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Practical Implementation of SARCoN in a TSO Brussels, 15 June 2016

Learn about the IAEA SARCoN methodology, the status of HRM process in Bel.V, and the adoption of a fit-for-purpose model. Discover the SARCoN pilot applications and how to use SARCoN results.

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Practical Implementation of SARCoN in a TSO Brussels, 15 June 2016

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  1. EC Projects on Training and TutoringSecond Coordination MeetingPRACTICAL IMPLEMENTATION OF SARCoN in a TSO Brussels, 15 June 2016 Pierre MIGNOT, Benoît BERNARD

  2. Content • IAEA SARCoNMethodology • Status of HRM process in Bel V • SARCoN First Pilot Application • Adoption of a fit-for-purpose model • Dedicatedyardsticks • SARCoN Second Pilot Application • Use of SARCoNresults • Conclusions

  3. 1. IAEA SARCoNMethodology • Competence= Knowledge, Skills and Attitudes (KSA) • Competence management is an inherent part of the management system of an organisation (SRS N°79) and has to beintegrated in the HRM process. • The SARCoNmethodologydescribes a step-by-stepprocedure to systematically analyse the existingcompetencesversus the requiredones and to perform a competence gap analysis on the basis of a quadrant model of competences. FurtherSARCoNrecommends the use of an IAEA software tool to perform the gap analysis. • The objective of SARCoNis to ensure the competence of the staff and an appropriate match between the needs of the organisation and the availableresources: both the number of staff and the requiredcompetences must beperiodicallyevaluated at the level of the wholeorganizationthrough a competenceneedsassessment (CNA).

  4. 2. Status of HRM process in Bel V (1) • All the documents/procedures of HRM process A08 are developed: • Complete sequence of activities in the frame of HRM process: • Organisation and Structure • Tree of roles and role descriptions • Competence and Knowledge Management usingSARCoN (CNA) • Training NeedsAssessment (TNA) leading to the development and implementation of training programmes (SAT) • Establishment of individualdevelopment plans includinglearning plan and careerdevelopment aspects • Performance evaluation of personnel • Eachstepisbased on the results of the previous one.

  5. 2. Status of HRM processin Bel V (2) • Competence Management process • 2013: Reorganisation of HRM process to include SARCoN • Role descriptions updated (+ associated tasks and qualification requirements) • Competence Gap Analysis using SARCoN methodology described • Training programmes and individual development plans included • 2014: First pilot application of CGA using SARCoN • 2015: Second pilot application of CGA usingSARCoN • Adoption of a fit-for-purpose model withrevised list of KSAscustomized and tailoredtothe real needs of Bel V • Definition of yardsticks dedicatedtoeachquadrant area consisting of the 3 elements of competence (K,S,A) • Approval of the new approach bytheupper management

  6. 3. SARCoN First Pilot Application (1) Main steps • Establishment of a (shorter) reference list of KSAs tailored to the individual characteristics of Bel V (Q1, Q2, Q3) • Development of role descriptions for 36 roles • Validation by Department Heads of required levels of competence for two functions: inspector and safety analyst (competence profiles), on the basis of the existing role descriptions • Competence assessment of 9 newcomer engineers (less than 3 years): self-assessment + assessment by mid-managers (or coach) for all Quadrants, except for Quadrant 4. • Carry out a Competence Gap Analysis (using SARCoN software!) • Evaluation of the process (evaluation grid for users, informal interviews, results of CGA  report)

  7. 3. SARCoN First Pilot Application (2) Main feedback • The software is easy to use (for users and Training manager) • KSAs (IAEA model) are not well understood and sometimes not adapted (some KSAs are too large, some other too narrow) • KSA understanding is time consuming for new-comers • Generic levels B-M-H are too subjective • Various involvement of mid-managers but they recognized that the tool could be useful • Diverse motivations for newcomers: • Rigorous application (mainly “older” new-comers, because they want training) • “Defensive” or “optimistic” rating of new-comers in trial period (too many H)  CGA findings cannot be directly used

  8. 4. Adoption of a fit-for-purpose model (1) • Definition of a new model in order to better reflect Bel V needs and specific tasks and to ensure common understanding. • A new reference list of legal and regulatory topics and technical areas in which competence is needed for Q1 and Q2 is established, customized and tailored to the characteristics of Bel V. • In addition to the competences of Q1 and Q2, each staff member must have the ability to apply the regulatory practices for the regulatory functions in which they are involved. The types of abilities are listed in Q3. • Definition of the yardsticks (criteria) for evaluating the level of competence for each of the 11 quadrant areas. Each yardstick consists of the three elements of competence: knowledge, skill and attitude.

