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解码NRC战略
时间:2014年10月30日 来源:新浪博友“正能量粒子” 点击量:1558 分享:

  引用美国核管会资料来介绍美国核电站,但却从没介绍过NRC。2014年9月12日美国核管会(NRC)批准了2014-2018年战略规划,本人从中节选部分翻译,并做出适当的编辑,供大家了解核管会。特别声明:本人未获NRC的授权翻译(也未进行校对),只是从爱好者的角度进行翻译,不用于商业用途,如有异议,本人将删除相关博文;本人承诺不会应用于商业行为,也请转载者承诺不用于商业行为。(转载需要联系本人)。

一、美国核管会组织架构
  NRC决策层为5人委员会,设有一名主席。但主席和另外四名委员拥有的权限是一样的。(2011年美国核管会以4:1批复AP1000标准设计文件时,当时投下唯一反对票的就是时任NRC主席的Greg Jaczko)

  NRC下设若干部门(业务部门和职能部门),并按照分区监管的原则向各个核设施派驻现场监管代表

  NRC下属部门中设有专门的公众沟通部门,可见其对公众沟通的重视。

图1:美国NRC组织机构图

  图2展示了NRC的五大职能:法规导则(制定),许可、退役和认证,监督,运行经验,决策支持从该图可以看到,决策支持在NRC的重要作用,决策支持对其他四项活动给予了支持;而且NRC十分注重经验反馈,通过经验反馈来完善法规导则和改进监督。

图2:美国NRC组织运作示意图



二、美国核管会的发展战略

  (此段落主要来自于NRC发布的2014-2018年战略)

(一)、KEY CHALLENGES重要挑战

During the upcoming planning period, the NRC will face new challenges as it continues to operate in a dynamic environment. Key factors the agency has considered in developing this plan include the following:

在即将来到的规划期,由于在动态环境下运营NRC将面临新挑战,当局在制定本规划时考虑的重要挑战如下:

  • Continued implementation of enhancements to improve nuclear safety based on insights arising from operating experience reviews and lessons learned from the 2011 nuclear accident at the Fukushima Dai-ichi nuclear facility in Japan;

  • 在对2011年日本福岛第一核电厂核事故经验教训以及运营经验提升的监督基础上继续强化改善核安全;

  • Continual learning and adaptation of the regulatory framework to address knowledge of and response to the specific hazards, uncertainties, and risks associated with each nuclear site;

  • 持续学习和改进监管框架以适应每一处核设施厂址特有危险、不确定性和风险的应对和有关知识。

  • Continued readiness to review applications involving new technologies such as small modular reactors, medical isotope production facilities, and rapidly evolving digital instrumentation and control systems;

  • 继续准备以审查新技术申请,诸如小型模块式反应堆、医用同位素生产设施和快速发展的数字化仪表和控制系统等;

  • Changes in the demographics, experience, and knowledge of the workforce;

  • 全体雇员的组成、经验和知识的改变;

  • Continued awareness of and support to the development of nuclear safety and security regulations around the world;

  • 持续关注并支持全球核安全和安保监管的发展;

  • Changing economic conditions in the energy market affecting current and planned applications to construct and operate new nuclear facilities or decommission existing ones;

  • 改善能源市场的经济条件从而影响当前和计划建造运营核设施或现有核设施退役的有关申请;

  • Globalization of nuclear technology and the nuclear supply chain, driving the need for increased international engagement on the safe and secure use of radioactive material and the need for new oversight approaches, including ensuring that foreign components used in U.S. nuclear facilities are in compliance with NRC requirements; and

  • 核技术和核供应链的全球化,驱动了放射性材料的安全和保障使用的国际协议和新监管方法的需求,以使得美国核设施中应用的外国部件和NRC监管规则相适应;

  • Continuous monitoring of the threat environment to ensure the security of facilities and accountability controls for radioactive materials.

  • 持续对威胁环境的监测以确保设施安保和放射性材料的可靠控制。

To meet these challenges, the NRC must use its resources effectively and efficiently, enhance the regulatory framework as appropriate to address existing or emerging issues, and deploy effective and innovative strategies for maintaining staff competence and readiness. Even as the NRC works to address these challenges, the agency’s mission and organizational values remain unchanged. The agency will remain a strong, independent, stable, and effective regulator that places the highest priority on ensuring the safety and security of the nuclear facilities and radioactive materials it regulates.

