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IAEA International Atomic Energy Agency
Technical Meeting on Regulatory Oversight of Human and Organizational
Factors
Vienna, Austria | 14-18 December 2015
Overview of HOF-related IAEA safety standards
IAEA
Content
1. Introduction
2. Safety Fundamentals
3. Importance of HOF for Safety
4. What to look at?
5. Regulatory Functions
6. Conclusions
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1. Introduction
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Fukushima has shown again that safety
is the outcome of the interaction
between individuals, technology and
organizations
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1. Introduction
• The extreme natural events (Seism and Tsunami) triggered the accident
but the accident was the final results of factors such as:
• Belief that a severe accident and loss of defence in depth was unlikely:
failure of imagination
• Underestimation of tsunami height: design / technological failure
• Lack of regulatory independence and the existence of a complex ‘chain of
command’: failure to deal with organizational interdependencies
• Lack of cross-functional discussions: communication failure
• Inadequate knowledge and training related to severe accidents: training
failure
• Failure to expect the unexpected
• Improper consideration of the need to
strengthen safety measures: decision
making failure
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1. Introduction
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1. Introduction
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2. Safety Fundamentals
2015 Leadership and Management for Safety 7
The fundamental safety objective is: To protect people and the environment from
harmful effects of ionizing radiation
Protective
Actions to
Reduce Existing
Or Unregulated
Radiation Risks
Emergency
Preparedness
and Response
Prevention
of Accidents
Responsibility
for Safety
Role of
Government
Leadership and
Management
for Safety
Justification of
Facilities and
Activities
Optimization
of Protection
Limitation of
Risks to
Individuals
Protection of
Present and
Future
Generations
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2. Safety Fundamentals
• Fundamental Safety Principle 2: Role of government
• An effective legal and governmental framework for safety, including an independent regulatory body, must be established and sustained
• 3.8. A properly established legal and governmental framework provides for the regulation of facilities and activities that give rise to radiation risks…
• Fundamental Safety Principle 3: Leadership and Management for Safety
• Effective leadership and management for safety
must be established and sustained in organizations
concerned with, and facilities and activities that
give rise to, radiation risks
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3. Importance of HOF for safety
Fundamental Safety Principle 3
• 3.14. An important factor in a management system is the
recognition of the entire range of interactions of individuals at all
levels with technology and with organizations. To prevent
human and organizational failures, human factors have to
be taken into account and good performance and good
practices have to be supported
GSR Part 4 Safety Assessment for Facilities and Activities
• Requirement 11: Assessment of human factors
4.38. The safety of facilities and activities will depend on actions carried out
by the operating personnel, and all such human interactions with the facility
or activity are to be assessed.
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3. Importance of HOF for safety
GSR Part 3: Radiation Protection and Safety of Radiation Sources
• 2.52. The principal parties and other parties having specified
responsibilities in relation to protection and safety, as appropriate, shall take
into account human factors and shall support good performance and
good practices to prevent human and organizational failures
GSR Part 1 Governmental, Legal & Regulatory Framework for Safety
• 4.3. The objective of regulatory functions is the verification and assessment
of safety in compliance with regulatory requirements (…) The regulatory
process shall provide a high degree of confidence, until the release of
facilities and activities from regulatory control
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Regulatory body should pay special attention to not only
technical, but also human and organizational issues
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4. What to look at?
• GSR Part 3 - Human factors
• Ergonomic principles are followed in equipment design and
development of procedures, to facilitate the safe operation and use of
equipment: to minimize the possibility of errors that could lead to accidents,
to reduce the possibility that indications of normal conditions and abnormal
conditions could be misinterpreted
• Appropriate equipment, safety systems and procedural requirements are
provided, and other necessary provision is made:
i. To reduce, as far as practicable, the possibility that human errors or inadvertent
actions could give rise to accidents or to other incidents leading to the exposure
of any person
ii. To provide means for detecting human errors and for correcting or compensating
for them
iii. To facilitate protective actions and corrective actions in the event of failures of
safety systems or failures of measures for protection and safety
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4. What to look at?
• SSR-2/1: Safety of Nuclear Power Plants: Design
• Requirement 32: Design for optimal operator performance
Systematic consideration of human factors, including the human–
machine interface, shall be included at an early stage in the design
process and shall be continued throughout the entire design process
• Minimum number of operating personnel required to perform all the
simultaneous operations necessary to bring the plant into a safe state
• Design to support staff in the fulfilment of their responsibilities and in the
performance of their tasks, to limit the effects of errors on safety
• Human–machine interface to provide staff with comprehensive but
manageable information, in accordance with
the necessary decision times and action
• Workplaces and working environment of
personnel, in accordance with ergonomic
concepts, etc.
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4. What to look at?
