1. Development of human resources for the Regulatory Body
Regulatory Control Training Workshop
Regulatory Cooperation Forum
Luis Lederman
7-11 November, 2016
IAEA, Vienna

2. 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

3. 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

4. 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

5. 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

6. 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)

7. 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.

8. 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

9. The quadrant model of competences

10. 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 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;

11. 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 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

12. 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 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;

13. 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 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

14. 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 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

15. 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 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.

16. 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

17. Quadrant 4 – Personal and interpersonal effectiveness

18. 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.

19. Training methods
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
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.

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

21. Phase 1 actions (SSG 16)

22. Phase 2 actions (SSG 16)

23. Phase 3 actions (SSG 16)

24. 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