«Managing Regulatory Body Competence IAEA SAFETY STANDARDS AND RELATED PUBLICATIONS IAEA SAFETY STANDARDS Under the terms of Article III of its ...»
Safety Reports Series
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IAEA SAFETY STANDARDS AND RELATED PUBLICATIONS
IAEA SAFETY STANDARDS
Under the terms of Article III of its Statute, the IAEA is authorized to establish or adopt
standards of safety for protection of health and minimization of danger to life and property, and
to provide for the application of these standards.
The publications by means of which the IAEA establishes standards are issued in the IAEA Safety Standards Series. This series covers nuclear safety, radiation safety, transport safety and waste safety. The publication categories in the series are Safety Fundamentals, Safety Requirements and Safety Guides.
Information on the IAEA’s safety standards programme is available on the IAEA Internet site http://www-ns.iaea.org/standards/ The site provides the texts in English of published and draft safety standards. The texts of safety standards issued in Arabic, Chinese, French, Russian and Spanish, the IAEA Safety Glossary and a status report for safety standards under development are also available. For further information, please contact the IAEA at: Vienna International Centre, PO Box 100, 1400 Vienna, Austria.
All users of IAEA safety standards are invited to inform the IAEA of experience in their use (e.g. as a basis for national regulations, for safety reviews and for training courses) for the purpose of ensuring that they continue to meet users’ needs. Information may be provided via the IAEA Internet site or by post, as above, or by email to Ofﬁcial.Mail@iaea.org.
RELATED PUBLICATIONSThe IAEA provides for the application of the standards and, under the terms of Articles III and VIII.C of its Statute, makes available and fosters the exchange of information relating to peaceful nuclear activities and serves as an intermediary among its Member States for this purpose.
Reports on safety in nuclear activities are issued as Safety Reports, which provide practical examples and detailed methods that can be used in support of the safety standards.
Other safety related IAEA publications are issued as Emergency Preparedness and Response publications, Radiological Assessment Reports, the International Nuclear Safety Group’s INSAG Reports, Technical Reports and TECDOCs. The IAEA also issues reports on radiological accidents, training manuals and practical manuals, and other special safety related publications.
Security related publications are issued in the IAEA Nuclear Security Series.
The IAEA Nuclear Energy Series comprises informational publications to encourage and assist research on, and the development and practical application of, nuclear energy for peaceful purposes. It includes reports and guides on the status of and advances in technology, and on experience, good practices and practical examples in the areas of nuclear power, the nuclear fuel cycle, radioactive waste management and decommissioning.
The following States are Members of the International Atomic Energy Agency:
The Agency’s Statute was approved on 23 October 1956 by the Conference on the Statute of the IAEA held at United Nations Headquarters, New York; it entered into force on 29 July 1957. The Headquarters of the Agency are situated in Vienna. Its principal objective is “to accelerate and enlarge the contribution of atomic energy to peace, health and prosperity throughout the world’’.
SAFETY REPORTS SERIES No. 79
All IAEA scientific and technical publications are protected by the terms of the Universal Copyright Convention as adopted in 1952 (Berne) and as revised in 1972 (Paris). The copyright has since been extended by the World Intellectual Property Organization (Geneva) to include electronic and virtual intellectual property. Permission to use whole or parts of texts contained in IAEA publications in printed or electronic form must be obtained and is usually subject to royalty agreements. Proposals for non-commercial reproductions and translations are welcomed and considered on a case-by-case basis. Enquiries should be addressed
to the IAEA Publishing Section at:
Marketing and Sales Unit, Publishing Section International Atomic Energy Agency Vienna International Centre PO Box 100 1400 Vienna, Austria fax: +43 1 2600 29302 tel.: +43 1 2600 22417 email: email@example.com http://www.iaea.org/books
In 2001, the IAEA published TECDOC 1254, which examined the way in which the recognized functions of a regulatory body for nuclear facilities results in competence needs. Using the systematic approach to training (SAT), TECDOC 1254 provided a framework for regulatory bodies for managing training and developing and their maintaining their competence. It has been successfully used by many regulators.
The IAEA has also introduced a methodology and an assessment tool — Guidelines for Systematic Assessment of Regulatory Competence Needs (SARCoN) — which provides practical guidance on analysing the training and development needs of a regulatory body and, through a gap analysis, guidance on establishing competence needs and how to meet them.
In 2009, the IAEA established a steering committee (supported by a bureau) with the mission to advise the IAEA on how it could best assist Member States to develop suitable competence management systems for their regulatory bodies.
The committee recommended the development of a safety report on managing staff competence as an integral part of a regulatory body’s management system.
