Introduction to Managing Regulatory Body Competence

Transcription

1 Introduction to Managing Regulatory Body Competence Moritz Zimmermann International Atomic Energy Agency

2 Content Importance of Competence Management and related Reference documents Competence Needs Assessment and Competence Management Quadrant Model of Competence Processes related to Competence Management Systematic Approach to Training Considerations for Embarking Countries

3 IMPORTANCE OF REGULATORY COMPETENCE Support the implementation of article 8 of CNS (Convention on Nuclear Safety regulatory body with adequate competence and human resources ) Support the implementation of Modules 3 and 4 of the IRRS and other Safety Standards (Module 3: Responsibilities and functions of the regulatory body, Module 4: Management system of the regulatory body )

4 Reference Documents (1) Safety Requirements GSR PART 1 Safety Requirements GS-R-3 GS-G-3.1 GS-G-1.1 Special Safety Guide SSG-16 4

5 IMPORTANCE OF REGULATORY COMPETENCE GSR PART 1 includes overall requirements for responsibilities and functions of a regulatory body including staffing and competence GS-R-3 the amount of resources necessary and shall provide the resources to carry out the activities of the organization and the competence requirements for individuals at all levels. 5

6 IMPORTANCE OF REGULATORY COMPETENCE Safety Reports Series No. 79 on Managing Regulatory Body Competence (supersedes TECDOC- 1254) provides a detailed and systematic competence framework for the Regulatory Body. SSG-16 provides guidance to embarking countries on Establishing a National Safety Infrastructure including all aspects of human capacity building. 6

7 COMPETENCE NEEDS ASSESSMENT (CNA) FOR REGULATORY BODIES It is essential that regulatory bodies apply a systematic approach to identify current and desired competencies, determine the gaps, and design and implement training programmes to address the desired competencies. Training Needs Assessment 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 7

8 FUNCTIONS OF THE REGULATORY BODY Major functions Review and assessment Authorization Inspection Enforcement Development of regulations and guides Supplementary functions Research and Development Emergency preparedness and response International co-ordination CARRIED OUT BY SINGLE UNIT OR MANY UNITS [Ref: GSR PART 1 and GS-G-1.1] 8

9 COMPETENCE NEEDS ASSESSMENT (CNA) CNA should start with Mission and Function of RB Where to find Mission and Function of RB? Documentation of the management system - 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. 9

10 Competence Management Content of chapter 2 of the Safety Report 1) Management Responsibilities 1) Management s Commitment 2) Competency Policy 3) Planning 4) Responsibility for Competence Management 5) Graded Approach 6) Documentation for competence management 2) Processes 3) Measurement, Assessment and Improvement 10

11 MANAGEMENT S RESPONSIBILITY FOR COMPETENCE MANAGEMENT 1. Management s Commitment 2. Competency Policy 3. Planning 4. Responsibility for Competence Management 5. Graded Approach 6. Documentation for competency management 11

12 MANAGEMENT S RESPONSIBILITY FOR COMPETENCE MANAGEMENT 1. Management s Commitment Management should be committed to ensure appropriate competence for RB Management Commitment for: - Professional - Competent - Versatile - Motivated Workforce WS9 M3 Core Set 12

13 MANAGEMENT S RESPONSIBILITY FOR COMPETENCE MANAGEMENT 2. Competence Policy Vision Policy for competence management - Goals - Strategies - Plans for their delivery 13

14 MANAGEMENT S RESPONSIBILITY FOR COMPETENCE MANAGEMENT 3. Planning Review of the RB functions Systematic Assessment of Competence Determination of the size and composition of the RB Training and development Staffing plans Use of external support to fill competence needs 14

15 MANAGEMENT S RESPONSIBILITY FOR COMPETENCE MANAGEMENT 4. Responsibilities for competence management Assign authorities and responsibilities for competence management e.g. Training Co-ordinator (TC) First Line Manager accountable for staff competence development Designate number of personal for competence management based on RB s size TC responsible for identifying competence gaps Assign responsibility for recruitment, training or outsourcing 15

16 MANAGEMENT S RESPONSIBILITY FOR COMPETENCE MANAGEMENT 5. Graded Approach for Competence Competences Required by RB: - Number and Type of facilities - Number of operating organizations - Regulatory Approach - Legal Framework Senior management must prioritize the identified needs The ways by which they should be addressed In Accordance with the Radiological risk of facility & Activity 16

17 MANAGEMENT S RESPONSIBILITY FOR COMPETENCE MANAGEMENT 6. Documentation for Competence Management Documented competences for each task (Job Specifications) Competences possessed by individuals Individual competence development plans Staff qualification Records of training provided 17

