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KSA = Knowledge_ Skills_ Attitudes “Gap analysis” - gnssn - IAEA by xusuqin

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									DRAFT SAFETY REPORT

A Competence Management System for Regulatory Bodies: Systematic Assessment of
Competence Needs, Planning and Training

Contents

1 Introduction
1.1 Background
1.2 Objective and scope
1.3 Structure of this document
1.4 Definitions and abbreviations
2 Management System for Competence
2.1 Principles of Management of the competence programme
2.2 Competence Policy for the Regulatory Body
2.3 Organising for Competence
2.4 Evaluation
3 Systematic approach to Training
3.1 Establishing a learning and development strategy
3.2 Training Coordinator
3.3 Use of systematic approach to training (SAT) by the regulatory body
        3.3.1 Analysis
        3.3.2 Design
        3.3.3 Development
        3.3.4 Implementation
        3.3.5. Evaluation
                 3.3.5.1 Personal Performance Reviews
4 Competence Framework for Regulatory Bodies
4.1 Competence model
4.2 Major functions of a regulatory body
4.3 Identification of competences by function
4.4 Assess current and future competence needs
4.5 Define competence needs
4.6 Analyse competence gaps
4.7 Prioritise the gaps
4.8 Strategic review
5 Methods of providing competences
5.1 Development of training and development programmes
5.2 Recruitment
5.3 Use of external support to augment regulatory functions
5.4 Staff Qualification Systems
6 Selecting methods of training
6.1 Classroom-based training
6.2 Distance learning
6.3 On the job training
6.4 Structured self-study
6.5 Coaching and Mentoring
6.6 Continuous professional development


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Tables and Appendices
Table 1 - Glossary and abbreviations
Appendix 1 – The competence of regulatory bodies in ‘Embarking’ countries
Appendix 2 – Guidelines for Competence Needs Self-Assessment for the Regulatory Body




1 Introduction

This Safety Report provides generic guidance to assist in the development of the
management systems of regulatory bodies by establishing, implementing, assessing and
continually improving a competence management system. It provides the guidance
necessary to meet the requirements of systematically assessing competence needs, in the
near term and longer term future, and planning and delivering training and other elements
of competence development.

Competence of regulatory staff is one of the prerequisites for the safety of nuclear facilities
in the IAEA Member States. Recruitment of competent regulatory staff is difficult in many
countries. Replacement of retiring staff members requires active efforts from the
management of regulatory bodies for establishing staff qualification and training
programmes. Additionally, the ageing of the existing work force and the reduction, in recent
years, in higher education opportunities in the field of nuclear engineering resulted in the
elimination of nuclear engineering departments and research reactors in many universities
and the loss of nuclear research facilities. Furthermore several countries are declaring an
interest in ‘embarking’ on nuclear power development programmes, and this will put
further pressure on the existing pool of experienced regulatory staff and necessitate that
those countries also establish programmes to develop the competence of their regulatory
bodies.

1.1 Background

Safety Requirements for Legal and Governmental Infrastructure for Nuclear, Radiation,
Radioactive Waste and Transport Safety (GS-R-1) address the issues of competences and
training and development of the regulatory body by requiring that: “In order to ensure that
the proper skills are acquired and that adequate levels of competences are achieved and
maintained, the regulatory body shall ensure that its staff members participate in well
defined training programmes. The training should ensure that staff are aware of
technological developments and new safety principles and concepts.”

In order to implement this requirement the regulatory body needs: a competence
management policy; budgetary provisions for training and development; an overall training
and development programme that takes into account the operational needs and the long
term need for specialists and managers; and a training and development plan for each
employee which is tailored to the employee’s needs and role in the regulatory body.

The administration of competence management needs to be formalized and responsibilities
assigned within the regulatory body. For an effective and systematic approach to training
and development, the regulatory body needs to consider the establishment of a



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competence management unit, with training and development either within its organization
or with the assistance of specialized institutes, or a mixture of both.

IAEA has published a number of safety standards and other documents in which the need
and importance of ensuring regulatory competence is emphasized. These documents
include:
       •   IAEA GS-R-1, Legal and Governmental Infrastructure for Nuclear, Radiation, Radioactive
           Waste and Transport Safety
       •   IAEA GS-R-3, Management System for Facilities and Activities
       •   IAEA GS-G-3.1, Application of the Management System for Facilities and Activities
       •   IAEA GS-G-1.1, Organisation and Staffing of the Regulatory body for Nuclear Facilities
       •   IAEA NG-G-3.1, Milestones in the Development of a National Nuclear Power
           Infrastructure
       •   IAEA-TECDOC-1254, Training the staff of the regulatory body for nuclear facilities: A
           competency framework
       •   Guidelines for Competence Needs Self-Assessment for the Regulatory Body Rev. 8.

The last two documents in this list have been extensively drawn upon in preparing this
report, the latter is provided, in its entirety, as Appendix 2.

1.2 Objective and scope

The purpose of this document is to provide guidance on training and development based on
a competence framework required for the regulatory body to perform its functions.
Regulatory bodies should have a management system (TSR 3/ DS 415) for the management
of their activities. It is appropriate that competence management is a part of that system.
This report assumes that regulatory bodies have that intention. Additionally, it gives
guidance on establishing training and development programmes for regulatory staff using
the concept of a competence framework. The full application of the good practices
described represents a goal to be achieved through gradual implementation of the
approach. A management system is transparent and amenable to audit. This important
feature makes competence management accessible to self audit in preparation for an IRRS
mission and provides the evidence that can be scrutinised during such a mission and be
generally available for stakeholders.

There is, among regulatory bodies, a wide range of management and regulatory styles,
influenced by member states’ legislation, culture and ways of working. The guidance is
intended to be tailored to these differing styles. It is meant for regulatory bodies overseeing
nuclear facilities, and specifically, nuclear power reactors and research reactors but it should
be broadly applicable to regulatory bodies with a wider jurisdiction, such as reprocessing
and nuclear chemical treatment plants and decommissioning. It concentrates on developing
a competence management system for staff members who perform primarily in the areas of
review and assessment, inspection and enforcement, authorization, and development of
regulations and guides, but can easily be extended to other regulatory functions. It is
possible to identify several categories of staff by virtues of their experience and capabilities:
Newly recruited staff (with basic knowledge); developing staff (working knowledge);
established staff (advanced knowledge), experts, and managers. The guidance in this
document is applicable to all these categories.



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The competence requirements for regulatory personnel needs to be based on the functional
areas and areas of specialization. Procedures are required for periodic review and updating
of the training and development programme, to take into account scientific and
technological development and the changing needs of the organization and of the
individual.

Differing regulatory styles and Member State legislation also affect the way and extent in
which regulatory bodies augment their competence inventory through the use of external
technical support. For some Regulators, legislation prescribes Technical Support
Organisations (TSOs) which have a status in law and whose jurisdiction overlaps or meshes
with that of the regulatory body. Other regulatory bodies are self contained and have to
exercise an “Intelligent Customer” capability when using external support. The report deals
with these issues.

As mentioned above, a number of ‘Embarking’ countries are aspiring to develop nuclear
power generation and this implies that, amongst other things, regulatory bodies have to be
established and rapidly expanded. The document should be regarded as providing good
practice for such regulatory bodies in setting up from the start, competence management
systems responsible for recruiting and training staff as part of their overall management
systems. In describing a competence management system, this report is valid for embarking
countries. However, Appendix 1 outlines an approach to building and establishing the
competence of the regulatory body during the initial stages of establishing the regulatory
system, and a companion report to this report: ‘Draft Safety Report for Competency
Building of Regulatory Bodies for New Countries Embarking on Nuclear Power Programme’
(Ref Shahid’s report), provides more detailed guidance.

1.3 Structure of this Document

Chapter 2 describes a management system for competence which should be seen as integral
to the regulatory body’s overall planning and strategic management system.

Chapter 3 deals with the design and implementation of a training and development
programme. This takes into consideration the gaps that exist between the current and
desired competences of the regulatory body and the organization, staffing, and local
conditions of that regulatory body personnel. The Systematic Approach to Training (SAT), is
widely recognized as a technique that provides a logical progression from the identification
of the competences required to perform a job to the design, development and
implementation of training to achieve these competences, and subsequent evaluation of
this training.

In chapter 4 a competency model is described, based on four major categories (quadrants)
of competence for regulatory bodies. It is used on the regulatory body as a whole and can
be applied to the main and supplementary functions of the regulatory body, it promotes a
balanced approach to competency. For each of the regulatory body’s four main functions,
there is a map of the necessary competences by quadrant. However it is provided as an
illustration and a specific regulatory body may reach different conclusions, when it conducts
its own analysis. It deals with the competency management for a regulatory body - assessing
competence needs both for the near future and medium future based on the competency



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model. By mapping existing competences against needed competences a gap analysis can
be carried out and priorities for action developed from a rational framework.

