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Document version: 24/01/2012

DRAFT SAFETY REPORT on Embarking

Draft Safety Report for Competency Building of Regulatory Bodies for New Countries

Embarking on Nuclear Power Programme

Contents

1 Introduction

1.1 Background

1.2 Objective

1.3 Scope

1.4 Structure

1.5 Definitions

2 IAEA Approach for HRD in safety infrastructure

3.- Competencies needed for regulatory body according to Phases

3.1 Major Phases of a regulatory body Development

3.2 Identification of core competencies in a regulatory body

3.3 Identification of competencies for completion of Actions as identified in DS424 in

different Phases

3.3.1 Competency model for Phase I

3.3.2 Competency model for Phase II

3.3.3 Competency model for Phase III

3.4 Application of competency model

4. Mapping Competencies with Training Module

5. Application of Training Module in Phases


1 Introduction

The safety report in general discusses the IAEA approach for human resource development

for a safety infrastructure as defined in DS424 and provides generic guidance to assist in the

development of the competencies of regulatory Bodies for new countries embarking on

nuclear power programme. It provides the guidance necessary about the human resources

and associated competencies for relevant people in the government and regulatory body in

different phases as given in DS424 required to fulfil the actions for building and legal and

regulatory framework for countries embarking on nuclear power programme.

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. In most countries that are thinking of embarking on nuclear power programme

there are regulatory body in place which are for research reactor and/or medical and

industrial practices. However, it is very important to have a proper plan and strategy to

develop a regulatory body to fulfil the function of providing oversight for a nuclear power

programme.

This report provides guidance which is applicable to the regulatory Bodies in the

“Embarking” countries as they establish and build the competence of their organisations.

This guidance is structured to support human resource development and specifically the

competencies required in the three phases to complete the actions identified in safety guide

DS424 in what concerns the legal and regulatory framework. It also identifies the training

module that are required for building those competencies and there phase application.

1.1 Background

Safety Requirements for DS415 address the issues of staffing and competence of the

regulatory body by requiring that: “The regulatory body shall employ a sufficient number of

qualifies and competent staff, commensurate with the nature and number of the facilities

and activities to be regulated, to carry out its functions and discharge its responsibilities..”

In order to implement this requirement the regulatory body needs: a competence

management policy; budgetary provisions for training; an overall training programme that

takes into account the operational needs and the long term need for specialists and

managers; and a training plan for each employee which is tailored to the employee’s needs

and role in the regulatory body (The whole extent of this is define in detail in Safety Report)

while this report only covers the element 3, 4 and 9 of DS424 that relates to “legal

framework”, ”regulatory framework” and “human resource development” in the three

phases.

This Safety Guide provides a compilation of relevant competencies to be progressively

applied during Phases 1, 2 and 3 for competency building of a regulatory body , presented in

the form of sequential actions and corresponding competencies needed, for the


convenience of the user. It also identifies the training module required for building those

competencies and describe there phase application.

Figure : Elements of DS424

The IAEA Safety Guide on building a nuclear safety infrastructure for countries embarking on

NPP (DS424), identifies four (04) actions related to legal framework, sixteen (16) actions

related to regulatory framework and fourteen (14) actions related to human resource

development for the three phases given in milestone document and DS424. The phases as

defined in milestone document (NG-G-3.1) is 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;

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 milestone are:

Milestone1: Ready to make a knowledgeable commitment to a nuclear programme

Milestone2: Ready to invite bids for the first nuclear power plant;


Milestone 3: Ready to commission and operate the first nuclear power plant

IAEA has published a number of safety standards 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

SACoN

Safety Report on Competence Management system for RB

• IAEA-TECDOC-1254, Training the staff of the regulatory body for nuclear facilities: A

competency framework.

1.2 Objective

The objective of this report is to provide a road map for developing competency in

regulatory body of new countries embarking on nuclear power programme and provide

some good practices and practical illustrative examples. Additionally, it gives examples of

how to develop training programmes for regulatory staff using the concept of a competency

framework and identifies training module required for building the competency needed in

different phases of development.

