Regulatory Oversight Activities of Human and Organizational Factors in Korea Dhong-Hoon Lee Ph.D.

Transcription

1 IAEA TM on Regulatory Oversight of Human and Organizational Factors Regulatory Oversight Activities of Human and Organizational Factors in Korea Dhong-Hoon Lee Ph.D. KINS Group of Human & Organizational Factors ()

2 IAEA TM on Regulatory Oversight of Human and Organizational Factors CONTENTS 1 INTRODUCTION 2 REGULATORY ACITIVITY 3FINAL REMARK

3 Introduction APPLICATION HISTORY ON IN KOREA 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 IAEA TM on Regulatory Oversight of 1 Regulatory Oversight Activities of in Korea

4 Introduction REPRESENTATIVE LEGAL REQUIREMENTS Enforcement Regulation of the Nuclear Safety Act ARTICLE 4 Application for Construction Permit ARTICLE 20 Details of Periodic Safety Review 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; and 3. Remote control room 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; and 5. Analysis of man-mechanic interface IAEA TM on Regulatory Oversight of 2 Regulatory Oversight Activities of in Korea

5 Introduction REPRESENTATIVE LEGAL REQUIREMENTS Regulations on Technical Standards for Nuclear Reactor Facilities ARTICLE 45 Human 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 3 Regulatory Oversight Activities of in Korea

6 Introduction REPRESENTATIVE LEGAL REQUIREMENTS Regulation on Technical Standards for Nuclear Reactor Facilities, etc. ARTICLE 55 Qualification and Training ARTICLE 57 Management of Human Factors 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 The personnel to conduct reactor operations shall be examined annually on appointment, and required to ensure that their medical fitness is appropriate --- 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 4 Regulatory Oversight Activities of in Korea

7 Introduction REGULATORY ACTIVITY ON IN KOREA Safety Review & Assessment & Safety Inspection IAEA TM on Regulatory Oversight of 5 Regulatory Oversight Activities of in Korea

8 1 INTRODUCTION 2 REGULATORY ACITIVITY 3FINAL REMARK

9 Regulatory Activity on 1. SAFETY REVIEW & ASSESSMENT Contents of Review & Assessment on CONSTRUCTION OF NEW PLANTS MODIFICATION OF HUMAN-SYSTEM INTERFACES Review to verify that accepted and applicable HFE principles are incorporated during the construction and operating process 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 6 Regulatory Oversight Activities of in Korea

10 Regulatory Activity on 1. SAFETY REVIEW & ASSESSMENT 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 Chapter 13 Chapter 19 Instrumentation and Control: For technical descriptions of HSI components and characteristics Conduct of Operation: For the contents of operating organization, administrative procedures, etc Probabilistic Risk Assessment: For the contents of the relationship between HFE activities and PRA/HRA activities and the risk insights IAEA TM on Regulatory Oversight of 7 Regulatory Oversight Activities of in Korea

11 Regulatory Activity on 1. SAFETY REVIEW & ASSESSMENT MCR RSR LCPs EOFs IAEA TM on Regulatory Oversight of 8 Regulatory Oversight Activities of in Korea

12 Regulatory Activity on 1. SAFETY REVIEW & ASSESSMENT Human Factors Engineering Regulatory Standards and Guides Operation & Management Regulatory Standards (KINS/RS-N15.00) Chap. 15 Human Factors Engineering Sec. 1 Introduction Sec. 2 HFE Design Process Sec. 3 Control Room Design Regulatory Guides (KINS/RG-N15.01~05) Chap. 15 Human Factors Engineering Sec. 1 HFE Plan Sec. 2 HFE Design Sec. 3 HF Verification & Validation Regulatory Standards (KINS/RS-N17.00) Chap. 17 Conduct of Operation Sec. 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 Operation Sec. 1 Constitution of Plant Organization Sec. 2 Responsibility & Authority --- Sec. 5 Personnel Qualification IAEA TM on Regulatory Oversight of 9 Regulatory Oversight Activities of in Korea

13 Regulatory Activity on 1. SAFETY REVIEW & ASSESSMENT 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 errorfree 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... IAEA TM on Regulatory Oversight of 10 Regulatory Oversight Activities of in Korea

14 Regulatory Activity on 1. SAFETY REVIEW & ASSESSMENT 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 reports 2. Corrective actions by the regulatory body 3. Final Safety Analysis Report (FSAR) or Detailed Control Room Design Review (D-CRDR) reports 4. Reports of instrument & equipment failures 5. History reports of design modification 6. Analysis report of plant trip or shutdown IAEA TM on Regulatory Oversight of 11 Regulatory Oversight Activities of in Korea

15 Regulatory Activity on 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 12 Regulatory Oversight Activities of in Korea

16 Regulatory Activity on 2. SAFTY INSPECTION PERIODIC INSPECTION According to Article 57 Management of Human Factors of Regulation on Technical Standards for Nuclear Reactor Facilities, this inspection on 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. IAEA TM on Regulatory Oversight of 13 Regulatory Oversight Activities of in Korea

17 Regulatory Activity on 3. STRESS-TEST OBJECTIVE OF ASSESSMENT To evaluate the resilience of NPPs against B-DBA conditions caused by large scale natural hazards from the 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 IAEA TM on Regulatory Oversight of 14 Regulatory Oversight Activities of in Korea

18 Regulatory Activity on 3. STRESS-TEST GENERAL APPROACH FOR ASSESSMENT Accident scenario-based (B-DBA scenarios) walkthrough 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 of NPPs based on the representative accident scenarios IAEA TM on Regulatory Oversight of 15 Regulatory Oversight Activities of in Korea

19 Regulatory Activity on 4. SAFTY CULTURE 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 Establishment of Legal Basis 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 Reflecting the recommendation from IRRS Followup mission, regulatory oversight including regular inspection is expected from 2016 or 2017 IAEA TM on Regulatory Oversight of 16 Regulatory Oversight Activities of in Korea

20 1 2 INTRODUCTION 3FINAL REMARK REGULATORY ACTIVITY

21 Final Remark INTEGRATED APPROACH IN KINS Human Factors Man-Machine Interface System (MMIS) & HFE Design Plant Administration and Managements & Operation Tasks Human Performance & Safety Culture Technological Factors Organizational Factors Research & Development (R&D) ( ~ ) Development of Regulatory Requirements and Guidelines on Human Factors Engineering in Light of Beyond Design Basis Events ( ~ ) Development of Regulatory Infrastructure and System for the Oversight of Safety Culture IAEA TM on Regulatory Oversight of 17 Regulatory Oversight Activities of in Korea

22 STAFF IN KINS YUN-HYUNG CHUNG Principal Researcher DHONG-HOON LEE Principal Researcher YOUNG-SIK YOON Senior Researcher JI-TAE KIM Senior Researcher DONG-JIN KIM Senior Researcher Group Mission Performing safety review and inspection of nuclear facilities Developing regulatory standards and guidelines in the areas of HTO Performing research projects to enhance regulatory oversight on