Chapter 5 describes how, having established a gap analysis and the associated short and
long term priorities, the regulatory body implements a programme for addressing the
competence gaps. In general three main methods are available: training and development
programmes, recruitment and outsourcing and each regulatory body will have differing
views on the mixture to use.

Chapter 6, describes some of the more common methods of training and managing the
development of staff.

In Appendix 1, the needs of embarking countries are considered in the context of IAEA NG-
G-3.1, ‘Milestones in the Development of a National Nuclear Power Infrastructure’, which
defines three phases of development of the legal and regulatory framework and the
establishment of a competent regulatory body. The competence requirements at each
phase are considered.

Appendix 2, provides the document ‘Guidelines for Competence Needs Self-Assessment for
the Regulatory Body Rev. 8. ‘ in its entirety. This document presents managers and the
training coordinator with an assessment methodology which can be applied at any level of
the organisation to analyze the gaps between existing and needed competences, so that a
map of gaps for the whole organization can then be produced. IAEA have produced an
EXCEL spreadsheet tool to give a convenient “overview” of the status of the competence of
the whole organisation to feed into the strategic planning process.

1.4 Definitions and abbreviations

Specific terms used in this document are defined, for reference, in Table 1, but three terms
are amplified below.

Competences are the mental, physical and behavioural tools with which an activity or a task
is executed. They comprise groups of related knowledge, skills and attitudes (KSAs) needed
by a person to perform a particular job. Knowledge represents the depth and breadth of
absorbed and retained information by the mental faculty of a person that would enable that
person to deal with different situations, changes, and the unexpected. Skills are the
demonstrated abilities and expertness of a person to perform a task to prescribed standards
as judged by an evaluator. Attitude is the appreciation and the practiced behaviour of a
person to perform a job or a task with due diligence. Competences are often wrongly
expressed in a format that relates more to a description of an activity or a task.

A simple way to differentiate between a task and a competency is to ask oneself whether
the statement describing a competency can be used to perform a task or it is a description
of the task itself. For example, for a safety evaluator to perform the task of reviewing a
particular part of a safety report, a required competency would involve knowledge of the
paths of all reactor cooling systems and the capacity of heat sinks during all possible modes
of operation. Another competence would be a skill of effective written communication that
would be utilized in reporting the findings of the review and making recommendations. A
third competence would be an attitude of appreciation that in reviewing the safety report



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and formulating the recommendations safety is the driving factor that must not be
compromised.

2 Management System for Competence

Regulatory bodies should have an integrated management system for the organisation and
performance of their activities (GS-R-3). Competence management should be a part of this
and be integral in the overall management of the regulatory body. Thus the aspects of the
competence programme described below, that involve establishing need, levels and gaps in
competence and the plans for training, development, recruitment etc. that follow from
these considerations should be seen as integral to the regulatory body’s overall planning
and strategic management system.

2.1 Principles of Management of the competence programme
The competence programme is a part of the regulatory body’s management system. It
should provide the policies and objectives of the programme and should describe the
management system to deliver it. It should be the senior management’s primary means of
communicating the expectations of management, their strategies for success and the
methods for achieving the organization’s objectives. Record keeping and transparency
should be a feature of the competence management system and this enables staff
confidence in its equitability as well as facilitating reviews and audits which are required
features of a management system.

2.2 Competence Policy for the Regulatory Body
Regulatory bodies should have an overall strategic vision for their activities which result in
Goals and Strategies for the delivery of that Vision (REF IAEA document on strategic review).
Individual elements of a regulatory body’s activities should also be marked with Policies and
Strategies.

Regulatory bodies should have a Policy for establishing and maintaining adequate
competences within the organisation and for using external sources to complement the
competences resident in the regulatory body. This policy should be developed and declared
within the overall strategic planning process of the regulatory body. The policy should deal
with short term and long term aspects of developing adequate competence to meet the
overall strategic plan of the regulatory body.

In the Policy the competence framework should be used not only for the purpose of
meeting the regulatory body’s needs for the short term and medium term future and
accommodating secession planning and preparing staff for promotion and future roles, but
also to meet (when it can) the personal aspirations of staff for their own development.

2.3 Organizing for Competence
Regulatory Bodies should define the organization, levels of authority, responsibilities and
accountabilities and the documentation and records needed. The responsibilities of line
managers, individuals and persons engaged in training and development should also be
defined. In section 3.2 the appointment of a person, or team, to be responsible for the
quality management of competence is discussed. In this document the person (or the
leader of the team) is referred to as the Training Coordinator.

2.4 Evaluation


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It is important to record the competence levels of individuals, their training and
development status and the outcomes of personal performance reviews. It is also necessary
to gather information for reviews of the management system itself as this is the primary
driver for system improvement.

Feedback and review will take place at several levels: the personal level, the level of
individual organisational sectors, at the corporate level for the whole organisation and of
the competence system itself. The Training Coordinator is responsible for the competence
system as a whole and should have a review system and metrics to track its performance,
particularly the efficacy of training, both internal and external, to seek and influence
improvements. Section 3.3.5, below, deals with evaluation of training programmes.

3 Systematic approach to Training

Each regulatory body must design and implement a training programme which addresses
the gaps that exist between the current and desired competences of the regulatory body
and which takes into account the organization, staffing, and local conditions of that
regulatory body personnel. There is no known model that would appropriately address the
needs of all regulatory bodies.

The Systematic Approach to Training (SAT), has been recognized and used in the past two
decades by several regulatory and government agencies, as well as several industries. SAT is
a technique that provides a logical progression from the identification of the competences
required to perform a job to the design, development and implementation of training to
achieve these competences, and subsequent evaluation of this training. It is a methodology
that applies quality assurance to training in order to achieve the intended objectives. Its
application requires considerable time.

3.1 Establishing a learning and development strategy

Learning is a lifelong process. Organizations should be committed to the training and
development of their employees in order to enhance the efficiency and effectiveness of
their operations, achieve their mission objectives and permit the ongoing development of a
professional, competent, versatile and motivated workforce. It is important that all
regulatory organizations develop a training strategy that reflects this principle.

 The strategy should form the “top level” management document for delivering training and
learning, it should comprehensively enable training, development and learning, particularly
to narrow competence gaps shown by the gap analysis. Special attention has to be given to
circumstances where the long term planning and the associated long term gap analysis
indicates the potential for widening the gap. The strategy should also address and indicate
the mixture of the various training methods identified and the circumstances in which each
method or mixture of methods is to be used. It should also identify the need for a Training
Coordinator and support staff and the project management arrangements for training.

The most valuable asset of the regulatory body consists in its employees. Building
employees’ skills and knowledge is an investment in each employee and in the future of the
organization. Some guiding principles are:
       •   Enable employees to develop so they are capable of carrying out their current job
           responsibilities to a corporately established level of competences.


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       •   Provide adequate resources in the budget for training and development and a
           demonstrable commitment from the regulatory body management.
       •   Position the organization and its employees in such a way as to meet future business
           requirements and challenges.
       •   Align learning activities with and contribute to the achievement of the regulatory
           organization’s mission.
       •   Allocate learning activities in a fair and equitable manner in the light of business
           priorities, operational needs, employees’ career aspirations and financial constraints.
       •   Ensure that learning and development strategies enable expert staff and managers to
           have equitable access to personal development opportunities.
       •   Use a variety of training methods.

Established management principles are used to initiate, plan, execute, control and close the
training and development programme.

Initiating the programme may, for example, involve preparing a business case that secures
management authorization and endorsement, and, consequently, the allocation of
adequate human and monetary resources. Initiating a training programme may also involve
negotiating with interested stakeholders to secure the commitment of management and
participants to the training programme.

Planning may involve:
       •   developing a written scope statement on which future decisions would be based;
       •   defining major milestones and specific activities that will lead to specific project
           deliverables;
       •   producing a schedule which would show the sequencing of activities and the duration of
           each;
       •   planning resources internal and external to the organization;
       •   estimating the cost of work item within the allotted budget;
       •   identifying the quality assurance measures to be taken, the risks that may affect the
           project and the appropriate responses to be taken.

Execution of a training programme includes implementing the programme as designed, use
of evaluation/verification measures to ensure that the quality of the activities and the
effectiveness of its delivery.

Control relates to keeping the programme on time and within budget, and dealing with
unexpected situations that may require decision making at different levels of authority. It
also includes the identification of variances from the plan and taking the corrective actions
timely.

Closure would include analysis of the data collected from the evaluation tools, reporting the
outcome to management and other stakeholders, storing the results of evaluating the
learners’ success in the training database, and, perhaps, modifying the training material for
repeat delivery.

