«Managing Regulatory Body Competence IAEA SAFETY STANDARDS AND RELATED PUBLICATIONS IAEA SAFETY STANDARDS Under the terms of Article III of its ...»
Table 6 provides the quadrant competence areas required to perform the main regulatory functions, while Table 7 provides the same for selected additional functions that might be assigned to a regulatory body. It is worth emphasizing that although the tables in this Appendix are based on general expert judgement, a regulatory body may need to adjust them in accordance with its organization, management and the regulatory approach adopted.
TABLE 6. QUADRANT COMPETENCE AREAS TYPICALLY REQUIREDFOR THE MAIN REGULATORY FUNCTIONS (cont.)
Please note that 3.1–3.5 refer to competences as explained in Section 3.1.3.
TABLE 7. QUADRANT COMPETENCE AREAS TYPICALLY REQUIRED
FOR SOME ADDITIONAL FUNCTIONS OF THE REGULATORY BODY
The systematic approach to training (SAT) is recognized as a model for assisting in identifying the training needs and for designing, planning, implementing and evaluating training programmes. It has been used in the last 20 years by several regulatory and governmental agencies, as well as several other organizations.
The management of the regulatory body needs to assign the responsibilities for applying SAT. In some organizations, a person (or the leader of the team) is named the training coordinator (TC). Typical roles and responsibilities of the TC
(a) Planning the competence gap analysis referred to in Section 4;
(b) Briefing the management and staff on the conduct of the competence gap analysis;
(c) Organizing and supervising the implementation of each step of the competence gap analysis;
(d) Considering how to fill the gaps by recruitment, training and outsourcing;
(e) Reporting the results of the analysis and recommending means to fill the gaps to the regulatory body’s management;
(f) For those gaps to be filled by training, developing a programme to provide the training needed, in consultation with other staff and management;
(g) Supervising the implementation of the training programme;
(h) Evaluating the training results;
(i) Suggesting future training actions or alternative measures to ensure regulatory competence in the short, medium and long term.
SAT consists of five interrelated phases as follows:
III.1. ANALYSIS In this phase, the training needs are identified to cover those competence gaps that are to be remedied by training as determined by the gap analysis described in Section 4.3.
III.2. DESIGN Training needs and learning points related to specific competences are converted to learning objectives, including evaluation strategies, which are then organized into training plans, taking into account the available options and methods for training.
An annual training programme for the regulatory body can be developed by the management with the assistance of the TC, based on the organizational strategies and the individual needs. Examples of options and methods for training are described in Appendix II.
In this phase, training materials and evaluation tools are prepared in accordance with the training plan produced in the design phase, so that the achievement of training objectives can be confirmed.
The work performed in this phase, as well as in the design phase, ensures that the intended training is both appropriate and adequate. This work includes,
among other things, the production and modification of:
— Training plans;
— Training materials (learner text, presentations and hand-outs);
— Instructor manuals;
— Evaluation tools.
III.4. IMPLEMENTATION In this phase, training is conducted in a specific training environment, using the training materials that were created in the development phase. Specific delivery methods and tools are used to ensure that training is delivered in an effective and efficient manner.
Typical activities in this phase are:
(a) Deliver training through the training programme;
(b) Use internal or external training facilities;
(c) Contract and secure qualified trainers (e.g. lecturers, mentors and experts);
(d) Use appropriate and adequate equipment;
(e) Conduct training in accordance with the lesson plans;
(f) Use evaluation tools developed.
The training and development programme needs to be continually evaluated on the basis of data collected during each preceding phase. The evaluation provides feedback that can facilitate training and development programme improvements.
There are several sources of feedback:
(a) Course evaluation by trainees;
(b) Self-evaluation of performance improvement by trainees;
(c) Course evaluation by trainers;
(d) Feedback from line managers on how the training and development affected employee performance;
(e) Feedback from interested parties, such as regulated facilities and activities, on regulatory staff performance.
SELECTING OPTIONS AND METHODS OF TRAINING
There are many opportunities to obtain training in regulatory competences through international arrangements and courses that may be common to many States.
Particular care has to be taken in choosing external training packages.
