Human resources and development for the Regulatory Body Regulatory Control Training Workshop Regulatory Cooperation Forum Luis Lederman 6-10 November, 2017 Morocco

Learning Objectives In this lecture the participants will learn about: human resources development based on regulatory deliverables in each phase Systematic Assessment of Regulatory Competence Needs for Regulatory Bodies framework for regulatory competences training needs assessment training implementation and management

Introduction Developing and maintaining competences necessary for a nuclear power programme is a challenge to all countries Human resources development needs to be planned and started early due to the long time needed RB needs to identify the competencies needed to realize its functions Planning the development of its human resources the RB needs to take into account what are the deliverables that he is expected to produce in each phase of the NPP 3

MAJOR MILESTONES FOR THE RB Phase 1 Phase 2 Phase 3 6th 1~3 years 3~7 years 7~10 years Contract Issuance of the nuclear law Initial site survey 5th 1st Issuance of safety requirements needed for contract specification Application for construction license 7th Environmental impact assessment Safety evaluation of the bids Issuance of the construction licence 2nd Issuance of Site Permit 4th First concrete 3rd Fuel Delivery Assessment by the regulatory body NPP Operating License There are three major organizational entities typically involved in the development of a nuclear power programme: the government, the owner/ operator of the nuclear power plant and the regulatory body. Each has a specific role to play, with responsibilities changing as the programme advances. During initial three phases of the nuclear power programme, at least following eight deliverable will be expected from the Regulatory Body.   1st: Issuance of Nuclear Law 2nd: Issuance of Safety Requirements 3rd: Site Registration 4th: Approval of Design (Nuclear Power Plant) 5th: Issuance of construction license 6th: NPP operation crew licensing 7th: Issuance of Commissioning Permit 8th: Issuance of NPP Operating License Establishing the basic regulatory framework Assessment by the regulatory body Approval of Design Site preparation Construction phase Ready to make a decision on whether or not to introduce nuclear power Ready to specify bids/agreements Ready to commission and operate the first NPP WS9 | M1 | Core Set

Intelligent costumer It is not realistic to expect that the RB will implement a training programme to cover all the competencies required in the field of nuclear safety from the early phases However this should be a goal in the long-term The RB should, in a first step, develop core competencies to ensure that the organization is an “Intelligent Costumer” Intelligent Costumer An organisation (or individual) that has the competence to specify the scope and standard of a required product or service and subsequently assess whether the supplied product or service meets the specified requirements. 5

Managing regulatory competences IAEA Safety Report Series (79) Competence Management Competence Model for the RB Systematic Competence Analysis Methods of Acquiring Competence Systematic Assessment of Regulatory Competence Needs for RB (SARCoN)

SARCoN Methodology Determine the regulatory functions of each unit Determine the specific tasks for each function Developing competence profiles Determine the existing level of competence Perform competence gap analysis Prioritization of the gaps and actions needed - Training & development, Reorganization or reshuffling, Recruitment, Outsourcing.

Competencies needs assessment Periodic Review Regulatory functions Specific tasks Required KSAs Competence gap analysis Training & Development, Reorganization, Recruitment or Outsourcing Existing personnel KSAs Management Assessment Staff Self-assessment Step 1 Step 2 Step 3 Step 4 Step 5 Step 6 Step 7 Knowledge skills and aptitudes