The systematic approach to training (SAT) described below in section 5.3 is used in
conjunction with the management process, as described above.

3.2 Training Coordinator



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As in any management system, responsibilities should be allocated. A person, or team,
should be appointed to be responsible for the quality management of competence in the
regulatory body. In this document the person (or the leader of the team) is referred to as
the Training Coordinator (TC).

The Training Coordinator should coordinate the process of identifying competence “gaps” in
the organisation as a whole and for individuals. Based on information developed in
cooperation with the organization’s management, the TC will quantify the number of people
associated with each gap and develop a chart of the staff needs. The regulatory body’s
management, with the aid of the TC should establish the priority for addressing each gap
and agree the allocation of resources to recruitment, training, and outsourcing to fill as
many gaps as possible within the available resources. The gap analysis should be repeated
periodically as part of the regulatory body’s planning cycle to determine by how much the
gaps have been reduced. This evaluation will facilitate design of the next training cycle.

3.3 Use of systematic approach to training (SAT) by the regulatory body

Briefly, SAT consists of five interrelated phases as follows:

3.3.1 Analysis
The competence model described in chapter 4 is used to determine which competences are
applicable for appropriate categories of staff. Where competences are defined against
categories of posts, these are often known as Post Profiles. The next step is to apply the
principles of the systematic approach to training to implement a training programme to
develop the required competences identified by the gap analyses. The output of this phase
is a set of learning points that identify what a learner must know and do, and the criteria by
which an evaluation can be made against the intended goals.

It is essential that the regulatory body apply a systematic approach to identify current and
desired competences, determine the gaps, and implement training programmes to address
the desired competences.

Training Needs Assessment (TNA) may require extensive manpower in terms of resources
and time. It can be used either to expand or refocus an existing training programme or to
build a new training programme. In order to conduct a TNA, one must start with the mission
and functions of the organisation. This information should be documented as required in
GS-R-3, “Management System for Facilities and Activities,” Chapter 2.8 of which states:

“The documentation of the management system shall include the following:
       •   The policy statements of the organization
       •   A description of the structure of the organization
       •   A description of the functional responsibilities, accountabilities, levels of authority and
           interactions of those managing, performing and assessing work
       •   A description of the processes and supporting information that explain how work is to be
           prepared, reviewed, carried out, recorded, assessed and improved.”


Every person in the regulatory body should understand the functions and the management
system of the organization.



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The regulatory body will normally be organised into a number of units. (In this document,
‘unit’ is intended to mean an organizational sub-division at any level.) Depending on the
unit, it may focus on one or more of these regulatory functions. The unit’s function leads to
the associated tasks that are required to fulfil its responsibilities. Each task requires a
certain competence (knowledge, skills, and attitudes). Figure 1 shows the steps of a TNA.




Fig 1 - Flow chart of a Training Needs Assessment

The steps of the TNA process incorporates the competence assessment steps of Chapter 4,
below:
       •   Determine the functions of each unit.
       •   Determine the tasks required for each function.
       •   Determine the Knowledge, Skills, and Attitudes (KSAs) needed to perform these tasks.
       •   Managers will assess existing KSAs of staff; and staff conduct self-assessments of their
           KSAs.
       •   The Training Coordinator (TC) and managers will compare the needed KSAs with the
           existing KSAs and identify gaps where the existing KSAs are inadequate.
       •   The TC and managers will prioritize the gaps, allocate resources to fill the gaps, and fill
           them by recruitment, training, and outsourcing.
       •   The regulatory body will repeat the Training Needs Analysis periodically and adjust the
           training programme accordingly.

A gap analysis and individual training plan are needed for each individual staff member. The
questionnaire given in Appendix 2 can help with the analysis. An appropriate mechanism
for the development of this is to use the Personal Performance Review (see section 3.3.5.1).

Using individual training plans a corporate annual training programme is developed by the
Training Coordinator and senior management, based on the corporate strategic directives
and the individual needs. Available training courses (internal and external, national and
international) are reviewed and updated and the appropriate form of training is established.
Continuing professional development and refresher training will also be a feature of the
development of training plans for individuals.




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3.3.2 Design
Training needs and learning points related to specific competences are converted to
learning objectives, including evaluation strategies, which are then organized into training
plans involving learning points, learning cycles and evaluation methods.

Many regulatory bodies design and implement their own training programmes. For those
that do, it almost certainly involves some combination of courses presented by regulatory
staff personnel and some by outside contractors, technical institutions, or consultants.
Within any given country there are often commercial organizations that provide training
that is suitable for the regulatory body. However, some regulatory bodies are leaning to
national or international co-operation to achieve staff training. There are many
opportunities to obtain training in regulatory competences through international
arrangements and courses that may be common to multiple countries.

External courses are more likely to be suitable for technical areas (i.e quadrant2), although
some of the elements of quadrant 1 (legislative and legal) may also be amenable to external
training. Nuclear industry technical training (for example reactor operators) for regulatory
staff can have benefits, but it should be done in moderation, minimizing aspects that do not
relate to required competences. Although some elements of training programmes for
regulatory body personnel may be similar to some elements of operator training
programmes, the overall training programmes will inevitably be considerably different, since
the roles of regulatory staff and operating staff are quite different. Even for training
programme elements (such as technical elements) that would appear to be in common, it is
often very useful if the regulatory staff training can be implemented with a regulatory
perspective rather than an operational perspective.

3.3.3 Development
Job descriptions (post profiles) listing required competences are essential for planning
individual training and development programmes. The regulatory functions described in the
IAEA Safety Standards are recommended for deriving tasks and job description. Sections 4.2
& 4.3 present the main regulatory functions and sample tasks typically performed under
these functions.

The competence framework presents a selection of competences that are typically needed
in regulatory duties. The competence gap analysis for a given function or job enables the
planning of an individual training and development programme.

The gap analysis for an individual compares the existing competences a person already has
with the competences needed for the job (post profile). Personal Performance Reviews can
help determine a staff member’s KSAs, facilitating the gap analysis. The TC, in collaboration
with managers, will:
       •   Develop learning objectives and topics;
       •   Decide on the training delivery methods and tools;
       •   Produce or modify lesson plans;
       •   Recruit and secure qualified trainers (lecturers, mentors, experts, etc.);
       •   Produce or modify training material (learner text, presentations and handouts);
       •   Produce or modify instructors’ manual;
       •   Decide on the evaluation methods and tools;
       •   Produce or modify evaluation tools.


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3.3.4. Implementation
By design, specific delivery methods and tools would be used to ensure that training is
delivered in an effective and efficient manner. The Training Coordinator, in collaboration
with managers, will:
       •   Deliver training and development as per the Annual Training and Development
           Programme;
       •   Assign a course director and a course co-ordinator;
       •   Use Internal and/or External training facilities;
       •   Use appropriate and adequate equipment;
       •   Deliver training in accordance with the lesson plans;
       •   Use evaluation tools as per design and to receive additional feedback at all levels.

3.3.5. Evaluation
The training and development programme should be continuously evaluated on the basis of
data collected during each preceding phases. The evaluation provides feedback that can
facilitate training and development programme improvements.

There are several sources of feedback:
       •   Course evaluation by trainees
       •   Self-evaluation of performance improvement by trainees
       •   Course evaluation by trainers
       •   Feedback from line managers on how the training and development affected employee
           performance
       •   Feedback from outside stakeholders, such as nuclear operators, on regulatory staff
           performance.

During and immediately after delivery of the course participants should complete evaluation
tools.

The Training Coordinator should review individual training and development plans, assess
progress, evaluate the training and development programme, and recommend future
improvements. Training and development records should be comprehensive. In some cases
they can provide a database for subsequent qualification purposes.

3.3.5.1 Personal performance reviews

Feedback is available as a result of personal performance reviews, one to one between staff
and line managers. It assists effective learning so that tasks are completed correctly and
goals are specified; from the individual's viewpoint, feedback assists in motivation and can
satisfy needs for information on progress and facilitate social comparison with others. They
are most effective if they are part of a management framework in which there are frequent
discussions of performance, the accent is on participative goal setting and problem solving
and a balanced review of performance, covering strengths as well as weaknesses is made.
Organisations should include an element of self-appraisal by the appraisee, within personal
performance reviews, because the appraisee is the person who has the greatest knowledge
of what he or she has actually done. Personal performance reviews are an excellent vehicle
for formalising the gathering together of information on individuals’ competence, making
the gap analysis for the individual and identifying needed training.