18 QUADRANT MODEL OF COMPETENCES 4. Personal and interpersonal competences 1. Competence related to the legal, regulatory and organizational basis 3. Competences related to regulatory body s practices 2. Technical disciplines competences ١٨

19 Competence Management Competence is the combination of knowledge, skills and attitudes (KSAs) needed by a person to perform a particular job Knowledge - familiarity with someone or something that can include facts, descriptions and information acquired through experience or education. Skills - learned capacity to perform a task to a specified standard Attitudes is 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. Attitudes cannot wholly be taught directly and are an important element of safety culture 19

20 QUADRANT MODEL OF COMPETENCES 4. Personal and behavioural competences 4.1 Analytical thinking and problem solving 4.2 Personal effectiveness and Self Management 4.3 Communication 4.4 Team work 4.5 Managerial competences and Leadership 4.6 Safety Culture 3. Competences related to regulatory body s practices 3.1 Review & Assessment 3.2 Authorization Competence 3.3 Inspection 3.4 Enforcement 3.5 Development of regulations and guides 1. Competence related to the legal, regulatory and organizational basis 1.1 Legal basis 1.2 Regulatory policies and approaches 1.3 Regulations and regulatory guides 1.4 Management system 2. Technical disciplines competences 2.1 Basic Science & Technology 2.2 Advanced Science & Technology 2.3 Specialized Science & Technology 20

21 QUADRANT MODEL OF COMPETENCES Revised 4Q model for regulatory competence: Q4 is enlarged i.e. with leadership for safety and safety culture issues Q3 is focusing on the regulatory practices Q2 has been expanded Q1 is taking better account of the management system and also expanded ٢١

22 QUADRANT MODEL OF COMPETENCES EVALUATION CRITERIA Basic = General competence in the area concerned Medium = A competence level sufficient in routine cases High = A competence level needed for more sophisticated cases or at the strategic level within the RB ٢٢

23 Processes related to Competence Management 1. Processes related to competence analysis: 1. Task analysis process leading from the regulatory functions to the competences required to perform the task (Sections 4.1 and 4.2); 2. Gap analysis process (Section 4.3): Personal performance review and assessment processes.

24 Processes related to Competence Management 1. Processes related to filling competence gaps: 1. Personal development plan (Section 5.1, Appendices I and II); 2. Processes associated with reorganization (reallocation of duties within the organization or replacement of staff members) (Section 5.3); 3. Processes associated with recruitment (Section 5.4); 4. (iv) Processes related to managing the use of external support (Section 5.5); 5. (v) Processes related to training (Appendix III): Processes to establish training plans; Processes for the delivery of training activities; Processes for the evaluation of training activities.s

25 Processes related to Competence Management (c) Processes related to measurement, assessment and improvement of competence management (Section 2.3); (d) Processes related to knowledge capture and management, including participation in knowledge networks (Section 5.2).

26 Measurement, Assessment and Improvement Measurement Metrics to measure the performance of each process need to be developed, in particular for the following: Effectiveness of training and development; Delivered training; Personal performance; Recruitment, reorganization and outsourcing; Review and audits.

27 Methods of Acquiring Competence Establishing training and development programmes Participation in Knowledge networks Reorganization and replacement Recruitment Use of external support

28 TNA GUIDELINES/PROCEDURE Tasks for each function Describe the task for each function Authorization Project manage of licensing activities Assess technical issues Interact to resolve policy issues Establish plant performance measures for use in safety evaluations Manage the review and processing of license amendments and other requests requiring regulatory body approval Prepare responses to public petitions and correspondence Development of Regulations and Guides Identify the need for new regulations and or guides Identify safety issues where guidance is required or where there is an impact on the existing regulatory regime Undertake consultation with stakeholders to determine what is required Consult with the public if appropriate and coordinate responses 28

29 COMPETENCE PROFILE FOR THE MAIN REGULATORY FUNCTIONS From SRS N 79 Review and assessment Authorization Inspection Enforcement Development of regulations and guides 1. Competence related to the legal, regulatory and organizational basis 1.1 Legal basis - X X X X 1.2 Regulatory policies and approaches X X X X X 1.3 Regulations and regulatory guides X X X X X 1.4 Management system X X X X X 29

30 Considerations for Embarking countries It is expected that the regulatory body will be adequately staffed and operational before the commissioning process starts at the end of Phase 3. At that time, all internal processes and procedures and technical and managerial competences required to oversight the future reactor operation needs to be in place 30

31 Considerations for Embarking countries In an embarking country, the application of the competence model needs to be done in conjunction with human resource planning. The organizational structure and staff numbers (head count) must be determined by senior managers using their (managerial) judgment and taking into account the scope of responsibility of the regulatory body, the legal arrangements in place, the regulatory approach adopted, the analysis of competences required, the availability of external technical support 31

32 THANK YOU 32