The quadrant model of competences

Competence (KSAs) Knowledge familiarity with something and can include facts, descriptions and information acquired through experience or education. It can refer to both the theoretical and the practical understanding of a subject. Skills learned capacity to perform a task to a specified standard. Attitudes feelings, opinions, ways 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. Attitudes are partly consequences of the organizational culture Reference: Section 3.1.1 of Draft Managing Regulatory Body Competence Rev. 22. After describing related competences, resource person will ask the workshop participants regarding how much manpower you need to fill that competences, you can discuss with each other and then answer on the basis of your mutual agreement. QUADRANT 1 – Competence related to the legal, regulatory and organisational basis   1.1 Legal Basis: this competence is the knowledge of, and skills needed to comprehend and use, relevant documents that establish the legal framework for regulatory control of facilities and activities. Typically, the regulatory body needs certain level of knowledge in laws related to: Environment Public health Labour Criminal law Rights of individuals The regulatory body may need also knowledge in relevant international instruments and guides such as: Nuclear safety convention Joint convention on safe management of spent fuel and radioactive waste Convention on early notification ….. Convention on assistance in case of nuclear or radiological emergency IAEA safety standards Code of conduct on safety of research reactors Code of conduct on safety and security of radioactive sources Examples of KSA could be: Comprehension of the government’s laws and decrees relating to facilities and activities as well as other laws and decrees that are relevant Comprehension of other relevant laws and decrees Comprehension of the local authorities’ laws and decrees relating to facilities and activities Ability to apply legal provisions Comprehension of the powers and authority of the regulatory body and its staff Appreciation of the rights of all stakeholders affected directly or indirectly by the provisions of the legal basis of the regulatory body;

Quadrant 1 – competences related to the legal, regulatory and organisational basis 1.1 Legal Basis: This competence is the knowledge of, and skills needed to comprehend and use, relevant documents that establish the legal framework for regulatory control of facilities and activities. The regulatory body may need also knowledge in relevant international instruments, codes of conduct and IAEA safety standards Reference: Section 3.1.1 of Draft Managing Regulatory Body Competence Rev. 22. QUADRANT 1 – Competence related to the legal, regulatory and organisational basis   1.1 Legal Basis: this competence is the knowledge of, and skills needed to comprehend and use, relevant documents that establish the legal framework for regulatory control of facilities and activities. Typically, the regulatory body needs certain level of knowledge in laws related to: Environment Public health Labour Criminal law Rights of individuals

Quadrant 1 – competences related to the legal, regulatory and organisational basis 1.2 Regulatory Policies and Approaches: This competence is the knowledge of, and skills needed to comprehend and apply, the regulatory policies and approaches in order to achieve the relevant regulatory objectives. 1.3 Regulations and Regulatory Guides: This competence is knowledge of, and skills needed to comprehend and use, the regulations and regulatory guides. 1.4 Management System . Reference: Section 3.1.1 of Draft Managing Regulatory Body Competence Rev. 22. 1.2 Regulatory Policies and Approaches: this competence is the knowledge of, and skills needed to comprehend and apply, the regulatory policies and approaches in order to achieve the relevant regulatory objectives.   Examples of KSA could be: Comprehension and appreciation of the mandate, mission and objectives of the regulatory body Comprehension of the values of the regulatory body and the principles of good regulation, e.g. independence, openness, efficient, clarity, objectivity, stability and consistency Comprehension of regulatory body governance regarding its short-term and long-term strategic objectives and goals Comprehension of regulatory body policies and principles on which the regulatory processes are based Appreciation of measures for implementing actions to achieve the regulatory short term and long term strategic objectives and goals of the regulatory body;