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4 Competence Framework for Regulatory Bodies
This chapter gives a general insight or overview of competence needs to perform the basic
regulatory functions of a regulatory body. It describes the model used in this report and
should be read in conjunction with Appendix 2. The ’Quadrant’ competence model is
described, based on four major categories of competence for regulatory bodies: - legal basis
and regulatory processes competences; technical disciplines competences; regulatory
practices competences; and personal and interpersonal effectiveness competences. Viz.-


4. Personal and interpersonal effectiveness     1. Legal basis and regulatory processes
competencies                                    competencies
4.1. Analytical thinking, problem               1.1. Legal basis
solving and decision making                     1.2. Regulatory process
4.2. Personal effectiveness                     1.3. Regulatory guidance documents
4.3. Communication                              1.4. License and licensing documents
4.4. Team work                                  1.5. Enforcement process
4.5. Management

3. Regulatory practices competencies            2. Technical disciplines competencies
3.1. Safety-focused analytical                  2.1. Basic technology
techniques                                      2.2. Applied technology
3.2. Inspection techniques                      2.3. Specialized technology
3.3. Auditing techniques
3.4. Investigation techniques




 Fig 1 - Competence model quadrant representation for regulatory body (from Tecdoc 1254)

The chapter deals with a model for assessing competence needs both for the near and
medium future. By mapping existing competences and comparing them with needed
competences a gap analysis can be carried out and priorities for action developed. The
purpose of this model is to give regulatory bodies a conceptual framework that will enable
them to balance their competences.

4.1 Competence model

Several approaches have been used by the nuclear industry in the development of training
and development programmes based on job/task/competence analyses. Also, outside the
nuclear industry, many major companies have invested significant time and effort to
establish the competences they require in their businesses so that they could establish an
appropriate recruitment strategy and subsequent training and development. It is not
possible in this report to conduct such an extensive analysis for a specific regulatory body;
rather, the approach adopted has been to develop a general model.

A competence model will prove essential for a regulatory body especially if consistency of
regulatory performance is sought and for the development of staff qualification, career
planning and professional progression. It may also be a key instrument for a regulatory body



Fourth draft Page 13                                          Document version: 20/02/2013
to effect major changes, particularly if strategic goals are amended and new competence
profiles may be required for new challenges. It is a significant input into the process of
developing an effective regulatory body that responds to internal and external
environments and the associated challenges.

As indicated above, competences comprise different sets of knowledge, skills and attitudes.
Competences may have one or more levels and it is highly beneficial that competences be
formally defined within the organization. Also, levels of competences should be established
and publicized to interested stakeholders with clarity regarding the expected standards.
Standards that include indicators should carefully be established to provide, if necessary,
the ability to attest that regulatory body personnel possess or have achieved a required
level of competence. And this can also be tested during the self assessment stage of
preparing for IRRS.

Each regulatory body must establish its own sets of competences, levels of competences,
and standards for evaluating whether or not personnel have achieved a prescribed level,
and, as such, that these personnel would be considered qualified. Requirements for testing
or certifying of regulatory body staff is not the subject of this report, because of the wide
variation in regulatory bodies’ practice, but if a regulatory body needs to it can easily be
accommodated into the competence management system (see section 5.4).

4.2 Major functions of a regulatory body

The main and supplementary functions of the regulatory body have been described in the
IAEA Safety Standards Series, Requirements GS-R-1 Governmental, Legal and Regulatory
Framework for Safety. The IAEA Safety Glossary provides definitions of terms like
authorization, review, assessment, inspection, and enforcement. In addition to these four
main functions, there are several supplementary functions:
       •   Research and development is a function in which the regulatory body conducts or
           commissions independent research to confirm specific findings. The research conducted
           by the regulatory body can be either confirmatory or anticipatory and it may be focused
           on either short term or long term regulatory needs.
       •    Emergency preparedness is a function in which the regulatory body ensures that the
           operators have adequate emergency preparedness arrangements in place. The role of
           the regulatory body varies considerably with regard to emergency preparedness. In
           some cases the regulatory body must also be competent to act as part of a national
           organization to oversee the emergency situation and provide advice to relevant parties.
       •   International co-operation is a function in which the regulatory body establishes
           arrangements for the exchange of safety related information to fulfil safety obligations
           and to promote cooperation. International co-operation can consist of exchange of
           information, mutual assistance in regulatory activities, staff training, meetings on
           specific subjects, and other matters.
       •    Finally, some regulatory bodies may have other supplementary functions, such as
           safeguards, radiation protection, regulation of nuclear chemical plants, security, etc.

The model described here can be modified to address the required competences to such
functions and to formulate tables and illustrations similar to those presented in this report.




Fourth draft Page 14                                             Document version: 20/02/2013
  4.3 Identification of competences by function

  Fig 2, below, shows an estimate of the relative importance of each competence to the four
  major functions. This table is an example for a hypothetical regulatory body, which could be
  modified to suit the needs of a real country. The row for management skills would depend
  on whether the individual being assessed needs those skills.
  In order to maximize the usefulness of the competence model, the model will also be used
  for the supplementary functions. The empty column for Supplementary Functions is a
  reminder to new Regulatory Bodies to consider these functions as well.




                                                                                                                    Supplementary
                                                                                                   of regulations
                                                   Authorization




                                                                                                   Development
                                                                                    enforcement
                                                                                    Inspection &
                                                                     Review and
                                                                     assessment




                                                                                                   and guides



                                                                                                                    functions
       1 Legal Basis & Regulatory Competences
1.1 Legal basis                             High                   High           High             Medium
1.2 Regulatory process                      High                   High           High             High
1.3 Regulatory guidance documents           High                   High           High             High
1.4 License and licensing documents         High                   High           High             High
1.5 Enforcement process                     Medium                 Low            High             Low
       2 Technical Disciplines
2.1 Basic technology                        High                   High           High             High
2.2 Applied technology                      Low                    High           High             Medium
2.3 Specialized technology                  Low                    High           Medium           Medium
       3 Regulatory Practices
3.1 Safety focused analytical techniques    Medium                 High           High             High
3.2 Inspection techniques                   Low                    Medium         High             Low
3.3 Auditing techniques                     Medium                 Medium         High             Low
3.4 Investigation techniques                Low                    Medium         High             Low
      4 Personal and Interpersonal Effectiveness
    Analytical thinking, problem solving
4.1 and decision making                   High                     High           High             High
4.2 Personal effectiveness                  High                   High           High             High
4.3 Communication                           High                   Medium         High             High


  Fourth draft Page 15                                                       Document version: 20/02/2013
4.4 Team work                               High       High        High       High
4.5 Management                              High       Medium      High       Medium

 Fig 2 – The relative importance of competences for each function of the regulatory body


 4.4 Assess current and future competence needs
 The information about the functions of each organisational subdivision, such as a Unit
 should be available in the Management System documentation. For each unit the needed
 competences relevant to its functions should be identified. Table 2 is a guide to the
 identification of the competences important to a unit depending on the focus of the
 regulatory function the unit is fulfilling.

 The organizational mandate should take account of the present needs as well as the future
 aspirations of the organization. The list of units should be presented with corresponding
 functions even if the unit does not yet exist, all anticipated needs should be accounted for.

 To make reliable predictions of future competence needs, the planning of competence
 needs should be an integral element of a systematic approach to planning of the regulatory
 body’s activities. Note that there are different options to fill competence gaps (such as
 outsourcing), thus the process is more a tool to assess future competence needs, than to
 assess future staffing need.

 4.5 Define competence needs

 IAEA have (Guidelines for Competence Needs Self-Assessment for the Regulatory Body Rev.
 8.) prepared an EXCEL spreadsheet (available on their website) which uses a question set to
 help gather the data. The question set is given in Appendix 2 together with definitions of
 “high”, “medium” and “low” for each competence level.

 Firstly, for each organisational subdivision of the regulatory body the tasks that are to be
 performed have to be listed and described. The line manager of the unit specifies for each
 position the level (low, medium, high) of required competences. This is a time-consuming
 task that may be effectively done by a team (or by a brainstorming session).

 The compilation in Appendix 2 has to be adapted to the particular needs of the regulatory
 body.

 The question set can also be used as a vehicle for developing competence profiles for each
 individual post. For each staff member an individual’s line manager, supported as necessary
 by the training coordinator, should examine each identified competence and make an
 assessment of their existing level (H, M, L). In addition, staff members should carry out a
 self- assessment of their existing level (H, M, L). This process provides the data on all the
 required KSAs and available KSAs, and this is the required preparation for the gap analysis.

 4.6 Analyse competence gaps

 Managers, with the help and support as necessary from the training coordinator, should for
 each unit analyze the gaps between existing and needed competences, determining how


 Fourth draft Page 16                                          Document version: 20/02/2013
many people correspond to each gap. A map of gaps for the whole organization can then be
produced. The EXCEL tool mentioned above produces this gap chart automatically and
figure 3 shows a typical example of a gap chart resulting from the use of this tool, for each
of the four quadrants.