1.3 Scope

This report is meant for regulatory bodies which in time to come will be overseeing nuclear

facilities, and specifically, nuclear power reactors . It describe the IAEA approache for

human resource development in safety infrastructure and focuses on identifying

competencies needed for a legal and regulatory framework specifically for a regulatory body

in different phases of its development.

The guidance recognises the wide range of management and regulatory styles, influenced

by member states’ legislation, culture and ways of working. The guidance is intended to

provide good practices which can be tailored to these differing styles.

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 accordance with the phases of development as given in DS424. It is practical 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 for building element 3 and 4

that constitutes “legal framework” and “regulatory framework” for which actions 19-20 for

legal framework and actions 24-26 for regulatory body needs to be completed and for

building each of these two element (i.e element 3 and 4) , one needs to develop human


resources i.e. element 9 for which action item 86-90 needs to be completed in Phase I.

Similarly for Phase II action item 24 for legal framework, 27-32 for regulatory framework

and subsequently action item 91-95 needs to be addressed for establishing a human

resource appropriate for legal and regulatory framework for this phase. It is in Phase III

when the legal framework, the regulatory body and its human resource development must

be fully realised and item 22, 33-39 and 96-99 should have been fully met.

It is possible to identify three general categories of staff by virtues of their experience and

capabilities: Newly recruited staff; developing staff; and established staff (or basic

knowledge, working knowledge, or advanced knowledge) and the document is intended to

provide guidance applicable to these categories as well as to expert staff, who are leaders in

their fields, and management categories.

1.4 Structure

In Chapter1, the report dicusses the background of competency required which is given in

requirement 18 of the DS415 “ “The regulatory body shall employ a sufficient number of

qualifies and competent staff, commensurate with the nature and number of the facilities

and activities to be regulated, to carry out its functions and discharge its

responsibilities.”and the need to building thoses competencies specifically for countries

embarking on new nuclear power programme with the objective to provide a road map for

developing competency in regulatory body of new countries embarking on nuclear power

programme and provide some good practices and practical illustrative examples.

In chapter 2 the IAEA approach for human resource development in safety insfrastruture is

discussesd in detail. In Chapter 3, the competency model is applied to the three phases as

defined in milestone and the DS424 in developing a regulatory body for countries embarking

on nuclear power programme. It starts with a identification of the major elements of the

safety infrastructure as given in DS424 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 competencies

by quadrant as well as a graphical illustration of these competencies. The competency model

used is taken from TECDOC1254.

1.5 Definitions

Specific terms used in this document are defined, for reference, in Tablexx, but some terms

are repeated below.

Competencies are 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. Competencies are often wrongly

expressed in a format that relates more to a description of an activity or a task.


Competencies are the mental, physical and behavioural tools with which an activity or a task

is executed.

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 competency would be a skill of effective written communication that

would be utilized in reporting the findings of the review and making recommendations. A

third competency would be an attitude of appreciation that in reviewing the safety report

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

compromised and is a key for decision making for a license.

2. IAEA approach to Human Resources Development (HRD) in countries embarking on a

Nuclear Power Programme (NNP)

A vigorous HRD is an essential requisite for the safety and sustainability of a NPP. To build

and maintain a competent work force is a challenge faced by countries and it is particularly

complex for countries embarking on a NPP.

In response to the growing interest of MS for nuclear power NSNI is strengthening

coordination of its efforts to assist embarking countries on HRD. The objective is to ensure a

gradual use of material available from past IAEA work, in a form that will meet their specific

needs. This will also identify additional material that will need to be produced or adapted. to

cover both thematic and institutional knowledge.

