127
    APPENDIX IV - RECOMMENDATIONS ®, SUGGESTIONS (S) AND GOOD PRACTICES (GP) … 134
    APPENDIX V - REFERENCE MATERIAL PROVIDED BY THE COUNTERPARTS … 139
    APPENDIX VI - IAEA REFERENCE MATERIAL USED FOR THE REVIEW … 162

EXECUTIVE SUMMARY  执行摘要

• ONR has developed a matrix management structure that effectively allocates resources and improves hiring, training and strategic planning practices of the organization;
  欧空局建立了矩阵式管理结构，有效地分配资源，改进本组织的招聘、培训和战略规划工作；
• Security officers (i.e., Counter Terrorist Security Adviser), who specialize in radiological matters, advise the environment regulators on security measures for category 1 to 4 radioactive sources.
  专门从事放射性事务的安全官员（即反恐安全顾问）就第 1 至第 4 类放射源的安全措施向环境监管机构提供建议。
  The IRRS team concluded that the preparation for the mission has re-energized cooperation between regulatory bodies in the UK and allowed a better understanding of the IAEA safety standards. The team encourages the UK to continue with this level of cooperation.
  IRRS 小组得出结论认为，这次考察的筹备工作为英国监管机构之间的合作重新注入 了活力，并使其更好地了解了原子能机构的安全标准。考察组鼓励英国继续保持这种程度的合作。
  Strengths identified during the IRRS mission include:
  IRRS 考察期间发现的优势包括
• All regulatory authorities have dedicated and competent staff
  所有监管机构都有专职和称职的工作人员
• All regulatory authorities publish extensive regulatory guidance for authorized parties
  所有监管机构都为授权方发布了广泛的监管指南
• ONR has an effective regulatory framework for nuclear safety with clear strategies for the regulatory oversight of nuclear licensed sites
  英国国家核研究局拥有有效的核安全监管框架，并制定了明确的核许可场地监管战略
  The IRRS team also identified areas for further improvement:
  IRRS 小组还确定了需要进一步改进的领域：
• The UK Government should publish a single, formalized statement of its national policy and strategy for safety
  英国政府应就其国家安全政策和战略发布一份单一的正式声明
• HSE, HSENI and ONR should improve their regulatory oversight of occupational exposures, especially their processes for granting consent for high-risk activities
  英国健康、安全与环境部（HSE）、英国健康、安全与环境研究所（HSENI）和英国国家核研究局（ONR）应改进对职业暴露的监管监督，特别是对高风险活动的审批程序
• CQC, HIS, HIW and RQIA should improve their oversight of medical exposures not related to the administration of radioactive substances
  CQC、HIS、HIW 和 RQIA 应加强对与放射性物质管理无关的医疗照射的监督
• HSE and other relevant regulatory authorities should develop long term inspection programs
  HSE 和其他相关监管机构应制定长期检查计划
• Several regulatory authorities should improve their respective human resource plans to align with their oversight functions for radiation safety
  一些监管机构应改进各自的人力资源计划，使其与辐射安全监督职能相一致
• All regulatory authorities should further develop their management systems
  所有监管机构都应进一步发展其管理系统
• All regulatory authorities should systematically take into account IAEA safety standards in the development of regulatory guidance
  所有监管机构在制定监管指南时都应系统地考虑原子能机构的安全标准
  The IRRS team consisted of 18 senior regulatory experts from 14 IAEA Member States, 2 IAEA staff members and 1 IAEA administrative assistant, and 3 observers. The IRRS team carried out the review in the following areas: responsibilities and functions of the government; the global nuclear safety regime; responsibilities and functions of the regulatory body; the management system of the regulatory body; the activities and processes of the regulatory body including authorization, review and assessment, inspection, enforcement and the development and content of regulations and guides; and emergency preparedness and response. The review also included the optional review area on interface with nuclear security. Facilities, activities and exposure situations covered included nuclear power plants, radiation source applications, fuel cycle facilities, waste management facilities, decommissioning, transport of radioactive material, occupational exposure, medical exposure, and public exposure. In addition, three policy issues were discussed: (1) Public engagement around risk, (2) Regulatory Innovation and Regulating Advanced Nuclear Technologies, and (3) Management of Nuclear and Radioactive Material and Waste.
  IRRS 小组由来自 14 个原子能机构成员国的 18 名高级监管专家、2 名原子能机构 工作人员和 1 名原子能机构行政助理以及 3 名观察员组成。评审组在以下领域进行了评审：政府的责任和职能；全球核安全制度；监管机构的责任和职能；监管机构的管理制度；监管机构的活动和程序，包括授权、审查和评估、视察、执法以及条例和指南的制定和内容；以及应急准备和响应。审查还包括与核安全接口的可选审查领域。涉及的设施、活动和辐照情况包括核电厂、辐射源应用、燃料循环设施、废物管理设施、退役、放射性材料运输、职业辐照、医疗辐照和公众辐照。此外，还讨论了三个政策问题：(1) 围绕风险的公众参与，(2) 监管创新与先进核技术的监管，以及 (3) 核与放射性材料及废物的管理。
  The UK authorities conducted a self-assessment in preparation for the mission and presented a preliminary action plan. The results of the self-assessment, including a summary report, and supporting documentation were provided to the IRRS team as advance reference material for the mission.
  联合王国当局在筹备考察时进行了自我评估，并提出了初步行动计划。自我评估的结果，包括一份简要报告和辅助文件，已作为考察团的预先参考资料提供给综合报告和建议小组。

I. INTRODUCTION  I.引言

II. OBJECTIVE AND SCOPE
II.目标和范围

III. BASIS FOR THE REVIEW
III.审查依据

I. PREPARATORY WORK AND IAEA REVIEW TEAM
I.筹备工作和原子能机构审查小组

• Nuclear power plants  核电站
• Radiation sources applications
  辐射源应用
• Fuel cycle facilities  燃料循环设施
• Radioactive waste management
  放射性废物管理
• Decommissioning  退役
• Emergency preparedness and response
  应急准备和响应
• Transport of radioactive material
  放射性材料的运输
• Occupational exposure  职业接触
• Medical exposure  医疗接触
• Public exposure  公开曝光

II. REFERENCES FOR THE REVIEW
II.审查参考文献

III. CONDUCT OF THE REVIEW
III.审查的进行

1. RESPONSIBILITIES AND FUNCTIONS OF THE GOVERNMENT
1.政府的责任和职能

1.1 NATIONAL POLICY AND STRATEGY FOR SAFETY
1.1 国家安全政策和战略

RECOMMENDATIONS, SUGGESTIONS AND GOOD PRACTICES
建议、意见和良好做法

1.2 ESTABLISHMENT OF A FRAMEWORK FOR SAFETY
1.2 建立安全框架

1.3 ESTABLISHMENT OF A REGULATORY BODY AND ITS INDEPENDENCE
1.3 管理机构的建立及其独立性

• Health and Safety Executive (HSE)
  健康与安全执行局（HSE）
• Health and Safety Executive Northern Ireland (HSENI)
  北爱尔兰健康与安全执行局（HSENI）
• Care Quality Commission (CQC)
  护理质量委员会（CQC）
• Healthcare Inspectorate Wales (HIW)
  威尔士医疗卫生监察局 (HIW)
• Healthcare Improvement Scotland (HIS) on behalf of the Scottish Ministers
  苏格兰医疗保健改善局（HIS）代表苏格兰部长
• Regulation and Quality Improvement Authority (Northern Ireland) (RQIA)
  北爱尔兰监管和质量改进局（RQIA
• Environment Agency (EA)  环境局（EA）
• $$$$quad\quad Scottish Environment Protection Agency (SEPA)
  $$$$quad\quad 苏格兰环境保护局（SEPA）
• $$$$quad\quad Natural Resources Wales (NRW)
  $$$$quad\quad 威尔士自然资源部（NRW）
• Northern Ireland Environment Agency (NIEA)
  北爱尔兰环境局（NIEA）
• Maritime and Coastguard Agency (MCA)
  海事和海岸警卫局（MCA）
• Civil Aviation Authority (CAA)
  民航局（CAA）
• Food Standards Agency (FSA)
  食品标准局（FSA）
• Food Standards Scotland (FSS)
  苏格兰食品标准局（FSS）

1.4 RESPONSIBILITY FOR SAFETY AND COMPLIANCE WITH REGULATIONS
1.4 安全和遵守规定的责任

1.5 COORDINATION OF AUTHORITIES WITH RESPONSIBILITIES FOR SAFETY WITHIN THE REGULATORY FRAMEWORK
1.5 在监管框架内协调安全责任部门

RECOMMENDATIONS, SUGGESTIONS AND GOOD PRACTICES
建议、意见和良好做法

1.6 SYSTEM FOR PROTECTIVE ACTIONS TO REDUCE EXISTING OR UNREGULATED RADIATION RISKS
1.6 降低现有或未受管制的辐射风险的防护行动系统

1.7 PROVISIONS FOR THE DECOMMISSIONING OF FACILITIES AND THE MANAGEMENT OF RADIOACTIVE WASTE AND OF SPENT FUEL
1.7 设施退役、放射性废料和乏燃料的管理规定