Gap charts are a convenient “overview” of the status of the competence of the whole
organisation to feed into the strategic planning process. Some regulatory bodies have
commented that such an overview enabled them to establish that some of the competences
were missing within their organisation and structural changes were needed to address this.

It is recommended that a regulatory body incorporates into the self assessment in
preparation for IRRS missions, a gap analysis to demonstrate that a full coverage of
competences is in place.

Personal performance reviews represent an ideal source of information to feed into the gap
analyse as they necessarily examine each individual’s competence and discuss proposed
competence development.


                                                                                                                                                                                                                         Junior assessor: Averages


 3.5


 3.0


 2.5


 2.0                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                            Needed
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                Existing
 1.5                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                            Gap



 1.0


 0.5


 0.0
                                                     1.3 Regulations & Regulatory Guidance Documents




                                                                                                                                                                                                                                                                                                                                                                                                                                                                                      4.3 Communication
                                                                                                                                                                                                                                                                                                                                                                                           4.1 Analytical thinking, problem solving & decision making




                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                               4.5 Management
                            1.2 Regulatory Process




                                                                                                                                           1.5 Enforcement Process




                                                                                                                                                                                                                                                                                                     3.2 Inspection Techniques




                                                                                                                                                                                                                                                                                                                                                           3.4 Investigations Techniques
                                                                                                       1.4 Licence & Licensing Documents




                                                                                                                                                                     2.1 Basic Technologies




                                                                                                                                                                                                                           2.3 Specialized Technologies




                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                          4.4 Safety Culture
       1.1 Legal Basis




                                                                                                                                                                                                                                                                                                                                 3.3 Auditing Techniques
                                                                                                                                                                                              2.2 Applied technologies




                                                                                                                                                                                                                                                                                                                                                                                                                                                         4.2 Personal effectiveness
                                                                                                                                                                                                                                                          3.1 Safety focused Analytical Tech.




                    1 - Legal Basis and Regulatory Process                                                                                                           2 - Technical Disciplines                                                                                                  3 - Regulatory Practice                                                                                    4 - Personal & Interpersonal Effectiveness




Figure 3 - Chart of a typical gap analysis results


4.7 Prioritise the gaps

In the Strategic review, managers, again with the help and support as necessary from the
training coordinator, should prioritize the gaps according to their importance to the


Fourth draft Page 17                                                                                                                                                                                                                                                                                                                                                                                                                                    Document version: 20/02/2013
regulatory functions and decide on the allocation of resources to fill some of the gaps by
recruitment, training, and outsourcing etc. In many cases the gap can be filled through
outsourcing to a Technical Support Organization (TSO) or support contractor or consultant.
In such cases it is important that within the regulatory staff there is at least one senior
expert well-trained in the subject matter to serve as an “intelligent customer”, see section
5.3.

4.8 Strategic Review

Circumstances, such as reorganization, assignment of new regulatory functions, recruitment
of new staff, changes in licensees’ activities etc., may make it necessary to repeat the TNA
process either for the whole organization or for affected parts. In addition, it is advisable to
conduct a new TNA periodically to assess the effectiveness of the training and development
programme, design new training cycles and foster continuous improvement. If, as this
guidance document suggests, competence analysis is made part of the planning process,
this should happen as part of the planning cycle for the regulatory body.

At senior management level of the regulatory body a review of the functions that are
required to be performed and a determination of the size and composition of the regulatory
body needed to fulfil its obligations should be part of its normal strategic review and
planning process. This process is applicable to both short term and long term needs. It is
difficult to determine the appropriate size of a regulatory body as it depends on a range of
factors and on the number of similar facilities, the number of operating organizations, the
various types of facilities, the regulatory approach adopted and the legal framework.
Different countries have very different sizes of regulatory body due to these factors. Hence
the competences which will be required within a regulatory body will vary, though there will
be a common requirement for basic scientific and engineering knowledge. Ideally when a
regulatory body has a complete understanding of the competences required, across the
organization, it is relatively straightforward to identify gaps due to changes in the nature of
the industry or staffing changes such as anticipation of retirements.

5 Methods of providing Competences

Having established a gap analysis and the associated short and long term priorities the
regulatory body now has to implement its programme for addressing the competence gaps.
In general three main methods are available: training and development programmes,
recruitment and outsourcing and each regulatory body will have differing views on the
mixture to use.

5.1 Develop training and development programmes

Available training courses (internal and external, national and international) are reviewed
and updated and the appropriate form of training is established.

Each regulatory body must design and implement a training programme which takes into
consideration the gaps that exist between the current and desired competences. Chapter 3
deals with the Systematic Approach to Training (SAT) in detail and this report promotes it at
section 3.3. SAT is a technique that provides a logical progression from the identification of
the competences required to perform a job to the design, development and implementation
of training to achieve these competences, and subsequent evaluation of this training.


Fourth draft Page 18                                           Document version: 20/02/2013
Continuing professional development and refresher training will also be a feature of the
development of training and development plans for individuals. A combination of self-study,
formal training courses, workshops, seminars and on the job training is a platform for the
regulatory training programme. Development needs for the more established staff may
include developing them into experts (or expanding the expertise of existing experts)
through attendance at conferences, attachment to specialist organisations, secondment to
other regulatory bodies, international cooperation etc.

5.2 Recruitment

One method of addressing competence gaps, particularly long term gaps, is to recruit (see
safety guides GS-G-1 and GS-G-3.1). Job specifications can be established and recruitment
initiated. However, it is inevitable that new recruits will not have all of the necessary
competences and it will be appropriate to establish a training programme to develop them.
Similarly, part of the overall strategy may be to move staff to new posts, but they may also
need to acquire additional competences. This approach requires identification of those
training requirements that are essential and the means through which they can be provided.

The recruitment strategy within a regulatory body will depend on a number of factors.
These factors are likely to change with time and hence the regulatory body will need to
review the strategy periodically to establish whether it is still appropriate and viable. Work
experience, and particularly demonstrated competence, is an important consideration in
selecting personnel to staff the regulatory organization.

If the nuclear programme is just being established, as will be the case for example in an
“Embarking” country, or if the nuclear industry is small, the sources for recruitment may be
limited. Similarly, the educational infrastructure may also be limited so that the numbers of
potential engineering and science students is limited. Countries with established nuclear
research institutes often look to these institutes for personnel with experience in the
nuclear field.

For situations in which a nuclear programme is large and well established, staff can often be
recruited from many sources, including the operating organizations. Arrangements should
be made to ensure that recruits from any organizations involved in the nuclear industry are
not placed in roles in which they might compromise the independence of the regulatory
body. This is relatively easy for those regulatory Bodies who regulate a number of licensees,
as new staff can be assigned to other licensees, but is less easy when there are only a small
number of licensees in the country. Sufficient time needs to elapse to ensure that the
recruits no longer identify with the organization from which they were recruited. In these
cases, the emphasis of the training programmes will be to instil in such recruits the culture
of the regulatory body and some specific knowledge, skills, and/or attitudes that the staff of
a regulatory body require to do their jobs (Quadrants 1 & 3 in the model).

A common approach for most regulatory bodies is to recruit staff against a job specification
that includes qualifications and experience. Typically, recruitment is targetted on people
who possess a first or second level university degree and who have between 5 to 10 years of
appropriate experience . In the terms of the model presented in this report these people
may already demonstrate application of their fundamental knowledge within the nuclear
industry. In some cases, this recruitment may be targeted more at specialists and staff with


Fourth draft Page 19                                           Document version: 20/02/2013
expert knowledge. Hence the training programmes that would subsequently be developed
rely heavily upon the assumption that incoming staff come with a certain level of knowledge
of nuclear safety plus expertise in one or more technology fields. In this case, it is likely that
sufficient knowledge, skills, and/or attitudes in some areas may be demonstrated quickly.
Training plans and programmes may then focus on the competences required for regulatory
activities.

However, more recently, countries have had to examine this approach in view of the ageing
population of the staff of the regulatory body and the reduction in numbers of university
students studying engineering and technical subjects. Some programmes involving
recruitment of new or relatively new graduates have been initiated. In these cases, the
knowledge base will likely be much lower and more intensive training will be required to
provide the additional applied technology knowledge and demonstrate a basic level of
competences.

For some technical disciplines recruitment outside the nuclear industry is the almost only
way to get competent employees. Their training needs differs from both above, recruits are
experts on one field but do not have experience on nuclear. For them nuclear safety issues
as well as regulatory practices are the core training areas.

Also, it will be necessary to capture the knowledge and experience of the retiring staff
through a knowledge management programme and using the staff to deliver training. As
such, this training may initially include significant knowledge based learning as well as the
other methods described to establish the desired level of competences.