• SSR-2/2: Safety of NPP: Commissioning and Operation
• Requirement 3: Structure and functions of the operating
organization
• The structure of the operating organization and the functions, roles and
responsibilities of its personnel shall be established and documented
• Requirement 7: Qualification and training of personnel
• The operating organization shall ensure that all activities that may affect
safety are performed by suitably qualified and competent persons
• Requirement 8: Performance of safety related activities
• Written communication; The working environment; Effectiveness and
fitness of personnel for duty; Questioning attitude; To make appropriate
and conservative decisions
• Requirement 26: Operating procedures
• Level of detail for a particular procedure shall be appropriate…
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4. What to look at?
• NS-R-4: Safety of Research Reactors
• Design: The systematic consideration of the human–machine
interface and human factors
• Application of ergonomic principles in the design of the control
room and reactor systems as appropriate…
• NS-R-5: Safety of Nuclear Fuel Cycle Facilities Safety
Requirements
• Human factors and human–machine interfaces shall be
considered throughout the design process
• The design shall minimize the demands on operators in normal
operations and in anticipated operational occurrences and accident
conditions…
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5. Regulatory Functions
GSR part 1: Governmental, Legal and Regulatory
Framework for Safety
• Establishes international consensus on requirements for applying the
fundamental safety objectives and principles
• Defines responsibilities and functions of
• Government
• Regulatory body (RB)
• Covers all phases of facility lifetime until
release from regulatory control
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5. Regulatory Functions
“CORE” Functions of the Regulatory Body
- Establish or adopt and maintain REGULATIONS
& GUIDES (Req. 32-34)
- REVIEW & ASSESSMENT of information relevant
to safety (Req. 32-34)
- AUTHORIZATION of facilities and activities (Req. 23, 24)
- INSPECTION of facilities and activities (Req. 27-29)
- ENFORCEMENT of compliance with regulations and standards
(Req. 30-31)
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The use of regulatory functions provides opportunities to address
HOF and how they are taken into account
by the licensee to ensure a positive
contribution for safety
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5. Regulatory Functions
EXAMPLE
Regulatory framework should include key objectives and
criteria to ‘regulate’ HOF, even performance based approach, e.g.,
a) A human and organizational factors programme shall be established, implemented, and periodically enhanced to prevent shortcomings in and enhance the performance of humans and organization.
b) All safety-related activities shall be prepared and performed taking account of human capabilities and limitations and of factors that could influence the performance of individuals and safety
Inspections are performed to verify compliance with the
regulatory requirements and with the conditions
specified in the authorization
• Is a programme established and implemented?
Inspections are opportunity to observe, discuss and
collect evidences and data related to HOF
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Collecting data
and results
Identifying trends
and conclusions
Conducting
integrated Safety
Assessments
5. Regulatory Functions
• GSR Part 1 – Requirements 25 and 26
• 4.46. Integrated Safety Assessment
• The RB shall:
• Organize the results obtained in a systematic
manner
• Identify trends and conclusions drawn from
inspections, from reviews and assessments
• This integrated safety assessment shall be repeated
periodically
• 4.48 The results of reviews and assessments shall
be used as feedback information for the regulatory
process
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5. Regulatory Functions
• GSR Part 1 – Requirement 21
• The RB shall establish formal and informal mechanisms of
communication with authorized parties on all safety related
issues, conducting a professional and constructive liaison
• 4.23. (…) The RB, while maintaining its independence, shall liaise with
authorized parties to achieve their common objectives in ensuring
safety. Meetings shall be held as necessary to fully understand and
discuss the arguments of each party on safety related issues.
• 4.24. The RB shall foster mutual understanding and respect on the part
of authorized parties through frank, open and yet formal relationships,
providing constructive liaison on safety related issues.
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5. Regulatory Functions
• GSR Part 1 – Requirements 25 and 26
• 4.46. Integrated Safety Assessment (be repeated
periodically). The RB shall:
• Organize the results obtained in a systematic manner
• Then identify trends and conclusions drawn from
inspections, from reviews and assessments
• Feedback information shall be provided to the
authorized party
• Foster mutual understanding and respect
providing constructive liaison on safety related
issues
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Providing
feedback to and
discussing with
Licensee
Improving
Safety
Collecting data
and results
Identifying trends
and conclusions
Conducting
integrated Safety
Assessments
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Principle 3
Leadership and
Management
for Safety
6. Conclusions
• Human and organizational factors are (positive or
adverse) contributors to safety: Recognized and addressed at Safety
Fundamental Level
• The IAEA safety standards establish numerous requirements and
guidance related to human and organizational factors: What and
How
• Should be used to develop a sound regulatory system and effective
regulatory oversight mechanisms
• Performance of regulatory functions aims at determining whether
the licensee comply with regulatory requirements and conditions
• Need to establish regulatory objectives and criteria (General or specific)
• Also opportunity to collect data in order to identify trends and conclusions for
discussion with the licensee as part of a constructive and professional liaison
on safety issues (GSR Part 1 – Req. 21)
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6. Conclusions
http://www-ns.iaea.org/standards/
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