• Phase 1 (2016-2030) to include a review of the higher activity waste that is expected to arise in Scotland;
  第一阶段（2016-2030 年）将包括对苏格兰预计产生的高活性废物的审查；
• Phase 2 (2030-2070) the Scottish Government to work with the NDA, radioactive waste producers and regulators to help develop a near-surface disposal concept for waste suitable for this management route under current technologies; and
  第二阶段（2030-2070 年）苏格兰政府将与国家放射性废物管理局、放射性废物生产商和监管机构合作，帮助开发在现有技术条件下适合这一管理途径的废物近地表处置概念；以及
• In Phase 3 (2070 onwards) the Scottish Government anticipates that replacement near-surface storage facilities will be constructed. Disposal technologies will be further developed, and new near-surface disposal facilities will be constructed.
  在第三阶段（2070 年以后），苏格兰政府预计将建造替代的近地表储存设施。处置技术将得到进一步开发，并将建造新的近地表处置设施。
  Licensees are required to estimate the future costs of radioactive waste management and decommissioning and provide assurances to demonstrate that the necessary resources will be made available when necessary. The UK government through the independent segregated funds, the Nuclear Liabilities Fund has established these financial provisions so the costs for decommissioning of operating NPPs are determined for all stages of the operations.
  许可证持有者必须估算放射性废物管理和退役的未来成本，并保证在必要时提供必要的资源。英国政府通过独立的分立基金--核负债基金--设立了这些财务准备金，以确定运营中核电厂退役各个阶段的费用。
  In the case of new nuclear reactors, the UK government requires prospective licensees to develop a funded decommissioning plan to determine how the costs of implementing the decommissioning and radioactive waste management policy have been estimated and how the appropriate funds will be provisioned.
  对于新的核反应堆，英国政府要求未来的许可证持有者制定一份有资金支持的退役计划，以确定如何估算实施退役和放射性废物管理政策的成本，以及如何提供适当的资金。
  The majority of R&D work associated with LLW management is undertaken by waste producers driven by a particular need at that site. Section 88 of TEA13 enables ONR to carry out or commission research in connection with its purposes and to publish the results if it considers it appropriate to do so. Research in regard to a GDF is limited at this stage, due to the requirement for further clarity from the UK Government on siting and from
  《与低放廢物管理有關的大部分研發工作，都是由廢物產生者因應其特定需要而進行的。技术和经济评估》第 88 节13 使英国国家核研究局能够开展或委托开展与其目的相关的研究，并在其认为适当的情况下公布研究结果。由于需要英国政府进一步明确选址问题，以及以下原因，现阶段有关全球废物处理场的研究有限

Recommendation: The UK Government should revise:
建议：英国政府应修订英国政府应进行修订：

• the Nuclear Installation Regulations 1971 such that GDF is defined as a nuclear licensed site and is subject to ONR authorization; and
  根据 1971 年《核设施条例》，GDF 被定义为核持证场址，须经 ONR 授权；以及
• the Nuclear Installation Act 1965 to include requirements on release of nuclear licensed sites from regulatory control with restrictions on the future use.
  1965 年《核设施法》，要求解除对核设施的监管，并对今后的使用加以限制。

1.8 COMPETENCE FOR SAFETY
1.8 安全能力

1.9 PROVISION OF TECHNICAL SERVICES
1.9 提供技术服务

1.10. Policy Issue Discussion: Management of Nuclear Material and Radioactive Waste
1.10.政策问题讨论：核材料和放射性废物的管理

• The national plans for waste management are built on the principle that the GDF is planned long term until 2130. There is a policy that short lived material can be stored for two years and is then disposed of and the possibility of reuse by mixing waste material with other material is also considered. Early engagement and consultations with the public and interested parties is very crucial.
  国家废物管理计划的原则是，对全球废物处理设施进行长期规划，直至 2130 年。有一项政策规定，寿命较短的材料可储存两年，然后进行处置，同时也考虑了通过将废料与其他材料混合进行再利用的可能性。及早与公众和有关各方接触和磋商至关重要。
• NORM is treated in local municipal places and is licensed. In one country, there is a Nuclear Geological Repository only for spent fuel. The government has allocated money for cleaning up legacy sites. Considering any safeguards issues when developing a policy for management of the radioactive waste is important. There are descriptive clearance levels for disposing liquid waste. Establishing collaboration with other countries for best practices and learning from experiences of other regulators is very important. There is no definition of waste generated from emergency. Any waste generated during emergency will be the responsibility of the licensee.
  NORM 在当地市政场所进行处理，并获得许可。在一个国家，有一个只用于乏燃料的核地质处置库。政府已拨款清理遗留场地。在制定放射性废物管理政策时，考虑任何保障问题都很重要。处理液体废料有规定的许可级别。与其他国家建立合作关系以获得最佳做法并学习其他监管机构的经验非常重要。对紧急情况下产生的废物没有定义。紧急情况下产生的任何废物都将由持证者负责。
• Communication and consultation with the public and interested parties is being undertaken on building a disposal facility, and it was challenging. Liquid waste is addressed by establishing clearance levels.
  目前正在就建设处置设施问题与公众和有关各方进行沟通和磋商，这具有挑战性。液体废物通过确定清除水平来处理。
• Site selection is based on land use law which also involves a high campaign. Central government defines all the process which makes it easier for public engagement with local authorities and communities.
  选址以土地使用法为基础，这也涉及到一场声势浩大的运动。中央政府规定了所有程序，这使得公众更容易与地方当局和社区进行接触。
• There is a national agency that is responsible for all radioactive waste and a masterplan for radioactive waste is in place. While debates are initiated but it was challenging to ensure the general public is fully engaged in the debate. The option for high level waste is Geological Repository.
  有一个国家机构负责所有放射性废物，并制定了放射性废物总体规划。虽然辩论已经开始，但要确保公众充分参与辩论仍具有挑战性。高放射性废物的备选方案是地质贮存库。
• It is difficult to be prepared for the waste that will be generated during emergencies, because you do not know what it will be, and to come up with a clear scenario of what kind of waste will be generated. Local authorities are encouraged to identify the issue and take measures based on information as available post emergency. There is no special class of waste and it depends on the dose that it will generate to the public.
  很难为紧急情况下产生的废物做好准备，因为你不知道会产生什么废物，也不清楚会产生什么样的废物。我们鼓励地方当局在紧急情况发生后根据所掌握的信息确定问题并采取措施。废物没有特殊类别，这取决于它对公众产生的剂量。

1.11. SUMMARY  1.11.摘要

• a single formalized statement of UK’s national policy and strategy for safety which is consistent with all relevant elements of GSR Part 1, Rev 1.
  英国国家安全政策和战略的单一正式声明，与《总体安全审查》第 1 部分第 1 修订版的所有相关内容保持一致。
• improved coordination between the regulatory and government bodies to enhance uniform and consistent application of the IAEA safety standards across and within the four countries of the UK.
  改善监管机构和政府机构之间的协调，以加强在英国四个国家之间和内部统一和一致地应用国际原子能机构的安全标准。

2. THE GLOBAL SAFETY REGIME
2.全球安全制度

2.1 INTERNATIONAL OBLIGATIONS AND ARRANGEMENTS FOR INTERNATIONAL COOPERATION
2.1 国际义务和国际合作安排

RECOMMENDATIONS, SUGGESTIONS AND GOOD PRACTICES
建议、意见和良好做法

2.2 SHARING OF OPERATING EXPERIENCE AND REGULATORY EXPERIENCE
2.2 分享运作经验和监管经验

• The Lessons Learned Working Group, chaired by BEIS;
  经验教训工作组，由 BEIS 主持；
• The Medical Radiation Liaison Group and IR(ME)R Inspectors summit meetings; and
  医用辐射联络小组和 IR(ME)R 检查员峰会；以及
• Meetings between HSE and CQC to share operational intelligence.
  HSE 与 CQC 举行会议，分享业务情报。