This Safety Report was developed in response to this request. It supersedes TECDOC 1254, broadens its application to regulatory bodies for all facilities and activities, and builds upon the experience gained through the application of TECDOC 1254 and SARCoN and the feedback received from Member States.
This Safety Report applies to the management of adequate competence as needs change, and as such is equally applicable to the needs of States ‘embarking’ on a nuclear power programme. It also deals with the special case of building up the competence of regulatory bodies as part of the overall process of establishing an ‘embarking’ State’s regulatory system.
The IAEA would like to express its appreciation to all of the experts who contributed to the development and review of this Safety Report, and the members of the Steering Committee on Competence of Human Resources for Regulatory Bodies and the Ibero-American Forum of Radiological and Nuclear Regulatory Agencies (FORO), who also reviewed and commented on this Safety Report.
The IAEA officers responsible for this publication were M.J. Moracho Ramirez of the Division of Nuclear Installation Safety and H. Suman of the Division of Radiation, Transport and Waste Safety.
EDITORIAL NOTEAlthough great care has been taken to maintain the accuracy of information contained in this publication, neither the IAEA nor its Member States assume any responsibility for consequences which may arise from its use.
The use of particular designations of countries or territories does not imply any judgement by the publisher, the IAEA, as to the legal status of such countries or territories, of their authorities and institutions or of the delimitation of their boundaries.
The mention of names of specific companies or products (whether or not indicated as registered) does not imply any intention to infringe proprietary rights, nor should it be construed as an endorsement or recommendation on the part of the IAEA.
The IAEA has no responsibility for the persistence or accuracy of URLs for external or third party Internet web sites referred to in this book and does not guarantee that any content on such web sites is, or will remain, accurate or appropriate.
1.1. BACKGROUND The ability of a regulatory body to fulfil its responsibilities depends largely on the competence of its staff. Building employees’ skills and knowledge is an investment in each employee and in the future of the organization.
Safety requirements in IAEA Safety Standards Series No. GSR Part 1, Governmental, Legal and Regulatory Framework for Safety , address the
issues of competences of the regulatory body by requiring that:
“A process shall be established to develop and maintain the necessary competence and skills of staff of the regulatory body, as an element of knowledge management. This process shall include the development of a specific training programme on the basis of an analysis of the necessary competence and skills. The training programme shall cover principles, concepts and technological aspects, as well as the procedures followed by the regulatory body for assessing applications for authorization, for inspecting facilities and activities, and for enforcing regulatory requirements” (para. 4.13 of Ref. ).
Regulatory bodies are also required to have a management system for the management of their activities [1–3]. Competence management needs to be integrated into the management system. The transparency and auditability, inherent in such a system, facilitates self-assessment and supports the confidence of interested parties in the regulatory body’s processes and competences.
In order to implement this requirement, a regulatory body needs to establish the related budgetary provisions. Competence management includes, in particular, an overall training and development programme that takes into account the operational and long term needs for specialists and managers, and a training and development plan for each employee which is tailored to the employee’s needs and roles in the regulatory body.
Managing competent regulatory staff is difficult in many States due to retiring staff members and the challenges in recruitment and replacing them.
Additionally, the reduction in higher education opportunities in the nuclear area and competitive market conditions have resulted in a reduced availability of qualified personnel for regulatory bodies.
Furthermore, States have declared an interest in ‘embarking’ on or expanding nuclear power programmes (generally referred to as ‘embarking States’), putting further pressure on the existing pool of experienced regulatory staff. This increases the need to establish programmes to develop and to manage the competence of States’ regulatory bodies.
This Safety Report provides generic guidance on managing the competence of regulatory bodies within their management system. It can be used as an example for States on how to meet the requirements of systematically assessing competence needs, in the near and long term, and delivering training and other elements of competence development, as well as continually improving this part of the management system.
Interrelated to competences is staffing of the regulatory body. According to Requirement 18 of IAEA Safety Standards Series No. GSR Part 1, a regulatory body shall develop a human resources plan “that states the number of staff necessary and the essential knowledge, skills and abilities for them to perform all the necessary regulatory functions” (para. 4.11 of Ref. ). This responsibility can be given to senior management to review the functions that are required to be performed and that need to determine the size and composition necessary for the regulatory body to be able to fulfil its obligations.
The IAEA has produced a number of safety standards, other publications and working materials in which the competence of a regulatory body is addressed. These publications are listed in the References and have been drawn upon in preparation. This Safety Report supersedes TECDOC 1254 and broadens its application to regulatory bodies for all facilities and activities.