为了应对这些挑战,NRC必须高效实用自由,区划监管体系以适应已有或新出现的问题,部署有效和革新的战略以维持员工竞争力和准备程度。即使当NRC为适应这些挑战工作时,该机构的使命和组织价值观继续维持不变。该机构将继续成为一个强大、独立、稳定和有效的监管者,他们在监管时将确保核设施和放射性材料的安全和安保放在最高优先级。

(二)、美国核管会2014-2018年战略框架

  根据NRC发布的2014-2018年战略,其框架如下:


图3:美国NRC战略框架

MISSION使命

The U.S. Nuclear Regulatory Commission licenses and regulates the Nation’s civilian use of radioactive materials to protect public health and safety, promote the common defense and security, and protect the environment.

美国NRC对联邦内放射性材料进行许可和规管以保证公众健康和安全、促进公共防卫和安保,及保护环境。

VISION愿景

A trusted, independent, transparent, and effective nuclear regulator

一个值得信赖、独立、透明并且高效的核监管者

To be successful, the NRC must not only excel in carrying out its mission, but must do so in a manner that engenders the trust of the public and stakeholders. This vision is an outgrowth of the NRC operating in a manner consistent with its longstanding Principles of Good Regulation—independence, openness, efficiency, clarity, and reliability—and its organizational values (see box). These principles guide the agency—from how the NRC reaches decisions on safety, security, and environmental issues; to how the NRC performs administrative tasks; to how its employees interact with their fellow employees and other stakeholders.

为了成功做到这一点,NRC不仅需要在执行他的使命时要做到卓越,而且必须按照公众和利益干系人信任的方式开展。这一愿景是NRC坚持负荷其良好监管长期原则相一致的规则运营——独立、开放、高效、清晰,且可信赖——以及其组织价值观(如下框所示),而这些原则帮助机构做决策——从如何使得NRC做出安全、安保和环境问题的决策;到NRC如何执行综合任务、如何使得他们的雇员和雇员、雇员和其它利益干系人等沟通等。

By adhering to these principles and values, the NRC maintains its regulatory competence, conveys that competence to stakeholders, and promotes trust in the agency.

坚持这些原则和价值观,NRC维持其监管能力,向利益干系人阐述能力并促进机构内的(相互)信任。

NRC ORGANIZATIONAL VALUES

  • Integrity in our working relationships, practices, and decisions

  • Service to the public and others who are affected by our work

  • Openness in communications and decisionmaking Commitment to public health and safety, security, and the environment

  • Cooperation in the planning, management, and performance of agency work

  • Excellence in our individual and collective actions

  • Respect for individuals’diversity, roles, beliefs, viewpoints, and work/life balance

NRC组织价值观

  • 诚信:在合作、实践和决策时诚信;

  • 服务:为各自和受我们工作影响的其他人服务;

  • 开放:在公众健康、安全、安保和环境方面的决策和沟通时保持开放;

  • 协调:规划/计划、管理和机构工作绩效方面的协调;

  • 卓越:个人和集团行事卓越;

  • 尊重:尊重个体多样性、角色、信仰、价值观和工作/生活间的平衡

STRATEGIC GOALS

GOAL 1: Ensure the safe use of radioactive materials.

GOAL 2: Ensure the secure use of radioactive materials.

战略目标

目标1:确保放射性材料的安全使用

目标2:确保放射性材料在安保下使用

STRATEGIC GOALS

GOAL 1: Ensure the safe use of radioactive materials.

OBJECTIVES :

SAFETY OBJECTIVE : PREVENT AND MITIGATE ACCIDENTS AND ENSURE RADIATION SAFETY.

战略目标

目标1:确保放射性材料的安全使用

安全目标:防止和缓解事故并确保辐射目标

Safety Strategy 1: Enhance the NRC’s regulatory programs as appropriate using lessons learned from domestic and international operating experience and other sources.

安全策略1:强化NRC监管程序,如恰当应用国内国际运营经验和其它来源的经验教训;

Safety Strategy 2: Enhance the risk-informed and performance-based regulatory framework in response to advances in science and technology, policy decisions, and other factors.

安全策略2:强化风险指引和绩效基础的监管框架,以响应科技进步、政治决策和其它因素;

Safety Strategy 3: Ensure the effectiveness and efficiency of licensing and certification activities to maintain both quality and timeliness of licensing and certification reviews.