• Review and agree expectations in respect of learning from national and international experience;
  审查和商定在学习国家和国际经验方面的期望；
• Review and agree responsibilities (including how national generic lessons are identified and promulgated); and
  审查和商定责任（包括如何确定和颁布国家通用经验教训）；以及
• Confirm that all relevant regulatory bodies have a clear process for identifying Learning from Experience and Regulatory Good Practice and taking appropriate response action.
  确认所有相关监管机构都有一个明确的流程，用于识别 "经验学习 "和 "监管良好做法"，并采取适当的应对行动。
  The IRRS team acknowledges UK’s efforts for seeking to improve existing arrangements to share operating and regulatory experience between all relevant stakeholders. In this regard, the UK Government, in consultation with Regulatory Bodies, should include in its planned improvements a review of the existing processes and MoUs to ensure all relevant parties are able to participate in, and contribute to, the sharing and analysis of operating and regulatory experience. Such processes should incorporate a systematic analysis of operating and regulatory experience (national and international) in all of the regulated areas. This will facilitate a more structured approach to the identification and dissemination of the lessons learnt, and their use by authorized parties, the regulatory body and other relevant authorities.
  国际公路货运代理协会小组承认英国努力寻求改进现有安排，以在所有相关利益攸关方之间分享运营和监管经验。在这方面，英国政府应与监管机构协商，在其计划的改进措施中纳入对现有程序和谅解备忘录的审查，以确保所有相关方都能参与并促进运营和监管经验的分享和分析。这些程序应包括对所有监管领域的运营和监管经验（国内和国际）进行系统分析。这将有助于采用更有条理的方法来确定和传播所吸取的经验教训，并由授权方、监管机构和其他相关当局加以利用。

RECOMMENDATIONS, SUGGESTIONS AND GOOD PRACTICES
建议、意见和良好做法

2.3. SUMMARY  2.3.总结

• notify the IAEA of UK’s commitment to implement the Guidance on the Management of Disused Radioactive Sources
  向原子能机构通报英国执行《废弃放射源管理指南》的承诺
• improve existing processes and arrangements for sharing of operating and regulatory experience feedback.
  改进现有的分享运行和监管经验反馈的程序和安排。

3. RESPONSIBILITIES AND FUNCTIONS OF THE REGULATORY BODY
3.监管机构的责任和职能

3.1. ORGANIZATIONAL STRUCTURE OF THE REGULATORY BODY AND ALLOCATION OF RESOURCES
3.1.管理机构的组织结构和资源分配

ONR

• Operating Facilities  运营设施
• New Reactors  新反应堆
• Sellafield, Decommissioning, Fuel and Waste
  塞拉菲尔德、退役、燃料和废物
• Civil Nuclear Security and Safeguards
  民用核安全与保障
• Technical Division  技术部

• a Senior Leadership Team: it is headed by the Chief Executive and comprises the CNI, the Directors of the five divisions and the Directors of HR, Finance and Policy & Communications;
  a 高级领导团队：由行政长官领导，成员包括国家创新委员会、五个部门的主任以及人力资源、财务和政策与沟通部门的主任；
• a Strategic Workforce Planning Group that looks ahead 20-25 years by performing environmental scans to consider their impact on resources which allow scenarios to be prepared to be used by the professional leads in proactively planning their resources. A business case is being put together to automate the process.
  一个战略性劳动力规划小组，通过进行环境扫描，考虑对资源的影响，展望未来 20-25 年，从而制定出各种方案，供专业领导在主动规划其资源时使用。目前正在编制一份商业案例，以实现这一过程的自动化。
  The five regulatory Divisions operate in a matrix management arrangement, whereby the first four divisions, known as ‘delivery areas’ form the columns, each with a delivery lead. The rows comprise specialist resources, all of which are functionally located in the Technical Division. There are approximately fifty technical areas, grouped into fifteen technical specialisms, each with a professional lead.
  五个监管司采用矩阵式管理安排，前四个被称为 "交付领域 "的司构成列，每个列都有一名交付负责人。各行由专家资源组成，所有专家资源在职能上都属于技术司。大约有 50 个技术领域，分为 15 个技术专业，每个专业都有一名专业负责人。
  Resourcing discussions between the delivery leads and professional leads are held on a regular basis to ensure that appropriate resources are applied to meet the needs of each delivery area. The discussions are structured so that the delivery leads and professional leads challenge each other regarding needs and skills, in order to arrive at a shared view of what resources to apply to which needs. Each professional lead also looks at the resilience and capacity of the staff in their technical areas for forward planning purposes.
  实施牵头人和专业牵头人之间定期举行资源配置讨论，以确保运用适当的资源来满足每个实施领域的需求。讨论是有组织的，因此，实施牵头人和专业牵头人可以就需求和技能相互提出质疑，以便就针对哪些需求应用哪些资源达成共识。每个专业牵头人还审查其技术领域工作人员的应变能力和能力，以便进行前瞻性规划。
  Any specialist resources which are not needed at a particular time to support the delivery leads can be applied to other purposes, such as updating TIGs or TAGs, with no impact on front-line inspections. Such work, though important, is not necessarily urgent, so can wait for resources to become available. In this manner, the Technical Division acts as a ‘safety valve’ for the organization to match workload with resource.
  在某一特定时间不需要用于支持执行牵头人的任何专家资源都可以用于其他目的，例如更新技术调查组或技术咨询小组，而不会对一线检查造成影响。这些工作虽然重要，但不一定紧急，因此可以等待资源到位。这样，技术司就充当了组织的 "安全阀"，使工作量与资源相匹配。

RECOMMENDATIONS, SUGGESTIONS AND GOOD PRACTICES
建议、意见和良好做法

Occupational Protection  职业保护

Public Exposures and Environmental Protection
公众接触与环境保护

Healthcare Agencies  医疗机构

3.2. EFFECTIVE INDEPENDENCE IN THE PERFORMANCE OF REGULATORY FUNCTIONS
3.2.切实独立履行监管职能

• ONR remains functionally separate from Government and is independent in its regulatory functions and decisions - the office of CNI was created in statute and all regulatory decisions are delegated to the CNI who has delegated responsibility as a suitably, qualified and experienced person directly responsible for ensuring regulatory decisions are proportionate, balanced and consistent. ONR operates under a broad DWP Framework Agreement, which ensures alignment with Government policies and priorities whilst ensuring that ONR’s decision making and management remain independent. ONR works closely with BEIS: ONR can provide factual information to the BEIS Minister on matters of nuclear safety regulation, but the Minister is not responsible for the ONR’s regulatory decision making.
  英国国家无线电管理局在职能上与政府保持分离，在监管职能和决策方面具有独立性--国家无线电委员会办公室是根据法规设立的，所有监管决策都授权给国家无线电委员会，国家无线电委员会作为具有适当资格和经验的人员，直接负责确保监管决策的相称性、平衡性和一致性。英国国家皇家海军根据一项广泛的《水利部框架协议》开展工作，确保与政府政策和优先事项保持一致，同时确保英国国家皇家海军的决策和管理保持独立。英国国家核研究局与英国工业与安全局密切合作：英国国家核研究局可就核安全监管事项向英国工业与安全局部长提供事实信息，但部长不负责英国国家核研究局的监管决策。
• HSE status as a non-departmental public body ensures that the independence of the organisation is not compromised. HSE inspectors make their decisions based on evidence. Although the Secretary of State may direct HSE in relation to its functions and in the interests of safety, this power cannot be used to intervene in any particular enforcement case, thereby ensuring regulatory independence.
  HSE 作为非政府公共机构的地位确保了该组织的独立性不受影响。HSE 检查员根据证据做出决定。虽然国务大臣可以就 HSE 的职能和安全利益对其进行指导，但不能利用这一权力干预任何特定的执法案件，从而确保监管的独立性。
• The Environment Agency and the Scottish Environment Protection Agency are also both independent. The EA is independent of the operators it regulates, and has no role in promoting their business activities, the independent EA Board providing the necessary separation between day-to-day regulatory decision-making and Government. SEPA is similarly independent of the radioactive substances activities it regulates and has no role in the operation or promotion of any such activities.
  环境局和苏格兰环境保护局也都是独立的。环境局独立于其监管的运营商，在促进运营商的商业活动中不扮演任何角色，独立的环境局委员会在日常监管决策与政府之间进行了必要的分离。国家环保总局同样独立于其监管的放射性物质活动，在任何此类活动的运营或推广中都不扮演任何角色。
• CQC’s independence as a regulator is assured through the Health and Social Care Act, 2008, where CQC is given direct responsibility to regulate the purposes of the Act and its relevant statutory provisions. Government cannot direct CQC with respect to regulatory functions in a particular case - ensuring that regulatory decisions are independent.
  2008 年《卫生与社会保健法》确保了 CQC 作为监管机构的独立性，该法赋予 CQC 监管该法及其相关法定条款的直接责任。政府不能在特定情况下对 CQC 的监管职能进行指导，以确保监管决定的独立性。

