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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

http://www.google.co.kr/url?sa=i&rct=j&q=TMI&source=images&cd=&cad=rja&docid=uLsgt56P4eXmZM&tbnid=T50PGqmPcaWZrM:&ved=0CAUQjRw&url=http://whyfiles.org/2011/nuclear-nightmare-in-japan/&ei=yL1LUfmWAtCgkgXMy4CQAQ&bvm=bv.44158598,d.dGI&psig=AFQjCNHSASqOfkgl0YWRTji49QT1QlATDg&ust=1364004565474207

http://www.google.co.kr/url?sa=i&rct=j&q=TMI&source=images&cd=&cad=rja&docid=uLsgt56P4eXmZM&tbnid=T50PGqmPcaWZrM:&ved=0CAUQjRw&url=http://whyfiles.org/2011/nuclear-nightmare-in-japan/&ei=yL1LUfmWAtCgkgXMy4CQAQ&bvm=bv.44158598,d.dGI&psig=AFQjCNHSASqOfkgl0YWRTji49QT1QlATDg&ust=1364004565474207

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


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


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


KINSKINS

HOF

Introduction


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.


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


KINSKINS

HOF

1INTRODUCTION 3FINAL

REMARK2REGULATORY

ACITIVITY

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


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




KINSKINS

HOF



KINSKINS

HOF

MCR RSR

LCPs EOFs


Regulatory Standards and Guides




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...




KINSKINS

HOF




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


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


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.


2. SAFTY INSPECTION

KINSKINS

HOF


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…


3. STRESS-TEST

KINSKINS

HOF


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


3. STRESS-TEST

KINSKINS

HOF


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


4. SAFTY CULTURE

KINSKINS

HOF


1INTRODUCTION 2REGULATORY

ACTIVITY3FINAL

REMARK

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


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…

regulatory oversight activities of human and ... 2/np6_south-korea.pdf · iaea tm on regulatory...

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