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IAEA TM on Regulatory Oversight of Human and Organizational Factors
KINS Group of Human & Organizational Factors (HOF)
Regulatory Oversight Activities
of Human and Organizational Factors
in Korea
2015.12.15
Dhong-Hoon Lee Ph.D.
IAEA TM on Regulatory Oversight of Human and Organizational Factors
CONTENTS
2REGULATORY
ACITIVITY1INTRODUCTION 3FINAL
REMARK
KINSKINS
HOF
IAEA TM on Regulatory Oversight of HOF Regulatory Oversight Activities of HOF in Korea1
Introduction
APPLICATION HISTORY ON HOF IN KOREA
KINSKINS
HOF
LESSONS LEARNED FROM TMI ACCIDENTS (March 28, 1979)
The human-system interfaces (HSIs) and emergency operating procedures (EOP) can induce human errors, and such human errors can lead to a severe accident
After TMI Accident…
Performed the various post actions by mandatory requests of regulatory authority from the 1980s to the early 1990s
Established legal enforcement basis on human and organizational factors mainly focused on the application of human factors engineering
Introduction
REPRESENTATIVE LEGAL REQUIREMENTS
Enforcement Regulation of the Nuclear Safety Act
ARTICLE 4Application for Construction Permit
A preliminary safety analysis report shall contain each of the following Information on human factors engineering as set forth in each of the following: 1. Application method and analysis mechanism of human
factors engineering design; 2. Main control room; and3. Remote control room
IAEA TM on Regulatory Oversight of HOF Regulatory Oversight Activities of HOF in Korea2
KINSKINS
HOF
ARTICLE 20Details ofPeriodic Safety Review
Confirmation of the management status of various human factors, which includes each of the following: 1. Status of personnel management including limitations on
shifts and overtime work;2. Availability of qualified staff on duty at all times;3. Programs for initial training, refresher training and
upgrading training, including the use of simulators; 4. Analysis of human information requirements and
workload; and5. Analysis of man-mechanic interface…
Introduction
REPRESENTATIVE LEGAL REQUIREMENTS
Regulations on Technical Standards for Nuclear Reactor Facilities
ARTICLE 45Human Factors
1. Human factors associated with the plant workers and man-machine interface shall be taken into account systematically in the design of reactor facilities
2. In the design of reactor facilities, each of the following requirements shall be considered in order to minimize the possibility of human error in operation:1) Accurate information shall be provided to operators
to facilitate their correct decisions and to inhibit their wrong decisions;
2) Means for detecting and correcting or compensating for error shall be provided; and
3) Operators shall be allowed to have sufficient time for making decisions and taking actions
IAEA TM on Regulatory Oversight of HOF Regulatory Oversight Activities of HOF in Korea3
KINSKINS
HOF
Introduction
REPRESENTATIVE LEGAL REQUIREMENTS
Regulation on Technical Standards for Nuclear Reactor Facilities, etc.
ARTICLE 57Management of Human Factors
The operator of a nuclear power reactor shall reflect the lessons learned from accidents and near-misses attributable to human factors in design of reactor facilities as well as operating procedures to reduce human errors in operation and continuously manage human factors to prevent any decrease in the human performance.
IAEA TM on Regulatory Oversight of HOF Regulatory Oversight Activities of HOF in Korea4
KINSKINS
HOF
ARTICLE 55Qualification and Training
The operator of a nuclear power reactor shall take each of the following actions to assure that qualified personnel perform tasks of the power plant: 1. The operator shall appoint plant personnel with
knowledge and experience …---4. The personnel to conduct reactor operations shall be
examined annually on appointment, and required to ensure that their medical fitness is appropriate ---
Introduction
REGULATORY ACTIVITY ON HOF IN KOREA
SafetyReview &
Assessment&
Safety Inspection
IAEA TM on Regulatory Oversight of HOF Regulatory Oversight Activities of HOF in Korea5
KINSKINS
HOF
Regulatory Activity on HOF
1. SAFETY REVIEW & ASSESSMENT
Contents of Review & Assessment on HOF
CONSTRUCTION OF NEW PLANTS
Review to verify that accepted and applicable HFE principles are incorporated during the construction and operating process
MODIFICATION OF HUMAN-SYSTEM INTERFACES
Review to verify that the voluntary modifications (license amendment) of HSIs are acceptable on HFE aspects (About 100 cases for the small or large modifications/year)
PERIODIC SAFETY REVIEW (PSR)
Review to determine the suitability of the various human and organizational factors that may affect the safe operation for operating NPPs for every 10 year
IAEA TM on Regulatory Oversight of HOF Regulatory Oversight Activities of HOF in Korea6
KINSKINS
HOF
CONSTRUCTION OF NEW PLANTS
According to the regulatory requirements…• A systematic approach of human factors
