CNSC s regulatory oversight of Human and Organizational Factors (HOF) Alice F Salway nuclearsafety.gc.ca

Transcription

1 CNSC s regulatory oversight of Human and Organizational Factors (HOF) Alice F Salway nuclearsafety.gc.ca 15th, December, 2015 e-docs #

2 Overview CNSC - organization regulatory framework Safety and Control Area (SCA) framework current approaches multidisciplinary approaches scope of HOF considerations vision for human performance human performance and human factors individual-technology-organization objectives and good practices contemporary views of safety 2

3 CNSC Organization Technical Support Branch Technical Support Branch Directorate of Environmental and Radiation Protection and Assessment Directorate of Safety Management Management Systems Division Personnel Certification Division Human and Organizational Performance Division Training Program Evaluation Division Directorate of Security and Safeguards Directorate of Assessment and Analysis 3

4 CNSC Organization Regulatory Operations Branch Regulatory Operations Branch Directorate of Power Reactor Regulation Directorate of Nuclear Cycle and Facilities Regulation Directorate of Nuclear Substances Regulation Directorate of Regulatory Improvement and Major Projects Management 4

5 CNSC Regulatory Framework and Human & Organizational Factors Act Regulations Licences Regulatory Documents management system human performance procedures probabilistic safety analyses minimum staff complement training, certification and examinations policy on human factors minimum staff complement human factors engineering program plans; verification and validation certification of persons working at nuclear power plants training All regulatory documents: nuclearsafety.gc.ca 5

6 Safety and Control Area (SCA) Framework SCA framework is the set of technical topics CNSC staff use across all regulated facilities and activities to assess, evaluate, review, verify and report on licensee compliance with regulatory requirements SCA framework enables an integrated approach for gathering, collecting, managing and presenting information CNSC s regulatory document structure links with the SCA framework 6

7 Current approaches HOF considerations are cross-cutting and apply across the SCA framework, through which the CNSC manages its regulatory activities HOF specialists are in the Directorate of Safety Management, Human and Organizational Performance Division (HOPD) HOPD single points of contact for each licensee, to understand the overview of HOF regulatory documents cover specific areas and topics multidisciplinary reviews and inspections 7

8 Example of a CNSC multidisciplinary review team Technical Support Branch Regulatory Operations Branch Assessment & Analysis Safety Management Security & Safeguards Environmental & Radiation Protection & Assessment Power Reactor Regulation Reactor behaviour Probabilistic safety & risk assessment Human & organizational performance (lead) Personnel certification Training Emergency Management Programs Environmental monitoring Radiation protection Site inspectors 8

9 Scope of HOF cross-cutting domain (CNSC P-119, Policy on Human Factors) human factors are factors that influence human performance the CNSC recognizes that human factors can affect the performance of facilities and activities it regulates breadth of HOF is formally acknowledged in CNSC s regulatory activities 9

10 HOF in the SCA framework Functional Area Management Facility and Equipment Core Control Processes Safety and Control Area 1. Management Systems 2. Human Performance Management 3. Operating Performance 4. Safety Analysis 5. Physical Design 6. Fitness for Service 7. Radiation Protection 8. Conventional Health and Safety 9. Environmental Protection 10. Emergency Management and Fire Protection 11. Waste Management 12. Security 13. Safeguards 14. Packaging and Transport 10

11 Safety and Control Area Framework Management Management (functional area) Management System (safety and control area) Management system Organization Performance assessment, improvement and management review Operating experience (OPEX) Change management Safety culture Configuration management Records management Management of contractors Business continuity 11

12 SCA framework-management (continued) Human Performance Management (safety and control area) Human performance program Personnel training Personnel certification Initial certification examinations and requalification tests Work organization and job design Fitness for duty 12

13 SCA framework Management (continued) Operating Performance (safety and control area) Conduct of licensed activity Procedures Reporting and trending Outage management performance Safe operating envelope Severe accident management and recovery Accident management and recovery 13

14 SCA framework F & E Facility and equipment (functional area) Safety analysis (safety and control area) Deterministic safety analysis Probabilistic safety analysis Human Reliability Analysis (HRA) Severe accident analysis Physical design (safety and control area) Design governance Human Factors in Design (process) Facility design Structure design System design Component design 14