安全策略3:确保许可和认证活动的有效性和效率,以保持许可和认证审查既有质量又具及时性;

Safety Strategy 4: Maintain effective and consistent oversight of licensee performance to drive continued licensee compliance with NRC safety requirements and license conditions.

安全策略4:保持许可绩效监察的有效性和一致性,以使得许可持续满足NRC安全要求和许可条件;

Safety Strategy 5: Ensure the NRC’s readiness to respond to incidents and emergencies involving NRC-licensed facilities and radioactive materials and other events of domestic and international interest.

安全策略5:确保NRC已准备应对好涉及到NRC发放了执照的设施和放射性材料事故和应急、国内国际事件其它相关事件;

Safety Strategy 6: Ensure that nuclear facilities are constructed in accordance with approved designs and that there is an effective transition from oversight of construction to oversight of operation.

安全策略6:确保核设施按照经批准的设计建造并实现建造监督向运营监督的有效过渡;

Safety Strategy 7: Ensure that the environmental and site safety regulatory infrastructure is adequate to support the issuance of new nuclear licenses.

安全策略7:确保环保核厂址安全监督基础足以满足新核(设施)执照发放的需要;

GOAL 2: Ensure the secure use of radioactive materials.

OBJECTIVES :

SECURITY OBJECTIVE : ENSURE PROTECTION OF NUCLEAR FACILITIES AND RADIOACTIVE MATERIALS.

目标2:确保放射性材料在安保下使用

目标:

安保目标:确保核设施和放射性材料防护

Security Strategy 1: Ensure the effectiveness and efficiency of the regulatory framework using information gained from operating experience and external and internal assessments and in response to technology advances and changes in the threat environment.

安保策略1:应用从运营经验、外部评估和内部评审获得的信息,确保监管框架的有效性和效率,对技术进步及环境威胁的变化进行响应;

Security Strategy 2: Maintain effective and consistent oversight of licensee performance to drive continued licensee compliance with NRC security requirements and license conditions.

安保策略2:维持许可绩效监察的有效性和一致性,以使得许可持续满足NRC安保要求和许可条件

Security Strategy 3: Support U.S. national security interests and nuclear nonproliferation policy objectives within NRC’s statutory mandate through cooperation with domestic and international partners.

安保策略3:在NRC法定授权下,通过和国内、国际伙伴合作,为美国国家安全利益和核不扩散政策目标提供支持。

Security Strategy 4: Ensure material control and accounting for special nuclear materials.

安保策略4:确保材料控制和特殊核材料的核算;

Security Strategy 5: Protect critical digital assets.

安保策略5:保护重要的数字资产;

Security Strategy 6: Ensure timely distribution of security information to stakeholders and international partners.

安保策略6:确保向利益相关者和国际伙伴们及时分送安保信息;

Security Strategy 7: Ensure that programs for the handling and control of classified and Safeguards Information are effectively implemented at the NRC and at licensee facilities.

安保策略7:确保安保信息和分类控制、处置程序在NRC和许可设施中有效执行。

The NRC’s two strategic goals are the results the agency must achieve to successfully carry out its mission and are the foundation for the rest of the plan.

NRC的这两项战略目标(安全和安保)是本机构必须成功完成其使命的结果,也是规划剩余部分的基础。

CROSS CUTTING STRATEGIES

交叉策略

Regulatory Effectiveness Strategy 1: Proactively identify, assess, understand, and resolve safety and security issues.

监管有效性策略1:主动识别、评估、理解和解决安全和安保问题;

Regulatory Effectiveness Strategy 2: Regulate in a manner that effectively and efficiently manages known risks and threats, clearly communicates requirements, and ensures that regulations are consistently applied, are practical, and accommodate technology changes in a timely manner.

监管有效性策略2:按照下述方式监管,有效和高效管理已知风险和威胁、清晰传达要求并且确保法规贯彻执行、科学并及时适应技术变化;

Regulatory Effectiveness Strategy 3: Integrate safety and security programs to identify and avoid unintended consequences.

监管有效性策略3:集成安全和安保程序以识别和避免意外后果;

Openness Strategy 1—Transparency: Make clear information about the NRC’s responsibilities and activities accessible to stakeholders.

