Presentation of CS on Embarking Countries

M. Moracho, R. Revuelta

Bureau of SC of Competence of HR for Regulatory Bodies

Brussels, 27-28nMarch 2012

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

Safety Report and SARCON

Regulatory functions

SpecificTasks

Required KSAs

Required Competences

Tecdoc 1254

Tables sample Tasks(sect. 2.4.7)GSR Part1

Table with X (applicable or N/A) and Quadrants(ch.4) No guidance

No guidance

Quadrant model,& levels

& levels

Lists (ch.4)

New Safety ReportRegulatory functions

SpecificTasks

Required KSAs

Required Competences

Tables (lists) sample Tasks(sect. 4.1-sends to App.II+ lists in App.I)

GSR Part1

Table with X (applicable or N/A) in App. II

Sect.4.2

Quadrant model,& levels

& levels

Examples of KSAs (ch.3; Quadrant 3 are now the main Reg. Functions)

Regulatory functions

SpecificTasks

Required KSAs

Required Competences

SSG-16Actions

Embarking Countries (now App.V)

Additional considerations:

-milestones document (phases 1, 2, 3)

-SSG-16 (200 actions doc.)

-SARCON (lists of KSAs of competences

-INSAG-26 (9 key activities for 1st NPP)

+ Direct: table: required competence levels for each Reg.Function, for phases 1,2,3 (not yet developed, developing, fully developed)

Table Actions in phases 1,2,3

functions

Tasksin ph.1,2,3

KSAs

Competencesin ph.1,2,3

Actionsin ph.1,2,3

Embarking Countriesdraft app. as of 9 March’12Table p.7

Lists of tasks p.8

(not yet developed except examples)

Table of competences needed p.5

+table relative levels of comp. in ph. 1,2,3

(app.V of SR)

Table p.10 etc.

‘Table p.7’Function of Regulatory Body Actions numbers as identified in SSG-16

Phase 1 Phase II Phase III

Authorization 164

Review and assessment 118, 164, 38,59,60,84,97,115,120,129

Inspection 37,

Enforcement 37

Regulation and guides 29,30,109,126, 138,161,174,

190

35,36

International cooperation 14,15,16,17 and 19, 191

EPR

Communication and consultation with interested parties

‘Lists of tasks p.8’Note: insert table for each function compiling actions and tasks

-List of Task for Authorization Function in Phase 1

-List of Tasks for Review and Assessment Function in Phase 1

-List of Tasks for Inspection Function in Phase 2

-List of Tasks for Enforcement Function in Phase 2

-List of Tasks for Regulation and guides in Phse 2

-List of Tasks for International Cooperation in Phase 2

-etc.

‘Table of competences needed p.5’Authorizati

onReview and assessment

Inspection Enforceme

nt

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

2. Technical disciplines competences

2.1 Basic science and technology X X X - X

2.2 Applied science and technology - X X - X

2.3 Specialized science and technology - X X - X

3. Competences related to regulatory body’s practices

3.1 Review and assessment processes X X - - -

3.2 Authorization processes processes X X - - -

3.3 Inspection processes - - X X -

3.4 Enforcement processes - - X X -

3.5 Development of regulations and guides processes - - - - X

3.6 Investigation processes - - X X -

3.7 Additional functions processes - - - - -

4. Personal and behavioural competences

4.1 Analytical thinking and problem solving X X X - X

4.2 Personal effectiveness and self-management X X X High X

4.3 Communication X X X - -

4.4 Team work X X X X X

4.5 Managerial competences and leadership X X X X X

‘table relative levels of comp. in ph. 1,2,3(app.V of SR)’Functions /Competences Phase I Phase II Phase III

1. Competence related to the legal, regulatory and organizational basis

1.1 Legal basis Developing Developing Fully developed

1.2 Regulatory policies and approaches Developing Developing Fully developed

1.3 Regulations and regulatory guides Not yet developed Developing Fully developed

1.4 Management system Not yet developed Developing Fully developed

2. Technical disciplines competences

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

3. Competences related to regulatory body’s practices

3.1 Competence in review and assessment Not yet developed Developing Fully developed

3.2 Competence in authorization Not yet developed Developing Fully developed

3.3 Competence in inspection Not yet developed Developing Fully developed

3.4 Competence in enforcement Not yet developed Developing Fully developed

3.5 Competence in development of regulations and guides Not yet developed Developing Fully developed

3.6 Competence in investigation Not yet developed Developing Fully developed

3.7 Competence needed for additional functions Not yet developed Developing Fully developed

4. Personal and behavioural competences

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

4.2 Personal effectiveness and self-management 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 Managerial competences Fully developed Fully developed Fully developed