The IAEA safety guide on building a nuclear safety infrastructure for countries embarking on

NPP (DS424), identifies 14 HRD related actions (annex 1) that should be realized by the

government, regulatory body, operating organization and other relevant organizations in

the initial 3 phases of a NPP (ie; before the decision to build the first nuclear power plant

until the plant is commissioned to operate).

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.

In this case 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;


type of knowledge required;

depth of knowledge required

The relationships among the above aspects are depicted in the figure below. It identifies for

each of the 3 initial phases as 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.

The figure also reflects the fact that knowledge is required for enhancing the safety

awareness of individuals involved in decision making, assisting various institutions in the

development of HRD policies and to obtain institutional and subject/thematic knowledge.

The HRD policy formulation needs to ensure conditions to attract, train and maintain the

competent work force required for a NPP. It needs also to ensure that safety related

knowledge transfer is addressed in international contracts and agreements.

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 HRD or to strengthen existing

ones and to prepare curricula addressing the safety related subjects.

Regarding subject knowledge, education and training assistance by NSNI has been earlier

structured to fulfil the need for delievering basic, specialized and expert knowledge. This

structure has proved efficient and can be further focused for each of the 3 NPP phases.


As indicated in the figure above, the approach proposed seems to provide a consistent

frame for the provision of coordinated and harmonized assistance embarking countries

need to implement the HRD actions identified in DS 424.

3 Competencies needed for regulatory body in accordance with Phases

In the above section the overall IAEA approach for human resource development in

safety infrastructure is discussed while in this section the focus will be on identifying the

competencies needed for the development of human resources and more specifically for

completing the action identified in Figure above. In this chapter, the competency model

taken from TECDOC-1254 is applied to the three phases as defined in milestone and the

DS424 in developing a regulatory body for countries embarking on nuclear power

programme. It starts with a identification of the major elements of the safety infrastructure

as given in DS424 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 (See Table SSS). For each phase of the

regulatory body’s development, there is a map of the necessary competencies by quadrant

as well as a graphical illustration of these competencies. Different regulatory bodies have

different infrastructures and modes of operation and that needs to be taken account in

competency development. Although the suggested competencies for each of the phases

may differ from one regulatory body to another, there should be significant correspondence

with the competencies 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 No Title Actions of 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

Table SSS: Applicable actions for three elements (extracted from DS424)

As is evident from Table SSS above that in Phase I when there is no regulatory body (or if

exist it is at a very initial stage of development) , the government should consider taking

action for building element 3 and 4 that constitutes “legal framework” and “regulatory

framework” for which actions 19-20 for legal framework and actions 24-26 for regulatory

body needs to be completed and for building each of these two element (i.e. element 3 and

4) , one needs to develop human resources i.e. element 9 for which action item 86-90 needs

to be completed in Phase I.


Similarly for Phase II action item 24 for legal framework, 27-32 for regulatory framework

and subsequently action item 91-95 needs to be addressed for establishing a human

resource appropriate for legal and regulatory framework for this phase.

It is in Phase III when the legal framework, the regulatory body and its human resource

development must be fully realised and item 22, 33-39 and 96-99 should have been fully

met.

Also, different regulatory agencies have different path of evolution of infrastructures and

modes of operation. Therefore, the suggested competencies for each of the phases may

differ from one regulatory body to another. However there should be significant

correspondence with the competencies outlined in this report. . But in such cases, the

model and the approach described in this report can be modified to address competencies

according to their phases in evolution and formulate tables and illustrations similar to those

presented in this report.

3.1 Major Phase of Development of a regulatory body

This section identifies the phases of development of legal and regulatory framework which

precluded the establishment of the regulatory body that have been described in the IAEA

Safety Standards Series, Requirements GS-R-1 [DS415] and DS424. That document describes

the responsibilities and functions of the regulatory body and establishes four major

functions of the regulatory body as authorization; review and assessment; inspection and

enforcement; and development of regulations and guides. Some supplementary functions

were also identified in DS415, which include research and development; emergency

preparedness; and international co-operation. While DS424 defines the three phases of

development of legal and regulatory framework and the actions need to be completed for

establishment of a legal and regulatory framework and the associated human resources

including establishment of a competent regulatory body.