3.3. STAFFING AND COMPETENCE OF THE REGULATORY BODY
3.3.监管机构的人员配备和能力

Occupational Protection  职业保护

• The specialist Radiation Team comprises one Principal Specialist Inspector (Radiation) and one Acting Principal Specialist Inspector (Radiation) with five Specialist Inspectors (Radiation). The Specialist Inspectors (Radiation) concentrate on the high-risk facilities and activities that require consent (i.e. a licence). Only these Specialist Inspectors also inspect unsealed radioactive materials;
  辐射专家小组由一名首席专家检查员（辐射）和一名代理首席专家检查员（辐射）以及五名专家检查员（辐射）组成。专门检查员（辐射）集中检查需要同意（即许可证）的高风险设施和活动。只有这些专门检查员还检查未密封的放射性材料；
• Ten Ionising Radiations Regulatory Inspectors (IRRIs) who are general regulatory inspectors who have had some training in radiation safety and application of the IRRs for specific practices. The IRRIs cover lowerrisk facilities, being those that only require registration (but not a licence), which make up some $16\mathrm{\%}$$16\mathrm{\%}$16%16 \% of their inspections.
  十名电离辐射监管检查员（IRRIs），他们是一般的监管检查员，接受过一些辐射安全和《国际辐射防护条例》在具体实践中的应用方面的培训。电离辐射监管检查员负责检查风险较低的设施，即那些只需要注册（但不需要许可证）的设施，这些设施占他们检查的一部分 $16\mathrm{\%}$$16\mathrm{\%}$16%16 \% 。
  HSE is responsible for inspection of about 16,500 authorized parties who work with ionising radiations that hold about 17000 registrations and 1300 consents (for the high-risk activities). The IRRS team is of the opinion that the HSE is not able to perform adequate regulatory oversight, especially of the high-risk activities and facilities, as detailed in chapters 5 to 7 .
  HSE负责检查约16,500个从事电离辐射工作的授权方，这些授权方持有约17,000个注册证和1300个同意书（针对高风险活动）。IRRS 小组认为，HSE 无法进行充分的监管监督，特别是对高风险活动和设施的监管监督，详见第 5 至第 7 章。
  Each year, the Specialist Inspectors (Radiation) together perform some 75 inspections of high-risk facilities and each IRRI does about ten inspections on lower-risk facilities which use ionising radiation. The results of these inspections are that $70-80\mathrm{\%}$$70-80\mathrm{\%}$70-80%70-80 \% of the facilities are given a notification of contravention or an improvement or prohibition notice, which if not complied with can lead to prosecution. The combination of a low inspection frequency and a high rate of non-compliance lead the IRRS team to the conclusion that resources need to be increased, taking into account the many other areas of work which HSE regulates.
  每年，专家检查员（辐射）一起对高风险设施进行约 75 次检查，每个 IRRI 对使用电离辐射的低风险设施进行约 10 次检查。这些检查的结果是， $70-80\mathrm{\%}$$70-80\mathrm{\%}$70-80%70-80 \% 部分设施收到了违规通知或改进或禁止通知，如果不遵守，可能会被起诉。鉴于检查频率低和违规率高，IRRS 小组得出结论，需要增加资源，同时考虑到 HSE 监管的许多其他工作领域。

RECOMMIENDATIONS, SUGGESTIONS AND GOOD PRACTICES
建议、意见和良好做法

Public exposures and Environmental Protection
公众接触与环境保护

RECOMMENDATIONS, SUGGESTIONS AND GOOD PRACTICES
建议、意见和良好做法

Healthcare Agencies  医疗机构

RECOMMIENDATIONS, SUGGESTIONS AND GOOD PRACTICES
建议、意见和良好做法

3.4. LIAISON WITH ADVISORY BODIES AND SUPPORT ORGANIZATIONS
3.4.与咨询机构和支助组织的联络

3.5. LIAISON BETWEEN THE REGULATORY BODY AND AUTHORIZED PARTIES
3.5.监管机构与授权方之间的联络

ONR

Occupational Protection, Environment Agencies and Healthcare Agencies
职业保护、环境机构和医疗保健机构

3.6. STABILITY AND CONSISTENCY OF REGULATORY CONTROL
3.6.监管的稳定性和连贯性

3.7. SAFETY RELATED RECORDS
3.7.安全相关记录

RECOMMENDATIONS, SUGGESTIONS AND GOOD PRACTICES
建议、意见和良好做法

RECOMMENDATIONS, SUGGESTIONS AND GOOD PRACTICES
建议、意见和良好做法

• Registers of sealed radioactive sources and radiation generators".
  密封放射源和辐射发生器登记册"。

3.8. COMMUNICATION AND CONSULTATION WITH INTERESTED PARTIES
3.8.与有关各方的沟通和磋商

RECOMMENDATIONS, SUGGESTIONS AND GOOD PRACTICES
建议、意见和良好做法

3.9. Policy Issue Discussion: Public engagement around risk
3.9.政策问题讨论：围绕风险的公众参与

• It is important to demonstrate the independence of the regulatory body
  必须证明监管机构的独立性
• Communication professionals and specialists are beneficial in providing assistance to the regulatory body to facilitate public consultation for significant regulatory decisions
  传播专业人员和专家有利于协助监管机构促进重大监管决定的公众咨询工作
• Web casting of hearings and other regulatory meetings is very beneficial in reaching a broad range of stakeholders
  听证会和其他监管会议的网络转播非常有利于广泛接触利益攸关方
• Summary reports of significant regulatory decisions should be published in plain language to assist public understanding of the outcomes
  重要监管决定的摘要报告应以通俗易懂的语言发布，以帮助公众了解结果
• The use of independent technical experts (e.g., engineering specialists, academic staff, etc.) may assist regulatory bodies in gaining public confidence
  使用独立的技术专家（如工程专家、学术人员等）可能有助于监管机构获得公众的信任
• Preannounced, routine (annual, semi-annual) public outreach meetings are useful for explaining the safety and risk issues associated with local nuclear facilities and maintaining the public’s confidence in the regulatory body
  预先宣布的例行（年度、半年度）公众宣传会议有助于解释与当地核设施相关的安全和风险问题，并保持公众对监管机构的信心
• It is important to keep public meetings focused on the use of available scientific information in regulatory decision making
  重要的是，要让公开会议始终关注在监管决策中使用现有科学信息的问题
• In response to nuclear and radiological events, the media is normally more focused on engaging with the regulatory body than the operator
  在应对核事件和放射性事件时，媒体通常更关注与监管机构而非运营者的接触
• In presenting the risks associated with the use of nuclear facilities and radiological activities it is useful to compare the risks to other familiar risks (e.g., airplane travel, dental x-rays, etc.)
  在介绍与使用核设施和放射性活动有关的风险时，不妨将这些风险与其他熟悉的风险（如乘飞机旅行、牙科 X 射线等）进行比较。
• Regulatory bodies should monitor public reaction to all emergencies, not just radiological, and learn from those reactions
  监管机构应监测公众对所有紧急情况的反应，而不仅仅是放射性紧急情况，并从这些反应中吸取经验教训

3.10. Policy Issue Discussion: Regulatory innovation and regulating advanced nuclear technologies
3.10.政策问题讨论：监管创新与先进核技术监管

• It is important for regulators to collaborate on ANTs and SMRs
  监管机构必须就天线和 SMR 开展合作
• Continue to collaborate through bi-lateral and multi-national agreements and working groups (e.g., Multinational Design Evaluation Programme (MDEP))
  继续通过双边和多国协议及工作组（如多国设计评估计划（MDEP））开展合作
• Regulators should work collectively to identify potential technical and licensing issues in advance that could lead to delays in the implementation of SMRs
  监管机构应共同努力，提前查明可能导致 SMR 实施延误的潜在技术和许可问题
• Publish information on website regarding licensing impediments in the design
  在网站上发布有关设计中的许可障碍的信息
• Regulatory bodies will need to work toward balancing the use of harmonized standards with maintaining the appropriate national sovereignty of their legal systems.
  监管机构需要努力在使用统一标准与维护本国法律制度的适当国家主权之间取得平衡。
• Regulatory bodies must prepare for the use of innovative technologies
  监管机构必须为使用创新技术做好准备
• The use of innovative technologies is driven by cost savings and the reduction in replacement parts for aging equipment
  使用创新技术的驱动力是节约成本和减少老化设备的备件更换量
• Use of standardized components
  使用标准化组件
• Regulatory bodies should develop guidance on the use of standardized components
  监管机构应制定标准化组件使用指南
• New technologies (e.g., 3D-printing) will be used for the manufacture of replacement parts
  新技术（如 3D 打印）将用于制造替换零件
• Research programmes should address the manufacture of components using innovative technologies
  研究计划应涉及利用创新技术制造部件的问题
• Vendors are entering the nuclear marketplace (especially ones that use innovative technologies) that have not previously been required to meet the stringent quality assurance requirements for nuclear components (including services such as welders and welding techniques)
  供应商正在进入核市场（尤其是使用创新技术的供应商），而这些供应商以前并不需要满足严格的核部件质量保证要求（包括焊工和焊接技术等服务）。