engineering shall be applied during construction and operational phase
• Chapter 18 “Human Factors Engineering” in preliminary & final safety analysis report (PSAR & FSAR) shall be submitted
With the Interfaces Review of PSAR & FSAR…
Chapter 7 Instrumentation and Control:For technical descriptions of HSI components and characteristics
Chapter 13 Conduct of Operation:For the contents of operating organization, administrative procedures, etc
Chapter 19 Probabilistic Risk Assessment:For the contents of the relationship between HFE activities and PRA/HRA activities and the risk insights
Regulatory Activity on HOF
1. SAFETY REVIEW & ASSESSMENT
IAEA TM on Regulatory Oversight of HOF Regulatory Oversight Activities of HOF in Korea7
KINSKINS
HOF
Regulatory Activity on HOF
1. SAFETY REVIEW & ASSESSMENT
KINSKINS
HOF
MCR RSR
LCPs EOFs
IAEA TM on Regulatory Oversight of HOF Regulatory Oversight Activities of HOF in Korea8
Regulatory Standards and Guides
Regulatory Activity on HOF
1. SAFETY REVIEW & ASSESSMENT
IAEA TM on Regulatory Oversight of HOF Regulatory Oversight Activities of HOF in Korea9
KINSKINS
HOF
Human Factors Engineering Operation & Management
Regulatory Standards(KINS/RS-N15.00)
Chap. 15 Human Factors EngineeringSec. 1 Introduction
Sec. 2 HFE Design Process
Sec. 3 Control Room Design
Regulatory Guides(KINS/RG-N15.01~05)
Chap. 15 Human Factors EngineeringSec. 1 HFE Plan
Sec. 2 HFE Design
Sec. 3 HF Verification & Validation…
Regulatory Standards(KINS/RS-N17.00)
Chap. 17 Conduct of OperationSec. 1 Introduction
Sec. 2 Plant Organization
Sec. 3 Personnel Qualification & Training
Sec. 4 Procedure…
Regulatory Guides(KINS/RG-N17.01~13)
Chap. 17 Conduct of OperationSec. 1 Constitution of Plant Organization
Sec. 2 Responsibility & Authority
---
Sec. 5 Personnel Qualification…
PERIODIC SAFETY REVIEW (PSR)
In accordance with IAEA Safety Guide No. SSG-25, the followings are mainly assessed …• Adequate training programs including the use of
simulators• Human factors in maintenance to promote error-
free execution of work• Fitness for duty guidelines relating to hours, types
and patterns of work, good health and substance abuse
• Human–system interface including design of the control room and other workstations relevant to safety, human information requirements and workloads, etc
• Safety culture...
Regulatory Activity on HOF
1. SAFETY REVIEW & ASSESSMENT
IAEA TM on Regulatory Oversight of HOF Regulatory Oversight Activities of HOF in Korea10
KINSKINS
HOF
Regulatory Activity on HOF
1. SAFETY REVIEW & ASSESSMENT
IAEA TM on Regulatory Oversight of HOF Regulatory Oversight Activities of HOF in Korea11
PERIODIC SAFETY REVIEW (PSR) –Approach of HSIs Evaluation
1. Availability Verification;• To verify the presence (or absence) of instrument and
equipment that provide the information and control capabilities necessary to implement each task
2. Suitability Verification;• To determine whether the HSIs provided by the displays,
controls, and other control room features are effectively designed to support task accomplishment
3. Effectiveness Validation;• To determine whether the functions allocated to
operating crew can be accomplished effectively within the design of the control room as it exists
Materials for HSIs Evaluation
1. Event & near miss reports2. Corrective actions by the regulatory body3. Final Safety Analysis Report (FSAR) or Detailed
Control Room Design Review (D-CRDR) reports4. Reports of instrument & equipment failures5. History reports of design modification6. Analysis report of plant trip or shutdown…
KINSKINS
HOF
Regulatory Activity on HOF
2. SAFTY INSPECTION
Inspection Framework
PRE-OPERATIONAL INSPECTION
To prove that the construction of the reactor facilities meet the safety requirements specified in the relevant technical standards
PERIODIC INSPECTION Usually conducted on an annual basis for plant administration and management of human and organizational factors-related activities of the plants
SPECIAL INSPECTION To investigate the occurrence of a reportable event such as the one relevant to an important safety issue, a public concern about nuclear safety, or a reactor trip
IAEA TM on Regulatory Oversight of HOF Regulatory Oversight Activities of HOF in Korea12
KINSKINS
HOF
PERIODIC INSPECTION According to Article 57 “Management of Human Factors” of Regulation on Technical Standards for Nuclear Reactor Facilities, this inspection on HOF is performed during the planned overhaul outrage
Main Contents
Plant Management To investigate the adequacy of overall measures taken by licensee to prevent degradation of human performance and minimize occurrence of human error (i.e. K-HPES)
Education and Training To ensure that the education and training for the plant personnel in operation, testing, and maintenance are adequately planned, implemented, and evaluated
Fitness for Duty To check the management appropriateness for the factors that might degrade human performance, such as qualification and level of knowledge, skill, working time, etc.