For the purposes of this report the emphasis has been placed on identification of the

competencies within the three phases instead of according to regulatory body function

which is given in detail in the guidance document (For compelte detail see Draft Safety

Report) . The three main element that concerns this report namely “legal framework”,

“regulatory framework” and the “human resources development” , the subsequent actions

required in each of three phases for the development of human resources for a legal and

regulatory framework and the associated competencies required for fulfilling each of the

actions are described below. Most of the text in this section is extracted from DS424 as it is

but for details explanation of each actions for the three element, please refer to DS424.

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.


DS424 therefore defines following two actions that needs to be completed in Phase I for

establishment of the legal framework;

Action 20: The government in cooperation with legislative bodies should identify all

necessary elements of a legal framework for the safety infrastructure, and plan how to

structure and develop it

Action 21: The government in cooperation with legislative bodies should consider the

process which needs to be employed to licence nuclear power facilities in the later stages

of the programme

In order to complete these actions the relevant people in the government and the

regulatory body should have some competency of legal basis, regulatory processes and

licensing documents. Since the regulatory body may be at a very preliminary stages of

developments so these competency may in this phase be still in development.

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.

DS424 has identified following actions that needs to be completed in this phase for

regulatory framework;

Action 24: The government should recognize the need for an effectively independent and

competent regulatory body, and consider the appropriate position of the regulatory body

in the State’s structure

Action 25: The government should seek advice from the regulatory body for radiation

safety on issues related to a nuclear power programme

Action 26: The government should identify the prospective senior managers of the nuclear

regulatory body


In order to complete action 24 and 26 the core group of people in the government or the

regulatory body should have high level of competency in legal basis, regulatory

competencies, safety focus analytical techniques and personal and interpersonal

effectiveness while in remaining staff these competency will be developing.

HUMAN RESOURCES DEVELOPMENT

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.

DS424 therefore defines the following five actions that needs to be completed in Phase I for

establishment of human resources to cater for legal and regulatory framework

85. The government should consider a strategy for attracting, developing and retaining

adequate number of competent national experts for the needs of all organizations

involved in the potential nuclear power programme.

86. The government should identify competencies required in nuclear safety areas and

approximate number of experts needed.

87. The government should identify national and foreign institutions that could

provide education and training and start training in key nuclear safety areas.

88. The government should identify gaps in existing training institutions and plan to

strengthen existing institutions or to establish new institutions as needed.

89. The government should ensure that those prospective senior regulators identified

by the government and the prospective safety experts to be involved in the nuclear power

programme start learning nuclear safety principles and criteria.

In order to complete the above actions, the relevant people in government and the

regulatory body should start developing competencies in legal basis, regulatory processes,

safety focus analytical techniques and personal & interpersonal effectiveness


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.

DS424 identifies following actions that needs to be completed for legal framework in

Phase 2;

Action 22: The government in cooperation with legislative bodies should enact and

implement essential elements of the legal framework for the safety infrastructure.

In order for this action to be completed the relevant people in government and

regulatory body should have a comprehension of all laws and decrees including those

that apply for licensing of a nuclear facility.

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 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.

DS424 has identified the following six actions that needs to be completed in Phase 2;

Action 27: The government in cooperation with legislative bodies should establish an

effectively independent regulatory body and empower it with the adequate legal

authority, technical and managerial competence, and human and financial resources to

fulfil its responsibilities in the nuclear power programme

Action 28: The government should appoint senior managers and key experts to the

regulatory body and charge them with developing the organization.


Action 29: The regulatory body should consider the various regulatory approaches applied

for regulation of nuclear programmes of the same type and size, and tentatively plan its

approach taking into account the national legal and industrial practices, and the guidance

provided in the IAEA Safety Standards.