Although some elements of training programmes for regulatory body personnel may be similar to training programmes elsewhere, the overall training programmes will inevitably be different, since the focus of regulatory staff is specific. Even for training programme elements (such as technical elements) that would appear to be in common, it is often very useful if the regulatory staff training can be implemented with a regulatory perspective rather than an operational perspective.
Many regulatory bodies favour the provision of training by in-house, experienced regulatory staff who design and deliver the training, and are able to ensure the training describes and encompasses the regulatory context.
Training will involve several methods, the choice of which will be determined by factors such as the geographical location of the participants, the availability of leave for training purposes, and the costs and availability of equipment and materials.
Possible training modes include:
— Internal classroom training;
— External classroom training;
— Distance learning, using manuals, computers and videos, among others;
— On-the-job training (OJT);
— Structured self-study;
— Laboratory training, such as instrument use;
— Coaching and mentoring.
IV.1. CLASSROOM BASED TRAININGClassroom based training is still the most frequently used method of training provision and is probably the most effective training mechanism for comprehensive levels of training. It facilitates direct communication and discussion between the trainer and the participants, and enables the trainer to modify a range of factors, such as the depth of the course and the speed of delivery, depending on the capabilities and progress of the participants. A classroom based training course may include a series of short lectures on specific topics from a syllabus, reading material, practical exercises, videos, group discussions and case studies designed to reinforce the lecture content. However, the provision of such courses is relatively expensive, both in terms of the resources and efforts from the trainers, and the time and subsistence costs for the participants.
IV.2. DISTANCE LEARNING
Distance learning may be an effective alternative to classroom based training, and it is particularly appropriate for people who live far from training centres or have insufficient time or funds to attend classroom based training. It may also be an effective use of training resources where only small numbers of people need training.
Distance-learning media cover a range of technologies, including paper correspondence courses, video lectures, teleconferencing, courses on DVDs and Internet based classes. The role of the supervisor in distance learning will vary depending upon the medium used. Correspondence courses, video lectures and most Internet based classes require little or no supervisor–participant interaction.
Teleconferencing, on the other hand, lets participants and supervisors interact, almost at a classroom level. The availability of cameras and microphones for Internet communications facilitates the access of personal computer users to Internet based distance learning.
A typical distance-learning package consists of a modular set of course notes, study guides and associated exercises based on specific topics from a syllabus. Participants complete the package at work or at home. The training includes the completion of assessment tasks (e.g. written examinations, research assignments and problem solving exercises), which are then forwarded to a supervisor or tutor for marking and feedback. Distance learning may involve a residential programme, where the trainee spends some time at a training site. The residential programme can reinforce the course material, give practical work, conduct technical visits or provide examinations. The residential programme needs to provide sufficient time for the participants to acquire the required skills, problem solving methods or other practical experiences. The role of the supervisor is important to the success of distance learning, and frequent interactions with the participants would be beneficial. Distance learning is relatively inexpensive and permits the participants to study at their own pace. However, its success depends on the self-motivation of the participants to complete the work with the minimum of direct supervision.
With the increased availability of personal computers around the world, many workers now have access to a computer. This has stimulated the development of computer based training (CBT) packages, consisting of interactive training modules with question and answer sections. CBT modules usually incorporate photographs, diagrams, simulations and video sequences.
The information can be accessed and searched easily, and links can be provided to a glossary of terms. Printed learning material and study guides may be needed to support CBT.
IV.3. ON-THE-JOB TRAINING
Classroom based training or distance learning is unlikely to cover all the KSAs associated with regulatory tasks. Hence, on-the-job training (OJT) is a critical component of the overall training programme. In this form of training, the participant is either at work as normal or at a training site, under the direct supervision of an experienced person. A training plan based on identified competences will include a list of topics and tasks to be carried out.
The participant’s progress and achievements may be recorded on a checklist.
The supervisor needs to ensure that the participant receives comprehensive training and is not just used as an extra pair of hands. With a staged approach, the participants progress from observing the task being performed by others to assisting in the task and finally to carrying out the tasks themselves. On completion of training, the supervisor and participant prepare a comprehensive report describing the participant’s progress, the areas of competence achieved and any further training needed.
IV.4. STRUCTURED SELF-STUDY