3.11. SUMMARY  3.11.总结

• The inspection resources of HSE, SEPA and CQC and their means of application;
  HSE、SEPA 和 CQC 的检查资源及其应用方式；
• The database of radiation sources and radiation generators maintained by HSE;
  由 HSE 维护的辐射源和辐射发生器数据库；
• The capabilities of CIDI;
  IDI 的能力；
• Consultation of ONR with the public and interested parties.
  ONR与公众和有关方面的磋商。

4. MANAGEMENT SYSTEM OF THE REGULATORY BODY
4.监管机构的管理系统

4.1. RESPONSIBILITY AND LEADERSHIP FOR SAFETY
4.1.安全责任和领导

EA RESPONSIBILITY AND LEADERSHIP FOR SAFETY
承担安全责任并发挥领导作用

COC RESPONSIBILITY AND LEADERSHIP FOR SAFETY
对安全负责并发挥领导作用

HSE RESPONSIBILITY AND LEADERSHIP FOR SAFETY
HSE 安全责任和领导

• Lead and engage with others to improve workplace health and safety;
  领导并与他人合作，改善工作场所的健康与安全；
• Provide an effective regulatory framework;
  提供有效的监管框架；
• Secure effective management and control of risk;
  确保有效管理和控制风险；
• Reduce the likelihood of low-frequency, high-impact catastrophic incidents; and
  减少发生频率低、影响大的灾难性事件的可能性；以及
• Enable improvement through efficient and effective delivery.
  通过高效率和高效益的交付实现改进。

4.2. RESPONSIBILITY FOR INTEGRATION OF SAFETY INTO THE MANAGEMENT SYSTEM
4.2.将安全纳入管理系统的责任

ONR RESPONSIBILITY FOR INTEGRATION OF SAFETY INTO THE MANAGEMENT SYSTEM
总干事将安全纳入管理系统的责任

EA RESPONSIBILITY FOR INTEGRATION OF SAFETY INTO THE MANAGEMENT SYSTEM
承担将安全纳入管理系统的责任

COC RESPONSIBILITY FOR INTEGRATION OF SAFETY INTO THE MANAGEMENT SYSTEM
负责将安全纳入管理系统

• CQC will demonstrate effective leadership and will set clear direction;
  CQC 将展现有效的领导力，并制定明确的方向；
• CQC will be open, transparent and accessible in the way it conducts its business;
  CQC 将以公开、透明和便捷的方式开展业务；
• CQC will be accountable and will ensure that decisions are well made and effectively implemented;
  CQC 将负起责任，确保决策的正确性和有效执行；
• CQC will manage risk and performance effectively; and
  CQC 将有效管理风险和绩效；以及
• Everyone in CQC will demonstrate their commitment to CQC’s values and will behave with integrity.
  CQC 的每个人都将恪守 CQC 的价值观，并以诚信行事。

HSE RESPONSIBILITY FOR INTEGRATION OF SAFETY INTO THE MANAGEMENT SYSTEM
将安全纳入管理系统的 HSE 责任

• Seek continuous improvement in its safety management system, health and safety performance and safety culture - benefiting from the contributions of safety representatives and workforce engagement, including HSE’s health and safety committees;
  不断改进安全管理系统、健康与安全绩效以及安全文化--受益于安全代表的贡献和员工的参与，包括 HSE 的健康与安全委员会；
• Define individual health and safety responsibilities and competencies across HSE, while encouraging people to take personal responsibility for their own safety and health and those colleagues and teams around them;
  明确整个 HSE 系统中个人的健康与安全责任和能力，同时鼓励人们对自己以及周围同事和团队的安全与健康负起个人责任；
• Comply with relevant health and safety legislation; statutory guidance such as Approved Codes of Practice; relevant product and practice standards; guidance and other recognised good practice, and other requirements;
  遵守相关的健康和安全法规、法定指南（如批准的操作规范）、相关的产品和操作标准、指南和其他公认的良好操作规范以及其他要求；
• Operate a safety management system which puts in place effective control measures which are proportionate to the level of risk and document, implement and maintain this system around HSE’s key areas of risk.
  运行安全管理系统，采取与风险程度相称的有效控制措施，并围绕 HSE 的关键风险领域记录、实施和维护该系统。

4.3. THE MANAGEMENT SYSTEM
4.3.管理系统

ONR MANAGEMENT SYSTEM  onr 管理系统

RECOMMENDATIONS, SUGGESTIONS AND GOOD PRACTICES
建议、意见和良好做法

RECOMMENDATIONS, SUGGESTIONS AND GOOD PRACTICES
建议、意见和良好做法

EA MANAGEMENT SYSTEM  ea 管理系统

RECOMMENDATIONS, SUGGESTIONS AND GOOD PRACTICES
建议、意见和良好做法

CQC MANAGEMENT SYSTEM  质量控制管理系统

RECOMMIENDATIONS, SUGGESTIONS AND GOOD PRACTICES
建议、意见和良好做法

assessments of leadership for safety and of safety culture in its own organization".
评估安全领导力和本组织的安全文化"。

HSE MANAGEMENT SYSTEM  HSE 管理系统

4.4. MANAGEMENT OF RESOURCES
4.4.资源管理

ONR MANAGEMENT OF RESOURCES
资源的管理

EA MANAGEMENT OF RESOURCES
ea 资源管理

COC MANAGEMENT OF RESOURCES
资源的可持续管理

HSE MANAGEMENT OF RESOURCES
人力资源管理

• Formally through the wider UK Government’s central Civil Service Learning;
  正式通过更广泛的英国政府中央公务员学习；
• Apprenticeships;  学徒制；
• Specialist training providers;
  专业培训机构；
• Universities and colleges; and
  大学和学院；以及
• Informally through mentoring, job shadowing, on-the-job training, supervision, procedures, secondment to other government departments etc.
  通过指导、工作见习、在职培训、监督、程序、借调到其他政府部门等方式进行非正式培训。
  In addition, delivery of training programmes and assessment of an individual’s competence to perform their roles safely, are made through a combination of formal training facilitated through HSE’s Learning and Development Team (LDT), and personal development discussions within the line management chain. HSE’s LDT facilitate access to Regulatory Training programme as well as to the Leadership Programmes.
  此外，通过 HSE 学习与发展小组（LDT）提供的正式培训和直线管理链中的个人发展讨论相结合的方式，实施培训计划和评估个人安全履行职责的能力。HSE 的学习与发展小组为参加监管培训计划和领导力计划提供便利。

4.5. MANAGEMENT OF PROCESSES AND ACTIVITIES
4.5.程序和活动的管理

ONR MANAGEMENT OF PROCESSES AND ACTIVITIES
对程序和活动的管理

EA MANAGEMENT OF PROCESSES AND ACTIVITIES
ea 流程和活动管理

CQC MANAGEMENT OF PROCESSES AND ACTIVITIES
程序和活动的 CQC 管理

HSE MANAGEMENT OF PROCESSES AND ACTIVITIES
流程和活动的 HSE 管理

RECOMMENDATIONS, SUGGESTIONS AND GOOD PRACTICES
建议、意见和良好做法

(1)