Action 30: The regulatory body should issue regulations or guides specifying the

documentation and procedures needed in the various steps of the licensing process,

including which inspections will be conducted to verify compliance.

Action 31: The regulatory body should specify safety requirements needed for bidding

process..

Action 32: The regulatory body should begin establishing suitable working relationship

with the operating organization and international organizations.

In order to complete the following action item 27 to 32 , the core group of people in

government and regulatory body should have fully developed in legal basis and regulatory

practices while others should start developing these competencies.

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 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.


DS424 therefore defines the following five actions that needs to be completed in this phase:

Action 90. All the relevant organizations should implement a strategy to attract and

retain trained high-quality personnel.

Action 91 All the relevant organizations should support the training of prospective

nuclear staff in foreign nuclear organizations.

Action 92. The regulatory body and the operating organization should actively recruit

staff so as to ensure capability in the relevant areas in a timely manner.

Action 93, The government in cooperation with legislative bodies and other applicable

organizations should establish new institutes or new curricula, as identified in Phase 1.

Action 94. All the relevant organizations should start education and training of

necessary number of persons in academic and vocational institutions.

In order to complete these actions the relevant people in the government and regulatory

body should have start developing all four quadrant competencies especially legal basis,

regulatory processes, regulatory guidance and licensing document. Efforts should also

start in developing applied and specialized technology competencies.

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..

DS424 has identified action 23 i.e “ The government in cooperation with legislative bodies

should ensure that the legal framework for the safety infrastructure is fully in place and is

complied with by the relevant organizations”

In order for this action to be completed the relevant people in government and the

regulatory body by then should have a fully developed in legal basis & regulatory

competencies as given in quadrant 1 of the competency model.


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.

To accomplish all above DS424 has identified the following actions that the government

and regulatory body have to complete;

Action 33: The regulatory body should maintain suitable working relationships with the

operating organization.

Action 34: The regulatory body should plan all the required oversight activities to be

conducted during the licensing process, including siting, construction, commissioning and

operation, consistent with the selected regulatory approach.

Action 35: The regulatory body should establish a consistent procedure for issuing,

revising and revoking regulations and guides.

Action 36: The regulatory body should ensure that a comprehensive set of regulations and

guides is fully in place to regulate construction, commissioning and operational activities

at the appropriate time.

Action 37: The regulatory body should implement its inspection and enforcement

programme during construction.

Action 38: The regulatory body should review and assess programmes to be implemented

by the operating organization, as appropriate.

In order to complete these action the regulatory staff should have fully developed

competencies in all four quadrant of the competency model.


Human Resource Development

In Phaseb3, 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. The 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.

DS 424 identifies the following four actions item that needs to be completed in this phase

for human resource development;

Action 95. The operating organization, the regulatory body and other support

organizations should ensure sufficient and competent human resources for the

efficient and effective conduct of all activities at the appropriate time.

Action 96. The operating organization should prepare a human resources

management programme (including staffing, qualification and training) as well as the

corresponding parts of the SAR.

Action 97. The regulatory body should review and assess the operating

organization's programme regarding human resources management.

Action 98. The government should continue promoting educational

development in the nuclear field so as to provide a continuing flow of qualified

people in the relevant areas.

In order to complete these actions the relevant people in the government and regulatory

body should have fully developed competencies in all four quadrants of the competency

model.

Table x below contains competencies 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 . . Each of these tables contains the competencies


identified for the four quadrants. Each of the phases is presented in a column. An “N” is

placed against the competency that is not in existence in that phase and neither required,

while “D” is placed against competency that deemed to be needed for development at that

a phase, and a “F” is placed against competency that is essential and should be fully

developed in that phase. Again it should be understood that this is provided as a guide and

a specific regulatory body may reach different conclusions, when it conducts its own

analysis.