  9. 4. Adoption of a fit-for-purpose model (2) Q1: 4 Quadrants areas Comprehension of a topic (K) + skill (S) + appreciation (A) Q2: 2 Quadrants areas • Comprehension of an area (K) + skill (S) + appreciation (A) Q3: 5 Quadrants areas Ability to apply the knowledge acquired in Q1 & Q2 (S) + attitude (A) • Complementary to SARCoN, each TRC has developed an identitycardwhere the veryspecialisedcompetencesrequired in a TRC are assigned to individual experts of the TRC. This is not part of the CGA usingSARCoN.

  10. 4. Adoption of a fit-for-purpose model (3)

  11. 4. Adoption of a fit-for-purpose model (4)

  12. 5. Dedicated yardsticks for QA 1.1 Quadrant Area 1.1: Legal Basis • NONE (0):The expert has no knowledge of the law, decrees, regulations or guidance or not-applicable to the dedicated position. • BASIC (1): The expert has/must have a basic knowledge of the law, decrees, regulations or guidance (K). He/she rarely put it into practice or used it as a reference (S). The document is not considered as a priority but useful document to fulfil the dedicated position (A). • MEDIUM (2): The expert has/must have an advanced knowledge of the law, decrees, regulations or guidance (K) and is able to easily retrieve information within the document. He/she frequently uses specific elements as references (S). The document is considered and well perceived as an important regulatory document to fulfil the dedicated position (A). • HIGH (3): The expert masters/must master the law, decrees, regulations or guidance. He/she is able to explain the outlines, the scope and the overall philosophy of the document (K). As a day-to-day practice the document is used by the expert for performing his duties and activities (S). The document is considered and well perceived as a high priority regulatory document to fulfil the dedicated position (A). • N.A. (0): not-applicable to the dedicated position. K S A

  13. 5. Dedicated yardsticks for QA 1.4 Quadrant Area 1.4: Bel V Management System • NONE (0): The expert has no knowledge of the Management System. • BASIC (1): The expert has/must have a basic knowledge of the Management System, i.e.an overall knowledge of Bel V processes mapping and of the documents linked to the processes in his/her domains of competence (K). He/she is able to retrieve information related to the job to be achieved and works accordingly: the expert is compliant (S). The expert is aware that the RB Management System is the backbone of the organization (A) • MEDIUM (2): The expert has/must have a good knowledge of the Management System, i.e. a detailed knowledge of Bel V processes mapping and of the documents linked to the processes in his/her domains of competence (K). He/she is able to identify gaps and to provide relevant modifications to these documents: the expert contributes to the Management System improvement (S). The expert is aware that the Management System must be continuously improved (A). • HIGH (3): The expert masters/must master the Management System, i.e. a deep knowledge of Bel V processes mapping and of the documents linked to the processes in his/her domains of competence (K). The expert is able to develop new procedures: the expert is innovative and can potentially serve as an internal auditor (S). The expert is aware that the Management System must be aligned with environmental changes and new requirements (A). • N.A. (0): not-applicable to the dedicated position.

  14. 5. Dedicated yardsticks for QA 2.1 Quadrant Area 2.1: Applied Science and Technology • NONE (0): The expert has no knowledge in the technical area. • BASIC (1): The expert has/must have a sufficient knowledge in the technical area (K). He/she rarely puts this knowledge into practice but he/she is able to understand basic references (S). The expert is aware of the importance of this area for nuclear safety (A). • MEDIUM (2): The expert has/must have an advanced knowledge in the technical area (K). He/she is able to put this knowledge into practice in the framework of RB activities (S). As a member of an expert team, the expert is aware that he/she has to develop his knowledge in the technical area (A). HIGH (3): The expert has/must have an in depth knowledge in the technical area (K). He/she is able to review, asses or supervise safety cases related to one or several technical areas or to perform high quality inspection activities in the installations (S). The expert is aware that he/she has to take a leading role in the technical area (A). • N.A. (0): not-applicable to the dedicated position.