4.6. CULTURE FOR SAFETY
4.6.安全文化

ONR CULTURE FOR SAFETY
安全文化

EA CULTURE FOR SAFETY
安全文化

CQC CULTURE FOR SAFETY
CQC 安全文化

HSE CULTURE FOR SAFETY
促进安全的 HSE 文化

4.7. MEASUREMENT, ASSESSMENT AND IMPROVEMENT
4.7.衡量、评估和改进

ONR MEASUREMENT, ASSESSMENT AND IMPROVEMENT
ORR 测量、评估和改进

• The ONR Governance Arrangements which set out the corporate governance structure for ONR, reflecting the principles of the Cabinet Office Code of Good Practice on Corporate Governance, while taking account of particular requirements for independent nuclear regulation
  英国国家核管理局治理安排》规定了英国国家核管理局的公司治理结构，反映了内阁办公室《公司治理良好行为准则》的原则，同时考虑到独立核监管的特殊要求
• ONR’s Integrated Audit and Assurance Framework (IAAF), which is based on the Three Lines of Defence Approach. The framework is delivered on behalf of the organisation from within the Finance Directorate. The Audit and Risk Assurance Committee (ARAC) is responsible for ensuring the maintenance of appropriate and adequate audit processes, including audit of the management system. The ARAC is a standing committee of the ONR Board and chaired by a non-executive member of the Board. The IAAF findings are reported directly into the ONR Board via the Chief Executive and Chief Nuclear Inspector Board reports for every ONR Board meeting. Audits and reviews identify recommendations for improvement and these are tracked through to completion by the SLT and the ARAC. ONR has openly shared this approach with other international regulators as a good practice and it is summarised in the IAEA TECDOC on Regulatory Experience that will be launched in November 2019.
  ONR 的综合审计和保证框架 (IAAF)，以三道防线方法为基础。该框架由财务局代表组织实施。审计与风险保证委员会（ARAC）负责确保维持适当和充分的审计流程，包括对管理系统的审计。审计与风险保证委员会是 ONR 董事会的一个常设委员会，由董事会的一名非执行成员担任主席。国际核审计与财务联合会的审计结果通过行政长官和首席核检查员委员会报告直接报告给英国国家核反应堆管理局董事会，供其在每次董事会会议上审议。审计和审查确定了改进建议，这些建议由 SLT 和 ARAC 跟踪完成。英国国家核反应堆管理局与其他国际监管机构公开分享了这一良好做法，并在将于 2019 年 11 月推出的原子能机构监管经验 TECDOC 中进行了总结。
  However, the IRRS team was informed that not all management system tools required to support continuous improvement of the management system, as required by GSR Part 2, are properly integrated into ONR’s management system, such as management reviews, self-assessments, management of non-conformities. A process for independent assessment of leadership for safety and of safety culture was not yet implemented. These issues were identified in, and are being addressed through, the ONR’s action plan.
  然而，独立专家评审小组获悉，并非所有支持不断改进管理系统所需的管理系统工具，如管理审查、自我评估、不符合项管理等，都按照《总体监督报告》第 2 部分的要求，适当纳入了英国国家航空和航天局的管理系统。对安全领导和安全文化的独立评估程序尚未实施。这些问题已在 ONR 的行动计划中确定，并正在通过行动计划加以解决。
  The issue on measurement, assessment and improvement process is addressed in Recommendation R9 in sub-chapter 4.3.
  建议 R9 第 4.3 分章论述了衡量、评估和改进过程的问题。

EA MEASUREMENT, ASSESSMENT AND IMPROVEMENT
ea 测量、评估和改进

• The Audit and Risk Assurance Committee oversees the work of internal and external audit and ensures that the EA has effective controls in place to manage operational, financial, reputational and other risks.
  审计与风险保证委员会负责监督内部和外部审计工作，并确保英格兰和威尔士审计署制定有效的控制措施，以管理运营、财务、声誉和其他风险。
• The Environment & Business (E&B) Committee recommends the approach and delivery of regulated industry, non-flood water and land business responsibilities to the Environment Agency Board.
  环境与企业（E&B）委员会就受监管行业、非洪水水务和土地业务责任的方法和交付向环境署理事会提出建议。
• E&B Board provides a strategic overview of all the work E&B does and a clear line of sight from funding to activity to outcome.
  E&B 董事会对 E&B 的所有工作提供战略概览，并提供从资金到活动再到成果的清晰视线。
• The Deputy Director, Radioactive Substances & Installations Regulation (RSIR) represents Radioactive Substances Regulation (RSR) on the Regulated Industry Business Board (RIBB) which provides oversight of regulated industry. The RIBB streamline decision making and join up cross-cutting issues. The RIBB discuss high level technical, business, people and performance items.
  放射性物质与装置监管局（RSIR）副局长代表放射性物质监管局（RSR）参加受监管行业业务委员会（RIBB），该委员会负责对受监管行业进行监督。该委员会负责对受监管行业进行监督。RIBB 简化决策过程，并将贯穿各领域的问题联合起来。RIBB 讨论高层次的技术、业务、人员和绩效项目。
• The Deputy Director RSIR routinely chairs the RSR Portfolio Group which provides functional leadership, including governance and assurance.
  RSIR 副主任定期主持 RSR 项目小组的工作，该小组提供职能领导，包括管理和保证。
  Independent assessment of leadership for safety and of safety culture is performed annually by EA. The results of which are used to maintain a strong safety culture and to foster a learning attitude within the organization.
  EA 每年都会对安全领导力和安全文化进行独立评估。评估结果将用于在组织内部保持浓厚的安全文化氛围和培养学习态度。
  However, the IRRS team was informed that not all management system tools required to support continuous improvement of the management system, as required by GSR Part 2, are put in practice by EA yet, such as process self-assessments, management of non-conformities.
  然而，IRRS 小组获悉，EA 还没有按照 GSR 第 2 部分的要求，将支持管理系统持续改进所需的所有管理系统工具付诸实践，如过程自我评估、不符合项管理等。

CQC MEASUREMENT, ASSESSMENT AND IMPROVEMENT
CQC 测量、评估和改进

HSE MEASUREMENT, ASSESSMENT AND IMPROVEMENT
HSE 测量、评估和改进

4.8. SUMMARY  4.8.总结

• integration of safety, health, environmental and other aspects into management system;
  将安全、健康、环境和其他方面纳入管理系统；
• formalisation for the use of graded approach principle;
  使用分级方法原则的形式化；
• promotion and maintenance of safety culture;
  促进和维护安全文化；
• regulatory core/management and support process;
  监管核心/管理和支持流程；
• processes for measurement, assessment and improvement of the management system.
  测量、评估和改进管理系统的程序。

5. AUTHORIZATION  5.授权

5.1. GENERIC ISSUES  5.1.一般性问题

5.2. AUTHORIZATION OF NUCLEAR POWER PLANTS
5.2.核电站的批准

5.3. AUTHORIZATION OF FUEL CYCLE FACILITIES
5.3.燃料循环设施的批准

• The Springfields Fuel Fabrication Plant;
  斯普林菲尔德燃料制造厂；
• The Capenhurst Enrichment Facility;
  卡彭赫斯特浓缩设施；
• The Dounreay Nuclear Site;
  杜恩雷核电站
• Sellafield.  塞拉菲尔德

5.4. AUTHORIZATION OF RADIOACTIVE WASTE MANAGEMENT FACILITIES
5.4.放射性废物管理设施的授权

5.5. AUTHORIZATION OF RADIATION SOURCES FACILITIES AND ACTIVITIES
5.5.辐射源设施和活动的授权

RECOMMENDATIONS, SUGGESTIONS AND GOOD PRACTICES
建议、意见和良好做法

RECOMMENDATIONS, SUGGESTIONS AND GOOD PRACTICES
建议、意见和良好做法

by the regulatory body prior to the granting of the authorization.
监管机构在批准之前。

BASIS: GSR Part 1 Requirement 24 states that “Prior to the granting of an authorization, the applicant shall be required to submit a safety assessment, which shall be reviewed and assessed by the regulatory body in accordance with clearly specified procedures. The extent of the regulatory control applied shall be commensurate with the radiation risks associated with facilities and activities, in accordance with a graded approach”.
依据：《总体规则》第 1 部分要求 24 规定，"在批准之前，应要求申请者提交 安全评估，监管机构应根据明确规定的程序对其进行审查和评估。适用的监管控制范围应与设施和活动的辐射风险相称，采用分级方法"。

BASIS: GSR Part 3, Para 3.29 states that “the regulatory body shall establish requirements for persons or organizations responsible for facilities and activities that give rise to radiation risks to conduct an appropriate safety assessment 28. Prior to the granting of an authorization, the responsible person or organization shall be required to submit a safety assessment, which shall be reviewed and assessed by the regulatory body”.
依据：《规章》第 3 部分第 3.29 段规定："管理机构应制定要求，要求对引起辐射 风险的设施和活动负责的个人或组织进行适当的安全评估"。在批准之前，应要求责任人或组织提交安全评估，由监管机构进行审查和评 估"。

BASIS: GSR Part 1 Requirement 24, para. 4.31 states that “In the granting of an authorization for a
依据：《一般业务条例》第 1 部分要求 24 第 4.31 段规定要求 24 第 4.31 段规定
facility or an activity, the regulatory body may have to impose limits, conditions and controls on the
监管机构可能必须对设施或活动施加限制、条件和管制。
authorized party’s subsequent activities”.
被授权方随后的活动"。

5.6. AUTHORIZATION OF DECOMMISSIONING ACTIVITIES
5.6.退役活动的授权

5.7. AUTHORIZATION OF TRANSPORT
5.7.运输授权

• ONR - by road, rail and inland waterways in Great Britain (although in practice inland waterway is not used);
  ONR - 通过公路、铁路和英国内陆水道（尽管在实践中不使用内陆水道）；
• NIEA- by road in Northern Ireland;
  NIEA- 北爱尔兰的公路；
• HSENI - by rail and inland waterway in Northern Ireland (although in practice this is not used);
  HSENI - 北爱尔兰的铁路和内陆水道（但实际上并未使用）；
• The Secretary of State for Transport delivered through the Maritime and Coastguard Agency (MCA) - for British registered ships and all other ships whilst in United Kingdom territorial waters;
  运输大臣通过海事和海岸警卫局 (MCA) 为在英国注册的船只和在英国领水内的所有其他船只提供服务；
• Civil Aviation Authority (CAA) - by air.
  民航局（CAA）--空运。