Regulatory Activity on HOF
2. SAFTY INSPECTION
KINSKINS
HOF
IAEA TM on Regulatory Oversight of HOF Regulatory Oversight Activities of HOF in Korea13
OBJECTIVE OFHOF ASSESSMENT
• To evaluate the resilience of NPPs against B-DBA conditions caused by large scale natural hazards from the HOF perspective
• To verify that the emergency response organization can successfully cope with B-DBA situations using available equipment and procedures
General Requirements
• Strategies and tasks for accident management should be well-defined• Staffing and qualification levels should be sufficient to conduct the tasks for
accident management• Equipment and tools should be available and suitable for the tasks related to
accident management• Human error, including decision errors, should be minimized under extreme
accident conditions…
Regulatory Activity on HOF
3. STRESS-TEST
KINSKINS
HOF
IAEA TM on Regulatory Oversight of HOF Regulatory Oversight Activities of HOF in Korea14
GENERAL APPROACH FOR HOF ASSESSMENT
Accident scenario-based (B-DBA scenarios) walk-through adapting the conventional human factors engineering approach in nuclear industry• Loss of Emergency Power Supply + Station Black Out• Loss of Ultimate Heat Sink + Station Black Out + Loss of
Emergency Power Supply • Loss of Ultimate Heat Sink + Station Black Out + Loss of
Emergency Power Supply + 0.3g Earthquake…
Collaborative assessment and inspection by the evaluation team which consist of expert area of human factors, plant operation, safety analysis, electrical engineering, fire protection, etc.
Verify the adequacy of the work environment,procedures, equipment, other operational aspects ofNPPs based on the representative accident scenarios
Regulatory Activity on HOF
3. STRESS-TEST
KINSKINS
HOF
IAEA TM on Regulatory Oversight of HOF Regulatory Oversight Activities of HOF in Korea15
BACKGROUND • International efforts to rebuild safety culture from the lessons learned of the Fukushima Daiichi Accident
• Korean public and political concerns on nuclear licensee’s safety culture
National Mid-Term Plan to Foster Safety Culture (2012~2016)
Infrastructure Development
• Performed the research project for more systematic oversight through the development of independent assessment tool
• Started pilot inspection program of safety culture for all NPPs in the late 2013 through the finalization of inspection and review guides
Establishment of Legal Basis
• Reflecting the recommendation from IRRS Follow-up mission, regulatory oversight including regular inspection is expected from 2016 or 2017
Regulatory Activity on HOF
4. SAFTY CULTURE
KINSKINS
HOF
IAEA TM on Regulatory Oversight of HOF Regulatory Oversight Activities of HOF in Korea16
Final Remark
INTEGRATED APPROACH IN KINS
Human Factors
Technological Factors Organizational Factors
Man-Machine Interface System (MMIS)
&HFE Design
Plant Administration and Managements
&Operation Tasks
Human Performance&
Safety Culture
Research & Development (R&D)
(2014.12.1~2017.9.30) Development of Regulatory Requirements and Guidelines on Human Factors Engineering in Light of Beyond Design Basis Events(2013.11.1~2016.6.30) Development of Regulatory Infrastructure and System for the Oversight of Safety Culture
KINSKINS
HOF
IAEA TM on Regulatory Oversight of HOF Regulatory Oversight Activities of HOF in Korea17
HOF STAFF IN KINS
YUN-HYUNG CHUNGPrincipal Researcher
DHONG-HOON LEEPrincipal Researcher
YOUNG-SIK YOONSenior Researcher
JI-TAE KIMSenior Researcher
DONG-JIN KIMSenior Researcher
Group Mission
Performing safety review and inspection of nuclear facilitiesDeveloping regulatory standards and guidelines in the areas of HTOPerforming research projects to enhance regulatory oversight on HOF…