开放策略1——透明度关于NRC职责和行动的信息更清晰,相关干系人更易于接受;

Openness Strategy 2—Participation: Enhance interaction with the public and other stakeholders through use of social media and further enable opportunities for meaningful participation in, and mutual understanding of, NRC regulatory processes.

开放策略2——参与:通过使用社交媒体加强与公众和其它干系人的沟通,并且进一步增加有意义的公众参与机会,共同理解NRC监管过程

Openness Strategy 3—Collaboration: Promote domestic and global nuclear safety and security by creating and taking advantage of opportunities to increase collaboration and share best practices with other Federal agencies, with State, local, and Tribal governments, and with the international regulatory community.

开放策略3——协作:通过创造和利益机会增加与其他联邦机构、州、当地和部落政府以及国际社会监管等的协作和良好实践分享,促进国内和全球核安全和安保;

MANAGEMENT OBJECTIVES

KEY MANAGEMENT OBJECTIVE-1 HUMAN CAPITAL OBJECTIVE: ATTRACT, DEVELOP, AND MAINTAIN A HIGH-PERFORMING, DIVERSE, ENGAGED, AND FLEXIBLE WORKFORCE WITH THE SKILLS NEEDED TO ADAPT TO WORKLOAD CHANGES AND EFFECTIVELY CARRY OUT THE NRC’S MISSION NOW AND IN THE FUTURE.

管理目标

关键管理目标-1人力资本目标:吸引、发展和维持一个高绩效、多元化、敬业和弹性的工作团队,他们有必要的技能以适应各种复合的变化、有效承担NRC现在和将来的任务。

Human Capital Strategy 1: Maintain qualified and flexible staff and close skill gaps in mission-critical occupations.

人力资本策略1:维持合格和机灵的雇员,符合关键岗位技能要求;

Human Capital Strategy 2: Hire the best talent to achieve a high-performing, diverse, and engaged workforce with the skills needed to carry out the NRC’s mission now and in the future and close skills gaps in mission-critical occupations.

人力资本策略2:雇佣最优人才来实现一个高绩效、多元化和敬业的工作团队,他们有必要的技能以适应各种复合的变化、有效承担NRC现在和将来的任务,符合关键岗位技能要求;

Human Capital Strategy 3: Improve knowledge management by identifying and capturing critical knowledge from employees, transferring it to those who need it now, and making it accessible for the future.

人力资本策略3:通过从雇员那识别和获取关键知识来提升知识管理,将其传授给那些现在需要的人且使得其面向未来;

Human Capital Strategy 4: Promote a strong NRC internal safety culture with an open, collaborative work environment.

人力资本策略4:通过一项开放、协同工作环境的促成NRC强大的内部核安全文化;

Human Capital Strategy 5: Enhance employee learning opportunities and optimize the use of training resources from an agencywide perspective to meet the agency’s current and future critical skill needs.

人力资本策略5:从机构角度而言,强化雇员学习机会并优化培训资源的使用,以满足机构当前和未来典型技艺需要;

Human Capital Strategy 6: Strengthen workforce diversity and inclusion.

人力资本策略6:强化员工的多元化和包容性。

KEY MANAGEMENT OBJECTIVE-2 INFORMATION MANAGEMENT AND IT

OBJECTIVE: MAKE IT EASIER FOR NRC STAFF TO PERFORM THEIR MISSION AND TO OBTAIN THE INFORMATION THEY NEED FROM AUTHORITATIVE SOURCES ANYTIME, ANYWHERE, ON ANY DEVICE, WHILE MANAGING THE RISK OF COMPROMISE OF SENSITIVE INFORMATION.

关键管理目标-2 信息管理和IT

目标:对于NRC职员而言,使得它更为容易以执行他们的使命,并且当他们对敏感信息陷入风险的管理时可以在任何时候通过如何装备,从权威人士那需要获得信息,

Information Management and IT Strategy 1: Enable the NRC’s staff to easily find and use the information they need.

信息管理和IT策略1:使得NRC职员容易发现并使用他们所需信息。

Information Management and IT Strategy 2: Develop a flexible technology infrastructure that provides the foundation to consistently deliver the IT solutions needed to further the agency’s objectives and strategies.

信息管理和IT策略2开发一项灵活技术框架,以为向本机构目标和战略进一步交付始终如一的IT解决方案奠定基础。

Information Management and IT Strategy 3: Improve the value of the NRC’s IT solutions by providing the right products and services when and where needed to support the agency’s mission.

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