5.8. AUTHORIZATION ISSUES FOR OCCUPATIONAL EXPOSURE
5.8.职业接触的授权问题

RECOMMENDATIONS, SUGGESTIONS AND GOOD PRACTICES
建议、意见和良好做法

RECOMMENDATIONS, SUGGESTIONS AND GOOD PRACTICES
建议、意见和良好做法

may receive training from service providers which are not approved by any regulatory body.
可能会接受未经任何监管机构批准的服务提供商提供的培训。

RECOMMENDATIONS, SUGGESTIONS AND GOOD PRACTICES
建议、意见和良好做法

5.9. AUTHORIZATION ISSUES FOR MEDICAL EXPOSURE
5.9.医疗接触的授权问题

RECOMMENDATIONS, SUGGESTIONS AND GOOD PRACTICES
建议、意见和良好做法

RECOMMENDATIONS, SUGGESTIONS AND GOOD PRACTICES
建议、意见和良好做法

5.10. AUTHORIZATION ISSUES FOR PUBLIC EXPOSURE
5.10.公开曝光的授权问题

Authorization to providers of consumer products
授权消费品供应商

RECOMMIENDATIONS, SUGGESTIONS AND GOOD PRACTICES
建议、意见和良好做法

Remediation of Land  土地整治

Radioactive waste discharges and disposals
放射性废物的排放和处置

5.11. SUMMARY  5.11.总结

• the public engagement in ONR regulatory decision-making process, e.g., during the licensing process for nuclear facilities (addressed in sub-chapter 3.8);
  公众参与国家核研究局的监管决策过程，例如在核设施许可过程中（在第 3.8 分章中讨论）；
• the regulatory framework related to the authorization of the geological disposal facility (addressed in subchapter 1.7);
  与地质弃置设施授权有关的监管框架（在第 1.7 分章中讨论）；
• the implementation of the authorization provisions of the IRR17 and the IRRNI17, which deal with occupational exposures and public exposures from work activities other than from authorised discharges and disposals of radioactive waste (submittals and reviews of safety assessments, limits, conditions and controls on the authorized party’s subsequent activities and appeal process);
  执行 IRR17 和 IRRNI17 的授权规定，这些规定涉及除授权排放和处置放射性废物以外的工作活动造成的职业照射和公众照射（提交和审查安全评估、限制、条件和对授权方后续活动的控制以及上诉程序）；
• the mechanisms for the formal recognition or accreditation of training and educational service providers;
  对培训和教育服务提供者进行正式承认或认证的机制；
• the approval of suitably qualified people or services to perform calibration activities;
  批准有适当资质的人员或服务机构执行校准活动；
• the licensing procedure for radiation therapy facilities, facilities performing image guided interventional procedures and diagnostic radiology facilities; and
  放射治療設施、進行影像導航介入程序的設施及放射診斷設施的發牌程序；及
• the regulatory provisions related to consumer products containing radioactive materials.
  与含有放射性物质的消费品相关的监管规定。

6. REVIEW AND ASSESSMENT
6.审查和评估

6.1. GENERIC ISSUES  6.1.一般性问题

6.1.1. MANAGEMENT OF REVIEW AND ASSESSMENT
6.1.1.审查和评估的管理

• Grading of operators’ arrangements for modifications, safety case documentation, operating rules etc.
  对运营商的改装安排、安全案例文件、操作规则等进行分级。
• The SAPs define expectations for the categorisation of safety functions and the classification of SSCs. The most significant safety functions and SSCs require higher levels of substantiation and evidence to be available, and also attract greater regulatory attention.
  SAP 确定了对安全功能分类和 SSC 分类的期望。最重要的安全功能和 SSC 需要更高水平的证实和证据，也会吸引更多的监管关注。
• Numerical targets to aid judgements on whether radiological hazards are adequately controlled, and the risk is reduced to as low as is reasonably practicable (ALARP). The nine numerical targets defined in the SAPs introduce the concept of Basic Safety Objectives (BSOs) and Basic Safety Levels (BSLs). If the level of risk is below the BSO, it is recognized that further consideration of the safety case would not be reasonable.
  数字目标，帮助判断辐射危害是否得到充分控制，风险是否降低到合理可行的最低水平（ALARP）。SAP 中定义的九个数字目标引入了基本安全目标 (BSO) 和基本安全级别 (BSL) 的概念。如果风险水平低于 BSO，则认为进一步考虑安全案例是不合理的。
  The consolidated recommendation to inform the management decision, taking into account the judgements from all the disciplines engaged (as well as other factors), is summarised in either a Project Assessment Report (PAR) or a Decision Record. These are informed by and reference supporting Assessment Reports. These documents justify the recommended regulatory decision and the basis for the recommendation. As part of ONR’s approval process, assessment reports are also subject to a “peer review”. The peer review includes consideration of whether appropriate codes and standards have been applied. The assessment report is also subject to an “acceptance review” by the relevant professional lead. For its decisions ONR, as a standard procedure, will consult other authorities, notably the environment agencies.
  项目评估报告 (PAR) 或决策记录 (Decision Record) 将根据所有参与学科的判断（以及其他因素）提出综合建议，为管理决策提供依据。项目评估报告》或《决策记录》将为这些文件提供信息，并参考支持性评估报告。这些文件说明了建议的监管决定和建议的依据。作为 ONR 批准程序的一部分，评估报告还需经过 "同行评审"。同行审查包括审议是否应用了适当的准则和标准。评估报告还需经过相关专业负责人的 "验收审查"。作为一项标准程序，英国国家无线电管理局在作出决定时将征求其他当局的意见，特别是环境机构的意见。
  The IRRS team has reviewed in some detail the ONR’s review and assessment approaches in the areas of PSR, sitelicensing, modifications and start-up after refuelling. In addition, the team has looked at ONR’s handling of ageingrelated challenges. One is related to the cracking of graphite at some of the reactors of the AGR-fleet. This safety case is currently one of the most challenging ones for ONR, because of the high uncertainties in the modelling of graphite performance (cracking) relevant to the delivery of its required safety functions. For these reactors this may lead to significant reduction of the remaining lifetime. To deal with this uncertainty and lack of information, ONR has required sufficient safety margin with a high degree of certainty for the restart of the reactor. ONR is working with universities to build knowledge of graphite behaviour and performance. Another challenge with ageing for some of AGRs relates to the boilers. Given the issues with ageing ONR has concluded that a more proactive approach is needed and initiated a series of ageing management inspections to inform its assessment of the AGR Periodic Safety Review submissions provided by the licensee. Also, it requires a more proactive approach from the licensee.
  IRRS 小组比较详细地审查了 ONR 在 PSR、选址许可、改装和加注燃料后启动方面的审查和评估方法。此外，小组还研究了 ONR 处理与老化有关的挑战的情况。其中一个挑战与 AGR 组合中一些反应堆的石墨开裂有关。这一安全案例目前是 ONR 面临的最具挑战性的案例之一，因为石墨性能（开裂）建模的不确定性很高，这与实现其所需的安全功能有关。对于这些反应堆来说，这可能会导致剩余寿命大幅缩短。为了应对这种不确定性和信息的缺乏，英国国家反应堆管理局要求反应堆的重新启动具有足够的安全裕度和高度的确定性。英国国家反应堆管理局正在与大学合作，积累有关石墨行为和性能的知识。一些 AGR 在老化方面面临的另一个挑战与锅炉有关。鉴于老化方面的问题，英国国家核研究组织（ONR）认为需要采取更加积极主动的方法，并启动了一系列老化管理检查，为其评估许可证持有者提交的 AGR 定期安全审查报告提供依据。此外，它还要求许可证持有者采取更加积极主动的方法。