Table X. Comparison of Specific Competencies Needed in

Different Phases of Evolution of Regulatory Body

Functions /

Competencies

Phase I Phase II Phase III

Q1: Legal Basis and Regulatory

Process

1.1. Legal Basis D D F

1.2. Regulatory Process D D F

1.3. Regulations and

Regulatory

N D F

1.4. License and Licensing

Documents

N D F

1.5. Enforcement Process N D F

Q2: Technical Disciplines

2.1. Basic Technologies F F F

2.2. Applied Technologies N D F

2.3. Specialized Technologies N D F

Q3: Regulatory Practice

3.1. Safety focused Analytical

Tech.

F F F

3.2. Inspection Techniques N D F

3.3. Auditing Techniques N D F

3.4. Investigation Techniques N D F

Q4. Personal and Interpersonal

Effectiveness

4.1. Analytical thinking,

problem

F F F

4.2. Personal effectiveness F F F

4.3. Communication F F F

4.4. Team work F F F

4.5. Management F F F

In Section xxx examples are given of how the competency model can be applied to each of

the three phases of the regulatory body. In each of these sections, the competencies

needed for a specific phase are written in each of the four quadrants of the competency

model. The model is subsequently presented graphically in an illustration of the quadrants.

In each quadrant, the percentage of the needed competencies for the phase relative to the


total number of competencies is displayed by one point on a diagonal scale ranging from 0

to 100%. For example, if, in a competency quadrant, two out of four competencies are

needed for the phase being considered, a single point at 50% on the diagonal scale is

plotted. This is repeated for the four quadrants of the model, and the four points are

subsequently connected. The resulting four-sided polygon depicts the bias for the function

to include specific competencies from the four quadrants.

Section x represents what is labelled “core competencies”. In the context of this report, core

competencies are those competencies that are common to each of the three phases of

development of regulatory body. These core competencies could therefore be easily

identified from Table X, and subsequently presented in the four quadrants and in illustrative

four-sided polygon.


6.2 Identification of core competencies in a regulatory body

The competencies defined in Chapter x that are common to each of the three four major

regulatory bodies’ functions are considered to be core competencies. These core

competencies are considered appropriate for all technical positions within the major

functional areas of the regulatory body and are presented in this section. The competency

map with reference to each of the functional areas is given in detail in Safety Report {Ref}

4. Personal and Interpersonal Effectiveness

Effectiveness Competencies

4.1. Not applicable

4.2. Personal effectiveness

4.3. Not applicable

4.4. Team work 4.5. Not applicable

1. Legal Basis & Regulatory

Process Competencies

1.1. Not applicable

1.2. Regulatory process

1.3. Regulatory guidance documents

1.4. License and licensing documents 1.5. Not applicable

3. Regulatory practices Competencies

3.1. Safety focused analytical techniques

3.2. Not applicable

3.3. Not applicable

3.4. Not applicable

2. Technical Disciplines Competencies

2.1. Basic technology

2.2. Not applicable

FIG. 2 Competency model quadrant for the core competencies for the regulatory body.

6.3 Identification of competencies by Phases

The following sub-sections illustrate how the four-quadrant competency model will deal

with the three main phases of development of a regulatory body and guides the regulatory

body in its use of the competency model.

6.3.1 Competency model for Phase I

The competencies defined in Chapter x that are considered appropriate for the Phase I are

presented in Figure x (see also xxx).



Competencies

4.1. Analytical thinking, problem solving and

decision making


4.3. Communication

4.4. Team work

4.5. Management

1. Legal Basis & Regulatory Processes

Competencies

1.1. Legal basis


1.3. Not applicable

1.4. Not Applicable

1.5. Not applicable

3. Regulatory Practices Competencies


3.2. Not applicable

3.3. Not applicable

3.4. Not applicable



2.2. Not applicable

2.3. Not applicable

FIG. 3 Competency model quadrant for Phase I

6.3.2 Competency model for Phase II

The competencies defined in Chapter 3 that are considered appropriate for Phase II, are

presented in Figure x (see also xxx).