  15. 5. Dedicatedyardsticks for QA 3.1 Quadrant Area 3.1: Review and Assessment • NONE (0): The expert has no experience in Review and Assessment. • BASIC (1): The expert has/must have a sufficient knowledge of the RB requirements and processes (Q1) and in his/her technical field (Q2) in order to perform safety review and assessment (K). He/she is able to examine safety cases and related documentation but under the direction of a supervisor: the expert is not autonomous (S). The expert demonstrates a learning and a questioning attitude (A). MEDIUM (2): The expert has/must have an advanced knowledge of the RB requirements and processes (Q1) and in his/her technical field (Q2) in order to perform safety review and assessment (K). He/she is able to examine safety cases but, sometimes, with the support of a reviewer or a supervisor: the expert has a limited autonomy (S). The expert demonstrates a “striving for excellence” attitude (A). • HIGH (3): The expert has/must have an in depth knowledge of the RB requirements and processes (Q1) and in his/her technical field (Q2) in order to perform safety review and assessment (K). He/she is able to examine safety cases in full autonomy (S). The expert is aware that he/she has to take a leading role in his/her Review and Assessment domain (A). • N.A. (0): not-applicable to the dedicated position.

  16. 6. SARCoNSecond Pilot Application (1) Based on the new model, the new list of competences and the new criteria for evaluation: Process 1 of CNA: developing competence profiles • For each of the 2 same functions, assign a level (None, B, M, H or NA) to each topic, technical area or type of ability • Establish an inventory of the training modes and training courses available to fill the gaps for each topic (Q1) or technical area (Q2); OJT is the main mode retained for the type of ability (Q3) Process 2 of CNA: carrying out individual competence gap analysis • Self-assessment of the existing level (None, B, M or H) by 8 newcomers • Evaluation interview with the mid-managers • Competence gap analysis using SARCoN

  17. 6. SARCoN Second Pilot Application (2) • Instructions for staff • Open up your individual file in the following folder: • X:\ACTIVITY\XT\XT00\New A08 - Sarcon\Pilot application SARCoN\Second pilot application\SARCoN_Tool_Pilot Application 2_Master\SARCoN Tool Staff • Click on “START SARCoN TOOL” • (Close Window “WELCOME”) • Enter PASSWORD “XXX” (your trigram), then click on LOGIN • Click on your job position, then click on “GO TO ASSESSMENT” • Fill the column “Existing” for each KSA by High, Medium, Low or None • Make the exercise for 11 quadrants areas: 1.1 to 1.4, 2.1, 2.2, 3.1 to 3.5. • When completed, SAVE & MENU, then SAVE & QUIT • Close the document • Save a pdf copy (« EXPORT »)

  18. 7. Use of SARCoNresults (1) • Establish training programmes on the basis of the SARCoN results and the inventory of available training courses and materials • Propose internaljob rotations to the staff • Announceavailablepositions through the Bel V website if no internal expertise isavailable (leading to recruitment) • Introducelearning plan and careerdevelopment in the individualdevelopment plan (IDP) • Carry out performance evaluationof personnel • A new individualdevelopment and evaluation system projectisunderdevelopment on the basis of a competence matrix including 5 competencesrelated to Q1, Q2, Q3 and 17 competencesrelated to the attitudes (Q4) • ThereforeSARCoNproject and this new project are complementary.

  19. 7. Use of SARCoN results (2)

  20. 8. Conclusions • Futureactions in Bel V • Analyse theresults of this second pilot application • Largerscaleuse of SARCoN (allstaff) fordefiningthecompetenceprofiles and the training programmes • Key to success for SARCoNimplementation • Common understanding of job requirementsisnecessary by staff and manager. • Challenge the expert self-assessment (mid-management task) • Do not strictly focus on quantitative results (sanity check) • Adapttheseresults to the « real » job of the expert (fine-tuning of requirementlevels if needed). • Carry out self-assessmenteverytwoyears for newcomers

  21. 8. Conclusions • Specificfeature of Bel V approach • Knowledge, Skills and Attitudes (KSAs) are integrated in the evaluationcriteria (yardsticks) defined per quadrant area • Practicaladvice for use of SARCoN • The SARCoN IAEA methodology provides guidance for the systematic assessment of regulatory competence needs. The methodology is flexible such that It can be easily tailored to the specific situation and characteristics of an organization and it should be used only if its added value is recognized by the management and the staff and the KSAs and evaluation criteria are well understood.

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