6.1.2. ORGANIZATION AND TECHNICAL RESOURCES FOR REVIEW AND ASSESSMENT
6.1.2.用于审查和评估的组织和技术资源

• Analytical skills derived from a sound education and training in relevant science or technical subject, plus experience of application of those skills in practice
  通过相关科学或技术学科的良好教育和培训获得的分析技能，以及在实践中应用这些技能的经验
• An understanding of the application of discipline-specific technological knowledge and subject skill in the nuclear sector.
  了解特定学科的技术知识和学科技能在核领域的应用。
• Technical knowledge and experience of its application in a nuclear industrial context to the extent necessary to have obvious credibility when interacting with a wide range of nuclear stakeholders.
  技术知识及其在核工业背景下的应用经验，达到必要的程度，以便在与广泛的核利益攸关方互动时具有明显的可信度。
• Understanding of nuclear and radiological hazards and appreciation of the way in which safety functional requirements of structures systems and components are derived for their control.
  了解核危害和放射性危害，了解如何对结构系统和部件的安全功能要求进行控制。
  ONR provide in-house regulatory and legal courses, plus on-the-job and discipline specific training. This is described more in Chapter 3. Key competencies include understanding of safety cases and their implementation, and sound regulatory decision-making ability.
  ONR 提供内部监管和法律课程，以及在职培训和特定学科培训。第 3 章对此有详细介绍。关键能力包括对安全案例及其实施的理解，以及良好的监管决策能力。
  ONR has no TSO, but a framework of technical support contractors, is used if a certain competence is not available in-house or if there is a temporary need for more capacity. External technical support is also utilised to support independence in decisions related to graphite degradation in the AGRs. To inform ONR about international practices and developments, it cooperates in various forums such as MDEP, dealing for instance with encouraging multinational convergence of codes, standards and safety goals in the area of new reactor regulation, the SMR regulators forum and exchanges with ASN (PWR-technology). Because of their unique design, the opportunities for
  英国国家航天局没有技术服务组织，但在内部不具备某种能力或临时需要更多能力时，会使用一个技术支持承包商框架。此外，还利用外部技术支持来支持与 AGR 中石墨降解有关的独立决策。为了让英国国家核研究组织了解国际惯例和发展情况，该组织在各种论坛上开展合作，例如 MDEP（处理新反应堆监管领域的准则、标准和安全目标的多国趋同问题）、SMR 监管机构论坛以及与 ASN（压水堆技术）的交流。由于其独特的设计
  international exchange on technology- specific aspects of the AGRs is limited. ONR’s Chief Nuclear Inspector has an advisory body but does not use it for regulatory decision making. ONR has the policy not to develop their own computer tools, but to have in house staff that have experience with those tools, that are able to specify and judge work from contractors.
  有关 AGRs 具体技术方面的国际交流十分有限。英国国家核研究局的首席核检查员设有一个咨询机构，但并不利用该机构进行监管决策。英国国家核研究局的政策是不开发自己的计算机工具，而是拥有使用这些工具的经验丰富的内部工作人员，他们能够对承包商的工作做出规定和判断。
  The EA has around 75 staff for its nuclear activities and has an SLA with NRW to carry out specific technical work related to nuclear activities on NRW’s behalf at nuclear sites in Wales.
  英国环境署约有 75 名工作人员负责核活动，并与威尔士国家研究院签订了服务级协议，代表国家研究院在威尔士的核场所开展与核活动有关的具体技术工作。
  EA has dedicated teams for nuclear waste assessment and radiological monitoring and assessment, and a number of subject matter groups that will assure maintaining the competence, for instance by participation in several international conferences, committees and fora such as NEA (CRPPH, RWMC, CDLM), IAEA (RASSC, WASSC) and WENRA. Where appropriate, information is disseminated to the NRW and SEPA. SEPA experts participate in some of the EA subject matter groups. SEPA and EA cooperate in both EdF and NDA sites regulators’ groups. Cooperation with ONR is well established through MoUs and underlying guidance. EA and SEPA use some tools related to assessments like IRAT-2 (initial radiological assessment tool) and PC-CREAM (dispersion models developed by Public Health England). Some technical support is also sought from different organizations like Public Health England, Universities.
  环境局有专门的核废料评估和放射性监测与评估小组，以及若干专题小组，以确保保持能力，例如，通过参加若干国际会议、委员会和论坛，如国家原子能机构（CRPPH、RWMC、CDLM）、国际原子能机构（RASSC、WASSC）和世界核能协会（WENRA）。在适当的情况下，会将信息传播给国家水资源委员会和国家环保总局。国家环保总局的专家参加了环境局的一些专题小组。国家环保总局和英格兰环境局在教育论坛和新药研发基地监管机构小组中开展合作。通过谅解备忘录和基本指南，与英国国家无线电局建立了良好的合作关系。EA 和 SEPA 使用一些与评估有关的工具，如 IRAT-2（初始放射性评估工具）和 PC-CREAM（英格兰公共卫生机构开发的扩散模型）。此外，还向英格兰公共卫生局、大学等不同组织寻求技术支持。
  EA appoints its staff according to competence standards and requirements derived from a systematic training needs analysis and a formal staff development / refresher programme. In accordance with EA Workforce Planning guidance succession plans exist for key radioactive substances regulation staff. The EA’s succession planning builds capability, ensures knowledge transfer, supports the retention of talented people and skills, provides business continuity and reduces business risk by planning for turnover / skills loss. An EA Guide describes its arrangements for developing ‘fully capable’ nuclear and non-nuclear regulators. It also sets out how regulators can be accredited as Radioactive Waste Compliance Advisers (RWCA). It is expected that all EA staff involved in radioactive substances regulation will complete the requirements for ‘fully capable regulator’ and achieve RWCA status within 3 years of appointment. All staff who have achieved RWCA status are expected to carry out continuing professional development (CPD), and retain evidence, sufficient to ensure that renewal of RWCA certification can be achieved on a rolling 5-yearly basis. EA has developed a Resource Strategy.
  环境局根据系统培训需求分析和正式的员工发展/进修计划得出的能力标准和要求任命其员工。根据 EA 员工队伍规划指南，主要放射性物质监管人员都有继任计划。英格兰和威尔士辐射管理局的继任计划旨在建设能力，确保知识转移，支持保留优秀人才和技能，提供业务连续性，并通过规划人员更替/技能流失降低业务风险。环境管理局指南》介绍了其培养 "完全胜任的 "核监管人员和非核监管人员的安排。该指南还规定了监管人员如何获得放射性废物合规顾问 (RWCA) 资格认证。预计所有参与放射性物质监管的 EA 员工都将在任命后 3 年内完成 "完全胜任监管者 "的要求并获得 RWCA 资格。所有获得 RWCA 资格的工作人员都要进行持续专业发展 (CPD)，并保留足够的证据，以确保每 5 年滚动更新一次 RWCA 证书。EA 制定了一项资源战略。
  The SEPA Radioactive Substances unit now has 27 positions based on an analysis in 2018 to determine its future resources needs. Several recruitment campaigns have had limited results. Currently out of the 27 posts 9.5 are vacant (35%). SEPA management has agreed to temporarily reduce the activities, according to a graded approach. SEPA has now started considering external support. Since recruitment is difficult and will probably not deliver sufficiently qualified staff soon, the IRRS team considers the efforts to get external support as very important. The SEPA action plan contains further actions such as developing a Human Resources Plan and an investigation of the factors affecting the ability to recruit people. The self-assessment by SEPA-RS has also concluded that the competency framework existing at SEPA, does not cover SEPA-RS. It also concluded that a related training programme has to be developed. A SEPA-RS competency matrix has already been developed as part of this activity. Further work is required such as developing the training programme. Also, the human resources plan is not yet available, because short term priority is now the recruitment of about 10 people. In chapter 3, sub-chapter 3.3 a recommendation has been developed.
  根据 2018 年为确定其未来资源需求而进行的分析，国家环保总局放射性物质部门现有 27 个职位。几次招聘活动效果有限。目前，27 个职位中有 9.5 个空缺（35%）。国家环保总局管理层已同意根据分级方法暂时减少活动。国家环保总局现已开始考虑外部支持。由于招聘工作十分困难，而且很可能无法在短期内招聘到足够合格的人员，因此 IRRS 小组认为争取外部支持的工作非常重要。国家环保总局的行动计划包括进一步的行动，如制定人力资源计划和调查影响招聘人 员能力的因素。国家环保总局区域服务中心的自我评估还得出结论，国家环保总局现有的能力框架 并不包括国家环保总局区域服务中心。评估还得出结论，必须制定相关的培训方案。作为这项活动的一部分，已经制定了一个 SEPA-RS 能力矩阵。还需要开展进一步的工作，如制定培训计划。此外，人力资源计划尚未出台，因为目前的短期优先事项是招聘约 10 人。在第 3 章第 3.3 分章中提出了一项建议。

6.1.3. BASES FOR REVIEW AND ASSESSMENT
6.1.3.审查和评估的依据

6.1.4. PERFORMANCE OF REVIEW AND ASSESSMENT
6.1.4.审查和评估的执行情况

6.2. REVIEW AND ASSESSMENT FOR NUCLEAR POWER PLANTS
6.2.核电站的审查和评估

6.3. REVIEW AND ASSESSMENT FOR FUEL CYCLE FACILITIES
6.3.燃料循环设施的审查和评估