Competencies


decision making


4.3. Communication

4.4. Team work

4.5. Management

1. Legal Basis & Regulatory Processes

Competencies

1.1.Legal basis

1.2.Regulatory process

1.3 Regulatory guidance documents

1.4. License and licensing documents

1.5. Enforcement process

3. Regulatory Practices Competencies

3.1. Safety focused analytical techniques 3.2. Not applicable

3.3. Not applicable

3.4. Not applicable


2.1. Basic technology 2.2. Applied technology

2.3. Specialized technology

FIG. 4 Competency model quadrant for Phase II


6.3.3 Competency model for Phase III

The competencies defined in Chapter 3 that are considered appropriate for the inspection

and enforcement function are presented in Figure x (see also xxx).


Competencies


decision making


4.3. Communication

4.4. Team work

4.5. Management

1. Legal Basis and Regulatory Processes

Competencies

1.1. Legal basis


1.3. Regulatory guidance documents

1.4. License and licensing documents

1.5. Enforcement process

3. Regulatory Practices


3.2. Inspection techniques

3.3. Auditing techniques 3.4. Investigation techniques

2. Technical Disciplines


2.2. Applied technology

2.3. Specialized technology

FIG.5 Competency model quadrant for Phase III

6.4 Application of competency model

The competency model has been applied in the earlier sections as a typical representation

for regulatory bodies. Figure x summarizes the results and provides a comparison between

the main regulatory functions. It should be noted that when each individual regulatory body

applies the competency model within the context of that particular regulatory body, some

variations in the results should be anticipated. In general, it is expected that the results

would be consistent with those presented in this report.

In order to maximize the usefulness of the competency model, individual regulatory bodies

should apply the model to their functional organizational units taking into account the

phase they are in and then to technical job families within the organizations. By doing so,

the individual regulatory bodies can establish actual and desired competency profiles for

technical organizational units and job families. After comparing the actual and desired

competency profiles to determine the gaps, individual regulatory bodies can address the

gaps using appropriate training programmes as suggested in Chapter x.

4. Mapping Competencies with Training Module

Once the competencies 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 competencies with

the existing training module available in Member States or the Agency so that the

identifies course can then be started straight way for building competency. The


competencies that are not covered by the existing courses then can be lump according so

as new training modules can be designed and implemented. Table below gives an example

of some of the competencies in phase I mapped with existing courses in the Agency.

Table CC: Identifies the Existing Training Module covering Competencies in all three

phases

Quadrant Competencies Training Modules

1 Legal Basis:

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

BPTC,

2

Table DD: Identifies the New Training Module to be developed for covering Competencies

in all three phases for which existing training module is not sufficient

Quadrant Competencies New Training Modules

Required

1 Legal Basis:

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

Leadership in Safety

Review and Assessment

Inspection Techniques

Technical Specification

2

Table BB: List of Training Modules according to level of difficulty

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


5. Application of Training Modules in Phases

Once all the relevant competencies 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. For since the government has to issue an

atomic law soon after making a knowledgeable decision in favour of nuclear power so it is

necessary that drafting of atomic law should be in adavance stages by end of phase I and

so the necessary competencies in legal baisi should be planned to be developed quite

early in Phase I and implemented through out 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. Figure TT, provides an illustration of

application of different level of courses during each of the three phases.

Figure TT:

IAEA 10

Thematic Knowledge / Safety Awareness

Level 3 - Specific Expert Knowledge: It is intended to provide knowledgein support to specific tasks to be performed by the local organizations

Level 2 - Specialized Knowledge: It is intended to provide detailedunderstanding of the areas important to nuclear safety

Level 1 –Basic Training:It is intended to provide a broad overview of all the safety concepts and their application to nuclear power plants

Phase 1

Decision

Phase 2 Phase 3

Call for tendersCommissioning

Operation

Level 1

Level 2

Level 3

xxx

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