5.3 Use of external support to augment regulatory functions

The regulatory body, including a dedicated technical support organization if appropriate,
preferably has staff capable of performing all of the regulatory functions and be competent
in all of the areas listed in this report. But it is neither necessary nor practicable for the
regulatory body to be entirely self-sufficient in all of the technical areas. The use of
consultants in specialized areas may be necessary. Occasionally, owing to a heavy short
term workload, it may be necessary to augment the regulatory body’s staff with consultants
with knowledge and experience equivalent to that of the regulatory body’s staff. This may
take any of the following forms:
       •   experts provided by other governmental bodies, technical societies or research
           institutes;
       •   consultants or members of advisory committees of recognized skill and experience, so
           long as they are effectively independent of the operator or its contractors; or
       •   experts provided by or under the auspices of international organizations.

If a regulatory body has a large number of licensees it may be possible to guarantee
independence and thus use licensees as contractors providing they are engaged on work
pertaining to different licensees.

It is inappropriate to give external contractors legally based regulatory powers.

When using external support, it is important that the regulatory body have some basic
competences as well as staff capable of devising project programmes for the consultants



Fourth draft Page 20                                            Document version: 20/02/2013
and of interpreting the relevance of the results provided by the consultants within a
regulatory framework. In regulating a licensee who uses contractors to provide it with
support, a regulatory body uses the concept of “intelligent customer” to satisfy itself that
the licensee is capable of controlling the work done for it. The same test is appropriate to
be made by the regulatory body about its own use of external support. It should have
sufficient breadth and depth of knowledge and experience to:
       •   specify the work;
       •   assess tenders and proposals;
       •   chose an appropriate contractor;
       •   supervise and manage the work;
       •   ensure contractors staff are suitable qualified, experienced and trained;
       •   ensure the required product or work quality is delivered; and
       •   monitor the performance of the contractor, taking appropriate action if it is inadequate.

Consequently it needs to know what is required and be able to specify the requirement,
appropriately, to understand advice and service given to it and the context, in which that
advice sits. The transparency inherent in the management system is a vehicle for ensuring
the equitability of this.

5.4 Staff Qualification Systems

Some regulatory bodies use staff qualification systems. A staff qualifications system has the
following features:
       •   Required competences for each job are documented and publicized.
       •   Staff have the opportunity to develop the required competences in a systematic and
           auditable way using individual training plans.
       •   The competences possessed by each staff member are documented and publicized.
       •   The staff certification for various tasks is useful in decisions about job transfers and
           promotions.
       •   The public can be assured that key functions, such as licensing and inspection, are
           performed by appropriately qualified staff.

6 Selecting methods of training

Every employee of the regulatory body should have opportunity to improve his or her
knowledge, skills, and attitudes. For new employees this would include orientation,
regulations, and procedures for the required tasks, such as inspections. Developing
employees will need in-depth training in their specialties, plus personal and interpersonal
skills (Quadrant 4). Established employees will need refresher training to keep their skills
sharp and widen their skills base, and they can serve as trainers or mentors for younger
staff. Expert staff will need opportunities for further development, such as by visits to other
organizations or by participating in conferences.

Possible training modes include:
       •   Internal classroom training;
       •   External classroom training;
       •   Distance learning, using manuals, computers, videos, etc.
       •   Laboratory training, such as instrument use;
       •   On the job training (OJT);


Fourth draft Page 21                                               Document version: 20/02/2013
       •   Coaching and mentoring;
       •   Refresher training.

Training for most categories of persons will involve several methods. Choice of training
methods will be determined by factors such as geographical location of the participants,
availability of release time from the workplace, costs and availability of equipment and
materials. All training should follow the recommendations of the relevant national
authority.

Care has to be taken in choosing external training packages. Although some elements of
training programmes for regulatory body personnel may be similar to some elements of
training programmes from elsewhere, the overall training programmes will inevitably be
different, since the roles of regulatory staff are different. Even for training programme
elements (such as technical elements) that would appear to be in common, it is often very
useful if the regulatory staff training can be implemented with a regulatory perspective
rather than an operational perspective.

6.1 Classroom-based training

Classroom based training is still the most frequently used method of training provision, and
is probably the most effective training mechanism for comprehensive levels of training. It
facilitates direct communication and discussion between the trainer and the participants
and enables the trainer to modify a range of factors, such as the depth of the course and the
speed of delivery, depending on the capabilities and progress of the participants. A
classroom based training course may include a series of short lectures on specific topics
from a syllabus, reading material, practical exercises, videos, group discussions, and case
studies designed to reinforce the lecture content. However, the provision of such courses is
relatively expensive both in terms of the resources and efforts from the trainers and the
time and subsistence costs for the participants.

6.2 Distance learning

Distance learning may be an effective alternative to classroom-based training. It can be
provided for all categories of persons and is particularly appropriate for people who live far
from training centres or have insufficient time or funds to attend classroom-based training.
It may also be an effective use of training resources where only small numbers of people
need training.

Distance learning media cover a range of technologies, including paper correspondence
courses, videotapes, video teleconferencing, courses on DVDs, and Internet based classes.
The role of the supervisor in distance learning will vary depending upon the medium used.
Correspondence courses, videotape lectures, and most Internet based classes provide for
little or no supervisor–participant interaction. Video teleconferencing, on the other hand,
lets participants and supervisors interact almost at a classroom level. The availability of
cameras and microphones for Internet communications facilitates the access of personal
computer users to Internet based distance learning.




Fourth draft Page 22                                           Document version: 20/02/2013
A typical distance learning package consists of a modular set of course notes, study guides
and associated exercises based on specific topics from a syllabus. Participants complete the
package in their place of work or at home. The training includes the completion of
assessment tasks (e.g., written examinations, research assignments, problem solving
exercises), which are then forwarded to a supervisor or tutor for marking and feedback.
Distance learning may involve a residential programme, where the trainee spends some
time on site at a training site. The residential program can reinforce the course material,
give practical work, include technical visits, or provide examinations. The residential
programme should provide sufficient time for the participants to acquire the needed skills,
problem solving methods, or other practical experiences. The role of the supervisor is
important to the success of distance learning, and frequent interactions with the
participants would be beneficial. Distance learning is relatively inexpensive and permits the
participants to study at their own pace. However its success depends on the self-motivation
of the students to complete the work with the minimum of direct supervision.

With the increased availability of personal computers around the world, many workers now
have access to a computer in the workplace. This has stimulated the development of
computer-based training packages (CBT) consisting of interactive training modules with
question and answer sections. Computer based training modules usually incorporate
photographs, diagrams, simulations, and video sequences. The information can be accessed
and searched easily and links can be provided to a glossary of terms. Printed learning
material and study guides may be needed to support the CBT.

6.3 On the job training
Classroom based training or distance learning is unlikely to cover all the KSAs associated
with regulatory tasks. Hence on the job training (OJT) is a critical component of the overall
training programme. In this form of training, the participant will be working in the normal
workplace or training site, under the direct supervision of an experienced person. A training
plan based on identified competences will include a list of topics and tasks to be carried
out. The participant’s progress and achievements may be recorded on a checklist. The
supervisor’s role must ensure that the participant receives comprehensive training and is
not just used as an extra pair of hands. With a staged approach the participants progress
from observing the task being performed by others, to assisting in the task, to finally
carrying out the tasks themselves. On completion of the training, the supervisor and
participant prepare a comprehensive report describing the participant’s progress, the areas
of competence achieved and any further training needed.

6.4 Structured self-study
Most tasks require at least a working level knowledge of specific policies and procedures..
Structured self-study can help the trainee acquire an appropriate level of knowledgeThe
same standards and controls that apply to formal classroom training, (i.e., learning
objectives, lesson plans, standards for successful course completion, etc.) are implemented
for self-study and OJT. Self-study and on the job training activities are more focused,
structured, and sequenced to increase the effectiveness of these activities. Self-study
activities are most effective if they precede and tie directly to a subsequent formal course or
on the job training activity (i.e., the student reads and studies the document, then has an
opportunity to discuss and apply it). A structured self-study guide is developed for each


Fourth draft Page 23                                          Document version: 20/02/2013
document for which a detailed knowledge or working level knowledge is desired. Each self
study guide may include the objectives , specific actions required by the student,
requirements for management involvement and oversight, review questions, and
measurable standards for acceptable completion of each activity. Related guides would be
combined into a module that would link to a formal course and is required as a prerequisite
for attending the following course. This can integrate and sequence learning activities such
that each subsequent activity builds and expands on the previous activities.

6.5 Coaching and Mentoring
Some regulatory bodies appoint mentors, particularly with new staff. Mentors are
experienced members of staff, not necessarily from the same department as the person
being mentored, who help to inculcate the culture and mores of the organisation and give
advice about the informal aspects of the organisation.