Quadrant 2: technical disciplines competences 2.1 Basic Science & Technology: This competence is the knowledge of, and skills needed to comprehend and apply science and/or engineering fundamentals in a particular field such as: Mathematics, Physics Chemical, Electrical, Civil, Mechanical Engineering Chemistry, incl. Radiation Chemistry Earth Sciences, incl. Geology, Seismicity, Meteorology, Hydrology, etc. Computer Science Nuclear Engineering, Nuclear Physics, Reactor Physics, etc. Environmental Engineering Materials, Metallurgical Engineering Radiography including medical applications . Reference: Section 3.1.2 of Draft Managing Regulatory Body Competence Rev. 22. After describing related disciplines, resource person will ask the workshop participants regarding how much manpower is available at your RB to fill these competences, and when you will need manpower with these qualification during different phases of NPP. Identify first by phase 2 and then by Phases 3 based on the knowledge of deliverables expected from the regulatory body of module 2. QUADRANT 2 – Technical disciplines competences   2.1 Basic Science & Technology Competence: this competence is the knowledge of, and skills needed to comprehend and apply science and/or engineering fundamentals in a particular field. Some typical science and engineering fields that are common to many regulatory bodies include: Mathematics Physics Chemical, Electrical, Civil, Mechanical Engineering Chemistry, incl. Radiation Chemistry Earth Sciences, incl. Geology, Seismicity, Meteorology, Hydrology, etc. Computer Science Nuclear Engineering, incl. Nuclear Reactor Concepts, Nuclear Physics, Reactor Physics, etc. Environmental Engineering Materials, Metallurgical Engineering Radiography including medical applications Related KSA could be: Comprehension of science and/or engineering fundamentals in a particular field

Quadrant 2: technical disciplines competences 2.2 Applied Science & Technology : This competence is the additional knowledge of, and skills needed to comprehend and apply, engineering and science concepts in specialized areas: Nuclear Reactor and Power Plant Technology Nuclear Fuel Cycle Technology Nuclear Safety Technology Environmental sciences Management Systems, including safety management, safety culture and quality management . Reference: Section 3.1.2 of Draft Managing Regulatory Body Competence Rev. 22. After describing related disciplines, resource person will ask the workshop participants regarding will they need extra manpower as compared to identified in quadrant 2.1. Here specific example of PNRA can be quoted to clear real time scenario application. 2.2 Advanced/applied Science & Technology Competence: this competence is the additional knowledge of, and skills needed to comprehend and apply, engineering and science concepts in specialized areas.   The main areas may include: Nuclear Reactor and Power Plant Technology Nuclear Fuel Cycle Technology Nuclear Safety Technology Technologies regarding the application of radiation in industry, research and agriculture Medical Physics Radiation Physics, including Shielding Health Physics, Radiation Protection, naturally occurring radiation Environmental sciences Management Systems, including safety management, safety culture and quality management Related KSA could be: Comprehension of additional knowledge in engineering and science concepts in relation to the safety of facilities and activities Ability to apply, fundamental engineering and science concepts in relation to the safety of facilities and activities

Quadrant 2: technical disciplines competences 2.3 Specialized Science & Technology : This competence is the deep knowledge and skills needed to apply (address and resolve issues), specialized technology, engineering and science. Methodologies and analysis Safety Assessment methodology Deterministic Accident Analysis Probabilistic Safety Analysis Severe Accident Analysis Reliability Analysis Human and organizational factors and performance Site Evaluation Fire Analysis and Protection Systems . Reference: Section 3.1.2 of Draft Managing Regulatory Body Competence Rev. 22. Here again resource person will ask the audience, will the RB need manpower to fill these competence requirements? Based on their answer, he will elaborate, that we will need manpower in following two conditions: If your are establishing your own TSO, then you will need persons for all the competences. If you are taking external support, then you will need senior persons to work as intelligent customer. Also, he will give PNRA example for elaboration. 2.3 Specialized Science & Technology Competence: this competence is the deep knowledge and skills needed to apply (address and resolve issues), specialized technology, engineering and science. Some typical specialized areas that are common to many regulatory bodies include:   Methodologies and analysis Safety Assessment methodology Deterministic Accident Analysis Probabilistic Safety Analysis Severe Accident Analysis Reliability Analysis Human and organizational factors and human performance Site Evaluation Fire Analysis and Protection Systems Specialized areas NPP I&C systems, including software reliability Criticality Safety Materials: including Radiation Effects on Materials, Corrosion, Corrosion chemistry, etc. Dosimetry Additional areas Security, Nuclear materials Protection, Control and Accountability Safety in transportation of radioactive material Management of Spent Fuel and Radioactive Waste Decommissioning of nuclear plants Industrial Safety Radio-ecology A particular regulatory body may require specialized competencies in other areas. Related KSA could be: Comprehension at a deep level of a scientific field or specialized area, such as the above, that provides sufficiently expert knowledge to address and resolve regulatory body technical issues; Ability to apply the knowledge of a scientific field or specialized area, such as the above, with sufficient expertise to be noted within the regulatory body (and perhaps the world) as an expert in the field or specialized area.