‘Table p.10 etc.Functions Tasks Phase 2 Tasks Phase 3 Competences Remarks

Authorization The RB should decide/authorize the acceptability of site (164)

The regulatory body should develop and manage the processes needed in

licensing which typically includes the following phases, e.g. siting, construction, commissioning

and operation. (see action 34)

1.1, 1.2, 1.3, 1.4, 2.1, 3.1, 3.2, 3.4, 4.1, 4.2, 4.3, 4.4, 4.5

Although the technical review may be supported by external organization but the final decision of the acceptability of the site has to be taken by regulatory body. Therefore the competencies for this has to be developed early in Phase 2.

Review and Assessment

Create tasks out of 118, 164) The RB should develop expertise for the conduct or review of safety assessment.

118. The operating organization, the regulatory body and external support

organizations, as appropriate, should develop the expertise to prepare for the conduct or the review of safety assessments.

Create tasks out of 120, The regulatory body should carry out a comprehensive review and

an independent verification of the safety analysis reports submitted

by the operating organization to verify compliance with the

regulatory requirements.

1.2 Regulatory Policies and approaches

1.3 Regulations and Regulatory Guides

1.4 Management systems

2.1 Basic science and technology

2.2 Applied science and technology

2.3 Specialized science and technology

3.1 Review and Assessment process

3.2 Authorization process

4.1 Analytical thinking and problem solving

4.2 Personal effectiveness and self-management (Steve doesn’t like all of this one)

4.3 Communication

4.4 Team workManagerial

competences and leadership

Developing competences in Phase 2 to support the conduct of review of safety analysis report in Phase 3

The review of each chapter of the safety analysis report needs staff with specialized knowledge in the specific technical area.

Challenging for new regulatory body to have all the specialized knowledge to perform specific reviews, external support is likely to be needed for the initial reviews (PSAR).

In developing applied and specialized knowledge, support may be provided by a regulatory body that has already licensed a nuclear power plant of the same design.

Regulatory bodies will have some time to develop additional[1] specialized knowledge to support the operating license review.

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

1. Competences 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

3. Competences related to regulatory body’s practices 3.1 Review and assessment processes 3.2 Authorization processes 3.3 Inspection processes 3.4 Enforcement processes 3.5 Development of regulations and guides processes 3.6 Investigations processes 3.7 Additional functions processes

2. Technical disciplines competences 2.1 Basic science and technology 2.2 Applied science and technology 2.3 Specialized science and technology

Figure Y – Competence model quadrant representation for regulatory body

‘New Quadrant model’

‘Table of relative importance of competences’. E.g. levels of competence (and of its KSAs) 0,1,2,3; may be used to modulate level needed of the competence in phases 1,2 when it is ‘developing’ or ‘not yet developed’

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1. Competence related to the legal, regulatory and organizational basis

1.1 Legal basis High Low /- High High High

1.2 Regulatory policies and approaches High High High High High

1.3 Regulations and regulatory guides High High High High High

1.4 Management system High High High High High

2. Technical disciplines competences 2.1 Basic science and technology High High High Low /- High

2.2 Applied science and technology Low /- High High Low /- Medium

2.3 Specialized science and technology Low /- High Medium Low /- Low /-

3. Competences related to regulatory body’s practices 3.1 Review and assessment processes Medium High Low /- Low /- Low /-

3.2 Authorization processes processes High High Low /- Low /- Low /-

3.3 Inspection processes Low /- Low /- High High Low /-

3.4 Enforcement processes Low /- Low /- High High Low /-

3.5 Development of regulations and guides processes

Low /- Low /- Low /- Low /- High

3.6 Investigation processes Low /- Low /- High High Low /-

3.7 Additional functions processes - - - - -

4. Personal and behavioural competences 4.1 Analytical thinking and problem solving High High High Low /- High

4.2 Personal effectiveness and self-management

High High High High High

4.3 Communication Medium Medium High Low /- Low /-

4.4 Team work Medium Medium High Medium High

4.5 Managerial competences and leadership Medium Medium Medium Medium Medium