15 SCA framework F &E (continued) Fitness for Service (safety and control area) Equipment fitness for service / equipment performance Maintenance Aging management Chemistry control Periodic inspection and testing 15

16 SCA framework - Core Control Processes Core control processes (functional area) Radiation protection Conventional health and safety Environmental protection Emergency management and fire protection Conventional emergency preparedness and response Nuclear emergency preparedness and response Fire emergency preparedness and response Waste management Security Safeguards and non-proliferation Packaging and transport 16

17 Human Performance Management Human performance program Personnel training Personnel certification Initial certification examinations and requalification tests Work organization and job design Fitness for duty 17

18 Future vision for HOF discussion paper on Human Performance is in progress human performance - the behaviours and the results of human activities when carrying out work tasks a broad range of human factors considerations supports or weakens human performance considering the breadth and integrated nature of human factors is key graded approach tailored for different types of licensees 18

19 Human Performance (Program) may be a specific licensee s program can be a coherent view and way of managing HOF within the licensee s management system an overview of HOF considerations formalises the view of HOF; human-centred and systemic considerations CNSC and licensees already consider HOF elements individually but formalizing the overview is evolving 19

20 Human Factors Human Factors are those factors that influence human performance influences that support workers to perform their work tasks safely and effectively influences that can detract from the desired human performance and task outcomes examples include: procedures, fitness for duty, safety culture, training, design of systems and equipment, inherent characteristics of people in general, specific characteristics of individuals or groups 20

21 Organization-Technology-Individual Human Performance Organization Technology Individual Management system Safety Culture Assessment & continuous improvement Organizational Structure Roles and Responsibilities Minimum staff complement Plant design Equipment design & user interface Task design and allocation Physical work environment Procedures Training, qualification & certification Work practices: 3-way communication, procedure adherence, independent verification Fitness for duty Hours of work Examples of factors that influence human performance Consideration of the individuals, organization and technology is the foundation that supports human performance. 21

22 Example: deployment of mobile emergency generator sufficient numbers of workers available to carry out the task workers are competent and qualified to perform the duties of their position workers who are fit to carry out the cognitive and physical work involved procedures in place that are correct and easy to follow 22

23 Example: deployment of mobile emergency generator (continued) provision and availability of all tools, protective clothing and equipment that are needed the appropriate amount of supervision and direction to carry out the task the physical environment in which the worker is expected to perform working in snow, rain, extreme cold, high winds, darkness or surrounded by debris is challenging the emergency generator and its couplings have been designed to be used by people in the environment where the deployment occurs 23

24 Example commentary factors that support human performance range across departments and lines of responsibility staffing, procedures, provision of equipment, supervision, design of systems and equipment, procurement consideration of environmental factors that are not subject to organizational control 24

25 Objectives of human performance programs active support of human performance through considering HOF, with the aim of achieving safe and effective outcomes integration of good practices for managing human performance throughout the licensee organization s activities a human-centred focus that considers and supports people carrying out their work a systemic approach to managing human performance across the whole organization a maintained focus on considering the people in the organization when managing organizational, operational, and technical matters 25

26 Good practices consideration of human performance as it is actually carried out by individual workers (as opposed to an idealized view of work as it is anticipated or designed) providing appropriate resources to support human performance continual system improvement through considering and managing the broad range of HOF across the organization considering the roles of all levels and all departments in achieving the desired human performance outcomes 26

27 Good practices (continued) ensuring that human error is considered as a potential symptom of deeper issues instead of the sole cause of failure identifying the sources of human performance problems using a variety of methods, and correcting them continually striving to improve the organizational system that governs, manages and guides human performance 27

28 Integrated approach to Human Performance management and supervision culture work organization and job design procedures (development and use) performance assessment, improvement and management review personnel certification reporting and trending organization (structure and processes) training fitness for duty physical design (human factors in design) operating experience and lessons learned safety analysis (human actions) behavioural safety initiatives and human performance tools 28

29 Links with contemporary views of safety support people s work activities to go right safety as an ongoing dynamic and adaptive process (as opposed to an absence of negative events) work as it is done (as opposed to work as envisaged or designed) Safety I and Safety II resilience systemic approaches 29

30 Canadian Nuclear Safety Commission nuclearsafety.gc.ca facebook.com/canadiannuclearsafetycommission youtube.ca/cnscccsn CNSC Copyright 2015