Quadrant 3 – competences related to RB practices 3.1 Review & Assessment: This competence is the examination of safety cases and other documentation submitted by licensees in support of their justifications. 3.2 Authorization Competence: This competence is the capacity to ensure that the license and the associated licensing documents are in compliance in form and contents with the regulatory requirements. 3.3 Inspection: This competence is the independent gathering of information through objective review, observation and open communications, and determining acceptability of information by comparing it to established criteria. 3.4 Regulations and guides: This competence is the development of regulatory standards

Training Needs Orientation Training Program for newly inducted staff Introduction of law, legal power, policies, internal guidance and procedures of the RB Specific training plan for each staff member to cover, general design criteria and design and operational characteristics of Nuclear Facilities. Periodic retraining Reference: GS-G-1.1 section 5.9 A regulatory training programme should include induction training for new staff to ensure that all staff have an adequate overview of the work they will be performing. Typically they may need to be introduced to the law, legal powers, policies, internal guidance and procedures of the regulatory body. Hence, soon after recruitment, each member of staff should be provided with a training plan to cover safety related matters that are specific to the nuclear facilities being regulated, such as general design criteria and design and operational characteristics. Career progression should be considered in preparing the training plans. The training plans, including, as appropriate, periodic retraining, should specify the nature of the training needed, its timing and sequence and where it is to be obtained, and the levels of competence to be achieved. The basic elements mentioned in the Appendix-1 should be taken into account. At a later stage, there will be a need for refresher training to maintain knowledge, especially if there is a job change, and to draw attention to important changes in the law, procedures or other matters. Lastly, there is developmental training, both technical and non-technical, to prepare staff for job changes and promotions.

Training methods On the Job Training Sufficient time should be devoted for defining RB training requirements and establishment of an effective training programme Methods of Training Class room based training E-Learning On the Job Training Structured self-study Reference: GS-G-1.1 section 5.3-5.7 The training requirements for regulatory personnel should be based on the core functional areas and supplementary functional areas. One of the objectives of training is to develop the skills and knowledge of the staff of the regulatory body in order to widen their appreciation of the work being undertaken by themselves as well as others. Training of personnel, needs substantial resources in terms of both staff and monetary costs. Sufficient thought and time should be devoted to defining the necessary training requirements and to the establishment of an effective training programme. The specific skills and levels of knowledge that individuals or groups of individuals have to acquire in order to perform specific regulatory tasks should also be defined. Efforts commensurate with the size of the regulatory body should be made to develop a systematic approach to the training of personnel in order to ensure consistency in the conduct of regulatory activities, including the application of quality assurance principles to training. The regulatory training programme should consist of a combination of self-study, formal training courses, workshops and seminars (organized by the regulatory body and provided by itself, by academic or professional organizations, by regulatory bodies of other countries or by the IAEA) and on the job training in the State or abroad. The organization of training will depend on the size and resources of the regulatory body. A small and newly established regulatory body will need external support, whereas a large and experienced regulatory body may be self-sufficient. International exchange of information should be a part of continuing training in order to obtain new ideas for further development.

Competence Management Management commitment Competence policy Planning Measurement, assessment and improvement (Metrics are needed for each process)

Phase 1 actions (SSG 16)

Phase 2 actions (SSG 16)

Phase 3 actions (SSG 16)

International Atomic Energy Agency Thank you for your attention. Please feel free to ask your questions or make comments if you have; Thanks ………. Thank you