Coaching is carried out by line managers, and feedback must focus on easily identifiable
issues and encompass specific characteristics of behaviour as encompassed by quadrant 4 of
the competences. Quadrant 4 checklists can help the managers understand elements of
behaviour that are important for good coaching. Effective managers coach in two ways:
directive coaching approach where problem solving is shared; and reflective, the manager
and the staff member together seek to understand joint experiences. Respect is vital to
effective coaching - managers are able to influence the behaviour of others favourably if
they are highly respected. Coaching and personal performance review processes (see
section 3.3.5.1) are complementary, because they comprise dialogue between staff member
and line manager.

6.6 Continuous professional development

Regulatory staff should make a habit of continuing professional development throughout
their careers, a philosophy of “lifelong learning”. As part of its training and development
plans the Regulatory Body should encourage such development by providing opportunities
for staff to take appropriate courses, to visit facilities and organizations, and to participate in
conferences. Managers can take such development activities into account when making
decisions on job assignments and promotions. Many countries’ engineering and scientific
institutions require continuous professional development to maintain their members’
credentials.

                                   TABLES AND APPENDICES

Table 1 Glossary and abbreviations

Definitions

The following terms are defined in order to put the discussion within this report in the
proper perspective. Where possible, valid definitions from other IAEA documents have been
used.



Attesting         the act of verifying, authenticating or bearing witness to a fact, a level of



Fourth draft Page 24                                             Document version: 20/02/2013
                 achievement, or a fulfilment of requirements

Attitude         the feelings, opinions, way of thinking, perceptions, values, behaviour, and
                 interests of an individual which allow a job or task to be undertaken to the
                 best ability of that individual ([3] modified)

Audit            a documented activity performed to determine by investigation,
                 examination and evaluation of objective evidence the adequacy of, and
                 adherence to, established procedures, instructions, specifications, codes,
                 standards, administrative or operational programs and other applicable
                 documents, and the effectiveness of implementation

Authorization    the granting by a regulatory body or other governmental body of written
                 permission for an operator to perform specific activities. Authorization
                 includes, for example, licensing, certification, registration, etc

Certification    a formal statement of, or a formal document attesting a fact, a level of
                 achievement, or a fulfilment of requirements

Challenging-in   a formal activity by which an individual can prove that the individual meets
                 a qualification

Coaching         the act of directing, guiding, giving hints or priming with facts

Competence       the demonstrated ability to put knowledge, skills, and attitude into practice
                 in order to perform a job to an established standard

Competence       a group of related knowledge, skills, and attitudes needed to perform a
                 particular job.[3]

Core             the central and most important competences required for a regulatory
competences      activity, position or a function

Enforcement      legal actions by the regulatory body, intended to correct and, as
                 appropriate, penalize non-compliance with specified requirements

Experience       an actual observation of or a practical acquaintance with facts or events
                 that affects the person’s knowledge, skills and attitude

Expert           an individual who has special knowledge or skill in a subject

Expertise        expert skill, knowledge or judgement

Formal           the use of one or more of training methods in a recordable format and in
training         accordance with recognized approach that may lead to demonstration of
                 required competences

Inspection       actions which by means of examination, observation, or measurement
                 determine the conformance of materials, parts, components, systems and
                 structures, as well as processes and procedures, with defined
                 requirements, or assess the adequacy of safety and the controls in place to


Fourth draft Page 25                                           Document version: 20/02/2013
                ensure safety

Knowledge       a person’s range of information; a theoretical or practical understanding of
                a subject, and awareness or familiarity gained of a person, fact, or thing

Learning        the extent in which participants improve knowledge, increase skill, and/or
                change attitudes as a result of attending a program.[7]

Mentoring       guidance and advice given by an experienced and trusted individual to
                another




Qualification   an accomplishment fitting a person for a position or a purpose; a condition
                that must be fulfilled before a right can be acquired or an authority can be
                practised; or an attribution of a quality

Skill           practised ability and expertness to perform a task to a specified
                standard.[3]



Abbreviations

                          CBT Computer based training

                         CNSC Canadian Nuclear Safety Commission

                           ISD Instructional Systems Design

                           JCA Job Competence Analysis

                           JTA Job and Task Analysis

                           KSA Knowledge, Skills, and Attitudes

                           OJT On the Job Training

                           PPR Program performance review

                            RB Regulatory Body

                           SAT Systematic Approach to Training

                            SC Steering Committee

                            TC Training Coordinator

                          TNA Training Needs Assessment

                            TO Training Officer




Fourth draft Page 26                                          Document version: 20/02/2013
                             TQM Total Quality Management

                              TSO Technical Support Organization



Appendix 1

The Competence of regulatory bodies in Embarking Countries

Although this report is valid for embarking countries, a companion report to this report,
‘Draft Safety Report for Competence Building of Regulatory Bodies for New Countries
Embarking on Nuclear Power Programme’ ( Ref Shahid’s report) provides more detailed
guidance which is applicable to the regulatory Bodies in the “Embarking” countries as they
establish and build the competence of their organisations. It deals with human resource
development (HRD) and specifically the building of regulatory competence for countries
embarking on establishing an NPP programme.

IAEA NG-G-3.1, ‘Milestones in the Development of a National Nuclear Power Infrastructure’
identifies, amongst other things, actions related to legal framework, regulatory framework
and HRD for the three phases defined as:
       •   Phase 1: Consideration before a decision to launch a nuclear power programme is taken;
       •   Phase 2: Preparatory work for the construction of nuclear power plant after a policy
           decision has been taken; and
       •   Phase 3: Activities to implement a first nuclear power plant.

The completion of the infrastructure conditions of each of these phases is marked by a
specific milestone at which the progress and success of the development effort can be
assessed and a decision made to move on to the next phase. These milestones are:
       •   Milestone1: Ready to make a knowledgeable commitment to a nuclear programme;
       •   Milestone2: Ready to invite bids for the first nuclear power plant; and
       •   Milestone 3: Ready to commission and operate the first nuclear power plant.

A1.1 Competence Model

The competence model described in this report is applied to the three phases in developing
a regulatory body for countries embarking on nuclear power programme. Embarking
countries need assistance to ensure that decision makers are aware that the HRD for a NPP
is a multidisciplinary and multi institutional undertaken with a scope, level of effort and cost
well beyond that normally required for other industrial developments. This awareness is
essential for an informed national commitment, if a decision to embark on a NPP is made.

Assistance will be needed to build institutional knowledge, attract, train and sustain a
competent work force capable of conducting a safe nuclear programme. This includes
managerial and subject knowledge with a special focus on nuclear safety matters. A
structured approach for HRD assistance to embarking countries would require consideration
of the following aspects:
       •   evolving needs of MS in the various phases of safety infrastructure ;
       •   target persons and organizations to receive assistance;



Fourth draft Page 27                                              Document version: 20/02/2013
          •    type of knowledge required;
          •    depth of knowledge required.

NG-G-3.1 identifies for each of the 3 initial phases, target recipients: the government,
individuals involved in gathering subsidies for decision making, senior government officials,
the regulatory body, the operating organization, research centres, technical support
organizations and academic institutions.

Assistance to institutions is also required for conducting needs evaluation against respective
competence frameworks and to develop programmes to address any gaps identified.
Decisions will need to be made to create new institutions for human Resource Development
(HRD) or to strengthen existing ones and to prepare curricula addressing the safety related
subjects.

Subject knowledge, education and training assistance by IAEA has been earlier structured to
fulfil the need for delivering basic, specialized and expert knowledge. This structure has
proved efficient and can be further focused for each of the 3 development phases.

A1.2 Competence development

The competence model is applied to the three phases. It starts with an identification of the
major elements of the safety infrastructure as given in NG-G-3.1 and the corresponding
action to be taken to implement that specific element of the safety infrastructure of a
regulatory body and the associated competences that is required for implementation of
those actions. For each phase of the regulatory body’s development, there is a map of the
necessary competences by quadrant as well as a graphical illustration of these
competences.

Fig A1.1, below, contains competences suggested for the three main phases of the
development of the regulatory body as considered in this report and as discussed above for
the legal and regulatory infrastructure .
              Functions /Competences                Phase I           Phase II             Phase III

Q1: Legal Basis and Regulatory Process

1.1. Legal Basis                              Developing          Developing        Fully developed

1.2. Regulatory Process                       Developing          Developing        Fully developed

1.3. Regulations and Regulatory Guidance      Not yet developed   Developing        Fully developed
Documents

1.4. License and Licensing Documents          Not yet developed   Developing        Fully developed

1.5. Enforcement Process                      Not yet developed   Developing        Fully developed

Q2: Technical Disciplines

2.1. Basic Technologies                       Fully developed     Fully developed   Fully developed

2.2. Applied Technologies                     Not yet developed   Developing        Fully developed

2.3. Specialized Technologies                 Not yet developed   Developing        Fully developed




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Q3: Regulatory Practice

3.1. Safety focused Analytical Techniques       Fully developed      Fully developed      Fully developed

3.2. Inspection Techniques                      Not yet developed    Developing           Fully developed

3.3. Auditing Techniques                        Not yet developed    Developing           Fully developed

3.4. Investigation Techniques                   Not yet developed    Developing           Fully developed

Q4. Personal and Interpersonal Effectiveness

4.1. Analytical thinking, problem solving and   Fully developed      Fully developed      Fully developed
decision making

4.2. Personal effectiveness                     Fully developed      Fully developed      Fully developed

4.3. Communication                              Fully developed      Fully developed      Fully developed

4.4. Team work                                  Fully developed      Fully developed      Fully developed

4.5. Management                                 Fully developed      Fully developed      Fully developed




Fig A1.1 - Specific Competences Needed in Different Phases of Evolution of a Regulatory
Body

Different regulatory bodies have different infrastructures and modes of operation and these
have to be decided upon very early in the process and then taken account of in competency
development. Although the suggested competences for each of the phases may differ from
one regulatory body to another, there should be significant correspondence with the
competences outlined in this report. However it is provided as a guide and a specific
regulatory body may reach different conclusions, when it conducts its own analysis.

Element            Title                                   Actions relevant to regulatory bodies
No                                                         identified in the Safety Infrastructure
                                                           Guide DS424

                                                           Phase 1             Phase II           Phase III

3                  Legal Framework                         19-20               21                 22

4                  Regulatory framework                    24-26               27-32              33-39

9                  Human Resources Development             86-90               91-95              96-99



Fig A1.2 - Applicable actions for three elements (extracted from NG-G-3.1)

As is evident from Fig A1.1 that in Phase I when there is no regulatory body (or if it exist it is
at a very initial stage of development), the government should consider taking action aimed
at building element 3 and 4; “legal framework” and “regulatory framework” and element 9.

A1.3 Development of roles and responsibilities of an “embarking” regulatory body



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Since the government has to issue an atomic law soon after making a knowledgeable
decision in favour of nuclear power, it is necessary that drafting of the atomic law should be
in advanced stages by end of phase I and the necessary competences in legal basis should
be planned to be developed quite early in Phase I, and implemented throughout this phase.
Similarly site criteria and requirements needed for bid specification should be developed in
Phase 2 so the level 2 courses which include site criteria and code & standards should be
started before the end of Phase I and should continue during Phase 2.

A1.3.1 Phase 1

Legal Framework - The legal framework usually consists of several levels of documents
including the nuclear law and general procedures for licensing of nuclear facilities. The
technical safety requirements will usually be established by the regulatory body in the form
of regulations or licence conditions.

Regulatory framework - In Phase 1, a regulatory body may already exist for regulation of
radiation safety. In this case, consideration is given to whether the scope of tasks of the
existing regulatory body will be extended or whether a new regulatory authority will be
created. The prospective senior manager of the nuclear regulatory body and other senior
staff are identified.

Human resource development is a demanding task and its complexity in terms of resources
(both time and money) needs to be properly addressed. Therefore, an assessment of the
education and training needs to be conducted as one of the first tasks during Phase 1.

The assessment process develops a list of expertise areas necessary to support development
of legal and regulatory framework, site evaluation and design assessment, construction and
regulatory oversight, along with estimates of the number of individuals needed in those
functional areas.

A1.3.2 Phase 2

Legal Framework - During Phase 2, all essential national legislation identified during the
assessment process of Phase 1 has to be enacted. In order to ensure legal consistency, the
State also has to complement or amend related laws identified in Phase 1.

Regulatory Framework - The regulatory body has to be effectively independent from all
entities, including parts of the government, which promote the development of nuclear
industry for which technical competence in regulatory body is essential. The organization of
the regulatory body, its structure, size and technical skills of staff will change as it goes
through various stages in Phase 2, and among other things, will depend on the regulatory
approach followed by the regulatory body ( for details of regulatory approaches see DS424).
Regulations governing site, design, construction and manufacturing are prepared early in
Phase 2 to be taken into account in the bidding process. The plan and schedule for
development of other safety regulations are prepared.

Human Resource Development - A strategy to attract and retain trained high-quality
personnel needs to be vigorously implemented. Early in Phase 2, a policy decision is made
regarding implementation of plans that were developed in Phase 1 for ensuring competent
national experts. In cases where the assessment in Phase 1 has shown need for new


Fourth draft Page 30                                          Document version: 20/02/2013
institutes or extended curricula, such new institutes and revision of curricula are
established.

At the beginning of Phase 2, the senior management positions of the regulatory body are
filled with people who have fully developed competence in legal basis and regulatory
processes. Throughout Phase 2, the regulatory body gradually recruits and develops its
necessary expertise. The objective is to have early enough in Phase 2, a staff that is able to
specify and understand the safety requirements for use by the operating organization in the
bidding process and for its own use in the review of the site and the construction licence
application. The staff is also able to make other safety related decisions at the time when
such decisions are needed. The specific competence and training needs for Phase 3, notably
for the staff who will have to perform inspections during construction, as well as assess
compliance and achievement of safety objectives, are identified in Phase 2.

A1.3.3 Phase 3

Legal Framework - In Phase 3, the role of the government is to ensure that the legal
framework is fully in place, and that it is implemented, complemented and amended, as
appropriate.

Regulatory Framework - In Phase 3, the regulatory oversight covers the following broad
areas: construction, manufacturing of components, training and qualification, technical
specifications, maintenance, surveillance testing, management of modifications, fire
protection, radiation protection, emergency preparedness and management system of both
the operating organization and the various suppliers involved. A consistent procedure for
establishing, revising and revoking regulations and guides is established in accordance with
the State’s legal system. In this Phase the regulatory body has already started all its core
functions, including authorization, review and assessment, inspection and enforcement and
development of regulation and guide.

Human Resource Development - In Phase 3, the regulatory body continues recruiting and
training staff in order to be able to provide adequate oversight of the construction and
equipment manufacturing and towards the later part of Phase 3 of the plant commissioning.
Staff need to have a strong technical background as well as a thorough knowledge and
understanding of the regulations and guides. Actions are taken to address the specific
competence and training needs identified in Phase 2. All organizations involved in the
nuclear power programme need to have a systematic way to categorize, disseminate and
retain all knowledge (including training material) obtained through international
cooperation and commercial services contracted. The sustainability of this approach is
essential for the continuous development of human resources and institutional knowledge.

A1.4 Training
Once the competences in each of the three phases required for completing the necessary
action as defined in DS424 is identified, the next step is to map these competences with the
existing training modules available in Member States or the IAEA so that courses can then
be started straight way for building competence. New training modules can then be
developed for competences that are not covered by the existing courses. Fig A1.3, below,
gives an example of some of the competences in phase I mapped with existing courses in
the IAEA.


Fourth draft Page 31                                           Document version: 20/02/2013
Quadrant         Competences                                      Training Modules
1                Legal Basis:                                     BPTC,
                 1.1.1, 1.1.2,1.1.3,1.1.4,1.1.5,1.1.6, 1.1.7
                 Regulatory Process
                 1.2.1,1.2.2,1.2.3
2

Fig A1.3 - Existing Training Modules covering competences in all three phases


Quadrant         Competences                                      New Training Modules
                                                                  Required
1                Legal Basis:                                     Leadership in Safety
                 1.1.1, 1.1.2,1.1.3,1.1.4,1.1.5,1.1.6, 1.1.7      Review and Assessment
                 Regulatory Process                               Inspection Techniques
                 1.2.1,1.2.2,1.2.3                                Technical Specification
2

Fig A1.4 - New Training Module to be developed to cover competences in all three phases for
which existing training module is not sufficient

                 Level                               Training Module
                 1                                   DS424
                                                     BPTC
                                                     Leadership in Safety
                 2                                   Regulatory Control
                                                     IAEA Safety Standards
                                                     Code and Standards
                                                     Site Evaluation
                                                     Review and Assessment
                                                     Inspection Techniques
                 3                                   Safety Analysis Report
                                                     Deterministic Safety Analysis
                                                     Probabilistic Safety Analysis
                                                     Technical Specification

Fig A1.5 - List of Training Modules by level of difficulty

Once all the relevant competences and corresponding training modules are identified, the
training coordinator then has to plan the training programme in a way that relevant level of
courses are implemented in different phases. Figure A1.5, provides an illustration of
application of different level of courses during each of the three phases.



Appendix 2


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                       Rev. 8 of the competence
                             self assessment
                            guidelines will be
                        included here, once it is
                                  agreed




Fourth draft Page 33                            Document version: 20/02/2013

								
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